Complaint Determinations The Whistle-blower Act Enhancing Public Trust in Government.

Complaint Complaint Determinations Determinations

The Whistle-blower The Whistle-blower ActAct

Enhancing Public Trust in Enhancing Public Trust in Government Government

OverviewOverview

Chief Inspector General ResponsibilitiesChief Inspector General Responsibilities

Agency Inspectors General Agency Inspectors General

ResponsibilitiesResponsibilities

Main sections of the Whistle-blower Main sections of the Whistle-blower

StatuteStatute

Complaint Evaluation ProtocolsComplaint Evaluation Protocols

Whistle-blower Process FlowWhistle-blower Process Flow

OverviewOverview

Chief Inspector General Chief Inspector General


Florida Chief Inspector Florida Chief Inspector GeneralGeneral

Section 14.32, Florida Statutes Section 14.32, Florida Statutes (F.S.) created the Office of the (F.S.) created the Office of the Chief Inspector General (CIG) Chief Inspector General (CIG) within the Executive Office of the within the Executive Office of the Governor.Governor.

Chief Inspector General Responsibilities

Under section 14.32, F.S. (2), Under section 14.32, F.S. (2), the CIG shall: the CIG shall: (f) Coordinate the activities of (f) Coordinate the activities of the Whistle-blower’s Act pursuant the Whistle-blower’s Act pursuant to Chapter 112, F.S. and maintain to Chapter 112, F.S. and maintain the whistle-blower’s hotline.the whistle-blower’s hotline.

Florida Chief Inspector Florida Chief Inspector GeneralGeneral

Chief Inspector General Responsibilities

Section 14.32, F.S. (i): The CIG shall act as liaison and monitor the activities of the inspectors general in the agencies under the Governor’s jurisdiction.

OverviewOverview

Florida Chief Inspector General Florida Chief Inspector General




Main Sections of the Whistle-blower’s StatuteMain Sections of the Whistle-blower’s Statute



Inspectors General (IG) ActInspectors General (IG) Act The 1994 IG Act The 1994 IG Act

amended Section amended Section 20.055, F.S., 20.055, F.S., which created an which created an InspectorInspector General General in each State in each State Agency.Agency.

Florida’s IG Florida’s IG system mirrors system mirrors the Federal the Federal model in many model in many respects.respects. Agency Inspectors General

Responsibilities

IG ResponsibilitiesIG Responsibilities

Authorized under section Authorized under section 20.055,20.055,

F.S., the Office of Inspector F.S., the Office of Inspector

General (OIG) is established in General (OIG) is established in

each state agency to provide a each state agency to provide a

central point for coordination central point for coordination of of

and responsibility for activities and responsibility for activities

that promote accountability, that promote accountability,

integrity, and efficiency in integrity, and efficiency in

government.government.

Agency Inspectors General Responsibilities

(6) In carrying out the (6) In carrying out the investigative duties and investigative duties and responsibilities, each responsibilities, each inspector general shall…inspector general shall…

(a) Receive complaints (a) Receive complaints and coordinate all and coordinate all activities of the agency activities of the agency as required by the as required by the Whistle-blower’s Act Whistle-blower’s Act pursuant to Sections pursuant to Sections 112.3187 – 112.31895, 112.3187 – 112.31895, F.S.F.S.

IG Responsibilities under IG Responsibilities under Section 20.055, F.S.Section 20.055, F.S.

Inspectors General Responsibilities

It is intent of the It is intent of the Legislature to prevent Legislature to prevent agencies or independent agencies or independent (agency) contractors from (agency) contractors from taking retaliatory action taking retaliatory action against an employee or against an employee or independent contractor independent contractor who reports violations of who reports violations of law which creates a law which creates a substantial or specific substantial or specific danger to the public’s danger to the public’s health, safety, or welfare. health, safety, or welfare.

Sections 112.3187-Sections 112.3187-112.31895, F.S.112.31895, F.S.

““Whistle-blower’s Act”Whistle-blower’s Act”


It is further the intent of the It is further the intent of the Legislature to prevent agencies or Legislature to prevent agencies or independent (agency) contractors from independent (agency) contractors from taking retaliatory action against any taking retaliatory action against any person who discloses information person who discloses information alleging improper use of governmental alleging improper use of governmental office, gross waste of funds, or any office, gross waste of funds, or any other abuse or gross neglect of duty on other abuse or gross neglect of duty on the part of an agency, public officer, or the part of an agency, public officer, or employee.employee.

Sections 112.3187-Sections 112.3187-112.31895, F.S. 112.31895, F.S.

“Whistle-blower’s Act”“Whistle-blower’s Act”


OverviewOverview



Agency Inspectors General ResponsibilitiesAgency Inspectors General Responsibilities

Main Sections of the Whistle-blower’s StatuteMain Sections of the Whistle-blower’s Statute



112.3187 Retaliation Protection112.3187 Retaliation Protection

112.3188 Confidentiality 112.3188 Confidentiality

112.3189 Complaint Investigative procedures 112.3189 Complaint Investigative procedures

112.31895 Retaliation Investigative procedures 112.31895 Retaliation Investigative procedures

Main Sections ofMain Sections ofthe Whistle-blower Statutethe Whistle-blower Statute

Main sections of the Whistle-blower statute

s. 112.3187, F.S., Retaliation s. 112.3187, F.S., Retaliation ProtectionProtection

Legislative Intent Key definitions: employee; independent

contractor; gross mismanagement Actions prohibited Nature of information disclosed To whom information is disclosed Employees and persons protected Remedies Relief, defenses and existing rights


s. 112.3187(2), F.S., s. 112.3187(2), F.S., Legislative IntentLegislative Intent

To prevent agencies or independent contractors To prevent agencies or independent contractors fromfrom taking retaliatory action taking retaliatory action against an against an employee who reportsemployee who reports to an appropriate to an appropriate agency violations of law on the part of a public agency violations of law on the part of a public employer or independent contractoremployer or independent contractor that that create a substantial and specific danger create a substantial and specific danger to the public’s health, safety, or welfareto the public’s health, safety, or welfare. .

To prevent agencies or independent contractors To prevent agencies or independent contractors fromfrom taking retaliatory action against any taking retaliatory action against any personperson who discloses informationwho discloses information to an to an appropriate agency alleging improper use of appropriate agency alleging improper use of governmental office, gross waste of funds, or governmental office, gross waste of funds, or any other abuse or gross neglect of duty on any other abuse or gross neglect of duty on the part of an agency, public officer, or the part of an agency, public officer, or employee.employee.



Legislative intent Key Definitions: employee;

independent contractor; gross mismanagement

Actions prohibited Nature of information disclosed To whom information is disclosed Employees and persons protected Remedies Relief, defenses and existing rights


Key DefinitionsKey Definitions

““Employee”Employee” means a person who performs means a person who performs services for, and under the control and direction services for, and under the control and direction of, or contracts with, an agency or independent of, or contracts with, an agency or independent contractor for wages or other remunerationcontractor for wages or other remuneration. .

““Independent contractor”Independent contractor” means a person, means a person, other than an agency, engaged in any business other than an agency, engaged in any business and who enters into a contract, including a and who enters into a contract, including a provider agreement, with an agency. provider agreement, with an agency.

Sub contractors are not covered under this definition.Sub contractors are not covered under this definition.



Key Definitions Continued:Key Definitions Continued:

““Adverse personnel action”Adverse personnel action” means the means the discharge, suspension, transfer, or demotion of discharge, suspension, transfer, or demotion of any employee or the withholding of bonuses, the any employee or the withholding of bonuses, the reduction in salary or benefits, or any other reduction in salary or benefits, or any other adverse action taken against an employee within adverse action taken against an employee within the terms and conditions of employment by an the terms and conditions of employment by an agency or independent contractor. agency or independent contractor.

““Gross mismanagement”Gross mismanagement” means a continuous means a continuous pattern of managerial abuses, wrongful or pattern of managerial abuses, wrongful or arbitrary and capricious actions, or fraudulent or arbitrary and capricious actions, or fraudulent or criminal conduct which may have a substantial criminal conduct which may have a substantial adverse economic impact.adverse economic impact.




““GROSS” GROSS”

MeansMeans conduct so reckless as to conduct so reckless as to demonstratedemonstrate

a substantial lack of concern for a substantial lack of concern for whether an injury results.whether an injury results.

Site: Government Tort Liability Act (GTLA), (4)Site: Government Tort Liability Act (GTLA), (4)


s. 112.3187, F.S., s. 112.3187, F.S., Retaliation ProtectionRetaliation Protection

Legislative intent Key definitions Actions Prohibited Nature of information disclosed To whom information is disclosed Employees and persons protected Remedies Relief, defenses and existing rights


Actions ProhibitedActions Prohibited

An agency or independent contractor An agency or independent contractor shallshall not:not: Dismiss, discipline, or take any other adverse Dismiss, discipline, or take any other adverse

personnel action against an employee for personnel action against an employee for disclosing information pursuant to the provisions disclosing information pursuant to the provisions of this section. of this section.

Take any adverse action that affects the rights or Take any adverse action that affects the rights or interests of a person in retaliation for the person's interests of a person in retaliation for the person's disclosure of information under this section. disclosure of information under this section.



s. 112.3187, F.S., s. 112.3187, F.S., Retaliation ProtectionRetaliation Protection

Legislative intent Key definitions: employee; independent contractor;

gross mismanagement Actions prohibited Nature of Information Disclosed To whom information is disclosed Employees and persons protected Remedies Relief, defenses and existing rights


Nature of Information DisclosedNature of Information Disclosed

Any violation or suspected violation of any federal, state, Any violation or suspected violation of any federal, state, or local law, rule, or regulation committed by an or local law, rule, or regulation committed by an employee or agent of an agency or independent employee or agent of an agency or independent contractor contractor which creates and presents a substantial which creates and presents a substantial and specific danger to the public's health, safety, and specific danger to the public's health, safety, or welfare. or welfare.

Any act or suspected act of Any act or suspected act of grossgross mismanagement, mismanagement, malfeasancemalfeasance, , misfeasance, misfeasance, grossgross waste of public funds, waste of public funds, suspected or actual Medicaid fraud or abuse, or gross suspected or actual Medicaid fraud or abuse, or gross neglect of duty committed by an employee or agent of neglect of duty committed by an employee or agent of an agency or independent contractor. an agency or independent contractor.




Legislative Intent Key Definitions: employee; independent contractor;

gross mismanagement Actions prohibited Nature of information disclosed To Whom Information is Disclosed Employees and persons protected Remedies Relief, defenses and existing rights


Retaliation ProtectionRetaliation ProtectionTo Whom Information Is Disclosed

Any agency or federal government entity having the authority to investigate, police, manage, or otherwise remedy the violation or act, including, but not limited to:


Chief Inspector General

Agency Inspector General or the

Employee designated as agency Inspector General The Florida Commission on Human

Relations The Whistle-blower's Hotline

For concerns about local government entities, information must be disclosed to a chief executive officer or other appropriate local official.



gross mismanagement Actions prohibited Nature of information disclosed To whom information is disclosed Employees and Persons Protected Remedies Relief, defenses and existing rights


Employees and Persons Protected include those:Employees and Persons Protected include those:

Retaliation ProtectionRetaliation Protection


Who disclose information on their own initiative in a written and signed complaint; or Who are requested to participate in an Who are requested to participate in an investigation, hearing, or investigation, hearing, or other inquiry; orother inquiry; or

Who file any written complaint to their Who file any written complaint to their supervisory officials; orsupervisory officials; or Who submit a complaint to the CIG, the Agency Who submit a complaint to the CIG, the Agency Inspector Inspector General, Whistle-blower’s Hotline or to the General, Whistle-blower’s Hotline or to the Florida CommissionFlorida Commission on Human Relations.on Human Relations.

Who refuse to participate in any adverse action Who refuse to participate in any adverse action prohibited by prohibited by this section; orthis section; or



gross mismanagement Actions prohibited Nature of information disclosed To whom information is disclosed Employees and persons protected Remedies Relief, defenses and existing rights


RemediesRemedies

Any Any employee of or applicantemployee of or applicant for employment for employment with any state agencywith any state agency, , who is discharged, who is discharged, disciplined, or subjected to other adverse disciplined, or subjected to other adverse personnel action, or denied employment, personnel action, or denied employment, because he or she engaged in an activity because he or she engaged in an activity protected by this sectionprotected by this section may file a complaintmay file a complaint..

Upon receipt of notice from the Florida Commission Upon receipt of notice from the Florida Commission on Human Relations of termination of the on Human Relations of termination of the investigation, the complainant may elect to pursue investigation, the complainant may elect to pursue the administrative remedy available or bring a civil the administrative remedy available or bring a civil action within 180 days after receipt of the notice.action within 180 days after receipt of the notice.



Remedies, continued:Remedies, continued: Within 60 days after the action prohibited by this Within 60 days after the action prohibited by this

section, any local public employee protected by this section, any local public employee protected by this section may file a complaint with the appropriate section may file a complaint with the appropriate local governmental authority, if that authority has local governmental authority, if that authority has established by ordinance an administrative procedure established by ordinance an administrative procedure for handling such complaints or has contracted with for handling such complaints or has contracted with the Division of Administrative Hearings to conduct the Division of Administrative Hearings to conduct hearings under this section. hearings under this section.

The administrative procedure created by ordinance The administrative procedure created by ordinance must provide for the complaint to be heard by a panel must provide for the complaint to be heard by a panel of impartial persons appointed by the appropriate of impartial persons appointed by the appropriate local governmental authority. local governmental authority.



Remedies - continued:Remedies - continued: Upon hearing the complaint, the panel must make findings of Upon hearing the complaint, the panel must make findings of

fact and conclusions of law for a final decision by the local fact and conclusions of law for a final decision by the local governmental authority. governmental authority.

Within 180 days after entry of a final decision by the local Within 180 days after entry of a final decision by the local governmental authority, the public employee who filed the governmental authority, the public employee who filed the complaint may bring a civil action in any court of competent complaint may bring a civil action in any court of competent jurisdiction. If the local governmental authority has not jurisdiction. If the local governmental authority has not established an administrative procedure by ordinance or established an administrative procedure by ordinance or contract, a local public employee may, within 180 days after the contract, a local public employee may, within 180 days after the action prohibited by this section, bring a civil action in a court action prohibited by this section, bring a civil action in a court of competent jurisdiction. of competent jurisdiction. (The term "local governmental authority" includes any regional, (The term "local governmental authority" includes any regional, county, or municipal entity, special district, community college county, or municipal entity, special district, community college district, or school district or any political subdivision of any of the district, or school district or any political subdivision of any of the foregoing.)foregoing.)




Remedies, continued:Remedies, continued:

Any other person protected by this Any other person protected by this section may, section may, after exhausting all available after exhausting all available contractual or contractual or administrative remedies, administrative remedies, bring a civil action in any bring a civil action in any court of court of competent jurisdiction within 180 days competent jurisdiction within 180 days after the action prohibited by this section. after the action prohibited by this section.



Legislative Intent Key Definitions: agency; employee; adverse

personnel action; independent contractor; gross mismanagement

Actions prohibited Nature of information disclosed To whom information is disclosed Employees and persons protected Remedies Relief, Defenses and Existing Rights


Relief, Defenses and Existing Relief, Defenses and Existing RightsRights

In any action brought under this section, In any action brought under this section, the relief must include the following:the relief must include the following:

Reinstatement of the employee to the same Reinstatement of the employee to the same position held before the adverse action was position held before the adverse action was commenced, or to an equivalent position or commenced, or to an equivalent position or reasonable front pay as alternative relief. reasonable front pay as alternative relief.

RReinstatement of the employee's full fringe einstatement of the employee's full fringe benefits and seniority rights, as appropriate. benefits and seniority rights, as appropriate.



Retaliation ProtectionRetaliation ProtectionRelief, Defenses and Existing Rights, Relief, Defenses and Existing Rights,

continued:continued:

Compensation, if appropriate, for lost Compensation, if appropriate, for lost wages, benefits, or other lost remuneration wages, benefits, or other lost remuneration caused by the adverse action. caused by the adverse action.

Payment of reasonable costs, including Payment of reasonable costs, including attorney's fees, to a substantially prevailing attorney's fees, to a substantially prevailing employee, or to the prevailing employer if employee, or to the prevailing employer if the employee filed a frivolous action in bad the employee filed a frivolous action in bad faith. faith.



Relief, Defenses and Existing Rights, Relief, Defenses and Existing Rights, continued:continued:

Issuance of an injunction, if appropriate, Issuance of an injunction, if appropriate, by a court of competent jurisdiction. by a court of competent jurisdiction.

Temporary reinstatement to the employee's Temporary reinstatement to the employee's former position or to an equivalent position, former position or to an equivalent position, pending the final outcome on the complaint.pending the final outcome on the complaint.


Retaliation ProtectionRetaliation ProtectionRelief, Defenses and Existing Rights, Relief, Defenses and Existing Rights,

continued:continued:

DefensesDefenses - It shall be an affirmative defense to any - It shall be an affirmative defense to any action brought pursuant to this section that the adverse action brought pursuant to this section that the adverse action was predicated upon grounds other than, and action was predicated upon grounds other than, and would have been taken absent, the employee's or would have been taken absent, the employee's or person's exercise of rights protected by this section. person's exercise of rights protected by this section.

Existing RightsExisting Rights - Sections - Sections 112.3187112.3187-112.31895 do not -112.31895 do not diminish the rights, privileges, or remedies of an diminish the rights, privileges, or remedies of an employee under any other law or rule or under any employee under any other law or rule or under any collective bargaining agreement or employment collective bargaining agreement or employment contract; however, the election of remedies in s. contract; however, the election of remedies in s. 447.401447.401 also applies to whistle-blower actions. also applies to whistle-blower actions.


Retaliation protectionRetaliation protection

Retaliation Investigative ProceduresRetaliation Investigative Procedures

Confidentiality Confidentiality

Complaint investigative proceduresComplaint investigative procedures



Retaliation Investigative Retaliation Investigative ProceduresProcedures

Investigative Procedures in Response to Prohibited Personnel Actions

Fact Finding

Corrective Action and Termination of Investigation

Right to AppealMain sections of the Whistle-

blower statute

112.3187 Retaliation protection112.3187 Retaliation protection

112.31895 Retaliation Investigative procedures112.31895 Retaliation Investigative procedures

112.3188 Confidentiality 112.3188 Confidentiality

112.3189 Complaint Investigative procedures112.3189 Complaint Investigative procedures

Main Sections of theMain Sections of the Whistle-blower Statute Whistle-blower Statute


s. 112.3188, F.S., s. 112.3188, F.S., ConfidentialityConfidentiality

Individual Confidentiality (Name or

Identity)

Information Confidentiality (Produced or

Derived)

Exceptions (Waiver)

When a Report Becomes Public

Penalty for Breach of ConfidenceMain sections of the Whistle-blower statute

ConfidentialityConfidentiality

Individual Confidentiality – Name or Identity

The name or identity of any individual who discloses in good faith to the Chief Inspector General or an agency inspector general, a local chief executive officer, or other appropriate local official information that meets criteria may not be disclosed to anyone other than a member of the Chief Inspector General's, agency inspector general's, internal auditor's, local chief executive officer's, or other appropriate local official's staff.



Individual Confidentiality (Name and

Identity)

Information Confidentiality (Produced

or Derived)

Exceptions (Waiver)


Penalty for Breach of ConfidenceMain sections of the Whistle-

blower statute

ConfidentialityConfidentialityInformation Confidentiality – Produced or

Derived

Except as specifically authorized, all information

received by the Chief Inspector General or an

agency inspector general or information

produced or derived from fact-finding or other

investigations conducted by the Florida

Commission on Human Relations or the

Department of Law Enforcement is confidential

and exempt from public records if the information

is being received or derived from allegations as set

forth in paragraph (1)(a) or paragraph (1)(b), and

an investigation is active.




Identity)


Derived)

Exceptions (Waiver)


Penalty for Breach of Confidence


ConfidentialityConfidentialityExceptions - Waivers

The name or identity of the whistle-blower may not be disclosed without the written consent of the individual, unless the Chief Inspector General, internal auditor, agency inspector general, local chief executive officer, or other appropriate local official determines that: the disclosure of the individual's identity is necessary to prevent a substantial and specific danger to the public's health, safety, or welfare or to prevent the imminent commission of a crime; or the disclosure is unavoidable and absolutely necessary during the course of the audit, evaluation, or investigation.



Exceptions – Waivers, continued:Exceptions – Waivers, continued:

Information disclosed under this Information disclosed under this subsection may be disclosed only tosubsection may be disclosed only to persons who are in a position to persons who are in a position to prevent the danger to the public's prevent the danger to the public's health, safety, or welfare or to prevent health, safety, or welfare or to prevent the imminent commission of a crimethe imminent commission of a crime based on the disclosed information. based on the disclosed information.




Identity)

Information Confidentiality (Produced

or Derived)

Exceptions (Waiver)




ConfidentialityConfidentiality

When A Report Becomes Public

Except for active criminal intelligence or

criminal investigative information, and

except as otherwise provided in this section,

all information obtained pursuant to this

subsection shall become available to the

public when the investigation is closed or

ceases to be active. An investigation is

closed or ceases to be active when the final

report has been sent by the Chief Inspector

General to the recipients specified under

Florida Statute.




Identity)


Derived)

Exceptions (Waiver)






Any person who willfully and knowingly

discloses information or records made

confidential under this section commits a

misdemeanor of the first degree,

punishable as provided in s. 775.082 or

s.775.083.


Retaliation protectionRetaliation protection

Retaliation investigative proceduresRetaliation investigative procedures

Confidentiality Confidentiality

Complaint Investigative ProceduresComplaint Investigative Procedures



Complaint Investigative Complaint Investigative ProceduresProcedures

Requirement for Whistle-blower’s Hotline

Determination factors Review period Factors used to consider an

investigation unnecessary Subsequent procedures

Investigative guidelines Investigation closure process



Requirement for Whistle-blower’s Requirement for Whistle-blower’s HotlineHotline

To facilitate the receipt of information, To facilitate the receipt of information, the CIG shall maintain an in-state toll-the CIG shall maintain an in-state toll-freefree whistle-blower's hotlinewhistle-blower's hotline..



Requirement for whistle-blower’s hotline

Determination Factors Review period Factors used to consider an




Determination FactorsDetermination Factors

When a person alleges information described in theWhen a person alleges information described in the whistle-blower statute, the CIG or agency inspector whistle-blower statute, the CIG or agency inspector general actually receiving such information shall general actually receiving such information shall

within within 20 days20 days (Can request an extension in writing) (Can request an extension in writing) of of receivingreceiving

such information determine: such information determine:



Whether the information disclosed is Whether the information disclosed is the type ofthe type of information described in statute under – information described in statute under – NatureNature of Information disclosedof Information disclosed..


Whether theWhether the source of the informationsource of the information is a is a person who is an employee or former employee person who is an employee or former employee of, or an applicant for employment with, a state of, or an applicant for employment with, a state agency.agency.

Whether the information actually disclosed Whether the information actually disclosed demonstrates reasonable cause to suspect that demonstrates reasonable cause to suspect that an employee or agent of an agency or an employee or agent of an agency or independent contractor has violated any federal, independent contractor has violated any federal, state, or local law, rule, or regulation, therebystate, or local law, rule, or regulation, thereby creating and presenting a substantial and creating and presenting a substantial and specific danger to the public's health, safety, specific danger to the public's health, safety, or welfare, or has committed an act of gross or welfare, or has committed an act of gross mismanagement, malfeasance, misfeasance, mismanagement, malfeasance, misfeasance, gross waste of public funds, or gross neglect gross waste of public funds, or gross neglect of duty. of duty. Main sections of the Whistle-

blower statute

Determination Determination Factors - contFactors - cont



Determination factors Review Period Factors used to consider an





Review Period When a person alleges information

described in section 112.3187(5), F.S., the CIG or agency inspector general actually receiving such information shall, within 20 days of receipt, determine whether the information meets the criteria.

The CIG or agency inspector general making such a determination shall then conduct an investigation, unless the CIG or the agency inspector general determines, within 30 days after receiving the allegations from the complainant, that such investigation is unnecessary.




Determination factors Review period Factors Used to Consider an

Investigation Unnecessary Subsequent Procedures




Factors Used To Consider An Investigation Unnecessary:

The gravity of the disclosed information compared to the time and expense of an investigation.

The potential for an investigation to yield recommendations that will make state government more efficient and effective.

The benefit to state government to have a final report on the disclosed information.


Factors Used To Consider An Investigation Factors Used To Consider An Investigation

Unnecessary (Cont.):Unnecessary (Cont.):

Whether the alleged whistle-blower Whether the alleged whistle-blower information primarily concerns personnel information primarily concerns personnel practices that may be investigated under practices that may be investigated under chapter 110 (i.e., sexual harassment, chapter 110 (i.e., sexual harassment, affirmative action/EEO).affirmative action/EEO).

Whether another agency may be conducting Whether another agency may be conducting an investigation and whether any investigation an investigation and whether any investigation under this section could be duplicative. under this section could be duplicative.

The time that has elapsed between the alleged The time that has elapsed between the alleged event and the disclosure of the information. event and the disclosure of the information.


Complaint Investigative Procedures

Subsequent ProceduresSubsequent Procedures

If the CIG or agency inspector general determines If the CIG or agency inspector general determines that an investigation is not necessary, the CIG or that an investigation is not necessary, the CIG or agency inspector general making such agency inspector general making such determination shall: determination shall:

Copy and return, upon request of the complainant, any Copy and return, upon request of the complainant, any documents and other materials provided by the documents and other materials provided by the individual who made the disclosure.individual who made the disclosure.

Inform the state agency head in writing that the Inform the state agency head in writing that the investigation is not necessary and the individual who investigation is not necessary and the individual who made the disclosure of the specific reasons why an made the disclosure of the specific reasons why an investigation is not necessary and why the disclosure investigation is not necessary and why the disclosure will not be further acted on under this section.will not be further acted on under this section.


Complaint Investigative Procedures





Investigative Guidelines Investigation closure process


Investigative Guidelines

The agency inspector general shall:

Conduct an investigation with respect to the information and any related matters.

Submit to the complainant and the CIG, within 60 days after the date on which a determination is made, a final report.

The complainant shall be advised in writing that they may submit 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. Main sections of the Whistle-

blower statute


Investigative Guidelines – (cont)Investigative Guidelines – (cont)

Final reports required under this section must be Final reports required under this section must be reviewed and signed by the person responsible reviewed and signed by the person responsible for conducting the investigation (agency for conducting the investigation (agency inspector general, agency head, or CIG). inspector general, agency head, or CIG). Extensions made in writing may be granted by Extensions made in writing may be granted by the CIG for good cause shown. the CIG for good cause shown.

If an investigation under this section produces If an investigation under this section produces evidence of a criminal violation, the report shall evidence of a criminal violation, the report shall not be transmitted to the complainant, and the not be transmitted to the complainant, and the agency head or agency inspector general shall agency head or agency inspector general shall notify the CIG and the Florida Department of Law notify the CIG and the Florida Department of Law EnforcementEnforcement. .







Investigative guidelines Investigation Closure Process


Investigation Closure Process Upon receiving a final report, the CIG shall

review the report and determine whether the report contains the required information. If the report does not contain the information required, the CIG shall determine why and note the reasons on an addendum to the final report.

The CIG shall transmit any final report under this section, any comments provided by the complainant, and any appropriate comments or recommendations by the CIG to the Governor, to the Legislative Auditing Committee, to the investigating agency, and to the Chief Financial Officer.



OverviewOverview




Main sections of the Whistle-blower’s Main sections of the Whistle-blower’s

StatuteStatute



Complaint Evaluation Complaint Evaluation Protocol (CIG)Protocol (CIG)

When the CIG’s Office receives a complaint When the CIG’s Office receives a complaint that possibly merits whistle-blower that possibly merits whistle-blower designation, the CIG:designation, the CIG:

Refers the complaint to the Agency IG and Refers the complaint to the Agency IG and

requests:requests: A review of the complaintA review of the complaint An interview of the complainant as necessaryAn interview of the complainant as necessary Submission of a recommendation as to whether the Submission of a recommendation as to whether the

complaint meets whistle-blower criteria complaint meets whistle-blower criteria Conducts an independent assessmentConducts an independent assessment Makes the final determinationMakes the final determination Notifies the complainant (with a copy to the Notifies the complainant (with a copy to the

Agency IG)Agency IG)Complaint Evaluation

Protocol

Complaint Evaluation Complaint Evaluation Protocol (CIG)Protocol (CIG)

When the Agency IG’s Office receives a When the Agency IG’s Office receives a complaint that possibly merits whistle-complaint that possibly merits whistle-blower designation, the Agency IG: blower designation, the Agency IG:

Reviews the complaintReviews the complaint

Interviews the complainant as Interviews the complainant as necessarynecessary

Completes the Whistle-blower Completes the Whistle-blower complaint determination formcomplaint determination form

Submits the determination form to Submits the determination form to the CIG the CIG

Complaint Evaluation Protocol

Law EnforcementLaw Enforcement

If an investigation under this If an investigation under this section produces evidence of a section produces evidence of a criminal violation, the report criminal violation, the report shall not be transmitted to the shall not be transmitted to the complainant and the complainant and the Florida Florida Department of Law Department of Law EnforcementEnforcement shall be notified. shall be notified.

OverviewOverview




Main sections of the Whistle-blower’s Main sections of the Whistle-blower’s

StatuteStatute



ReceiptOf

Complaint

CIG completes“independent” review,

makes final Whistle-blower determination

(completes form)

WB YES

Send Letter, copy and return documents

WebHotlineMailCIGFCHR

Whistle-blower Work Flow by IG

Notify the FCHR if the complaint involves allegations of retaliation

Complaint Review, completion of WB

determination form, forward to CIG

With

in 2

0

days

Whistle-blower Process Flow

WB NO

Next Slide

Will CIG/AIGinvestigate a whistle-blower

complaint?

With

in 1

0 (a

dditio

nal) d

ays

No

6. The time that has elapsed between the alleged event and the disclosure of the information.

YES on Whistle-blower and NO on Investigate

1. The gravity of the disclosed information compared to the time and expense of an investigation.

2. The potential for an investigation to yield recommendations that will make state government more efficient and effective.

3. The benefit to state government to have a final report on the disclosed information.

4. Whether the alleged whistle-blower information primarily concerns personnel practices that may be investigated under chapter 110.

5. Whether another agency may be conducting an investigation and whether any investigation under this section could be duplicative.

Complainant Letter(No investigation)


YES on Whistle-blower and YES on Investigate

Will CIG/AIGinvestigate a whistle-blower

complaint?

Complainant Letter(investigation

underway)

Investigate(60 day maximum)

see note A

Issue report tocomplainant for

comments(20 day max)see note B

YES

AIG/CIG will review comments

Report released to statutorily mandatedentities; case closed

Determine/takeadditional

steps

Close Yes Close No

NOTE AIf an extension is needed, a written request must be submitted to CIG with good cause shown.s 112.3189(10)

NOTE B

If AIG does investigation, the AIG (agency head) submits the report to CIG and complainant, informing complainant that within 20 days they may submit comments to CIG and AIG.

Report is a

ctive a

nd

confidentia

l


Conclusion:Conclusion:

Chief Inspector General ResponsibilitiesChief Inspector General Responsibilities



Main sections of the Whistle-blower Main sections of the Whistle-blower

StatuteStatute



Whistle-blower BrochureWhistle-blower Brochure

www.flgov.com/ig/pdfs/wbbrochure.pdf

QUESTIONS ? ? ?QUESTIONS ? ? ?

THANK YOU FOR PARTICIPATING

PRESENTED BY:

DAWN CASE & SHERYL STECKLER

2008

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Complaint Determinations The Whistle-blower Act Enhancing Public Trust in Government.

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