BROWARD OFFICE OFTHE INSPECTOR GENERAL

MEMORANDUM

To: Honorable Philip Shailer, Chair, and Members, Inspector General Selection-Oversight Committee

From: John W. Scott, Inspector General /)t6 Date: October 9, 2014 LJ' ( Subject: Broward OIG Awarded Florida Accreditation Status

By way ofthis memorandum, I am pleased to inform you that on October 8, 2014, the Broward Office of the Inspector General (OIG) was awarded accreditation status by the Commission for Florida Law Enforcement Accreditation (CF A). Established in 1993 by Florida statute, the CF A formulates standards, oversees an accreditation program, and awards accreditation status to compliant Florida law enforcement agencies. The CF A is nationally recognized for initiating the first state Inspectors General accreditation program in 2009.

From its inception, the OIG was developed with the goal of achieving accreditation status. We recognized that attaining this status would significantly enhance the quality of our investigations, as well as the credibility and professionalism ofthe agency. Becoming an accredited agency required a commitment to developing and adhering to comprehensive written directives that comply with more than 40 CFA standards for offices oflnspectors General. The OIG began the accreditation process in March 2013 after applying to the CFA for consideration for eligibility. In August 2014, an assessment team from the CF A conducted an on-site review of all aspects of our policies and procedures, management, and operations.

On August 28, 2014, the CF A assessment team issued its assessment report, which is attached as Appendix A. The report appraised the OIG's performance as "flawless." In support of its findings, the assessment team stated the "Broward OIG operates in a professional and well trained manner, a model of efficiency and organization that is reflective of both its leadership and members .... The assessment team observed a unit that has dedicated itself to upholding the highest professional investigative standards and has demonstrated an extensive aptitude and attention to detail."

On October 8, 2014, the CF A Commission unanimously voted to grant the OIG accreditation status. This initial accreditation is valid for three years, after which time the 010 will be reviewed for reaccreditation status. We are committed to maintaining compliance with the accreditation standards, so that we may better serve the residents of Broward County.

Attachment

John W. Scolt , Inspector General

One North University Drive, Suite Il l • Plantat ion, Florida 33324 • (954) 357-7873 • Fax (954) 357-7857

www.browardig. org • (954) 357-T IPS

APPENDIX A

To: Commission for Florida Law Enforcement Accreditation

From: Senior Investigator Mark Kagy, Team Leader Florida Department of Transportation, Office of Inspector General

Date: August 28, 2014

Re: Full Compliance On-Site Assessment Report Broward Office of Inspector General Standards Manual Version: 1.0.08

A. Date of Onsite Assessment: August 13, 2014

Key Agency Personnel:

Inspector General: John W. Scott Accreditation Manager: Assistant Inspector General Dylan Hughes

B. Assessment Team:

Team Leader: Senior Investigator Mark Kagy (MK) Florida Department of Transportation Office of Inspector General 605 Suwannee Street, Mail Station 44 Tallahassee, FL 32399 (850) 410-5856 Mark.Kagy@dot.state.fl.us

Team Member Investigations Manager Erin Romeiser (ER) Florida Office of Financial Regulation Office of Inspector General 200 East Gaines Street Tallahassee, FL 32399 (850) 410-9674 Erin. Romeiser@flofr.com

C. Standards Summary Tally:

Total Number of Standards

Number of Standards Not Applicable

(By Function)

Number of Standards Waived

Number of Applicable Standards in Compliance

Percent of Applicable Standards in Compliance

44 3 0 41 100%

Broward County Final Assessment Report Office of Inspector General Page 2 of 8

D. Agency Profile:

The Broward Office of the Inspector General (OIG) is a Criminal Justice Agency created and established by the Broward County Board of County Commissioners in response to a Charter Amendment placed on the ballot and affirmed by the voters in November 201 0. As a Charter agency the OIG's purpose, authority and responsibil ities are codified in Section 12.01 of the Charter of Broward County. The Charter dictates the organization and administration of the OIG shall be independent to assure no interference or influence external to the OIG affects its objectivity. The Broward OIG is led by Inspector General John. W. Scott.

Broward OIG functions as an independent watchdog for over 1. 7 million residents of Broward County. The OIG's authority encompasses county and municipal budgets totaling approximately $8.5 bill ion, more than 25,000 employees, and over 450 separate divisions and departments of government. In addition, Broward OIG has oversight responsibility for 17 4 elected officials including county commissioners, mayors, vice mayors, city commissioners, and town council members, as well as more than 47,000 registered vendors who provide goods or services to the county and municipalities.

Broward OIG has the authority to investigate violations of state and federal statutes and codes, county and municipal ordinances and codes, and conduct involving fraud, corruption and abuse. As part of an investigation the OIG may audit any program, contract or operations under its jurisdiction. The reports of investigation issued by the OIG provide and promote greater transparency in government for the residents of Broward County. The OIG is also charged with the responsibility to enforce the Code of Ethics for Elected Officials, which was made applicable to all Broward elected officials in January 2012.

Broward OIG has three dedicated investigative units, which were recently augmented by an Audit Manager, that work together to fulfill the broad and varied jurisdiction of the Inspector General: Investigations, Contract Oversight, and Ethics. The OIG is staffed with a diverse team of 17 highly qualified individuals who bring to the organization a variety of specialties and skill sets. This team consists of the Inspector General, Deputy lnspector·General, Assistant Inspector General, General Counsel, Ethics Counsel, Special Agents, Contract Oversight Specialists, Audit Manager and administrative support professionals including an Office Manager and an Investigative Support Specialist. The Broward OIG is seeking initial accreditation status.

E. On-Site Assessment Summary:

Broward County Final Assessment Report Office of Inspector General Page 3 of 8

On July 11, 2014, Broward OIG provided the assessment team with an assessor packet for review. The packet included an itinerary and all necessary supporting documentation relative the scheduled assessment. Team Leader Kagy and Assessor Romeiser conferred in person and via telephone prior to the assessment to conduct pre-assessment team meetings. Chapter assignments, Commission philosophy and protocol were discussed.

On August 13, 2014, the assessment team met Assistant Inspector General Dylan Hughes at Broward OIG in Plantation, Florida. Assistant Inspector General Hughes assisted the team with entrance into the building and into the OIG secure area. The assessment team noted the entrance to the OIG office is staffed and controlled via electronic access. Once inside the secure area, the team was escorted through the OIG suite. The suite was clean, organized and professional in appearance. Assistant Inspector General Hughes provided a briefing regarding various resources in the room and computer access for the electronic assessment.

An entrance interview was conducted with the assessors, Inspector General John Scott, Deputy Inspector General Michael Mee, Assistant Inspector General Dylan Hughes, General Counsel Jennifer Merino, and Office Manager Monica Vidal. Inspector General Scott welcomed the assessment team and was supportive of the accreditation process.

After the entrance interview, the team was taken on a tour of the office. During the tour, assessors made multiple standards related observations and asked questions relating to standards.

After the tour of their main office, assessors returned to the work area and began the assessment which consisted of file reviews, interviews and observations as necessary. During the assessment, the team reviewed all files, interviewed multiple agency members and found no areas of concern or non-compliance issues. All individuals interviewed were engaged in the accreditation process and knowledgeable of agency policies and procedures. Key standards observed during the assessment included the overall security of the facility, records security, evidence processing and storage, and their investigative case tracking system.

Key employee interviews:

Broward County Final Assess ment Report Office of Inspector General Page 4 of 8

Inspector General John W. Scott Deputy Inspector General Michael Mee Assistant Inspector General Dylan Hughes General Counsel Jennifer Hughes Ethics Counsel Jodie Breece Office Manager Monica Vidal Audit Manager Riad Ali Special Agent Michael Auch Special Agent Gil Suarez Contract Oversight Specialist John Lord

Conclusion:

The Broward OIG assessment was concluded in a single day. The assessment team found the Broward OIG to be a professional, well trained and experienced unit with a culture of attention to detail. The policies of the Broward OIG are sound, allow for effective work flow and are compliant with standards and established principles of operation for investigative functions in an Office of Inspector General. Broward OIG is a model of efficiency and organization that is reflective of both its leadership and members.

The exit interview was conducted on the afternoon of August 13, 2014 with Team Leader Kagy, Assessor Romeiser, Inspector General John Scott, Deputy Inspector General Michael Mee, Assistant Inspector General Dylan Hughes, General Counsel Jennifer Merino, and Office Manager Monica Vidal. It was communicated that the assessment team would recommend to the Commission the Broward OIG be granted initial accredited status at the next meeting to be held in October 2014. On behalf of the Commission, Team Leader Kagy thanked all those in attendance for their cooperation and enthusiasm. Inspector General Scott was very supportive of the process in his remarks and thanked the team for their hard work and professionalism.

F. Standards Noncompliance Discussion: None.

G. Corrective Action Discussion: None.

H. Standards Verified by the Team as "Non Applicable" to the Agency:

1.08M 3.04M 3.05M

I. Standards, the Status of Which, Were Changed by Assessors: None.

J. Public Information Activities:

Broward County Final Assessment Report Office of Inspector General Page 5 of 8

J-1 Correspondence and Medial Interest: None. J-2 Follow up by Assessment Team: None.

K. Exemplary Projects: None. L. Chapter Summaries:

CHAPTER 1: ORGANIZATION AND GOVERNING PRINCIPLES (Assigned Assessor: ER)

The Broward OIG directives clearly define the purpose, authority and responsibilities of the Inspector General investigations function. The mission statement is posted on the Broward OIG website, as well as in the public entryway and in the secure area where investigative staff work. Employees have accessibility to directives via an electronic manual which is issued upon appointment and available via their computer desktop. The written directive system is concise, directives are clear and accreditation standards are met. Standard 1.08 was verified as not applicable for initial accreditation.

CHAPTER 2: PERSONNEL PRACTICES (Assigned Assessor: ER)

The Broward OIG has a directive that clearly defines the qualifications investigators and investigative teams must possess. Deputy Inspector General Michael Mee explained the Broward OIG carefully sought out and hired an experienced group of professionals with a diverse skill set to conduct investigations. Employees were informed of their job duties and signed individualized position descriptions. The written directive relating to performance evaluation and the proofs demonstrating completed employee performance evaluations addressed all elements of applicable accreditation standards.

CHAPTER 3: TRAINING (Assigned Assessor: ER)

The Broward OIG meets their training directive requirements, which include provisions to ensure employees receive a minimum of 40 hours of continuing education every two years. Observations and interviews concluded training files are in compliance with accreditation standards. Standards 3.04 and 3.05 were verified as not applicable as there are no sworn members employed at Broward OIG.

CHAPTER 4: INVESTIGATION PROCESS (Assigned Assessor: MK)

Broward OIG has procedures in place which clearly outline the process for handling complaints, conducting investigations, and securing records. Complaints

Broward County Final Assessment Report Office of Inspector General Page 6 of 8

are processed electronically and go through an extensive review process with electronic documented approvals and disposition. Case direction and management guidance are clearly outlined for complaints assigned to staff for review.

Investigative staff have constant formal and informal access to legal review of all matters including complaints, investigations, background screenings, audits and ethics reviews.

Completed investigations were reviewed and met all requirements of standards and professional criteria. Staff interviews revealed detailed knowledge of requirements related to collective bargaining agreements and law enforcement officers' rights.

Investigative files were secure and locked in file cabinets or access controlled file or evidence rooms. Evidence was secured and the facility was clean, orderly, and monitored by video and electronic security equipment. Interviews of Special Agents and Contract Oversight Specialists as well as the Audit Manager confirmed staff are well versed in directives and procedure.

CHAPTER 5: WHISTLE-BLOWERS ACT (Assigned Assessor: ER)

The Broward OIG has thorough directives to ensure proper investigations of Whistle-blower's Act allegations comply with state statute. As the Broward OIG is not a state agency, it is exempt from certain provisions of the Whistle-blower's Act. Broward OIG directives clearly define investigative actions to be taken for all whistle-blower investigations to include determination of status, the security of records and confidentiality of whistle-blower information. Broward OIG staff is familiar with the confidentiality provisions of the Whistle-blower's Act and proofs met applicable accreditation standards.

CHAPTER 6: NOTIFICATION PROCESS (Assigned Assessor: MK)

Section 20.055, Florida Statutes requires state agencies to conduct specific investigative actions for cases involving "entities contracting with the state" and "individuals substantially affected." These requirements allow for specific entities and individuals to receive and provide rebuttal to investigative findings. As Broward OIG is a county entity, it is exempt from these provisions; however, Broward OIG has developed comprehensive procedures similar to the requirements of s. 20.055, F.S. Appropriate proofs and notifications were in place for 6.01 and 6.02.

Standard 6.03 requires complaints against Inspector General Staff be reported to the "agency head" and the Chief Inspector General for agencies reporting to the

Broward County Final Assessment Report Office of Inspector General Page 7 of8

Governor. Broward OIG is a county agency and the Inspector General does not report to an agency head or the Governor. Rather, as outlined in their Charter, the Broward IG reports to an OIG Selection-Oversight Committee which is solely empowered to remove the Inspector General for cause. Broward OIG directives outline a process by which all complaints against the Inspector General will be reported to the Selection-Oversight Committee.

CHAPTER 7: CASE MANAGEMENT (Assigned Assessor: MK)

The Broward OIG uses an internally developed complaint tracking system for intake, processing, and disposition of complaints. Tight controls are utilized over case management and confidential information. Policies and procedures clearly address the process of tracking cases and proper retention of records. A random review of their investigative files indicated consistent organization with clear labeling and confirmation all required documentation is complete.

As Broward OIG is a relatively new agency currently in their third year of existence, no files have exceeded their designated retention period or been destroyed. However, clear and concise directives have been created to address the situation as time lapses. The Office Manager has demonstrated an aggressive proactive approach by preemptively developing an electronic tracking method to identify the earliest possible destruction date for all files. This foresight will ensure strict adherence to directives when files begin to reach their destruction dates in 2018, four years from the date of the assessment.

CHAPTER 8: FINAL REPORTING PROCESSES (Assigned Assessor: MK)

Broward OIG policies and procedures define and address investigative conclusions, distribution of final reports, post investigative activities, and notification of criminal allegations. A sufficient quantity of review and response documentation was provided for review. Broward OIG operations are consistent with Florida Statutes, policies, and Principles and Standards for Offices of Inspector General adopted by the Association of Inspectors General.

M. Summary and Recommendations:

The Broward OIG assessment was flawless, with no discussion of non-compliance concerns. Broward OIG operates in professional and well trained manner, a model of efficiency and organization that is reflective of both its leadership and members.

The environment of the Broward OIG is one dedicated to compliance with law, standards and the accreditation method. The policies of Broward OIG are sound, allow for effective work flow and are compliant with state statute, agency policy and

Broward County Final Assessment Report Office of Inspector General Page 8 of 8

established principles of operation for investigative functions in an Office of Inspector General.

The assessment team observed a unit that has dedicated itself to upholding the highest professional investigative standards and has demonstrated an extensive aptitude and attention to detail. The assessment team recommends the Broward County, Office of Inspector General be favorably reviewed for accredited status by the Commission for Florida Law Enforcement Accreditation at the next Commission meeting.

N. Non-Compliance Summary: None.

Mark Kagy, Assessment Team Leader Senior Investigator Florida Department of Transportation Office of Inspector General