office of executive inspector general for the agencies of ... - illinois · revised july 2008 i ....

Revised July 2008

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OFFICE OF EXECUTIVE INSPECTOR GENERAL

FOR THE AGENCIES OF THE ILLINOIS GOVERNOR (“OEIGG”)

POLICY MANUAL

100 INTRODUCTION

POLICY 100.1 (May 2, 2005) (Revised October 2008) PROCEDURES A. Promulgation B. Employee Responsibilities C. Revisions to Manual1

POLICY 100.2 (May 2, 2005) (Rev. October 2006; October 2008) Page 2 PROCEDURES A. Mandate – State Officials and Employees Ethics Act B. Authorityny C. Jurisdiction D. Organization Attachment: – Organizational Chart (July 2008) Page 4 200 MECHANICS POLICY 200.1 (May 20, 2005) (Rev. October 2008) Page 5 PROCEDURES A. Confidentiality of Ethics Training & Compliance Materials & Records B. Proprietary Information

1 The effective date, representing the most recent revisions/updates, for each policy is noted in this index. Please ensure that these dates correspond. The most updated version of the Manual can be found on the Shared Drive.

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POLICY 200.2 (May 2, 2005) (Rev. October 2006; October 2008) Page 6 PROCEDURES

A. Media Contacts

B. Freedom of Information Requests

C. Requests for Public Information

D. Requests for Information by Subpoena or Other Legal Process

E. Requests for Information or Records Made by Law Enforcement Agency or Prosecutor

F. Requests by Agency, Board or Commissions

G. Subpoenas Received Log

H. Contact with Outside Agencies

I. Auditor General Monthly Reporting

J. Reporting Attorney Misconduct

K. Release of Final Reports

300 CONFIDENTIALITY POLICY 300.1 (May 2, 2005) (Rev. December 2007; October 2008) Page 9 PROCEDURES

A. Confidentiality

B. Confidentiality Agreement

C. Violation of Policy

D. Attorney Notes

E. Drafts of OEIGG Final Reports

Attachment – FORM 300.1 A – Confidentiality Agreement (Rev. October 2008) Page 10 POLICY 300.2 (Rev. December 2007; October 2008) Page 11 PROCEDURES Use of Electronic Mail (E-mail)

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POLICY 300.3 (Rev. December 2007; October 2008) Page 13 PROCEDURES Encryption Data Storage 400 INVESTIGATION PROCEDURES POLICY 400.1 (May 2, 2005) (Rev. October 2006; October 2008) Page 14 PROCEDURES

A. The Office of Inspector General for the Agencies of the Illinois Governor (“OEIGG”) is independent of the Office of the Governor.

B. The OEIGG accepts complaints in writing and by telephone from State of Illinois

employees and the general public. C. Complaints will be evaluated. D. Complaints will not be accepted unless the complaint is within the jurisdiction of the OEIGG. E. The OEIGG may withhold the identity of sources. F. The OEIGG may redact confidential information from its documents by law. G. All staff members must submit to background checks. H. The OEIGG may hire outside contractors.

Attachment – FORM 400.1 A – Complaint Form Page 15 POLICY 400.2 (May 2, 2005) (Rev. October 2006; October 2008) Page 18 PROCEDURES

A. The OEIGG will inform the appropriate Ultimate Jurisdictional

Authority and Executive Ethics Commission of investigations that are not completed within six months.

B. The OEIGG shall disclose the opening of all investigations to the Executive Ethics Commission (while maintaining complainant confidentiality).

C. The OEIGG shall report the closing of all investigations to the Executive Ethics Commission (while maintaining complainant confidentiality).

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POLICY 400.3 (May 2, 2005) (Rev. October 2006; October 2008) Page 19 PROCEDURES Processing Complaints

A. Complaint Intake B. Initial Complaint Review Procedures C. Supervision – Open Cases D. Complaint Updates

Attachments: – FORM 400.3 A – Declination Form Page 24

– FORM 400.3 B – Referral Form Page 25 – FORM 400.3 C – Closed Form – Founded Case Page 26 – FORM 400.3 D – Unfounded Final Report Form Page 27 – FORM 400.3 E – Case worksheet Page 29 – FORM 400.3 F – Investigative Report Page 30 – FORM 400.3 G – Summary– Summary for Investigation Review Page 31 – FORM 400.3 H – Complaint Update Form Page 33 – FORM 400.3 I – Agency Response Form Page 34

Policy 400.3A (May 2, 2005) (Rev. October 2006; December 2007) Page 36 PROCEDURES State of Illinois Prisoner Complaints The OEIGG declines to investigate complaints by persons incarcerated in State of Illinois correctional facilities relating to their conditions of confinement or alleged abuses by State employees employed in correctional facilities. POLICY 400.4 (May 2, 2005) (Rev. December 2007) Page 37 PROCEDURES

Handling of Interview Notes POLICY 400.5 (May 2, 2005) (Rev. October 2008) Page 38 PROCEDURES

A. The official business of the OEIGG necessarily involves the collection of information that may be protected by state or federal law or is personal or confidential in nature.

B. To preserve the confidentiality and integrity of investigations and

other information, all staff members are required to review and sign a confidentiality agreement.

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C. The OEIGG may not disclose the identity of the complainant or source

of the allegation without consent, unless required by law to do so.

D. Procedure for Preserving Anonymity of Known Sources E. Disclosure of Information or Documents

Attachment – FORM 400.5 A – Confidential Source Registration Form Page 41 POLICY 400.6 (May 2, 2005) (Rev. December 2007; October 2008) Page 43 PROCEDURES

A. All OEIGG requests for production of or viewing of documents or physical objects under agency control shall be made in a writing that advises the agency of its right to appeal to the Executive Ethics Commission, which will determine the appeal within five business days.

B. The Executive Ethics Commission may waive requirement for a

written request for documents or other physical evidence. C. If evidence is seized under OEIGG subpoena, and if at the time of

seizure the OEIGG is notified of an agency appeal, the OEIGG will hold the evidence under seal pending the determination of the Commission. If the OEIGG is not notified of appeal at seizure, this Office will follow its usual procedures and will begin examination of the evidence upon arrival at the OEIGG offices.

D. All personnel records obtained during an investigation shall be

safeguarded and maintained in strictest confidence. Attachments: – FORM 400.6 A – Request for Records Letter Page 46 – FORM 400.6 B – Request for Records/Evidence Page 49 – FORM 400.6 C – Request for Electronic Data 0 – FORM 400.6 D – Request for Telephone Records Page 51

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POLICY 400.6A (May 2, 2005) (Rev. October 2006; October 2008) Page 52 SUBPOENA PROCEDURES Attachments: – FORM 400.6A 1 – Request for Subpoena Duces Tecum/Subpoena Page 54 – FORM 400.6A 2 – Subpoena Non-Disclosure Letter Page 55 – FORM 400.6A 3 – Subpoena Form Page 56 – FORM 400.6A 4 – Certificate of Service Form Page 57 – FORM 400.6A 5 – Subpoena Duces Tecum Form Page 58 – FORM 400.6A 6 – Fax Cover Page – Chicago Office Page 59 – FORM 400.6A 7 – Fax Cover Page – Springfield Office 0 POLICY 400.7 (May 2, 2005) (Rev. October 2008) Page 61 In appropriate circumstances and in furtherance of an investigation, the OEIGG may utilize audio and/or video recording of certain events or conversations that do not require court authorization. It is OEIGG policy to engage in such recording strictly in accordance with state and federal law and regulations, and to establish safeguards to ensure that such recording is carried out only in appropriate circumstances and in accordance with such law and regulations. PROCEDURES

A. State employee subjects facing discipline B. Vendors/Contractor Subjects - When Audio or Video Recording May

be Used C. Consent Required for Audio Recording of OEIGG Interviews

D. Recordings of OEIGG Employees

E. When Audio or Video Recording May be Used

F. Authorization for Audio or Video Recording

G. Procedures for Audio or Video Recording

H. Violations

I. Copies of recordings

Attachments: – FORM 400.7 A – Administrative Rights Form - State Employee Page 65 – FORM 400.7 B – Administrative Rights Form - Vendor Page 66 – FORM 400.7 C – Consent to Record Interview Page 67 – FORM 400.7 D – Application For Recording Authorization Page 68

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POLICY 400.8 (May 2, 2005) (Rev. October 2006; October 2008) Page 69 PROCEDURES

Vehicle Use

POLICY 400.9 (May 2, 2005) (Rev. October 2006; October 2008) 0 PROCEDURES INVESTIGATORY INTERVIEWS I. Preliminary Information Page 70

A. Purpose of Interview B. Determining the Type of Interview

II. Conducting the Interview Page 75

A. Procedure B. Refusal to Cooperate C. Representation of Employees, Vendors and Contractors at Interviews

III. Written Statements Page 81

A. Definition B. When Appropriate C. Procedure D. Suggestions

Attachments: – FORM 400.9 A – Written Statement Form Page 83 – FORM 400.9 B – Miranda Warning Form Page 85 POLICY 400.10 (May 2, 2005) (Rev. December 2007; October 2008) Page 86 PROCEDURES I. OEIGG Investigative Case File Management Page 86 II. Closing an OEIGG Investigative Case File Page 89

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POLICY 400.11 (May 2, 2005) (Rev. October 2006; October 2008) Page 90 PROCEDURES OEIGG Reports

A. Final Reports B. Agency Alert Reports C. Monthly Investigation Aging Report for Executive Ethics Commission D. Monthly Ultimate Jurisdictional Authority Investigation Aging Report for Executive Ethics Commission E. Monthly College/University Investigation Aging Report F. Monthly Investigations Opened Report for Executive Ethics Commission G. Monthly Investigations Closed Report for Executive Ethics Commission H. Quarterly Report for Executive Ethics Commission I. Annual Report

500 SECURITY POLICY 500.1 (May 2, 2005) (Rev. October 2006; October 2008) Page 91 PROCEDURES Filing and Security of Case Folders POLICY 500.2 (May 2, 2005) (Rev. October 2006; October 2008) Page 92 PROCEDURES Maintain a Confidential Office Atmosphere POLICY 500.3 (May 2, 2005) (Rev. October 2008) Page 93 PROCEDURES

A. Receipt of Mail and Deliveries B. Logging Mail, Deliveries and Facsimiles C. Delivery of Legal Papers D. Outgoing Mail

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POLICY 500.4 (May 2, 2005) (Rev. October 2008) 4 PROCEDURES SECURE STORAGE OF EVIDENCE I. Custody of Evidence Page 95 II. Upon Seizure Page 95 III. Following Seizure Page 96 IV. Evidence Seized Under Subpoena Page 97 V. All Evidence Page 97 VI. Upon Return of property to Agency Page 98 VII When Seal is to be Broken Page 98 Attachments: – FORM 500.4 A – Document/Property Receipt Page 99 – FORM 500.4 B – Evidence Receipt and Inventory Record Page 100 – FORM 500.4 C – Audio Evidence – Interoffice Transfer of Custody Page 102 600 MISECLLANEOUS FORMS POLICY 600 (October 2008) Page 103 Attachment– FORM 600 A – Receipt of Policy Manual Page 103 APPENDIX A 2 Ill. Admin. Code 1620.300 Page 104

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POLICY 100.1 In order to help discharge the responsibilities set forth in the State Officials and Employees Ethics Act, 5 ILCS 430/1-1 et seq., the Office of Executive Inspector General (“OEIGG”) has established certain operational policies and procedures that are contained in this Policy and Procedure Manual. PROCEDURES A. Promulgation

This manual (combined with the OEIGG Personnel Manual) is the official compilation of policies and procedures of the OEIGG and sets forth standards and controls to which all OEIGG staff will adhere in the discharge of their duties. Except as otherwise provided, the Executive Inspector General shall have the responsibility and authority to promulgate all policies and procedures of the office. All policies and procedures may be changed, or new policies or procedures adopted, at any time without notice. This manual is not a contract of employment. Subject to applicable law, either the OEIGG or the employee, absent a written contract of employment, may terminate the employment relationship at anytime.

B. Employee Responsibilities

All OEIGG staff will be provided a copy of this manual and additions or modifications to the manual as they are promulgated. It is the responsibility of the staff to become familiar with all of the policies and procedures that comprise the manual. This manual represents the standards governing the conduct of all employees of the OEIGG. Employees who violate the policies and procedures contained in the manual, as well as supervisors who allow such violations, may be subject to formal disciplinary action, up to and including termination.

C. Revisions to Manual

This manual supersedes all prior OEIGG manuals, and any policies contained herein supersede prior versions or publications of those policies. Revisions and additions to this manual will be made as necessary. At least once each year, a committee appointed by the Executive Inspector General will convene to undertake a review of existing policies and procedures to determine if modifications are needed. The committee will forward recommendations for revisions or additions to the Executive Inspector General for review and possible promulgation.

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POLICY 100.2 The OEIGG, as established by the State Officials and Employees Ethics Act (“Ethics Act”) (5 ILCS 430, et seq.), and Administrative Order Number 6 of the Illinois Governor (December 2003), has two main functions: to investigate fraud and abuse in State government and to oversee ethics training programs for State employees. The goal of this Office is to enhance and promote ethics, integrity, honesty, efficiency and accountability in Illinois State government. PROCEDURES A. Mandate

The Ethics Act and Administrative Order No. 6 established the OEIGG with powers to investigate allegations of fraud, waste, abuse, mismanagement, misconduct, nonfeasance, misfeasance, malfeasance, or other violations of related laws and regulations in the agencies under its jurisdiction. See 5 ILCS 430/20-10(c) and Administrative Order No. 6 of the Illinois Governor (December 2003).

B. Authority Pursuant to Illinois statute and Administrative Order, the OEIGG has the power to:

1. Receive and investigate complaints against officers and employees of State Agencies under its jurisdiction and vendors and others doing business with the State;

2. Oversee ethics training for State employees under its jurisdiction; 3. Require cooperation of State employees, vendors and contractors;

4. Issue subpoenas for appearance and/or documents. 5. Enter upon the premises of any Agency at any time, without prior announcement,

if necessary;

6. Question any officer or employee serving in, and any other person transacting business with, the Agency;

7. Inspect and copy any books, records, or papers in the possession of the Agency,

including those made confidential by law;

8. Compel any employee in an Agency to truthfully answer questions concerning any matter related to the performance of his or her official duties; and

9. Determine the appropriate means of investigations permitted by law.

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C. Jurisdiction

The OEIGG for the Agencies of the Illinois Governor has jurisdiction over the Governor, the Lieutenant Governor, Boards and Commissions, all officers and employees of and vendors and others doing business with Executive Branch State Agencies under the jurisdiction of the Executive Ethics Commission and not within the jurisdiction of the Attorney General, the Secretary of State, the Comptroller, or the Treasurer, including the State public universities and certain community college districts. See 5 ILCS 430/20-10(c); 5 ILCS 430/1-5.

D. Organization The OEIGG operates offices in Chicago and Springfield. The OEIGG’s main office is

located in Chicago. (See attached copy of the OEIGG’s organizational chart.)

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POLICY 200.1 The OEIGG oversees the statewide annual Ethics Training requirement found in the State Officials and Employees Ethics Act for agencies under its jurisdiction. In certain instances, the OEIGG may employ a vendor to provide certain training and compliance tracking services to accomplish its statutory obligations. It is the duty of all OEIGG staff to exercise appropriate care at all times to ensure that employee-related information that is compiled for the purpose of its oversight of ethics training or is produced as a result thereof is treated as confidential. OEIGG staff must make every effort to ensure that this information is fully protected and that their communications do not improperly or inappropriately reveal confidential information to unauthorized individuals or entities. PROCEDURES A. Confidentiality

OEIGG employees may encounter confidential information related to the annual ethics-training requirement as a part of their employment, including during an official investigation. Disclosure of this confidential ethics training information is to be limited to those State of Illinois employees who are directly engaged in administration of ethics training, State of Illinois employees with a “need to know” this information as a consequence of its relevance to an OEIGG investigation and employees of any OEIGG ethics training services vendor who are directly engaged in the support of the OEIGG’s ethics training program. Improper disclosure of such information by an OEIGG employee could result in discipline, up to and including termination.

B. Proprietary Information

All ethics training materials, as well as training methods, procedures, policies or guidelines developed by the OEIGG or by any ethics training vendor of the OEIGG are proprietary information and are not to be shared with or otherwise disclosed to any non-OEIGG employee without the express prior consent of the Director of Ethics Training and Compliance. In certain instances these materials may also be protected by copyright. The use of training materials, policies and procedures is limited to the purpose of training State employees, appointees or officials; and they shall not be shared with or otherwise disclosed to the general public and/or the press except with the prior consent of the EIG. Unauthorized disclosure of training materials, policies, procedures or guidelines could result in discipline, up to and including termination.

C. Maintenance of Employee Compliance Records Annual compliance reports submitted by state agencies under its jurisdiction to the OEIGG, indicating the training compliance status of employees, shall be maintained in paper and/or electronic format for a period of not less than three years subsequent to the calendar year to which they apply.

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POLICY 200.2 Public disclosure of information gathered or maintained by the OEIGG shall be in accordance with the requirements of Illinois law, federal law and regulations, and the procedures set forth below. PROCEDURES A. Media Contacts

1. All requests for information from the news media must be immediately referred to the Executive Inspector General, the First Deputy Inspector General or the Public Information Officer.

2. Other than the Executive Inspector General, the First Deputy Inspector General,

or the Public Information Officer, all staff members are prohibited from contact with the media regarding any matter relating to the OEIGG unless authorized by the Executive Inspector General or the First Deputy Inspector General.

B. Freedom of Information Requests

Freedom of Information Act (“FOIA”) requests must be referred to the General Counsel of the OEIGG who will respond to each request in accordance with the OEIGG’s FOIA policy. See 5 ILCS 430/20-90 – 20-95. The General Counsel shall be the FOIA Officer.

C. Requests for Public Information

Staff should direct public inquiries for copies of OEIGG press releases, copies of the OEIGG public brochures or any other requests for information to the Public Information Officer. As appropriate, the Public Information Officer may make copies of such materials available for open distribution in all OEIGG offices.

D. Requests for Information by Subpoena or Other Legal Process

Any OEIGG employee receiving a subpoena, court order, or other legal process or document seeking testimony or OEIGG records must immediately contact the General Counsel.

E. Requests for Information or Records Made by a Law Enforcement Agency or Prosecutor

1. Any request for information relating to an OEIGG investigation made by a law enforcement agency or prosecuting authority shall be handled by the First Deputy Inspector General, General Counsel, or a Deputy Inspector General.

2. Unless otherwise directed by the First Deputy Inspector General, General

Counsel, or Deputy Inspector General, a letter documenting the transfer of

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information shall accompany the materials sent. The letter shall include language notifying the agency of the confidential nature of the OEIGG’s files. A copy of the letter shall be included in the case file.

F. Requests by a State Agency

When an affected Illinois agency requests an OEIGG case file, documents or evidence for use in a disciplinary proceeding or for any other matter, the request shall be handled by the First Deputy Inspector General, General Counsel or a Deputy Inspector General. Before the release of any documents or information, the First Deputy Inspector General, General Counsel or Deputy Inspector General shall follow the procedure in paragraph E 2, above.

G. Subpoenas Received Log

A log of subpoenas received by the OEIGG, as well as the responses by the OEIGG, shall be maintained by the General Counsel. Accordingly, any subpoenas received by the OEIGG should be forwarded to the General Counsel.

H. Contact with Criminal Justice/Law Enforcement Agencies

During the course of an investigation, an investigator shall not contact any law enforcement body, including a prosecutor, without the express consent of the Executive Inspector General or his or her designee.

I. Auditor General Quarterly Reporting

On a quarterly basis, the First Deputy Inspector General will alert the Auditor General of any matters involving a State agency where one or more of the following criteria are present in a case of misconduct:

i) involves $10,000 or more; ii) involves senior management; or iii) involves key personnel in internal control positions.

J. Reporting Attorney Misconduct If an OEIGG investigation reveals misconduct by an Illinois-licensed attorney, there may

be an obligation to report such misconduct to the Attorney Registration & Disciplinary Commission (“ARDC”). If during the legal review process an OEIGG attorney assigned to the case concludes that an attorney may have committed misconduct, the OEIGG attorney will consult with his or her supervisor, the First Deputy Inspector General and General Counsel on the potential duty to report the misconduct to the ARDC.

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K. Release of Final Reports

Investigations, and any information related to their progress or final disposition, are confidential and not subject to Illinois FOIA. See 5 ILCS 430/20-90; 20-95. The First Deputy Inspector General in consultation with the Executive Inspector General shall coordinate the release and distribution of OEIGG Final Reports.

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POLICY 300.1 It is the duty of all OEIGG staff to exercise appropriate care at all times to ensure that confidential information gathered during employment or as part of an OEIGG investigation is fully protected and that their communications do not improperly or inappropriately reveal confidential information to unauthorized individuals or entities. PROCEDURES A. Confidentiality

The official business of the OEIGG necessarily involves the receipt and collection of information that may be protected by state or federal law, or is personal or confidential in nature, legally privileged, or otherwise sensitive. Staff are strictly prohibited from discussing or otherwise divulging investigative or other confidential information gathered or maintained by this office, unless such activity is necessary to carry out their official duties. Unless otherwise authorized by another section in this manual, the Executive Inspector General or First Deputy Inspector General must be contacted before documents may be disclosed.

B. Confidentiality Agreement

1. In order to preserve confidentiality and the integrity of investigations and other information gathered or maintained by the OEIGG, all OEIGG employees are required to sign a Confidentiality Agreement. (See FORM 300.1 A.) Designees of the Illinois State Police or other State agencies assigned to the OEIGG, if any, shall sign a modified confidentiality agreement, which addresses their unique relationship to the OEIGG.

2. All questions regarding confidentiality should be addressed to a supervisor.

C. A violation of this policy may constitute a violation of State and/or federal law and may subject the employee to disciplinary action up to and including discharge.

D. Attorney Notes

Any notes, memos, charts, etc., that are not noted in the OEIGG Final Report should be destroyed by shredding and/or electronic file erasure upon the completion of legal review and before the Report is sent outside the OEIGG. All draft documents shall be destroyed by shredding and/or electronic file erasure before the Report is sent outside the OEIGG.

E. Drafts of OEIGG Final Reports All rough drafts of OEIGG Final Reports including hard copy and electronic versions shall be destroyed by shredding and/or electronic file erasure when the OEIGG Final Report is sent outside the OEIGG.

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Confidentiality Agreement (FORM 300.1 A) It is the policy of the Office of Executive Inspector General for the Agencies of the Illinois Governor (“OEIGG”) to protect the confidentiality of information it receives including information about its investigations, confidential informants, whistleblowers, and other sensitive information. As a part of your employment at the OEIGG, you may have access to, among other things, OEIGG electronic data, investigator files, confidential State databases, and other related information which information is subject to the following terms and conditions:

I, _____________________, understand that the information that I encounter during my employment at the OEIGG is confidential. I also understand that disclosure of such information to any individual outside of the OEIGG could compromise an investigation. I agree to respect the confidentiality of individuals to whose records and identity I have access. If I have a question regarding the confidentiality of a particular piece of information, I will ask the Executive Inspector General or his or her Deputy for advice. With regard to electronic data, I, _____________________, also understand that all such information is confidential, including the fact that an investigation has been opened. Access or use of electronic data is restricted to OEIGG business and may not be used for other purposes or to satisfy personal curiosity. I agree to follow the policies and procedures established by the OEIGG for the use of the electronic data. Failure to do so may result in the revocation of my ability to access the data, and/or disciplinary action, including termination of my employment. I agree, by my signature below, that, absent authority by law or the express consent of the Executive Inspector General, I will never disclose the existence of an investigation, its progress, its resolution, the OEIGG recommendation, or any information about an investigation to any party other than the employees of the Office of Executive Inspector General. I understand that even should the investigation become public, I am not permitted to discuss the investigation with anyone absent the express consent of the Executive Inspector General. I also understand that upon termination of my employment with the Office of Executive Inspector General I continue to be bound by this agreement and will not discuss even the existence of an investigation with anyone. I understand that my failure to abide by this agreement may result in my immediate termination or other appropriate disciplinary action. ________________________________ ______________ Employee Signature Date

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POLICY 300.2 It is the duty of all OEIGG employees to exercise appropriate care at all times to ensure that confidential information acquired during the course of employment or as a part of an OEIGG investigation is fully protected and that their electronic communications do not improperly or inappropriately reveal confidential information to unauthorized individuals or entities outside the OEIGG. Exceptions may be granted on an as-needed basis with the express consent of the Executive Inspector General or the First Deputy Inspector General. PROCEDURES Use of Electronic Mail (E-mail)

1. Prohibitions

Every employee of the OEIGG shall ensure that the names of any complainant, source of a complaint, subject about whom the complaint was made, or any witness do not appear in the body or subject line of any e-mail written by an OEIGG employee or sent from an OEIGG computer to someone outside the OEIGG. E-mail sent outside the OEIGG shall not, under any circumstances, be used to discuss the substance of any OEIGG investigation or any matter affecting OEIGG strategy related to a specific investigation. E-mail may, however, identify specific matters by a subject’s initials and/or the OEIGG case number.

2. Permissible Use to Recipients Outside the OEIGG

a. E-mail sent outside the OEIGG may be used to arrange meetings,

exchange proposed policies, and other routine matters related to the functions of the OEIGG. Case numbers may be used to refer to specified cases, but in no circumstances may names be used in an e-mail.

b. E-mail may also be used by the Executive Inspector General, First Deputy

Inspector General, General Counsel, Deputy Inspectors General and the Director of Investigations (or their designees) to request certain information from other State agencies or other entities related to investigations. The request may require the use of a person’s name. However, such e-mails shall not identify by name the status of the individual as a witness, subject, or target. Individuals drafting such e-mails shall write “PRIVILEGED AND CONFIDENTIAL” in the subject line of the e-mail. This restriction does not apply to record requests from the OEIGG to CMS, Comptroller, Secretary of State or to communications between the OEIGG and the Office of Attorney General.

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3. Permissible Use Between OEIGG Employees

When OEIGG employees are e-mailing each other to discuss an investigation and the e-mail contains confidential information, such as the identity of the complainant, name of the subject, or details of the case, such e-mails should be encrypted. If an OEIGG employee is unsure as to whether an e-mail contains confidential information, he or she should err on the side of caution and encrypt the e-mail.

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POLICY 300.3 It is the duty of all OEIGG employees to exercise appropriate care at all times to ensure that confidential data acquired during the course of employment or as part of an investigation is encrypted on the server. Exceptions may be granted on an as-needed basis with the express consent of the Executive Inspector General or designee. Files containing case-related or confidential data or information (HR records, etc) are never to be stored on networked desktop or laptop hard drives. PROCDURES Encrypting Data Stored on OEIGG Servers (Chicago and Springfield)

Every employee of the OEIGG shall ensure that files that contain confidential case-related data on the server are encrypted to secure the contents. OEIGG employees are responsible for conducting checks of their network folder periodically to ensure that files containing confidential information are encrypted.

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POLICY 400.1 The OEIGG shall conduct all investigations in a professional and thorough manner and shall promptly conclude all cases. Investigations will be properly documented and may result in written reports of findings. PROCEDURES

A. The OEIGG shall be independent of the Office of the Governor or any other entity. B. The OEIGG accepts complaints in writing from State of Illinois employees and the general

public. The OEIGG maintains a toll-free hotline for complaints (866-814-1113) (TTY 888-261-2734). An individual may call the OEIGG to request that a complaint form (FORM 400.1 A) be mailed or faxed to him or her in order to file a complaint. The OEIGG also maintains a website (http://inspectorgeneral.illinois.gov) from which a complaint form may be printed and then mailed or faxed (312-814-5479) to the OEIGG. Anyone wishing to file a complaint with the office may send the completed complaint form to: Office of Executive Inspector General for the Agencies of the Illinois Governor, 32 West Randolph Street, Suite 1900, Chicago, Illinois 60601.

C. Complaints will be evaluated to determine if they suggest possible violations of law, rule, or

regulation related to, among other things, waste, fraud, abuse or corruption by an officer or employee of, or vendor or others doing business with State agencies under the OEIGG’s jurisdiction including, but not limited to, agencies, boards, commissions, authorities, as well as the State public universities and certain community college districts.

D. Complaints will not be accepted unless the complaint is within the jurisdiction of the OEIGG as

outlined in paragraph C, above. Ordinarily, complaints based on matters that are or have been the subject of a criminal and/or civil judicial or administrative proceedings, including the union grievance process, will not be investigated. However, exceptions may be made in extraordinary cases.

E. The OEIGG may withhold the identity of sources of information by identifying the person as a

“Confidential Source” in all reports related to the investigation. See Policy 400.5 D. F. The OEIGG must redact confidential information from its documents or case files as required by

law. G. All staff members must submit to background checks that include criminal history and credit

checks. Any derogatory information resulting from the background check shall be included in the personnel file if the person is hired.

H. The OEIGG may hire outside contractors or interns. These individuals must sign a

confidentiality agreement. See FORM 300.1 A.

I. Complaints against the EIG or his or her staff alleging violation of State or federal law, or 2 Ill Adm Code 1620, shall be referred to the Executive Ethics Commission when the EIG or staff could be reasonably deemed to be a wrongdoer or suspect.

http://inspectorgeneral.illinois.gov/�

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COMPLAINT FORM (FORM 400.1 A)

Please type or print clearly below. Return completed form to: Office of Executive Inspector General, Division of Investigations, 32 West Randolph Street, Suite 1900, Chicago, IL 60601. Alternatively, you may fax the form to our office at (312) 814-5479. Our toll-free hotline number is (866) 814-1113. TTY 1-888-261-2734.

Contact Information:

Name: (REQUIRED) Date: SSN:

Date of Birth:

Age:

Sex:

M

F

Address:

Street Address

City State Zip Code

Home Number: Business Number:

E-mail: Other Number:

What is your preferred method(s) of contact? Are you a State of Illinois Employee? Yes No If yes, which agency? Is your complaint related to your state employment? Yes No

Complaint Information: Is your complaint against a State of Illinois employee(s), agency, or vendor of the State? Yes No* *If NO, our office lacks the authority to review or investigate your complaint and the complaint will be returned.

If yes, which agency? Please provide as much detailed information about the individual(s) as possible Subject’s Name:

Phone:

SSN:

Date of Birth:

Approx. Age:

Sex:

M

F

Rev. July 2008 16

Address:

Street Address

City State Zip Code

Have you notified any other Federal, State or local agency of your complaint or filed a lawsuit or grievance related to these matters? Yes No

If yes, with what agency did you file a complaint? What is the complaint number? Has your complaint been resolved? Yes No If yes, briefly summarize the results: Have you previously filed a complaint with the OEIG?

Yes

No

If yes, please list any known OEIG case numbers: Is this complaint related to your previously filed OEIG complaint? Yes No May we refer your complaint to the appropriate agency if necessary? Yes* No *Please be aware that complaints relating to management issues may be referred back to the agency where you work. Once your complaint is referred, you may be contacted by that agency as part of its investigation.

If your complaint is referred, do you want your name and contact information removed?

Yes No

If the OEIGG conducts an investigation, it may forward a report to the agency with recommendations for policy/procedure changes and/or discipline. In order to implement the recommendations, the agency may need to contact you. If so, may we reveal your name and contact information to the agency?

Yes

No

Summary of your complaint including date and time of alleged incidents (please attach any available documentation in support of your complaint): Other person(s) who could be a witness to the complaint you have alleged: Name Any identifying information (DOB, SSN, Agency, Title, Telephone Number, etc.) Name Any identifying information (DOB, SSN, Agency, Title, Telephone Number, etc.)

Rev. July 2008 17

Illinois law provides that the identity of any individual providing information to an Executive Inspector General shall be kept confidential and may not be disclosed without the consent of that individual or when disclosure of the individual’s identity is otherwise required by law. 5 ILCS 430/20-90(a). Illinois law states that any person who intentionally makes to an Executive Inspector General a false report alleging misconduct is guilty of a Class A misdemeanor. 5 ILCS 430/50-5(d).

Rev. July 2008 18

POLICY 400.2 The OEIGG shall conduct all investigations in a professional and thorough manner and shall promptly conclude all cases. Investigations will be properly documented and may result in written reports of findings. Such findings will be reported to the Ultimate Jurisdictional Authority, which, where appropriate, shall mean the Governor, Lt. Governor, Public University Board of Trustees, and/or to the director, secretary or president of an affected agency. (See 5 ILCS 430/20-50.) PROCEDURES A. The OEIGG will inform the Ultimate Jurisdictional Authority for the subject’s state

agency and Executive Ethics Commission of investigations that are not completed within six months after the opening of an OEIGG complaint for investigation. The OEIGG has 30 days from the receipt of a complaint/case initiation form to decline, refer or initiate an investigation.

1. Should the OEIGG not complete the Final Report within 6 months after opening a

complaint for investigation, the Executive Inspector General shall, on the 15th day of the following month, submit a report to the Executive Ethics Commission. The report shall indicate the investigation's unique tracking number, the date the complaint was opened for investigation, a description of the general nature of the allegation, and reasons for the delay in concluding the investigation.

2. The OEIGG shall continue to report each investigation not completed within 6

months on the 15th day of each subsequent month until the investigation has been completed.

3. If an Ultimate Jurisdictional Authority is a subject of the investigation reported

under this Section, the Executive Inspector General shall inform the Executive Ethics Commission separately of this fact.

B. The OEIGG shall disclose in writing to the Executive Ethics Commission the opening of

all complaints opened for investigation. The disclosure shall identify the affected office, agency or agencies, the date the complaint was opened for investigation, and the investigation's unique tracking number. Reports on all investigations opened in a calendar month shall be submitted to the Executive Ethics Commission on or before the 15th day of the following month.

C. The OEIGG shall report the closure of all complaints opened for investigation in writing

to the Executive Ethics Commission. The disclosure shall identify the affected office, agency or agencies, the date the investigation was closed and the investigation's unique tracking number. Reports on all investigations closed in a calendar month shall be submitted to the Executive Ethics Commission on or before the 15th day of the following month. Other persons entitled to written notification of the completion of an

Rev. July 2008 19

investigation, including employees covered by certain collective bargaining agreements, shall be notified of the closing of the investigation in accordance with those agreements.

POLICY 400.3 The OEIGG shall conduct all investigations in a professional, efficient, and thorough manner and shall work to promptly conclude all cases. Investigations shall be properly documented and may result in written reports of findings. PROCEDURES Processing of Complaints A. Complaint Intake

1. The OEIGG will maintain an intake procedure, under the supervision of the First Deputy Inspector General, for processing all complaints and answering the OEIGG toll-free hotline. No investigation will be initiated until the complaint is electronically assigned a case number, unless the prior approval of the First Deputy Inspector General is obtained. Complaint information must be recorded within ten business days of the original receipt. (See FORM 400.1 A.)

2. All staff are authorized and encouraged to accept complaints. By law, the OEIGG

is prohibited from investigating a person or entity “on its own prerogative.” Should an investigator discover other misconduct during the course of an investigation, the new information must be relayed immediately to a supervisor.

3. Within ten business days of receipt of a complaint the following steps must be

completed:

a. Assign the complaint a case number. The case number is a seven-digit number that first sets forth the last two digits of the calendar year the complaint was filed followed by the numerical sequence of the complaint. In the absence of a completed case initiation form, the Executive Inspector General may create an investigation file and assign the file a unique tracking/case number.

b. Assign a category. The category describes the specific misconduct alleged

in the complaint. Where there are multiple allegations, the case type should refer to the most serious allegation or list multiple categories.

c. If a complaint is the exact duplicate of a complaint already entered into the

electronic file, the OEIGG shall close the duplicate investigation to the lower complaint number and reference the duplicate in the electronic record. Investigations and referrals that have been closed and are reopened, involving the same alleged wrongdoing by at least one of the

Rev. July 2008 20

same persons who was the subject of the original complaint, shall be identified by the same tracking number as the initial investigation.

d. To complete the processing of a complaint, prepare a complaint folder and enter the complaint information. A hard copy of the electronic entry shall be retained in the complaint folder.

e. Locate and print work history from CMS database for complainants,

subjects and others if appropriate and necessary. B. Complaint Review Procedures Within 30 calendar days of receipt of a complaint, the Director of Investigations and/or First Deputy Inspector General will take the appropriate course of action.

1. Decline. There will be no investigative activity in response to the complaint. The

Director of Investigations or designee will complete an electronic Declination Form (FORM 400.3 A) recording the recommendation and the reasons for the recommendation. A complaint may be declined for reasons including, but not limited to: statute of limitations issue, lack of jurisdiction, employee already disciplined, requested relief granted by agency prior to completion of investigation, duplicate or related complaint, complaint investigated by other agency, civil action (e.g. union grievance, court case, administrative matter), and criminal action pending. The OEIGG case file will be forwarded to the First Deputy Inspector General who will record his or her concurrence by completing the electronic form. When appropriate, a letter will be forwarded to the complainant communicating the decision. A copy of the letter shall be included in the case file.

2. Refer. The complaint will be referred, in whole or in part, to the affected agency

or another agency having jurisdiction. The Director of Investigations or designee will complete an electronic Referral Form (FORM 400.3 B) recording the recommendation and the reasons for the recommendation and agency to whom referred. The OEIGG case file will be forwarded to the First Deputy Inspector General who will record his or her concurrence, if any, by completing the electronic form. A referral letter will be prepared and sent to the appropriate agency and to the complainant. The referral letters will be included in the case file.

3. Investigate. A complaint that warrants investigation becomes an open

investigation/case. The Director of Investigations or his designee shall assign the complaint to an investigator or investigators for investigation. The Director of Investigations shall cause the electronic record to be updated to reflect the name of the assigned investigator(s) and the date of the assignment. The investigator shall receive the original complaint and its file. In certain cases, a matter may be designated a priority. Priority case files shall be designated as such in the

Rev. July 2008 21

electronic record and be immediately assigned to an investigator who will commence the investigation.

C. Supervision - Open Cases

1. Open Case Files a. All investigative activity shall be properly documented.

b. The Director of Investigations, his or her deputy, and investigative supervisors shall be responsible for the supervision of all investigative activities and will promptly notify the First Deputy Inspector General or the Executive Inspector General of significant developments in cases or other sensitive issues that may arise in the investigation of the complaint. Under the supervision of the Director of Investigations, investigators shall be responsible for: (a) ensuring that all investigative activities are properly documented; (b) that all reports are promptly completed; (c) that all documents and physical evidence obtained is properly secured; and (d) that all case files are accurate and complete. In documenting cases, investigators shall use the Case Worksheet (FORM 400.3 E) and OEIGG Investigative Report Form (FORM 400.3 F). Both forms are located on the shared drive.

i. Case Worksheet - The Case Worksheet is a chronological listing of

the investigator’s activities and shall include all significant events in the course of the investigation. The Case Worksheet shall include all activities that are documented separately in OEIGG Investigative Report Forms. The worksheet must set forth the activities taken. The case investigator shall certify upon the Case Worksheet that they have no conflict of interest in working on or supervising the case.

ii. OEIGG Investigative Report - The investigator shall complete a

separate OEIGG Investigative Report (FORM 400.3 E) for all significant activities undertaken in the course of the investigation. The activities include, but are not limited to: interviews; requests and receipt of documents or other materials; obtaining of physical or electronic evidence; surveillance; and inspection of physical premises. The OEIGG Investigative Report should be prepared as soon as possible to ensure completeness and accuracy. Once the report is completed it must be submitted to the Director of Investigations, Deputy Director of Investigations or Supervisory Investigator for review, approval, and signature. No report may be made a part of a case file until approved by supervisory personnel.

Rev. July 2008 22

c. The investigator shall be responsible for maintaining the hard copy of the case file, which serves as the Official Case File and will include all case documents.

d. The Director of Investigations and his or her deputy, with the assistance of

investigation supervisors, the Intake Unit, paralegals, and other designated office support staff, shall be responsible for ensuring that official case files are properly assembled and maintained.

2. Case Conclusion

a. Unless directed otherwise by the Executive Inspector General, or

designee, at the end of designated “field” investigations the assigned investigator shall complete a Case Summary Report (FORM 400.3 G) of the investigation including a summary of the allegations, investigative steps taken, facts uncovered, and documents analyzed. The electronic record shall be updated to indicate that the field investigation has ended. The field investigation is that portion of an OEIGG inquiry in which investigative personnel obtain and analyze evidence, conduct interviews, and document their activities. The field investigation includes the process of supervisory evaluation. Once a field investigation has ended, OEIGG attorneys conduct a review of the legal sufficiency of the evidence obtained. An investigation is deemed “COMPLETED” when all processes of investigation and internal review of the investigation and Final Report have terminated.

b. The assigned investigator shall give any Case Summary Report to the

Director of Investigations and Deputy Director or Supervisory Investigator for approval. Upon approval, the Director of Investigations or the Deputy Director shall cause the entire case file and Case Summary Report to be transmitted to the assigned paralegal who maintains files of finished field investigations. The Deputy Inspector(s) General assigned to investigations will review the file and assign an Assistant Inspector General (if not already assigned) for legal analysis and the preparation or drafting of the Draft Final Report. The assigned Assistant Inspector General will analyze the legal and procedural import of the investigator’s findings and shall then prepare a Draft Final Report summarizing the allegations, investigative steps taken, and conclusions drawn. In Founded cases, the Final Report shall include a recommendation regarding appropriate action to be taken by the affected agency or entity.

c. This Final Report shall be prepared only when no further action will be

taken on a complaint.

d. Each Final Report shall be approved by the First Deputy Inspector General and the Executive Inspector General. For a Founded Case, an electronic

Rev. July 2008 23

and hard copy Closed Form-Founded Case (FORM 400.3 C) shall be completed with two signatures. The assigned paralegal will then prepare the Discovery index and package, as well as a transmittal letter for delivery to the affected agency or entity. For an Unfounded case, an Unfounded Final Report form (FORM 400.3 D) shall be completed with two signatures.

f. FOUNDED reports and discovery (evidence) packages shall immediately

be sent to the Ultimate Jurisdictional Authority and the affected agency’s director, or his or her named representative, with a request that the recommendation in the Final Report be followed. The OEIGG, using FORM 400.3 I (Agency Response Form) shall request a response from the affected agency within thirty (30) days after receipt of the Final Report. The transmittal letter, a copy of the Final Report and a copy of the discovery package shall be maintained in the case file.

D. Complaint Updates

Assigned investigators may make some of their own changes to the electronic record, but other changes may only be made by the Intake Unit. In order to make a change to a restricted portion of the electronic record, investigators must complete a Complaint Update form (FORM 400.3 H) requesting that an update be made by the Intake Unit. All requests for updates shall be forwarded to the Director of Investigations using FORM 400.3 H.

Rev. July 2008 24

OFFICE OF EXECUTIVE INSPECTOR GENERAL DECLINATION FORM (FORM 400.3 A)

Date _____________________________ Complaint Number __________________ Complaint Reviewed? ____ YES _____ NO By Whom? _________________________ Declining case? _______ YES _______ NO Reason: ___ Anonymous ___ Lack of Jurisdiction ___ Statute of Limitations ___ Criminal Matter Pending ___ Civil Action Located (e.g. union

grievance, court case, administrative matter).

___ Requested Relief Granted by Agency Prior to Completion of Investigation.

___ Duplicate or Related Complaint. Closed to Lower Case Number.

___ Partial Investigation and Subsequent Referral to Agency.

___ Investigated by Other Entity and Agency Report Accepted.

___ No Violation Apparent on Face of Complaint

___ Employee Already Disciplined. ___ Other (specify) _____________________________________________________________ ______________________________________________________________________________ Letter of Declination Prepared? ____ Yes ____ No Reviewer Signature: _____________________________________ Supervisor Agreement: ___________________________________

Upon completion, please forward to the paralegal group for update in the electronic file. ------------------------------------------------------------------------------------------------------------

Complaint Database Updated? __________________ _________ Date Initials Rev. July 2008

FORM 400.3 B Revised July 2008 25

OFFICE OF EXECUTIVE INSPECTOR GENERAL REFERRAL FORM (FORM 400.3 B)

Date _____________________________ Complaint Number __________________ Complaint Reviewed? ____ YES _____ NO By Who? __________________________ Referring case? _______ YES _______ NO To Whom? _________________________ Reason: ___ Management Issue TO: ___________________(agency)

___ Prisoner Administrative Complaint Handled by IDOC

___ DHS Abuse Complaint Handled by DHS IG

___ DHFS Complaint Handled by DPA IG

___ DCFS Complaint – DCFS IG

___ ISP/DII

___ OEIG-SOS

___ OEIG-AG

___ OEIG-Comp.

___ OEIG-Treas.

___ OEIG-Legis.

___ Illinois Atty. Gen.

___ U.S. Attorney _________ District IL

___ State’s Atty. __________ County IL

___ Federal IG (agency) ___________

___ Other (specify) ________________________________________________ Letter of Referral Prepared? ____ Yes ____ No If no, provide justification ____________________________________________. Reviewer Signature: _____________________________________ Supervisor Agreement: ___________________________________

Upon completion, please forward to the Intake Unit for update of the electronic record. ------------------------------------------------------------------------------------------------------------

Complaint Database Updated? ____ Yes ____ No Case Closed? ____ Yes ____ No

Rev. July 2008 26

Office of Executive Inspector General Closed Form – Founded Cases

(FORM 400.3 C)

Date: _______________ Complaint Number _____________________

Complaint Reviewed? ________Yes ________No

____ Investigation Completed. ____ Report in File? AIG _________________________________ Date _______________________

DIG / GC _________________________________ Date _______________________

FD _________________________________ Date _______________________

EIG _________________________________ Date _______________________

Upon completion, please forward to the Intake Unit for update in the electronic file.

Complaint Database Updated? ________________ ___________________ Date Initials Form 400.3 C This Memorandum is PRIVILEGED AND CONFIDENTIAL WORK-PRODUCT and is not subject to discovery or to the Freedom of Information Act, and pursuant to the State Officials and Employees Ethics Act (5 ILCS 430) is non-disclosable by law (§20-95). This document is intended for Internal OEIGG Office Use Only and is not to be disseminated outside of the OEIGG without the express permission of the Executive Inspector General.

Rev. July 2008 27

OFFICE OF EXECUTIVE INSPECTOR GENERAL UNFOUNDED FINAL REPORT*/ ADMINSTRATIVE CLOSING

(FORM 400.3 D)

Complaint No. ______________________

Legal Review

Prepared By ________________________________ Date ____________________________ Complaint Reviewed? ____Yes ____No

Agency Alert Report? ____Yes ____No

Reason(s) for Closing: ____ Unfounded * - Evidence does not support allegation. Explain:

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

____ Administrative Closing. Check all that apply and explain below.

____ Statute of Limitations. ____ Lack of Jurisdiction. ____ Employee Already Disciplined. ____ Requested Relief Granted by

Agency Prior to Completion of Investigation.

____ Duplicate or Related Complaint. Closed to Lower Case Number.

____ Investigated by Other Entity and Agency Report Accepted.

____ Civil Action Located (e.g. union grievance, court case, administrative matter).

____ Partial Investigation and Subsequent Referral to Agency.

____ Partial Investigation and Subsequent Referral to Law Enforcement.

____ Other.

28

Explain: _________________________________________________________________________

___________________________________________________________________________

___________________________________________________________________________

AIG ______________________________ Date _______________________

DIG / GC ______________________________ Date _______________________

FD ______________________________ Date _______________________

EIG ______________________________ Date _______________________

*See attached Investigative Summary for allegations, background of the investigation, and

investigative steps taken.

This Memorandum is PRIVILEGED AND CONFIDENTIAL WORK-PRODUCT and is not subject to discovery or to the Freedom of Information Act, and pursuant to the State Officials and Employees Ethics Act (5 ILCS 430) is non-disclosable by law (§20-95). This document is intended for Internal OEIGG Office Use Only and is not to be disseminated outside of the OEIGG without the express permission of the Executive Inspector General.

29

OFFICE OF EXECUTIVE INSPECTOR GENERAL CASE WORKSHEET (FORM 400.3 E)

Case Number: Date Received: Subject: Investigator: Category: Agency:

Date Summary of Action Taken Report Completed?

I certify that I have no conflict (personal or business related) in working on this case. _____________ Initials of Investigator .

30

OFFICE OF EXECUTIVE INSPECTOR GENERAL Investigative Report (FORM 400.3 F)

I.G. No.

Reporting Investigator:

Date of Report:

Date:

Subject Matter:

Co-Investigator:

Investigator:

Co-Investigator:

Supervisor Initials: Date:

This document contains neither recommendations nor conclusions of the Office of Executive Inspector General. It and its contents are

not to be disseminated.

31

OFFICE OF EXECUTIVE INSPECTOR GENERAL SUMMARY FOR INVESTIGATION REVIEW – INTERNAL DOCUMENT

(FORM 400.3 G) Investigator: Date:

Case # Allegation #1:

Related Policy, Statute, Etc: Subject: Name Department Position Title Office Address Telephone # Investigative Facts:

Supporting Evidence: Allegation #2:

Related Policy, Statute, Etc:

Subject:

Investigative Facts:



Subject:




Subject:


32

Supporting Evidence:

Allegation #5:


Subject:


Supporting Evidence:

Additional Facts: Reporting Investigator: ____________________ Supervisor: ____________________ D.O.I.: ____________________

This document contains neither recommendations nor conclusions of the Office of Executive Inspector General. It and its contents are not to be disseminated. Rev. July 2008

33

OFFICE OF EXECUTIVE INSPECTOR GENERAL COMPLAINT UPDATE FORM FOR ELECTRONIC RECORD

(FORM 400.3 H)

OEIGG Case Number: ____________________ Date: ________________________ Investigator: _________________________ Assigned investigators may make some of their own changes to the electronic record, but other changes may only be made by the Intake Unit. In order to make a change to a restricted portion of the electronic record, investigators must complete the form below requesting that an update be made by the Intake Unit. Please forward all requests to the Director of Investigations. Requested Additions/Corrections and Justification: ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Approval: ____________________________________________________________________ Director of Investigations Date

TO BE COMPLETED BY INTAKE UNIT:

Approved changes made? ____ yes _____ no Date: _________________________________

FORM 400.3 G - Rev. July 2008

34

OEIGG RESPONSE FORM – FORM 400.3 I Case Number: __________________

Return By: _____________________

Please check the box that applies. □ We have implemented all of the OEIGG recommendations: (Provide details regarding action taken.)

□ We will implement all of the OEIGG recommendations but will require additional time. We will report to OEIGG within 30 days from the original return date: (Provide details regarding action planned / taken.)

35

(over) * IF YOU WISH TO DEVIATE FROM OEIGG RECOMMENDATIONS YOU MUST OBTAIN PRIOR WRITTEN APPROVAL FROM THE OEIGG. □ We are implementing the OEIGG recommendations however, we request approval to deviate as follows: (Provide details regarding action planned / taken and proposed alternate(s).) □ We do not wish to implement any of the OEIGG recommendations and request

approval to deviate as follows: (Explain why and provide details of alternate plan.) Signature Print Agency and Job Title Print Name Date

* We will accept or reject your proposed alternate plan within 30 days of its receipt.

36

POLICY 400.3A The OEIGG declines to investigate complaints by persons incarcerated in State of Illinois correctional facilities relating to their conditions of confinement or alleged abuses by State employees employed in correctional facilities. PROCEDURES Complaint Procedures

1. Upon receipt of a complaint by a person incarcerated in a State correctional facility regarding the conditions of his confinement or alleged abuse by a state employee employed by a State correctional institution, the OEIGG will assign a case number for tracking purposes. The complaint will be reviewed to determine whether it alleges a violation of prisoner rights or administrative rule, or criminal misconduct by a State employee.

2. Prisoner complaints that allege criminal misconduct by a State employee will be

referred to the Illinois State Police.

3. Complainants who allege rights and/or rule violations will be asked for consent to refer the complaint to the Illinois Department of Corrections. If consent is not received by the OEIGG, the complaint and any original documentation will be returned to the original sender at the sender’s last known address. The OEIGG will include a letter indicating that the complaint will not be investigated by the OEIGG. The letter will inform the complainant that such complaints can be filed by the prisoner with the Illinois Department of Corrections.

37

POLICY 400.4 It is the policy of the OEIGG to complete its investigations and supporting reports in a timely and thorough manner while maintaining the confidentiality of the allegations, witnesses and informants. PROCEDURES Handling of Investigatory Interview Notes All notes taken during the course of an interview (telephonic or in person) or surveillance shall be destroyed by shredding, electronic erasure, or other secure means when the case is closed or the OEIGG Final Report is sent outside the OEIGG.

38

POLICY 400.5 It is the duty of the OEIGG staff to exercise appropriate care at all times to ensure that confidential information gathered during their employment or as part of an OEIGG investigation is fully protected and that their communications do not improperly or inappropriately reveal confidential information to unauthorized individuals or entities. PROCEDURES A. The official business of the OEIGG necessarily involves the collection of information

that may be protected by state or federal law or is personal or confidential in nature, legally privileged, or otherwise sensitive.

HIPAA Records: Confidential medical records may be released without patient

consent to a law enforcement official if the information is relevant and material to a legitimate law enforcement inquiry. For purposes of the HIPAA Act, a law enforcement official is an officer or employee of any agency of a state who is empowered by law to investigate a potential violation of law or conduct an administrative proceeding arising from an alleged violation of law. 45 CFR 164.512 and 164.501.

FERPA Records: The OEIGG does not generally have a need to request protected

students records. However, student directory information (name, address, phone, email, photo, DOB, major fields of study, dates of attendance, degrees, honors, etc.) is not protected by FERPA and may be released without consent unless the student has submitted a written request to the Registrar explicitly requiring his or her consent. 20 U.S.C. 1232g.

Tax Records: The OEIGG has an inter-agency agreement with the Department of

Revenue which authorizes disclosure of taxpayer and tax return information.

Medicaid Records: These records may be released without consent if requested for the

purpose of determining Medicaid fraud. 45 CFR 164.506 Sections 4I and II.

Employment Records:

The Personnel Record Review Act permits an employer to release disciplinary materials if the information is requested by a government agency as a result of a claim or complaint by an employee or as a result of a criminal investigation. 820 ILCS 40.

39

5 ILCS 430/20-70 (“Ethics Act”) The Ethics Act requires all State employees under the jurisdiction of an EIG to cooperate with the EIG in any investigation undertaken pursuant to the Act. Failure to cooperate is grounds for disciplinary action.

5 ILCS 430/20-20 (“Ethics Act”) The OEIGG has the authority to request information relating to an investigation from any person when the OEIGG deems that information necessary to conducting an investigation. The OEIGG also has statutory subpoena power to compel the attendance of witnesses for the purpose of testimony and production of documents and other items for inspection and copying.

Governor’s Administrative Order No. 6 (December 2003) The OEIGG may question any officer or employee under the jurisdiction of the Governor, may inspect and copy any books, records, or paper in the possession of the Agency, including those made confidential by law, taking care to preserve the confidentiality of information contained in responses to questions or books, records, or papers that is made confidential by law.

B. In all cases, the Executive Inspector General or the First Deputy Inspector General must

be contacted before documents may be disclosed under this section. All questions regarding confidentiality should be addressed to a supervisor.

C. The OEIGG may not, after a receipt of a complaint or information from employees or

other persons, disclose the identity of the employees or persons unless the OEIGG determines that such disclosure is required or permitted by law or if the complainant has given consent for such disclosure. (See 5 ILCS 430/20-90; 20-95.)

D. Procedure for Preserving Anonymity

1. In certain circumstances, it may become necessary to conceal the identity of a source of information.

2. The Director of Investigations shall determine who can be registered as a

confidential source (“CS”). The Director of Investigations or the First Deputy Inspector General shall meet with the confidential source, verify his or her identity, and complete a Confidential Source Registration Form. (See FORM 400.5A.) The source will then be given a number by which she or he will be referred to in all reports. If appropriate, the Director of Investigations or his designee shall run a criminal history check on the CS. The results of the criminal history check shall be attached to the Confidential Source Form. All records related to the existence and registration of a Confidential Source shall be

40

maintained in the Confidential Source File and kept by the Director of Investigations.

3. Access to the CS file is restricted to the Executive Inspector General, the First Deputy Inspector General, Director of Investigations, the Deputy Director, any Deputy Inspector General and the assigned investigator(s). Other than in the Confidential Source Form, all references to the identity of the Confidential Source shall be by number. The records described here shall be appropriately safeguarded.

E. Disclosure of Information or Documents

All disclosure of information or documents shall be in accordance with the procedures outlined herein. In a Final Report in which the Executive Inspector General and First Deputy have concluded that one or more of the allegations is FOUNDED, or where there is an issue presented for further examination by the agency directors, the investigative documents and evidence (together, the “Discovery File”) shall be transmitted to the agency. Any other requests for information from the OEIGG shall be made in writing and directed to the General Counsel or the Deputy Inspector General who handled the investigation. The General Counsel or Deputy Inspector General, and the Director of Investigations, shall review the request and where appropriate, advise the First Deputy Inspector General on whether disclosure is appropriate after consideration of the identity of the requestor, the nature of the request for information, and the requestor’s need for the information. The First Deputy Inspector General will review the recommendation and make a separate determination whether disclosure is appropriate. All recommendations shall be forwarded to the Executive Inspector General for final decision.

41

OFFICE OF EXECUTIVE INSPECTOR GENERAL CONFIDENTIAL SOURCE REGISTRATION FORM (FORM 400.5 A)

Date: _____________________ Case Number: ________________ CS#: _____________________ Code Name: _____________________ (if any) Assigned Investigator: ______________________________ Agency: __________ Co-Investigator: ______________________________

CONFIDENTIAL SOURCE

Name ________________________________ Home Phone ( ) __________________ Address ________________________________________________________________ _________________________________________________________________ Age _______ DOB ______________ SSN ___________________________________ a/k/a/ ________________________________ Sex ___________ Race ______________ Height ___________ Weight __________ Hair ____________ Eyes _______________ State Employee Yes ____ No _____ Employer’s or Company’s Name: ____________________________________________ Location: _______________________________________________________________ Job Title: _______________________________________________________________ Work Phone ( ) _________________ Pager ( ) _____________________________ Are you a confidential source in any other investigation? __________________________

42

If yes, list case names, numbers, and short explanation: ________________________________ ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Field or Geographical Area of Knowledge: __________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ Authenticated Identity and Signature Verification: Date ________________________________ C.S.# ________________________ Source Name: ___________________________________________ Print ____________________________________________ Signature Assigned Investigator: ____________________________________________ Print ______________________________________________________ Signature Approvals: ______________________________________________________ Director of Investigations ______________________________________________________ First Deputy Inspector General/Executive Inspector General Criminal Background Check Completed? Yes ____ No _____

43

POLICY 400.6 The OEIGG shall thoroughly investigate each complaint that is opened for investigation. Requests for documents or records from any individual or entity shall be made as set forth below. PROCEDURES A. Written Request Required

1. All OEIGG requests for production of or viewing of documents or physical objects under office or agency control shall be made in writing, which advises the recipient of his or her right to seek a determination from the Executive Ethics Commission when she or he believes that the item requested, if released, would violate State or federal law. The writing may be transmitted electronically by e-mail or fax.

2. FORM 400.6 A shall be used when requesting the production of or viewing of

documents or physical objects under office or agency control. 3. Where the recipient objects to our written request and advises us prior to, or at the

time of seizure, of his or her appeal to the Executive Ethics Commission, the Executive Ethics Commission has 5 business days to render a determination.

4. Each time the OEIGG requests evidence (by mail, fax, e-mail or in person) from a

state agency, the agency representative must be given a copy of FORM 400.6 A. 5. Evidence obtained without presentation of a written (or e-mail) request to

the state agency/entity stating its right to appeal may be inadmissible at an Executive Ethics Commission Ethics Violation Hearing.

Examples:

1. If an investigator is requesting records that she or he expects the agency to mail to

the OEIGG, then an e-mailed version of the request letter (FORM 400.6 A) will be sent to the entity.

2. If an investigator is going to pick up the records with the agency’s cooperation,

first an e-mailed version of the request letter FORM 400.6 A shall be sent to the entity. The subject of the e-mail must say: PRIVILEGED AND CONFIDENTIAL. When the investigator is at the agency to pick up the records, she or he will provide a hard copy of FORM 400.6 A. If an agency representative indicates she or he will appeal to the Executive Ethics Commission, then a subpoena may be served immediately and the evidence shall be sealed on site and brought back to OEIGG offices. See POLICY 500.4, Custody of Evidence.

44

3. If an investigator is going to seize files/records/devices pursuant to subpoena no

advance written notification is needed.

4. A written request for documents or physical objects shall state that the recipient of the request, should he or she believe that the release of the subject matter of the request might violate existing rights or protections under State or federal law, has the right to seek a determination from the EEC relative to such rights or protections, if desired.

5. For records from CMS, SOS and the Comptroller, the investigator will complete

FORM 400.6 B and will submit this form to the Investigation Unit paralegal for processing.

6. To request electronic data, investigators will complete FORM 400.6 C and will

submit this internal form to the Investigation Unit paralegal for processing. 7. For State agency/entity/employee telephone records, the investigator will

complete FORM 400.6 D and will submit this form to the Investigation Unit paralegal for processing.

B. Waiver by Commission

If you believe that a written request may compromise the integrity of the investigation, consult your supervisor immediately. Under such circumstances, the Executive Inspector General or his or her designee may request a waiver from the Executive Ethics Commission. Where requested, the Executive Ethics Commission has 72 hours in which to respond to this request.

C. Securing Evidence Pursuant to an Appeal by the Recipient (See “Custody of Evidence.”) 1. The OEIGG may take reasonable steps to seal or otherwise insure the integrity of

the requested documents or physical objects pending the Executive Ethics Commission's determination of an appeal. If, in the judgment of the Director of Investigations or First Deputy Inspector General, security concerns demand the immediate removal of sealed documents or physical objects, the OEIGG shall serve an Instanter subpoena before its immediate removal of the evidence.

2. If the agency has notified the OEIGG of its appeal to the Commission, then evidence subsequently seized shall be secured, preserved and maintained under seal and shall not be viewed by the OEIGG pending determination by the Commission. If notice of the appeal is given to the OEIGG after examination of the evidence has begun, said examination shall cease pending the Commission’s determination.

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3. If the evidentiary seal is broken prior to this determination by the Executive

Ethics Commission, the evidence may be inadmissible at an Executive Ethics Commission Ethics Violation Hearing and the responsible OEIGG party may be subject to discipline up to and including discharge.

4. The recipient may assert any existing rights or protections under State or federal law with respect to the request, and such assertions, if made in good faith, do not constitute failure to cooperate in an OEIGG investigation.

D. Confidentiality

All agency records obtained during the course of an investigation shall be safe-guarded and maintained in the strictest confidence. Agency records include, but are not limited to: personnel records, telephone records, correspondence, contracts, bid documents, benefit agency client files, e-mail, and electronic documents and files, etc.

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OFFICE OF EXECUTIVE INSPECTOR GENERAL FOR THE AGENCIES OF THE ILLINOIS GOVERNOR

3 2 WE S T R A N D O L P H S T R E E T , S U I T E 1 9 0 0

C H I C A G O , IL L I N O I S 6 0 6 0 1 3 1 2 -8 1 4 -56 0 0

FORM 400.6 A

Date Title + Name Agency Address IN RE: OEIGG Case No. XX-IG-XXXXX Dear (Title, Name): Pursuant to an investigation being conducted by the Office of Executive Inspector General for the Agencies of the Illinois Governor (“OEIGG”), we request that your agency produce the following records immediately/on or before (Date)_____________________: (List records sought, agency, name of State employee, etc.) As you may know, the OEIGG may request information and evidence relating to an investigation from any person when the Executive Inspector General deems that information necessary in conducting an investigation. 5 ILCS 430/20-20(2). Pursuant to the Governor’s Administrative Order No. 6 (December 2003), if applicable:

Each Agency and every officer and employee, shall cooperate with, and provide assistance to, the Inspector General and her or his staff in the performance of any investigation. In particular, each Agency shall make its premises, equipment, personnel, books, records, and papers readily available to the Inspector General. The Inspector General or his or her staff may enter upon the premises of any Agency at any time, without prior announcement, if necessary to the successful completion of an investigation. In the course of an investigation, the Inspector General may question any officer or employee serving in, and any other person transacting business with, the Agency, and may inspect and copy any

JAMES A. WRIGHT EXECUTIVE INSPECTOR GENERAL

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books, records, or papers in the possession of the Agency, including those made confidential by law, taking care to preserve the confidentiality of information contained in responses to questions or books, records, or papers that is made confidential by law.

Please be advised that the official business of the OEIGG necessarily involves the collection of information that typically is protected by state or federal law or is personal or confidential in nature, legally privileged, or otherwise sensitive. In many such cases, the OEIGG has the legal right to access this information under the exceptions noted on the attached page. However, if you believe the release of the subject matter of this request might violate existing rights or protections under State or federal law, you have the right to seek a determination from the Illinois Executive Ethics Commission (“EEC”) relative to such rights or protections. Any such assertions, made in good faith, do not constitute failure to cooperate in an investigation. If, in the judgment of the OEIGG Director of Investigations, security concerns demand the removal of documents or physical objects, the Executive Inspector General shall issue a subpoena for the immediate seizure and removal of the evidence. If at the time of seizure, you notify the OEIGG of your appeal to the EEC, then the OEIGG will hold the evidence under seal pending the decision of the Commission. If you do not notify the OEIGG of your appeal at the time of seizure, this Office will follow its usual procedures and will begin examination of the evidence upon its arrival at the OEIGG offices. Should the OEIGG fail to adhere to the requirements of the rule governing this procedure, the evidence may be inadmissible at an Ethics Violation Hearing before the EEC.

Please be reminded that if a subpoena is served, you are not to disclose to the individual(s), account holder(s) and/or entity(ies) identified in the subpoena that you have received service of the subpoena and are responding to it.

If you have any questions, you may contact OEIGG Investigator (Name), at 312-814-5600 (Chicago office), or 217-558-5600 (Springfield office).

Sincerely, James A. Wright – Executive Inspector General By: (Investigator’s Name)

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THE OFFICE OF THE EXECUTIVE INSPECTOR GENERAL’S RIGHT TO OTHERWISE CONFIDENTIAL INFORMATION

The official business of the OEIGG necessarily involves the collection of information that may be protected by state or federal law or is personal or confidential in nature, legally privileged, or otherwise sensitive. The OEIGG, however, has the legal right to access this information under the exceptions noted below: HIPAA Records: Confidential medical records may be released without patient consent to a law enforcement official if the information is relevant and material to a legitimate law enforcement inquiry. For purposes of this Act, a law enforcement official is an officer or employee of any agency of a state who is empowered by law to investigate a potential violation of law or conduct an administrative proceeding arising from an alleged violation of law. 45 CFR 164.512 and 164.501. FERPA Records: The OEIGG does not request protected students records, but may request directory information (name, address, phone, email, photo, DOB, major fields of study, dates of attendance, degrees, honors, etc.) which is not protected by FERPA and may be released without consent unless the student has submitted a written request to the Registrar explicitly requiring their consent. 20 U.S.C. 1232g. Tax Records: The OEIGG has an inter-agency agreement with the Department of Revenue which authorizes disclosure of taxpayer and tax return information. Employment Records: The Personnel Record Review Act permits an employer to release disciplinary materials if the information is requested by a government agency as a result of a claim or complaint by an employee or as a result of a criminal investigation. 820 ILCS 40.

5 ILCS 430/20-70 (“Ethics Act”): Requires all State employees under the jurisdiction of an EIG to cooperate with the EIG in any investigation undertaken pursuant to the Act. Failure to cooperate is grounds for disciplinary action. Section 20-20 of the Ethics Act: The OEIGG has the authority to request information relating to an investigation from any person when the EIG deems that information necessary to conducting an investigation. The EIG also has statutory subpoena power to compel the attendance of witnesses for the purpose of testimony and production of documents and other items for inspection and copying. Governor’s Administrative Order No. 6 (December 2003): The OEIGG may question any officer or employee under the jurisdiction of the Governor, may inspect and copy any books, records, or paper in the possession of the Agency, including those made confidential by law, taking care to preserve the confidentiality of information contained in responses to questions or books, records, or papers that is made confidential by law. See attached Administrative Order. Medicaid Records: These records may be released without consent if requested for the purpose of determining Medicaid fraud. 45 CFR 164.506 Sections 4 I and II.

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INTERNAL USE ONLY OFFICE OF EXECUTIVE INSPECTOR GENERAL

REQUEST FOR RECORDS/PHYSICAL EVIDENCE (FORM 400.6 B) Date: _________________ OEIGG Case #: _________________Investigator: ____________________ Summary of Allegations: Type of Information/Evidence Requested:

For personnel file include name, SSN, agency, position, & status as subject/witness: CMS/Comptroller database printout? _____ yes ______ no CMS position description? _____ yes _____ no If yes, include 16-digit position description number ____________________________

CMS paper file? _____ yes ______ no Agency file? _______ yes ________ no If yes, indicate type of information sought (e.g. disciplinary records, employment application,

forms, etc.) including date range: Rutan/Hiring file? _____ yes _____ no Computer(s)? _____ yes _____ no

E-mail Archives? _____ yes _____ no Other? _____ yes _____ no

For Supervisory Use Supervisory approval: ______________________ Date requested file: ________________________ Requested from: ___________________________ Date received file: __________________________

FORM 400.6 B

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INTERNAL USE ONLY

REQUEST FOR ELECTRONIC DATA (FORM 400.6 C)

Date:

Investigator:

OEIGG Case #:

Case Info (include full name, SSN, agency, position, & whether individual is subject/witness/other):

Case Summary (brief description of allegations in complaint)

Type of Data Requested:

PC Evidence Receipt and Inventory Record sheet is required.

E-mail Date range:

“P:\ drive” Date range:

Other Describe:

For Computer Forensic Staff Use Only

Date requested data:

Requested from:

Date received data:

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REQUEST FOR TELEPHONE RECORDS (FORM 400.6 D) Date: __________________________________________ OEIGG Case #: _______________ Investigator: ____________________________________ Name of person(s) whose telephone records you need __________________________________ Summary of Investigation and Justification: ______________________________________________________________________________ __________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Telephone Number: _____________ Dates of telephone records needed: __________________ (Indicate range) Level of Detail: ________________________________________________________________ (Incoming/outgoing, toll calls, long distance, etc.) _______________________________________________________ Supervisor Approval Date Date requested: ___________________ Requested from: (Name)________________________ Date received: _____________________________________

REMINDER: IS A FORM 400.6 A RECORD REQUEST LETTER REQUIRED?

For Supervisory Use FORM 400.6 C

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POLICY 400.6A The OEIGG shall ensure that when serving subpoenas, the following procedures will be followed: SUBPOENA PROCEDURES A. The Investigator fills out the Request for Subpoena (See FORM 400.6A 1). The

Investigator then discusses the necessity of the subpoena with his or her supervisor, and if the supervisor agrees, then she or he signs the Request for Subpoena form. The investigator then consults with the Assistant Inspector General or Deputy Inspector General assigned to the case on the necessity of the subpoena and provides the signed Request for Subpoena form to the AIG for drafting the subpoena. FORM 600.6A 2, the Subpoena Non-Disclosure Letter, shall be served with every subpoena served, and shall be signed by a Deputy Inspector General, or designee.

B. For “complex” subpoenas, the Assistant Inspector General and Investigator will consult

on the language for the subpoena and will submit it to the AIG’s supervising Deputy Inspector General (“DIG”) for review and approval. The DIG should initial and date the approved draft. If the AIG’s supervising Deputy is unavailable, another DIG may approve the draft. If the draft is submitted in electronic form, the DIG will approve the draft by e-mail to the Investigator and AIG. For “routine” subpoenas, the investigator and/or supervisor will confer directly with the DIG, who will initial and date the approved draft. If in the judgment of the DIG, the subpoena requires substantial legal analysis, the investigator may be directed to consult with an AIG. Service of all subpoenas is subject to the direction of a Deputy Inspector General. No subpoena may be served without prior approval of a Deputy Inspector General.

C. Once the subpoena (See FORMS 400.6A 3 and 400.6A 5) is approved by the Deputy

Inspector General, a paralegal shall prepare the subpoena and present it to the Deputy Inspector General for signature on behalf of the Executive Inspector General. The Paralegal shall obtain a subpoena number from the Subpoena Log Book and enter all pertinent information in the Subpoena Log Book. The original subpoena, and a copy, shall be returned to the investigator for service, and a copy of the subpoena shall be kept in the Subpoena Log Book in the section for “pending subpoenas.” For “routine” subpoenas, the investigator may submit the subpoena to the DIG or Director of Investigations (or designee) or signature on behalf of the Executive Inspector General.

D. Service of Subpoena:

Service of a subpoena shall be made by any means permitted by law, including:

1. Personal Service – If serving the subpoena in person, the investigator should leave the original subpoena with the person served, and retain a copy and an original Certificate of Service (FORM 400.6A 4) for the file. If the investigator is asked by the person served about costs, the investigator should respond that

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under appropriate circumstances the OEIGG will pay for reasonable costs as provided by law for the duplication of records or travel upon receipt of a bill or receipts itemizing the costs of compliance with the subpoena.

2. Certified Mail – If the subpoena is served by certified mail, the subpoena must be addressed to an individual responsible for supplying the records. The Return Receipt should be completed with the investigator’s name and the address of the OEIGG office in Chicago. The original subpoena is to be mailed, with a copy retained for the file. When the Return Receipt is received, it should be attached to the subpoena copy in the Subpoena Log Book.

3. Service by Fax – If a person or business has agreed to accept service of the subpoena by fax, the investigator should write a report memorializing the agreement to accept the subpoena by fax and use an official OEIGG Fax Transmittal Form (See FORMS 400.6A 6 and 6A 7) and enter the name of the person who agreed to accept the service on behalf of a business or organization on the form. The investigator should maintain a copy of the fax transmittal confirmation sheet and attach it to the original subpoena.

4. Unused Subpoenas – Return unused original subpoenas, signed or unsigned, to the investigation unit paralegal in Chicago.

E. Certificate of Service.

Once an investigator serves the original subpoena, the investigator should record the method of service on the Certificate of Service (See FORM 400.6A 4) and have it notarized by an Illinois notary. The completed certificate should be delivered to the Paralegal. The Paralegal will enter the date the subpoena was served in the Subpoena Log Book and file the copy and notarized Certificate of Service. The investigator should retain a copy of the subpoena and a copy of the notarized Certificate of Service in the investigative file.

F. If the subpoena is issued in error, the investigator should return the original of the

subpoena to the Paralegal who will mark all copies “VOID” and make the appropriate entry in the Subpoena Log Book.

G. The investigator must assure timely and complete compliance with the subpoena. If the

subpoena is overdue or delinquent, the investigator shall notify their supervisor and a Deputy Inspector General as soon as possible for appropriate follow-up.

H. Once the person served with the subpoena has complied with the subpoena, the

investigator should notify the Paralegal that the subpoena is no longer pending. The Paralegal should then move the materials related to that subpoena from the “pending subpoenas” section of the Subpoena Log Book and move them to the section of the Subpoena Log Book for “compliance complete.”

NOTE: If a Deputy Inspector General is unavailable, then consult the First Deputy

Inspector General on all matters related to subpoenas.

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REQUEST FOR SUBPOENA DUCES TECUM/SUBPOENA (FORM 400/6A 1)

Date: Subpoena #: Investigator: OEIGG Case #: Specific information requested (attach draft subpoena duces tecum/subpoena if you would like): Send to: Summary of Allegation/Justification:

For Administrative Use Supervisor approval: _____________________________ Date requested subpoena: _________________________ Date draft prepared: _____________________________ Date subpoena approved: _________________________ Date subpoena signed: ____________________________

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C H I C A G O , IL L I N O I S 6 0 6 0 1 (3 1 2 ) 8 1 4 -5 6 00

Date

Via Attention:

Re: Subpoena No. 200_-00____ Dear Sir/Madam:

The enclosed subpoena seeks records pursuant to an official investigation being conducted by the Office of Executive Inspector General for the Agencies of the Illinois Governor. You are requested not to disclose to the individual(s), account holder(s) and/or entity(ies) identified in the subpoena that you have received service of the subpoena and are responding to it. Any such disclosure could impede the investigation and thereby interfere with the enforcement of the law. If you have any questions regarding non-disclosure, please feel free to contact our office. In lieu of appearance, your compliance with this subpoena may be completed by mailing the responsive material to Investigator ____________________ at 32 W. Randolph, Suite 1900, Chicago, Illinois 60601, (312) 814-________.

Sincerely,

___________________________________ Deputy Inspector General - Investigations

(312) 814-_________ Enclosure FORM 400.6A 2


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(FORM 400.6A 3) SUBPOENA

To: Subpoena No.: 2007-00____

Case No.: __-______________

WE COMMAND YOU, pursuant to the Illinois State Officials and Employees Ethics Act, to appear at the

Office of Executive Inspector General, 32 West Randolph, Suite 1900, Chicago, Illinois 60601 on

_____________, 2007 at _______ a.m./p.m.

Personal appearance in answer to this subpoena is required. Failure to respond may result in punishment as provided by law. By Order of the Executive Inspector General __________________________________ Executive Inspector General at Chicago, Illinois, this ____ day of _______________, 20____


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OFFICE OF EXECUTIVE INSPECTOR GENERAL CERTIFICATE OF SERVICE (FORM 400.6A 4)

I, __________________________________certify that on the _________ day of ____________________, 20____, I served the attached Subpoena on ______________________, the person named or agency identified, by furnishing that person the Subpoena, at ___________________________. (address) The subpoena was served by ___________________________________. (Certified mail/facsimile/personal service) _______________________________________ Signature _______________________________________ Date _______________________________________ Notary Public

58




SUBPOENA DUCES TECUM (FORM 400.6A 5) To: Subpoena No.: 2007-00 Case No.: 0__-________ WE COMMAND YOU, pursuant to the Illinois State Officials and Employees Ethics Act, to provide the

Office of Executive Inspector General, 32 West Randolph, Suite 1900, Chicago, Illinois 60601 on or

before (two weeks from signature date) with all of the following books, records, electronic records and

papers that are in your possession, custody or control:

Personal appearance in answer to this subpoena is not required. Information may be submitted by mail to

the Office of Executive Inspector General at the above-noted address. Failure to respond may result in

punishment as provided by law.

By Order of the Executive Inspector General __________________________________ Executive Inspector General at Chicago, Illinois, this ____ day of _______________, 20_____.

RO D R. B L A G O J E V I C H GO V E R N O R


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FAX COVER PAGE (FORM 400.6A 6) TO: FROM: FAX NUMBER:

PHONE:

DATE:

PAGES INCLUDING COVER PAGE:

SUBJECT:

(CONFIDENTIAL)

URGENT FOR REVIEW PLEASE COMMENT PLEASE REPLY PLEASE RECYCLE

____________________________________________________________________________ IMPORTANT: THIS MESSAGE IS INTENDED ONLY FOR THE INDIVIDUAL OR ENTITY TO WHICH IT IS ADDRESSED AND MAY CONTAIN INFORMATION THAT IS PRIVILEGED, CONFIDENTIAL AND EXEMPT FROM DISCLOSURE UNDER APPLICABLE LAW. If the reader of this message is not the intended recipient, you are hereby notified that any dissemination, distribution or copying of this communication is strictly prohibited. If you have received this communication in error, please notify us immediately by telephone at (312) 814-5600, and return the original message to us at the address below via US Mail. Thank you.

32 W RANDOLPH ST., SUITE 1900

CHICAGO, IL 60601-3414 Printed on Recycled Paper

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FAX COVER PAGE (FORM 400.6A 7) TO: FROM: FAX NUMBER:

PHONE:

DATE:

PAGES INCLUDING COVER PAGE:

SUBJECT:

(CONFIDENTIAL)

URGENT FOR REVIEW X PLEASE COMMENT PLEASE REPLY PLEASE RECYCLE

____________________________________________________________________________ IMPORTANT: THIS MESSAGE IS INTENDED ONLY FOR THE INDIVIDUAL OR ENTITY TO WHICH IT IS ADDRESSED AND MAY CONTAIN INFORMATION THAT IS PRIVILEGED, CONFIDENTIAL AND EXEMPT FROM DISCLOSURE UNDER APPLICABLE LAW. If the reader of this message is not the intended recipient, you are hereby notified that any dissemination, distribution or copying of this communication is strictly prohibited. If you have received this communication in error, please notify us immediately by telephone at (217) 558-5600, and return the original message to us at the address below via US Mail. Thank you.

607 E. ADAMS, 14TH FLOOR

SPRINGFIELD, IL 62739 Printed on Recycled Paper

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POLICY 400.7 In appropriate circumstances and in furtherance of an investigation, the OEIGG may utilize audio and/or video recording of certain events or conversations that do not require court authorization. It is OEIGG policy to engage in such recording strictly in accordance with state and federal law and regulations, and to establish safeguards to ensure that such recording is carried out only in appropriate circumstances and in accordance with such law and regulations. While recording interviews of investigation subjects is most common, interviews of complainants and witnesses also may be conducted with the written consent of the interviewee and representative (if any). PROCEDURES A. State employee subjects facing discipline

1. State employees who are subjects of OEIGG investigations and who, based on the information available at the time of the interview, are reasonably likely to face discipline shall be presented with the following form(s) that outline their rights during the interview: Administrative Rights Form-State Employee (FORM 400.7 A), and if appropriate, Consent to Record Conversation/Interview Form (FORM 400.7 C).

2. The Consent to Record Conversation/Interview Form (FORM 400.7 C) shall also

clearly indicate that the interviewee has the right to refuse to consent to have the interview recorded, and if recorded, has the right to stop the recording of the interview at any time, and that refusing to consent to have the interview recorded or to stop the recording at any time shall not constitute failure to cooperate in the investigation or otherwise subject the interviewee to any discipline.

3. The Administrative Rights Form-State Employee (FORM 400.7A) shall also

indicate that the interviewee may request at any time that the interview be recorded. If the interviewee requests at any time that the interview be recorded, the interviewer shall honor this request, stop the interview and immediately provide the employee a Consent to Record Conversation/Interview form. (See FORM 400.7 C.) Upon execution of a consent to record form, the interview and all future interviews of the subject shall be recorded by mechanical, digital or other means. All forms and recordings shall be preserved, unedited. The interviewee shall sign the form, attesting only to the fact that the form was presented to the interviewee and he or she was given the opportunity to read it.

4. Witness and complainant interviews may be recorded upon execution of Consent

to Record Conversation/Interview Form (FORM 400.7 C).

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B. State vendor/contractor subjects

State vendors/contractors who are subjects of OEIGG investigations and who, based on the information available at the time of the interview, are reasonably likely to face penalty shall be presented with the following form(s) that outlines their rights during the interview. See Administrative Rights Form-Vendor/Contractor (FORM 400.7 B), and Consent to Record Conversation/Interview Form (FORM 400.7 C).

C. Consent Required for Audio Recording of OEIGG Interviews

Such recordings may be made only upon written consent of the witness or subject. IN ILLINOIS, ALL PARTIES TO A CONVERSTION MUST SEPARATELY CONSENT TO THE RECORDING (720 ILCS 5, et seq.), THIS INCLUDES ANY REPRESENTATIVE OR ATTORNEY PRESENT. (See FORM 400.7 C.)

D. Recordings of OEIGG Employees

Outside of recorded investigational interviews, under no circumstances shall any employee of the OEIGG consent to being recorded during the course of an investigation. This prohibition shall not apply to the recording of OEIGG employees by OEIGG investigators conducting an investigation.

E. When Audio or Video Recording May be Used

1. The audio and/or video recording of events is an investigative technique that is strictly regulated by state and federal law. In many circumstances, a court order is necessary before any such recording may be done. In other circumstances, some of which are described below, such recording may be permitted by law without court order. Whether any such recording is sound policy and legally proper must be determined on a case-by-case basis and rests in large part on the facts and circumstances of each case. The policies and procedures contained here apply solely to audio or video recordings made while all parties to the conversation or event being recorded are physically present in Illinois. No audio or video recording of any kind may be conducted outside of Illinois without the express authorization of the Director of Investigations, the First Deputy Inspector General and the Executive Inspector General.

2. There are two circumstances in which the OEIGG may commonly employ audio

and/or video recordings of an event or conversation without court authorization as permitted by federal and state law, and depending on the facts of the particular case:

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a. Both audio and video recording of conversations or events without court authorization is permitted where ALL participants to the conversation or event consent to such recording. This is commonly referred to as “consensual recording or monitoring.”

b. Video (not audio) recording of an event without court authorization may

be permitted where the event is readily visible to the general public or a general work area of a State agency. Consent of a party is not required for public videotaping where the audio function is disabled.

F. Authorization for Audio or Video Recording

To obtain authorization for audio or video recording other than during an investigatory interview, the assigned investigator shall set forth the facts on an Application for Audio/Video Recording Authorization Form (See FORM 400.7 D) detailing the investigative basis for taping. A supervisor shall approve the application and forward it to the Director of Investigations or his designee. In all cases, the Director of Investigations or his designee shall consult with the First Deputy Inspector General and a Deputy Inspector General regarding the planned recording. The Director of Investigations or his designee must then approve the application, sign the form, and return it to the investigator for inclusion in the case file. In the event of exigent circumstances, verbal authorization as indicated may be obtained. A report of interview will be placed in the file to document the oral authorization obtained.

G. Procedures for Audio or Video Recording

1. For audio recording, following receipt of authorization, the assigned investigator shall complete a Consent to Record Conversation/Interview Form. (See FORM 400.7 C or 400.7 D.)

2. If the video equipment used to record an event incorporates an audio recording

capability and the audio portion of the event is also being recorded, or if external audio recording equipment will be used in conjunction with video recording equipment, all procedures regarding both audio and video recording must be followed.

3. At the beginning of any medium being used to record the conversation or event,

the investigator shall put a heading on a medium, including the time, date, case number and equipment being used. The investigator shall identify the expected participants in the conversation or event and request that the individuals consenting to the recording identify themselves on the recording and affirmatively state their consent. If the audio portion of a video interception has been disabled, no audio heading shall be placed on the tape and the audio recorder shall remain in the off position.

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4. All audio or video recordings made pursuant to these procedures shall be preserved as evidence and secured pursuant to established evidence collection procedures. Immediately after the recording is created, the investigator shall ensure that the recording cannot be erased by physically removing the record protection tabs on the tape case that are specifically designed for this purpose. The investigator shall initial, date, and place the case number on the original medium container as soon as practicable. A duplicate of the recording should be prepared as soon as practicable for review and use during the course of the investigation. The original recording should not thereafter be removed from the Locked Evidence Room unless absolutely necessary. The chain of custody of the original shall be strictly monitored for use in legal proceedings if needed.

H. Violations

A violation of this policy may constitute a crime under state and/or federal law and may subject the employee to disciplinary action including termination, or other civil or criminal penalty.

I. Copies of recordings made by OEIGG employees may be requested in writing but may

not necessarily be approved for dissemination outside of the OEIGG.

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OFFICE OF EXECUTIVE INSPECTOR GENERAL ADMINISTRATIVE RIGHTS FORM – STATE EMPLOYEES

(FORM 400.7 A)

NAME______________________SSN ______________ DEPT _______________________ TITLE __________________________ DATE ________________ TIME ______________ LOCATION _____________________________________________________ I understand that I am here today to be interviewed by _____________________________ and ___________________________________ from the Office of Executive Inspector General for the Agencies of the Illinois Governor. I have been informed that this is an Administrative Investigatory Interview. I understand that this investigatory interview is part of an official administrative inquiry, and that pursuant to the State Officials and Employees Ethics Act, 5 ILCS 430/20-70, and Administrative Order No. 6 of the Illinois Governor (Dec. 2003), I am obligated to cooperate. I understand that refusal to cooperate in this investigatory interview could subject me to disciplinary action, up to and including discharge.

I understand that any false, inaccurate, or deliberately incomplete statements by me, or my refusal to answer, could result in disciplinary action up to and including discharge. I understand that any statement made by me in the course of this interview could be used as the basis for disciplinary action up to and including discharge I understand that any statement made by me in the course of this interview could be used as the basis for disciplinary action up to and including discharge.

I understand that by law any statement made by me during the course of this administrative interview, and the fruits thereof, CANNOT be used against me in a subsequent criminal proceeding. I understand that I may have a union representative, attorney, or coworker uninvolved in the investigation present with me at this investigatory interview. I understand that all OEIGG interviews are strictly confidential and that at no time may I disclose any details of this interview to anyone other than to my attorney or representative. I understand that my representative also is bound by this confidentiality provision and I irrevocably direct him or her, as my agent, to maintain the confidentiality of this interview. Further, I understand that a breach of confidentiality by me or my representative agent could subject me to discipline, up to and including discharge. I understand that I have the right to have an interview tape recorded and the right to decline to have it recorded. Withholding consent to record does not amount to non-cooperation. By affixing my signature I am acknowledging that this form was presented to me and I have had the opportunity to read it. _____________________________ ______ Employee Date _____________________________ _______ ____________________________ __________ Witness Date Witness Date

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OFFICE OF EXECUTIVE INSPECTOR GENERAL ADMINISTRATIVE RIGHTS FORM – VENDOR/CONTRACTOR (FORM 400.7 B)

NAME______________________COMPANY___________________________SSN ________________ COMPANY ADDRESS_________________________________________________________________ DATE ________________TIME ______________ LOCATION_________________________________ I understand that I am here today to be interviewed by _____________________________ and ___________________________________ from the Office of Executive Inspector General for the Agencies of the Illinois Governor (“OEIGG”). I have been informed that this is an Administrative Investigatory Interview. I understand that this investigatory interview is part of an official administrative inquiry, and that pursuant to the State Officials and Employees Ethics Act, 5 ILCS 430, et seq., Administrative Order No. 6 of the Illinois Governor (Dec. 2003), and/or by the terms of my contract, I am obligated to cooperate. I understand that if I refuse to answer questions or I provide false, inaccurate or deliberately incomplete statements, I am in violation of my contract, and/or 5 ILCS 430, et seq., and/or Administrative Order No. 6 of the Illinois Governor (Dec. 2003), and I shall be subject to the penalties imposed under that statute, Order or provision. I also understand that if I refuse to answer questions or if I provide false, inaccurate or deliberately incomplete statements, this may be used as a basis for seeking to terminate my status as a vendor or contractor for any State entity under the jurisdiction of the OEIGG, and/or to terminate any agreement that I may have to provide services to any State entity under the jurisdiction of the OEIGG. I understand that I have the right to have legal counsel present with me. I understand that I have a right to be given a reasonable time to obtain counsel. I understand that any statement or admission made by me in the course of this interview may be used as the basis for seeking to terminate my status as a vendor or contractor to any State entity under the jurisdiction of the OEIGG, and/or to terminate any agreement that I may have to provide services to any State entity under the jurisdiction of the OEIGG. I understand that by law, any admission or statement made by me during the course of this interview and the fruits thereof cannot be used against me in a subsequent criminal proceeding. I understand that all OEIGG interviews are strictly confidential and that at no time may I disclose any details of this interview to anyone other than to my attorney or representative agent. I understand that my representative agent also is bound by this confidentiality provision and I irrevocably direct him or her, as my agent, to maintain the confidentiality of this interview. Further, I understand that a breach of confidentiality by me or my representative agent could subject me to penalty. I understand that I have the right to have an interview tape recorded, and the right to decline to have it recorded. Withholding consent to record does not amount to non-cooperation. By affixing my signature I acknowledge that this form was presented to me and that I have had the opportunity to read it. _____________________________ ______ Vendor/Contractor Date _____________________________ _______ ____________________________ __________ Witness Date Witness Date

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OFFICE OF EXECUTIVE INSPECTOR GENERAL CONSENT TO RECORD INTERVIEW (FORM 400.7 C)

Date:_________ Location:__________________________Case Number: __________________

I/We__________________________________________________________________________

of (City, State) _________________________________________________________________

Hereby authorize investigator(s) ________________________ and _______________________

from the Executive Inspector General for the Agencies of the Illinois Governor to record our

interview/conversation on (Date)_______________ at _______am/pm.

I understand that I am not required to consent to such recording but have been asked whether I am willing to consent. I have given this written permission to the above-named investigator(s) freely and voluntarily and without threats or promises of any kind.

___________________________ __________________________________ Interviewee’s Signature Representative’s Signature _________________________________ _________________________________ Witnesses NOTICE: You have the right to refuse to consent to have the interview recorded. You have the right to stop the recording of the interview at any time. Refusing to consent to have the interview recorded or stopping the recording at any time shall not constitute failure to cooperate in the investigation or otherwise subject you to any discipline or penalty. However, asking to stop the recording WILL NOT STOP THIS INTERVIEW. You may request at any time that the interview again be recorded.

I understand that I am not required to consent to such recording but have been asked whether I am willing to consent. At this time I DO NOT CONSENT to the recording of this interview. ___________________________ __________________________________ Interviewee’s Signature Representative’s Signature _________________________________ _________________________________ Witnesses

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APPLICATION FOR AUDIO/VIDEO RECORDING AUTHORIZATION FORM 400.7 D

Date: ________________________ Case Number: ________________________ Assigned Investigator(s) _________________________________________________________ 1. Type of Equipment ______ Audio ______ Video w/sound ______ Video w/o sound 2. Subject(s) __________________________________________________________________ 3. Synopsis of case and reason for proposed use of recording (attach additional pages if necessary): ____________________________________________________________________ ______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________ Duration of Proposed use: ________________________________________________________ Court Order Required? _____ Yes _____ No Location of Operation: __________________________________________________________ If applicable, authorization is contingent on the consenting party executing a consent form and the recording/transmitting device being activated only when all consenting parties are present and all parties being intercepted are consenting. Counsel consulted and approved: ____ Yes Authorization: __________________________________ __________________ Supervisor Date

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POLICY 400.8 Vehicle Use Any use of an official vehicle for personal purposes, other than incidental use that is approved in advance by a supervisor, is grounds for disciplinary action up to and including termination. There is no expectation of privacy in a State vehicle.

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POLICY 400.9 The OEIGG shall, where appropriate, meet with witnesses or subjects face to face to conduct interviews during the course of its investigations. PROCEDURES OEIGG interviews are only investigatory in nature and are not to be considered Predisciplinary meetings. This is a distinction that affects both the preparation for and conduct of the interview.

The OEIGG does not impose discipline. The OEIGG investigates complaints/allegations, gathers facts, reports its findings and may at times make a recommendation for disciplinary and/or corrective action.

There should be NO discussion of possible disciplinary action, aside from the admonitions contained in the Administrative Rights Form. In other words, do not intimate or promise any disciplinary action or promise or imply that disciplinary action will not be taken. The OEIGG may, however, advise a witness that refusal to cooperate or answer questions could subject them to disciplinary action.

I. Preliminary Information A. Purpose of Interview

The purpose of an investigatory interview is to elicit relevant factual information from the interviewee. There are generally two types of witnesses we interview: 1) witnesses who may have information but are not implicated in the incident; and 2) witnesses who are implicated in the incident (“subjects”). Each individual interviewed is presumed to have information that may tend to prove or disprove an allegation.

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B. Determining The Type of Interview The type of interview must be decided prior to the interview. 1. Criminal Interview Any interview that may involve criminal activity and is being conducted jointly by the OEIGG and a law enforcement agency. 2. Administrative Interview

a. State Employees

This will be the most common type of interview. While Miranda Warnings (See FORM 400.9 B) are not required in such situations, there may be other legal concerns that govern conduct during these interviews. In order to ensure compliance with these legal concerns, a State officer or employee who is the subject of an investigation and who, based on the information available at the time of the interview, is reasonably believed likely to face discipline shall be advised of her/his Administrative Rights during the interview, including the right to presence of an attorney, or union representative, or coworker uninvolved in the investigation and the right to have the interview recorded. See FORM 400.7 A. It is crucial to remember that once Administrative Rights have been given, no information obtained during that interview session can be used against the interviewee in a subsequent criminal prosecution. See Garrity v. State of N.J., 385 U.S. 493 (1967). Failure to present these Administrative Rights may render any evidence obtained inadmissible at an Executive Ethics Commission Ethics Violation Hearing. Such failure also may make inadmissible any statement or admission obtained, and the fruits thereof, at a subsequent criminal prosecution.

b. Vendors and Contractors

While Miranda Warnings (See FORM 400.9 B) ordinarily will not be required in such situations, there may be other legal concerns that govern conduct during these interviews. In order to ensure compliance with these legal concerns, a State vendor or contractor who is the subject of an investigation, or who refuses to cooperate, shall be advised of her or his administrative rights during the interview, including the right to presence of an attorney. (See FORM 400.7 B. )

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Once Administrative Rights have been given, no information obtained during that interview session can be used criminally against the interviewee. See Garrity. Failure to present these Administrative Rights to vendors/contractors may make inadmissible any statement or admission obtained, and the fruits thereof, at a subsequent criminal prosecution.

3. Right to Representation

a. State Employees

i. A State officer or employee who is the subject of an investigation and who, based on the information available at the time of the interview, is reasonably believed likely to face discipline shall be notified as to whether the underlying investigation is criminal or administrative in nature.

ii. If the underlying investigation is criminal in nature, such as in a

joint OEIGG/law enforcement investigation, the interviewee shall be presented a form that outlines his or her rights during the interview, including the right to the presence of an attorney and right to remain silent (Miranda Warnings - FORM 400.9 B). The need for a Miranda Warning will rarely occur. Administrative Rights will not be given if Miranda Rights are to be given.

iii. If the underlying investigation is administrative in nature, the

employee shall be presented an Administrative Rights Form that outlines the interviewee's rights during the interview, including the right to presence of a union representative or coworker uninvolved in the investigation. See FORM 400.7 A.

iv In administrative investigations, the interviewee shall sign the

Administrative Rights Form, attesting to the fact that the form was presented to the interviewee and he or she was given the opportunity to read it. If, at any point, an employee requests the presence of a person authorized by this subsection, or an attorney, the interview shall be suspended and a new date and/or time set. The interviewee may not use such a request to delay an OEIGG investigation.

v In criminal investigations, the interviewee shall be presented with a

Miranda Rights form (FORM 400.9 B). The interviewee shall sign the form, attesting only to the fact that the form was presented to the interviewee and he or she was given the opportunity to read it.

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vi An OEIGG employee shall not infringe upon the right of

employees or officers to seek advice from their agency ethics officer on the interpretation and implementation of the Act, or to seek advice from private legal counsel providing that such private legal counsel was not formerly a State employee involved in the matter under investigation.


i A State vendor or contractor who is the subject of an investigation and who, based on the information available at the time of the interview, is reasonably believed likely to face discipline shall be notified as to whether the underlying investigation is criminal or administrative in nature.

ii If the underlying investigation is criminal in nature, such as with a

joint OEIGG/law enforcement investigation, the interviewee shall be presented a form that outlines his or her rights during the interview, including the right to the presence of an attorney and right to remain silent (Miranda Warnings - FORM 400.9 B)). The need for a Miranda Warning will rarely occur.

iii If the underlying investigation is administrative in nature, a

vendor/contractor interviewee who is the subject of an investigation or who refuses to cooperate with an investigation shall be presented an Administrative Rights Form-Vendor/Contractor that outlines the interviewee's right to legal representation. See FORM 400.7 B.

iv In both criminal and administrative investigations, the

vendor/contractor interviewee shall sign the appropriate form, attesting to the fact that the form was presented to the interviewee and he or she was given the opportunity to read it. If, at any point, a vendor/contractor interviewee requests the presence of an attorney, the interview shall be suspended and a new date and/or time set. The vendor/contractor interviewee may not use such request to delay an OEIGG investigation.

v No Executive Inspector General shall infringe upon the right of a

vendor or contractor to seek advice from private legal counsel providing that such private legal counsel was/is not involved in the matter under investigation.

.

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A failure to comply with these requirements may render any evidence obtained inadmissible at an Executive Ethics Commission Ethics Violation Hearing. Also, such failure may make inadmissible any statement or admission obtained, and the fruits thereof, at a subsequent criminal prosecution.

4. Scheduling Interviews

NOTE: In-person interviews of subjects or key witnesses are required, unless circumstances prevent such an interview. Consult your supervisor. Telephone interviews are permissible for witnesses who have background information (i.e. work schedule, job duties), or technical information (i.e. the general process of a system, like how a case is assigned). Some interviews are best conducted without prior notice. There is a risk, however, that a so-called “background witness” may be entitled to specific rights and notices, the provision of which cannot be proven (no signed acknowledgement form) if a telephone interview is conducted. Therefore, consult your supervisor prior to initiating any telephone interview.

a. In planning interviews, determine the order in which persons with relevant

information are to be interviewed. Generally, the subject of the complaint will be interviewed last, but there may be cases where an earlier interview is required. Investigators must consult with their supervisors prior to conducting or scheduling interviews.

b. Some interviews are best conducted without prior notice, but if it is a

subject or witness to whom Administrative Rights apply, they must be afforded those rights.

c. Interviews should be scheduled with subjects or witnesses by telephone.

Investigators should identify themselves and indicate that the interview is in relation to a complaint that the OEIGG is investigating. Do not reveal the source of the complaint or the specific allegation. Indicate that it is an investigation into misconduct about which they may have relevant information. The investigator shall inform the interviewee as to whether he or she is a subject of the investigation. If the interviewee is a State employee, inform him or her that they have the right to bring a co-worker, Union representative or attorney uninvolved in the investigation, and that they are required to cooperate with the investigation. If the interviewee is a State vendor or contractor, inform him or her that they have the right to bring an attorney, and that they are required to cooperate with the investigation. The amount of advance notice depends on the situation. Set a specific date, time and place for the interview. Efforts should be made not to unduly inconvenience the operation of State government.

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d. The interview should be scheduled during an employee’s regular workday, or during his or her regular shift hours. If an employee prefers to schedule a non-work time interview, that request should be granted; but the employee will not be paid for that time. Investigators should consult with their supervisors regarding compensation time for interviewing evening and night shift workers during the interviewee’s regular work hours.

e. Failure of an employee to appear at a prescheduled interview should be

documented in a report. After consulting with a supervisor, a second interview should be scheduled and written notification sent to the individual. This notification should indicate that failure to appear could subject the employee to disciplinary action. Also, consider notifying that person’s supervisor to ensure attendance at the interview and/or arranging through the department liaison for a supervisor to be present in order to direct the witness to cooperate if she or he refuses again. Consult with your supervisor and the Assistant Inspector General assigned to the case to determine whether to issue a subpoena.

II. Conducting The Interview

A. Procedure 1. Professionalism is an important part of the interview. The investigator should be

businesslike and avoid any personality clashes, acts of undue familiarity, and use of profanity.

2. The investigator must understand the high level of responsibility she or he carries,

and shall treat all persons interviewed with respect and not unduly embarrass, inconvenience, intimidate or degrade the interviewee.

3. Any armed State employee present shall not use his or her firearms in any manner

that might intimidate, unless he or she, or anyone else present in the room, is physically threatened or an arrest is to be made.

NOTE: A violation of A-1, A-2 or A-3 may render any evidence obtained inadmissible at an Executive Ethics Commission Ethics Violation Hearing.

4. In the course of an interview, interviewees enjoy all applicable rights protected by

the Constitution of the United States and federal and State law. The duty to cooperate in investigations as provided at 5 ILCS 430/20-70 does not include restriction on those rights.

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5. The investigator should introduce him/herself, display OEIGG identification and introduce any other personnel present.

6. The investigator should request photo identification from the witness to confirm

his or her identity, and ask the names of any representative attending with the witness. Investigators should obtain a business card or confirm the spelling of the representative’s name and contact information.

7. The investigator should briefly introduce the office and its function. 8. If the interview subject believes that the investigator has operated in violation of 2

Ill Adm Code 1620, or in violation of applicable law, he or she may file a written appeal with the Executive Ethics Commission. If the investigator is notified of the interviewee’s intent to file an appeal, the investigator shall immediately notify her or his supervisors, who in turn will notify the First Deputy.

NOTE: The Investigator should be careful not to reveal sources of information, and should stress that the confidentiality of the investigation extends to interviewees and their representatives, as well. Interviewees and their representative agents should be cautioned not to discuss the interview or reveal any information discussed during the interview with anyone other than their representative under penalty of possible discipline. See 5 ILCS 430/20-90.

9. A State employee, vendor or contractor who is the subject of an investigation and

who, based on the information available at the time of the interview, is reasonably believed likely to face discipline, shall be presented a form that outlines his or her rights during the interview, including their Administrative Rights and the right to have all interviews recorded. See FORM 400.7 A and FORM 400.7 B.

10. The investigator shall present the interviewee with a copy of the Administrative

Rights Form, fill in blanks, read each provision to the interviewee and then inquire if she or he understands their rights. If given Administrative Rights, the interviewee should sign and date the form. OEIGG personnel who are present should sign the form as witnesses. See FORM 400.7 A and FORM 400.7 B.

11. If the interviewee refuses to sign the form, inform him/her it is merely an

acknowledgment that she or he was presented with the Administrative Rights form and that they were given an opportunity to review it. If the interviewee persists in his or her refusal to sign the form, the investigator should make a written note of that fact on the bottom of the form. If the interviewee refuses to continue with the interview, refer to Section II.B, Refusal to Cooperate.

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12. Request to Record a. State Employees

A Consent to Record Form (FORM 400.7 C) shall clearly indicate that the interviewee has the right to refuse to consent to have the interview recorded and the right to stop the recording of the interview at any time and that refusing to consent to have the interview recorded or stopping the recording at any time shall not constitute failure to cooperate in the investigation or otherwise subject the interviewee to any discipline. The form shall also indicate that the interviewee may request at any time that the interview be recorded. If the interviewee requests at any time that the interview be recorded, the interviewer shall honor this request, stop the interview and immediately provide the employee the appropriate Request to Record Form. Upon execution of a Consent to Record Form, the interview and all future interviews of the subject shall be recorded by mechanical, digital or other means. Illinois law requires that ALL persons being recorded must consent to being recorded, therefore, investigators must obtain such consent in writing. Evidence obtained at an interview conducted in violation of this section may be inadmissible at an Executive Ethics Commission Ethics Violation Hearing. (See FORM 400.7 C .)


A Consent to Record Form (FORM 400.7 C) shall clearly indicate that the interviewee has the right to refuse to consent to have the interview recorded and the right to stop the recording of the interview at any time and that refusing to consent to have the interview recorded or stopping the recording at any time shall not constitute failure to cooperate in the investigation or otherwise subject the interviewee to any discipline. The form shall also indicate that the interviewee may request at any time that the interview be recorded. If the interviewee requests at any time that the interview be recorded, the interviewer shall honor this request, stop the interview and immediately provide the interviewee a Consent to Record Form. Illinois law requires that ALL persons being recorded must consent to being recorded, therefore, obtain such consent in writing. (See FORM 400.7 C.)

13. Nothing in this subsection shall be construed to require the recording of

interviews other than pursuant to an appropriately executed request and consent of the subject or person likely to face discipline. (See FORM 400.7 C.)

NOTE: A violation of A-9, A-10 or A-12(a) may render any evidence obtained inadmissible at an Executive Ethics Commission Ethics Violation Hearing.

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14. If the interviewee or representative do not consent to a recording, the investigator should write REFUSED on the Consent to Record form and both OEIGG personnel should sign the form as witnesses. The interview should continue without taping. The audio recorder should be unplugged, the recording medium removed, and the device removed from the table. Evidence obtained at a State employee’s interview conducted in violation of this section may be inadmissible at an Executive Ethics Commission Ethics Violation Hearing. (See FORM 400.7 C.)

15. Notes are essential to an effective interview and investigation. Every effort

should be made by the interviewer taking notes to accurately summarize statements made by the interviewee. If any answer is unclear, the note taker should interrupt and seek clarification from the witness. Notes on interviews shall contain: the case number; the date, time, and place of interview; the names of those present; and a summary of the interview. Investigation notes should be reduced to electronic report form as soon as possible after the event, surveillance, etc.

16. Prior to questioning, the interviewee should be asked by the investigator to acknowledge: a. If they are currently on medication that might inhibit their ability to fully answer the questions (if yes, explain); and

b. If they have any physical or mental condition that may affect their ability to fully answer the questions (if yes, explain); and c. If during the course of the interview they do not understand a question, to indicate to the investigator their lack of understanding; and d. If during the course of the interview they believe any prior answer was incorrect, to indicate to the investigator which prior answer(s) is incorrect.

17. If an interviewee refuses to answer questions, the investigator should ask him/her

why. The interviewee should be reminded that she or he is obligated to cooperate and answer questions. If the employee has been advised of their Administrative Rights, remind him or her that information provided in that interview cannot be used in a subsequent criminal prosecution.

18. When interviewing a complainant, she or he may ask for notification of the results

of the investigation. She or he should be informed by the investigator that such information or reports WILL NOT be provided. Reports are only provided to the appropriate Ultimate Jurisdictional Authority, the appropriate State agency, and under limited circumstances, to the EEC, and/or to law enforcement and prosecutors.

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19. The investigator must maintain control of the interview at all times. 20. Investigators may assist the recollection of an interviewee if she or he cannot

remember a particular fact. The Investigator may ask leading questions to prompt the memory of the witness. The Investigator should rarely reveal the precise objective of the interview to the interviewee but should seek to gather facts.

B. Refusal to Cooperate

1. Employees, vendors and contractors are required to cooperate with OEIGG

investigations pursuant to 5 ILCS 430, et seq., and/or Administrative Order Number 6, and/or the terms of their contracts. In addition, many State agencies have rules requiring their employees, contractors, and subcontractors to cooperate with official investigations (such as those conducted by the OEIGG).

2. In the course of an interview, interviewees enjoy all applicable rights

protected by the Constitution of the United States and federal and State law. The duty to cooperate in investigations as provided at 5 ILCS 430/20-70 does not include restriction on those rights. Any person may complain to the Executive Ethics Commission in writing concerning an alleged violation by the OEIGG.

3. Once “use immunity” is conferred by informing the subject of his or her

Administrative Rights, there is no constitutional right to refuse to answer questions in an administrative setting.

4. Once Administrative Rights are given, the person has no right to refuse to

answer questions and the reasons are immaterial, though it may help to uncover the reasons for the refusal. The interviewee should be reminded that she or he is required to cooperate and answer questions because there can be no criminal use of his or her statements or admissions, but that discipline, or cancellation of some or all contracts, could result from failure to cooperate.

5. If an interviewee continues to refuse to be interviewed, state clearly that the

interview is suspended due to their non-cooperation.

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C. Representation of Employees, Vendors, and Contractors at Interviews

Any person who attends the interview as a representative agent: e.g., union representative, personal attorney, or co-worker should be treated with courtesy, and confrontations should be avoided. The investigator should obtain the representative agent’s name and contact information.

1. State Employees - Union representative (a.k.a. union steward)

i. Only one union steward uninvolved in the investigation is permitted to

attend an interview. If the employee cites difficulty in obtaining union representation as the reason for unavailability for the interview, the investigator should inform his or her supervisor. Some employees may not be union members but may be represented by the Illinois State Employees Association/Professionals – this is not a Bargaining Unit – it is an independent labor organization that has merged with the Laborers International Union to form the ISEA, Local 2002. ISEA provides union-type representation to non-union employees (i.e. Merit Comp or Salary Grade titles) who contribute. These representatives do not have any greater rights than regular union stewards or representatives. No union representative who is involved in the investigation may attend an OEIGG interview as an employee’s representative.

ii. At the start of the interview, the representative agent should be informed

that she or he is not a participant and may not obstruct or disrupt the interviewing process. If the representative believes that an answer requires clarification, the representative may state that after the question has been answered. The representative can request breaks, but cannot answer questions; and once a question is asked, the representative agent may not confer with the employee prior to the employee’s answer. See NLRB v. J. Weingarten, Inc., 420 US 251 (1975),

iii. If it appears that the representative agent is suggesting answers for the

interviewee or otherwise interfering in the interview, the investigator should state that this is not acceptable and inform the interviewee that such actions may constitute refusal by the interviewee to cooperate if continued. Non-cooperation by a representative agent is chargeable against the employee because the representative is the agent of the employee and is under his or her direction. If it continues, the investigator should advise the interviewee of the potential consequences of non-cooperation. If the disruptions continue, the investigator should suspend the interview for non-cooperation and promptly notify a supervisor.

NOTE: The investigator must honor requests for a representative agent at the interview, as long as it does not unreasonably delay the investigation. If a right to representation exists and the request is denied, case law and many union contracts

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provide that the information from the interview cannot be used against a person in a subsequent disciplinary action. See NLRB v. J. Weingarten, Inc., 420 US 251 (1975) (“Weingarten”), and AFSCME Agreement Article IX, sec 6(b). However, a witness may not use a request for a representative to repeatedly delay an interview.

2. State Employees - Private Attorneys/Non-Union Representatives/State Agency Attorneys Employees not covered by a collective bargaining agreement may have a private attorney or other employee (who is not involved in the misconduct, does not have personal knowledge of the events, and is not a potential witness) present during the interview. These representatives should be advised of the same rules as union representatives. Only with the express approval of the Executive Inspector General or First Deputy Inspector General may an Ethics Officer, General Counsel or any other lawyer for a State agency act as representative for an interviewee. If a State agency attorney will not allow an interview to proceed without a State agency lawyer or ethics officer present, the investigator should contact his or her supervisor. Additionally, the investigator should establish at the outset of an interview that (i) the interviewee, and not the agency, has requested the presence of the representative, and (ii) that the interviewee’s representative agent will keep the contents of the interview confidential. No attorney or ethics officer who is involved in the investigation may attend an OEIGG interview as an employee’s representative.

3. Vendors and Contractors – Right to Counsel State vendors and contractors are entitled to have legal counsel present at the interview, and they shall be given reasonable time to obtain counsel.

III. Written Statements A. Definition A “statement” is the written declaration of matters of fact, not under oath, but properly signed and witnessed. This policy concerns volitional written statements.

B. When Appropriate

1. If a subject makes a statement corroborating the allegation.

2. If the interviewee has information relevant to the investigation and there is reason to believe that she or he may later be influenced to change or retract his or her oral statement.

3. If the interviewee has relevant information and the investigator has reason to believe she or he may be unavailable to testify later.

4. If made and written at the time of the interview.

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C. Procedure

1. Every attempt should be made to have the interviewee write the statement in his or her own handwriting using FORM 400.9 A.

2. The statement should be dated and clearly identify the person providing the statement. The closing of the statement should indicate that the person giving the statement has voluntarily given the statement without duress, reward, or promise of reward; and if she or he does not write out the statement, the interviewee should indicate that she or he has read , understood, and approves the statement.

3. At least one witness should sign the statement confirming its validity.

4. If the interviewee provides a written statement but refuses to sign the statement after it has been given, the witnesses shall indicate that fact and sign the statement. Any verbal confirmation or refutation by the interviewee of the accuracy of the statement should be noted in the investigator’s report.

D. Suggestions

1. If the statement is written, it should be in the interviewee’s handwriting. The investigator can use interview notes to ensure the completeness and accuracy of the statement.

2. Where the investigator must write the statement himself or herself, the interviewee must read or be given ample opportunity to read the full content of the statement prior to signing it. If the interviewee cannot read, then the investigator must read the statement to the interviewee in the presence of at least one other witness.

3. Where the investigator must write out the statement, it should be written in the words of the interviewee. The statement should reflect the vocabulary and grammar of the interviewee, unless that would make the statement unintelligible or embarrassing. In any event the statement should not include words that the interviewee would not use in everyday speaking.

4. The statement should only include comments on issues directly related to the issues under investigation.

5. Before signing the statement, the interviewee and witnesses should sign each page and initial any corrections to avoid having the interviewee later indicate that the text had been altered or that she or he had not read it.

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OFFICE OF EXECUTIVE INSPECTOR GENERAL WRITTEN STATEMENT FORM (FORM 400.9 A)

Date__________________Time____________________Location__________________

I_____________________________________________D.O.B._______/_______/________ First Name Middle Name Last Name Social Security Number______________________________ Reside at___________________________________________________________________. Street Number Street Name City State I have been advised of my Administrative Rights by_________________________________. Name ID# identified to me as an investigator with the Office of Executive Inspector General. I state that I understand my Administrative Rights. I hereby voluntarily agree to make the following statement which is made of my own free will, without promise of reward or favor, without fear or threat of physical harm, without coercion, and without offer of leniency by any person or persons.

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Page_________of_________ I have read this statement and I affirm to the truth and accuracy of the facts contained therein. Signature_______________________Date_______________Time Witness________________________Date_______________Time Witness________________________Date_______________Time

Page________of________

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C H I C A G O , IL L I N O I S 6 0 6 0 1 (3 1 2 ) 8 1 4 -5 6 00

MIRANDA WARNING FORM (FORM 400.9 B)

Do you understand that you have the right to remain silent? Do you understand that anything you say can and will be used against you in court of law or other proceeding? Do you understand that you have the right to speak with an attorney before we ask you any questions, and to have an attorney present with you during questioning? If you cannot afford or otherwise obtain an attorney and you want one, an attorney will be appointed for you and we will not ask any questions until one has been appointed. Do you understand? If you decide to answer questions now without an attorney present you will still have the right to stop answering at any time until you speak with an attorney. Do you understand? Do you understand each of these rights? With these rights in mind do you wish to answer questions at this time? ____________________________ ______________________ Signature Date ____________________________ ______________________ Signature of Investigator Date


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POLICY 400.10 The OEIGG shall maintain an accurate and complete record of each investigation. PROCEDURES I. OEIGG INVESTIGATIVE CASE FILE MANAGEMENT Original case files should be cared for in a manner that ensures that the materials contained therein are above reproach. A. Contents of Investigative Case Files

1. Complaint Form – Secure to the RIGHT-hand side of the file folder: 1) original complaint form provided to the OEIGG, and 2) any documentation provided to the OEIGG with the original complaint.

2. Complaint Database Printout – Secure to the LEFT-hand side of the file folder: 1)

a copy of the electronic intake form. Investigators are responsible for ensuring that all information is accurate and up to date.

3. Case Worksheet – Secured on the LEFT-hand side of the file folder. The case

worksheet must contain all significant events during the investigation, including dates of events and dates documents are received. Indicate if an interviewee is affiliated with any union. Finally, the worksheet should indicate the date an investigative report is written.

NOTE: All investigative steps should be recorded on the worksheet, but every action recorded on the worksheet may not have a corresponding investigative report. For example, the worksheet should indicate any attempt to contact a witness, but there would only be a report of interview when the witness is interviewed.

4. Investigative Reports – Secured to the RIGHT-hand side of the file folder. Reports shall be typed on the Investigative Report Form in Arial 10 point font. Reports shall be signed by the investigator and submitted to a supervisor as soon as they are completed for review and approval. The author should be referred to as Reporting Investigator (“RI”). The “date of the report” should be the date the report is written, the “date” should be the date the investigative action took place – these dates may differ. An investigator shall properly document all investigative activities using four basic Investigatory Reports: Report of Interview; Report of Documents or Evidence Received; Report of Surveillance; and Informational Report. These reports shall be completed promptly after the activity occurs. All investigative reports should be saved onto the P drive (in the investigator’s personal network folder). The investigator should create separate folders for each case and save reports into the corresponding P drive folder. If an investigator is not the lead investigator but has prepared a report on a case, she or

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he should print out the report, sign it and submit it to a supervisor. Also, e-mail the report to the lead investigator as an encrypted attachment. The lead investigator should access the attachment, ensure that she or he has the complete report, save the attachment into the corresponding P drive folder for that case, and then send an e-mail message back indicating that the report has been received and saved. The author should then delete the report from his or her P drive. In other words, only the lead investigator for that case should save all investigative reports.

a. Interview Report – Must contain who, what, when, where-type of information.

i. For interviews that are audio recorded, the report should indicate that the interview was recorded with the interviewee’s consent and the consent to tape form as well as the Administrative Rights Form should be attached. This report should include the names of all persons present, the date, time and location of the interview and a brief summary of any key points made by the interviewee. The tape should be assigned a sequential Addendum number. The original tape should be processed as required under Policy 400.7 (F)(4). Notes are permitted during taped interviews.

ii. For un-taped interviews, the report should recount in sufficient

detail what took place during the interview. Consider having the witness write out and sign a statement. See Policy 400.9 (III).

iii. Witnesses shall not be shown reports or asked to correct or proofread reports of interviews.

b. Report of Documents (or other Evidence) Received – Report shall state

when, from where, or from whom documents were received. The report should include a brief description of what the documents are (i.e. work history, time sheets, photographs, etc.), an indication of any other significant characteristics (i.e. original documents, double sided, color copies) and a brief summary of the documents relevancy.

c. Report of Surveillance – Must contain all relevant observations and record

times, locations, dates and a brief summary of any relevant surveillance results. It is imperative that these reports are consistent in how they are phrased. These reports will be titled “Surveillance of [indicate name of person]” if that person is observed during the surveillance. Where the subject is not observed, these reports will be titled “Report of Surveillance at [indicate location].”

d. Informational Reports – Reports to convey information gathered in other

ways (i.e. by an Internet search, reviewing documents, etc.).

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e. Transcript reports – Report shall state when, from where, or from whom the transcripts were received. It shall state whose statement was transcribed, who was present, and a very brief description of the topics covered during the statement.

NOTE: Investigative reports must not contain finding recommendations.

5. Evidence – All documents received during the course of an investigation should be memorialized in an Investigative Report.

NOTE: Investigators should never mark, or allow anyone else to mark, original copies. Any markings should only be done on working copies. Original documents are anything not prepared by the OEIGG which include actual original documents and original photocopies.

a. Documents - A report memorializing their receipt should be made, and the

documents should be placed in an envelope and assigned a consecutive Addendum letter. Post-it notes or paperclips should be used to flag important pages. Copies should be made of significant documents and attached to any investigative reports that reference them. These copies should be referred to as attachments to the report and should be stapled to the report.

NOTE: For any evidence for which a Chain of Custody must be maintained, prepare a report using FORM 500.4 A to briefly describe the evidence received and to acknowledge receipt. Also, consider making a copy of documents for that witness with the receipt. Note any receipt or copy made and given to a witness.

b. Audio/Video/CD/DVD - A report including a brief description of its

purported contents should memorialize the receipt of any such medium. The tape/disc should be assigned a sequential addendum number. The investigator should make a copy to avoid contamination of the original if she or he needs to reference the materials often.

NOTE: For cases with a large number of addenda, consider using a larger “Redwell folder” to keep the investigative case file organized.

B. Working File

1. Investigators and attorneys may find that creating a working file for each case they are assigned is helpful. No original documents should be stored in the working file. When an investigation is complete and the investigator turns in the original case file, the working file should also be retained by the investigator until notified that the case has been closed. Once a case is closed, investigators should

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destroy their working file by shredding and/or electronic file erasure and not retain any documents or electronic files. (See following section.)

2. Attorneys must destroy their working file by shredding and/or electronic file

erasure when discovery has been completed and/or the report is forwarded to the agency.

II. CLOSING AN OEIGG INVESTIGATIVE CASE FILE A. When investigatory steps are finished, prepare:

1. A Table of Contents listing all of the investigative reports by date and subject, including attachments. (Ensure all reports are signed);

2. A list of all addenda;

3. A list of all persons interviewed in person or telephonically including contact

information and union affiliation, if applicable; and

4. A Case Summary Report. See Policy 400.3(C)(2). B. Turn in case file and all addenda. C. After a case has been closed and a Final Report has been prepared on behalf of the office,

the lead investigator in a case will be informed either by e-mail message or verbally that the case has been officially closed. The investigator will then be instructed to save all investigative reports onto a diskette. Ensure that all reports have been saved onto the diskette, delete the folder on the P drive for that case, then label the diskette with the case number, place it in an envelope labeled "Diskette of Investigative Reports for Case No. __" and give to a paralegal for filing with the original case file. Also, the working file should be destroyed by shredding and/or electronic file erasure. In other words, after a final report has been issued by the office, investigators should not retain any documents or reports. (See also, POLICY 400.4(A).)

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POLICY 400.11 The OEIGG shall document and report its investigations as required by law. PROCEDURES OEIGG Reports The OEIGG creates Nine (9) types of regular reports, some of which are reports that must be sent to the Executive Ethics Commission, and/or to the Ultimate Jurisdictional Authorities. Other reports are generated as deemed necessary.

A. Final Report: A report summarizing the background of the investigation, the allegations, the investigative steps taken, any misconduct found, conclusion(s) and recommendation(s) for discipline and other corrective action FOUNDED reports will be completed in narrative form, accompanied by FORM 400.3 C, and UNFOUNDED reports will be completed on FORM 400.3 D.

B. Agency Alert Reports: Issued as a written Memorandum or Letter of Recommendation to address systemic personnel, policy, and/or procedural problems observed within an agency during the course of an investigation. An Agency Alert Report also may be sent to an agency to alert the entity to exigent circumstances, such as life/safety issues, an ongoing loss of State funds due to misconduct, and evidence of felonious criminal misconduct.

C. Monthly Investigation Aging Report: Report on investigations more than 180 days in duration. Due on the 15th of every month.

D. Monthly Ultimate Jurisdictional Authority (“UJA”) Investigation Aging Report: Report on investigations more than 180 days in duration and involving an Ultimate Jurisdictional Authority. Due on the 15th of every month.

E. Monthly College/University Investigation Aging Report: Report on investigations more than 180 days in duration and involving a State university or a community college under OEIGG jurisdiction. Due on the 15th of every month.

F. Monthly Investigations Opened Report: Summary report of investigations initiated in a given month. Due on the 15th of every month.

G. Monthly Investigations Closed Report: Summary report of investigations closed in a given month. Due on the 15th of every month.

H. Quarterly Report: Statistical report on OEIGG activities during the prior fiscal quarter-year. Submitted four times annually to the Executive Ethics Commission.

I. Annual Report: Optional statistical report on OEIGG activities during the prior fiscal year. This is the only report that may be released publicly.

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POLICY 500.1 The OEIGG shall work to protect the confidentiality of all of its investigations and shall keep investigative materials in a secure location.

PROCEDURES Filing and Security of Case Folders A. The Director of Investigations and/or the First Deputy Inspector General will ensure that

the original case file and all documentation have been reviewed and approved. The Director of Investigations or the First Deputy Inspector General shall then forward the case folder to the Intake Unit. The Intake Unit shall place a stamp stating “CLOSED” on the envelope and file it with other matters that have been closed.

B. The Intake Unit will be responsible for maintaining the security of closed and open files

in the possession of the unit. Access of OEIGG staff to files will be provided as follows:

1. The individual seeking access shall request a file from the Intake Unit.

2. Intake Unit personnel shall then retrieve the file, replace it with an Out Card and

hand the case folder to the requestor. The Intake Unit shall record on the Out Card that date and name of the person who requested and received the file.

3. The person to whom the file has been provided will be responsible for the file’s

security until such time it is returned to the Intake Unit. After business hours the file must be secured.

4. When the file is returned to the Intake Unit, the Intake Unit will restore the file to

its proper place and remove the Out Card.

C. The First Deputy Inspector General or General Counsel shall review and approve all

requests made by non-OEIGG personnel for access to and copying of investigative files or parts thereof. Any request from an outside agency for access to or copies of investigative files shall be consistent with all law and procedures.

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POLICY 500.2 It is the policy of the OEIGG to maintain a workplace that is secure and safe and to maintain the confidentiality of information, investigations, informants and witnesses while maintaining a professional environment. Interviews with subjects and witnesses that take place in the OEIGG offices shall be conducted in a manner that protects the privacy and confidentiality of these individuals as well as the confidentiality of other ongoing matters.

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POLICY 500.3 The OEIGG strives to maintain a workplace that is secure and safe. Mail and other items delivered to the OEIGG pose a potential security threat and must be handled with safety and security in mind. PROCEDURES A. Receipt of Mail and Deliveries

With the exception of persons known to the receptionist, no one attempting to deliver mail or other items will be admitted to, or permitted to remain in, the OEIGG offices without presenting proper identification and signing the reception sign-in book. All mail sent through the U.S. Postal Service will first be sent to Central Management Services for scanning purposes.

B. Logging Mail, Deliveries and Facsimiles

All mail delivered by the U.S. Postal Service, private delivery company, CMS or by hand will be date stamped by the Receptionist or a designated individual in her absence. All envelopes received with the mail shall be retained together with the original correspondence. No other employee, visitor or supervisor should handle the mail prior to stamping by the Receptionist.

C. Delivery of Legal Papers

If a process server or attorney attempts delivery of any legal papers, an OEIGG lawyer should be contacted immediately. If the deliverer will not wait or an OEIGG lawyer is not available, the receptionist should not sign for the papers. If the deliverer leaves them on the premises, they should be stamped as set forth in this policy. Opened envelopes should remain with legal papers and not be discarded. The OEIGG General Counsel shall be promptly notified of the delivery or attempted delivery.

D. Outgoing Mail

All outgoing business mail should be given to the main receptionist in the OEIGG office prior to being placed in the outgoing mail bin. Personal mail should not be submitted for postal metering and constitutes actionable misconduct.

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POLICY 500.4 The secure storage of evidence is an important component of a successful investigation. The OEIGG shall provide the space, materials and personnel that are necessary for the proper storage of evidence. IMPORTANT NOTE: If evidence is seized pursuant to 1) issuance of an OEIGG subpoena because the agency or employee is appealing our acquisition of the evidence to the Executive Ethics Commission AND 2) the OEIGG was notified at the time of seizure of the agency’s appeal, then the evidence must be bagged/boxed and securely sealed on site, i.e., at the agency. Both OEIGG investigators and the agency recipient/office manager must sign the evidence security labels. Every such package/box/bag/envelope shall be sealed with evidence security tape and security labels. However, If the OEIGG is first notified of an appeal after seizure of the evidence, examination of the evidence must cease pending the determination of the Commission. ONLY THE EXECUTIVE INSPECTOR GENERAL, FIRST DEPUTY OR DIRECTOR OF INVESTIGATIONS MAY AUTHORIZE THE OPENING OF SEALED EVIDENCE.

Sealed evidence must not be inspected or opened, and the seal must not be broken, until the Executive Ethics Commission has made its determination. If the seal is broken in violation of these rules, the evidence may be inadmissible at an Executive Ethics Commission Ethics Violation Hearing. The individual who broke the seal also is subject to discipline, up to and including discharge. Each time an investigator requests or subpoenas evidence from a State agency, the agency representative must be given a copy of FORM 400.6 A.

For example: A. For agency/entity files, records, devices, etc. that an investigator expects an agency to

mail to the OEIGG, a completed Document Request Form shall be e-mailed to the entity. (See FORM 400.6 A.)

B. For agency/entity files, records, devices, etc. that an investigator will pick-up in person:

1. In the absence of concerns that the evidence will be compromised, the investigator shall forward a completed Document Request Form (FORM 400.6 A) to the entity via e-mail.

2. Upon arrival at the agency to acquire the evidence, the investigator will present a

printed version of the Document Request Form. (See FORM 400.6 A.)

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C. If after arriving at the agency the investigator learns that the agency will file an appeal with the Executive Ethics Commission, the investigator may serve the prepared subpoena, seal the evidence on-site, and remove it to the OEIGG offices. (See POLICY 500.4 (I) Custody of Evidence.)

D. For agency/entity files, records, devices, etc. that an investigator will seize without

advance notice pursuant to a subpoena:

1. The investigator will present the agency representative with a printed copy of the Document Request Form in order to serve notice upon the agency of its right to appeal. (See FORM 400.6 A.)

2. The investigator will serve the prepared subpoena, seal the evidence on-site, and

remove it to the OEIGG offices. (See POLICY 500.4 (I) Custody of Evidence.) PROCEDURES I. Custody of Evidence All evidence and case files shall be properly secured and stored at all times to prohibit contamination of original documents or evidence, and to maintain the necessary evidentiary Chain of Custody. Failure to do so could result in discipline up to, and including, discharge.

PROCEDURAL SUMMARY

A. Investigator takes possession of the evidence, either upon initial seizure, or upon later removal from OEIGG Evidence Room for examination – INVESTIGATOR signs appropriate forms to show she or he now has custody.

B. Evidence Custodian takes possession of the evidence, either upon initial turn-in by

investigator following seizure, or upon later return to OEIGG Evidence Room following examination by investigator. Evidence Custodian signs appropriate forms to show she or he now has custody.

II. Upon Seizure A. Seizure Under Subpoena AND Under Agency Appeal

1. The evidence must be bagged/boxed and sealed on site. Both investigators and the agency recipient must sign the evidence security labels. Every package/box/bag/envelope shall also be sealed with evidence tape and with security labels. When the items are brought to the OEIGG office, a photocopy of the Document and Property Receipt form (See FORM 500.4 A) will be attached to each individual package of evidence and each will be marked with the OEIGG case number.

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2. At the time/place of seizure, a Document and Property Receipt form (FORM

500.4 A) must be completed and signed by the investigator and a copy given to the appropriate person at the agency from which the evidence was acquired. The original Document and Property Receipt form is to be included as an addendum in the investigative case file. All evidence for which a chain of custody is required must be delivered to the respective Evidence Custodian and kept in an OEIGG Locked Evidence Room in Chicago or Springfield when not in use by investigative staff. Investigators who seize evidence are responsible for securing the evidence, for completing the appropriate receipt form as described herein, and for depositing the evidence into a Locked Evidence Room. (See Policy 500.4 (VII).)

B. Acquisitions – Voluntary Or By Subpoena – NO AGENCY PROTEST

1. At the time/place of seizure, a Document and Property Receipt form (See FORM 500.4 A) must be completed and signed by the investigator and a copy given to the appropriate person at the agency from which the evidence was acquired. The original Document and Property Receipt form is to be included as an addendum in the investigative case file. All evidence for which a chain of custody is required must be delivered to the respective Evidence Custodian and kept in an OEIGG Locked Evidence Room in Chicago or Springfield when not in use by investigative staff. Investigators who seize evidence are responsible for securing the evidence, for completing the appropriate receipt form as described herein, and for depositing the evidence in a Locked Evidence Room.

2. When the items are brought to the OEIGG office, a photocopy of the Document

and Property Receipt form (See FORM 500.4 A) will be attached to each individual package of evidence and each will be marked with the OEIGG case number.

III. Following Seizure A. The Evidence Custodian, Backup Evidence Custodian, or approved supervisor will

provide access to a Locked Evidence Room in Chicago or Springfield for secure storage of the evidence, and will complete an Evidence Receipt and Inventory Record form (FORM 500.4 B) and electronic copy of the Evidence Log on the O:\ drive. (After Hours: Evidence will be secured in a Locked Evidence Room or in a locked office in the event it is not possible to gain access to one of the Locked Evidence Rooms. If this is not feasible, contact the Director of Investigations for storage and documentation instructions.) The original Evidence Receipt and Inventory Record form will be kept with the evidentiary item at all times, and a copy will be maintained in the case file.

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B. Once the evidence has been acquired by the OEIGG, all evidence for which a Chain of Custody must be preserved must be accompanied by an Evidence Receipt and Inventory Record. The Evidence Receipt and Inventory Record form will only contain one piece of hardware (laptop, computer, USB device) and all required fields will be completed by one of the investigators who seized the evidence. However, the Evidence Receipt and Inventory Record form can contain multiple documents or multiple disks per form.

IV Evidence Seized Under Subpoena — Agency Gives Notice of Appeal

A. This sealed evidence must not be inspected or opened, and the seal must not be

broken, until the EEC has made its determination. The recipient’s right to appeal will be preserved and the evidence will be held under seal by the OEIGG pending said determination.

B. If the seal is broken in violation of POLICY 500.4 (II)(A), the evidence may be

inadmissible at an Executive Ethics Commission Ethics Violation Hearing. C. If no notice of appeal is received until after OEIGG inspection of the evidence has

begun, said inspection will immediately cease pending the determination of the Commission

V. All Evidence

A. Each time evidence is moved out of, or in to, a Locked Evidence Room, the change in custody must be documented on an Evidence Receipt and Inventory Record form by the person taking possession of the evidence. The Evidence Custodian must document the placement of evidence into the Locked Evidence Room upon each movement thereto. The investigator who takes possession of evidence will document the taking of custody each time evidence is removed from the Locked Evidence Room by completing the Evidence Log in the evidence room and the Chain of Custody section of the Evidence Receipt and Inventory Record form. The Evidence Custodian, Backup Evidence Custodian, or approved supervisor, will complete an electronic copy of the Evidence Log on the O:\ drive.

B. Evidence may not be stored overnight outside of a Locked Evidence Room except

as herein provided, and may not be removed from OEIGG premises without the approval of the Director or his or her designee. This policy applies to, but is not limited to, electronic devices, computers, cellular phones, pagers, electronic data records, storage devices and media, as well as other physical evidence such as negotiable instruments, cash, credentials, firearms, and contraband and unlawful items.

C. Original electronic data archives will be maintained in the Locked Evidence

Room. As necessary for analysis and evidentiary purposes, extracts, duplicate and derivative copies of the archived electronic source material will be made and provided to the investigator for inclusion in the case file, in which case the

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respective investigation report will note that: “The source material for “Addendum X” is archived and maintained in a secure OEIGG Locked Evidence Room.”

D. Original audio recordings of interviews shall be duplicated for transcription

purposes. The original recording shall be delivered with an original Audio Evidence - Interoffice Transfer of Custody form (FORM 500.4 C) to the Director of Investigations in Chicago for secure storage. A copy of the form shall be retained by the investigator for inclusion in the case file, along with a copy of the audio recording.

VI. Upon Return of Property to Agency At the time of return, a Document and Property Receipt form (See FORM 500.4 A) must be completed by the investigator and signed by the person at the agency to whom the evidence was returned. VII. When the Seal is to be Broken An evidentiary seal may only be broken pursuant to the direction of the Director of Investigations, the First Deputy Inspector General or Executive Inspector General. The evidentiary seal may only be broken by an investigator in the presence of his or her supervisor. When it is broken, both the investigator and his or her supervisor will complete separate investigative reports, noting that the seal was intact, the authorization for breaking the seal, the date and the time. Both investigative reports will be included in the case file.

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OFFICE OF EXECUTIVE INSPECTOR GENERAL DOCUMENT / PROPERTY RECEIPT (FORM 500.4 A)

I.G. No.:

Date:

Received From:

Address:

Investigator’s Name:

Signature:

Phone Number:

Date Acquired: Time Acquired:

Agency Recipient of Request:

Signature:

Phone Number:

Acknowledgement of return of documents/property

Individual to whom documents/property returned:

Signature:

Investigator’s Name: Date:

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EVIDENCE RECEIPT AND INVENTORY RECORD (FORM 500.4 B)

Date:

Case #: Time:

Name:

Address:

Itemized List of Evidence (list all items by name, serial #, amount, etc.)

Location Evidence Found (specify location)

Received From (print name):

Received by (name & ID #):

Chain of Custody

From To Date Reason

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Date:

Case #: Time:

Name:

Address:

Itemized List of Evidence (list all items by name, serial #, amount, etc.)

Location Evidence Found (specify location)

Received From (print name):

Received by (name & ID #):

Chain of Custody

From To Date Reason

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Office of Executive Inspector General For the Agencies of the Illinois Governor

AUDIO EVIDENCE – INTEROFFICE TRANSFER OF CUSTODY (FORM 500.4 C)

1) Transferor signs form. If interview recording, original tape is given to DOI with form. 2) Recipient of transferred evidence to sign acceptance. 3) Provide original signed form with transferred evidence. 4) Place signed copy in case file report section.

Date:

Received From:

Address:

Case No.: Description of Evidence: Date of Recording: Subject of Recording: Investigator transferring evidence:

Signature:

Phone Number: Date:

Acknowledgement of receipt of documents / property

DOI / Individual accepting transferred evidence:

Signature:

Investigator Name: Date:

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POLICY 600 - OTHER

MISCELLANEOUS FORMS


RECEIPT OF POLICY MANUAL (FORM 600 A) I, _______________________, have received the OEIGG Policy Manual. By my

signature affixed below, I acknowledge that I have read the manual in its entirety,

understand the contents therein, and agree to abide by the policies as set forth in

the Manual. I also agree not to disseminate the Manual to anyone absent the

express consent of the Executive Inspector General.

_______________________________________________ ________________________

Signature Date

FORM 600 A Revised July 2008

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Appendix A

Joint Commission on Administrative Rules ADMINISTRATIVE CODE

TITLE 2: GOVERNMENTAL ORGANIZATION SUBTITLE E: MISCELLANEOUS STATE AGENCIES CHAPTER VI: EXECUTIVE ETHICS COMMISSION PART 1620 ORGANIZATION, INFORMATION, RULEMAKING AND HEARINGS SECTION 1620.300 CONDUCT OF INVESTIGATIONS Section 1620.300 Conduct of Investigations

. . . c) The policy and procedures manual shall include, but not be limited to, the following:

1) An EIG may conduct investigations only in response to information reported to the EIG and not upon his or her own prerogative. 2) An EIG shall accept case initiation forms from State of Illinois employees and the general public in accordance with Section 1620.320. 3) An EIG shall not investigate allegations of violations of State or federal law or this Part made against an EIG (including his or her employees). An EIG shall not investigate allegations of violations of State or federal law or of this Part if an EIG (including his or her employees) could be reasonably deemed to be a wrongdoer or suspect. Instead, in such cases, the EIG shall promptly refer all such allegations to the EEC for consideration of appointment of a Special Executive Inspector General. 4) Within 30 calendar days after receipt of a case initiation form as described in Section 1620.320, the EIG shall do one of 5 things:

A) Determine that no investigation is appropriate; or B) Open an investigation file pursuant to Section 1620.330 and commence an investigation; or C) Refer the case initiation form to the appropriate EIG, the Executive Ethics Commission or other appropriate body as described in Section 1620.340 and take no further action; or

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D) Suspend the investigation pending review of the outcome of other proceedings; or E) Refer the investigation to the Executive Ethics Commission for consideration of appointment of a Special Executive Inspector General.

5) Each EIG shall disclose the opening of all investigation files, as described in Section 1620.330, in writing to the Executive Ethics Commission. The disclosure shall identify the affected office, agency or agencies, the date the investigation was opened, and the investigation's unique tracking number. Reports on all investigations opened in a calendar month shall be submitted to the Commission on or before the 15th day of the following month. 6) All EIG requests for production of or viewing of documents or physical objects under office or agency control shall be made in writing; provided, however, that the Commission may exempt any EIG who functions wholly within a single office or agency from the application of this requirement upon joint petition by the EIG and the affected office or agency. A written request for documents or physical objects shall state that the recipient of the request, should he or she believe that the release of the subject matter of the request might violate existing rights or protections under State or federal law, has the right to seek a determination from the Commission relative to such rights or protections, if desired. An EIG may take reasonable steps to seal or otherwise insure the integrity of the requested documents or physical objects pending the Commission's determination. If security concerns demand the removal of sealed documents or physical objects, the EIG shall issue a subpoena before removal. The Commission shall consider the applicability of the right or protection asserted and issue a determination within five business days; provided, however that where delay for such a period could place an investigation in jeopardy, an EIG may request expedited consideration. The recipient and Commission shall maintain confidentiality about the request so as to minimize any risk of compromising the investigation. The recipient may assert any existing rights or protections under State or federal law with respect to the request, and such assertions made in good faith do not constitute failure to cooperate in an investigation. 7) An EIG desiring to interview any State officer or employee who is the subject of an EIG investigation and whom the EIG, based on the information available at the time of the interview, reasonably believes likely faces discipline shall notify the interviewee whether the underlying investigation is criminal or administrative in nature. If the underlying investigation is criminal in nature, the interviewee shall be presented a form that outlines the interviewee's rights during the interview, including the right to the presence of an attorney, union representative or coworker uninvolved in the investigation. If the underlying investigation is administrative in nature, the interviewee shall be presented a form that outlines the interviewee's rights during the interview, including the right to presence of a union representative or coworker uninvolved in the investigation. In both criminal and administrative investigations, the interviewee shall sign the form, attesting only to the fact that the form was presented to the interviewee and he or she was given the opportunity to read it. All forms presented to interviewees shall be pre-

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approved by the Commission. If, at any point, an interview subject requests the presence of a person authorized by this subsection (c)(7), or an attorney, the interview shall be suspended and a new date and time set. Evidence obtained directly or indirectly in violation of this subsection (c) is not admissible in any proceeding before the Executive Ethics Commission. 8) No EIG shall infringe upon the right of employees or officers to seek advice from their agency ethics officer on the interpretation and implementation of the Act, or to seek advice from private legal counsel. 9) Conduct of Interview

A) Interviews shall be conducted in a businesslike manner. The investigator shall avoid any personality clashes, acts of undue familiarity, abuse, or use of profanity. The investigator shall treat all persons interviewed with respect and not unduly embarrass, inconvenience, intimidate or degrade the interviewee. B) Any armed State employee present shall not use his or her firearms in any manner that might intimidate, unless he or she, or anyone else present in the room, is physically threatened. C) Interviewees enjoy all rights in the course of an interview protected by the Constitution of the United States and federal and State law. D) The duty to cooperate in investigations as provided at 5 ILCS 430/20-70 does not include restriction on those rights. E) In the event that the subject of an interview believes that the investigator has operated in violation of this Part, or in violation of applicable law, he or she may file a written objection with the Commission, setting forth with specificity the nature of the alleged violation. Within 30 days after receiving the objection, the Commission shall issue a written finding either sustaining or overruling the objection, shall appoint a Special Executive Inspector General to discover more facts (by interviewing witnesses, etc.), or shall refer the issue to an appropriate law enforcement authority. If the Commission sustains the objection, it shall issue a copy of its finding to the EIG to whom the investigator reports, as well as make public a copy of its finding. Subjects of the complaint process described in this subsection (c)(9)(E) are entitled to due process of law.

10) State employees who are subjects of EIG interviews and whom the EIG, based on the information available at the time of the interview, reasonably believes likely faces discipline, shall be presented a form that outlines their rights during the interview. The form shall also clearly indicate that the interviewee has the right to refuse to consent to have the interview

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recorded and the right to stop the recording of the interview at any time and that refusing to consent to have the interview recorded or to stop the recording at any time shall not constitute failure to cooperate in the investigation or otherwise subject the interviewee to any discipline. The form shall also indicate that the interviewee may request at any time that the interview be recorded. If the interviewee requests at any time that the interview be recorded, the interviewer shall honor this request, stop the interview and immediately provide the employee a request to record form. Upon execution of a request to record form, the interview and all future interviews of the subject shall be recorded by mechanical, digital or other means. All forms and recordings shall be preserved, unedited, in the investigation file. Nothing in this subsection (c)(10) shall be construed to require the recording of interviews other than pursuant to an appropriately executed request of the interviewee. The interviewee shall sign the form, attesting only to the fact that the form was presented to the interviewee and he or she was given the opportunity to read it. 11) Upon completion of investigations, the EIG or his or her designee shall write a final report summarizing the background of the investigation, the allegations, investigative steps taken and conclusions drawn. The final report shall include a recommendation regarding appropriate action. An investigation is deemed completed for purposes of this Part when all processes of internal review of the investigation and of the final report have terminated. 12) Each EIG shall report the closure of investigation files in writing to the Executive Ethics Commission. The disclosure shall identify the affected office, agency or agencies, the date the investigation was closed, and the investigation's unique tracking number. Reports on all investigations closed in a calendar month shall be submitted to the Commission on or before the 15th day of the following month. Other witnesses entitled to written notification of the completion of an investigation, including employees covered by certain collective bargaining agreements, shall be notified of the closing of the investigation in accordance with those agreements.