Appendix 1 Swimlane Diagrams and Forms.pdf
PDF 6 MB Posted
- Solicitation number
- 20-557THA-INSPE-B-13378
- Issued by
- Dupage County, Illinois
About this file
This document is a Request for Proposals (RFP) issued by the Illinois State Toll Highway Authority's (Tollway) Office of the Inspector General (OIG) for a Case Management and Workflow System. The OIG seeks to acquire, install, and implement a comprehensive case management solution to enhance its existing case management methodology. The RFP requires vendors to submit technical proposals only, with pricing to be submitted under a separate bid. Electronic responses are required, with no paper submissions accepted. Vendor questions are due by June 21, 2021 at 10:00 am CT.
The RFP does not provide details on pricing terms, set-asides, incumbents, funding requirements and sources, or other salient information beyond the technical requirements of the case management application. The document focuses solely on the OIG's need for a new case management and workflow system, the submission requirements, and the timeline for the procurement process.
View the file
Other files
Show all 12
On GovTribe
Work with this file
- Download the original file
- Contacts named in this file
- Similar government files
- Ask GovTribe AI about this file
Text version
Case Initiation Process Sc he du le d
In ta ke P er so n As si gn ed
In ve st ig at or
Intake ProcessStart
EndAppropriate Case Type
1.
2. 3. 4. 5. 6.
1. Intake Process.vsd
2. Referral Process.vsd
3. Investigative Assistance Case Process.vsd
4. Preliminary Investigation Case Process.vsd
5. Review Case Process.vsd
6. Inspector General Investigation Case Process.vsd
1.
Intake Process M an ag er Sc he du le d
In ta ke P er so n
IG
Ad m in is tr at or As sig ne d In ve st ig at or
Approve?
No
Complete Intake
Form / Intake Form Records Request
Recommend Open, Refer, Decline / Case Category / Case
Type
Send for Review
Approve?Review Revert with Comments
Review Revert with CommentsNo
Update
Yes
Assign Investigator
Recommended Decline? File in DeclinationsYes
Yes
Assign Appropriate OIG Case Number and Case Management
Number
No
Create Electronic and Paper Case File / Provide to
Assigned Investigator
End
Preliminary Investigation? Yes
Enter Preliminary Investigation (PI)
Thirty Business Day Date
No
1.
2.
3. File Maintenance Diagram.pdf
Start
3.
2.
1. Intake Form.pdf
2. Intake Form.pdf (Records Request)
2.
Referral Case Process – (RF) As si st ig at or
Start
Prepare Referral Document/s and
Associated Attachments
EndCase Action Process
Is All Information Available?
Recommend Pending InactiveNo
Yes
Is This Case Now Pending? No
Yes
1.2. 3.
1. Management Referral Form.pdf
2. Law Enforcement Referral Form.pdf
3. Other Referral Form.pdf
4. Case Action Process.vsd
4.
3.
Investigative Assistance Case Process – (IA) si gn ed In ve st ig at or M an ag er
End
Records Request?
Write/Update Investigative Report(s) (IR)
Obtain Records
Case Action Process
Review / Initial Investigative Report(s) (IR)
Revisions?
Provide Assistance
Prepare Distributable Documents
Update Case IndexUpdate Case Index
Yes
Conduct Liaison Activity
Start
Is All Information Available?
Recommend Pending InactiveNo Case Action
Process
Is This Case Now Pending?
Yes No
Is All Information Available?
Yes
Recommend Pending InactiveNo
Is This Case Now Pending?
Yes
Yes
No
No
Case Action Process
Yes
No
1. Case Index Form.pdf
2. Investigative Report Form.pdf
1. 2. 1.
3. Case Action Process.vsd
3.
3.
3.
Preliminary Investigation Case Process (PI) si st ig at or
Case Activity Process EndCase Action
ProcessStart Is All
Information Available?
Yes
Recommend Pending InactiveNo Is This Case
Now Pending?
Yes
No
1. Case Activity Process.vsd
2. Case Action Process.vsd
1. 2.
5.
Review Case Process – (R) si gn ed In ve st ig at or
End
Closing Recommendation
Process NoAdditional Case
Activity?
Start Case Activity Process
Case Action Process
Is All Information Available?
Yes
Recommend Pending InactiveNo Is This Case
Now Pending?
Yes
No
Yes
1. Case Activity Process.vsd
3. Case Action Process.vsd
1. 3.
2.
2. Closing Recommendation Process.vsd
6.
Inspector General Investigation Case Process (IG) si gn ed In ve st ig at or
End
Closing Recommendation
Process NoAdditional Case
Activity?
Start Case Activity Process
Case Action Process
Is All Information Available?
Yes
Recommend Pending InactiveNo Is This Case
Now Pending?
Yes
No
Yes
1. Case Activity Process.vsd
3. Case Action Process.vsd
2. Closing Recommendation Process.vsd
1.
2.
7.
Case Activity Process an ag er As si gn ed In ve st ig at or
No
Complete Internal Investigative
Action Plan as Needed
Approve Action Plan?
Review Action Plan Recommend
Changes to Action Plan
Write/Update Investigative
Report(s) (IR/s) Attach Associated
Documents
Yes
End
Complete Steps as Appropriate in
Action Plan
Update Action Plan
Review / Initial Investigative
Report(s) (IR/s) and Associated
Documents
Revisions ?
Change Action Plan?
Yes
No
Yes
Start
1.
Complete Conflict of Interest Attestation
1.
2.
Update Case Index
Update Case Index Update Case Index
Update Case Index
Interview?
No
Interview ProcessYes
No
No Is This
Additional Activity?
Was This Case Pending
Inactive?
No
Yes
Yes
1. Conflict of Interest Attestation.pdf
3. Internal Investigative Action Plan.pdf
2. Case Index.pdf
1.2.
3.
4. Interview Process.vsd
4.
5.
5. Investigative Report.pdf
8.
Interview Process si gn ed In ve st ig at or Ad m in is tr at or
End
Start
Prepare in House?
Schedule Interview Prepare
Appropriate Advisement
Prepare Consent to Audio Record
Prepare Recording Equipment
Conduct Interview Brief Manager /
Inspector General as Needed
Request Transcript of Audio
Recording
Send Out for Transcription
No
Prepare TranscriptYes Provide Draft to
Assigned Investigator
Review Transcript with Audio Revisions? Accept and Sign as
Final Prover
No
Update TranscriptYes
Transcription Needed?
Yes
Update Case Index
No
1. 2. 4.
Update Case Index With Advisement and Consent To
Record
1. Assigned Investigator Collaborates with Co-Investigator
3. Consent to Audio Record Form.pdf
2. Administrative Advisement Union Employee.pdf / Administrative Advisement Non Union Employee.pdf / Administrative Advisement Contractors – Vendors.pdf / Voluntary Advisement Union Employee.pdf / Voluntary Advisement Non Union Employee.pdf / Voluntary Advisement Contractors – Vendors.pdf
4. Audio Recording Procedures for Interviews.pdf
5. Case Index Form.pdf
3.
5.
6.
6. Recorded Interview Transcription Form.pdf
9.
Closing Recommendation Process an ag er As si gn ed In ve st ig at or
IG
Start
Review Closing Recommendation
Memorandum
(CRM)
Review Closing Recommendation
Memorandum
(CRM)
Draft / Update Closing
Recommendation Memorandum
(CRM)
Case Status Meeting
Conduct Case Status Meeting (or discussion as appropriate)
Results of Case Status Meeting /
Discussion
Draft / Update Internal Case
Status Memorandum
Review / Initial Internal Case
Status Memorandum
Revisions? Revisions?
Additional Case Activity?
Final Report Process
No
Yes
Yes Final Report? Yes
Case Action Process
Review Internal Case Status
Memorandum
No No
Yes
End
End
Update Case Index Update Case Index
No
Revisions?
No
Yes
1.
2.
3.
2.
4.
5.
1. Closing Recommendation Memorandum.doc
2. Case Index Form.pdf
3. Internal Case Status Memorandum Form.pdf
4. Final Report Process.vsd
5. Case Action Process.vsd
10.
Final Report Process an ag er As si gn ed In ve st ig at or
IG
Start
Review Draft Final Report
Review / Edit Draft Final Report
Draft / Update Final Report
(MAR / SRI)
Conduct Case Status Meeting (or discussion as appropriate)
Results of Case Status Meeting /
Discussion
Review / Initial Internal Case
Status Memorandum
Edits / Track Changes?
Case Status Meeting Needed?
Edits / Track Changes?
Draft / Update Internal Case
Status Memorandum
Yes
Case File Preparation
Process
No
Yes
End
End
Revisions?
Review Internal
Case Status Memorandum
Revisions?
No
Yes
Additional Case Activity? Yes
No
Yes
No
1. Management Advisory Report.doc / Summary Report of Investigation.doc
2. Case Index Form.pdf
No
3. Internal Case Status Memorandum Form.pdf
Update Case Index
Yes
Update Case Index
1.
No
4. Case File Preparation Process.vsd
2.
3.
11.
Case File Preparation Process si st ig at or
IG
M an ag er
Revisions?
Revisions? Final Review and ApprovalRevisions?
2. Case Index Form.pdf
1. Redaction Process.vsd
3. Case Action Process.vsd
Revisions?
No
Review Final Report for
Accuracy and Completeness
Start
Prepare / Update Case Index
Included, Included with Redactions, Not Included
Assemble / Update File for Distribution
Case Action Process EndRedaction
Process
No
Yes
No
Yes
No
Yes
Yes
1. 2. 3.
12.
Case Action Process si st ig at or
IG
As si gn ed In ve st ig at or M an ag er Ad m in is tr at or
Approve?
Update Case Status in Case Management
System using appropriate Case
Action type from Case Action Form
End
Update Case Action Form
No
Yes
No
Create Case Action Form / Recommend Action and Attach
Distributable Documents Where Appropriate
Start
Close / File Paper Case File
Distribution?
Distribution Process
Convert Close?
Open New Case from Converted Case / Create Electronic and Paper Case File
Yes
No
Update Case Action Form with
New Case Number / Copy to
New Case File
1.
Update Case Index
Provide Paper Case File to
Administrator
Provide New / Old Converted Case File to Assigned
Investigator
Appropriate Case Type
Process
Pending Inactive?No
Pending Inactive Process
Approve?
Yes
Yes
Pending?No
Yes
Post Closing?No
Yes Yes
No
EndUpdate Case Index and Case File
1. Case Action Form.pdf
2. Case Index Form.pdf
2.
3.
3. Distribution Process.vsd
4. Pending Inactive Process.vsd
4.
5. 6. 7. 8. 9.
5. Referral Process.vsd
6. Investigative Assistance Case Process.vsd
7. Preliminary Investigation Case Process.vsd
8. Review Case Process.vsd
9. Inspector General Investigation Case Process.vsd
13.
Distribution Process Ad m in is tr at or
As si gn ed
In ve st ig at or
IG
Referral?Start Investigative Assistance?
Review / IG Investigation?
Initial Referral Document/s and prepare for Distribution
No
IG Distributes Personally?
Distribute and Update Case Action Form
Yes
Case File / Case Action Form /
Referral Document/s / Attachments
Yes
No
Update Case Action Form With
Distribution Instructions
Distribute and Update Case Action Form
No
Case File / Case Action Form With
Distribution Instructions / Distributable Documents
Yes
Case File / Case Action Form /
Distributable Case File
Yes End
EndProvide Case File to Administrator
No
Response Process
Response Anticipated?
Yes
1. 2.
1. Case Action Form.pdf
2. Management Referral Form.pdf.
Law Enforcement Referral Form.pdf Other Referral Memorandum Form.pdf
3. Case Action Form.pdf
3.
3. 4.
4. Response Process.vsd
3.
14.
Pending Inactive Process si gn ed In ve st ig at or M an ag er As sig ne d In ve st ig at or
End
Start
Set Tickler to Check Status of
Outside Disposition
Check Status
3.
Disposition Received?
No
Write/Update Investigative Report(s) (IR)
Yes Update Case Index
Review / Initial Investigative Report(s) (IR)
Revisions?
Yes
Write/Update Investigative Report(s) (IR)
Update Case Index
No
1.
Recommend Pending?
No
Case Action Process
Case Action Process
Yes
Recommend Close
1. 2.
3.
3.
1. Investigative Report Form.pdf
2. Case Index Form.pdf
3. Case Action Process.vsd
15.
Response Process
IG
As si gn ed
In ve st ig at or
Ad m in is tr at or
3. Response Reply.pdf
1. Case Action Process.vsd
2. Non-Responsive Notice.pdf
Reply?
Start
Set Twenty Day Tickler From Date of Distribution of
Recommendations
Prepare Reply
Response Received?
Publication Process
3.
4.
Case Action Process
Send Reply
Case Action Process
End
3.
Twenty Day Response Received?
Send Non- Responsive
Notice?
No
Yes
Prepare / Send Non-Responsive
Notice On Twenty Second Day to
Executive Director and Board Chair /
Set Five Day Tickler
Yes
Publish?
Yes
Case Action Process
Yes
No No
No
Yes
No
4. Publication Process.vsd
1. 1.
1.
2.
16.
Publication Process si st ig at or
IG
Ad m in ist ra to r
5.
2. Subject Letter.pdf
3. Case Action Process.vsd
1. Redaction Process.vsd
4. Reply Letter Response Received.pdf
Send Subject Letter? Redactions? Publish
Prepare / Send Subject Letter / Set Seven Day Tickler for Response
1. 2. 3.
Seven Day Response Received?
Send Subject Reply Letter Indicating
Response Received
Send Report for Publication
2.
Yes
Case Action Process
Case Action Process
Case Action Process
Case Action Process
3. 4.
End
Start Prepare Report for Publication
Redaction Process
1.
Yes
No
No
No
Yes
3. 3.3.
17.
Redaction Process an ag er As si st ig at or
IG Approve?
No
Prepare Document For Redactions / Convert to PDF if
Not Already
Mark / Update Redactions Save As Marked and Send for Review
Approve?Review Revert with Comments
Review Revert with CommentsNo
End
1.
Start
Yes
1.
1.Redaction Procedures.pdf
Yes
Apply / Update Redactions and Send for Final
Approval
Yes
Approve?
NoApprove?Review Revert with Comments
Review Revert with CommentsNo
Yes
1.
18.
OFFICE OF THE INSPECTOR GENERAL
CONFLICT OF INTEREST
ATTESTATION
This document is confidential and may only be viewed with the express authorization of the Illinois State Toll Highway Authority’s Inspector General
I have reviewed my personal situation with respect to the matters involved in the OIG Case Number listed above, and am not aware of any circumstances or conflict of interest that might impair my ability to be independent in this case, or that might lead others to question it.
I understand that I am responsible to make timely written notification in the event any other circumstance arises during the course of this investigation that might create a conflict of interest or otherwise impair or appear to impair my independence with respect to this matter.
Name
Signature
ADMINISTRATIVE ADVISEMENT
UNION EMPLOYEE
I understand that I am here today to be interviewed by and from the Office of the Inspector General for the Illinois State Toll Highway Authority.
I have been advised that:
1. This interview is part of an official investigation and I am obligated to cooperate. (Illinois Toll Highway Act, 605 ILCS 10/8.5(j)).
2. Failure to cooperate, including any false, inaccurate, or deliberately incomplete statements by me could subject me to disciplinary action up to and including discharge.
3. Any information I provide during the course of this interview could be used as the basis for disciplinary action up to and including discharge.
4. Any information I provide during the course of this interview, and any information gained by reason of my admission or statement, cannot be used against me in a subsequent criminal proceeding. However, if I knowingly provide false information, I may be subject to criminal prosecution for that action. (Illinois Toll Highway Act, 620 ILCS 10/8.5(f)(2)).
5. I have the right to have a union representative present with me at this investigatory interview.
The union representative may not answer questions for me or pose questions to me during the interview, and may not obstruct, or interfere with the interview.
I acknowledge that this form has been presented to me, I have had full opportunity to review it, and I understand these advisements.
Interviewee Signature Date Witness Signature Date
Witness Signature Date Witness Signature Date
Understanding these advisements, I choose to proceed with this interview without a union representative being present. No promises or threats have been made to me, and no pressure or coercion of any kind has been used against me to influence my decision.
Interviewee Signature Date
Witness Signature Date Witness Signature Date
NON-UNION EMPLOYEE
1. This interview is part of an official investigation and I am obligated to cooperate. (Illinois Toll Highway Act, 605 ILCS 10/8.5(j)).
2. Failure to cooperate, including any false, inaccurate, or deliberately incomplete statements by me could subject me to disciplinary action up to and including discharge.
disciplinary action up to and including discharge.
I acknowledge that this form has been presented to me, I have had full opportunity to review it, and I understand
Interviewee Signature Date Witness Signature Date
CONTRACTORS/VENDORS
1. This interview is part of an official investigation (Illinois Toll Highway Act, 605 ILCS 10/8.5(d), and I am obligated to cooperate.
2. Failure to cooperate, including any false, inaccurate, or deliberately incomplete statements by me could subject me to adverse action up to and including suspension.
adverse action up to and including suspension.
I acknowledge that this form has been presented to me, I have had full opportunity to review it, and I understand
Interviewee Signature Date Witness Signature Date
VOLUNTARY ADVISEMENT
UNION EMPLOYEE
1. This interview is part of an official investigation. (Illinois Toll Highway Act, 605 ILCS 10/8.5).
2. This is a voluntary interview and I do not have to answer questions.
3. No disciplinary action will be taken against me solely for refusing to answer questions.
4. Any information I provide during this interview may be used as evidence in criminal and/or administrative proceedings.
5. I have the right to have a union representative or personal attorney uninvolved in the investigation present with me at this investigatory interview. (Illinois Toll Highway Act 605 ILCS 10/8.5(n)). This person may not answer questions for me or pose questions to me during the interview, and may not obstruct, or interfere with the interview.
I acknowledge that this form has been presented to me, I have had full opportunity to review it, and I understand
Interviewee Signature Date Witness Signature Date
Witness Signature Date Witness Signature Date
Understanding these advisements, I choose to proceed with this interview without a union representative or personal attorney being present. No promises or threats have been made to me, and no pressure or coercion of any kind has been used against me to influence my decision.
Interviewee Signature Date
NON-UNION EMPLOYEE
This document is confidential and may only be viewed with the express authorization of the Illinois State Toll Highway Authority’s Inspector General
I understand that I am here today to be interviewed by and from the Office of the Inspector General for the Illinois State Toll Highway Authority.
I have been advised that:
1. This interview is part of an official investigation. (Illinois Toll Highway Act, 605 ILCS 10/8.5).
2. This is a voluntary interview and I do not have to answer questions.
3. No disciplinary action will be taken against me solely for refusing to answer questions
4. Any information I provide may be used as evidence in criminal and/or administrative proceedings.
5. I have the right to have a personal attorney uninvolved in the investigation present with me at this investigatory interview. (Illinois Toll Highway Act 605 ILCS 10/8.5(n)). This person may not answer questions for me or pose questions to me during the interview, and may not obstruct, or interfere with the interview.
I acknowledge that this form has been presented to me, I have had full opportunity to review it, and I understand these advisements.
Interviewee Signature Date Witness Signature Date
Witness Signature Date Witness Signature Date
Understanding these advisements, I choose to proceed with this interview without a personal attorney being present. No promises or threats have been made to me, and no pressure or coercion of any kind has been used against me to influence my decision.
Interviewee Signature Date
CONTRACTORS/VENDORS
1. This interview is part of an official investigation. (Illinois Toll Highway Act, 605 ILCS 10/8.5).
2. This is a voluntary interview and I do not have to answer questions.
3. No adverse action will be taken against me solely for refusing to answer questions.
4. Any information I provide may be used as evidence in future criminal and/or administrative proceedings.
5. I may have an attorney uninvolved in the investigation present with me at this investigatory interview. This person may not answer questions for me or pose questions to me during the interview, and may not obstruct, or interfere with the interview.
I acknowledge that this form has been presented to me, I have had full opportunity to review it, and I understand
Interviewee Signature Date Witness Signature Date
Witness Signature Date Witness Signature Date
Understanding these advisements, I choose to proceed with this interview without an attorney being present. No promises or threats have been made to me, and no pressure or coercion of any kind has been used against me to influence my decision.
Interviewee Signature Date
CLOSING RECOMMENDATION MEMORANDUM
TO: Theodor J. Hengesbach, Inspector General
FROM: Assigned Investigator
DATE: Date memorandum completed
RE: Insert appropriate case number
INSTRUCTIONS
For formatting purposes, use tabs equal to 5 spaces for the headers.
I. Bold, Underlined, All Caps A. Bold
1. Underlined
a. No Underline
i) Italics, underlined
I. INTRODUCTION
The introduction is a short summary generally no longer than a few sentences detailing the initial allegation received from the Complainant or describing the matter under review. The summary briefly details the primary findings followed by a statement of the investigator’s recommendation.
II. APPLICABLE RULES, REGULATIONS, LAW
This section lists out a citation to the applicable rules, regulations or laws considered in the investigation with a brief definition of the rule, regulation and/or law. Cite relevant portions only.
For example:
A. Illinois Tollway Policy and Procedure Manual Chapter VIII. Employee Demeanor:
Section F: “Outside Employment” provides in relevant part:
When involved in outside employment employees shall not:
Use Tollway personnel or property in their outside work
Violation of these standards may be cause for disciplinary action up to and including discharge.
III. BACKGROUND
A. Subjects/Parties Involved
1. Name and title of subject or involved party
For employees: Include tenure/years of service with the Tollway: title(s)/ department(s), schedule, work location if relevant, presently and at the time of the events in question. Prior disciplinary history or issues with the Tollway are noted. The basis for such information generally is from personnel files, databases such as MAR and Kronos or other employee work records and not employee interviews.
For contractors or corporations: include type of business; principals (if relevant); contract history with the Tollway, including types of contracts; size of contracts; current contract relationship with the Tollway.
IV. SUMMARY OF INVESTIGATION
A. Documents
1. For Example (document containing multiple documents)
Describe in overview the specific relevant portions of the document(s) and the source.
Summarize the key information from those materials relevant to the matters under investigation both inculpatory and exculpatory.
a. For Example
b. For Example
Note material requested but not supplied and why it was not supplied – claimed lost, misplaced, never to have existed, refusal.
2. For Example (document)
Unless it is relevant to a disputed issue, the date and manner by which we requested materials should not be included, e.g., “On July 4, 1776, the OIG requested that the Department of Administration provide X records…”
3. For Example (document)
B. Interviews
1. John Doe
a. Date of 1st interview
b. Date of 2nd interview
Generally, interview summaries use active voice and start with an introduction along the following lines:
Union Employees On [date], OIG investigators interviewed [name] providing him/her [advisements], orally and in writing, which he/she acknowledged understanding. [Name] [was accompanied by his/her union representative and or attorney (if applicable) ]and was asked, orally and in writing, for consent to audio record the interview. [Name] [consented/did not consent], to have the interview audio-recorded. If the interview is transcribed this should be included in the summary: i.e. “The interview was transcribed by OIG Staff.”
In summary/overview, [Name] stated the following.
Non-union/vendors On [date], OIG investigators interviewed [name] providing him/her [advisements], orally and in writing, which he/she acknowledged understanding. [Name] [was accompanied by his/her attorney (if applicable) ] and was asked, orally and in writing, for consent to audio record the interview. [Name] [consented/did not consent], to have the interview audio-recorded. If the interview is transcribed this should be included in the summary: i.e. “The interview was transcribed by OIG Staff.”
With that introduction, you generally should not need to start all sentences “[Name] said” or [Name] stated.
Verbatim quotes are fine but only for particularly critical statements. Any quoted language must be followed by a citation (Tr. at pp.) or (XX/XX/XX Tr. at pp.) if the individual was interviewed more than once.
Do not use the interview as the basis for stating what the person’s job title, position, or tenure is with the Tollway unless it is particularly germane to the matter under investigation. The better evidence for such matters is in their personnel file or employee work record.
When interviews have transpired significantly in the past, use the appropriate past tense to make clear that the reference is to matters as they existed at the time of the interview or earlier and not to matters transpiring presently (i.e., at the time of the Closing Recommendation Memorandum (CRM) or final report).
Avoid the passive voice. Sometimes we use the passive voice as a way of including a fact around which we have little information or context. Be clear and declarative about what we know and do not know, how we know it (and sometimes why we do not or were frustrated in trying to know it). Generally, the passive voice raises more questions than it answers. We are in the business of answering questions and ascribing origin, precipitation, motive, intent and consequence to actions. The passive voice is therefore at times antithetical to our very core mission, function, and objectives – use it only when necessary. An example of passive voice vs. non-passive is:
Passive voice: The world was taken over by zombies.
vs.
Active voice: Zombies took over the world.
Basically, if you can add “by zombies” after the verb and it makes sense, you probably have passive voice. Yes, this makes sense; therefore, it is a passive voice sentence. To make this sentence active, you will need to put the noun doing the action in the subject location of the sentence.
C. Charts and Compilations or Additional Header (as needed)
Explain the chart/s and source material/s.
V. ANALYSIS
Do not repeat evidence – analyze it, referencing it as detailed in the summary of evidence. (Set forth analysis on the assumption that the reader has reviewed the Summary of Investigation Section.)
Generally, the Analysis section does not draw upon or reference information or evidence not previously detailed in the Summary of Investigation Section.
If you reference it in the analysis is must be in the summary of investigation section.
VI. POTENTIAL ISSUES FOR INTERNAL DISCUSSION
An optional section to be included in instances where outstanding issues exist and the investigator wants them considered or discussed at a case status meeting.
This is also the section where exculpatory evidence, legal or evidentiary shortfalls or weaknesses and possible defense arguments or evidentiary challenges are discussed.
VII. INVESTIGATOR’S RECOMMENDATION
Use the following as a guide to the type of recommendation/s to make. Provide a summary of the basis for the recommendation.
There is no need to repeat detailed recounting and analysis of evidence previously addressed in the context of another violation, but there generally is some individual treatment of distinct and separate types of violations.
In making disciplinary recommendations, note prior disciplinary history; supervisory or managerial status where it factors in to the proposed recommendation; other aggravating or mitigating issues or arguments.
Any and all forms of cost recovery, contract damages, and fines should be considered and proposed where appropriate, with accompanying rationale and indication of capacity to pay.
A. Review (R)
No Further Action Close
Convert Close
Issue Management Advisory Report (MAR) Close (MAR may identify inefficient/wasteful/ineffective conduct or practices)
B. Inspector General Investigation (IG)
No Further Action Close
Convert Close
Not Sustained Close
Sustained Close
Sustained - Issue Summary Report of Investigation (SRI)
Disciplinary – Reprimand/Suspension/Termination
Debarment/Disqualification/Decertification
Remedy – Inefficient/Wasteful/Ineffective conduct or practice
VIII. PERSONNEL/RULE(S), REGULATION(S), LAW(S) VIOLATIONS
If the allegation recommendation was sustained, detail the applicable rule, regulation, law that was found to have been violated. A rule, regulation, and or law cited previously can be cited by title only.
A. Name
1. Allegation/Sustained
2. Allegation/Not Sustained
MANAGEMENT ADVISORY REPORT
OIG Case # Date
Instructions:
For formatting purposes, use tabs equal to 5 spaces for the headers.
I. Bold, Underlined, All Caps A. Bold
1. Underlined
a. No Underline
i) Italics, underlined
This report provides a summary of our review as set out in the attached materials, and the Office of the Inspector General’s (OIG’s) analysis. An index of these materials is attached.
The introduction is a short summary generally no longer than a few sentences detailing the predication (complaint/self-initiated) and the purpose of the Review. The summary briefly details what the Review determined followed by a statement of the investigator’s recommendation.
II. APPLICABLE RULES, REGULATIONS, LAW (As Appropriate)
This section lists out a citation to the applicable rules, regulations or laws considered in the review with a brief definition of the rule, regulation and/or law. Cite relevant portions only.
A. Illinois Toll Highway Inspector General Act (605 ILCS 10/8.5) Sec. 8.5. (d) provides in relevant part:
The Toll Highway Inspector General shall have the jurisdiction over the Authority and all board members, officers, and employees of, and vendors, subcontractors, and others doing business with the Authority.
III. BACKGROUND
A. Parties Involved/Description of the process reviewed
Generally the “Parties” will be management and may be referred to as stakeholders. Each case will determine who the Review is being directed at. Subsection “A” may be eliminated and replaced with a simple statement regarding the parties involved.
We consulted with a number of stakeholders during the course of this review to include the Executive Office, Chief of Procurement, Engineering Department and Attorney General’s Office.
IV. SUMMARY OF REVIEW
B. Documents
Describe in overview the specific relevant portions of the document(s) and the source.
Summarize the key information from those materials relevant to the matters under review – both inculpatory and exculpatory.
a. For Example
b. For Example
For Example:
January 2011 Email from Stella Banak, then Engineering General Manager for the Tollway, containing updated language in PS agreements for DSE and CM boiler plate contracts requiring all parties to the contract to cooperate with the OIG.
Note material requested but not supplied and why it was not supplied – claimed lost, misplaced,
3. For Example (document)
C. Interviews
a) Date of First Interview (brief summary of interview)
b) Date of Second Interview (brief summary of interview)
Union Employees writing, which he/she acknowledged understanding. [Name] [was accompanied by his/her union representative and or attorney (if applicable) ]and was asked, orally and in writing, for consent to audio record the interview. [Name] [consented/did not consent], to have the interview audio-writing, which he/she acknowledged understanding. [Name] [was accompanied by his/her attorney (if applicable) ] and was asked, orally and in writing, for consent to audio record the interview. [Name] [consented/did not consent], to have the interview audio-recorded. If the
[Name] stated.
Verbatim quotes are fine but only for particularly critical statements. Any quoted language must be followed by a citation (Tr. at pp.) or (XX/XX/XX Tr. at pp.) if the individual was interviewed more than once.
Do not use the interview as the basis for stating what the person’s job title, position, or tenure is with the Tollway unless it is particularly germane to the matter under review. The better evidence for such matters is in their personnel file or employee work record.
When interviews have transpired significantly in the past, use the appropriate past tense to make clear that the reference is to matters as they existed at the time of the interview or earlier and not not know, how we know it (and sometimes why we do not or were frustrated in trying to know it). Generally, the passive voice raises more questions than it answers. We are in the business of answering questions and ascribing origin, precipitation, motive, intent and consequence to actions. The passive voice is therefore at times antithetical to our very core mission, function, and objectives – use it only when necessary.
Passive Voice: The world was taken over by zombies.
Active Voice: Zombies took over the world.
D. Review Activity
All non-interview work conducted for the Review which should be documented on an Activity Report as review work. This can be a review or analysis of records received, internet information etc. Use the directions detailed above for reporting the information (Avoid passive voice; be clear and declarative about what we know and do not know, how we know it, etc.). Use citations in footnotes if appropriate.
E. Charts and Compilations or Additional Header (as needed)
Explain chart/s and source material/s.
V. ANALYSIS
Do not repeat evidence – analyze it, referencing it as detailed in the summary of evidence. (Set forth analysis on the assumption that the reader has reviewed the Summary of Review Section.)
Generally, the Analysis section does not draw upon or reference information or evidence not previously detailed in the MAR.
VI. RECOMMENDATION
Provide a summary of the basis for the recommendation.
There is no need to repeat detailed analysis previously addressed in the context of another violation, but there generally is some individual treatment of distinct and separate types of concerns identified.
For Example:
It is the recommendation of the OIG that the ISTHA Board of Directors pass a resolution whereby all Tollway contracts will include specific language requiring vendors to cooperate with the OIG. (etc.)
SUMMARY REPORT OF INVESTIGATION
OIG Case # Date
INSTRUCTIONS
For formatting purposes, use tabs equal to 5 spaces for the headers.
I. Bold, Underlined, All Caps A. Bold
1. Underlined
a. No Underline
i) Italics, underlined
This report provides a summary of evidence set out in the attached investigative materials, and the Office of the Inspector General’s (OIG’s) analysis of that evidence. An index of these investigative materials is attached.
The introduction is a short summary generally no longer than a few sentences detailing the initial allegation received from the Complainant or describing the matter under review. The summary briefly details the primary findings followed by a statement of the investigator’s recommendation.
I. APPLICABLE RULES, REGULATIONS, LAW
This section lists out a citation to the applicable rules, regulations or laws considered in the investigation with a brief definition of the rule, regulation and/or law. Cite relevant portions only.
A. Illinois Tollway Policy and Procedure Manual Chapter VIII. Employee Demeanor:
Section G. “Arrest or Criminal Indictment” provides in relevant part:
Any employee arrested or indicted of any crime other than petty traffic offenses or municipal code violations must notify his/her supervisor within three (3) business days of the arrest or indictment. The employee or supervisor must also inform the Chief of Administration.
Failure to report such arrest or indictment shall result in disciplinary action up to and including discharge.
II. BACKGROUND
A. Subjects/Parties Involved
1. Name and title of subject or involved party
For employees: Include tenure/years of service with the Tollway: position(s)/ department(s) presently and at the time of the events in question. Prior disciplinary history or issues with the Tollway are noted. The basis for such information generally is from personnel files, databases such as MAR and Kronos or other employee work records and not employee interviews.
For contractors or corporations: include type of business; principals (if relevant); contract history with the Tollway, including types of contracts; size of contracts; current contract relationship with the Tollway.
III. SUMMARY OF INVESTIGATION
A. Documents
Describe in overview the specific relevant portions of the document(s) and the source.
Summarize the key information from those materials relevant to the matters under investigation both inculpatory and exculpatory.
a. For Example
b. For Example
Note material requested but not supplied and why it was not supplied – claimed lost, misplaced, B. Interviews
a) Date of first Interview (brief summary of interview)
b) Date of second Interview (brief summary of interview)
Union Employees writing, which he/she acknowledged understanding. [Name] [was accompanied by his/her union representative and or attorney (if applicable) ]and was asked, orally and in writing, for consent to audio record the interview. [Name] [consented/did not consent], to have the interview audio-writing, which he/she acknowledged understanding. [Name] [was accompanied by his/her attorney (if applicable) ] and was asked, orally and in writing, for consent to audio record the interview. [Name] [consented/did not consent], to have the interview audio-recorded. If the
[Name] stated.
Verbatim quotes are fine but only for particularly critical statements. Any quoted language must be followed by a citation (Tr. at pp.) or (XX/XX/XX Tr. at pp.) if the individual was interviewed more than once.
Do not use the interview as the basis for stating what the person’s job title, position, or tenure is with the Tollway unless it is particularly germane to the matter under investigation. The better evidence for such matters is in their personnel file or employee work record.
When interviews have transpired significantly in the past, use the appropriate past tense to make clear that the reference is to matters as they existed at the time of the interview or earlier and not not know, how we know it (and sometimes why we do not or were frustrated in trying to know it). Generally, the passive voice raises more questions than it answers. We are in the business of answering questions and ascribing origin, precipitation, motive, intent and consequence to actions. The passive voice is therefore at times antithetical to our very core mission, function, and objectives – use it only when necessary.
Passive voice: The world was taken over by zombies.
Active voice: Zombies took over the world.
Basically, if you can add “by zombies” after the verb and it makes sense, you probably have passive voice. Yes, this makes sense; therefore, it is a passive voice sentence. To make this sentence active, you will need to put the noun doing the action in the subject location of the sentence.
C. Charts and Compilations or Additional Header (as needed)
Explain the chart/s and source material/s.
IV. ANALYSIS
Do not repeat evidence – analyze it, referencing it as detailed in the summary of evidence. (Set forth analysis on the assumption that the reader has reviewed the Summary of Investigation Section.)
Generally, the Analysis section does not draw upon or reference information or evidence not previously detailed in the Summary of Investigation Section.
V. RECOMMENDATION
Provide a summary of the basis for the recommendation.
There is no need to repeat detailed recounting and analysis of evidence previously addressed in the context of another violation, but there generally is some individual treatment of distinct and separate types of violations.
In making disciplinary recommendations, note prior disciplinary history; supervisory or managerial status where it factors in to the proposed recommendation; other aggravating or mitigating issues or arguments.
Any and all forms of cost recovery, contract damages, and fines should be considered and proposed where appropriate, with accompanying rationale and indication of capacity to pay.
VI. PERSONNEL/RULE(S), REGULATION(S), LAW(S) VIOLATIONS
If the allegation recommendation was sustained, detail the applicable rule, regulation, law that was found to have been violated. A rule, regulation, and or law cited previously can be cited by title only.
A. Allegation
1. Subject name/Sustained
2. Subject name/Not Sustained
Office of the Inspector General Audio Recording Procedures for Interviews
The Office of the Inspector General (OIG) conducts investigative, subject, witness and informational interviews. OIG policy requires that investigators always attempt to record the subject interviews, and permits investigators to attempt to record other interviews as appropriate and after consulting with the Inspector General. Current Illinois law requires consent in order to audio record these interviews, and the following process outlines the steps to take:
- Each Investigator identifies himself or herself to the interviewee.
- The lead Investigator explains the reason for the meeting.
- The lead Investigator advises the interviewee that the OIG interview room is equipped to conduct recording.
- The lead Investigator asks the interviewee for their verbal consent to audio record the interview and explains the benefits of recording, but advises that there is no penalty for refusing to record.
- If the interviewee does not give their consent to record the Investigator indicates the refusal on the Consent to Audio
Record form and asks the interviewee to sign. If signature is refused, the Investigator writes “refused to sign” on the interviewee’s signature line.
- If the interviewee does not give their consent to record, the lead Investigator advises that the meeting will not be recorded, and removes the recording equipment from the table.
- If the interviewee gives verbal consent to record, the lead Investigator initiates a test of the audio recording equipment and documents the test, fills in the Consent to Audio Record form and asks the interviewee to sign.
- The lead Investigator then begins to audio record the interview.
Conducting Audio Recording Operations OIG Interview Room / Field Interviews
Equipment
The OIG maintains two (2) digital audio recorders with the following specifications:
Brand: Olympus Model: LS-10 Linear PCM Recorder Serial Number: 200123482
Brand: Olympus Model: LS-14 Linear PCM Recorder Serial Number: 103133129
Both recorders are clearly marked with the model number on the lower front face of the device.
An electronic PDF version of the Olympus Manufacturers Instruction Manual for the LS-10 and for the LS-14 is available on the OIG (G:) Drive.
G:\Departments\Inspector General\Administrative File\Recording Operations
Location of Equipment:
Two separate kits containing digital recording devices are located in the office supplies cabinet outside the administrator’s office.
Privileged and Confidential
Kit Contents:
LS-10
Carrying Case LS-10 Linear PCM Recorder Olympus Recorder Stand / Clip USB cord for computer connection Olympus A517 5V AC adapter for travel purposes Spare 16G SD Memory Card Spare set of AA Batteries Pre-printed script card for testing and recording operations
LS-14
Carrying Case LS-14 Linear PCM Recorder Olympus Recorder Stand / Clip USB cord for computer connection USB 5V AC adapter for travel purposes Spare 32G SD Memory Card Spare set of AA Batteries Pre-printed script card for testing and recording operations
Equipment Settings
Initiating Recording Operations
Obtain kit from office supplies cabinet located outside administrator’s office.
Print the Consent to Audio Record form.
An electronic Word document version of the Consent to Audio Record form is available on the OIG (G:) Drive. G:\Departments\Inspector General\Administrative File\Recording Operations
After Investigator identification and meeting explanation, seek verbal consent to record from the interviewee.
Set up digital recorder on Olympus recorder stand / clip for optimal recording performance.
Aim the microphones at the subject or witness for optimal recording performance.
Insure digital recorder power is off; LCD display screen should be blank.
Attention: If the recorder is on when the AC adapter is first plugged in, recording malfunctions may occur.
LS-10
Memory: 16G SD Memory Card Recording Mode: MP3 / 320 kbps
Recording Level: Automatic Recording Time Permitted: Up to 29 hours
Mic Sensitivity: High Low Cut: On Power Setting: 5V AC Adapter
LS-14
Memory: 32G SD Memory Card Recording Mode: MP3 / 320 kbps
Recording Level: Manual Recording Time Permitted: Up to 29 hours
Mic Sensitivity: High Low Cut: On Power Setting: 5V AC Adapter
Plug in the correct 5V AC adapter (as marked) to the unit and the power source, unless the application of the AC adapter is not permitted and battery power is required.
LS-10
LS-10 male / female connection located on the bottom of the recorder, connect to the recording device and power source
Turn on the recording device
LS-14
Turn LS-14 Mode dial to Manual Mode
LS-14 USB / AC adapter connection located on the side of the recorder, connect to recording device and power source
The recorder display will read USB Connection and PC will be highlighted. Use the up (+) and down (-) buttons to highlight AC Adapter and press the OK button to select AC Adapter.
Power switch
Manual Mode
Power switch
AC adapter connection
USB / AC adapter connection
LS-10 Testing and Recording Procedures
Preparing to test (the LS-10 has a 2-step process to begin recording)
Press record button (REC) one time to prepare for recording test.
REC will begin to flash orange, the LCD display will show left and right recording levels and the hour, minute and second timer will read zero.
Record / Test
Press REC a second time and recording operations will begin.
Follow pre-printed script card for testing recorder.
“Case Number: ___________________ Today’s Date is: __________________ The Current Time is: _______________ Interview of: ____________________, test of recording equipment”
Press center play button (OK), stopping the test and simultaneously playing back the recording. If proper working order is the result of the recording test, document the result on the Consent to Audio Record form: “In proper working order”.
Record interview
Preparing to record interview (the LS-10 has a 2-step process to begin recording)
Press record button (REC) one time to prepare for interview recording.
REC will begin to flash orange, the LCD display will show left and right recording levels and the hour, minute and
Record button
Play button
AC adapter
Up (+) / Down (-) buttons
OK button
Record
Follow pre-printed script card for interview recording.
The Current Time is: _______________ Interview of: ____________________, Present for the interview:
Begin interviewing.
LS-14 Testing and Recording Procedures
Preparing to test (the LS-14 has a 2-step process to begin recording)
Insure Manual Mode is selected on the Mode dial
Press record button (REC) one time to prepare for recording test.
REC will begin to flash orange, the LCD display will show left and right recording levels and the hour, minute and
Record / Test
Follow pre-printed script card for testing recorder.
The Current Time is: _______________ Interview of: ____________________, test of recording equipment”
Record button
Manual Mode
Press the center Stop button stopping the test. Press the Play button and play back the recording. If proper working order is the result of the recording test, document the result on the Consent to Audio Record form: “In proper working order”.
Record interview
Preparing to record interview (the LS-14 has a 2-step process to begin recording)
Press record button (REC) one time to prepare for interview recording.
REC will begin to flash orange, the LCD display will show left and right recording levels and the hour, minute and
Record
Follow pre-printed script card for interview recording.
The Current Time is: _______________ Interview of: ____________________, Present for the interview:
Begin interviewing.
Breaks, Interruptions and Conclusion Recording Procedures
Breaks and Interruptions
If a break is required during the course of the interview for any reason or there is an interruption of the interview:
Follow pre-printed script card for interview recording.
“We are taking a break, [state reason] ______________________ and will resume shortly, the current time is:
Press the (STOP) button stopping the recording and shut the recording device off, remove from interview room if exiting.
LS-10 LS-14
Stop button
Play button
Stop button Stop button
When resuming interview from break:
Press record button (REC) one time to prepare to resume recording.
REC will begin to flash orange, the LCD display will show left and right recording levels and the hour, minute and
Resume / Record
Press REC a second time and recording operations will resume.
Follow pre-printed script card for interview recording.
“We are returning from the break and continuing the interview Case Number: _______________ Today’s Date is:
_______________________The Current Time is: ________________________ Interview of: ___________________ Present for the interview: __________________________”.
Conclusion of Interview
When concluding the interview and recording operations will cease:
Follow pre-printed script card for interview recording.
“We are concluding the interview of: _________________The Current Time is: _____________”
Press the Stop button. Turn off the recording device.
Downloading and Verification Procedures
After the interview has concluded, the lead investigator will download and verify the audio recordings.
LS-10 Downloading and Verification Procedures
Connect the recorder to your computer using the USB cord and power up the recording device.
Attention: Never unplug the USB cord during operations, recording file corruption may occur.
On the computer select the windows home button and scroll up the right hand column to the computer’s number (starts with CA). Select the computer number. Find and select Removable Disk. Six file folders will appear 5 of which will end in a sequential letter, A, B, C, D or E.
The test recording and the interview recording are in the folder ending with A unless multiple interviews were conducted consecutively. If consecutive interviews were conducted, they can be found in the next sequential folder.
USB cord connection
Recorder Display
Each interview should result in at least 2 recording files the test and interview, subsequent recording files will be created resulting from breaks.
Test file
Right click on the test file (first file) and copy it. Go to the associated electronic case file and paste the recording in the case file folder.
Right click on the test file and rename it using the following file extension:
Year.month.day case number interview test name of interviewee (example: 2016.01.27 IG-16-001 Interview Test John Doe)
Recording verification
In the case file folder double click on the test file and listen to it in its entirety verifying it is complete.
Interview file
Go back to the Removable Disk, right click on the interview file (second file) and copy it. Go to the associated electronic case file and paste the recording in the case file folder.
Right click on the interview file and rename it using the following file extension:
Year.month.day case number interview name of interviewee (example: 2016.01.27 IG-16-001 Interview John Doe) Recording verification
In the case file folder double click on the interview file and listen to the introduction then move the stream near the end of the recording and listen to the closing or break verifying the recording is…
This is the start of the file's text. The full file is on GovTribe.
File details come from the government source that posted it. Updated .