Library: Policy
DHS:2-7-1. Internal affairs investigations
Revised 6-13-19
(a) Purpose.The Office of Inspector General (OIG) is responsible for addressing alleged fraud and misconduct complaints and criminal behavior against current Oklahoma Department of Human Services (DHS) employees.
(b) Policy.OIG reviews all complaints of alleged employee fraud, misconduct or criminal behavior, including anonymous complaints, to determine the validity of the allegations and to take appropriate action.
(c) OIG jurisdiction in criminal investigations.Section 162.4 of Title 56 of the Oklahoma Statutes (56 O.S. § 162.4) authorizes the DHS Director to commission Council on Law Enforcement Education and Training (CLEET)-certified employees as OIG peace officers, called agents.Agents are authorized to investigate crimes committed against DHS or crimes committed in the course of DHS-administered programs and to investigate cases of SoonerCare (Medicaid) recipient fraud.Agents also have the authority to serve and execute process, bench warrants, and other court orders in any judicial or administrative proceeding in which DHS is a party or participant.
(d) Definitions.The following words and terms, when used in this Section, shall have the following meanings, unless the text clearly indicates otherwise:
(1) "Internal affairs investigation" means a type of investigation involving employee misconduct and criminal behavior, approved by the Internal Investigation Review Committee (IIRC), and conducted by OIG.
(2) "Internal affairs investigator" means the inspector general, supervisor, or agent assigned by the inspector general or his or her designee to investigate an allegation of employee fraud, misconduct, or criminal behavior.One or more agents may be assigned to an individual investigation.
(3) "Local administrator" or "division administrator" means the chief officer, division director, regional director, resource center director, county director, or supervisor authorized to make investigation or discipline decisions.
(4) "Supervisory investigation" means a type of investigation of an alleged policy violation committed by an employee that is conducted by an administrator or his or her designee.
(e) Internal affairs complaints.
(1) All complaints of alleged employee fraud, misconduct, or criminal behavior, including anonymous complaints, are documented and reviewed promptly.
(2) Complaints are made to OIG from any source including DHS divisions and offices, other state and federal agencies, all law enforcement agencies, and the general public.
(3) Complaints from all sources may be made in person, by phone, by email, or in writing.DHS employees may also use Form 19MP001E, Office of Inspector General (OIG) Referral Form, to file a complaint.Procedures for making internal affairs complaints are available on the DHS InfoNet on the OIG webpage and are provided upon request by contacting OIG.
(4) Complaints made specifically against OIG employees are immediately referred to the inspector general or his or her designee.
(5) Complaints are entered into the case management database.
(6) The OIG chief investigative administrator or designee reviews a complaint to determine if the complaint should be closed or referred to an employee's administrator for supervisory investigation. Complaints closed at the initial review are detailed in (f) of this Section.Complaints referred for supervisory investigation are detailed in (h)(2) of this Section.The inspector general or designee is notified when a complaint is referred for supervisory investigation.
(7) The OIG chief investigative administrator or his or her designee submits employee complaints that pass the initial review process to the IIRC for additional review and examination prior to assignment for investigation.Complaints referred for review by the IIRC are detailed in (i)(5) of this Section.The inspector general or his or her designee is notified when a complaint is referred to the IIRC.
(8) The inspector general may submit any complaint to the IIRC for review anytime during the complaint review process.
(9) When a person makes a complaint to OIG regarding an employee committing criminal acts not committed against DHS or in the course of a DHS-administered program, the complaint is taken and reviewed by OIG.The reporting individual is also advised to report the criminal act to the law enforcement agency with jurisdiction to investigate the reported criminal act.
(f) Complaint closures after initial OIG review.During the initial review process, complaints may be closed without additional action by OIG under circumstances in (1) through (9).
(1) The complaint is made against an individual who is not a current DHS employee.
(2) The complaint contains allegations that if sustained are not law or policy violations.
(3) The complaint is only expressing a generalized concern and not an allegation against a DHS employee or group of employees.
(4) OIG personnel are able to determine the complaint is without merit or the employee's actions were within law and policy.
(5) The complaint does not detail sufficient information to determine the identity of the employee alleged to have committed the violation, the date, and location of the alleged violation, any potential witnesses to the violation, or other information to indicate reasonable suspicion a violation occurred.
(6) The complaint was previously investigated by OIG and the current complaint does not provide substantial new evidence.
(7) The complaint contains allegations that are not within OIG investigative jurisdiction.
(8) OIG personnel determines there is no reasonable possibility an investigation will sustain the allegations.
(9) OIG personnel details specific reasons why the complaint is not credible or reliable.
(g) IIRC role.
(1) Complaints not closed during the initial review process or complaints not forwarded to another DHS division for investigation are referred to the IIRC.The IIRC reviews and evaluates complaints relating to alleged employee fraud, misconduct, or criminal behavior and determines if the complaint is assigned as an internal affairs investigation conducted by OIG or if the complaint is forwarded to a local or division administrator for supervisory investigation.
(2) The IIRC takes into consideration in making their determination:
(A) the severity of the alleged violation determined in the complaint;
(B) the source of the complaint;
(C) the reliability and credibility of the source of the complaint; and
(D) if the information provided in the complaint supports reasonable suspicion to believe a violation of law or policy occurred.
(3) The IIRC is composed of officers or designees from:
(A) the Office of Inspector General;
(B) Human Resource Management; and
(C) Legal Services.
(4) When the alleged employee fraud, misconduct, or criminal behavior is against an employee of one of the three IIRC divisions that compose the IIRC, the corresponding officer or designee abstains from voting on the final disposition of the complaint.
(h) Complaints assigned for supervisory investigation.
(1) When the decision is made to refer a complaint for supervisory investigation, OIG personnel refers the complaint to the employee's supervisor or administrator where the employee is assigned to duty.The employee's administrator conducts the supervisory investigation or determines other appropriate action.
(2) Complaints that are referred for supervisory investigation include, but are not limited to:
(A) time and leave violations, including the Family Medical leave Act (FMLA);
(B) willful disobedience;
(C) insubordination;
(D) discourteous treatment of clients, employees, or the public;
(E) medical limitations;
(F) employees accessing confidential DHS records without a work-related need;
(G) dereliction of duty;
(H) inefficient or inadequate work performance; and
(I) complaints with sufficient information to sustain a violation detailed in the allegations, without an OIG investigation.
(3) Complaints referred to other DHS offices for investigation or determination of appropriate action include:
(A) discrimination based on race, color, national origin, religion, sex, age, sexual preference, or disability;
(B) personnel matters where personal relief is sought, such as employee grievances and complaints of prohibited personnel practices;
(C) child abuse or neglect;
(D) financial exploitation, abuse, or neglect of a vulnerable adult, unless the allegation is made against DHS employee alleged to have committed the violation in connection with his or her employment; and
(E) Office of Client Advocacy (OCA) investigated complaints, per Oklahoma Administrative Code (OAC) 340:2-3-1 through 340:2-3-75.
(i) Complaints assigned for internal affairs investigation.
(1) When the IIRC determines that a complaint against an employee should be referred for an internal affairs investigation, the OIG chief investigative administrator or his or her designee assigns the complaint to a supervisor.The supervisor conducts the investigation directly, or assigns the investigation to one or more agents.
(2) Agents to whom an investigation is assigned are authorized to report directly to the OIG chief investigative administrator and the inspector general.
(3) The assigned internal affairs investigator may conduct a criminal investigation when the facts of the case warrant such action.Information gathered during a criminal investigation of a DHS employee may be used in a subsequent administrative investigation, personnel hearing, or other personnel action.
(4) The OIG chief investigative administrator or designee may authorize the internal affairs investigator to seek the assistance of, or work jointly with, other law enforcement agencies in any internal affairs investigation.
(5) Complaints made against DHS employees referred for internal affairs investigation are those of a more serious nature and include:
(A) crimes committed against DHS;
(B) crimes committed in the course of DHS administered programs;
(C) SoonerCare (Medicaid) recipient fraud;
(D) unauthorized disclosure of confidential information;
(E) making a false report or claim;
(F) falsifying official forms or other documents;
(G) failure to report a finding of guilt, plea of guilty, or nolo contendere to a felony charge;
(H) misuse of state property and equipment; and
(I) employee maltreatment of DHS clients.
(j) Internal affairs investigation procedures.
(1) OIG notifies an employee's local or division administrator that the employee is the subject of an internal affairs investigation.Notification may be delayed if such notification would hamper the investigation.The local administrator may temporarily relieve an employee from duty pending an investigation of disciplinary action per DHS:2-1-7.
(2) OIG notifies an employee in writing that the employee is the subject of an internal affairs investigation.Notification may be delayed if such notification would hamper the investigation.Notification includes a written statement of the allegations against the employee and information about the employee's rights and responsibilities relative to the investigation.
(3) The assigned investigator:
(A) makes every attempt to interview the complainant, the employee under investigation, witnesses, and any other individuals whose statements may assist in the investigation;
(B) liaisons with state or federal prosecutors when the internal affairs investigation involves allegations of criminal behavior;
(C) collects and examines all evidence relevant to the investigation including, but not limited to, written statements, video or audio recordings, emails, electronic devices, documents, test results, police reports, and photographs; and
(D) prepares a written report to address the allegations in the complaint and to summarize the evidence obtained during the investigation.
(4) After reviewing the final report, the inspector general determines a finding on each allegation.Findings are classified as:
(A) "sustained" means the evidence tends to support the allegation of misconduct;
(B) "not sustained" means there is insufficient evidence to either prove or disprove the allegation of misconduct;
(C) "unfounded" means the evidence tends to disprove the allegation of misconduct; or
(D) "exonerated" means the evidence tends to support factual occurrence, but conduct does not appear improper.
(5) Internal affairs investigations are completed within 60-calendar days after referral for investigation by the IIRC.Extensions beyond 60-calendar days may be granted by the OIG chief investigative administrator in exceptional situations.
(6) When allegations of felony criminal violations are sustained against a DHS employee, the internal affairs investigator coordinates with the state or federal prosecutor to determine when there is sufficient evidence for prosecution.
(7) When allegations of misdemeanor criminal violations are sustained against a DHS employee, the inspector general or designee determines when the case should be referred for prosecution.
(8) OIG advises the local or division administrator as to the status of any criminal charges filed and any requests by state or federal prosecutors for delay of administrative action until resolution of the criminal charges.
(9) The final report and findings regarding the allegations is forwarded to the local or division administrator of the affected division and to Legal Services for review and determination of appropriate action.
(10) The local or division administrator determines any administrative disciplinary action, per DHS:2-1-7.
(k) Employee rights, responsibilities, and requirements during investigation.
(1) During the investigation process, accused employees have the right to:
(A) be advised in writing of the allegations against them;
(B) be advised when the investigation involves allegations of criminal behavior or administrative violations;
(C) be provided a copy of the internal affairs policy that explains the investigative process;
(D) be advised and sign Form 19IV005E, Office of Inspector General (OIG) Miranda Advice of Rights and Waiver, prior to a custodial interview concerning alleged criminal violations;
(E) contact the assigned investigator to be advised of the status of the investigation; and
(F) request legal counsel before or during an interview concerning alleged criminal violations.
(2) During the investigation process, accused employees have the responsibility to refrain from actions that interfere with the investigation, including actions that intimidate, threaten, or harass potential witnesses.
(3) During the investigation process, accused employees do not have the right to:
(A) review any part of the internal affairs investigation file; or
(B) contact the complainant unless the complainant is the employee's supervisor or local or division administrator.
(4) During the investigative process, accused employees are required to truthfully and fully answer questions and cooperate in investigations after being presented Form 19IV006E, Office of Inspector General (OIG) Administrative Interview Advice of Rights.Failure to cooperate or failure to answer questions after being presented with Form 19IV006E is considered misconduct and knowingly withholding information of official interest.
(5) During the investigation process, accused employees may be required to submit to undergo special examinations as described in subsection (p).
(l) OIG interview of accused employee when criminal behavior and administrative violations are suspected.
(1) Where criminal prosecution and administrative violations are possible, and before interviewing the accused employee, the internal affairs investigator will ensure that the employee:
(A) is informed that criminal behavior and administrative violations are suspected;
(B) is given Form 19IV007E, Office of Inspector General (OIG) Notice of Internal Affairs Investigation and Notice Regarding Statements During Internal Investigations, notifying the employee of 21 O.S. § 281; and
(C) when not in custody, is read and given the opportunity to sign Form 19IV008E, Office of Inspector General (OIG) Noncustodial Advice of Rights; or
(D) when in custody is read and given the opportunity to sign Form 19IV005E, Office of Inspector General (OIG) Miranda Advice of Rights.
(2) When an accused employee makes a written or oral statement invoking his or her right to remain silent, the internal affairs investigator:
(A) stops the interview;
(B) notifies the special agent in charge;
(C) coordinates with the OIG chief investigative administrator to determine if Form 19IV006E is given to the employee.
(3) If at any time during the interview, an accused employee makes a written or oral statement invoking his or her right to counsel the internal affairs investigator:
(A) stops the interview;
(B) notifies the special agent in charge;
(C) coordinates with the OIG chief investigative administrator to determine if Form 19IV006E is given to the employee; and
(D) does not interview the employee about a matter that could result in criminal prosecution without his or her attorney present.
(m) OIG interview of accused employee when only administrative violations are suspected.
(1) Where information is being sought for administrative purposes only, and not for use in criminal prosecution, the internal affairs investigator ensures the employee:
(A) is informed administrative violations are suspected;
(B) is given Form 19IV007E notifying the employee of 21 O.S. § 281; and
(C) is advised of the requirement to truthfully and fully answer questions and to cooperate with the investigation.
(2) When the employee refuses to cooperate with the investigation or answer questions concerning the performance of his or her official duties, the employee is given Form 19IV006E as determined by the OIG chief investigative administrator.
(n) OIG use of Form 19IV006E.
(1) The inspector general or his or her designee or the OIG chief investigative administrator or his or her designee, may authorize an internal affairs investigator to present Form 19IV006E to an accused employee.
(2) After being given Form 19IV006E the accused employee is required to cooperate with the investigation and to truthfully answer questions concerning the performance of his or her official duties or fitness for duty.
(3) Information gathered from an accused employee, after signing Form 19IV006E, is considered compelled and is not used against the employee in any subsequent or ongoing criminal proceeding.
(o) OIG use of Form 19IV002E, Notice Regarding Statements During Internal Investigations.
Before interviewing any person in an internal affairs investigation, other than the accused employee, the internal affairs investigator presents to the person being interviewed Form 19IV002E, Notice Regarding Statements During Internal Investigations.
(p) Special examinations.
(1) An employee under investigation for alleged administrative violations may be ordered, upon specific approval by the inspector general, to undergo special examinations at expense of DHS, to include:
(A) handwriting analysis;
(B) photographs for use in a photographic line-up; or
(C) submission of financial disclosure statements when they are relevant to a particular investigation.
(2) Allegations of drug or alcohol use and any associated testing requirements are described in OAC 340:2-1-40 through 340:2-1-46.
(3) Special examinations are specifically and narrowly related to a particular investigation.Refusal to submit to special examinations as part of an internal affairs investigation is considered employee misconduct.
(4) An employee has no expectation of privacy on property owned or leased by DHS.All DHS property is subject to inspection.Property includes, but is not limited to, buildings, vehicles, desks, electronic devices, and files.
(q) Internal affairs records.OIG maintains an electronic record of the allegations, investigator notes, and outcomes of complaints against DHS employees on the case management database.Hard copies of the original report and all associated evidence are secured in locked file cabinets and maintained in accordance with the applicable DHS records management and disposition plan.
