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Yes. All SEPTA employees and contractors are required to cooperate with OIG staff during an audit, investigation, or review. The OIG has unrestricted access to all personnel, records, and properties at SEPTA. The OIG also has authority to require testimony of any employees. SEPTA employees may be subject to discipline if they provide false information or statements to the OIG.
Investigations / Report Wrongdoing
- Any possible criminal violation, including: workplace violence (threats, assaults), threatening harassment, theft, embezzlement, misuse of SEPTA purchase cards, vendor collusion, bid rigging, bribery, kickbacks, contractor overbilling, DBE fraud, insurance fraud, possession of child pornography, counterfeit SEPTA passes, counterfeit materials/parts, false workers compensation claims, false travel or expense claims, false statements on official records, falsification of certifications, etc.
- Any potential violation of SEPTA policy, including: conflict of interest, gross mismanagement, retaliation for cooperating with OIG, time and attendance abuse, overtime abuse, misuse of equipment/vehicles/facilities, etc.
General complaints about SEPTA service, insubordination, non-violent arguments between employees, inappropriate non-threatening language, challenges to personnel actions, employee morale, work assignments, management decisions, performance ratings, union grievances, fare issues, lost property, customer complaints, etc. For customer complaints, please contact SEPTA Customer Service at (215) 580-7800. For employment-related complaints, please send an email to [email protected] to request a complaint form.
Anyone, really. The OIG takes complaints from SEPTA employees, vendors, contractors, customers, or any member of the public. The OIG relies on you to report any facts or instances of misconduct, waste, fraud, or abuse in order to carry out our mission. The only requirement is that you have a good-faith basis for your complaint or report and that you do not make frivolous allegations, false accusations, or have reckless disregard for the truth. First-hand knowledge is not a prerequisite, but it is preferable.
No, you can do so anonymously. However, we strongly encourage you to identify yourself and share your contact information so that we may follow up in an effective manner. The more information you can provide, the more thorough the OIG’s investigation will be. We may reach out to get more information. We can meet you at a place of your convenience, talk on the phone, or have a virtual meeting. Thereafter, we will make every effort to keep your name and other identifying information completely confidential. We will explain our process and be candid and transparent with you.
Yes. An employee who makes a report to the OIG, in good faith, should not experience any retaliation as a result, per SEPTA Policy # A-10 and # S03.
The length of time to complete an investigation varies. OIG investigations are completed thoroughly and as expeditiously as possible based on the availability of witnesses and the complexity of the allegations. OIG investigations may take weeks, months, or years.
All complaints filed with OIG are evaluated for jurisdiction and whether appropriate for OIG to investigate. Complaints not deemed within OIG’s jurisdiction or scope of duties are referred by OIG to the appropriate SEPTA department for follow up.
An OIG audit is an examination of internal processes, procedures, and systems at SEPTA to identify weaknesses in internal controls that pose a risk to SEPTA operations. Audits result in audit reports, which describe findings and recommend actions for management to consider. Audits at SEPTA are conducted consistently with the Government Auditing Standards (GAS) (also known as the “Yellow Book”).
An audit focuses on improving processes of an organization, while an investigation examines alleged misconduct by an individual.
Internal controls are policies and procedures designed to minimize risks and provide reasonable assurance in achieving the following categories:
Effectiveness and efficiency of operations;
Reliability of financial reporting; and
Compliance with laws, rules and regulations.
Examples of internal controls include segregation of duties, authorization of transactions, documentation to support transactions, and safeguarding Information Technology resources and assets.
Each year, the OIG conducts a risk assessment of SEPTA programs. The OIG also solicits input from the Board, executive management, and other stakeholders at SEPTA. Based on the risk assessment and the input we receive, the OIG develops an Annual Audit Plan. Some audits are required by law. If you have suggestions for possible auditable areas, please contact the OIG.
Yes. The OIG will generally hold an Exit Conference with the auditee to discuss our Report and findings and solicit feedback. The auditee will have a reasonable period of time to respond, in writing, to the OIG Report findings and recommendations. The OIG will consider the auditee’s response before issuing its final report.
The OIG is committed to transparency in its reporting to the public in its audits, investigations, and reviews. The majority of its reports will be published on the OIG website, along with the relevant management and auditee’s response. The OIG will redact proprietary information, including personal identifiers.
In addition, the law prohibits retaliation for:
- filing an appeal, complaint, or grievance;
- helping someone else file or testifying on that person’s behalf;
- cooperating with or disclosing information to the OIG; or
- refusing to obey an unlawful order.