96TH GENERAL ASSEMBLY
State of Illinois
2009 and 2010
SB3965

 

Introduced 11/4/2010, by Sen. Susan Garrett

 

SYNOPSIS AS INTRODUCED:
 
70 ILCS 3605/27  from Ch. 111 2/3, par. 327
70 ILCS 3605/42.5 new
70 ILCS 3615/3.02  from Ch. 111 2/3, par. 703.02
70 ILCS 3615/3.07 new
740 ILCS 174/5

    Amends the Metropolitan Transit Authority Act. Provides for the appointment of a Chicago Transit Authority Inspector General for a 4-year term for the purpose of detection and prevention of fraud and mismanagement in the Chicago Transit Authority. Provides that the jurisdiction of the Chicago Transit Authority Inspector General does not include the Board of Directors of the Chicago Transit Authority. Contains provisions concerning appointment, terms, removal, duties, and reporting requirements of the Chicago Transit Authority Inspector General. Amends the Regional Transportation Authority Act. Provides for the appointment of a Regional Transportation Authority Inspector General for a 5-year term for the purpose of detection, deterrence, and prevention of fraud, corruption, and mismanagement in the Regional Transportation Authority, the Commuter Rail Division, the Suburban Bus Division, and the Board of Directors of the Chicago Transit Authority. Contains provisions concerning appointment, terms, removal, jurisdiction, duties, and reporting requirements of the Regional Transportation Authority Inspector General. Requires that the Board of Directors of the Regional Transportation Authority appoint an ethics officer. Amends the Whistleblower Act. Provides that "employer" includes the Office of the Regional Transportation Authority Inspector General. Effective immediately.


LRB096 24159 RLJ 43594 b

FISCAL NOTE ACT MAY APPLY

 

 

A BILL FOR

 

SB3965LRB096 24159 RLJ 43594 b

1    AN ACT concerning local government.
 
2    Be it enacted by the People of the State of Illinois,
3represented in the General Assembly:
 
4    Section 5. The Metropolitan Transit Authority Act is
5amended by changing Section 27 and adding Section 42.5 as
6follows:
 
7    (70 ILCS 3605/27)  (from Ch. 111 2/3, par. 327)
8    Sec. 27. Officers; police protection.
9    (a) The Board may appoint an Executive Director who shall
10be a person of recognized ability and experience in the
11operation of transportation systems to hold office during the
12pleasure of the Board. The Executive Director shall have
13management of the properties and business of the Authority and
14the employees thereof, subject to the general control of the
15Board, shall direct the enforcement of all ordinances,
16resolutions, rules and regulations of the Board, and shall
17perform such other duties as may be prescribed from time to
18time by the Board. The Board may appoint a General Counsel and
19a Chief Engineer, and shall provide for the appointment of
20other officers, attorneys, engineers, consultants, agents and
21employees as may be necessary for the construction, extension,
22operation, maintenance, and policing of its properties. It
23shall define their duties and require bonds of such of them as

 

 

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1the Board may designate. The Executive Director, General
2Counsel, Chief Engineer, and all other officers provided for
3pursuant to this section shall be exempt from taking and
4subscribing any oath of office. The compensation of the
5Executive Director, General Counsel, Chief Engineer, and all
6other officers, attorneys, consultants, agents and employees
7shall be fixed by the Board.
8    (b) In the policing of its properties the Board may provide
9for the appointment and maintenance, from time to time, of such
10police force as it may find necessary and practicable to aid
11and supplement the police forces of any municipality in the
12protection of its property and the protection of the persons
13and property of its passengers and employees, or otherwise in
14furtherance of the purposes for which such Authority was
15organized. The members of such police force shall have and
16exercise like police powers to those conferred upon the police
17of cities. Neither the Authority, the members of its Board nor
18its officers or employees shall be held liable for failure to
19provide a security or police force or, if a security or police
20force is provided, for failure to provide adequate police
21protection or security, failure to prevent the commission of
22crimes by fellow passengers or other third persons or for the
23failure to apprehend criminals.
24    (c) The Office of the Chicago Transit Authority Inspector
25General may provide for the appointment and maintenance of a
26police force to assist the Chicago Transit Authority Inspector

 

 

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1General in performing the duties imposed under Section 42.5.
2The Office of the Inspector General, in consultation with the
3General Counsel, must develop policies and procedures for the
4exercise of the police powers authorized under this Section.
5The Secretary of the Authority must create and maintain a
6written list of all employees of the Office of the Chicago
7Transit Authority that are authorized to exercise police
8powers. Before an employee may exercise the police powers
9authorized under this Section, the employee must complete the
10basic police training course approved by the Illinois Law
11Enforcement Training Standards Board and the Inspector General
12must submit to the Secretary of the Authority that employee's
13name for inclusion on the list of employees authorized to
14exercise police powers.
15(Source: P.A. 84-939; 87-597.)
 
16    (70 ILCS 3605/42.5 new)
17    Sec. 42.5. Chicago Transit Authority Inspector General.
18    (a) The Office of the Chicago Transit Authority Inspector
19General is created as an independent office of the Authority.
20The Office of the Chicago Transit Authority Inspector General
21shall include an Inspector General and deputies, assistants,
22and other employees as may be necessary. The Chicago Transit
23Authority Inspector General shall be appointed to a 4-year term
24by a majority vote of the Board and shall be responsible for
25the operation and management of the Office of the Chicago

 

 

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1Transit Authority Inspector General. The Chicago Transit
2Authority Inspector General may be removed from office before
3the expiration of his or her term only for cause by an
4affirmative vote of a majority of the members of the Board. A
5vacancy in office shall be filled in the same manner as an
6appointment.
7    (b) In addition to other powers conferred in this Section,
8the Chicago Transit Authority Inspector General has the
9following powers and duties:
10        (1) To promote economy, efficiency, effectiveness, and
11    integrity in the administration of the Authority's
12    programs and operations by reviewing programs, identifying
13    any inefficiencies, waste, and potential for misconduct
14    therein, and recommending policies and methods for the
15    elimination of inefficiencies and waste, and for the
16    prevention of misconduct.
17        (2) To receive and register complaints and information
18    concerning waste, fraud, and abuse within the Authority.
19        (3) To investigate and audit the conduct and
20    performance of the Authority's officers, employees,
21    agents, and contractors, and the Authority's functions and
22    programs, in order to detect and prevent waste, fraud, and
23    abuse within the programs and operations of the Authority.
24        (4) To report to the Board concerning the results of
25    investigations conducted by the Office of the Chicago
26    Transit Authority Inspector General as required by this

 

 

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1    Section.
2        (5) To request and receive information related to an
3    investigation or audit from any officer, employee, agent,
4    or contractor of the Authority.
5        (6) To request that the Board conduct public hearings
6    in furtherance of an investigation or audit undertaken
7    pursuant to this Section.
8        (7) To subpoena witnesses for purposes of examination
9    and the production of documents and other items for
10    inspection or duplication pertinent to an investigation or
11    audit.
12    (c) The powers and duties of the Chicago Transit Authority
13Inspector General shall extend, except as otherwise limited in
14this Section, to the conduct of the following:
15        (1) all officers of the Authority in the performance of
16    their official duties;
17        (2) all employees of the Authority in the performance
18    of their official duties;
19        (3) all agents acting on behalf of the Authority; and
20        (4) all contractors providing, or seeking to provide,
21    goods or services to the Authority pursuant to a contract.
22    The powers and duties of the Chicago Transit Authority
23Inspector General do not apply to any member of the Board. If
24the Office of the Chicago Transit Authority Inspector General
25receives a complaint alleging misconduct, inefficiency, or
26waste by any member of the Board, then the Chicago Transit

 

 

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1Authority Inspector General shall submit the complaint to the
2Regional Transportation Authority Inspector General, the Chair
3of the Board, and any appropriate law enforcement agency.
4    (d) Upon conclusion of an investigation or audit, the
5Chicago Transit Authority Inspector General shall issue a
6summary report. The summary report shall be submitted to the
7Chair of the Board and a copy provided to the Executive
8Director. After reviewing the summary report, the Board may, in
9its discretion, provide the summary report to the head of any
10department affected by or involved in the investigation or
11audit. The summary report shall include the following: (i) a
12description of any complaints or other information received by
13the Inspector General pertinent to the investigation or audit;
14(ii) a description of any misconduct or any waste, fraud, or
15abuse observed or discovered in the course of the investigation
16or audit; (iii) recommendations for the correction of any
17misconduct or any waste, fraud, or abuse described in the
18report; and (iv) any other information the Chicago Transit
19Authority Inspector General deems relevant to the
20investigation or audit or any resulting recommendations. The
21summary report shall not mention the name of any informant,
22complainant, witness, or person investigated, unless otherwise
23authorized by the Chair of the Board.
24    No later than the fifteenth day of January, April, July,
25and October of each year, the Chicago Transit Authority
26Inspector General shall file with the Chair of the Board, and

 

 

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1provide a copy to the Executive Director, a quarterly report,
2accurate as of the last day of the preceding month, indicating
3the number of investigations and audits initiated since the
4date of the last quarterly report, the number of investigations
5and audits concluded since the last quarterly report, and the
6number of investigations and audits pending as of the reporting
7date. The quarterly report shall also include the number of
8investigations and audits of the conduct of officers,
9employees, and agents of the Authority, and the number of
10investigations and audits of the conduct of contractors
11providing, or seeking to provide, goods or services to the
12Authority. The quarterly report shall identify any
13investigation or audit that has not been completed within 6
14months, and shall state the reasons for failure to complete the
15investigation or audit within 6 months. The quarterly report
16shall set forth the number of investigations and audits
17involving alleged misconduct, and the number of investigations
18and audits involving alleged waste or inefficiency. The Chicago
19Transit Authority Inspector General shall provide a copy of the
20quarterly report to the Executive Director.
21    No later than the first day of February of each year, the
22Chicago Transit Authority Inspector General shall file with the
23Board an annual report, accurate as of the last day of the
24preceding year, including the following information: (i) a
25consolidated version of all information provided in that year's
26quarterly reports; (ii) a consolidated version of that year's

 

 

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1summary reports; (iii) a description of any actual or potential
2waste, fraud, and abuse within the Authority; (iv)
3recommendations to the Board of policies and methods for the
4elimination or prevention of waste, fraud, and abuse; and (v)
5any additional information that the Inspector General deems
6appropriate. The Chicago Transit Authority Inspector General
7shall provide a copy of the annual report to the Executive
8Director.
9    The Chicago Transit Authority Inspector General shall
10provide copies of the quarterly reports described in paragraph
11(2) of this subsection (d) and the annual report described in
12paragraph (3) of this subsection (d) to the Inspector General
13of the Regional Transportation Authority. The Inspector
14General of the Regional Transportation Authority has the power
15to review the activities and inspect the files and reports of
16the Chicago Transit Authority Inspector General.
17    (e) All files and reports of the Office of the Chicago
18Transit Authority Inspector General shall be confidential and
19may not be divulged to any person or agency, except: (i) to
20appropriate federal, state, or local law enforcement
21authorities, (ii) to the Inspector General of the Regional
22Transportation Authority, (iii) as authorized by the Board, or
23(iv) as otherwise required by law.
24    (f) The Chicago Transit Authority Inspector General is
25authorized to issue public statements concerning an
26investigation that exonerates an individual who is publicly

 

 

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1known to have been under investigation if the subject requests
2such a statement.
3    (g) Every officer, employee, agent, and contractor of the
4Authority has a duty to cooperate fully and expeditiously with
5the Chicago Transit Authority Inspector General in any
6investigation or audit undertaken pursuant to this Section. No
7person shall retaliate against, punish, or penalize any other
8person for complaining to, cooperating with, or assisting the
9Office of the Chicago Transit Authority Inspector General in
10the performance of its duties.
11    (h) On the effective date of this amendatory Act of the
1296th General Assembly, the powers and duties of the Office of
13the Inspector General created by Chicago Transit Authority
14Ordinance Number 99-173 are transferred to the Office of the
15Chicago Transit Authority Inspector General created under this
16Section. The status and rights of the employees of the Office
17of the Inspector General created by Chicago Transit Authority
18Ordinance Number 99-173 shall not be affected by the transfer
19of those power and duties to the Office of the Chicago Transit
20Authority Inspector General. All records, documents, and
21contracts of the Office of the Inspector General created by
22Chicago Transit Authority Ordinance Number 99-173 are also
23transferred by this amendatory Act of the 96th General Assembly
24to the Office of the Chicago Transit Authority Inspector
25General.
26    This Section does not affect any act completed, ratified,

 

 

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1or canceled, or any right occurring or established, before the
2effective date of this amendatory Act of the 96th General
3Assembly in connection with any power or duty transferred under
4this amendatory Act of the 96th General Assembly. This Section
5does not affect any action or proceeding had or commenced
6before the effective date of this amendatory Act of the 96th
7General Assembly in an administrative, civil, or criminal cause
8regarding any power or duty transferred under this amendatory
9Act of the 96th General Assembly, but any such action or
10proceeding may be continued by the Office of the Chicago
11Transit Authority Inspector General.
12    (i) This Section supersedes the provisions of Chicago
13Transit Authority Ordinance Number 99-173.
 
14    Section 10. The Regional Transportation Authority Act is
15amended by changing Section 3.02 and adding Section 3.07 as
16follows:
 
17    (70 ILCS 3615/3.02)  (from Ch. 111 2/3, par. 703.02)
18    Sec. 3.02. Chairman and Other Officers. The Chairman shall
19preside at meetings of the Board, and shall be entitled to vote
20on all matters. The Board shall select a Secretary and a
21Treasurer and may select persons to fill such other offices of
22the Authority and to perform such duties as it shall from time
23to time determine. The Board must appoint an ethics officer for
24the Authority. The Secretary, Treasurer and other officers of

 

 

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1the Authority may, but need not be, members of the Board.
2(Source: P.A. 83-886.)
 
3    (70 ILCS 3615/3.07 new)
4    Sec. 3.07. Regional Transportation Authority Inspector
5General.
6    (a) The Office of the Regional Transportation Authority
7Inspector General is created for the purpose of detection,
8deterrence, and prevention of fraud, corruption, waste, and
9mismanagement in the Regional Transportation Authority, the
10Suburban Bus Division, the Commuter Rail Division, and the
11Board of Directors of the Chicago Transit Authority. The
12Regional Transportation Authority Inspector General shall head
13the Office and shall be appointed by a 7-member committee known
14as the Selection Committee. The Selection Committee shall be
15composed of:
16        (1) Two persons designated by the Cook County State's
17    Attorney, one of which may be the Cook County State's
18    Attorney. One member shall reside within the corporate
19    limits of the City of Chicago and one shall reside in Cook
20    County but outside the corporate limits of the City of
21    Chicago.
22        (2) The DuPage County State's Attorney or his or her
23    designee, who shall reside in DuPage County.
24        (3) The Kane County State's Attorney or his or her
25    designee, who shall reside in Kane County.

 

 

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1        (4) The Lake County State's Attorney or his or her
2    designee, who shall reside in Lake County.
3        (5) The McHenry County State's Attorney or his or her
4    designee, who shall reside in McHenry County.
5        (6) The Will County State's Attorney or his or her
6    designee, who shall reside in Will County.
7    Within 60 days after the effective date of this amendatory
8Act of the 96th General Assembly, the Selection Committee shall
9convene to identify potential candidates to fill the position
10of Regional Transportation Authority Inspector General. In
11order to be eligible for consideration for the Regional
12Transportation Authority position, candidates must meet the
13qualifications outlined in subsection (b). The Selection
14Committee shall appoint the Regional Transportation Authority
15Inspector General by an affirmative vote of at least 5 of the 7
16members. The Board, upon direction by the Selection Committee,
17may contract with a national executive search firm to assist in
18identifying highly qualified candidates for the Regional
19Transportation Authority Inspector General position. The costs
20for contracting with a national executive search firm shall be
21paid out of the budget for the Office of the Regional
22Transportation Authority Inspector General as outlined in
23subsection (h). No member of the Selection Committee may vote
24to appoint as the Regional Transportation Inspector General:
25(i) a relative, as defined by item (6) of Section 10-15 of the
26State Officials and Employees Ethics Act, (ii) himself or

 

 

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1herself, or (iii) a person employed by a State's Attorney
2listed in items (1) through (6) of this subsection (a).
3    (b) The Regional Transportation Authority Inspector
4General shall have the following qualifications:
5        (1) has not been convicted of any felony under the laws
6    of this State, another state, or the United States;
7        (2) has earned a baccalaureate degree from an
8    institution of higher education; and
9        (3) has 7 or more years of cumulative service (i) with
10    a federal, state, or local law enforcement agency, at least
11    2 years of which have been in a progressive investigatory
12    capacity; (ii) as a federal, state, or local prosecutor;
13    (iii) as a federal or state judge with a criminal docket;
14    (iv) as a senior manager or executive of a federal, state,
15    or local agency; or (v) representing any combination of (i)
16    through (iv).
17    (c) The term of the initial Regional Transportation
18Authority Inspector General shall commence upon appointment
19and run through June 30, 2015. The initial appointment shall be
20made within 120 days after the first meeting of the Selection
21Committee. After the initial term, each Regional
22Transportation Authority Inspector General shall serve a
235-year term commencing on July 1 of the year of appointment and
24running through June 30 of the fifth following year. On March 1
25of the fifth year of each term of office for the Regional
26Transportation Authority Inspector General, the Selection

 

 

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1Committee shall convene to identify candidates for the position
2of Regional Transportation Authority Inspector General for the
3next term in accordance with the provisions of subsection (a).
4The Selection Committee may reappoint the Regional
5Transportation Authority Inspector General to one or more
6subsequent terms.
7    A vacancy occurring other than at the end of a term shall
8be filled by the Selection Committee as provided in subsection
9(a) only for the balance of the term of the Regional
10Transportation Authority Inspector General whose office is
11vacant.
12    Terms shall run regardless of whether the position is
13filled. The Regional Transportation Authority Inspector
14General may be removed only for cause and may be removed only
15by an affirmative vote of at least 5 of the 7 members of the
16Selection Committee. The Selection Committee must give written
17notice to the Regional Transportation Authority Inspector
18General specifying the cause of his or her intended removal.
19Causes for removal shall include neglect of duty, abuse of
20power, discrimination, ethical misconduct, a felony
21conviction, or a felony plea.
22    (d) The Regional Transportation Authority Inspector
23General shall have jurisdiction over the following: (i) the
24Regional Transportation Authority, (ii) the Board of Directors
25for the Regional Transportation Authority, (iii) the Suburban
26Bus Division, (iv) the Board of Directors for the Suburban Bus

 

 

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1Division, (v) the Commuter Rail Division, (vi) the Board of
2Directors for the Commuter Rail Division, (vii) the Board of
3Directors for the Chicago Transit Authority, and (viii) all
4officers, employes, vendors, subcontractors, and others doing
5business with the Regional Transportation Authority, the
6Suburban Bus Division, or the Commuter Rail Division. The
7Regional Transportation Authority Inspector General shall also
8have access to reports and internal records of the Chicago
9Transit Authority Office of the Inspector General relevant to
10any investigation of the Regional Transportation Authority
11Inspector General.
12    The jurisdiction of the Regional Transportation Authority
13Inspector General is to investigate allegations of fraud,
14waste, abuse, mismanagement, misconduct, nonfeasance,
15misfeasance, malfeasance, or violations of this Act or
16violations of other related laws and rules, except as otherwise
17provided in this Section. Investigations may be based on
18complaints from any source, including anonymous sources, and
19may be self-initiated, without a complaint. The Regional
20Transportation Authority Inspector General shall refer
21allegations of misconduct that fall outside the scope of the
22Regional Transportation Authority Inspector General's
23jurisdiction to the appropriate law enforcement official,
24agency, or Inspector General.
25    (e) If the Regional Transportation Authority Inspector
26General, upon the conclusion of an investigation, determines

 

 

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1that reasonable cause exists to believe that fraud, waste,
2abuse, mismanagement, misconduct, nonfeasance, misfeasance,
3malfeasance, or violations of this Act or violations of other
4related laws and rules, except as otherwise provided in this
5Section, has occurred, the Regional Transportation Authority
6Inspector General shall issue a summary report of the
7investigation. The report shall be delivered to the appropriate
8individual or entity pursuant to paragraph (4) of subsection
9(f) of this Section, which shall have 45 days to provide a
10written response to the report.
11        (1) The summary report of the investigation shall
12    include the following:
13            (A) A description of any allegations or other
14        information received by the Regional Transportation
15        Authority Inspector General pertinent to the
16        investigation.
17            (B) A description of any alleged misconduct
18        discovered in the course of the investigation.
19            (C) Recommendations for any corrective or
20        disciplinary action or policy changes in response to
21        any alleged misconduct described in the report,
22        including but not limited to discharge.
23            (D) Other information the Regional Transportation
24        Authority Inspector General deems relevant to the
25        investigation or resulting recommendations.
26        (2) If the Regional Transportation Authority Inspector

 

 

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1    General issues a recommendation of corrective or
2    disciplinary action in his or her summary report, then the
3    entity responding to the summary report issued pursuant to
4    this subsection (e) shall describe the corrective or
5    disciplinary action taken, and if different than that
6    recommended by the Regional Transportation Authority
7    Inspector General, the reasons for the different action.
8        (3) Within 60 days after issuance of a final summary
9    report, the Regional Transportation Authority Inspector
10    General shall make the report and responses issued pursuant
11    to this subsection (e) available to the public by
12    presenting the report and the responses to the appropriate
13    individual or entity pursuant to paragraph (4) of
14    subsection (f) of this Section and by posting the report
15    and responses on the Regional Transportation Authority
16    Inspector General's website. The Regional Transportation
17    Authority Inspector General shall redact information in
18    the summary report and responses issued pursuant to this
19    subsection (e) that may reveal the identity of witnesses,
20    complainants, or informants or if the Regional
21    Transportation Authority Inspector General determines it
22    is appropriate to protect the identity of a person before
23    the report is made public. The Regional Transportation
24    Authority Inspector General may also redact any
25    information that he or she believes should not be made
26    public, taking into consideration the factors set forth in

 

 

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1    this subsection (e) and subsection (m) and other factors
2    deemed relevant by the Regional Transportation Authority
3    Inspector General, to protect other investigations by the
4    Regional Transportation Authority Inspector General, other
5    inspector general offices, or law enforcement officials or
6    agencies. Prior to publication, the Regional
7    Transportation Authority Inspector General shall permit
8    the respondents and the appropriate individual or entity
9    pursuant to paragraph (4) of subsection (f) of this Section
10    to review the report and the documents to be made public
11    and offer suggestions for redaction or provide a response
12    that shall be made public with the summary report, except
13    that the Regional Transportation Authority Inspector
14    General has the sole and final authority to decide which
15    redactions are made. The Regional Transportation Authority
16    Inspector General may make available to the public any
17    other summary report and any such responses or a redacted
18    version of the report and responses.
19        (4) If the Regional Transportation Authority Inspector
20    General concludes that there is insufficient evidence to
21    warrant further investigation into a particular matter,
22    then the Regional Transportation Authority Inspector
23    General shall close the investigation. The Regional
24    Transportation Authority Inspector General shall provide
25    to the appropriate individual or entity as set forth in
26    paragraph (4) of subsection (f) a written statement of his

 

 

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1    or her decision to close the investigation. If possible,
2    the written statement shall also be provided to the person
3    or persons who made the complaint that initiated the
4    investigation. At the request of the subject of the
5    investigation, the Regional Transportation Authority
6    Inspector General shall provide to the subject of the
7    investigation a written statement setting forth his or her
8    decision to close the investigation. Closure by the
9    Regional Transportation Authority Inspector General does
10    not bar the Regional Transportation Authority Inspector
11    General from reopening an investigation if the
12    circumstances warrant.
13    (f) The Regional Transportation Authority Inspector
14General shall:
15        (1) Have access to all information, records,
16    equipment, personnel, and agency premises necessary to
17    perform the duties of the office.
18        (2) Have the power to request information related to an
19    investigation from any person if the Regional
20    Transportation Authority Inspector General deems that
21    information is relevant to an investigation.
22        (3) Have the power to subpoena witnesses and compel the
23    production of books, papers, electronic records, and
24    equipment pertinent to an investigation authorized by this
25    Section. A subpoena may be issued under this paragraph (3)
26    only by the Regional Transportation Authority Inspector

 

 

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1    General and not by members of the Regional Transportation
2    Authority Inspector General's staff. Any person subpoenaed
3    by the Regional Transportation Authority Inspector General
4    has the same rights, under Illinois law, as a person
5    subpoenaed by a grand jury. The power to subpoena or to
6    compel the production of books and papers, however, shall
7    not extend to the person or documents of a labor
8    organization or its representatives insofar as the person
9    or documents of the labor organization relate to the
10    function of representing an employee subject to
11    investigation under this Section. Subject to a person's
12    privilege against self-incrimination, any person who fails
13    to appear in response to a subpoena, answer any question,
14    or produce any books or papers pertinent to an
15    investigation under this Section, except as otherwise
16    provided in this Section, or who knowingly gives false
17    testimony in relation to an investigation under this
18    Section is guilty of a Class A misdemeanor.
19        In the case of a refusal to comply with a subpoena
20    issued to any person, the Regional Transportation
21    Authority Inspector General may make application to any
22    circuit court of this State which shall have jurisdiction
23    to order the witness to appear before the Regional
24    Transportation Authority Inspector General and to produce
25    evidence if so ordered, or to give testimony touching on
26    the matter in question.

 

 

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1        In any proceeding seeking enforcement of a subpoena
2    issued by the Regional Transportation Authority Inspector
3    General pursuant to paragraph (3) of this subsection (f),
4    the Regional Transportation Authority Inspector General
5    shall obtain legal representation from the Illinois
6    Attorney General.
7        Whenever the Attorney General is sick or absent, or
8    unable to attend, or is interested in the matter for which
9    he or she represents the Regional Transportation Authority
10    Inspector General, upon filing of a petition under seal by
11    any person with standing, the Supreme Court (or any other
12    court of competent jurisdiction as designated and
13    determined by rule of the Supreme Court) may appoint some
14    competent attorney to prosecute or defend that matter or
15    proceeding, and the attorney so appointed shall have the
16    same power and authority in relation to that matter or
17    proceeding as the Attorney General would have had if
18    present and attending to the same.
19        Except as otherwise provided in this Section,
20    attorneys representing the Regional Transportation
21    Authority Inspector General shall be appointed or retained
22    by the Attorney General, shall be under the supervision,
23    direction, and control of the Attorney General, and shall
24    serve at the pleasure of the Attorney General. The
25    compensation of any attorneys appointed or retained in
26    accordance with this subsection (f) shall be paid by the

 

 

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1    Office of the Regional Transportation Authority Inspector
2    General.
3        (4) Submit reports as required by this Section and
4    applicable administrative rules. Final reports and
5    recommendations shall be submitted to the Executive
6    Director and members of the Board of Directors of the
7    Regional Transportation Authority. Final reports and
8    recommendations shall also be submitted to the Executive
9    Director and members of the Board of Directors of the
10    Commuter Rail Division if the subject of the investigation
11    involves an officer, board member, employee, vendor, or
12    subcontractor of the Commuter Rail Division, or others
13    doing business with the Commuter Rail Division. Final
14    reports and recommendations shall also be submitted to the
15    Executive Director and members of the Board of Directors of
16    the Suburban Bus Division if the subject of the
17    investigation involves an officer, board member, employee,
18    vendor, or subcontractor of the Suburban Bus Division, or
19    others doing business with the Suburban Bus Division. The
20    provisions of this subparagraph do not apply under the
21    following circumstances:
22            (i) If the investigation involves the Executive
23        Director or any member of the Board of Directors of the
24        Regional Transportation Authority, then final reports
25        and recommendations shall be submitted to the Chair of
26        the Regional Transportation Authority Board.

 

 

SB3965- 23 -LRB096 24159 RLJ 43594 b

1            (ii) If the investigation involves the Chair of the
2        Board of Directors of the Regional Transportation
3        Authority, then final reports and recommendations
4        shall be submitted to the remaining members of the
5        Board of Directors of the Regional Transportation
6        Authority.
7            (iii) If the investigation involves the Executive
8        Director of the Commuter Rail Division or any member of
9        the Board of Directors of the Commuter Rail Division,
10        then final reports and recommendations shall be
11        submitted to the Board of Directors of the Regional
12        Transportation Authority and to the Chair of the Board
13        of Directors of the Commuter Rail Division.
14            (iv) If the investigation involves the Chair of the
15        Board of Directors of the Commuter Rail Division, then
16        final reports and recommendations shall be submitted
17        to the Board of Directors of the Regional
18        Transportation Authority.
19            (v) If the investigation involves the Executive
20        Director of the Suburban Bus Division or any member of
21        the Board of Directors of the Suburban Bus Division,
22        then final reports and recommendations shall be
23        submitted to the Board of Directors of the Regional
24        Transportation Authority and the Chair of the Board of
25        Directors of the Suburban Bus Division.
26            (vi) If the investigation involves the Chair of the

 

 

SB3965- 24 -LRB096 24159 RLJ 43594 b

1        Board of Directors of the Suburban Bus Division, then
2        final reports and recommendations shall be submitted
3        to the Board of Directors of the Regional
4        Transportation Authority.
5            (vii) If the investigation involves any member of
6        the Board of Directors of the Chicago Transit
7        Authority, then final reports and recommendations
8        shall be submitted to the Board of Directors of the
9        Regional Transportation Authority and to the Chair of
10        the Board of Directors of the Chicago Transit
11        Authority.
12            (viii) If the investigation involves the Chair of
13        the Board of Directors of the Chicago Transit
14        Authority, then final reports and recommendations
15        shall be submitted to the Board of Directors of the
16        Regional Transportation Authority.
17        (5) Participate in or conduct, when appropriate,
18    multi-jurisdictional investigations provided that the
19    investigations involve the Regional Transportation
20    Authority, the Suburban Bus Division, the Commuter Rail
21    Division, or the Board of the Chicago Transit Authority in
22    some way, including, but not limited to, joint
23    investigations with the Office of the Governor's Executive
24    Inspector General, the Cook County Independent Inspector
25    General, or with state, local, or federal law enforcement
26    authorities.

 

 

SB3965- 25 -LRB096 24159 RLJ 43594 b

1        (6) Serve as the Regional Transportation Authority's
2    primary liaison with law enforcement, investigatory, and
3    prosecutorial agencies for investigations undertaken by
4    the Regional Transportation Authority Inspector General
5    pursuant to this Section. In that capacity, the Regional
6    Transportation Authority Inspector General may request any
7    information or assistance that may be necessary for
8    carrying out the duties and responsibilities provided by
9    this Section from any local, state, or federal governmental
10    agency or unit thereof.
11        (7) Review hiring and employment files of the Regional
12    Transportation Authority, the Suburban Bus Division, and
13    the Commuter Rail Division to ensure compliance with Rutan
14    v. Republican Party of Illinois, 497 U.S. 62 (1990), and
15    with all applicable employment laws.
16        (8) Establish a policy that ensures the appropriate
17    handling and correct recording of all investigations
18    conducted by the Office of the Regional Transportation
19    Authority Inspector General, in order that individuals
20    seeking to report suspected wrongdoing are familiar with
21    the process and that the subjects of investigations are
22    treated fairly. A written copy of the policy shall be made
23    accessible on the Regional Transportation Authority
24    Inspector General's website.
25        (9) Receive and investigate complaints or information
26    concerning the possible existence within the Regional

 

 

SB3965- 26 -LRB096 24159 RLJ 43594 b

1    Transportation Authority, the Suburban Bus Division, the
2    Commuter Rail Division, or the Board of the Chicago Transit
3    Authority of fraud, waste, abuse, mismanagement,
4    misconduct, nonfeasance, misfeasance, malfeasance, or
5    violations of this Act or violations of other related laws
6    and rules, except as otherwise provided in this Section.
7    Any employee of the Regional Transportation Authority, the
8    Suburban Bus Division, or the Commuter Rail Division who
9    knowingly files a false complaint or files a complaint with
10    reckless disregard for the truth or falsity of the facts
11    underlying the complaint may be subject to discipline under
12    the disciplinary procedures of the Regional Transportation
13    Authority, the Suburban Bus Division, or the Commuter Rail
14    Division, as applicable.
15        (10) Coordinate with the Regional Transportation
16    Authority's Ethics Officer in the development of ethics
17    training specific to the Regional Transportation
18    Authority, the Suburban Bus Division, the Commuter Rail
19    Division, and the members of the Board of the Chicago
20    Transit Authority. The ethics training must be conducted on
21    a regular basis for Board members, officers, and employees
22    of the Regional Transportation Authority, the Suburban Bus
23    Division, and the Commuter Rail Division. The ethics
24    training must also be conducted on a regular basis for
25    members of the Board of the Chicago Transit Authority. The
26    training shall include, at a minimum, a review of the

 

 

SB3965- 27 -LRB096 24159 RLJ 43594 b

1    following: (i) the process for filing a complaint with the
2    Regional Transportation Authority Inspector General and
3    (ii) the scope of the Regional Transportation Authority
4    Inspector General's authority under this Section.
5        (11) Review, coordinate, and recommend methods and
6    procedures to increase the integrity of the Regional
7    Transportation Authority, the Suburban Bus Division, the
8    Commuter Rail Division, and the Board of the Chicago
9    Transit Authority.
10    For purposes of this subsection (f), the term "persons"
11shall mean entities or individuals as specified in subsection
12(d).
13    (g) Within 6 months after appointment, the initial Regional
14Transportation Authority Inspector General shall propose rules
15establishing minimum requirements for initiating, conducting,
16and completing investigations. The rules must establish
17criteria for determining, based upon the nature of the
18allegation, the appropriate method of investigation, which may
19include, but is not limited to, site visits, telephone
20contacts, personal interviews, or requests for written
21responses. The rules must establish the process, contents, and
22timing for summary reports and recommendations issued by the
23Regional Transportation Authority Inspector General and for
24the responses to the summary reports and recommendations issued
25by the appropriate individual or entity pursuant to paragraph
26(4) of subsection (f). The rules must also clarify how the

 

 

SB3965- 28 -LRB096 24159 RLJ 43594 b

1Office of the Regional Transportation Authority Inspector
2General shall interact with other local, state, and federal law
3enforcement authorities and investigations. The rules shall
4provide that investigations and inquiries by the Office of the
5Regional Transportation Authority Inspector General must be
6conducted in compliance with the provisions of any collective
7bargaining agreement that applies to the affected employees of
8the Regional Transportation Authority, the Suburban Bus
9Division, or the Commuter Rail Division and that any
10recommendation for discipline or other action against any
11employee by the Office of the Regional Transportation Authority
12Inspector General must comply with the provisions of any
13applicable collective bargaining agreement.
14    (h) The Office of the Regional Transportation Authority
15Inspector General shall be an independent office of the
16Regional Transportation Authority. Within its annual budget,
17the Board shall provide a clearly delineated budget for the
18Office of the Regional Transportation Authority Inspector
19General. The budget of the Office of the Regional
20Transportation Authority Inspector General shall be adequate
21to support an independent and effective office. The budget may
22not be less than $2,000,000, not including start-up expenses,
23in the initial year of the office. Except with the consent of
24the Regional Transportation Authority Inspector General, the
25Board shall not reduce the budget of the Office of the Regional
26Transportation Authority Inspector General by more than 10% (i)

 

 

SB3965- 29 -LRB096 24159 RLJ 43594 b

1within any fiscal year or (ii) over the 5-year term of any
2Regional Transportation Authority Inspector General. To the
3extent allowed by law and the Board's policies, the Regional
4Transportation Authority Inspector General shall have sole
5responsibility for organizing and staffing the Office of the
6Regional Transportation Authority Inspector General within the
7budget established by the Board, including the recruitment,
8supervision, and discipline of the employees of that office.
9The Regional Transportation Authority Inspector General shall
10report directly to the Board with respect to the prompt and
11efficient operation of the Office of the Regional
12Transportation Authority Inspector General.
13    For the purposes of this subsection (h), "start-up
14expenses" include, but are not limited to, information
15technology equipment and infrastructure, website development,
16and executive search firm services.
17    (i) No Regional Transportation Authority Inspector General
18or employee of the Office of the Regional Transportation
19Authority Inspector General may, during his or her term of
20appointment or employment:
21        (1) become a candidate for any elective office;
22        (2) hold any other elected or appointed public office
23    except for appointments on governmental advisory boards or
24    study commissions or as otherwise expressly authorized by
25    law;
26        (3) be actively involved in the affairs of any

 

 

SB3965- 30 -LRB096 24159 RLJ 43594 b

1    political party or political organization; or
2        (4) advocate for the appointment of another person to
3    an appointed public office or elected office or position or
4    actively participate in any campaign for any elective
5    office.
6    As used in this subsection (i), "appointed public office"
7means a position authorized by law that is filled by an
8appointing authority as provided by law and does not include
9employment by hiring in the ordinary course of business.
10    (i-5) No Regional Transportation Authority Inspector
11General or employee of the Office of the Regional
12Transportation Authority Inspector General may, for one year
13after the termination of his or her appointment or employment:
14        (1) become a candidate for any elective office;
15        (2) hold any elected public office; or
16        (3) hold any appointed State, county, or local judicial
17    office.
18    The requirements of item (3) of this subsection may be
19waived by the Selection Committee.
20    (j) All members of the Board of directors for the Regional
21Transportation Authority, the Suburban Bus Division, the
22Commuter Rail Division, and the Chicago Transit Authority, and
23all officers, employees, vendors, subcontractors, and others
24doing business with the Regional Transportation Authority, the
25Suburban Bus Division, and the Commuter Rail Division have a
26duty to cooperate with the Regional Transportation Authority

 

 

SB3965- 31 -LRB096 24159 RLJ 43594 b

1Inspector General and employees of the Office of the Regional
2Transportation Authority Inspector General in any
3investigation undertaken pursuant to this Section. Failure to
4cooperate includes, but is not limited to, intentional
5omissions and knowing false statements. Failure to cooperate
6with an investigation pursuant to this Section is grounds for
7disciplinary action, including termination of employment.
8Nothing in this Section limits or alters a person's existing
9rights or protections under State or federal law.
10    (k) All members of the Board of directors for the Regional
11Transportation Authority, the Suburban Bus Division, the
12Commuter Rail Division, and the Chicago Transit Authority and
13all officers and employees of the Regional Transportation
14Authority, the Suburban Bus Division, and the Commuter Rail
15Division have a duty to report, directly and without undue
16delay, to the Regional Transportation Authority Inspector
17General's Office any information concerning conduct which they
18know or should reasonably know to involve corruption or other
19criminal activity by (i) a Board member, officer, employee,
20vendor, subcontractor, or others doing business with the
21Regional Transportation Authority, Suburban Bus Division, or
22Commuter Rail Division or (i) a Board member of the Chicago
23Transit Authority. Failure to report corrupt or other criminal
24activity to the Regional Transportation Authority Inspector
25General's Office is grounds for disciplinary action, including
26termination of employment.

 

 

SB3965- 32 -LRB096 24159 RLJ 43594 b

1    (l) The Regional Transportation Authority Inspector
2General shall establish and maintain an independent public
3website and whistleblower hotline. A report made through the
4Regional Transportation Authority Inspector General's website
5or to the whistleblower hotline shall be considered a report to
6the Office of the Regional Transportation Authority Inspector
7General.
8    (m) The identity of any individual providing information to
9or reporting any possible or alleged fraud, waste, abuse,
10mismanagement, misconduct, nonfeasance, misfeasance,
11malfeasance, or violations of this Act or violations of other
12related laws and rules, except as otherwise provided in this
13Section, to the Regional Transportation Authority Inspector
14General shall be kept confidential, unless the individual
15consents to disclosure of his or her name or unless disclosure
16of the individual's identity is otherwise required by law. The
17confidentiality granted by this subsection does not preclude
18the disclosure of the identity of a person in any capacity
19other than as the source of an allegation.
20    Subject to the provisions of subsection (e) of this
21Section, the Regional Transportation Authority Inspector
22General, and employees and agents of the Office of the Regional
23Transportation Authority Inspector General, shall keep
24confidential and shall not disclose information exempted from
25disclosure under the Freedom of Information Act or by this Act.
26    (n) If the Regional Transportation Authority Inspector

 

 

SB3965- 33 -LRB096 24159 RLJ 43594 b

1General determines that any alleged misconduct involves any
2person not subject to the jurisdiction of the Regional
3Transportation Authority Inspector General, then the Regional
4Transportation Authority Inspector General shall refer the
5reported allegations to the appropriate inspector general,
6appropriate ethics commission, or other appropriate law
7enforcement authority. If the Regional Transportation
8Authority Inspector General determines that any alleged
9misconduct may give rise to criminal penalties, then the
10Regional Transportation Authority Inspector General may refer
11the allegations to the appropriate law enforcement authority.
12If a Regional Transportation Authority Inspector General
13determines that any alleged misconduct resulted in the loss of
14public funds in an amount of $5,000 or greater, then the
15Regional Transportation Authority Inspector General shall
16refer the allegations regarding that misconduct to the Attorney
17General, the relevant State's Attorney, and any other
18appropriate law enforcement authority.
19    (o) The Regional Transportation Authority Inspector
20General shall provide to the Board a summary of reports and
21investigations made under this Section no later than March 31
22and September 30 of each year. The summaries shall detail the
23final disposition of the Regional Transportation Authority
24Inspector General's recommendations. The summaries shall also
25include detailed recommended administrative actions and
26matters for consideration by the Board. The summaries shall not

 

 

SB3965- 34 -LRB096 24159 RLJ 43594 b

1contain any confidential or identifying information concerning
2the subjects of the reports and investigations. The summaries
3required under this subsection shall be posted on the Regional
4Transportation Authority Inspector General's website.
5    (p) Any investigation or inquiry by the Regional
6Transportation Authority Inspector General or any agent or
7representative of the Regional Transportation Authority
8Inspector General must be conducted in accordance with the
9rights of the employees as set forth in State and federal law
10and applicable judicial decisions. Any recommendations for
11corrective or disciplinary action toward any employee by the
12Regional Transportation Authority Inspector General or any
13representative or agent of the Regional Transportation
14Authority Inspector General must comply with the provisions of
15any collective bargaining agreement that may apply to the
16employee.
17    (q) Nothing in this Section shall diminish the rights,
18privileges, or remedies of a State employee or any employee of
19the Regional Transportation Authority, the Suburban Bus
20Division, or the Commuter Rail Division under any other federal
21or State law, rule, or regulation or under any collective
22bargaining agreement.
23    (r) If a complaint is made in which the Regional
24Transportation Authority Inspector General or an employee of
25the Office of the Regional Transportation Authority Inspector
26General could be reasonably deemed to be the subject or that

 

 

SB3965- 35 -LRB096 24159 RLJ 43594 b

1presents a conflict of interest for the Regional Transportation
2Authority Inspector General or an employee of the Regional
3Transportation Authority Inspector General, then the Regional
4Transportation Authority Inspector General shall, as
5appropriate, refer the matter to the State's Attorney with
6jurisdiction, the Illinois Attorney General, the United States
7Attorney, or other appropriate law enforcement official or
8agency.
9    (s) The Office of the Regional Transportation Authority
10Inspector General shall be subject to peer review every 3 years
11by a qualified association selected by the Section Committee.
12The peer review shall be paid for from funds appropriated to
13the Office of the Regional Transportation Authority Inspector
14General. The Chair of the Board of Directors for the Regional
15Transportation Authority shall provide the written report from
16the peer review to the Board of Directors for the Regional
17Transportation Authority and the Selection Committee, and post
18the report on the Regional Transportation Authority Inspector
19General's website.
 
20    Section 15. The Whistleblower Act is amended by changing
21Section 5 as follows:
 
22    (740 ILCS 174/5)
23    Sec. 5. Definitions. As used in this Act:
24    "Employer" means: an individual, sole proprietorship,

 

 

SB3965- 36 -LRB096 24159 RLJ 43594 b

1partnership, firm, corporation, association, and any other
2entity that has one or more employees in this State, including
3a political subdivision of the State; a unit of local
4government; a school district, combination of school
5districts, or governing body of a joint agreement of any type
6formed by two or more school districts; a community college
7district, State college or university, or any State agency
8whose major function is providing educational services; any
9authority including a department, division, bureau, board,
10commission, or other agency of these entities; the Office of
11the Regional Transportation Authority Inspector General; and
12any person acting within the scope of his or her authority
13express or implied on behalf of those entities in dealing with
14its employees.
15    "Employee" means any individual who is employed on a
16full-time, part-time, or contractual basis by an employer.
17"Employee" also includes, but is not limited to, a licensed
18physician who practices his or her profession, in whole or in
19part, at a hospital, nursing home, clinic, or any medical
20facility that is a health care facility funded, in whole or in
21part, by the State.
22(Source: P.A. 95-128, eff. 1-1-08; 96-1253, eff. 1-1-11.)
 
23    Section 99. Effective date. This Act takes effect upon
24becoming law.