Rep. Jim Sacia

Filed: 3/7/2011

 

 


 

 


 
09700HB3212ham001LRB097 08497 JDS 52239 a

1
AMENDMENT TO HOUSE BILL 3212

2    AMENDMENT NO. ______. Amend House Bill 3212 by replacing
3everything after the enacting clause with the following:
 
4    "Section 5. The State Officials and Employees Ethics Act is
5amended by changing Sections 30-5 as follows:
 
6    (5 ILCS 430/30-5)
7    Sec. 30-5. Appointment of Inspector General.
8    (a) The Auditor General shall appoint an Inspector General
9(i) to investigate allegations of violations of Articles 5 and
1010 by State officers and employees under his or her
11jurisdiction and (ii) to perform other duties and exercise
12other powers assigned to the Inspectors General by this or any
13other Act. The Inspector General shall be appointed within 6
14months after the effective date of this Act.
15    (b) The Auditor General shall provide by rule for the
16operation of his or her Inspector General. It is declared to be

 

 

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1in the public interest, safety, and welfare that the Auditor
2General adopt emergency rules under the Illinois
3Administrative Procedure Act to initially perform his or her
4duties under this subsection.
5    (c) The Inspector General appointed by the Auditor General
6under subsection (a) of this Section shall have the following
7qualifications:
8        (1) has not been convicted of any felony under the laws
9    of this State, another State, or the United States;
10        (2) has earned a baccalaureate degree from an
11    institution of higher education;
12        (3) has not, for appointments made on or after the
13    effective date of this amendatory Act of the 97th General
14    Assembly, been employed by the Auditor General other than
15    as an Inspector General or an employee in the Office of the
16    Inspector General for the Auditor General during the 5
17    years immediately preceding his or her appointment; and
18        (4) has (A) 5 or more years of service with a federal,
19    State, or local law enforcement agency, at least 2 years of
20    which have been in a progressive investigatory capacity;
21    (B) 5 or more years of service as a federal, State, or
22    local prosecutor; or (C) 5 or more years of service as a
23    senior manager or executive of a federal, State, or local
24    agency.
25    The Auditor General may appoint an existing inspector
26general as the Inspector General required by this Article,

 

 

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1provided that such an inspector general is not prohibited by
2law, rule, jurisdiction, qualification, or interest from
3serving as the Inspector General required by this Article.
4    The Auditor General may not appoint a relative as the
5Inspector General required by this Article.
6(Source: P.A. 93-617, eff. 12-9-03.)
 
7    Section 10. The Secretary of State Act is amended by
8changing Section 14 as follows:
 
9    (15 ILCS 305/14)
10    Sec. 14. Inspector General.
11    (a) The Secretary of State must, with the advice and
12consent of the Senate, appoint an Inspector General for the
13purpose of detection, deterrence, and prevention of fraud,
14corruption, mismanagement, gross or aggravated misconduct, or
15misconduct that may be criminal in nature in the Office of the
16Secretary of State. The Inspector General shall serve a 5-year
17term. If no successor is appointed and qualified upon the
18expiration of the Inspector General's term, the Office of
19Inspector General is deemed vacant and the powers and duties
20under this Section may be exercised only by an appointed and
21qualified interim Inspector General until a successor
22Inspector General is appointed and qualified. If the General
23Assembly is not in session when a vacancy in the Office of
24Inspector General occurs, the Secretary of State may appoint an

 

 

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1interim Inspector General whose term shall expire 2 weeks after
2the next regularly scheduled session day of the Senate.
3    (b) The Inspector General appointed under subsection (a) of
4this Section 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        (2.5) has not, for appointments made on or after the
10    effective date of this amendatory Act of the 97th General
11    Assembly, been employed by the Secretary of State other
12    than as an Inspector General or an employee in the Office
13    of the Inspector General for the Secretary of State during
14    the 5 years immediately preceding his or her appointment;
15    and
16        (3) has either (A) 5 or more years of service with a
17    federal, State, or local law enforcement agency, at least 2
18    years of which have been in a progressive investigatory
19    capacity; (B) 5 or more years of service as a federal,
20    State, or local prosecutor; or (C) 5 or more years of
21    service as a senior manager or executive of a federal,
22    State, or local agency.
23    (c) The Inspector General may review, coordinate, and
24recommend methods and procedures to increase the integrity of
25the Office of the Secretary of State. The duties of the
26Inspector General shall supplement and not supplant the duties

 

 

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1of the Chief Auditor for the Secretary of State's Office or any
2other Inspector General that may be authorized by law. The
3Inspector General must report directly to the Secretary of
4State.
5    (d) In addition to the authority otherwise provided by this
6Section, but only when investigating the Office of the
7Secretary of State, its employees, or their actions for fraud,
8corruption, mismanagement, gross or aggravated misconduct, or
9misconduct that may be criminal in nature, the Inspector
10General is authorized:
11        (1) To have access to all records, reports, audits,
12    reviews, documents, papers, recommendations, or other
13    materials available that relate to programs and operations
14    with respect to which the Inspector General has
15    responsibilities under this Section.
16        (2) To make any investigations and reports relating to
17    the administration of the programs and operations of the
18    Office of the Secretary of State that are, in the judgment
19    of the Inspector General, necessary or desirable.
20        (3) To request any information or assistance that may
21    be necessary for carrying out the duties and
22    responsibilities provided by this Section from any local,
23    State, or federal governmental agency or unit thereof.
24        (4) To require by subpoena the appearance of witnesses
25    and the production of all information, documents, reports,
26    answers, records, accounts, papers, and other data and

 

 

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1    documentary evidence necessary in the performance of the
2    functions assigned by this Section, with the exception of
3    subsection (c) and with the exception of records of a labor
4    organization authorized and recognized under the Illinois
5    Public Labor Relations Act to be the exclusive bargaining
6    representative of employees of the Secretary of State,
7    including, but not limited to, records of representation of
8    employees and the negotiation of collective bargaining
9    agreements. A subpoena may be issued under this paragraph
10    (4) only by the Inspector General and not by members of the
11    Inspector General's staff. A person duly subpoenaed for
12    testimony, documents, or other items who neglects or
13    refuses to testify or produce documents or other items
14    under the requirements of the subpoena shall be subject to
15    punishment as may be determined by a court of competent
16    jurisdiction, unless (i) the testimony, documents, or
17    other items are covered by the attorney-client privilege or
18    any other privilege or right recognized by law or (ii) the
19    testimony, documents, or other items concern the
20    representation of employees and the negotiation of
21    collective bargaining agreements by a labor organization
22    authorized and recognized under the Illinois Public Labor
23    Relations Act to be the exclusive bargaining
24    representative of employees of the Secretary of State.
25    Nothing in this Section limits a person's right to
26    protection against self-incrimination under the Fifth

 

 

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1    Amendment of the United States Constitution or Article I,
2    Section 10, of the Constitution of the State of Illinois.
3        (5) To have direct and prompt access to the Secretary
4    of State for any purpose pertaining to the performance of
5    functions and responsibilities under this Section.
6    (d-5) In addition to the authority otherwise provided by
7this Section, the Secretary of State Inspector General shall
8have jurisdiction to investigate complaints and allegations of
9wrongdoing by any person or entity related to the Lobbyist
10Registration Act. When investigating those complaints and
11allegations, the Inspector General is authorized:
12        (1) To have access to all records, reports, audits,
13    reviews, documents, papers, recommendations, or other
14    materials available that relate to programs and operations
15    with respect to which the Inspector General has
16    responsibilities under this Section.
17        (2) To request any information or assistance that may
18    be necessary for carrying out the duties and
19    responsibilities provided by this Section from any local,
20    State, or federal governmental agency or unit thereof.
21        (3) To require by subpoena the appearance of witnesses
22    and the production of all information, documents, reports,
23    answers, records, accounts, papers, and other data and
24    documentary evidence necessary in the performance of the
25    functions assigned by this Section. A subpoena may be
26    issued under this paragraph (3) only by the Inspector

 

 

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1    General and not by members of the Inspector General's
2    staff. A person duly subpoenaed for testimony, documents,
3    or other items who neglects or refuses to testify or
4    produce documents or other items under the requirements of
5    the subpoena shall be subject to punishment as may be
6    determined by a court of competent jurisdiction, unless the
7    testimony, documents, or other items are covered by the
8    attorney-client privilege or any other privilege or right
9    recognized by law. Nothing in this Section limits a
10    person's right to protection against self-incrimination
11    under the Fifth Amendment of the United States Constitution
12    or Section 10 of Article I of the Constitution of the State
13    of Illinois.
14        (4) To have direct and prompt access to the Secretary
15    of State for any purpose pertaining to the performance of
16    functions and responsibilities under this Section.
17    (e) The Inspector General may receive and investigate
18complaints or information concerning the possible existence of
19an activity constituting a violation of law, rules, or
20regulations; mismanagement; abuse of authority; or substantial
21and specific danger to the public health and safety. Any person
22who knowingly files a false complaint or files a complaint with
23reckless disregard for the truth or the falsity of the facts
24underlying the complaint may be subject to discipline as set
25forth in the rules of the Department of Personnel of the
26Secretary of State or the Inspector General may refer the

 

 

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1matter to a State's Attorney or the Attorney General.
2    The Inspector General may not, after receipt of a complaint
3or information, disclose the identity of the source without the
4consent of the source, unless the Inspector General determines
5that disclosure of the identity is reasonable and necessary for
6the furtherance of the investigation.
7    Any employee who has the authority to recommend or approve
8any personnel action or to direct others to recommend or
9approve any personnel action may not, with respect to that
10authority, take or threaten to take any action against any
11employee as a reprisal for making a complaint or disclosing
12information to the Inspector General, unless the complaint was
13made or the information disclosed with the knowledge that it
14was false or with willful disregard for its truth or falsity.
15    (f) The Inspector General must adopt rules, in accordance
16with the provisions of the Illinois Administrative Procedure
17Act, establishing minimum requirements for initiating,
18conducting, and completing investigations. The rules must
19establish criteria for determining, based upon the nature of
20the allegation, the appropriate method of investigation, which
21may include, but is not limited to, site visits, telephone
22contacts, personal interviews, or requests for written
23responses. The rules must also clarify how the Office of the
24Inspector General shall interact with other local, State, and
25federal law enforcement investigations.
26    Any employee of the Secretary of State subject to

 

 

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1investigation or inquiry by the Inspector General or any agent
2or representative of the Inspector General concerning
3misconduct that is criminal in nature shall have the right to
4be notified of the right to remain silent during the
5investigation or inquiry and the right to be represented in the
6investigation or inquiry by an attorney or a representative of
7a labor organization that is the exclusive collective
8bargaining representative of employees of the Secretary of
9State. Any investigation or inquiry by the Inspector General or
10any agent or representative of the Inspector General must be
11conducted with an awareness of the provisions of a collective
12bargaining agreement that applies to the employees of the
13Secretary of State and with an awareness of the rights of the
14employees as set forth in State and federal law and applicable
15judicial decisions. Any recommendations for discipline or any
16action taken against any employee by the Inspector General or
17any representative or agent of the Inspector General must
18comply with the provisions of the collective bargaining
19agreement that applies to the employee.
20    (g) On or before January 1 of each year, the Inspector
21General shall report to the President of the Senate, the
22Minority Leader of the Senate, the Speaker of the House of
23Representatives, and the Minority Leader of the House of
24Representatives on the types of investigations and the
25activities undertaken by the Office of the Inspector General
26during the previous calendar year.

 

 

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1(Source: P.A. 96-555, eff. 1-1-10; 96-1358, eff. 7-28-10.)
 
2    Section 15. The Children and Family Services Act is amended
3by changing Section 35.5 as follows:
 
4    (20 ILCS 505/35.5)
5    Sec. 35.5. Inspector General.
6    (a) The Governor shall appoint, and the Senate shall
7confirm, an Inspector General who shall have the authority to
8conduct investigations into allegations of or incidents of
9possible misconduct, misfeasance, malfeasance, or violations
10of rules, procedures, or laws by any employee, foster parent,
11service provider, or contractor of the Department of Children
12and Family Services, except for allegations of violations of
13the State Officials and Employees Ethics Act which shall be
14referred to the Office of the Governor's Executive Inspector
15General for investigation. The Inspector General shall make
16recommendations to the Director of Children and Family Services
17concerning sanctions or disciplinary actions against
18Department employees or providers of service under contract to
19the Department. The Director of Children and Family Services
20shall provide the Inspector General with an implementation
21report on the status of any corrective actions taken on
22recommendations under review and shall continue sending
23updated reports until the corrective action is completed. The
24Director shall provide a written response to the Inspector

 

 

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1General indicating the status of any sanctions or disciplinary
2actions against employees or providers of service involving any
3investigation subject to review. In any case, information
4included in the reports to the Inspector General and Department
5responses shall be subject to the public disclosure
6requirements of the Abused and Neglected Child Reporting Act.
7Any investigation conducted by the Inspector General shall be
8independent and separate from the investigation mandated by the
9Abused and Neglected Child Reporting Act. The Inspector General
10shall be appointed for a term of 4 years. The Inspector General
11shall function independently within the Department of Children
12and Family Services with respect to the operations of the
13Office of Inspector General, including the performance of
14investigations and issuance of findings and recommendations,
15and shall report to the Director of Children and Family
16Services and the Governor and perform other duties the Director
17may designate. The Inspector General shall adopt rules as
18necessary to carry out the functions, purposes, and duties of
19the office of Inspector General in the Department of Children
20and Family Services, in accordance with the Illinois
21Administrative Procedure Act and any other applicable law.
22    (a-5) The Inspector General appointed by the Governor under
23subsection (a) of this Section shall have the following
24qualifications:
25        (1) has not been convicted of any felony under the laws
26    of this State, another State, or the United States;

 

 

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1        (2) has earned a baccalaureate degree from an
2    institution of higher education;
3        (3) has not, for appointments made on or after the
4    effective date of this amendatory Act of the 97th General
5    Assembly, been employed by the Department of Children and
6    Family Services other than as an Inspector General or an
7    employee in the Office of the Inspector General for the
8    Department of Children and Family Services during the 5
9    years immediately preceding his or her appointment; and
10        (4) has (A) 5 or more years of service with a federal,
11    State, or local law enforcement agency, at least 2 years of
12    which have been in a progressive investigatory capacity;
13    (B) 5 or more years of service as a federal, State, or
14    local prosecutor; or (C) 5 or more years of service as a
15    senior manager or executive of a federal, State, or local
16    agency.
17    (b) The Inspector General shall have access to all
18information and personnel necessary to perform the duties of
19the office. To minimize duplication of efforts, and to assure
20consistency and conformance with the requirements and
21procedures established in the B.H. v. Suter consent decree and
22to share resources when appropriate, the Inspector General
23shall coordinate his or her activities with the Bureau of
24Quality Assurance within the Department.
25    (c) The Inspector General shall be the primary liaison
26between the Department and the Department of State Police with

 

 

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1regard to investigations conducted under the Inspector
2General's auspices. If the Inspector General determines that a
3possible criminal act has been committed, or that special
4expertise is required in the investigation, he or she shall
5immediately notify the Department of State Police. All
6investigations conducted by the Inspector General shall be
7conducted in a manner designed to ensure the preservation of
8evidence for possible use in a criminal prosecution.
9    (d) The Inspector General may recommend to the Department
10of Children and Family Services, the Department of Public
11Health, or any other appropriate agency, sanctions to be
12imposed against service providers under the jurisdiction of or
13under contract with the Department for the protection of
14children in the custody or under the guardianship of the
15Department who received services from those providers. The
16Inspector General may seek the assistance of the Attorney
17General or any of the several State's Attorneys in imposing
18sanctions.
19    (e) The Inspector General shall at all times be granted
20access to any foster home, facility, or program operated for or
21licensed or funded by the Department.
22    (f) Nothing in this Section shall limit investigations by
23the Department of Children and Family Services that may
24otherwise be required by law or that may be necessary in that
25Department's capacity as the central administrative authority
26for child welfare.

 

 

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1    (g) The Inspector General shall have the power to subpoena
2witnesses and compel the production of books and papers
3pertinent to an investigation authorized by this Act. The power
4to subpoena or to compel the production of books and papers,
5however, shall not extend to the person or documents of a labor
6organization or its representatives insofar as the person or
7documents of a labor organization relate to the function of
8representing an employee subject to investigation under this
9Act. Any person who fails to appear in response to a subpoena
10or to answer any question or produce any books or papers
11pertinent to an investigation under this Act, except as
12otherwise provided in this Section, or who knowingly gives
13false testimony in relation to an investigation under this Act
14is guilty of a Class A misdemeanor.
15    (h) The Inspector General shall provide to the General
16Assembly and the Governor, no later than January 1 of each
17year, a summary of reports and investigations made under this
18Section for the prior fiscal year. The summaries shall detail
19the imposition of sanctions and the final disposition of those
20recommendations. The summaries shall not contain any
21confidential or identifying information concerning the
22subjects of the reports and investigations. The summaries also
23shall include detailed recommended administrative actions and
24matters for consideration by the General Assembly.
25(Source: P.A. 95-527, eff. 6-1-08; 96-555, eff. 8-18-09.)
 

 

 

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1    Section 20. The Department of Human Services Act is amended
2by changing Section 1-17 as follows:
 
3    (20 ILCS 1305/1-17)
4    Sec. 1-17. Inspector General.
5    (a) Nature and purpose. It is the express intent of the
6General Assembly to ensure the health, safety, and financial
7condition of individuals receiving services in this State due
8to mental illness, developmental disability, or both by
9protecting those persons from acts of abuse, neglect, or both
10by service providers. To that end, the Office of the Inspector
11General for the Department of Human Services is created to
12investigate and report upon allegations of the abuse, neglect,
13or financial exploitation of individuals receiving services
14within mental health facilities, developmental disabilities
15facilities, and community agencies operated, licensed, funded
16or certified by the Department of Human Services, but not
17licensed or certified by any other State agency. It is also the
18express intent of the General Assembly to authorize the
19Inspector General to investigate alleged or suspected cases of
20abuse, neglect, or financial exploitation of adults with
21disabilities living in domestic settings in the community under
22the Abuse of Adults with Disabilities Intervention Act.
23    (b) Definitions. The following definitions apply to this
24Section:
25    "Adult student with a disability" means an adult student,

 

 

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1age 18 through 21, inclusive, with an Individual Education
2Program, other than a resident of a facility licensed by the
3Department of Children and Family Services in accordance with
4the Child Care Act of 1969. For purposes of this definition,
5"through age 21, inclusive", means through the day before the
6student's 22nd birthday.
7    "Agency" or "community agency" means (i) a community agency
8licensed, funded, or certified by the Department, but not
9licensed or certified by any other human services agency of the
10State, to provide mental health service or developmental
11disabilities service, or (ii) a program licensed, funded, or
12certified by the Department, but not licensed or certified by
13any other human services agency of the State, to provide mental
14health service or developmental disabilities service.
15    "Aggravating circumstance" means a factor that is
16attendant to a finding and that tends to compound or increase
17the culpability of the accused.
18    "Allegation" means an assertion, complaint, suspicion, or
19incident involving any of the following conduct by an employee,
20facility, or agency against an individual or individuals:
21mental abuse, physical abuse, sexual abuse, neglect, or
22financial exploitation.
23    "Day" means working day, unless otherwise specified.
24    "Deflection" means a situation in which an individual is
25presented for admission to a facility or agency, and the
26facility staff or agency staff do not admit the individual.

 

 

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1"Deflection" includes triage, redirection, and denial of
2admission.
3    "Department" means the Department of Human Services.
4    "Developmentally disabled" means having a developmental
5disability.
6    "Developmental disability" means "developmental
7disability" as defined in the Mental Health and Developmental
8Disabilities Code.
9    "Egregious neglect" means a finding of neglect as
10determined by the Inspector General that (i) represents a gross
11failure to adequately provide for, or a callused indifference
12to, the health, safety, or medical needs of an individual and
13(ii) results in an individual's death or other serious
14deterioration of an individual's physical condition or mental
15condition.
16    "Employee" means any person who provides services at the
17facility or agency on-site or off-site. The service
18relationship can be with the individual or with the facility or
19agency. Also, "employee" includes any employee or contractual
20agent of the Department of Human Services or the community
21agency involved in providing or monitoring or administering
22mental health or developmental disability services. This
23includes but is not limited to: owners, operators, payroll
24personnel, contractors, subcontractors, and volunteers.
25    "Facility" or "State-operated facility" means a mental
26health facility or developmental disabilities facility

 

 

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1operated by the Department.
2    "Financial exploitation" means taking unjust advantage of
3an individual's assets, property, or financial resources
4through deception, intimidation, or conversion for the
5employee's, facility's, or agency's own advantage or benefit.
6    "Finding" means the Office of Inspector General's
7determination regarding whether an allegation is
8substantiated, unsubstantiated, or unfounded.
9    "Health care worker registry" or "registry" means the
10health care worker registry created by the Nursing Home Care
11Act.
12    "Individual" means any person receiving mental health
13service, developmental disabilities service, or both from a
14facility or agency, while either on-site or off-site.
15    "Mental abuse" means the use of demeaning, intimidating, or
16threatening words, signs, gestures, or other actions by an
17employee about an individual and in the presence of an
18individual or individuals that results in emotional distress or
19maladaptive behavior, or could have resulted in emotional
20distress or maladaptive behavior, for any individual present.
21    "Mental illness" means "mental illness" as defined in the
22Mental Health and Developmental Disabilities Code.
23    "Mentally ill" means having a mental illness.
24    "Mitigating circumstance" means a condition that (i) is
25attendant to a finding, (ii) does not excuse or justify the
26conduct in question, but (iii) may be considered in evaluating

 

 

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1the severity of the conduct, the culpability of the accused, or
2both the severity of the conduct and the culpability of the
3accused.
4    "Neglect" means an employee's, agency's, or facility's
5failure to provide adequate medical care, personal care, or
6maintenance and that, as a consequence, (i) causes an
7individual pain, injury, or emotional distress, (ii) results in
8either an individual's maladaptive behavior or the
9deterioration of an individual's physical condition or mental
10condition, or (iii) places the individual's health or safety at
11substantial risk.
12    "Physical abuse" means an employee's non-accidental and
13inappropriate contact with an individual that causes bodily
14harm. "Physical abuse" includes actions that cause bodily harm
15as a result of an employee directing an individual or person to
16physically abuse another individual.
17    "Recommendation" means an admonition, separate from a
18finding, that requires action by the facility, agency, or
19Department to correct a systemic issue, problem, or deficiency
20identified during an investigation.
21    "Required reporter" means any employee who suspects,
22witnesses, or is informed of an allegation of any one or more
23of the following: mental abuse, physical abuse, sexual abuse,
24neglect, or financial exploitation.
25    "Secretary" means the Chief Administrative Officer of the
26Department.

 

 

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1    "Sexual abuse" means any sexual contact or intimate
2physical contact between an employee and an individual,
3including an employee's coercion or encouragement of an
4individual to engage in sexual behavior that results in sexual
5contact, intimate physical contact, sexual behavior, or
6intimate physical behavior.
7    "Substantiated" means there is a preponderance of the
8evidence to support the allegation.
9    "Unfounded" means there is no credible evidence to support
10the allegation.
11    "Unsubstantiated" means there is credible evidence, but
12less than a preponderance of evidence to support the
13allegation.
14    (c) Appointment. The Governor shall appoint, and the Senate
15shall confirm, an Inspector General. The Inspector General
16shall be appointed for a term of 4 years and shall function
17within the Department of Human Services and report to the
18Secretary and the Governor.
19    (c-5) The Inspector General appointed by the Governor under
20subsection (c) of this Section shall have the following
21qualifications:
22        (1) has not been convicted of any felony under the laws
23    of this State, another State, or the United States;
24        (2) has earned a baccalaureate degree from an
25    institution of higher education;
26        (3) has not, for appointments made on or after the

 

 

09700HB3212ham001- 22 -LRB097 08497 JDS 52239 a

1    effective date of this amendatory Act of the 97th General
2    Assembly, been employed by the Department of Human Services
3    other than as an Inspector General or an employee in the
4    Office of the Inspector General for the Department of Human
5    Services during the 5 years immediately preceding his or
6    her appointment; and
7        (4) has (A) 5 or more years of service with a federal,
8    State, or local law enforcement agency, at least 2 years of
9    which have been in a progressive investigatory capacity;
10    (B) 5 or more years of service as a federal, State, or
11    local prosecutor; or (C) 5 or more years of service as a
12    senior manager or executive of a federal, State, or local
13    agency.
14    (d) Operation and appropriation. The Inspector General
15shall function independently within the Department with
16respect to the operations of the Office, including the
17performance of investigations and issuance of findings and
18recommendations. The appropriation for the Office of Inspector
19General shall be separate from the overall appropriation for
20the Department.
21    (e) Powers and duties. The Inspector General shall
22investigate reports of suspected mental abuse, physical abuse,
23sexual abuse, neglect, or financial exploitation of
24individuals in any mental health or developmental disabilities
25facility or agency and shall have authority to take immediate
26action to prevent any one or more of the following from

 

 

09700HB3212ham001- 23 -LRB097 08497 JDS 52239 a

1happening to individuals under its jurisdiction: mental abuse,
2physical abuse, sexual abuse, neglect, or financial
3exploitation. Upon written request of an agency of this State,
4the Inspector General may assist another agency of the State in
5investigating reports of the abuse, neglect, or abuse and
6neglect of persons with mental illness, persons with
7developmental disabilities, or persons with both. To comply
8with the requirements of subsection (k) of this Section, the
9Inspector General shall also review all reportable deaths for
10which there is no allegation of abuse or neglect. Nothing in
11this Section shall preempt any duties of the Medical Review
12Board set forth in the Mental Health and Developmental
13Disabilities Code. The Inspector General shall have no
14authority to investigate alleged violations of the State
15Officials and Employees Ethics Act. Allegations of misconduct
16under the State Officials and Employees Ethics Act shall be
17referred to the Office of the Governor's Executive Inspector
18General for investigation.
19    (f) Limitations. The Inspector General shall not conduct an
20investigation within an agency or facility if that
21investigation would be redundant to or interfere with an
22investigation conducted by another State agency. The Inspector
23General shall have no supervision over, or involvement in, the
24routine programmatic, licensing, funding, or certification
25operations of the Department. Nothing in this subsection limits
26investigations by the Department that may otherwise be required

 

 

09700HB3212ham001- 24 -LRB097 08497 JDS 52239 a

1by law or that may be necessary in the Department's capacity as
2central administrative authority responsible for the operation
3of the State's mental health and developmental disabilities
4facilities.
5    (g) Rulemaking authority. The Inspector General shall
6promulgate rules establishing minimum requirements for
7reporting allegations as well as for initiating, conducting,
8and completing investigations based upon the nature of the
9allegation or allegations. The rules shall clearly establish
10that if 2 or more State agencies could investigate an
11allegation, the Inspector General shall not conduct an
12investigation that would be redundant to, or interfere with, an
13investigation conducted by another State agency. The rules
14shall further clarify the method and circumstances under which
15the Office of Inspector General may interact with the
16licensing, funding, or certification units of the Department in
17preventing further occurrences of mental abuse, physical
18abuse, sexual abuse, neglect, egregious neglect, and financial
19exploitation.
20    (h) Training programs. The Inspector General shall (i)
21establish a comprehensive program to ensure that every person
22authorized to conduct investigations receives ongoing training
23relative to investigation techniques, communication skills,
24and the appropriate means of interacting with persons receiving
25treatment for mental illness, developmental disability, or
26both mental illness and developmental disability, and (ii)

 

 

09700HB3212ham001- 25 -LRB097 08497 JDS 52239 a

1establish and conduct periodic training programs for facility
2and agency employees concerning the prevention and reporting of
3any one or more of the following: mental abuse, physical abuse,
4sexual abuse, neglect, egregious neglect, or financial
5exploitation. Nothing in this Section shall be deemed to
6prevent the Office of Inspector General from conducting any
7other training as determined by the Inspector General to be
8necessary or helpful.
9    (i) Duty to cooperate.
10        (1) The Inspector General shall at all times be granted
11    access to any facility or agency for the purpose of
12    investigating any allegation, conducting unannounced site
13    visits, monitoring compliance with a written response, or
14    completing any other statutorily assigned duty. The
15    Inspector General shall conduct unannounced site visits to
16    each facility at least annually for the purpose of
17    reviewing and making recommendations on systemic issues
18    relative to preventing, reporting, investigating, and
19    responding to all of the following: mental abuse, physical
20    abuse, sexual abuse, neglect, egregious neglect, or
21    financial exploitation.
22        (2) Any employee who fails to cooperate with an Office
23    of the Inspector General investigation is in violation of
24    this Act. Failure to cooperate with an investigation
25    includes, but is not limited to, any one or more of the
26    following: (i) creating and transmitting a false report to

 

 

09700HB3212ham001- 26 -LRB097 08497 JDS 52239 a

1    the Office of the Inspector General hotline, (ii) providing
2    false information to an Office of the Inspector General
3    Investigator during an investigation, (iii) colluding with
4    other employees to cover up evidence, (iv) colluding with
5    other employees to provide false information to an Office
6    of the Inspector General investigator, (v) destroying
7    evidence, (vi) withholding evidence, or (vii) otherwise
8    obstructing an Office of the Inspector General
9    investigation. Additionally, any employee who, during an
10    unannounced site visit or written response compliance
11    check, fails to cooperate with requests from the Office of
12    the Inspector General is in violation of this Act.
13    (j) Subpoena powers. The Inspector General shall have the
14power to subpoena witnesses and compel the production of all
15documents and physical evidence relating to his or her
16investigations and any hearings authorized by this Act. This
17subpoena power shall not extend to persons or documents of a
18labor organization or its representatives insofar as the
19persons are acting in a representative capacity to an employee
20whose conduct is the subject of an investigation or the
21documents relate to that representation. Any person who
22otherwise fails to respond to a subpoena or who knowingly
23provides false information to the Office of the Inspector
24General by subpoena during an investigation is guilty of a
25Class A misdemeanor.
26    (k) Reporting allegations and deaths.

 

 

09700HB3212ham001- 27 -LRB097 08497 JDS 52239 a

1        (1) Allegations. If an employee witnesses, is told of,
2    or has reason to believe an incident of mental abuse,
3    physical abuse, sexual abuse, neglect, or financial
4    exploitation has occurred, the employee, agency, or
5    facility shall report the allegation by phone to the Office
6    of the Inspector General hotline according to the agency's
7    or facility's procedures, but in no event later than 4
8    hours after the initial discovery of the incident,
9    allegation, or suspicion of any one or more of the
10    following: mental abuse, physical abuse, sexual abuse,
11    neglect, or financial exploitation. A required reporter as
12    defined in subsection (b) of this Section who knowingly or
13    intentionally fails to comply with these reporting
14    requirements is guilty of a Class A misdemeanor.
15        (2) Deaths. Absent an allegation, a required reporter
16    shall, within 24 hours after initial discovery, report by
17    phone to the Office of the Inspector General hotline each
18    of the following:
19            (i) Any death of an individual occurring within 14
20        calendar days after discharge or transfer of the
21        individual from a residential program or facility.
22            (ii) Any death of an individual occurring within 24
23        hours after deflection from a residential program or
24        facility.
25            (iii) Any other death of an individual occurring at
26        an agency or facility or at any Department-funded site.

 

 

09700HB3212ham001- 28 -LRB097 08497 JDS 52239 a

1        (3) Retaliation. It is a violation of this Act for any
2    employee or administrator of an agency or facility to take
3    retaliatory action against an employee who acts in good
4    faith in conformance with his or her duties as a required
5    reporter.
6    (l) Reporting to law enforcement.
7        (1) Reporting criminal acts. Within 24 hours after
8    determining that there is credible evidence indicating
9    that a criminal act may have been committed or that special
10    expertise may be required in an investigation, the
11    Inspector General shall notify the Department of State
12    Police or other appropriate law enforcement authority, or
13    ensure that such notification is made. The Department of
14    State Police shall investigate any report from a
15    State-operated facility indicating a possible murder,
16    sexual assault, or other felony by an employee. All
17    investigations conducted by the Inspector General shall be
18    conducted in a manner designed to ensure the preservation
19    of evidence for possible use in a criminal prosecution.
20        (2) Reporting allegations of adult students with
21    disabilities. Upon receipt of a reportable allegation
22    regarding an adult student with a disability, the
23    Department's Office of the Inspector General shall
24    determine whether the allegation meets the criteria for the
25    Domestic Abuse Program under the Abuse of Adults with
26    Disabilities Intervention Act. If the allegation is

 

 

09700HB3212ham001- 29 -LRB097 08497 JDS 52239 a

1    reportable to that program, the Office of the Inspector
2    General shall initiate an investigation. If the allegation
3    is not reportable to the Domestic Abuse Program, the Office
4    of the Inspector General shall make an expeditious referral
5    to the respective law enforcement entity. If the alleged
6    victim is already receiving services from the Department,
7    the Office of the Inspector General shall also make a
8    referral to the respective Department of Human Services'
9    Division or Bureau.
10    (m) Investigative reports. Upon completion of an
11investigation, the Office of Inspector General shall issue an
12investigative report identifying whether the allegations are
13substantiated, unsubstantiated, or unfounded. Within 10
14business days after the transmittal of a completed
15investigative report substantiating an allegation, or if a
16recommendation is made, the Inspector General shall provide the
17investigative report on the case to the Secretary and to the
18director of the facility or agency where any one or more of the
19following occurred: mental abuse, physical abuse, sexual
20abuse, neglect, egregious neglect, or financial exploitation.
21In a substantiated case, the investigative report shall include
22any mitigating or aggravating circumstances that were
23identified during the investigation. If the case involves
24substantiated neglect, the investigative report shall also
25state whether egregious neglect was found. An investigative
26report may also set forth recommendations. All investigative

 

 

09700HB3212ham001- 30 -LRB097 08497 JDS 52239 a

1reports prepared by the Office of the Inspector General shall
2be considered confidential and shall not be released except as
3provided by the law of this State or as required under
4applicable federal law. Unsubstantiated and unfounded reports
5shall not be disclosed except as allowed under Section 6 of the
6Abused and Neglected Long Term Care Facility Residents
7Reporting Act. Raw data used to compile the investigative
8report shall not be subject to release unless required by law
9or a court order. "Raw data used to compile the investigative
10report" includes, but is not limited to, any one or more of the
11following: the initial complaint, witness statements,
12photographs, investigator's notes, police reports, or incident
13reports. If the allegations are substantiated, the accused
14shall be provided with a redacted copy of the investigative
15report. Death reports where there was no allegation of abuse or
16neglect shall only be released pursuant to applicable State or
17federal law or a valid court order.
18    (n) Written responses and reconsideration requests.
19        (1) Written responses. Within 30 calendar days from
20    receipt of a substantiated investigative report or an
21    investigative report which contains recommendations,
22    absent a reconsideration request, the facility or agency
23    shall file a written response that addresses, in a concise
24    and reasoned manner, the actions taken to: (i) protect the
25    individual; (ii) prevent recurrences; and (iii) eliminate
26    the problems identified. The response shall include the

 

 

09700HB3212ham001- 31 -LRB097 08497 JDS 52239 a

1    implementation and completion dates of such actions. If the
2    written response is not filed within the allotted 30
3    calendar day period, the Secretary shall determine the
4    appropriate corrective action to be taken.
5        (2) Reconsideration requests. The facility, agency,
6    victim or guardian, or the subject employee may request
7    that the Office of Inspector General reconsider or clarify
8    its finding based upon additional information.
9    (o) Disclosure of the finding by the Inspector General. The
10Inspector General shall disclose the finding of an
11investigation to the following persons: (i) the Governor, (ii)
12the Secretary, (iii) the director of the facility or agency,
13(iv) the alleged victims and their guardians, (v) the
14complainant, and (vi) the accused. This information shall
15include whether the allegations were deemed substantiated,
16unsubstantiated, or unfounded.
17    (p) Secretary review. Upon review of the Inspector
18General's investigative report and any agency's or facility's
19written response, the Secretary shall accept or reject the
20written response and notify the Inspector General of that
21determination. The Secretary may further direct that other
22administrative action be taken, including, but not limited to,
23any one or more of the following: (i) additional site visits,
24(ii) training, (iii) provision of technical assistance
25relative to administrative needs, licensure or certification,
26or (iv) the imposition of appropriate sanctions.

 

 

09700HB3212ham001- 32 -LRB097 08497 JDS 52239 a

1    (q) Action by facility or agency. Within 30 days of the
2date the Secretary approves the written response or directs
3that further administrative action be taken, the facility or
4agency shall provide an implementation report to the Inspector
5General that provides the status of the action taken. The
6facility or agency shall be allowed an additional 30 days to
7send notice of completion of the action or to send an updated
8implementation report. If the action has not been completed
9within the additional 30 day period, the facility or agency
10shall send updated implementation reports every 60 days until
11completion. The Inspector General shall conduct a review of any
12implementation plan that takes more than 120 days after
13approval to complete, and shall monitor compliance through a
14random review of approved written responses, which may include,
15but are not limited to: (i) site visits, (ii) telephone
16contact, and (iii) requests for additional documentation
17evidencing compliance.
18    (r) Sanctions. Sanctions, if imposed by the Secretary under
19Subdivision (p)(iv) of this Section, shall be designed to
20prevent further acts of mental abuse, physical abuse, sexual
21abuse, neglect, egregious neglect, or financial exploitation
22or some combination of one or more of those acts at a facility
23or agency, and may include any one or more of the following:
24        (1) Appointment of on-site monitors.
25        (2) Transfer or relocation of an individual or
26    individuals.

 

 

09700HB3212ham001- 33 -LRB097 08497 JDS 52239 a

1        (3) Closure of units.
2        (4) Termination of any one or more of the following:
3    (i) Department licensing, (ii) funding, or (iii)
4    certification.
5    The Inspector General may seek the assistance of the
6Illinois Attorney General or the office of any State's Attorney
7in implementing sanctions.
8    (s) Health care worker registry.
9        (1) Reporting to the registry. The Inspector General
10    shall report to the Department of Public Health's health
11    care worker registry, a public registry, the identity and
12    finding of each employee of a facility or agency against
13    whom there is a final investigative report containing a
14    substantiated allegation of physical or sexual abuse or
15    egregious neglect of an individual.
16        (2) Notice to employee. Prior to reporting the name of
17    an employee, the employee shall be notified of the
18    Department's obligation to report and shall be granted an
19    opportunity to request an administrative hearing, the sole
20    purpose of which is to determine if the substantiated
21    finding warrants reporting to the registry. Notice to the
22    employee shall contain a clear and concise statement of the
23    grounds on which the report to the registry is based, offer
24    the employee an opportunity for a hearing, and identify the
25    process for requesting such a hearing. Notice is sufficient
26    if provided by certified mail to the employee's last known

 

 

09700HB3212ham001- 34 -LRB097 08497 JDS 52239 a

1    address. If the employee fails to request a hearing within
2    30 days from the date of the notice, the Inspector General
3    shall report the name of the employee to the registry.
4    Nothing in this subdivision (s)(2) shall diminish or impair
5    the rights of a person who is a member of a collective
6    bargaining unit under the Illinois Public Labor Relations
7    Act or under any other federal labor statute.
8        (3) Registry hearings. If the employee requests an
9    administrative hearing, the employee shall be granted an
10    opportunity to appear before an administrative law judge to
11    present reasons why the employee's name should not be
12    reported to the registry. The Department shall bear the
13    burden of presenting evidence that establishes, by a
14    preponderance of the evidence, that the substantiated
15    finding warrants reporting to the registry. After
16    considering all the evidence presented, the administrative
17    law judge shall make a recommendation to the Secretary as
18    to whether the substantiated finding warrants reporting
19    the name of the employee to the registry. The Secretary
20    shall render the final decision. The Department and the
21    employee shall have the right to request that the
22    administrative law judge consider a stipulated disposition
23    of these proceedings.
24        (4) Testimony at registry hearings. A person who makes
25    a report or who investigates a report under this Act shall
26    testify fully in any judicial proceeding resulting from

 

 

09700HB3212ham001- 35 -LRB097 08497 JDS 52239 a

1    such a report, as to any evidence of abuse or neglect, or
2    the cause thereof. No evidence shall be excluded by reason
3    of any common law or statutory privilege relating to
4    communications between the alleged perpetrator of abuse or
5    neglect, or the individual alleged as the victim in the
6    report, and the person making or investigating the report.
7    Testimony at hearings is exempt from the confidentiality
8    requirements of subsection (f) of Section 10 of the Mental
9    Health and Developmental Disabilities Confidentiality Act.
10        (5) Employee's rights to collateral action. No
11    reporting to the registry shall occur and no hearing shall
12    be set or proceed if an employee notifies the Inspector
13    General in writing, including any supporting
14    documentation, that he or she is formally contesting an
15    adverse employment action resulting from a substantiated
16    finding by complaint filed with the Illinois Civil Service
17    Commission, or which otherwise seeks to enforce the
18    employee's rights pursuant to any applicable collective
19    bargaining agreement. If an action taken by an employer
20    against an employee as a result of a finding of physical
21    abuse, sexual abuse, or egregious neglect is overturned
22    through an action filed with the Illinois Civil Service
23    Commission or under any applicable collective bargaining
24    agreement and if that employee's name has already been sent
25    to the registry, the employee's name shall be removed from
26    the registry.

 

 

09700HB3212ham001- 36 -LRB097 08497 JDS 52239 a

1        (6) Removal from registry. At any time after the report
2    to the registry, but no more than once in any 12-month
3    period, an employee may petition the Department in writing
4    to remove his or her name from the registry. Upon receiving
5    notice of such request, the Inspector General shall conduct
6    an investigation into the petition. Upon receipt of such
7    request, an administrative hearing will be set by the
8    Department. At the hearing, the employee shall bear the
9    burden of presenting evidence that establishes, by a
10    preponderance of the evidence, that removal of the name
11    from the registry is in the public interest. The parties
12    may jointly request that the administrative law judge
13    consider a stipulated disposition of these proceedings.
14    (t) Review of Administrative Decisions. The Department
15shall preserve a record of all proceedings at any formal
16hearing conducted by the Department involving health care
17worker registry hearings. Final administrative decisions of
18the Department are subject to judicial review pursuant to
19provisions of the Administrative Review Law.
20    (u) Quality Care Board. There is created, within the Office
21of the Inspector General, a Quality Care Board to be composed
22of 7 members appointed by the Governor with the advice and
23consent of the Senate. One of the members shall be designated
24as chairman by the Governor. Of the initial appointments made
25by the Governor, 4 Board members shall each be appointed for a
26term of 4 years and 3 members shall each be appointed for a

 

 

09700HB3212ham001- 37 -LRB097 08497 JDS 52239 a

1term of 2 years. Upon the expiration of each member's term, a
2successor shall be appointed for a term of 4 years. In the case
3of a vacancy in the office of any member, the Governor shall
4appoint a successor for the remainder of the unexpired term.
5    Members appointed by the Governor shall be qualified by
6professional knowledge or experience in the area of law,
7investigatory techniques, or in the area of care of the
8mentally ill or developmentally disabled. Two members
9appointed by the Governor shall be persons with a disability or
10a parent of a person with a disability. Members shall serve
11without compensation, but shall be reimbursed for expenses
12incurred in connection with the performance of their duties as
13members.
14    The Board shall meet quarterly, and may hold other meetings
15on the call of the chairman. Four members shall constitute a
16quorum allowing the Board to conduct its business. The Board
17may adopt rules and regulations it deems necessary to govern
18its own procedures.
19    The Board shall monitor and oversee the operations,
20policies, and procedures of the Inspector General to ensure the
21prompt and thorough investigation of allegations of neglect and
22abuse. In fulfilling these responsibilities, the Board may do
23the following:
24        (1) Provide independent, expert consultation to the
25    Inspector General on policies and protocols for
26    investigations of alleged abuse, neglect, or both abuse and

 

 

09700HB3212ham001- 38 -LRB097 08497 JDS 52239 a

1    neglect.
2        (2) Review existing regulations relating to the
3    operation of facilities.
4        (3) Advise the Inspector General as to the content of
5    training activities authorized under this Section.
6        (4) Recommend policies concerning methods for
7    improving the intergovernmental relationships between the
8    Office of the Inspector General and other State or federal
9    offices.
10    (v) Annual report. The Inspector General shall provide to
11the General Assembly and the Governor, no later than January 1
12of each year, a summary of reports and investigations made
13under this Act for the prior fiscal year with respect to
14individuals receiving mental health or developmental
15disabilities services. The report shall detail the imposition
16of sanctions, if any, and the final disposition of any
17corrective or administrative action directed by the Secretary.
18The summaries shall not contain any confidential or identifying
19information of any individual, but shall include objective data
20identifying any trends in the number of reported allegations,
21the timeliness of the Office of the Inspector General's
22investigations, and their disposition, for each facility and
23Department-wide, for the most recent 3-year time period. The
24report shall also identify, by facility, the staff-to-patient
25ratios taking account of direct care staff only. The report
26shall also include detailed recommended administrative actions

 

 

09700HB3212ham001- 39 -LRB097 08497 JDS 52239 a

1and matters for consideration by the General Assembly.
2    (w) Program audit. The Auditor General shall conduct a
3program audit of the Office of the Inspector General on an
4as-needed basis, as determined by the Auditor General. The
5audit shall specifically include the Inspector General's
6compliance with the Act and effectiveness in investigating
7reports of allegations occurring in any facility or agency. The
8Auditor General shall conduct the program audit according to
9the provisions of the Illinois State Auditing Act and shall
10report its findings to the General Assembly no later than
11January 1 following the audit period.
12    (x) Nothing in this Section shall be construed to mean that
13a patient is a victim of abuse or neglect because of health
14care services appropriately provided or not provided by health
15care professionals.
16    (y) Nothing in this Section shall require a facility,
17including its employees, agents, medical staff members, and
18health care professionals, to provide a service to a patient in
19contravention of that patient's stated or implied objection to
20the provision of that service on the ground that that service
21conflicts with the patient's religious beliefs or practices,
22nor shall the failure to provide a service to a patient be
23considered abuse under this Section if the patient has objected
24to the provision of that service based on his or her religious
25beliefs or practices.
26(Source: P.A. 95-545, eff. 8-28-07; 96-339, eff. 7-1-10;

 

 

09700HB3212ham001- 40 -LRB097 08497 JDS 52239 a

196-407, eff. 8-13-09; 96-555, eff. 8-18-09; 96-1000, eff.
27-2-10; 96-1446, eff. 8-20-10.)
 
3    Section 25. The School Code is amended by changing Sections
41B-22 and 34-13.1 as follows:
 
5    (105 ILCS 5/1B-22)
6    Sec. 1B-22. Additional Powers of the Panel. For Panels
7established under Section 1B-4 for a district which had its
8financial plan rescinded by the State Board for violating that
9plan as provided in Section 1A-8, the Panel shall have the
10following additional powers:
11    (a) As necessary to carry out its purposes when district
12resources are not readily available or appropriate for use by
13the Panel, the Panel may make and execute contracts, leases,
14subleases and all other instruments or agreements necessary or
15convenient for the exercise of the powers and functions granted
16by this Article.
17    (b) As necessary to carry out its purposes when district
18resources are not readily available or appropriate for use by
19the Panel, the Panel may purchase personal property necessary
20or convenient for its purposes; mortgage, pledge or otherwise
21grant security interests in such properties; and convey to the
22district such of its property as, in the judgment of the Panel,
23is no longer necessary for its purposes.
24    (c) As necessary to carry out its purposes when district

 

 

09700HB3212ham001- 41 -LRB097 08497 JDS 52239 a

1resources are not readily available or appropriate for use by
2the Panel, the Panel may appoint officers, agents, and
3employees of the Panel, define their duties and qualifications,
4and fix their compensation and employee benefits.
5    (d) In order to investigate allegations of or incidents of
6waste, fraud, or financial mismanagement which the Board is
7unable or unwilling to properly investigate as requested by the
8Panel, the Panel may appoint an Inspector General who shall
9have the authority to conduct investigations into such
10allegations or incidents. The Inspector General shall make
11recommendations to the Panel about its investigations. The
12Inspector General shall be independent of the operations of the
13Panel and the Board and perform other duties requested by the
14Panel. The Inspector General shall have access to all
15information and personnel necessary to perform the duties of
16the office. If the Inspector General determines that a possible
17criminal act has been committed or that special expertise is
18required in the investigation, he shall immediately notify the
19State's Attorney in the county in which the district is
20located. All investigations conducted by the Inspector General
21shall be conducted in a manner that ensures the preservation of
22evidence for use in criminal prosecutions. At all times the
23Inspector General shall be granted access to any building or
24facility that is owned, operated, or leased by the Panel or the
25Board. The Inspector General shall have the power to subpoena
26witnesses and compel the production of books and papers

 

 

09700HB3212ham001- 42 -LRB097 08497 JDS 52239 a

1pertinent to an investigation authorized by this Code. Any
2person who (1) fails to appear in response to a subpoena; (2)
3fails to answer any question; (3) fails to produce any books or
4papers pertinent to an investigation under this Code; or (4)
5knowingly gives false testimony during an investigation under
6this Code is guilty of a Class A misdemeanor. The Inspector
7General shall provide to the Panel and the State Board of
8Education a summary of reports and investigations made under
9this Section for the previous fiscal year no later than January
101 of each year. The summaries shall detail the final
11disposition of those recommendations. The summaries shall not
12contain any confidential or identifying information concerning
13the subjects of the reports and investigations. The summaries
14shall also include detailed recommended administrative actions
15and matters for consideration by the State Board of Education
16or the General Assembly.
17    (d-5) The Inspector General appointed by the Panel under
18subsection (d) shall have the following qualifications:
19        (1) has not been convicted of any felony under the laws
20    of this State, another State, or the United States;
21        (2) has earned a baccalaureate degree from an
22    institution of higher education;
23        (3) has not, for appointments made on or after the
24    effective date of this amendatory Act of the 97th General
25    Assembly, been employed by the district other than as an
26    Inspector General or an employee in the Office of the

 

 

09700HB3212ham001- 43 -LRB097 08497 JDS 52239 a

1    Inspector General for the district during the 5 years
2    immediately preceding his or her appointment; and
3        (4) has (A) 5 or more years of service with a federal,
4    State, or local law enforcement agency, at least 2 years of
5    which have been in a progressive investigatory capacity;
6    (B) 5 or more years of service as a federal, State, or
7    local prosecutor; or (C) 5 or more years of service as a
8    senior manager or executive of a federal, State, or local
9    agency.
10    (e) No hiring or appointment of any person in any position
11by the Board, the superintendent, or any other officer or
12employee of the Board shall be made or entered into unless it
13is consistent with the Financial Plan and Budget in effect and
14the staffing plan approved by the Panel under this Section. The
15hiring or appointment of any person shall not be binding on the
16Board unless and until it is in compliance with this Section.
17The Board shall submit to the Panel for approval by the Panel a
18staffing plan for the upcoming school year at the same time as
19the submission of the Budget, except that the staffing plan for
20the fiscal year ending in 1997 shall be submitted to the Panel
21within 90 days after the effective date of this amendatory Act
22of 1996. The staffing plan shall be accompanied by a cost
23analysis and such other information as the Panel may require.
24The Panel may prescribe standards, procedures, and forms for
25submission of the staffing plan. The Panel shall approve the
26staffing plan if the information required to be submitted is

 

 

09700HB3212ham001- 44 -LRB097 08497 JDS 52239 a

1complete and the staffing plan is consistent with the Budget
2and Financial Plan in effect. Otherwise, the Panel shall reject
3the staffing plan. In the event of rejection, the Panel shall
4prescribe a procedure and standards for revision of the
5staffing plan. The Panel shall act on the staffing plan at the
6same time as the approval of the Budget, except that the
7staffing plan for the fiscal year ending in 1997 shall be acted
8upon within 60 days of the submission of the staffing plan by
9the Board. The Board shall report to the Panel, at such times
10and in such manner as the Panel may direct, concerning the
11Board's compliance with each staffing plan. The Panel may
12review the Board's operations, obtaining budgetary data and
13financial statements, may require the Board to produce reports,
14and shall have access to any other information in the
15possession of the Board that it deems relevant. The Panel may
16issue directives to the Board to assure compliance with the
17staffing plan, including the issuance of reduction in force
18notices, non-renewal of employment contracts, or any other
19notices or actions required by contract or law. The Board shall
20produce such budgetary data, financial statements, reports,
21and other information and shall comply with such directives.
22After approval of each staffing plan, the Board shall regularly
23reexamine the estimates on which it was based and revise them
24as necessary. The Board shall promptly notify the Panel of any
25material change in the estimates in the staffing plan. The
26Board may submit to the Panel, or the Panel may require the

 

 

09700HB3212ham001- 45 -LRB097 08497 JDS 52239 a

1Board to submit, modifications to the staffing plan based upon
2revised revenue or expenditure estimates or for any other good
3reason. The Panel shall approve or reject each modified
4staffing plan within 60 days of its submission in a manner
5similar to the provisions of this subsection for the approval
6or rejection of the initial staffing plan.
7    (f) The Panel shall examine the business records and audit
8the accounts of the Board or require that the Board examine its
9business records and audit its accounts at such time and in
10such manner as the Panel may prescribe. The Board shall appoint
11a certified public accountant annually, approved by the Panel,
12to audit its financial statements. The audit conducted pursuant
13to this paragraph shall be in lieu of the audit that the Board
14is required to undertake pursuant to Section 3-7.
15    (g) The Panel shall initiate and direct financial
16management assessments and similar analyses of the operations
17of the Board as may, in the judgment of the Panel, assure sound
18and efficient financial management of the Board. Upon the
19completion of these assessments, the Panel shall give
20directives to the Board regarding improvements and changes that
21derive from these assessments, which the Board shall implement.
22In conjunction with its budgetary submission to the Panel for
23each fiscal year, the Board shall demonstrate to the
24satisfaction of the Panel that the directives of the Panel have
25been implemented in whole or in part or, in the alternative,
26are not capable of being implemented. In consideration of

 

 

09700HB3212ham001- 46 -LRB097 08497 JDS 52239 a

1whether to approve or reject the budget for a fiscal year, the
2Panel shall adjudge whether the Board has fully considered and
3responsibly proposed implementation of the Panel's directives.
4    (h) The Panel shall initiate and direct a management audit
5of the Board at least once every 2 years. The audit shall
6review the personnel, organization, contracts, leases, and
7physical properties of the Board to determine whether the Board
8is managing and utilizing its resources in an economical and
9efficient manner. The audit shall determine the causes of any
10inefficiencies or uneconomical practices, including
11inadequacies in internal and administrative procedures,
12organizational structure, uses of resources, utilization of
13real property, allocation of personnel, purchasing policies,
14and equipment.
15    (i) In the event that the Board refuses or fails to follow
16a directive of the Panel to issue notices of non-renewal of
17contracts, to issue notices of reduction in force to employees,
18to issue requests for bids or proposals, or to obtain financial
19or other information that the Panel finds necessary for the
20implementation of its responsibilities under this Article, the
21Panel may take such action in the name of the district, and
22such action shall be binding the same as if the action had been
23taken by the Board. The powers established by this paragraph do
24not authorize the Panel to enter into contracts in the name of
25the Board.
26    (j) The Panel shall meet with the Board or its designees in

 

 

09700HB3212ham001- 47 -LRB097 08497 JDS 52239 a

1closed session prior to the Board commencing any collective
2bargaining negotiations to discuss the financial issues
3relevant to the bargaining and for the purpose of the Panel
4approving the budget limitations for the potential collective
5bargaining agreement. The Board shall not make or consider any
6proposal which does not comply with the collective bargaining
7budget approved by the Panel. The Board shall keep the Panel
8apprised as to the status of the bargaining. The Board shall
9present any proposed change in the approved collective
10bargaining budget to the Panel in closed session for approval.
11Prior to the Board taking a final vote on any tentative
12agreement approved by the employee organization, the Board
13shall discuss the tentative agreement with the Panel in closed
14session. Upon final approval of a collective bargaining
15agreement by both the Board and the employee organization, the
16Board shall submit the final collective bargaining agreement to
17the Panel for approval. At the same time that the Board submits
18the final agreement to the Panel, the Board shall notify the
19employee organization that the final agreement has been
20submitted and the date of the Panel meeting at which the final
21agreement will be considered. The employee organization shall
22be provided an opportunity to discuss the final agreement with
23the Panel prior to the Panel taking action on the agreement. No
24collective bargaining agreement shall be binding upon the
25district unless the Board has followed the requirements of this
26paragraph and the final agreement has been approved by the

 

 

09700HB3212ham001- 48 -LRB097 08497 JDS 52239 a

1Panel.
2    (k) The budget of the Panel or any revisions to the budget,
3including any costs to the Panel associated with the
4appointment of an Inspector General, shall be approved by the
5State Superintendent upon request of the Panel and after
6opportunity for response by the Board.
7(Source: P.A. 89-572, eff. 7-30-96.)
 
8    (105 ILCS 5/34-13.1)
9    Sec. 34-13.1. Inspector General.
10    (a) The Inspector General and his office in existence on
11the effective date of this amendatory Act of 1995 shall be
12transferred to the jurisdiction of the board upon appointment
13of the Chicago School Reform Board of Trustees. The Inspector
14General shall have the authority to conduct investigations into
15allegations of or incidents of waste, fraud, and financial
16mismanagement in public education within the jurisdiction of
17the board by a local school council member or an employee,
18contractor, or member of the board or involving school projects
19managed or handled by the Public Building Commission. The
20Inspector General shall make recommendations to the board about
21the investigations. The Inspector General in office on the
22effective date of this amendatory Act of 1996 shall serve for a
23term expiring on June 30, 1998. His or her successors in office
24shall each be appointed by the Mayor, without the consent or
25approval of the City Council, for 4 year terms expiring on June

 

 

09700HB3212ham001- 49 -LRB097 08497 JDS 52239 a

130th of an even numbered year. If the Inspector General leaves
2office or if a vacancy in that office otherwise occurs, the
3Mayor shall appoint, without the consent or approval of the
4City Council, a successor to serve under this Section for the
5remainder of the unexpired term. The Inspector General shall be
6independent of the operations of the board and the School
7Finance Authority, and shall perform other duties requested by
8the board.
9    (a-5) The Inspector General appointed by the Mayor under
10subsection (a) shall have the following qualifications:
11        (1) has not been convicted of any felony under the laws
12    of this State, another State, or the United States;
13        (2) has earned a baccalaureate degree from an
14    institution of higher education;
15        (3) has not, for appointments made on or after the
16    effective date of this amendatory Act of the 97th General
17    Assembly, been employed by the Chicago Public Schools other
18    than as an Inspector General or an employee in the Office
19    of the Inspector General for the Chicago Public Schools
20    during the 5 years immediately preceding his or her
21    appointment; and
22        (4) has (A) 5 or more years of service with a federal,
23    State, or local law enforcement agency, at least 2 years of
24    which have been in a progressive investigatory capacity;
25    (B) 5 or more years of service as a federal, State, or
26    local prosecutor; or (C) 5 or more years of service as a

 

 

09700HB3212ham001- 50 -LRB097 08497 JDS 52239 a

1    senior manager or executive of a federal, State, or local
2    agency.
3    (b) The Inspector General shall have access to all
4information and personnel necessary to perform the duties of
5the office. If the Inspector General determines that a possible
6criminal act has been committed or that special expertise is
7required in the investigation, he or she shall immediately
8notify the Chicago Police Department and the Cook County
9State's Attorney. All investigations conducted by the
10Inspector General shall be conducted in a manner that ensures
11the preservation of evidence for use in criminal prosecutions.
12    (c) At all times the Inspector General shall be granted
13access to any building or facility that is owned, operated, or
14leased by the board, the Public Building Commission, or the
15city in trust and for the use and benefit of the schools of the
16district.
17    (d) The Inspector General shall have the power to subpoena
18witnesses and compel the production of books and papers
19pertinent to an investigation authorized by this Code. Any
20person who (1) fails to appear in response to a subpoena; (2)
21fails to answer any question; (3) fails to produce any books or
22papers pertinent to an investigation under this Code; or (4)
23knowingly gives false testimony during an investigation under
24this Code, is guilty of a Class A misdemeanor.
25    (e) The Inspector General shall provide to the board and
26the Illinois General Assembly a summary of reports and

 

 

09700HB3212ham001- 51 -LRB097 08497 JDS 52239 a

1investigations made under this Section for the previous fiscal
2year no later than January 1 of each year, except that the
3Inspector General shall provide the summary of reports and
4investigations made under this Section for the period
5commencing July 1, 1998 and ending April 30, 1999 no later than
6May 1, 1999. The summaries shall detail the final disposition
7of those recommendations. The summaries shall not contain any
8confidential or identifying information concerning the
9subjects of the reports and investigations. The summaries shall
10also include detailed recommended administrative actions and
11matters for consideration by the General Assembly.
12    (f) (Blank).
13    (g) (Blank).
14(Source: P.A. 89-15, eff. 5-30-95; 89-698, eff. 1-14-97.)
 
15    Section 30. The Illinois Public Aid Code is amended by
16changing Section 12-13.1 as follows:
 
17    (305 ILCS 5/12-13.1)
18    Sec. 12-13.1. Inspector General.
19    (a) The Governor shall appoint, and the Senate shall
20confirm, an Inspector General who shall function within the
21Illinois Department of Public Aid (now Healthcare and Family
22Services) and report to the Governor. The term of the Inspector
23General shall expire on the third Monday of January, 1997 and
24every 4 years thereafter.

 

 

09700HB3212ham001- 52 -LRB097 08497 JDS 52239 a

1    (a-5) The Inspector General appointed by the Governor under
2subsection (a) shall have the following qualifications:
3        (1) has not been convicted of any felony under the laws
4    of this State, another State, or the United States;
5        (2) has earned a baccalaureate degree from an
6    institution of higher education;
7        (3) has not, for appointments made on or after the
8    effective date of this amendatory Act of the 97th General
9    Assembly, been employed by the Department of Healthcare and
10    Family Services other than as an Inspector General or an
11    employee in the Office of the Inspector General for the
12    Department of Healthcare and Family Services during the 5
13    years immediately preceding his or her appointment; and
14        (4) has (A) 5 or more years of service with a federal,
15    State, or local law enforcement agency, at least 2 years of
16    which have been in a progressive investigatory capacity;
17    (B) 5 or more years of service as a federal, State, or
18    local prosecutor; or (C) 5 or more years of service as a
19    senior manager or executive of a federal, State, or local
20    agency.
21    (b) In order to prevent, detect, and eliminate fraud,
22waste, abuse, mismanagement, and misconduct, the Inspector
23General shall oversee the Department of Healthcare and Family
24Services' integrity functions, which include, but are not
25limited to, the following:
26        (1) Investigation of misconduct by employees, vendors,

 

 

09700HB3212ham001- 53 -LRB097 08497 JDS 52239 a

1    contractors and medical providers, except for allegations
2    of violations of the State Officials and Employees Ethics
3    Act which shall be referred to the Office of the Governor's
4    Executive Inspector General for investigation.
5        (2) Audits of medical providers related to ensuring
6    that appropriate payments are made for services rendered
7    and to the recovery of overpayments.
8        (3) Monitoring of quality assurance programs generally
9    related to the medical assistance program and specifically
10    related to any managed care program.
11        (4) Quality control measurements of the programs
12    administered by the Department of Healthcare and Family
13    Services.
14        (5) Investigations of fraud or intentional program
15    violations committed by clients of the Department of
16    Healthcare and Family Services.
17        (6) Actions initiated against contractors or medical
18    providers for any of the following reasons:
19            (A) Violations of the medical assistance program.
20            (B) Sanctions against providers brought in
21        conjunction with the Department of Public Health or the
22        Department of Human Services (as successor to the
23        Department of Mental Health and Developmental
24        Disabilities).
25            (C) Recoveries of assessments against hospitals
26        and long-term care facilities.

 

 

09700HB3212ham001- 54 -LRB097 08497 JDS 52239 a

1            (D) Sanctions mandated by the United States
2        Department of Health and Human Services against
3        medical providers.
4            (E) Violations of contracts related to any managed
5        care programs.
6        (7) Representation of the Department of Healthcare and
7    Family Services at hearings with the Illinois Department of
8    Professional Regulation in actions taken against
9    professional licenses held by persons who are in violation
10    of orders for child support payments.
11    (b-5) At the request of the Secretary of Human Services,
12the Inspector General shall, in relation to any function
13performed by the Department of Human Services as successor to
14the Department of Public Aid, exercise one or more of the
15powers provided under this Section as if those powers related
16to the Department of Human Services; in such matters, the
17Inspector General shall report his or her findings to the
18Secretary of Human Services.
19    (c) The Inspector General shall have access to all
20information, personnel and facilities of the Department of
21Healthcare and Family Services and the Department of Human
22Services (as successor to the Department of Public Aid), their
23employees, vendors, contractors and medical providers and any
24federal, State or local governmental agency that are necessary
25to perform the duties of the Office as directly related to
26public assistance programs administered by those departments.

 

 

09700HB3212ham001- 55 -LRB097 08497 JDS 52239 a

1No medical provider shall be compelled, however, to provide
2individual medical records of patients who are not clients of
3the Medical Assistance Program. State and local governmental
4agencies are authorized and directed to provide the requested
5information, assistance or cooperation.
6    (d) The Inspector General shall serve as the Department of
7Healthcare and Family Services' primary liaison with law
8enforcement, investigatory and prosecutorial agencies,
9including but not limited to the following:
10        (1) The Department of State Police.
11        (2) The Federal Bureau of Investigation and other
12    federal law enforcement agencies.
13        (3) The various Inspectors General of federal agencies
14    overseeing the programs administered by the Department of
15    Healthcare and Family Services.
16        (4) The various Inspectors General of any other State
17    agencies with responsibilities for portions of programs
18    primarily administered by the Department of Healthcare and
19    Family Services.
20        (5) The Offices of the several United States Attorneys
21    in Illinois.
22        (6) The several State's Attorneys.
23    The Inspector General shall meet on a regular basis with
24these entities to share information regarding possible
25misconduct by any persons or entities involved with the public
26aid programs administered by the Department of Healthcare and

 

 

09700HB3212ham001- 56 -LRB097 08497 JDS 52239 a

1Family Services.
2    (e) All investigations conducted by the Inspector General
3shall be conducted in a manner that ensures the preservation of
4evidence for use in criminal prosecutions. If the Inspector
5General determines that a possible criminal act relating to
6fraud in the provision or administration of the medical
7assistance program has been committed, the Inspector General
8shall immediately notify the Medicaid Fraud Control Unit. If
9the Inspector General determines that a possible criminal act
10has been committed within the jurisdiction of the Office, the
11Inspector General may request the special expertise of the
12Department of State Police. The Inspector General may present
13for prosecution the findings of any criminal investigation to
14the Office of the Attorney General, the Offices of the several
15United States Attorneys in Illinois or the several State's
16Attorneys.
17    (f) To carry out his or her duties as described in this
18Section, the Inspector General and his or her designees shall
19have the power to compel by subpoena the attendance and
20testimony of witnesses and the production of books, electronic
21records and papers as directly related to public assistance
22programs administered by the Department of Healthcare and
23Family Services or the Department of Human Services (as
24successor to the Department of Public Aid). No medical provider
25shall be compelled, however, to provide individual medical
26records of patients who are not clients of the Medical

 

 

09700HB3212ham001- 57 -LRB097 08497 JDS 52239 a

1Assistance Program.
2    (g) The Inspector General shall report all convictions,
3terminations, and suspensions taken against vendors,
4contractors and medical providers to the Department of
5Healthcare and Family Services and to any agency responsible
6for licensing or regulating those persons or entities.
7    (h) The Inspector General shall make annual reports,
8findings, and recommendations regarding the Office's
9investigations into reports of fraud, waste, abuse,
10mismanagement, or misconduct relating to any public aid
11programs administered by the Department of Healthcare and
12Family Services or the Department of Human Services (as
13successor to the Department of Public Aid) to the General
14Assembly and the Governor. These reports shall include, but not
15be limited to, the following information:
16        (1) Aggregate provider billing and payment
17    information, including the number of providers at various
18    Medicaid earning levels.
19        (2) The number of audits of the medical assistance
20    program and the dollar savings resulting from those audits.
21        (3) The number of prescriptions rejected annually
22    under the Department of Healthcare and Family Services'
23    Refill Too Soon program and the dollar savings resulting
24    from that program.
25        (4) Provider sanctions, in the aggregate, including
26    terminations and suspensions.

 

 

09700HB3212ham001- 58 -LRB097 08497 JDS 52239 a

1        (5) A detailed summary of the investigations
2    undertaken in the previous fiscal year. These summaries
3    shall comply with all laws and rules regarding maintaining
4    confidentiality in the public aid programs.
5    (i) Nothing in this Section shall limit investigations by
6the Department of Healthcare and Family Services or the
7Department of Human Services that may otherwise be required by
8law or that may be necessary in their capacity as the central
9administrative authorities responsible for administration of
10public aid programs in this State.
11    (j) The Inspector General may issue shields or other
12distinctive identification to his or her employees not
13exercising the powers of a peace officer if the Inspector
14General determines that a shield or distinctive identification
15is needed by an employee to carry out his or her
16responsibilities.
17(Source: P.A. 95-331, eff. 8-21-07; 96-555, eff. 8-18-09;
1896-1316, eff. 1-1-11.)
 
19    Section 35. The Toll Highway Act is amended by changing
20Section 8.5 as follows:
 
21    (605 ILCS 10/8.5)
22    Sec. 8.5. Toll Highway Inspector General.
23    (a) The Governor shall, with the advice and consent of the
24Senate by three-fifths of the elected members concurring by

 

 

09700HB3212ham001- 59 -LRB097 08497 JDS 52239 a

1record vote, appoint a Toll Highway Inspector General for the
2purpose of detection, deterrence, and prevention of fraud,
3corruption, and mismanagement in the Authority. The Toll
4Highway Inspector General shall serve a 5-year term. If, during
5a recess of the Senate, there is a vacancy in the office of the
6Toll Highway Inspector General, the Governor shall make a
7temporary appointment until the next meeting of the Senate when
8the Governor shall make a nomination to fill that office. No
9person rejected for the office of the Toll Highway Inspector
10General shall, except by the Senate's request, be nominated
11again for that office at the same session of the Senate or be
12appointed to that office during a recess of that Senate. The
13Governor may not appoint a relative, as defined by item (6) of
14Section 10-15 of the State Officials and Employees Ethics Act,
15as the Toll Highway Inspector General. The Toll Highway
16Inspector General may be removed only for cause and may be
17removed only by the Governor.
18    (b) The Toll Highway Inspector General shall have the
19following qualifications:
20        (1) has not been convicted of any felony under the laws
21    of this State, another state, or the United States;
22        (2) has earned a baccalaureate degree from an
23    institution of higher education; and
24        (2.5) has not, for appointments made on or after the
25    effective date of this amendatory Act of the 97th General
26    Assembly, been employed by the Authority other than as an

 

 

09700HB3212ham001- 60 -LRB097 08497 JDS 52239 a

1    Inspector General or an employee in the Office of the
2    Inspector General for the Authority during the 5 years
3    immediately preceding his or her appointment; and
4        (3) has 5 or more years of cumulative service (i) with
5    a federal, state, or local law enforcement agency, at least
6    2 years of which have been in a progressive investigatory
7    capacity; (ii) as a federal, state, or local prosecutor;
8    (iii) as a federal or state judge with a criminal docket;
9    (iv) as a senior manager or executive of a federal, state,
10    or local agency; or (v) representing any combination of (i)
11    through (iv).
12    (c) The term of the initial Toll Highway Inspector General
13shall commence upon qualification and shall run through June
1430, 2015. The initial appointments shall be made within 60 days
15after the effective date of this amendatory Act of the 96th
16General Assembly. After the initial term, each Toll Highway
17Inspector General shall serve for 5-year terms commencing on
18July 1 of the year of appointment and running through June 30
19of the fifth following year. A Toll Highway Inspector General
20may be reappointed to one or more subsequent terms. A vacancy
21occurring other than at the end of a term shall be filled by
22the Governor only for the balance of the term of the Toll
23Highway Inspector General whose office is vacant. Terms shall
24run regardless of whether the position is filled.
25    (d) The Toll Highway Inspector General shall have
26jurisdiction over the Authority and all board members,

 

 

09700HB3212ham001- 61 -LRB097 08497 JDS 52239 a

1officers, and employees of, and vendors, subcontractors, and
2others doing business with the Authority. The jurisdiction of
3the Toll Highway Inspector General is to investigate
4allegations of fraud, waste, abuse, mismanagement, misconduct,
5nonfeasance, misfeasance, or malfeasance. Investigations may
6be based on complaints from any source, including anonymous
7sources, and may be self-initiated, without a complaint. An
8investigation may not be initiated more than five years after
9the most recent act of the alleged violation or of a series of
10alleged violations except where there is reasonable cause to
11believe that fraudulent concealment has occurred. To
12constitute fraudulent concealment sufficient to toll this
13limitations period, there must be an affirmative act or
14representation calculated to prevent discovery of the fact that
15a violation has occurred. The authority to investigate alleged
16violations of the State Officials and Employees Ethics Act by
17officers, employees, vendors, subcontractors, and others doing
18business with the Authority shall remain with the Office of the
19Governor's Executive Inspector General. The Toll Highway
20Inspector General shall refer allegations of misconduct under
21the State Officials and Employees Ethics Act to the Office of
22the Governor's Executive Inspector General for investigation.
23Upon completion of its investigation into such allegations, the
24Office of the Governor's Executive Inspector General shall
25report the results to the Toll Highway Inspector General, and
26the results of the investigation shall remain subject to any

 

 

09700HB3212ham001- 62 -LRB097 08497 JDS 52239 a

1applicable confidentiality provisions in the State Officials
2and Employees Ethics Act. Where an investigation into a target
3or targets is split between allegations of misconduct under the
4State Officials and Employees Ethics Act, investigated by the
5Office of the Governor's Executive Inspector General, and
6allegations that are not of misconduct under the State
7Officials and Employees Ethics Act, investigated by the Toll
8Highway Inspector General, the Toll Highway Inspector General
9shall take reasonable steps, including continued consultation
10with the Office of the Governor's Executive Inspector General,
11to ensure that its investigation will not interfere with or
12disrupt any investigation by the Office of the Governor's
13Executive Inspector General or law enforcement authorities. In
14instances in which the Toll Highway Inspector General continues
15to investigate other allegations associated with allegations
16that have been referred to the Office of the Governor's
17Executive Inspector General pursuant to this subsection, the
18Toll Highway Inspector General shall report the results of its
19investigation to the Office of the Governor's Executive
20Inspector General.
21    (e)(1) If the Toll Highway Inspector General, upon the
22conclusion of an investigation, determines that reasonable
23cause exists to believe that fraud, waste, abuse,
24mismanagement, misconduct, nonfeasance, misfeasance, or
25malfeasance has occurred, then the Toll Highway Inspector
26General shall issue a summary report of the investigation. The

 

 

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1report shall be delivered to the appropriate authority pursuant
2to paragraph (3) of subsection (f) of this Section, which shall
3have 20 days to respond to the report.
4        (2) The summary report of the investigation shall
5    include the following:
6            (A) a description of any allegations or other
7        information received by the Toll Highway Inspector
8        General pertinent to the investigation.
9            (B) a description of any alleged misconduct
10        discovered in the course of the investigation.
11            (C) recommendations for any corrective or
12        disciplinary action to be taken in response to any
13        alleged misconduct described in the report, including
14        but not limited to discharge.
15            (D) other information the Toll Highway Inspector
16        General deems relevant to the investigation or
17        resulting recommendations.
18        (3) Within 60 days after issuance of a final summary
19    report that resulted in a suspension of at least 3 days or
20    termination of employment, the Toll Highway Inspector
21    General shall make the report available to the public by
22    presenting the report to the Board of the Authority and by
23    posting to the Authority's public website. The Toll Highway
24    Inspector General shall redact information in the summary
25    report that may reveal the identity of witnesses,
26    complainants, or informants or if the Toll Highway

 

 

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1    Inspector General determines it is appropriate to protect
2    the identity of a person before the report is made public.
3    The Toll Highway Inspector General may also redact any
4    information that he or she believes should not be made
5    public, taking into consideration the factors set forth in
6    this subsection and paragraph (1) of subsection (k) of this
7    Section and other factors deemed relevant by the Toll
8    Highway Inspector General to protect the Authority and any
9    investigations by the Toll Highway Inspector General,
10    other inspector general offices or law enforcement
11    agencies. Prior to publication, the Toll Highway Inspector
12    General shall permit the respondents and the appropriate
13    authority pursuant to paragraph (3) of subsection (f) of
14    this Section to review the report and the documents to be
15    made public and offer suggestions for redaction or provide
16    a response that shall be made public with the summary
17    report, provided, however, that the Toll Highway Inspector
18    General shall have the sole and final authority to decide
19    what redactions should be made. The Toll Highway Inspector
20    General may make available to the public any other summary
21    report and any such responses or a redacted version of the
22    report and responses.
23        (4) When the Toll Highway Inspector General concludes
24    that there is insufficient evidence that a violation has
25    occurred, the Toll Highway Inspector General shall close
26    the investigation. The Toll Highway Inspector General

 

 

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1    shall provide the appropriate authority pursuant to
2    paragraph (3) of subsection (f) of this Section with a
3    written statement of the Toll Highway Inspector General's
4    decision to close the investigation. At the request of the
5    subject of the investigation, the Toll Highway Inspector
6    General shall provide a written statement to the subject of
7    the investigation of the Toll Highway Inspector General's
8    decision to close the investigation. Closure by the Toll
9    Highway Inspector General does not bar the Toll Highway
10    Inspector General from resuming the investigation if
11    circumstances warrant.
12    (f) The Toll Highway Inspector General shall:
13        (1) have access to all information and personnel
14    necessary to perform the duties of the office.
15        (2) have the power to subpoena witnesses and compel the
16    production of books and papers pertinent to an
17    investigation authorized by this Section. A subpoena may be
18    issued under this subparagraph (2) only by the Toll Highway
19    Inspector General and not by members of the Toll Highway
20    Inspector General's staff. Any person subpoenaed by the
21    Toll Highway Inspector General has the same rights, under
22    Illinois law, as a person subpoenaed by a grand jury. The
23    power to subpoena or to compel the production of books and
24    papers, however, shall not extend to the person or
25    documents of a labor organization or its representatives
26    insofar as the person or documents of a labor organization

 

 

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1    relate to the function of representing an employee subject
2    to investigation under this Section. Subject to a person's
3    privilege against self-incrimination, any person who fails
4    to appear in response to a subpoena, answer any question,
5    or produce any books or papers pertinent to an
6    investigation under this Section, except as otherwise
7    provided in this Section, or who knowingly gives false
8    testimony in relation to an investigation under this
9    Section is guilty of a Class A misdemeanor.
10        (3) submit reports as required by this Section and
11    applicable administrative rules. Final reports and
12    recommendations shall be submitted to the Authority's
13    Executive Director and the Board of Directors for
14    investigations not involving the Board. Final reports and
15    recommendations shall be submitted to the Chair of the
16    Board and to the Governor for investigations of any Board
17    member other than the Chair of the Board. Final reports and
18    recommendations for investigations of the Chair of the
19    Board shall be submitted to the Governor.
20        (4) assist and coordinate with the ethics officer for
21    the Authority.
22        (5) participate in or conduct, when appropriate,
23    multi-jurisdictional investigations provided the
24    investigation involves the Authority in some way,
25    including, but not limited to, joint investigations with
26    the Office of the Governor's Executive Inspector General,

 

 

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1    or with State, local, or federal law enforcement
2    authorities.
3        (6) serve as the Authority's primary liaison with law
4    enforcement, investigatory, and prosecutorial agencies
5    and, in that capacity, the Toll Highway Inspector General
6    may request any information or assistance that may be
7    necessary for carrying out the duties and responsibilities
8    provided by this Section from any local, state, or federal
9    governmental agency or unit thereof.
10        (7) review hiring and employment files of the Authority
11    to ensure compliance with Rutan v. Republican Party of
12    Illinois, 497 U.S. 62 (1990), and with all applicable
13    employment laws.
14        (8) establish a policy that ensures the appropriate
15    handling and correct recording of all investigations
16    conducted by the Office, and ensures that the policy is
17    accessible via the Internet in order that those seeking to
18    report suspected wrongdoing are familiar with the process
19    and that the subjects of those allegations are treated
20    fairly.
21        (9) receive and investigate complaints or information
22    from an employee of the Authority concerning the possible
23    existence of an activity constituting a violation of law,
24    rules or regulations, mismanagement, abuse of authority,
25    or substantial and specific danger to the public health and
26    safety. Any employee of the Authority who knowingly files a

 

 

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1    false complaint or files a complaint with reckless
2    disregard for the truth or falsity of the facts underlying
3    the complaint may be subject to discipline.
4        (10) review, coordinate, and recommend methods and
5    procedures to increase the integrity of the Authority.
6    (g) Within six months of appointment, the initial Toll
7Highway Inspector General shall propose rules, in accordance
8with the provisions of the Illinois Administrative Procedure
9Act, establishing minimum requirements for initiating,
10conducting, and completing investigations. The rules must
11establish criteria for determining, based upon the nature of
12the allegation, the appropriate method of investigation, which
13may include, but is not limited to, site visits, telephone
14contacts, personal interviews, or requests for written
15responses. The rules must establish the process, contents, and
16timing for final reports and recommendations by the Toll
17Highway Inspector General and for a response and any remedial,
18disciplinary, or both action by an individual or individuals
19receiving the final reports and recommendations. The rules must
20also clarify how the Office of the Toll Highway Inspector
21General shall interact with other local, state, and federal law
22enforcement authorities and investigations. Such rules shall
23provide that investigations and inquiries by the Office of the
24Toll Highway Inspector General must be conducted in compliance
25with the provisions of any collective bargaining agreement that
26applies to the affected employees of the Authority and that any

 

 

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1recommendation for discipline or other action against any
2employee by the Office of the Toll Highway Inspector General
3must comply with the provisions of any applicable collective
4bargaining agreement.
5    (h) The Office of the Toll Highway Inspector General shall
6be an independent office of the Authority. Within its annual
7budget, the Authority shall provide a clearly delineated budget
8for the Office of the Toll Highway Inspector General. The
9budget of the Office of the Toll Highway Inspector General
10shall be adequate to support an independent and effective
11office. Except with the consent of the Toll Highway Inspector
12General, the Authority shall not reduce the budget of the
13Office of the Toll Highway Inspector General by more than 10
14percent (i) within any fiscal year or (ii) over the five-year
15term of each Toll Highway Inspector General. To the extent
16allowed by law and the Authority's policies, the Toll Highway
17Inspector General shall have sole responsibility for
18organizing the Office of the Toll Highway Inspector General
19within the budget established by the Toll Highway Board,
20including the recruitment, supervision, and discipline of the
21employees of that office. The Toll Highway Inspector General
22shall report directly to the Board of Directors of the
23Authority with respect to the prompt and efficient operation of
24the Office of the Tollway Highway Inspector General.
25    (i)(1) No Toll Highway Inspector General or employee of the
26Office of the Toll Highway Inspector General may, during his or

 

 

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1her term of appointment or employment:
2        (A) become a candidate for any elective office;
3        (B) hold any other elected or appointed public office
4    except for appointments on governmental advisory boards or
5    study commissions or as otherwise expressly authorized by
6    law;
7        (C) be actively involved in the affairs of any
8    political party or political organization; or
9        (D) advocate for the appointment of another person to
10    an appointed public office or elected office or position or
11    actively participate in any campaign for any elective
12    office. As used in this paragraph (1), "appointed public
13    office" means a position authorized by law that is filled
14    by an appointing authority as provided by law and does not
15    include employment by hiring in the ordinary course of
16    business.
17    (2) No Toll Inspector General or employee of the Office of
18the Toll Highway Inspector General may, for one year after the
19termination of his or her appointment or employment:
20        (A) become a candidate for any elective office;
21        (B) hold any elected public office; or
22        (C) hold any appointed State, county, or local judicial
23    office.
24    (3) The requirements of subparagraph (C) of paragraph (2)
25of this subsection may be waived by the Executive Ethics
26Commission.

 

 

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1    (j) All Board members, officers and employees of the
2Authority have a duty to cooperate with the Toll Highway
3Inspector General and employees of the Office of the Toll
4Highway Inspector General in any investigation undertaken
5pursuant to this Section. Failure to cooperate includes, but is
6not limited to, intentional omissions and knowing false
7statements. Failure to cooperate with an investigation
8pursuant to this Section is grounds for disciplinary action,
9including termination of employment. Nothing in this Section
10limits or alters a person's existing rights or protections
11under State or federal law.
12    (k)(1) The identity of any individual providing
13information or reporting any possible or alleged misconduct to
14the Toll Highway Inspector General shall be kept confidential
15and may not be disclosed without the consent of that
16individual, unless the individual consents to disclosure of his
17or her name or disclosure of the individual's identity is
18otherwise required by law. The confidentiality granted by this
19subsection does not preclude the disclosure of the identity of
20a person in any capacity other than as the source of an
21allegation.
22    (2) Subject to the provisions of subsection (e) of this
23Section, the Toll Highway Inspector General, and employees and
24agents of the Office of the Toll Highway Inspector General,
25shall keep confidential and shall not disclose information
26exempted from disclosure under the Freedom of Information Act

 

 

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

 

 

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1Authority, and the General Assembly.
2    (n) Any employee of the Authority subject to investigation
3or inquiry by the Toll Highway Inspector General or any agent
4or representative of the Toll Highway Inspector General
5concerning misconduct that is criminal in nature shall have the
6right to be notified of the right to remain silent during the
7investigation or inquiry and the right to be represented in the
8investigation or inquiry by an attorney or a representative of
9a labor organization that is the exclusive collective
10bargaining representative of employees of the Authority. Any
11investigation or inquiry by the Toll Highway Inspector General
12or any agent or representative of the Toll Highway Inspector
13General must be conducted in accordance with the rights of the
14employees as set forth in State and federal law and applicable
15judicial decisions. Any recommendations for discipline or any
16action taken against any employee by the Toll Highway Inspector
17General or any representative or agent of the Toll Highway
18Inspector General must comply with the provisions of the
19collective bargaining agreement that applies to the employee.
20    (o) Nothing in this Section shall diminish the rights,
21privileges, or remedies of a State employee under any other
22federal or State law, rule, or regulation or under any
23collective bargaining agreement.
24(Source: P.A. 96-1347, eff. 1-1-11.)
 
25    Section 99. Effective date. This Act takes effect upon

 

 

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1becoming law.".