97TH GENERAL ASSEMBLY
State of Illinois
2011 and 2012
HB3212

 

Introduced 2/24/2011, by Rep. Jim Sacia

 

SYNOPSIS AS INTRODUCED:
 
5 ILCS 430/30-5
15 ILCS 305/14
20 ILCS 505/35.5
20 ILCS 1305/1-17
105 ILCS 5/1B-22
105 ILCS 5/34-13.1
305 ILCS 5/12-13.1
605 ILCS 10/8.5

    Amends the State Officials and Employees Ethics Act, Secretary of State Act, Children and Family Services Act, Department of Human Services Act, School Code, Illinois Public Aid Code, and Toll Highway Act. Establishes and, in some cases, changes minimum qualifications for Inspectors General of the Auditor General, Secretary of State, Department of Children and Family Services, Department of Human Services, local boards of education, the Chicago Public Schools, the Department of Healthcare and Family Services, and the Toll Highway Authority. Effective immediately.


LRB097 08497 JDS 48624 b

 

 

A BILL FOR

 

HB3212LRB097 08497 JDS 48624 b

1    AN ACT concerning inspectors general.
 
2    Be it enacted by the People of the State of Illinois,
3represented in the General Assembly:
 
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
17in the public interest, safety, and welfare that the Auditor
18General adopt emergency rules under the Illinois
19Administrative Procedure Act to initially perform his or her
20duties under this subsection.
21    (c) The Inspector General appointed by the Auditor General
22under subsection (a) of this Section shall have the following
23qualifications:

 

 

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1        (1) has not been convicted of any felony under the laws
2    of this State, another State, or the United States;
3        (2) has earned a baccalaureate degree from an
4    institution of higher education;
5        (3) has not been employed by the Auditor General other
6    than as an Inspector General during the 5 years immediately
7    preceding his or her appointment; and
8        (4) has (A) 5 or more years of service with a federal,
9    State, or local law enforcement agency, at least 2 years of
10    which have been in a progressive investigatory capacity;
11    (B) 5 or more years of service as a federal, State, or
12    local prosecutor; or (C) 5 or more years of service as a
13    senior manager or executive of a federal, State, or local
14    agency.
15    The Auditor General may appoint an existing inspector
16general as the Inspector General required by this Article,
17provided that such an inspector general is not prohibited by
18law, rule, jurisdiction, qualification, or interest from
19serving as the Inspector General required by this Article.
20    The Auditor General may not appoint a relative as the
21Inspector General required by this Article.
22(Source: P.A. 93-617, eff. 12-9-03.)
 
23    Section 10. The Secretary of State Act is amended by
24changing Section 14 as follows:
 

 

 

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1    (15 ILCS 305/14)
2    Sec. 14. Inspector General.
3    (a) The Secretary of State must, with the advice and
4consent of the Senate, appoint an Inspector General for the
5purpose of detection, deterrence, and prevention of fraud,
6corruption, mismanagement, gross or aggravated misconduct, or
7misconduct that may be criminal in nature in the Office of the
8Secretary of State. The Inspector General shall serve a 5-year
9term. If no successor is appointed and qualified upon the
10expiration of the Inspector General's term, the Office of
11Inspector General is deemed vacant and the powers and duties
12under this Section may be exercised only by an appointed and
13qualified interim Inspector General until a successor
14Inspector General is appointed and qualified. If the General
15Assembly is not in session when a vacancy in the Office of
16Inspector General occurs, the Secretary of State may appoint an
17interim Inspector General whose term shall expire 2 weeks after
18the next regularly scheduled session day of the Senate.
19    (b) The Inspector General appointed under subsection (a) of
20this Section shall have the following qualifications:
21        (1) has not been convicted of any felony under the laws
22    of this State, another State, or the United States;
23        (2) has earned a baccalaureate degree from an
24    institution of higher education; and
25        (2.5) has not been employed by the Secretary of State
26    other than as an Inspector General during the 5 years

 

 

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1    immediately preceding his or her appointment; and
2        (3) has either (A) 5 or more years of service with a
3    federal, State, or local law enforcement agency, at least 2
4    years of which have been in a progressive investigatory
5    capacity; (B) 5 or more years of service as a federal,
6    State, or local prosecutor; or (C) 5 or more years of
7    service as a senior manager or executive of a federal,
8    State, or local agency.
9    (c) The Inspector General may review, coordinate, and
10recommend methods and procedures to increase the integrity of
11the Office of the Secretary of State. The duties of the
12Inspector General shall supplement and not supplant the duties
13of the Chief Auditor for the Secretary of State's Office or any
14other Inspector General that may be authorized by law. The
15Inspector General must report directly to the Secretary of
16State.
17    (d) In addition to the authority otherwise provided by this
18Section, but only when investigating the Office of the
19Secretary of State, its employees, or their actions for fraud,
20corruption, mismanagement, gross or aggravated misconduct, or
21misconduct that may be criminal in nature, the Inspector
22General is authorized:
23        (1) To have access to all records, reports, audits,
24    reviews, documents, papers, recommendations, or other
25    materials available that relate to programs and operations
26    with respect to which the Inspector General has

 

 

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1    responsibilities under this Section.
2        (2) To make any investigations and reports relating to
3    the administration of the programs and operations of the
4    Office of the Secretary of State that are, in the judgment
5    of the Inspector General, necessary or desirable.
6        (3) To request any information or assistance that may
7    be necessary for carrying out the duties and
8    responsibilities provided by this Section from any local,
9    State, or federal governmental agency or unit thereof.
10        (4) To require by subpoena the appearance of witnesses
11    and the production of all information, documents, reports,
12    answers, records, accounts, papers, and other data and
13    documentary evidence necessary in the performance of the
14    functions assigned by this Section, with the exception of
15    subsection (c) and with the exception of records of a labor
16    organization authorized and recognized under the Illinois
17    Public Labor Relations Act to be the exclusive bargaining
18    representative of employees of the Secretary of State,
19    including, but not limited to, records of representation of
20    employees and the negotiation of collective bargaining
21    agreements. A subpoena may be issued under this paragraph
22    (4) only by the Inspector General and not by members of the
23    Inspector General's staff. A person duly subpoenaed for
24    testimony, documents, or other items who neglects or
25    refuses to testify or produce documents or other items
26    under the requirements of the subpoena shall be subject to

 

 

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1    punishment as may be determined by a court of competent
2    jurisdiction, unless (i) the testimony, documents, or
3    other items are covered by the attorney-client privilege or
4    any other privilege or right recognized by law or (ii) the
5    testimony, documents, or other items concern the
6    representation of employees and the negotiation of
7    collective bargaining agreements by a labor organization
8    authorized and recognized under the Illinois Public Labor
9    Relations Act to be the exclusive bargaining
10    representative of employees of the Secretary of State.
11    Nothing in this Section limits a person's right to
12    protection against self-incrimination under the Fifth
13    Amendment of the United States Constitution or Article I,
14    Section 10, of the Constitution of the State of Illinois.
15        (5) To have direct and prompt access to the Secretary
16    of State for any purpose pertaining to the performance of
17    functions and responsibilities under this Section.
18    (d-5) In addition to the authority otherwise provided by
19this Section, the Secretary of State Inspector General shall
20have jurisdiction to investigate complaints and allegations of
21wrongdoing by any person or entity related to the Lobbyist
22Registration Act. When investigating those complaints and
23allegations, the Inspector General is authorized:
24        (1) To have access to all records, reports, audits,
25    reviews, documents, papers, recommendations, or other
26    materials available that relate to programs and operations

 

 

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1    with respect to which the Inspector General has
2    responsibilities under this Section.
3        (2) To request any information or assistance that may
4    be necessary for carrying out the duties and
5    responsibilities provided by this Section from any local,
6    State, or federal governmental agency or unit thereof.
7        (3) To require by subpoena the appearance of witnesses
8    and the production of all information, documents, reports,
9    answers, records, accounts, papers, and other data and
10    documentary evidence necessary in the performance of the
11    functions assigned by this Section. A subpoena may be
12    issued under this paragraph (3) only by the Inspector
13    General and not by members of the Inspector General's
14    staff. A person duly subpoenaed for testimony, documents,
15    or other items who neglects or refuses to testify or
16    produce documents or other items under the requirements of
17    the subpoena shall be subject to punishment as may be
18    determined by a court of competent jurisdiction, unless the
19    testimony, documents, or other items are covered by the
20    attorney-client privilege or any other privilege or right
21    recognized by law. Nothing in this Section limits a
22    person's right to protection against self-incrimination
23    under the Fifth Amendment of the United States Constitution
24    or Section 10 of Article I of the Constitution of the State
25    of Illinois.
26        (4) To have direct and prompt access to the Secretary

 

 

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1    of State for any purpose pertaining to the performance of
2    functions and responsibilities under this Section.
3    (e) The Inspector General may receive and investigate
4complaints or information concerning the possible existence of
5an activity constituting a violation of law, rules, or
6regulations; mismanagement; abuse of authority; or substantial
7and specific danger to the public health and safety. Any person
8who knowingly files a false complaint or files a complaint with
9reckless disregard for the truth or the falsity of the facts
10underlying the complaint may be subject to discipline as set
11forth in the rules of the Department of Personnel of the
12Secretary of State or the Inspector General may refer the
13matter to a State's Attorney or the Attorney General.
14    The Inspector General may not, after receipt of a complaint
15or information, disclose the identity of the source without the
16consent of the source, unless the Inspector General determines
17that disclosure of the identity is reasonable and necessary for
18the furtherance of the investigation.
19    Any employee who has the authority to recommend or approve
20any personnel action or to direct others to recommend or
21approve any personnel action may not, with respect to that
22authority, take or threaten to take any action against any
23employee as a reprisal for making a complaint or disclosing
24information to the Inspector General, unless the complaint was
25made or the information disclosed with the knowledge that it
26was false or with willful disregard for its truth or falsity.

 

 

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1    (f) The Inspector General must adopt rules, in accordance
2with the provisions of the Illinois Administrative Procedure
3Act, establishing minimum requirements for initiating,
4conducting, and completing investigations. The rules must
5establish criteria for determining, based upon the nature of
6the allegation, the appropriate method of investigation, which
7may include, but is not limited to, site visits, telephone
8contacts, personal interviews, or requests for written
9responses. The rules must also clarify how the Office of the
10Inspector General shall interact with other local, State, and
11federal law enforcement investigations.
12    Any employee of the Secretary of State subject to
13investigation or inquiry by the Inspector General or any agent
14or representative of the Inspector General concerning
15misconduct that is criminal in nature shall have the right to
16be notified of the right to remain silent during the
17investigation or inquiry and the right to be represented in the
18investigation or inquiry by an attorney or a representative of
19a labor organization that is the exclusive collective
20bargaining representative of employees of the Secretary of
21State. Any investigation or inquiry by the Inspector General or
22any agent or representative of the Inspector General must be
23conducted with an awareness of the provisions of a collective
24bargaining agreement that applies to the employees of the
25Secretary of State and with an awareness of the rights of the
26employees as set forth in State and federal law and applicable

 

 

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1judicial decisions. Any recommendations for discipline or any
2action taken against any employee by the Inspector General or
3any representative or agent of the Inspector General must
4comply with the provisions of the collective bargaining
5agreement that applies to the employee.
6    (g) On or before January 1 of each year, the Inspector
7General shall report to the President of the Senate, the
8Minority Leader of the Senate, the Speaker of the House of
9Representatives, and the Minority Leader of the House of
10Representatives on the types of investigations and the
11activities undertaken by the Office of the Inspector General
12during the previous calendar year.
13(Source: P.A. 96-555, eff. 1-1-10; 96-1358, eff. 7-28-10.)
 
14    Section 15. The Children and Family Services Act is amended
15by changing Section 35.5 as follows:
 
16    (20 ILCS 505/35.5)
17    Sec. 35.5. Inspector General.
18    (a) The Governor shall appoint, and the Senate shall
19confirm, an Inspector General who shall have the authority to
20conduct investigations into allegations of or incidents of
21possible misconduct, misfeasance, malfeasance, or violations
22of rules, procedures, or laws by any employee, foster parent,
23service provider, or contractor of the Department of Children
24and Family Services, except for allegations of violations of

 

 

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1the State Officials and Employees Ethics Act which shall be
2referred to the Office of the Governor's Executive Inspector
3General for investigation. The Inspector General shall make
4recommendations to the Director of Children and Family Services
5concerning sanctions or disciplinary actions against
6Department employees or providers of service under contract to
7the Department. The Director of Children and Family Services
8shall provide the Inspector General with an implementation
9report on the status of any corrective actions taken on
10recommendations under review and shall continue sending
11updated reports until the corrective action is completed. The
12Director shall provide a written response to the Inspector
13General indicating the status of any sanctions or disciplinary
14actions against employees or providers of service involving any
15investigation subject to review. In any case, information
16included in the reports to the Inspector General and Department
17responses shall be subject to the public disclosure
18requirements of the Abused and Neglected Child Reporting Act.
19Any investigation conducted by the Inspector General shall be
20independent and separate from the investigation mandated by the
21Abused and Neglected Child Reporting Act. The Inspector General
22shall be appointed for a term of 4 years. The Inspector General
23shall function independently within the Department of Children
24and Family Services with respect to the operations of the
25Office of Inspector General, including the performance of
26investigations and issuance of findings and recommendations,

 

 

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1and shall report to the Director of Children and Family
2Services and the Governor and perform other duties the Director
3may designate. The Inspector General shall adopt rules as
4necessary to carry out the functions, purposes, and duties of
5the office of Inspector General in the Department of Children
6and Family Services, in accordance with the Illinois
7Administrative Procedure Act and any other applicable law.
8    (a-5) The Inspector General appointed by the Governor under
9subsection (a) of this Section shall have the following
10qualifications:
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 been employed by the Department of Children
16    and Family Services other than as an Inspector General
17    during the 5 years immediately preceding his or her
18    appointment; and
19        (4) has (A) 5 or more years of service with a federal,
20    State, or local law enforcement agency, at least 2 years of
21    which have been in a progressive investigatory capacity;
22    (B) 5 or more years of service as a federal, State, or
23    local prosecutor; or (C) 5 or more years of service as a
24    senior manager or executive of a federal, State, or local
25    agency.
26    (b) The Inspector General shall have access to all

 

 

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1information and personnel necessary to perform the duties of
2the office. To minimize duplication of efforts, and to assure
3consistency and conformance with the requirements and
4procedures established in the B.H. v. Suter consent decree and
5to share resources when appropriate, the Inspector General
6shall coordinate his or her activities with the Bureau of
7Quality Assurance within the Department.
8    (c) The Inspector General shall be the primary liaison
9between the Department and the Department of State Police with
10regard to investigations conducted under the Inspector
11General's auspices. If the Inspector General determines that a
12possible criminal act has been committed, or that special
13expertise is required in the investigation, he or she shall
14immediately notify the Department of State Police. All
15investigations conducted by the Inspector General shall be
16conducted in a manner designed to ensure the preservation of
17evidence for possible use in a criminal prosecution.
18    (d) The Inspector General may recommend to the Department
19of Children and Family Services, the Department of Public
20Health, or any other appropriate agency, sanctions to be
21imposed against service providers under the jurisdiction of or
22under contract with the Department for the protection of
23children in the custody or under the guardianship of the
24Department who received services from those providers. The
25Inspector General may seek the assistance of the Attorney
26General or any of the several State's Attorneys in imposing

 

 

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1sanctions.
2    (e) The Inspector General shall at all times be granted
3access to any foster home, facility, or program operated for or
4licensed or funded by the Department.
5    (f) Nothing in this Section shall limit investigations by
6the Department of Children and Family Services that may
7otherwise be required by law or that may be necessary in that
8Department's capacity as the central administrative authority
9for child welfare.
10    (g) The Inspector General shall have the power to subpoena
11witnesses and compel the production of books and papers
12pertinent to an investigation authorized by this Act. The power
13to subpoena or to compel the production of books and papers,
14however, shall not extend to the person or documents of a labor
15organization or its representatives insofar as the person or
16documents of a labor organization relate to the function of
17representing an employee subject to investigation under this
18Act. Any person who fails to appear in response to a subpoena
19or to answer any question or produce any books or papers
20pertinent to an investigation under this Act, except as
21otherwise provided in this Section, or who knowingly gives
22false testimony in relation to an investigation under this Act
23is guilty of a Class A misdemeanor.
24    (h) The Inspector General shall provide to the General
25Assembly and the Governor, no later than January 1 of each
26year, a summary of reports and investigations made under this

 

 

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1Section for the prior fiscal year. The summaries shall detail
2the imposition of sanctions and the final disposition of those
3recommendations. The summaries shall not contain any
4confidential or identifying information concerning the
5subjects of the reports and investigations. The summaries also
6shall include detailed recommended administrative actions and
7matters for consideration by the General Assembly.
8(Source: P.A. 95-527, eff. 6-1-08; 96-555, eff. 8-18-09.)
 
9    Section 20. The Department of Human Services Act is amended
10by changing Section 1-17 as follows:
 
11    (20 ILCS 1305/1-17)
12    Sec. 1-17. Inspector General.
13    (a) Nature and purpose. It is the express intent of the
14General Assembly to ensure the health, safety, and financial
15condition of individuals receiving services in this State due
16to mental illness, developmental disability, or both by
17protecting those persons from acts of abuse, neglect, or both
18by service providers. To that end, the Office of the Inspector
19General for the Department of Human Services is created to
20investigate and report upon allegations of the abuse, neglect,
21or financial exploitation of individuals receiving services
22within mental health facilities, developmental disabilities
23facilities, and community agencies operated, licensed, funded
24or certified by the Department of Human Services, but not

 

 

HB3212- 16 -LRB097 08497 JDS 48624 b

1licensed or certified by any other State agency. It is also the
2express intent of the General Assembly to authorize the
3Inspector General to investigate alleged or suspected cases of
4abuse, neglect, or financial exploitation of adults with
5disabilities living in domestic settings in the community under
6the Abuse of Adults with Disabilities Intervention Act.
7    (b) Definitions. The following definitions apply to this
8Section:
9    "Adult student with a disability" means an adult student,
10age 18 through 21, inclusive, with an Individual Education
11Program, other than a resident of a facility licensed by the
12Department of Children and Family Services in accordance with
13the Child Care Act of 1969. For purposes of this definition,
14"through age 21, inclusive", means through the day before the
15student's 22nd birthday.
16    "Agency" or "community agency" means (i) a community agency
17licensed, funded, or certified by the Department, but not
18licensed or certified by any other human services agency of the
19State, to provide mental health service or developmental
20disabilities service, or (ii) a program licensed, funded, or
21certified by the Department, but not licensed or certified by
22any other human services agency of the State, to provide mental
23health service or developmental disabilities service.
24    "Aggravating circumstance" means a factor that is
25attendant to a finding and that tends to compound or increase
26the culpability of the accused.

 

 

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1    "Allegation" means an assertion, complaint, suspicion, or
2incident involving any of the following conduct by an employee,
3facility, or agency against an individual or individuals:
4mental abuse, physical abuse, sexual abuse, neglect, or
5financial exploitation.
6    "Day" means working day, unless otherwise specified.
7    "Deflection" means a situation in which an individual is
8presented for admission to a facility or agency, and the
9facility staff or agency staff do not admit the individual.
10"Deflection" includes triage, redirection, and denial of
11admission.
12    "Department" means the Department of Human Services.
13    "Developmentally disabled" means having a developmental
14disability.
15    "Developmental disability" means "developmental
16disability" as defined in the Mental Health and Developmental
17Disabilities Code.
18    "Egregious neglect" means a finding of neglect as
19determined by the Inspector General that (i) represents a gross
20failure to adequately provide for, or a callused indifference
21to, the health, safety, or medical needs of an individual and
22(ii) results in an individual's death or other serious
23deterioration of an individual's physical condition or mental
24condition.
25    "Employee" means any person who provides services at the
26facility or agency on-site or off-site. The service

 

 

HB3212- 18 -LRB097 08497 JDS 48624 b

1relationship can be with the individual or with the facility or
2agency. Also, "employee" includes any employee or contractual
3agent of the Department of Human Services or the community
4agency involved in providing or monitoring or administering
5mental health or developmental disability services. This
6includes but is not limited to: owners, operators, payroll
7personnel, contractors, subcontractors, and volunteers.
8    "Facility" or "State-operated facility" means a mental
9health facility or developmental disabilities facility
10operated by the Department.
11    "Financial exploitation" means taking unjust advantage of
12an individual's assets, property, or financial resources
13through deception, intimidation, or conversion for the
14employee's, facility's, or agency's own advantage or benefit.
15    "Finding" means the Office of Inspector General's
16determination regarding whether an allegation is
17substantiated, unsubstantiated, or unfounded.
18    "Health care worker registry" or "registry" means the
19health care worker registry created by the Nursing Home Care
20Act.
21    "Individual" means any person receiving mental health
22service, developmental disabilities service, or both from a
23facility or agency, while either on-site or off-site.
24    "Mental abuse" means the use of demeaning, intimidating, or
25threatening words, signs, gestures, or other actions by an
26employee about an individual and in the presence of an

 

 

HB3212- 19 -LRB097 08497 JDS 48624 b

1individual or individuals that results in emotional distress or
2maladaptive behavior, or could have resulted in emotional
3distress or maladaptive behavior, for any individual present.
4    "Mental illness" means "mental illness" as defined in the
5Mental Health and Developmental Disabilities Code.
6    "Mentally ill" means having a mental illness.
7    "Mitigating circumstance" means a condition that (i) is
8attendant to a finding, (ii) does not excuse or justify the
9conduct in question, but (iii) may be considered in evaluating
10the severity of the conduct, the culpability of the accused, or
11both the severity of the conduct and the culpability of the
12accused.
13    "Neglect" means an employee's, agency's, or facility's
14failure to provide adequate medical care, personal care, or
15maintenance and that, as a consequence, (i) causes an
16individual pain, injury, or emotional distress, (ii) results in
17either an individual's maladaptive behavior or the
18deterioration of an individual's physical condition or mental
19condition, or (iii) places the individual's health or safety at
20substantial risk.
21    "Physical abuse" means an employee's non-accidental and
22inappropriate contact with an individual that causes bodily
23harm. "Physical abuse" includes actions that cause bodily harm
24as a result of an employee directing an individual or person to
25physically abuse another individual.
26    "Recommendation" means an admonition, separate from a

 

 

HB3212- 20 -LRB097 08497 JDS 48624 b

1finding, that requires action by the facility, agency, or
2Department to correct a systemic issue, problem, or deficiency
3identified during an investigation.
4    "Required reporter" means any employee who suspects,
5witnesses, or is informed of an allegation of any one or more
6of the following: mental abuse, physical abuse, sexual abuse,
7neglect, or financial exploitation.
8    "Secretary" means the Chief Administrative Officer of the
9Department.
10    "Sexual abuse" means any sexual contact or intimate
11physical contact between an employee and an individual,
12including an employee's coercion or encouragement of an
13individual to engage in sexual behavior that results in sexual
14contact, intimate physical contact, sexual behavior, or
15intimate physical behavior.
16    "Substantiated" means there is a preponderance of the
17evidence to support the allegation.
18    "Unfounded" means there is no credible evidence to support
19the allegation.
20    "Unsubstantiated" means there is credible evidence, but
21less than a preponderance of evidence to support the
22allegation.
23    (c) Appointment. The Governor shall appoint, and the Senate
24shall confirm, an Inspector General. The Inspector General
25shall be appointed for a term of 4 years and shall function
26within the Department of Human Services and report to the

 

 

HB3212- 21 -LRB097 08497 JDS 48624 b

1Secretary and the Governor.
2    (c-5) The Inspector General appointed by the Governor under
3subsection (c) of this Section shall have the following
4qualifications:
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;
9        (3) has not been employed by the Department of Human
10    Services other than as an Inspector General during the 5
11    years immediately preceding his or her appointment; and
12        (4) has (A) 5 or more years of service with a federal,
13    State, or local law enforcement agency, at least 2 years of
14    which have been in a progressive investigatory capacity;
15    (B) 5 or more years of service as a federal, State, or
16    local prosecutor; or (C) 5 or more years of service as a
17    senior manager or executive of a federal, State, or local
18    agency.
19    (d) Operation and appropriation. The Inspector General
20shall function independently within the Department with
21respect to the operations of the Office, including the
22performance of investigations and issuance of findings and
23recommendations. The appropriation for the Office of Inspector
24General shall be separate from the overall appropriation for
25the Department.
26    (e) Powers and duties. The Inspector General shall

 

 

HB3212- 22 -LRB097 08497 JDS 48624 b

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

 

 

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1investigation conducted by another State agency. The Inspector
2General shall have no supervision over, or involvement in, the
3routine programmatic, licensing, funding, or certification
4operations of the Department. Nothing in this subsection limits
5investigations by the Department that may otherwise be required
6by law or that may be necessary in the Department's capacity as
7central administrative authority responsible for the operation
8of the State's mental health and developmental disabilities
9facilities.
10    (g) Rulemaking authority. The Inspector General shall
11promulgate rules establishing minimum requirements for
12reporting allegations as well as for initiating, conducting,
13and completing investigations based upon the nature of the
14allegation or allegations. The rules shall clearly establish
15that if 2 or more State agencies could investigate an
16allegation, the Inspector General shall not conduct an
17investigation that would be redundant to, or interfere with, an
18investigation conducted by another State agency. The rules
19shall further clarify the method and circumstances under which
20the Office of Inspector General may interact with the
21licensing, funding, or certification units of the Department in
22preventing further occurrences of mental abuse, physical
23abuse, sexual abuse, neglect, egregious neglect, and financial
24exploitation.
25    (h) Training programs. The Inspector General shall (i)
26establish a comprehensive program to ensure that every person

 

 

HB3212- 24 -LRB097 08497 JDS 48624 b

1authorized to conduct investigations receives ongoing training
2relative to investigation techniques, communication skills,
3and the appropriate means of interacting with persons receiving
4treatment for mental illness, developmental disability, or
5both mental illness and developmental disability, and (ii)
6establish and conduct periodic training programs for facility
7and agency employees concerning the prevention and reporting of
8any one or more of the following: mental abuse, physical abuse,
9sexual abuse, neglect, egregious neglect, or financial
10exploitation. Nothing in this Section shall be deemed to
11prevent the Office of Inspector General from conducting any
12other training as determined by the Inspector General to be
13necessary or helpful.
14    (i) Duty to cooperate.
15        (1) The Inspector General shall at all times be granted
16    access to any facility or agency for the purpose of
17    investigating any allegation, conducting unannounced site
18    visits, monitoring compliance with a written response, or
19    completing any other statutorily assigned duty. The
20    Inspector General shall conduct unannounced site visits to
21    each facility at least annually for the purpose of
22    reviewing and making recommendations on systemic issues
23    relative to preventing, reporting, investigating, and
24    responding to all of the following: mental abuse, physical
25    abuse, sexual abuse, neglect, egregious neglect, or
26    financial exploitation.

 

 

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

 

 

HB3212- 26 -LRB097 08497 JDS 48624 b

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

 

 

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

 

 

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1    regarding an adult student with a disability, the
2    Department's Office of the Inspector General shall
3    determine whether the allegation meets the criteria for the
4    Domestic Abuse Program under the Abuse of Adults with
5    Disabilities Intervention Act. If the allegation is
6    reportable to that program, the Office of the Inspector
7    General shall initiate an investigation. If the allegation
8    is not reportable to the Domestic Abuse Program, the Office
9    of the Inspector General shall make an expeditious referral
10    to the respective law enforcement entity. If the alleged
11    victim is already receiving services from the Department,
12    the Office of the Inspector General shall also make a
13    referral to the respective Department of Human Services'
14    Division or Bureau.
15    (m) Investigative reports. Upon completion of an
16investigation, the Office of Inspector General shall issue an
17investigative report identifying whether the allegations are
18substantiated, unsubstantiated, or unfounded. Within 10
19business days after the transmittal of a completed
20investigative report substantiating an allegation, or if a
21recommendation is made, the Inspector General shall provide the
22investigative report on the case to the Secretary and to the
23director of the facility or agency where any one or more of the
24following occurred: mental abuse, physical abuse, sexual
25abuse, neglect, egregious neglect, or financial exploitation.
26In a substantiated case, the investigative report shall include

 

 

HB3212- 29 -LRB097 08497 JDS 48624 b

1any mitigating or aggravating circumstances that were
2identified during the investigation. If the case involves
3substantiated neglect, the investigative report shall also
4state whether egregious neglect was found. An investigative
5report may also set forth recommendations. All investigative
6reports prepared by the Office of the Inspector General shall
7be considered confidential and shall not be released except as
8provided by the law of this State or as required under
9applicable federal law. Unsubstantiated and unfounded reports
10shall not be disclosed except as allowed under Section 6 of the
11Abused and Neglected Long Term Care Facility Residents
12Reporting Act. Raw data used to compile the investigative
13report shall not be subject to release unless required by law
14or a court order. "Raw data used to compile the investigative
15report" includes, but is not limited to, any one or more of the
16following: the initial complaint, witness statements,
17photographs, investigator's notes, police reports, or incident
18reports. If the allegations are substantiated, the accused
19shall be provided with a redacted copy of the investigative
20report. Death reports where there was no allegation of abuse or
21neglect shall only be released pursuant to applicable State or
22federal law or a valid court order.
23    (n) Written responses and reconsideration requests.
24        (1) Written responses. Within 30 calendar days from
25    receipt of a substantiated investigative report or an
26    investigative report which contains recommendations,

 

 

HB3212- 30 -LRB097 08497 JDS 48624 b

1    absent a reconsideration request, the facility or agency
2    shall file a written response that addresses, in a concise
3    and reasoned manner, the actions taken to: (i) protect the
4    individual; (ii) prevent recurrences; and (iii) eliminate
5    the problems identified. The response shall include the
6    implementation and completion dates of such actions. If the
7    written response is not filed within the allotted 30
8    calendar day period, the Secretary shall determine the
9    appropriate corrective action to be taken.
10        (2) Reconsideration requests. The facility, agency,
11    victim or guardian, or the subject employee may request
12    that the Office of Inspector General reconsider or clarify
13    its finding based upon additional information.
14    (o) Disclosure of the finding by the Inspector General. The
15Inspector General shall disclose the finding of an
16investigation to the following persons: (i) the Governor, (ii)
17the Secretary, (iii) the director of the facility or agency,
18(iv) the alleged victims and their guardians, (v) the
19complainant, and (vi) the accused. This information shall
20include whether the allegations were deemed substantiated,
21unsubstantiated, or unfounded.
22    (p) Secretary review. Upon review of the Inspector
23General's investigative report and any agency's or facility's
24written response, the Secretary shall accept or reject the
25written response and notify the Inspector General of that
26determination. The Secretary may further direct that other

 

 

HB3212- 31 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 32 -LRB097 08497 JDS 48624 b

1or some combination of one or more of those acts at a facility
2or agency, and may include any one or more of the following:
3        (1) Appointment of on-site monitors.
4        (2) Transfer or relocation of an individual or
5    individuals.
6        (3) Closure of units.
7        (4) Termination of any one or more of the following:
8    (i) Department licensing, (ii) funding, or (iii)
9    certification.
10    The Inspector General may seek the assistance of the
11Illinois Attorney General or the office of any State's Attorney
12in implementing sanctions.
13    (s) Health care worker registry.
14        (1) Reporting to the registry. The Inspector General
15    shall report to the Department of Public Health's health
16    care worker registry, a public registry, the identity and
17    finding of each employee of a facility or agency against
18    whom there is a final investigative report containing a
19    substantiated allegation of physical or sexual abuse or
20    egregious neglect of an individual.
21        (2) Notice to employee. Prior to reporting the name of
22    an employee, the employee shall be notified of the
23    Department's obligation to report and shall be granted an
24    opportunity to request an administrative hearing, the sole
25    purpose of which is to determine if the substantiated
26    finding warrants reporting to the registry. Notice to the

 

 

HB3212- 33 -LRB097 08497 JDS 48624 b

1    employee shall contain a clear and concise statement of the
2    grounds on which the report to the registry is based, offer
3    the employee an opportunity for a hearing, and identify the
4    process for requesting such a hearing. Notice is sufficient
5    if provided by certified mail to the employee's last known
6    address. If the employee fails to request a hearing within
7    30 days from the date of the notice, the Inspector General
8    shall report the name of the employee to the registry.
9    Nothing in this subdivision (s)(2) shall diminish or impair
10    the rights of a person who is a member of a collective
11    bargaining unit under the Illinois Public Labor Relations
12    Act or under any other federal labor statute.
13        (3) Registry hearings. If the employee requests an
14    administrative hearing, the employee shall be granted an
15    opportunity to appear before an administrative law judge to
16    present reasons why the employee's name should not be
17    reported to the registry. The Department shall bear the
18    burden of presenting evidence that establishes, by a
19    preponderance of the evidence, that the substantiated
20    finding warrants reporting to the registry. After
21    considering all the evidence presented, the administrative
22    law judge shall make a recommendation to the Secretary as
23    to whether the substantiated finding warrants reporting
24    the name of the employee to the registry. The Secretary
25    shall render the final decision. The Department and the
26    employee shall have the right to request that the

 

 

HB3212- 34 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 35 -LRB097 08497 JDS 48624 b

1    through an action filed with the Illinois Civil Service
2    Commission or under any applicable collective bargaining
3    agreement and if that employee's name has already been sent
4    to the registry, the employee's name shall be removed from
5    the registry.
6        (6) Removal from registry. At any time after the report
7    to the registry, but no more than once in any 12-month
8    period, an employee may petition the Department in writing
9    to remove his or her name from the registry. Upon receiving
10    notice of such request, the Inspector General shall conduct
11    an investigation into the petition. Upon receipt of such
12    request, an administrative hearing will be set by the
13    Department. At the hearing, the employee shall bear the
14    burden of presenting evidence that establishes, by a
15    preponderance of the evidence, that removal of the name
16    from the registry is in the public interest. The parties
17    may jointly request that the administrative law judge
18    consider a stipulated disposition of these proceedings.
19    (t) Review of Administrative Decisions. The Department
20shall preserve a record of all proceedings at any formal
21hearing conducted by the Department involving health care
22worker registry hearings. Final administrative decisions of
23the Department are subject to judicial review pursuant to
24provisions of the Administrative Review Law.
25    (u) Quality Care Board. There is created, within the Office
26of the Inspector General, a Quality Care Board to be composed

 

 

HB3212- 36 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 37 -LRB097 08497 JDS 48624 b

1abuse. In fulfilling these responsibilities, the Board may do
2the following:
3        (1) Provide independent, expert consultation to the
4    Inspector General on policies and protocols for
5    investigations of alleged abuse, neglect, or both abuse and
6    neglect.
7        (2) Review existing regulations relating to the
8    operation of facilities.
9        (3) Advise the Inspector General as to the content of
10    training activities authorized under this Section.
11        (4) Recommend policies concerning methods for
12    improving the intergovernmental relationships between the
13    Office of the Inspector General and other State or federal
14    offices.
15    (v) Annual report. The Inspector General shall provide to
16the General Assembly and the Governor, no later than January 1
17of each year, a summary of reports and investigations made
18under this Act for the prior fiscal year with respect to
19individuals receiving mental health or developmental
20disabilities services. The report shall detail the imposition
21of sanctions, if any, and the final disposition of any
22corrective or administrative action directed by the Secretary.
23The summaries shall not contain any confidential or identifying
24information of any individual, but shall include objective data
25identifying any trends in the number of reported allegations,
26the timeliness of the Office of the Inspector General's

 

 

HB3212- 38 -LRB097 08497 JDS 48624 b

1investigations, and their disposition, for each facility and
2Department-wide, for the most recent 3-year time period. The
3report shall also identify, by facility, the staff-to-patient
4ratios taking account of direct care staff only. The report
5shall also include detailed recommended administrative actions
6and matters for consideration by the General Assembly.
7    (w) Program audit. The Auditor General shall conduct a
8program audit of the Office of the Inspector General on an
9as-needed basis, as determined by the Auditor General. The
10audit shall specifically include the Inspector General's
11compliance with the Act and effectiveness in investigating
12reports of allegations occurring in any facility or agency. The
13Auditor General shall conduct the program audit according to
14the provisions of the Illinois State Auditing Act and shall
15report its findings to the General Assembly no later than
16January 1 following the audit period.
17    (x) Nothing in this Section shall be construed to mean that
18a patient is a victim of abuse or neglect because of health
19care services appropriately provided or not provided by health
20care professionals.
21    (y) Nothing in this Section shall require a facility,
22including its employees, agents, medical staff members, and
23health care professionals, to provide a service to a patient in
24contravention of that patient's stated or implied objection to
25the provision of that service on the ground that that service
26conflicts with the patient's religious beliefs or practices,

 

 

HB3212- 39 -LRB097 08497 JDS 48624 b

1nor shall the failure to provide a service to a patient be
2considered abuse under this Section if the patient has objected
3to the provision of that service based on his or her religious
4beliefs or practices.
5(Source: P.A. 95-545, eff. 8-28-07; 96-339, eff. 7-1-10;
696-407, eff. 8-13-09; 96-555, eff. 8-18-09; 96-1000, eff.
77-2-10; 96-1446, eff. 8-20-10.)
 
8    Section 25. The School Code is amended by changing Sections
91B-22 and 34-13.1 as follows:
 
10    (105 ILCS 5/1B-22)
11    Sec. 1B-22. Additional Powers of the Panel. For Panels
12established under Section 1B-4 for a district which had its
13financial plan rescinded by the State Board for violating that
14plan as provided in Section 1A-8, the Panel shall have the
15following additional powers:
16    (a) As necessary to carry out its purposes when district
17resources are not readily available or appropriate for use by
18the Panel, the Panel may make and execute contracts, leases,
19subleases and all other instruments or agreements necessary or
20convenient for the exercise of the powers and functions granted
21by this Article.
22    (b) As necessary to carry out its purposes when district
23resources are not readily available or appropriate for use by
24the Panel, the Panel may purchase personal property necessary

 

 

HB3212- 40 -LRB097 08497 JDS 48624 b

1or convenient for its purposes; mortgage, pledge or otherwise
2grant security interests in such properties; and convey to the
3district such of its property as, in the judgment of the Panel,
4is no longer necessary for its purposes.
5    (c) As necessary to carry out its purposes when district
6resources are not readily available or appropriate for use by
7the Panel, the Panel may appoint officers, agents, and
8employees of the Panel, define their duties and qualifications,
9and fix their compensation and employee benefits.
10    (d) In order to investigate allegations of or incidents of
11waste, fraud, or financial mismanagement which the Board is
12unable or unwilling to properly investigate as requested by the
13Panel, the Panel may appoint an Inspector General who shall
14have the authority to conduct investigations into such
15allegations or incidents. The Inspector General shall make
16recommendations to the Panel about its investigations. The
17Inspector General shall be independent of the operations of the
18Panel and the Board and perform other duties requested by the
19Panel. The Inspector General shall have access to all
20information and personnel necessary to perform the duties of
21the office. If the Inspector General determines that a possible
22criminal act has been committed or that special expertise is
23required in the investigation, he shall immediately notify the
24State's Attorney in the county in which the district is
25located. All investigations conducted by the Inspector General
26shall be conducted in a manner that ensures the preservation of

 

 

HB3212- 41 -LRB097 08497 JDS 48624 b

1evidence for use in criminal prosecutions. At all times the
2Inspector General shall be granted access to any building or
3facility that is owned, operated, or leased by the Panel or the
4Board. The Inspector General shall have the power to subpoena
5witnesses and compel the production of books and papers
6pertinent to an investigation authorized by this Code. Any
7person who (1) fails to appear in response to a subpoena; (2)
8fails to answer any question; (3) fails to produce any books or
9papers pertinent to an investigation under this Code; or (4)
10knowingly gives false testimony during an investigation under
11this Code is guilty of a Class A misdemeanor. The Inspector
12General shall provide to the Panel and the State Board of
13Education a summary of reports and investigations made under
14this Section for the previous fiscal year no later than January
151 of each year. The summaries shall detail the final
16disposition of those recommendations. The summaries shall not
17contain any confidential or identifying information concerning
18the subjects of the reports and investigations. The summaries
19shall also include detailed recommended administrative actions
20and matters for consideration by the State Board of Education
21or the General Assembly.
22    (d-5) The Inspector General appointed by the Panel under
23subsection (d) shall have the following qualifications:
24        (1) has not been convicted of any felony under the laws
25    of this State, another State, or the United States;
26        (2) has earned a baccalaureate degree from an

 

 

HB3212- 42 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 43 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 44 -LRB097 08497 JDS 48624 b

1material change in the estimates in the staffing plan. The
2Board may submit to the Panel, or the Panel may require the
3Board to submit, modifications to the staffing plan based upon
4revised revenue or expenditure estimates or for any other good
5reason. The Panel shall approve or reject each modified
6staffing plan within 60 days of its submission in a manner
7similar to the provisions of this subsection for the approval
8or rejection of the initial staffing plan.
9    (f) The Panel shall examine the business records and audit
10the accounts of the Board or require that the Board examine its
11business records and audit its accounts at such time and in
12such manner as the Panel may prescribe. The Board shall appoint
13a certified public accountant annually, approved by the Panel,
14to audit its financial statements. The audit conducted pursuant
15to this paragraph shall be in lieu of the audit that the Board
16is required to undertake pursuant to Section 3-7.
17    (g) The Panel shall initiate and direct financial
18management assessments and similar analyses of the operations
19of the Board as may, in the judgment of the Panel, assure sound
20and efficient financial management of the Board. Upon the
21completion of these assessments, the Panel shall give
22directives to the Board regarding improvements and changes that
23derive from these assessments, which the Board shall implement.
24In conjunction with its budgetary submission to the Panel for
25each fiscal year, the Board shall demonstrate to the
26satisfaction of the Panel that the directives of the Panel have

 

 

HB3212- 45 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 46 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 47 -LRB097 08497 JDS 48624 b

1district unless the Board has followed the requirements of this
2paragraph and the final agreement has been approved by the
3Panel.
4    (k) The budget of the Panel or any revisions to the budget,
5including any costs to the Panel associated with the
6appointment of an Inspector General, shall be approved by the
7State Superintendent upon request of the Panel and after
8opportunity for response by the Board.
9(Source: P.A. 89-572, eff. 7-30-96.)
 
10    (105 ILCS 5/34-13.1)
11    Sec. 34-13.1. Inspector General.
12    (a) The Inspector General and his office in existence on
13the effective date of this amendatory Act of 1995 shall be
14transferred to the jurisdiction of the board upon appointment
15of the Chicago School Reform Board of Trustees. The Inspector
16General shall have the authority to conduct investigations into
17allegations of or incidents of waste, fraud, and financial
18mismanagement in public education within the jurisdiction of
19the board by a local school council member or an employee,
20contractor, or member of the board or involving school projects
21managed or handled by the Public Building Commission. The
22Inspector General shall make recommendations to the board about
23the investigations. The Inspector General in office on the
24effective date of this amendatory Act of 1996 shall serve for a
25term expiring on June 30, 1998. His or her successors in office

 

 

HB3212- 48 -LRB097 08497 JDS 48624 b

1shall each be appointed by the Mayor, without the consent or
2approval of the City Council, for 4 year terms expiring on June
330th of an even numbered year. If the Inspector General leaves
4office or if a vacancy in that office otherwise occurs, the
5Mayor shall appoint, without the consent or approval of the
6City Council, a successor to serve under this Section for the
7remainder of the unexpired term. The Inspector General shall be
8independent of the operations of the board and the School
9Finance Authority, and shall perform other duties requested by
10the board.
11    (a-5) The Inspector General appointed by the Mayor under
12subsection (a) shall have the following qualifications:
13        (1) has not been convicted of any felony under the laws
14    of this State, another State, or the United States;
15        (2) has earned a baccalaureate degree from an
16    institution of higher education;
17        (3) has not been employed by the Chicago Public Schools
18    other than as an Inspector General during the 5 years
19    immediately preceding his or her appointment; and
20        (4) has (A) 5 or more years of service with a federal,
21    State, or local law enforcement agency, at least 2 years of
22    which have been in a progressive investigatory capacity;
23    (B) 5 or more years of service as a federal, State, or
24    local prosecutor; or (C) 5 or more years of service as a
25    senior manager or executive of a federal, State, or local
26    agency.

 

 

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1    (b) The Inspector General shall have access to all
2information and personnel necessary to perform the duties of
3the office. If the Inspector General determines that a possible
4criminal act has been committed or that special expertise is
5required in the investigation, he or she shall immediately
6notify the Chicago Police Department and the Cook County
7State's Attorney. All investigations conducted by the
8Inspector General shall be conducted in a manner that ensures
9the preservation of evidence for use in criminal prosecutions.
10    (c) At all times the Inspector General shall be granted
11access to any building or facility that is owned, operated, or
12leased by the board, the Public Building Commission, or the
13city in trust and for the use and benefit of the schools of the
14district.
15    (d) The Inspector General shall have the power to subpoena
16witnesses and compel the production of books and papers
17pertinent to an investigation authorized by this Code. Any
18person who (1) fails to appear in response to a subpoena; (2)
19fails to answer any question; (3) fails to produce any books or
20papers pertinent to an investigation under this Code; or (4)
21knowingly gives false testimony during an investigation under
22this Code, is guilty of a Class A misdemeanor.
23    (e) The Inspector General shall provide to the board and
24the Illinois General Assembly a summary of reports and
25investigations made under this Section for the previous fiscal
26year no later than January 1 of each year, except that the

 

 

HB3212- 50 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 51 -LRB097 08497 JDS 48624 b

1        (1) has not been convicted of any felony under the laws
2    of this State, another State, or the United States;
3        (2) has earned a baccalaureate degree from an
4    institution of higher education;
5        (3) has not been employed by the Department of
6    Healthcare and Family Services other than as an Inspector
7    General during the 5 years immediately preceding his or her
8    appointment; and
9        (4) has (A) 5 or more years of service with a federal,
10    State, or local law enforcement agency, at least 2 years of
11    which have been in a progressive investigatory capacity;
12    (B) 5 or more years of service as a federal, State, or
13    local prosecutor; or (C) 5 or more years of service as a
14    senior manager or executive of a federal, State, or local
15    agency.
16    (b) In order to prevent, detect, and eliminate fraud,
17waste, abuse, mismanagement, and misconduct, the Inspector
18General shall oversee the Department of Healthcare and Family
19Services' integrity functions, which include, but are not
20limited to, the following:
21        (1) Investigation of misconduct by employees, vendors,
22    contractors and medical providers, except for allegations
23    of violations of the State Officials and Employees Ethics
24    Act which shall be referred to the Office of the Governor's
25    Executive Inspector General for investigation.
26        (2) Audits of medical providers related to ensuring

 

 

HB3212- 52 -LRB097 08497 JDS 48624 b

1    that appropriate payments are made for services rendered
2    and to the recovery of overpayments.
3        (3) Monitoring of quality assurance programs generally
4    related to the medical assistance program and specifically
5    related to any managed care program.
6        (4) Quality control measurements of the programs
7    administered by the Department of Healthcare and Family
8    Services.
9        (5) Investigations of fraud or intentional program
10    violations committed by clients of the Department of
11    Healthcare and Family Services.
12        (6) Actions initiated against contractors or medical
13    providers for any of the following reasons:
14            (A) Violations of the medical assistance program.
15            (B) Sanctions against providers brought in
16        conjunction with the Department of Public Health or the
17        Department of Human Services (as successor to the
18        Department of Mental Health and Developmental
19        Disabilities).
20            (C) Recoveries of assessments against hospitals
21        and long-term care facilities.
22            (D) Sanctions mandated by the United States
23        Department of Health and Human Services against
24        medical providers.
25            (E) Violations of contracts related to any managed
26        care programs.

 

 

HB3212- 53 -LRB097 08497 JDS 48624 b

1        (7) Representation of the Department of Healthcare and
2    Family Services at hearings with the Illinois Department of
3    Professional Regulation in actions taken against
4    professional licenses held by persons who are in violation
5    of orders for child support payments.
6    (b-5) At the request of the Secretary of Human Services,
7the Inspector General shall, in relation to any function
8performed by the Department of Human Services as successor to
9the Department of Public Aid, exercise one or more of the
10powers provided under this Section as if those powers related
11to the Department of Human Services; in such matters, the
12Inspector General shall report his or her findings to the
13Secretary of Human Services.
14    (c) The Inspector General shall have access to all
15information, personnel and facilities of the Department of
16Healthcare and Family Services and the Department of Human
17Services (as successor to the Department of Public Aid), their
18employees, vendors, contractors and medical providers and any
19federal, State or local governmental agency that are necessary
20to perform the duties of the Office as directly related to
21public assistance programs administered by those departments.
22No medical provider shall be compelled, however, to provide
23individual medical records of patients who are not clients of
24the Medical Assistance Program. State and local governmental
25agencies are authorized and directed to provide the requested
26information, assistance or cooperation.

 

 

HB3212- 54 -LRB097 08497 JDS 48624 b

1    (d) The Inspector General shall serve as the Department of
2Healthcare and Family Services' primary liaison with law
3enforcement, investigatory and prosecutorial agencies,
4including but not limited to the following:
5        (1) The Department of State Police.
6        (2) The Federal Bureau of Investigation and other
7    federal law enforcement agencies.
8        (3) The various Inspectors General of federal agencies
9    overseeing the programs administered by the Department of
10    Healthcare and Family Services.
11        (4) The various Inspectors General of any other State
12    agencies with responsibilities for portions of programs
13    primarily administered by the Department of Healthcare and
14    Family Services.
15        (5) The Offices of the several United States Attorneys
16    in Illinois.
17        (6) The several State's Attorneys.
18    The Inspector General shall meet on a regular basis with
19these entities to share information regarding possible
20misconduct by any persons or entities involved with the public
21aid programs administered by the Department of Healthcare and
22Family Services.
23    (e) All investigations conducted by the Inspector General
24shall be conducted in a manner that ensures the preservation of
25evidence for use in criminal prosecutions. If the Inspector
26General determines that a possible criminal act relating to

 

 

HB3212- 55 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 56 -LRB097 08497 JDS 48624 b

1for licensing or regulating those persons or entities.
2    (h) The Inspector General shall make annual reports,
3findings, and recommendations regarding the Office's
4investigations into reports of fraud, waste, abuse,
5mismanagement, or misconduct relating to any public aid
6programs administered by the Department of Healthcare and
7Family Services or the Department of Human Services (as
8successor to the Department of Public Aid) to the General
9Assembly and the Governor. These reports shall include, but not
10be limited to, the following information:
11        (1) Aggregate provider billing and payment
12    information, including the number of providers at various
13    Medicaid earning levels.
14        (2) The number of audits of the medical assistance
15    program and the dollar savings resulting from those audits.
16        (3) The number of prescriptions rejected annually
17    under the Department of Healthcare and Family Services'
18    Refill Too Soon program and the dollar savings resulting
19    from that program.
20        (4) Provider sanctions, in the aggregate, including
21    terminations and suspensions.
22        (5) A detailed summary of the investigations
23    undertaken in the previous fiscal year. These summaries
24    shall comply with all laws and rules regarding maintaining
25    confidentiality in the public aid programs.
26    (i) Nothing in this Section shall limit investigations by

 

 

HB3212- 57 -LRB097 08497 JDS 48624 b

1the Department of Healthcare and Family Services or the
2Department of Human Services that may otherwise be required by
3law or that may be necessary in their capacity as the central
4administrative authorities responsible for administration of
5public aid programs in this State.
6    (j) The Inspector General may issue shields or other
7distinctive identification to his or her employees not
8exercising the powers of a peace officer if the Inspector
9General determines that a shield or distinctive identification
10is needed by an employee to carry out his or her
11responsibilities.
12(Source: P.A. 95-331, eff. 8-21-07; 96-555, eff. 8-18-09;
1396-1316, eff. 1-1-11.)
 
14    Section 35. The Toll Highway Act is amended by changing
15Section 8.5 as follows:
 
16    (605 ILCS 10/8.5)
17    Sec. 8.5. Toll Highway Inspector General.
18    (a) The Governor shall, with the advice and consent of the
19Senate by three-fifths of the elected members concurring by
20record vote, appoint a Toll Highway Inspector General for the
21purpose of detection, deterrence, and prevention of fraud,
22corruption, and mismanagement in the Authority. The Toll
23Highway Inspector General shall serve a 5-year term. If, during
24a recess of the Senate, there is a vacancy in the office of the

 

 

HB3212- 58 -LRB097 08497 JDS 48624 b

1Toll Highway Inspector General, the Governor shall make a
2temporary appointment until the next meeting of the Senate when
3the Governor shall make a nomination to fill that office. No
4person rejected for the office of the Toll Highway Inspector
5General shall, except by the Senate's request, be nominated
6again for that office at the same session of the Senate or be
7appointed to that office during a recess of that Senate. The
8Governor may not appoint a relative, as defined by item (6) of
9Section 10-15 of the State Officials and Employees Ethics Act,
10as the Toll Highway Inspector General. The Toll Highway
11Inspector General may be removed only for cause and may be
12removed only by the Governor.
13    (b) The Toll Highway Inspector General shall have the
14following qualifications:
15        (1) has not been convicted of any felony under the laws
16    of this State, another state, or the United States;
17        (2) has earned a baccalaureate degree from an
18    institution of higher education; and
19        (2.5) has not been employed by the Authority other than
20    as an Inspector General during the 5 years immediately
21    preceding his or her appointment; and
22        (3) has 5 or more years of cumulative service (i) with
23    a federal, state, or local law enforcement agency, at least
24    2 years of which have been in a progressive investigatory
25    capacity; (ii) as a federal, state, or local prosecutor;
26    (iii) as a federal or state judge with a criminal docket;

 

 

HB3212- 59 -LRB097 08497 JDS 48624 b

1    (iv) as a senior manager or executive of a federal, state,
2    or local agency; or (v) representing any combination of (i)
3    through (iv).
4    (c) The term of the initial Toll Highway Inspector General
5shall commence upon qualification and shall run through June
630, 2015. The initial appointments shall be made within 60 days
7after the effective date of this amendatory Act of the 96th
8General Assembly. After the initial term, each Toll Highway
9Inspector General shall serve for 5-year terms commencing on
10July 1 of the year of appointment and running through June 30
11of the fifth following year. A Toll Highway Inspector General
12may be reappointed to one or more subsequent terms. A vacancy
13occurring other than at the end of a term shall be filled by
14the Governor only for the balance of the term of the Toll
15Highway Inspector General whose office is vacant. Terms shall
16run regardless of whether the position is filled.
17    (d) The Toll Highway Inspector General shall have
18jurisdiction over the Authority and all board members,
19officers, and employees of, and vendors, subcontractors, and
20others doing business with the Authority. The jurisdiction of
21the Toll Highway Inspector General is to investigate
22allegations of fraud, waste, abuse, mismanagement, misconduct,
23nonfeasance, misfeasance, or malfeasance. Investigations may
24be based on complaints from any source, including anonymous
25sources, and may be self-initiated, without a complaint. An
26investigation may not be initiated more than five years after

 

 

HB3212- 60 -LRB097 08497 JDS 48624 b

1the most recent act of the alleged violation or of a series of
2alleged violations except where there is reasonable cause to
3believe that fraudulent concealment has occurred. To
4constitute fraudulent concealment sufficient to toll this
5limitations period, there must be an affirmative act or
6representation calculated to prevent discovery of the fact that
7a violation has occurred. The authority to investigate alleged
8violations of the State Officials and Employees Ethics Act by
9officers, employees, vendors, subcontractors, and others doing
10business with the Authority shall remain with the Office of the
11Governor's Executive Inspector General. The Toll Highway
12Inspector General shall refer allegations of misconduct under
13the State Officials and Employees Ethics Act to the Office of
14the Governor's Executive Inspector General for investigation.
15Upon completion of its investigation into such allegations, the
16Office of the Governor's Executive Inspector General shall
17report the results to the Toll Highway Inspector General, and
18the results of the investigation shall remain subject to any
19applicable confidentiality provisions in the State Officials
20and Employees Ethics Act. Where an investigation into a target
21or targets is split between allegations of misconduct under the
22State Officials and Employees Ethics Act, investigated by the
23Office of the Governor's Executive Inspector General, and
24allegations that are not of misconduct under the State
25Officials and Employees Ethics Act, investigated by the Toll
26Highway Inspector General, the Toll Highway Inspector General

 

 

HB3212- 61 -LRB097 08497 JDS 48624 b

1shall take reasonable steps, including continued consultation
2with the Office of the Governor's Executive Inspector General,
3to ensure that its investigation will not interfere with or
4disrupt any investigation by the Office of the Governor's
5Executive Inspector General or law enforcement authorities. In
6instances in which the Toll Highway Inspector General continues
7to investigate other allegations associated with allegations
8that have been referred to the Office of the Governor's
9Executive Inspector General pursuant to this subsection, the
10Toll Highway Inspector General shall report the results of its
11investigation to the Office of the Governor's Executive
12Inspector General.
13    (e)(1) If the Toll Highway Inspector General, upon the
14conclusion of an investigation, determines that reasonable
15cause exists to believe that fraud, waste, abuse,
16mismanagement, misconduct, nonfeasance, misfeasance, or
17malfeasance has occurred, then the Toll Highway Inspector
18General shall issue a summary report of the investigation. The
19report shall be delivered to the appropriate authority pursuant
20to paragraph (3) of subsection (f) of this Section, which shall
21have 20 days to respond to the report.
22        (2) The summary report of the investigation shall
23    include the following:
24            (A) a description of any allegations or other
25        information received by the Toll Highway Inspector
26        General pertinent to the investigation.

 

 

HB3212- 62 -LRB097 08497 JDS 48624 b

1            (B) a description of any alleged misconduct
2        discovered in the course of the investigation.
3            (C) recommendations for any corrective or
4        disciplinary action to be taken in response to any
5        alleged misconduct described in the report, including
6        but not limited to discharge.
7            (D) other information the Toll Highway Inspector
8        General deems relevant to the investigation or
9        resulting recommendations.
10        (3) Within 60 days after issuance of a final summary
11    report that resulted in a suspension of at least 3 days or
12    termination of employment, the Toll Highway Inspector
13    General shall make the report available to the public by
14    presenting the report to the Board of the Authority and by
15    posting to the Authority's public website. The Toll Highway
16    Inspector General shall redact information in the summary
17    report that may reveal the identity of witnesses,
18    complainants, or informants or if the Toll Highway
19    Inspector General determines it is appropriate to protect
20    the identity of a person before the report is made public.
21    The Toll Highway Inspector General may also redact any
22    information that he or she believes should not be made
23    public, taking into consideration the factors set forth in
24    this subsection and paragraph (1) of subsection (k) of this
25    Section and other factors deemed relevant by the Toll
26    Highway Inspector General to protect the Authority and any

 

 

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1    investigations by the Toll Highway Inspector General,
2    other inspector general offices or law enforcement
3    agencies. Prior to publication, the Toll Highway Inspector
4    General shall permit the respondents and the appropriate
5    authority pursuant to paragraph (3) of subsection (f) of
6    this Section to review the report and the documents to be
7    made public and offer suggestions for redaction or provide
8    a response that shall be made public with the summary
9    report, provided, however, that the Toll Highway Inspector
10    General shall have the sole and final authority to decide
11    what redactions should be made. The Toll Highway Inspector
12    General may make available to the public any other summary
13    report and any such responses or a redacted version of the
14    report and responses.
15        (4) When the Toll Highway Inspector General concludes
16    that there is insufficient evidence that a violation has
17    occurred, the Toll Highway Inspector General shall close
18    the investigation. The Toll Highway Inspector General
19    shall provide the appropriate authority pursuant to
20    paragraph (3) of subsection (f) of this Section with a
21    written statement of the Toll Highway Inspector General's
22    decision to close the investigation. At the request of the
23    subject of the investigation, the Toll Highway Inspector
24    General shall provide a written statement to the subject of
25    the investigation of the Toll Highway Inspector General's
26    decision to close the investigation. Closure by the Toll

 

 

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1    Highway Inspector General does not bar the Toll Highway
2    Inspector General from resuming the investigation if
3    circumstances warrant.
4    (f) The Toll Highway Inspector General shall:
5        (1) have access to all information and personnel
6    necessary to perform the duties of the office.
7        (2) have the power to subpoena witnesses and compel the
8    production of books and papers pertinent to an
9    investigation authorized by this Section. A subpoena may be
10    issued under this subparagraph (2) only by the Toll Highway
11    Inspector General and not by members of the Toll Highway
12    Inspector General's staff. Any person subpoenaed by the
13    Toll Highway Inspector General has the same rights, under
14    Illinois law, as a person subpoenaed by a grand jury. The
15    power to subpoena or to compel the production of books and
16    papers, however, shall not extend to the person or
17    documents of a labor organization or its representatives
18    insofar as the person or documents of a labor organization
19    relate to the function of representing an employee subject
20    to investigation under this Section. Subject to a person's
21    privilege against self-incrimination, any person who fails
22    to appear in response to a subpoena, answer any question,
23    or produce any books or papers pertinent to an
24    investigation under this Section, except as otherwise
25    provided in this Section, or who knowingly gives false
26    testimony in relation to an investigation under this

 

 

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1    Section is guilty of a Class A misdemeanor.
2        (3) submit reports as required by this Section and
3    applicable administrative rules. Final reports and
4    recommendations shall be submitted to the Authority's
5    Executive Director and the Board of Directors for
6    investigations not involving the Board. Final reports and
7    recommendations shall be submitted to the Chair of the
8    Board and to the Governor for investigations of any Board
9    member other than the Chair of the Board. Final reports and
10    recommendations for investigations of the Chair of the
11    Board shall be submitted to the Governor.
12        (4) assist and coordinate with the ethics officer for
13    the Authority.
14        (5) participate in or conduct, when appropriate,
15    multi-jurisdictional investigations provided the
16    investigation involves the Authority in some way,
17    including, but not limited to, joint investigations with
18    the Office of the Governor's Executive Inspector General,
19    or with State, local, or federal law enforcement
20    authorities.
21        (6) serve as the Authority's primary liaison with law
22    enforcement, investigatory, and prosecutorial agencies
23    and, in that capacity, the Toll Highway Inspector General
24    may request any information or assistance that may be
25    necessary for carrying out the duties and responsibilities
26    provided by this Section from any local, state, or federal

 

 

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1    governmental agency or unit thereof.
2        (7) review hiring and employment files of the Authority
3    to ensure compliance with Rutan v. Republican Party of
4    Illinois, 497 U.S. 62 (1990), and with all applicable
5    employment laws.
6        (8) establish a policy that ensures the appropriate
7    handling and correct recording of all investigations
8    conducted by the Office, and ensures that the policy is
9    accessible via the Internet in order that those seeking to
10    report suspected wrongdoing are familiar with the process
11    and that the subjects of those allegations are treated
12    fairly.
13        (9) receive and investigate complaints or information
14    from an employee of the Authority concerning the possible
15    existence of an activity constituting a violation of law,
16    rules or regulations, mismanagement, abuse of authority,
17    or substantial and specific danger to the public health and
18    safety. Any employee of the Authority who knowingly files a
19    false complaint or files a complaint with reckless
20    disregard for the truth or falsity of the facts underlying
21    the complaint may be subject to discipline.
22        (10) review, coordinate, and recommend methods and
23    procedures to increase the integrity of the Authority.
24    (g) Within six months of appointment, the initial Toll
25Highway Inspector General shall propose rules, in accordance
26with the provisions of the Illinois Administrative Procedure

 

 

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1Act, establishing minimum requirements for initiating,
2conducting, and completing investigations. The rules must
3establish criteria for determining, based upon the nature of
4the allegation, the appropriate method of investigation, which
5may include, but is not limited to, site visits, telephone
6contacts, personal interviews, or requests for written
7responses. The rules must establish the process, contents, and
8timing for final reports and recommendations by the Toll
9Highway Inspector General and for a response and any remedial,
10disciplinary, or both action by an individual or individuals
11receiving the final reports and recommendations. The rules must
12also clarify how the Office of the Toll Highway Inspector
13General shall interact with other local, state, and federal law
14enforcement authorities and investigations. Such rules shall
15provide that investigations and inquiries by the Office of the
16Toll Highway Inspector General must be conducted in compliance
17with the provisions of any collective bargaining agreement that
18applies to the affected employees of the Authority and that any
19recommendation for discipline or other action against any
20employee by the Office of the Toll Highway Inspector General
21must comply with the provisions of any applicable collective
22bargaining agreement.
23    (h) The Office of the Toll Highway Inspector General shall
24be an independent office of the Authority. Within its annual
25budget, the Authority shall provide a clearly delineated budget
26for the Office of the Toll Highway Inspector General. The

 

 

HB3212- 68 -LRB097 08497 JDS 48624 b

1budget of the Office of the Toll Highway Inspector General
2shall be adequate to support an independent and effective
3office. Except with the consent of the Toll Highway Inspector
4General, the Authority shall not reduce the budget of the
5Office of the Toll Highway Inspector General by more than 10
6percent (i) within any fiscal year or (ii) over the five-year
7term of each Toll Highway Inspector General. To the extent
8allowed by law and the Authority's policies, the Toll Highway
9Inspector General shall have sole responsibility for
10organizing the Office of the Toll Highway Inspector General
11within the budget established by the Toll Highway Board,
12including the recruitment, supervision, and discipline of the
13employees of that office. The Toll Highway Inspector General
14shall report directly to the Board of Directors of the
15Authority with respect to the prompt and efficient operation of
16the Office of the Tollway Highway Inspector General.
17    (i)(1) No Toll Highway Inspector General or employee of the
18Office of the Toll Highway Inspector General may, during his or
19her term of appointment or employment:
20        (A) become a candidate for any elective office;
21        (B) hold any other elected or appointed public office
22    except for appointments on governmental advisory boards or
23    study commissions or as otherwise expressly authorized by
24    law;
25        (C) be actively involved in the affairs of any
26    political party or political organization; or

 

 

HB3212- 69 -LRB097 08497 JDS 48624 b

1        (D) advocate for the appointment of another person to
2    an appointed public office or elected office or position or
3    actively participate in any campaign for any elective
4    office. As used in this paragraph (1), "appointed public
5    office" means a position authorized by law that is filled
6    by an appointing authority as provided by law and does not
7    include employment by hiring in the ordinary course of
8    business.
9    (2) No Toll Inspector General or employee of the Office of
10the Toll Highway Inspector General may, for one year after the
11termination of his or her appointment or employment:
12        (A) become a candidate for any elective office;
13        (B) hold any elected public office; or
14        (C) hold any appointed State, county, or local judicial
15    office.
16    (3) The requirements of subparagraph (C) of paragraph (2)
17of this subsection may be waived by the Executive Ethics
18Commission.
19    (j) All Board members, officers and employees of the
20Authority have a duty to cooperate with the Toll Highway
21Inspector General and employees of the Office of the Toll
22Highway Inspector General in any investigation undertaken
23pursuant to this Section. Failure to cooperate includes, but is
24not limited to, intentional omissions and knowing false
25statements. Failure to cooperate with an investigation
26pursuant to this Section is grounds for disciplinary action,

 

 

HB3212- 70 -LRB097 08497 JDS 48624 b

1including termination of employment. Nothing in this Section
2limits or alters a person's existing rights or protections
3under State or federal law.
4    (k)(1) The identity of any individual providing
5information or reporting any possible or alleged misconduct to
6the Toll Highway Inspector General shall be kept confidential
7and may not be disclosed without the consent of that
8individual, unless the individual consents to disclosure of his
9or her name or disclosure of the individual's identity is
10otherwise required by law. The confidentiality granted by this
11subsection does not preclude the disclosure of the identity of
12a person in any capacity other than as the source of an
13allegation.
14    (2) Subject to the provisions of subsection (e) of this
15Section, the Toll Highway Inspector General, and employees and
16agents of the Office of the Toll Highway Inspector General,
17shall keep confidential and shall not disclose information
18exempted from disclosure under the Freedom of Information Act
19or by this Act.
20    (l) If the Toll Highway Inspector General determines that
21any alleged misconduct involves any person not subject to the
22jurisdiction of the Toll Highway Inspector General, the Toll
23Highway Inspector General shall refer the reported allegations
24to the appropriate Inspector General, appropriate ethics
25commission or other appropriate body. If the Toll Highway
26Inspector General determines that any alleged misconduct may

 

 

HB3212- 71 -LRB097 08497 JDS 48624 b

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

 

 

HB3212- 72 -LRB097 08497 JDS 48624 b

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