PRINTER'S NO. 205
No. 198 Session of 2001
INTRODUCED BY RHOADES, BELL, COSTA, BOSCOLA AND O'PAKE,
JANUARY 30, 2001
REFERRED TO STATE GOVERNMENT, JANUARY 30, 2001
AN ACT
1 Providing for the Office of State Inspector General and for the
2 powers and duties of the office.
3 The General Assembly of the Commonwealth of Pennsylvania
4 hereby enacts as follows:
5 Section 1. Short title.
6 This act shall be known and may be cited as the State
7 Inspector General Act.
8 Section 2. Definitions.
9 The following words and phrases when used in this act shall
10 have the meanings given to them in this section unless the
11 context clearly indicates otherwise:
12 "Executive agency." The Governor and the departments,
13 boards, commissions, authorities and other officers and agencies
14 of the Commonwealth. The term does not include any court or
15 other officer or agency of the unified judicial system, the
16 General Assembly and its officers and agencies or any
17 independent agency.
1 "Independent agency." The Department of the Attorney
2 General, the Pennsylvania Fish and Boat Commission, the
3 Pennsylvania Game Commission, the Pennsylvania Historical and
4 Museum Commission, the State Civil Service Commission, the
5 Pennsylvania Turnpike Commission, the Milk Marketing Board, the
6 Pennsylvania Liquor Control Board, the Pennsylvania Human
7 Relations Commission, the Pennsylvania Labor Relations Board,
8 the Pennsylvania Securities Commission, the State Tax
9 Equalization Board, the Pennsylvania Higher Education Assistance
10 Agency, the Pennsylvania Crime Commission, the State Ethics
11 Commission, the Department of the Auditor General, the Board of
12 Claims, the Treasury Department, the Pennsylvania Public Utility
13 Commission, the Pennsylvania Housing Finance Agency, the
14 Independent Regulatory Review Commission and the State System of
15 Higher Education.
16 Section 3. Establishment of Office of State Inspector General.
17 There is hereby established the Office of State Inspector
18 General as an independent executive agency, the purpose of which
19 shall be:
20 (1) To deter, detect, prevent and eradicate fraud,
21 waste, misconduct and abuse in the programs, operations and
22 contracting of all executive agencies.
23 (2) To provide leadership and coordination and recommend
24 policies for activities in the executive agency designed to
25 promote economy, efficiency and effectiveness in all
26 executive agencies.
27 (3) To perform the other functions and duties provided
28 for in this act.
29 Section 4. Appointments.
30 (a) General rule.--The Office of State Inspector General
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1 shall be headed by a State Inspector General appointed by the
2 Governor by and with the advice and consent of a majority of the
3 members elected to the Senate. The State Inspector General shall
4 be appointed without regard to political affiliation and solely
5 on the basis of integrity and demonstrated ability in
6 accounting, auditing, financial analysis, law, management
7 analysis, public administration or investigations. The State
8 Inspector General shall report to the Governor. The State
9 Inspector General and other personnel of the Office of State
10 Inspector General shall not report to, or be subject to
11 supervision by, any officer of an executive agency which they
12 may be monitoring or to which they may be assigned. The State
13 Inspector General shall promptly report to the General Assembly
14 and to the Attorney General any instance where the State
15 Inspector General believes that any public official or public
16 employee has improperly or unlawfully attempted to influence,
17 prevent or prohibit the initiating, carrying out or completing
18 of any audit or investigation or the issuing of any subpoena
19 where such audit or investigation or subpoena is required to be
20 performed or issued pursuant to the statutory duties imposed
21 upon the State Inspector General by this act. The compensation
22 of the State Inspector General shall be set by the Executive
23 Board.
24 (b) Removal.--The State Inspector General shall serve at the
25 pleasure of the Governor. Should the Governor determine to
26 remove the State Inspector General, the Governor shall
27 communicate the reasons for any such removal to the Senate and
28 the House of Representatives.
29 (c) Deputy Inspectors General; employees.--The State
30 Inspector General shall appoint persons as Deputy Inspectors
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1 General in a sufficient number to fully implement the purposes,
2 duties and responsibilities of the Office of State Inspector
3 General as it relates to all executive agencies. Persons so
4 appointed shall substantially meet the same qualifications as
5 those prescribed for the State Inspector General in subsection
6 (a). The State Inspector General shall also appoint such
7 additional clerical, technical and professional staff as may be
8 appropriate and may contract for such additional services as
9 shall be necessary for the performance of his function. The
10 compensation of Deputy Inspectors General and such clerical,
11 technical and professional staff shall be set by the Executive
12 Board.
13 Section 5. Duties and responsibilities.
14 (a) General rule.--It shall be the duty and responsibility
15 of the State Inspector General and of each Deputy Inspector
16 General, with respect to the particular executive agency which
17 he may be monitoring or to which he may be assigned:
18 (1) To provide policy direction for and to conduct,
19 supervise and coordinate audits and investigations relating
20 to the program and operations of the executive agency.
21 (2) To recommend policies for, supervise or coordinate
22 other activities carried out or financed by the executive
23 agency for the purpose of promoting economy and efficiency in
24 the administration of, or preventing and detecting fraud and
25 abuse in, its programs and operations.
26 (3) To recommend policies for, supervise or coordinate
27 relationships between the executive agency and other Federal,
28 State and local governmental agencies and nongovernmental
29 entities with respect to the purposes of this act. Nothing in
30 this act shall provide the State Inspector General with
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1 jurisdiction over the political subdivisions of this
2 Commonwealth, their officials or employees. To the extent the
3 State Inspector General believes that his investigations
4 require him to investigate the political subdivisions of this
5 Commonwealth, their officials, employees or contractors, he
6 shall request the assistance of the Attorney General or such
7 other State or local law enforcement agencies as shall have
8 jurisdiction to assist him in such investigations. The State
9 Inspector General shall report to the Governor and to the
10 General Assembly any instance where he believes that any such
11 request has been improperly refused.
12 (4) To have direct and prompt access to the head of the
13 executive agency and to keep the head of the executive
14 agency, the Governor and the General Assembly fully and
15 currently informed concerning fraud and other serious
16 problems, abuses and deficiencies relating to the
17 administration of programs and operations administered or
18 financed by the executive agency, to recommend corrective
19 action concerning such problems, abuses and deficiencies and
20 to report on the progress made in implementing such
21 corrective action.
22 (b) Coordination.--In carrying out the duties and
23 responsibilities provided for under this act, the Office of
24 State Inspector General shall give particular regard to the
25 activities of the Legislative Budget and Finance Committee of
26 the General Assembly, the Office of Attorney General and the
27 Office of Auditor General with a view toward avoiding
28 duplication and ensuring effective coordination and cooperation.
29 (c) Reports of violations of criminal law.--In carrying out
30 the duties and responsibilities provided for under this act, the
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1 State Inspector General shall report expeditiously to the
2 Governor whenever the State Inspector General has reasonable
3 grounds to believe there has been a violation of State criminal
4 law or that a civil action should be initiated by the
5 Commonwealth. The State Inspector General shall, when he deems
6 it appropriate, refer such matters to the appropriate agencies
7 for criminal prosecution or commencement of a civil action.
8 Section 6. Annual reports.
9 (a) Requirement.--The State Inspector General shall, not
10 later than January 31 of each year, prepare an annual report
11 summarizing the activities of the office during the immediately
12 preceding year. The report shall include, but not be limited to,
13 the following:
14 (1) A description of significant problems, abuses and
15 deficiencies relating to the administration of programs and
16 operations of executive agencies during the reporting period.
17 (2) A description of the recommendations for corrective
18 action made by the Office of State Inspector General during
19 the reporting period with respect to significant problems,
20 abuses or deficiencies identified pursuant to paragraph (1).
21 (3) An identification of each significant recommendation
22 described in previous reports on which corrective action has
23 not been completed.
24 (4) A summary of matters referred to prosecutive
25 authorities and the prosecutions and convictions which have
26 resulted.
27 (5) A listing of each audit report completed by the
28 Office of State Inspector General during the reporting
29 period.
30 (b) Distribution.--Annual reports of the State Inspector
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1 General shall be furnished expeditiously to the head of each
2 executive agency involved, to the appropriate committees of the
3 General Assembly and the Governor.
4 (c) Availability to public.--The annual report of the State
5 Inspector General shall be made available to the public and the
6 media upon request.
7 (d) Reports to head of executive agency.--The State
8 Inspector General shall report immediately to the head of the
9 executive agency involved whenever he becomes aware of
10 particularly serious or flagrant problems, abuses or
11 deficiencies relating to the administration of programs and
12 operations of that executive agency and shall transmit any such
13 report to the appropriate committees of the General Assembly
14 within 30 calendar days, together with a report by the head of
15 the executive agency containing any comments that person deems
16 appropriate.
17 (e) Disclosures.--Nothing in this section shall be construed
18 to authorize the public disclosure of information which is
19 specifically prohibited from disclosure by any other provision
20 of law or is a part of an ongoing criminal investigation.
21 Notwithstanding this provision, any report under this section
22 may be disclosed to the public in the form which includes
23 information with respect to a part of an ongoing criminal
24 investigation if such information has been included in a public
25 record. Nothing in this section or in any other provision of
26 this act shall be construed to authorize or permit the
27 withholding of information from the General Assembly or from any
28 committee of the General Assembly.
29 Section 7. Availability of information and assistance.
30 (a) Power to issue subpoenas.--The Office of State Inspector
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1 General is authorized to require by subpoena, issued under the
2 hand and seal of the Governor, the production of all
3 information, documents, reports, answers, records, accounts,
4 paper and other data and documentary evidence necessary in the
5 performance of the functions assigned by this act, which
6 subpoena, in the case of contumacy or refusal to obey, shall be
7 enforceable by order of the Commonwealth Court.
8 (b) Oaths and affirmations.--To administer to or take from
9 any person an oath, affirmation or affidavit, whenever necessary
10 in the performance of the functions assigned by this act, which
11 oath, affirmation or affidavit, when administered or taken by or
12 before an employee of the Office of State Inspector General
13 designated by the State Inspector General, shall have the same
14 force and effect as if administered or taken by or before an
15 officer having a seal.
16 (c) Information and assistance.--Upon request of the State
17 Inspector General or his duly authorized designee for
18 information or assistance, executive agencies shall immediately
19 furnish the State Inspector General or his authorized designee
20 such information or assistance. Whenever information or
21 assistance requested is, in the judgment of the State Inspector
22 General, unreasonably refused or not provided, the State
23 Inspector General may report the circumstances to the head of
24 the agency and the Governor for appropriate action. No public
25 official or employee covered by a collective bargaining
26 agreement who is under investigation for improper or illegal
27 conduct which could result in disciplinary action relating to
28 employment shall be questioned by the State Inspector General
29 unless informed of his rights to assistance from the exclusive
30 collective bargaining representative in accordance with the law.
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1 Should the public official or employee request such assistance,
2 no questioning shall occur until such assistance has been
3 provided.
4 (d) Officers and equipment.--Each head of an executive
5 agency shall provide any Deputy State Inspector General or other
6 employees of the Office of State Inspector General monitoring or
7 assigned to such agency with appropriate and adequate office
8 space at central and field office locations of the executive
9 agency, together with such equipment, office supplies and
10 communications facilities and services as may be necessary for
11 such persons to carry out their duties and shall provide
12 necessary maintenance services for such offices and the
13 equipment and facilities located therein.
14 Section 8. Complaints by employees; reprisals.
15 (a) Investigation of complaints.--The Office of State
16 Inspector General may receive and investigate complaints or
17 information concerning the possible existence of any activity in
18 an executive agency constituting a violation of law, rules or
19 regulations or mismanagement, fraud, waste of funds, abuse of
20 authority, malfeasance, misfeasance, nonfeasance or a
21 substantial and specific danger to the public health and safety.
22 (b) Reprisals prohibited.--No person shall take or threaten
23 to take any action against any employee as a reprisal for making
24 a complaint or disclosing information to the Office of State
25 Inspector General, unless the complaint was made or the
26 information disclosed with the knowledge that it was false or
27 with willful disregard for its truth or falsity.
28 (c) Protection additional.--The protection set forth in this
29 act for employees who report, in good faith, fraud, waste,
30 misconduct, malfeasance, misfeasance, nonfeasance or abuse is in
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1 addition and supplementary to those protections provided by the
2 act of December 12, 1986 (P.L.1559, No.169), known as the
3 Whistleblower Law.
4 Section 9. Study.
5 The State Inspector General shall conduct a study to
6 determine the feasibility of extending the authority of his
7 office to independent agencies, with the exception of the State
8 Treasury, the Auditor General and the Office of Attorney
9 General, not included within the purview of this act. The study,
10 with the recommendations of the State Inspector General, shall
11 be completed and made available to the Governor and the
12 appropriate standing committees of the General Assembly nine
13 months after the effective date of this act.
14 Section 10. Sunset.
15 Unless the provisions of this section are repealed or
16 amended, the Office of State Inspector General shall be subject
17 to evaluation and review and shall terminate five years from the
18 effective date of this act.
19 Section 11. Effective date.
20 This act shall take effect in 60 days.
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