PRIOR PRINTER'S NOS. 1485, 1906 PRINTER'S NO. 2282
No. 1202 Session of 1989
INTRODUCED BY RHOADES, ROCKS, BELAN, BELL AND SHUMAKER,
SEPTEMBER 25, 1989
SENATOR TILGHMAN, APPROPRIATIONS, RE-REPORTED, AS AMENDED,
JUNE 11, 1990
AN ACT
1 Providing for the Office of State Inspector General in the
2 Office of General Counsel; and providing for the powers and
3 duties of the office.
4 The General Assembly of the Commonwealth of Pennsylvania
5 hereby enacts as follows:
6 Section 1. Short title.
7 This act shall be known and may be cited as the Pennsylvania
8 Inspector General Act of 1990.
9 Section 2. Definitions.
10 The following words and phrases when used in this act shall
11 have the meanings given to them in this section unless the
12 context clearly indicates otherwise:
13 "Executive agency." The Governor and the departments,
14 boards, commissions, authorities and other officers and agencies
15 of the Commonwealth. The term does not include any court or
16 other officer or agency of the unified judicial system, the
17 General Assembly and its officers and agencies, or any
1 independent agency.
2 "Independent agency." The Department of the Attorney
3 General, the Pennsylvania Fish Commission, the Pennsylvania Game
4 Commission, the Historical and Museum Commission, the State
5 Civil Service Commission, the Pennsylvania Turnpike Commission,
6 the Milk Marketing Board, the Pennsylvania Liquor Control Board,
7 the Pennsylvania Human Relations Commission, the Pennsylvania
8 Labor Relations Board, the Pennsylvania Securities Commission,
9 the State Tax Equalization Board, the Pennsylvania Higher
10 Education Assistance Agency, the Pennsylvania Crime Commission,
11 the State Ethics Commission, the Department of the Auditor
12 General, the Board of Claims, the State Treasury, the Public
13 Utility Commission, the Pennsylvania Housing Finance Agency, the
14 Independent Regulatory Review Commission, and the State System
15 of Higher Education.
16 Section 3. Establishment of Office of State Inspector General.
17 There is hereby established within the Office of General
18 Counsel the Office of State Inspector General, the purpose of
19 which 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 and be under the general <--
9 supervision of the General Counsel AND THE GOVERNOR. The State <--
10 Inspector General and other personnel of the Office of State
11 Inspector General shall not report to, or be subject to
12 supervision by, any officer of an executive agency which they
13 may be monitoring or to which they may be assigned. Neither the <--
14 Governor nor any officer of an executive agency shall prevent or
15 prohibit the State Inspector General from initiating, carrying
16 out or completing any audit or investigation, or from issuing
17 any subpoena during the course of any audit or investigation.
18 THE STATE INSPECTOR GENERAL SHALL PROMPTLY REPORT TO THE GENERAL <--
19 ASSEMBLY AND TO THE ATTORNEY GENERAL ANY INSTANCE WHERE THE
20 STATE INSPECTOR GENERAL BELIEVES THAT ANY PUBLIC OFFICIAL OR
21 PUBLIC EMPLOYEE HAS IMPROPERLY OR UNLAWFULLY ATTEMPTED TO
22 INFLUENCE, PREVENT OR PROHIBIT THE INITIATING, CARRYING OUT OR
23 COMPLETING OF ANY AUDIT OR INVESTIGATION OR THE ISSUING OF ANY
24 SUBPOENA WHERE SUCH AUDIT OR INVESTIGATION OR SUBPOENA IS
25 REQUIRED TO BE PERFORMED OR ISSUED PURSUANT TO THE STATUTORY
26 DUTIES IMPOSED UPON THE STATE INSPECTOR GENERAL BY THIS ACT. The
27 compensation of the State Inspector General shall be set by the
28 Executive Board.
29 (b) Removal.--The State Inspector General may be removed <--
30 from office by the Governor for cause. The SHALL SERVE AT THE <--
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1 PLEASURE OF THE GOVERNOR. SHOULD THE GOVERNOR DETERMINE TO
2 REMOVE THE STATE INSPECTOR GENERAL, THE Governor shall
3 communicate the reasons for any such removal to both Houses of
4 the General Assembly.
5 (c) Deputy Inspector Generals; employees.--The State
6 Inspector General, with the approval of the General Counsel,
7 shall appoint persons as Deputy Inspector Generals in a
8 sufficient number to fully implement the purposes, duties and
9 responsibilities of the Office of State Inspector General as it
10 relates to all executive agencies. Persons so appointed shall
11 substantially meet the same qualifications as those prescribed
12 for the State Inspector General in subsection (a). The State
13 Inspector General, with the approval of the General Counsel,
14 shall also appoint such additional clerical, technical and
15 professional staff as may be appropriate, and may contract for
16 such additional services as shall be necessary for the
17 performance of his function. The compensation of Deputy
18 Inspector Generals and such clerical, technical and professional
19 staff shall be set by the Executive Board.
20 Section 5. Duties and responsibilities.
21 (a) General rule.--It shall be the duty and responsibility
22 of the State Inspector General and of each Deputy Inspector
23 General, with respect to the particular executive agency which
24 he may be monitoring or to which he may be assigned:
25 (1) To provide policy direction for and to conduct,
26 supervise and coordinate audits and investigations relating
27 to the program and operations of the executive agency.
28 (2) To recommend policies for, supervise or coordinate
29 other activities carried out or financed by the executive
30 agency for the purpose of promoting economy and efficiency in
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1 the administration of, or preventing and detecting fraud and
2 abuse in, its programs and operations.
3 (3) To recommend policies for, supervise, or coordinate
4 relationships between, the executive agency and other
5 Federal, State and local governmental agencies and
6 nongovernmental entities with respect to the purposes of this
7 act. NOTHING IN THIS ACT SHALL PROVIDE THE STATE INSPECTOR <--
8 GENERAL WITH JURISDICTION OVER THE POLITICAL SUBDIVISIONS OF
9 THIS COMMONWEALTH, THEIR OFFICIALS OR EMPLOYEES. TO THE
10 EXTENT THE STATE INSPECTOR GENERAL BELIEVES THAT HIS
11 INVESTIGATIONS REQUIRE HIM TO INVESTIGATE THE POLITICAL
12 SUBDIVISIONS OF THIS COMMONWEALTH, THEIR OFFICIALS, EMPLOYEES
13 OR CONTRACTORS, HE SHALL REQUEST THE ASSISTANCE OF THE
14 ATTORNEY GENERAL OR SUCH OTHER STATE OR LOCAL LAW ENFORCEMENT
15 AGENCIES AS SHALL HAVE JURISDICTION TO ASSIST HIM IN SUCH
16 INVESTIGATIONS. THE STATE INSPECTOR GENERAL SHALL REPORT TO
17 THE GOVERNOR AND TO THE GENERAL ASSEMBLY ANY INSTANCE WHERE
18 HE BELIEVES THAT ANY SUCH REQUEST HAS BEEN IMPROPERLY
19 REFUSED.
20 (4) To have direct and prompt access to the head of the
21 executive agency and to keep the head of the executive
22 agency, the Governor and the General Assembly fully and
23 currently informed concerning fraud and other serious
24 problems, abuses and deficiencies relating to the
25 administration of programs and operations administered or
26 financed by the executive agency, to recommend corrective
27 action concerning such problems, abuses and deficiencies, and
28 to report on the progress made in implementing such
29 corrective action.
30 (b) Coordination.--In carrying out the duties and
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1 responsibilities provided for under this act, the Office of
2 State Inspector General shall give particular regard to the
3 activities of the Legislative Budget and Finance Committee of
4 the General Assembly, THE OFFICE OF ATTORNEY GENERAL and the <--
5 Office of Auditor General with a view toward avoiding
6 duplication and ensuring effective coordination and cooperation.
7 (c) Reports of violations of criminal law.--In carrying out
8 the duties and responsibilities provided for under this act, the
9 State Inspector General shall report expeditiously to the
10 General Counsel whenever the State Inspector General has
11 reasonable grounds to believe there has been a violation of
12 State criminal law or that a civil action should be initiated by
13 the Commonwealth. The General Counsel shall, when he deems it
14 appropriate, refer such matters to the appropriate agencies for
15 criminal prosecution or commencement of a civil action.
16 Section 6. Annual reports.
17 (a) Requirement.--The State Inspector General shall, not
18 later than January 31 of each year, prepare an annual report
19 summarizing the activities of the office during the immediately
20 preceding year. The report shall include, but not be limited to,
21 the following:
22 (1) A description of significant problems, abuses and
23 deficiencies relating to the administration of programs and
24 operations of executive agencies during the reporting period.
25 (2) A description of the recommendations for corrective
26 action made by the Office of State Inspector General during
27 the reporting period with respect to significant problems,
28 abuses or deficiencies identified pursuant to paragraph (1).
29 (3) An identification of each significant recommendation
30 described in previous reports on which corrective action has
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1 not been completed.
2 (4) A summary of matters referred to prosecutive
3 authorities and the prosecutions and convictions which have
4 resulted.
5 (5) A listing of each audit report completed by the
6 Office of State Inspector General during the reporting
7 period.
8 (b) Distribution.--Annual reports of the State Inspector
9 General shall be furnished expeditiously to the head of each
10 executive agency involved, to the appropriate committees of the
11 General Assembly and the Governor.
12 (c) Availability to public.--The annual report of the State
13 Inspector General shall be made available to the public and the
14 media upon request.
15 (d) Reports to head of executive agency.--The State
16 Inspector General shall report immediately to the head of the
17 executive agency involved whenever he becomes aware of
18 particularly serious or flagrant problems, abuses or
19 deficiencies relating to the administration of programs and
20 operations of that executive agency and shall transmit any such
21 report to the appropriate committees of the General Assembly
22 within 30 calendar days, together with a report by the head of
23 the executive agency containing any comments he deems
24 appropriate.
25 (e) Disclosures.--Nothing in this section shall be construed
26 to authorize the public disclosure of information which is
27 specifically prohibited from disclosure by any other provision
28 of law or is a part of an ongoing criminal investigation.
29 Notwithstanding this provision, any report under this section
30 may be disclosed to the public in the form which includes
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1 information with respect to a part of an ongoing criminal
2 investigation if such information has been included in a public
3 record. Nothing in this section or in any other provision of
4 this act shall be construed to authorize or permit the
5 withholding of information from the General Assembly, or from
6 any committee of the General Assembly.
7 Section 7. Availability of information and assistance.
8 (a) Power to issue subpoenas.--The Office of State Inspector <--
9 General may issue subpoenas, under the hand and seal of the
10 State Inspector General, to compel the attendance of witnesses
11 and the production of any papers, books, accounts, documents and
12 testimony touching and relevant to matters properly being
13 inquired into by the office, to administer oaths, and to cause
14 the deposition of witnesses, either residing within or without
15 the Commonwealth, to be taken in the manner prescribed by law
16 for taking depositions in civil actions.
17 (b) Noncompliance with subpoenas.--Any person who willfully
18 neglects or refuses to comply with any subpoena issued in behalf
19 of the Office of State Inspector General, or refuses to testify
20 to any matters regarding which he may be lawfully interrogated,
21 shall be subject to the penalties provided by the laws of this
22 Commonwealth in such cases.
23 (c) Compensation of witnesses.--Each witness who appears
24 before the Office of State Inspector General by its order, other
25 than an officer or employee of the Commonwealth, shall receive
26 for his attendance the fees and mileage provided for witnesses
27 in civil cases in courts of record, which shall be audited and
28 paid out of the funds of the office upon the presentation of
29 proper vouchers signed by the witness and approved by the State
30 Inspector General.
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1 (A) POWER TO ISSUE SUBPOENAS.--THE OFFICE OF STATE INSPECTOR <--
2 GENERAL IS AUTHORIZED TO REQUIRE BY SUBPOENA, ISSUED UNDER THE
3 HAND AND SEAL OF THE GOVERNOR, THE PRODUCTION OF ALL
4 INFORMATION, DOCUMENTS, REPORTS, ANSWERS, RECORDS, ACCOUNTS,
5 PAPER AND OTHER DATA AND DOCUMENTARY EVIDENCE NECESSARY IN THE
6 PERFORMANCE OF THE FUNCTIONS ASSIGNED BY THIS ACT, WHICH
7 SUBPOENA, IN THE CASE OF CONTUMACY OR REFUSAL TO OBEY, SHALL BE
8 ENFORCEABLE BY ORDER OF THE COMMONWEALTH COURT.
9 (B) OATHS AND AFFIRMATIONS.--TO ADMINISTER TO OR TAKE FROM
10 ANY PERSON AN OATH, AFFIRMATION OR AFFIDAVIT, WHENEVER NECESSARY
11 IN THE PERFORMANCE OF THE FUNCTIONS ASSIGNED BY THIS ACT, WHICH
12 OATH, AFFIRMATION OR AFFIDAVIT, WHEN ADMINISTERED OR TAKEN BY OR
13 BEFORE AN EMPLOYEE OF THE OFFICE OF STATE INSPECTOR GENERAL
14 DESIGNATED BY THE STATE INSPECTOR GENERAL, SHALL HAVE THE SAME
15 FORCE AND EFFECT AS IF ADMINISTERED OR TAKEN BY OR BEFORE AN
16 OFFICER HAVING A SEAL.
17 (d) (C) Information and assistance.--Upon request of the <--
18 State Inspector General or his duly authorized designee for
19 information or assistance, executive agencies shall immediately
20 furnish the State Inspector General or his authorized designee
21 such information or assistance. Whenever information or
22 assistance requested is, in the judgment of the State Inspector
23 General, unreasonably refused or not provided, the State
24 Inspector General may report the circumstances to the head of
25 the agency and the Governor for appropriate action. NO PUBLIC <--
26 OFFICIAL OR EMPLOYEE COVERED BY A COLLECTIVE BARGAINING
27 AGREEMENT WHO IS UNDER INVESTIGATION FOR IMPROPER OR ILLEGAL
28 CONDUCT WHICH COULD RESULT IN DISCIPLINARY ACTION RELATING TO
29 EMPLOYMENT SHALL BE QUESTIONED BY THE STATE INSPECTOR GENERAL
30 UNLESS INFORMED OF HIS RIGHTS TO ASSISTANCE FROM THE EXCLUSIVE
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1 COLLECTIVE BARGAINING REPRESENTATIVE IN ACCORDANCE WITH THE LAW.
2 SHOULD THE PUBLIC OFFICIAL OR EMPLOYEE REQUEST SUCH ASSISTANCE,
3 NO QUESTIONING SHALL OCCUR UNTIL SUCH ASSISTANCE HAS BEEN
4 PROVIDED.
5 (e) (D) Officers and equipment.--Each head of an executive <--
6 agency shall provide any Deputy State Inspector General or other
7 employees of the Office of State Inspector General monitoring or
8 assigned to such agency with appropriate and adequate office
9 space at central and field office locations of the executive
10 agency, together with such equipment, office supplies, and
11 communications facilities and services as may be necessary for
12 such persons to carry out their duties, and shall provide
13 necessary maintenance services for such offices and the
14 equipment and facilities located therein.
15 Section 8. Complaints by employees; reprisals.
16 (a) Investigation of complaints.--The Office of State
17 Inspector General may receive and investigate complaints or
18 information concerning the possible existence of any activity in
19 an executive agency constituting a violation of law, rules, or
20 regulations, or mismanagement, fraud, waste of funds, abuse of
21 authority, malfeasance, misfeasance, nonfeasance, or a
22 substantial and specific danger to the public health and safety.
23 (b) Reprisals prohibited.--No person shall take or threaten
24 to take any action against any employee as a reprisal for making
25 a complaint or disclosing information to the Office of State
26 Inspector General, unless the complaint was made or the
27 information disclosed with the knowledge that it was false or
28 with willful disregard for its truth or falsity.
29 (c) Protection additional.--The protection set forth in this
30 act for employees who report, in good faith, fraud, waste,
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1 misconduct, malfeasance, misfeasance, nonfeasance or abuse is in
2 addition and supplementary to those protections provided by the
3 act of December 12, 1986 (P.L.1559, No.169), known as the
4 Whistleblower Law.
5 Section 9. Study.
6 The State Inspector General shall conduct a study to
7 determine the feasibility of extending the authority of his
8 office to independent agencies, with the exception of the State
9 Treasury, the Auditor General and the Office of Attorney
10 General, not included within the purview of this act. The study,
11 with the recommendations of the State Inspector General, shall
12 be completed and made available to the Governor and the
13 appropriate standing committees of the General Assembly nine
14 months after the effective date of this act.
15 Section 10. Sunset provision.
16 The Office of State Inspector General shall be subject to
17 evaluation and review and shall terminate five years from the
18 effective date of this act in the manner provided by the act of
19 December 22, 1981 (P.L.508, No.142), known as the Sunset Act.
20 Section 11. Effective date.
21 This act shall take effect in 60 days.
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