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| THE GENERAL ASSEMBLY OF PENNSYLVANIA |
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| HOUSE BILL |
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| INTRODUCED BY MARSICO, GRELL, BAKER, BOYD, CALTAGIRONE, CAUSER, CUTLER, DENLINGER, FLECK, FREEMAN, GABLER, GEIST, GINGRICH, GOODMAN, GROVE, HARRIS, HESS, KAUFFMAN, M.K. KELLER, KOTIK, MAJOR, MILLER, O'NEILL, PICKETT, PYLE, REED, ROAE, SCHRODER, SONNEY, STEVENSON, J. TAYLOR, VEREB, VULAKOVICH AND GIBBONS, FEBRUARY 14, 2011 |
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| REFERRED TO COMMITTEE ON STATE GOVERNMENT, FEBRUARY 14, 2011 |
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| AN ACT |
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1 | Establishing the Office of Inspector General; imposing duties |
2 | upon the Auditor General and the Legislative Reference |
3 | Bureau; and abolishing an executive 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 Inspector |
8 | General Act. |
9 | Section 2. Declaration of policy. |
10 | The General Assembly finds and declares as follows: |
11 | (1) The following are the purposes of this act: |
12 | (i) To establish a full-time program of audit, |
13 | investigation and performance review to provide increased |
14 | accountability, integrity and oversight of State |
15 | government. |
16 | (ii) To assist in improving State government |
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1 | operations and in deterring and identifying fraud, abuse |
2 | and illegal acts. |
3 | (iii) To create a wholly independent office of |
4 | Inspector General to conduct investigations, audits, |
5 | evaluations, inspections and other reviews in accordance |
6 | with professional standards which relate to the fields of |
7 | investigation and auditing in government environments. |
8 | (2) The Inspector General shall be appointed under |
9 | section 4(b) without regard to political affiliation. |
10 | Section 3. Definitions. |
11 | The following words and phrases when used in this act shall |
12 | have the meanings given to them in this section unless the |
13 | context clearly indicates otherwise: |
14 | "Office." The Office of Inspector General established in |
15 | section 4. |
16 | "Public employee." An individual employed by the |
17 | Commonwealth or a political subdivision. |
18 | "Public official." An individual elected or appointed to a |
19 | position in the government of the Commonwealth or a political |
20 | subdivision. |
21 | Section 4. Office. |
22 | (a) Establishment.--The Office of Inspector General is |
23 | established as an independent agency. |
24 | (b) Appointment.-- |
25 | (1) The Inspector General shall be appointed by the |
26 | Governor with the consent of two-thirds of the members |
27 | elected to the Senate. |
28 | (2) The appointee must demonstrate all of the following: |
29 | (i) Integrity. |
30 | (ii) Capability for strong leadership. |
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1 | (iii) Ability in accounting, auditing, financial |
2 | analysis, law, management analysis, public |
3 | administration, investigation or criminal justice |
4 | administration, or other closely related fields. |
5 | (iv) Knowledge, skills, abilities and experience in |
6 | conducting audits and investigations. |
7 | (3) The appointee must not be a public official or |
8 | public employee. |
9 | (4) The appointee must not have been a public official |
10 | or public employee within two years of appointment. |
11 | (c) Certification.--Within 90 days of confirmation, the |
12 | appointee must be certified by an association of inspectors |
13 | general recognized by the Auditor General. |
14 | (d) Term.--The term of office shall be six years. An |
15 | individual is eligible for reappointment. |
16 | (e) Removal.--The Inspector General may be removed from |
17 | office for cause. |
18 | (f) Powers.--The office has the following powers to |
19 | accomplish the purposes set forth in section 2(1): |
20 | (1) The office shall have access to the physical plant, |
21 | documents, personnel and records necessary to carry out the |
22 | duties under subsection (g). |
23 | (2) The office may subpoena witnesses, administer oaths |
24 | or affirmations, take testimony and compel the production of |
25 | documents, as necessary to carry out the duties under |
26 | subsection (g). |
27 | (3) The office shall have access to the head of a |
28 | Commonwealth agency when necessary to carry out the duties |
29 | under subsection (g). |
30 | (4) The office may require Commonwealth employees to |
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1 | report to the office information regarding fraud, waste, |
2 | corruption, illegal acts and abuse. |
3 | (g) Duties.--The office has the following duties: |
4 | (1) Audit, evaluate, investigate and inspect the |
5 | activities, records and persons with contracts, procurements, |
6 | grants, agreements and other programmatic and financial |
7 | arrangements involving State government. |
8 | (2) Audit the economy, efficiency, and effectiveness of |
9 | the operations and functions of State government and conduct |
10 | reviews of the performance measurement system of each |
11 | Commonwealth agency. |
12 | (3) Review the reliability and validity of the |
13 | information provided by performance measures and standards. |
14 | (4) Provide information and evidence which relates to |
15 | criminal acts to appropriate law enforcement officials. |
16 | (5) Initiate reviews or audits of Commonwealth agencies |
17 | as the Inspector General deems appropriate. |
18 | (6) Upon complaint or upon its own initiative, |
19 | investigate possible abuse, fraud and service deficiencies. |
20 | (7) Engage in prevention activities. This paragraph |
21 | includes: review of legislation; review of regulations, |
22 | policies, procedures and transactions; and training and |
23 | education. |
24 | (8) Refer matters for further civil, criminal and |
25 | administrative action to appropriate authorities. |
26 | (9) Conduct joint investigations and projects with other |
27 | commonwealth agencies. |
28 | (10) Recommend remedial actions to be taken to overcome |
29 | or correct operating or maintenance identified deficiencies |
30 | and inefficiencies. |
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1 | (11) Issue reports under section 7. |
2 | (12) Monitor implementation of recommendations made by |
3 | the office and other audit agencies. |
4 | (13) Establish policies and procedures to guide |
5 | functions and processes conducted by the office. |
6 | (14) Maintain information regarding the cost of |
7 | investigations and cooperate with appropriate Commonwealth |
8 | agencies and prosecutorial authorities in recouping those |
9 | costs from nongovernmental entities involved in willful |
10 | misconduct. |
11 | (15) Do all things necessary to carry out the functions |
12 | set forth in this subsection. |
13 | Section 5. Resources. |
14 | (a) Funding.--The office shall be funded from the General |
15 | Fund in order to accomplish the purposes set forth in section 2 |
16 | (1). |
17 | (b) Staff.--The Inspector General may do all of the |
18 | following: |
19 | (1) Hire staff necessary for the efficient and effective |
20 | administration of the office. |
21 | (2) Contract for the services of professional experts |
22 | necessary to independently perform the functions of the |
23 | office. |
24 | Section 6. Records disclosure. |
25 | (a) Public records.--The audit and investigation reports of |
26 | the office shall be public records to the extent that they do |
27 | not include information which has been made confidential and |
28 | exempt from release to the public. |
29 | (b) Internal.--During the course of audit and investigation |
30 | activities, records shall be considered deliberative in process |
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1 | and not available for outside review. |
2 | (c) Confidentiality.-- |
3 | (1) Names and identities of individuals making |
4 | complaints and information protected by the act of December |
5 | 12, 1986 (P.L.1559, No.169), known as the Whistleblower Law, |
6 | shall not be disclosed without the written consent of the |
7 | individual unless required by law or judicial process. |
8 | (2) The office shall maintain the confidentiality of |
9 | public records which are made confidential by law and shall |
10 | be subject to the same penalties as the custodian of those |
11 | public records for violating confidentiality statutes. |
12 | (3) Efforts shall be made to protect the privacy of |
13 | individuals or employees whenever possible without |
14 | interfering in the judicial or administrative process |
15 | initiated to protect the public. |
16 | Section 7. Reporting office activities. |
17 | (a) Immediate reports.--The office shall immediately report |
18 | to the head of the Commonwealth agency involved: |
19 | (1) Serious or flagrant problems, abuses or deficiencies |
20 | relating to the administration of programs. |
21 | (2) Interference with operations of the office. |
22 | (b) Commonwealth agencies.--The office shall report the |
23 | findings of its work to the head of the investigated or audited |
24 | Commonwealth agency. |
25 | (c) Criminal matters.--The office shall report criminal |
26 | investigative matters to the Attorney General. |
27 | (d) Annual reports.-- |
28 | (1) By September 1, the office shall issue an annual |
29 | report which separately lists audit and review reports and |
30 | other investigative or assistance efforts completed during |
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1 | the fiscal year. The report shall describe accomplishments of |
2 | the office. |
3 | (2) Copies of the report shall be provided to all of the |
4 | following: |
5 | (i) The Office of General Counsel. |
6 | (ii) The Chief Clerk of the Senate. |
7 | (iii) The Chief Clerk of the House of |
8 | Representatives. |
9 | (3) Upon issuance of the report, members of the media |
10 | and the public shall be promptly advised of the issuance of |
11 | the report. The report shall be provided to their |
12 | representatives upon request. |
13 | Section 8. Professional standards and quality review. |
14 | (a) Professional standards.--Audits, investigations, |
15 | inspections and reviews conducted by the office shall conform to |
16 | professional standards for offices of inspector general |
17 | promulgated by an association of inspectors general recognized |
18 | by the Auditor General. |
19 | (b) Verification.-- |
20 | (1) Audits, investigations, inspections and reviews |
21 | shall be subject to quality assurance reviews by an |
22 | association of inspectors general recognized by the Auditor |
23 | General every three to five years. |
24 | (2) A copy of the written report resulting from this |
25 | review shall be furnished to all of the following: |
26 | (i) The Office of General Counsel. |
27 | (ii) The Chief Clerk of the Senate. |
28 | (iii) The Chief Clerk of the House of |
29 | Representatives. |
30 | (3) The report shall also be made available to members |
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1 | of the public upon request. |
2 | Section 9. Auditor General. |
3 | The Auditor General shall prepare an annual list of |
4 | recognized associations of inspectors general and submit the |
5 | list to the Legislative Reference Bureau for publication as a |
6 | notice in the Pennsylvania Bulletin. |
7 | Section 10. Current Office of Inspector General. |
8 | The current Office of Inspector General set forth in 4 Pa. |
9 | Code Ch. 9 (relating to governmental organization) is abolished. |
10 | Prior to abolition, the current Office of Inspector General |
11 | shall cooperate with the office to effectuate transition. |
12 | Section 20. Effective date. |
13 | This act shall take effect as follows: |
14 | (1) The following provisions shall take effect |
15 | immediately: |
16 | (i) Section 9. |
17 | (ii) This section. |
18 | (2) Section 10 shall take effect upon initial |
19 | confirmation of the Inspector General under section 4(b)(1). |
20 | (3) The remainder of this act shall take effect upon |
21 | publication of the initial notice under section 9. |
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