Current through Register Vol. 48, No. 12, March 22, 2024
a) The
Office of Inspector General (OIG) will conduct all investigations in a
professional and thorough manner. Investigations shall be properly documented
and shall be submitted in written reports of findings. Proper documentation of
an investigation shall include, at a minimum, a description of the alleged
misconduct or offense; the events and circumstances surrounding the allegation,
including the results of interviews, review of documents and records, and other
material information revealed during the investigation; and, as applicable, a
recommendation concerning the merits of the allegation.
b) The OIG shall utilize methods for
investigative interviews consistent with current police practices and
techniques and shall observe and comply with all laws and agreements related to
the questioning of employees or other individuals.
c) For the purposes of this Section, the
following provisions shall apply when the OIG initiates investigations:
1) The OIG shall maintain an intake
procedure, under the supervision of the Deputy Inspector General, for
processing all complaints. Complaints may be received by telephone, letter,
fax, e-mail or in person. Anonymous complaints shall be accepted. When a
complaint is received, it shall be documented on a complaint form and assigned
a complaint reference number.
2)
The Deputy Inspector General shall review each complaint to determine whether a
case should be initiated and assigned to an Inspector. When necessary for this
initial decision, an Inspector may be assigned to gather additional,
preliminary information concerning the validity of the complaint and/or the
credibility of the complainant. When the Deputy Inspector General initiates a
case, the complaint shall receive a case number and be assigned to an
Inspector.
3) To initiate an
investigation, a complaint must, at a minimum, include facts demonstrating OIG
jurisdiction and:
A) a reasonable belief that
employee misconduct may have occurred involving a violation of a law, rule or
regulation; mismanagement; abuse of authority; or a substantial and specific
danger to the public health and safety; or
B) credible evidence of a violation of the
Lobbyist Registration Act [25 ILCS 170 ].
d) For the purposes of
this Section, the following provisions shall apply when the OIG conducts
investigations:
1) The Deputy Inspector
General, or his/her designee, shall be responsible for the supervision of all
investigative activities and shall ensure that Inspectors:
A) Properly document all investigative
activities, which shall include, at a minimum, completion of a complaint form,
investigative report and investigative summary;
B) Properly secure all physical evidence,
including completion of an inventory of evidence form and securing the evidence
in an evidence vault or other secure location;
C) Complete all reports; and
D) Submit case summaries to management that
are accurate and complete.
2) Investigative activities may include, but
are not limited to: interviews; requests for information, documents or other
materials; taking custody of physical evidence; surveillance; and inspection of
physical premises. The methods of investigation utilized in each case shall be
those most likely to establish the relevant facts of the case.
e) For the purposes of this
Section, the following provisions shall apply when the OIG completes
investigations:
1) All cases shall be
characterized as Active, Pending or Closed.
2) A case is Active when the matter requires
current or continued investigation.
3) A case is Pending when the investigation
is completed and awaiting prosecution or civil or administrative action. A case
may be classified as Pending/Inactive if no investigative activity is
anticipated for a period of 30 days or longer.
4) A case is Closed when investigative action
ceases due to unfounded allegations, an administrative closing of the case, the
completion of adjudication of all subjects, or the referral of the case to
another agency for investigation in which the OIG shall not actively
participate.
5) A Case Summary
Report shall be completed at the conclusion of each investigation.
A) Case Summary Reports shall be submitted to
the Deputy Inspector General for approval.
B) The approved Case Summary Reports then
shall be submitted to the Inspector General for final approval.
C) Case Summary Reports approved by the
Inspector General shall be forwarded to the appropriate Director for
informational purposes or for the initiation of disciplinary action. Copies of
the Summaries also shall be forwarded to the Director of Personnel.
D) In the case of a violation of the Lobbyist
Registration Act [25 ILCS 170 ], the Inspector
General may submit the investigation to the appropriate State's Attorney or to
the Attorney General as provided by law.
f) The following provisions shall apply to
interactions between the OIG and other law enforcement agencies:
1) When it appears that a case may warrant
criminal investigation, the appropriate federal, state or local law enforcement
agency shall be contacted for possible joint investigation at the earliest
practicable time. When warranted by an investigation, a case shall be presented
to the appropriate local or federal prosecutor for a prosecutorial
decision.
2) When necessary for the
completion of an OIG investigation, the OIG may request information or
assistance from appropriate local, state or federal law enforcement
agencies.
3) Upon receipt of a
request from a local, state or federal law enforcement agency for assistance or
information, the OIG shall make reasonable efforts to comply.
g) Reviews of Allegations that an
Individual Required to be Registered Under the Lobbyist Registration Act Has
Engaged in One or More Acts of Sexual Harassment
1) For the purposes of this subsection (g),
"sexual harassment" means any unwelcome sexual advances or requests for
sexual favors or any conduct of a sexual nature when:
A)
submission to such conduct is made
either explicitly or implicitly a term or condition of an individual's
employment;
B)
submission to or rejection of such conduct by an individual is used as
the basis for employment decisions affecting such individual;
or
C)
such conduct
has the purpose or effect of substantially interfering with an individual's
work performance or creating an intimidating, hostile, or offensive working
environment. For the purposes of this definition, the phrase "working
environment" is not limited to a physical location where an
employee is assigned to perform his or her duties and does not require an
employment relationship. [5 ILCS
430/5-65(b) ]
2) The OIG shall maintain an intake
procedure, under the supervision of the Deputy Inspector General, for
processing all complaints. Complaints may be received by telephone, letter,
fax, e-mail or in person. Anonymous complaints shall be accepted. When a
complaint is received, it shall be documented on a complaint form and assigned
a complaint reference number.
3)
The Deputy Inspector General shall evaluate each complaint to determine whether
a review should be conducted and the matter shall be assigned to an Inspector.
A) When necessary for this initial decision,
an Inspector may be assigned to gather additional preliminary information
concerning the validity of the complaint or demonstrating OIG
jurisdiction.
B) When the Deputy
Inspector General initiates a review, the complaint shall receive a case number
and be assigned to an Inspector.
C)
To initiate a review of a complaint alleging sexual harassment by an individual
required to register under the Lobbyist Registration Act, there must be a
logical nexus between:
i) that individual's
status as someone who is required to register under the Lobbyist Registration
Act; and
ii) the alleged act of
harassment.
4) When conducting a review:
A) The Deputy Inspector General, or his or
her designee, shall be responsible for the supervision of all reviewing
activities and shall ensure that Inspectors:
i) Properly document all reviewing
activities;
ii) Properly secure all
physical evidence; and
iii)
Complete a Summary Review.
B) Reviewing activities may include, but are
not limited to: interviews; requests for information, documents or other
materials; taking custody of physical evidence; surveillance; and inspection of
physical premises. The methods utilized in each review shall be those most
likely to establish the relevant facts of the case.
5) The following provisions apply when the
OIG completes a review of alleged sexual harassment by an individual required
to be registered under the Lobbyist Registration Act:
A) A Summary Review shall be completed at the
conclusion of each review. The name of the complainant shall be redacted from
the Summary Review and shall include whether reasonable cause exists to believe
that a violation regarding an act of sexual harassment has occurred.
B) Summary Reviews shall be submitted to the
Deputy Inspector General for approval.
C) The approved Summary Reviews then shall be
submitted to the Inspector General for final approval. Upon final approval, all
Summary Reviews shall be submitted to the Illinois Attorney General and the
Executive Ethics Commission. The complainant shall be informed of this
submission.