Section 552.30  Initiating, Conducting and Completing Investigations


a)         The Office of Inspector General (OIG), which also includes the Executive Inspector General, will conduct all investigations in a professional and thorough manner.  Investigations will be properly documented and will 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 a recommendation concerning the merits of the allegation.


b)         The OIG will utilize methods for investigative interviews consistent with current police practices and techniques and will 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 will 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 will be accepted.  When a complaint is received, it will be documented on a complaint form and assigned a complaint reference number.


2)         The Deputy Inspector General will 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 will 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, will be responsible for the supervision of all investigative activities and will 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 will 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 will 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 will not actively participate.


5)         A Case Summary Report will be completed at the conclusion of each investigation.


A)        Case Summary Reports will be submitted to the Deputy Inspector General for approval.


B)        The approved Case Summary Reports then will be submitted to the Inspector General or, for cases involving alleged violations of the State Officials and Employees Ethics Act [5 ILCS 430/5], to the Executive Inspector General for final approval. 


C)        Case Summary Reports approved by the Inspector General will be forwarded to the appropriate Director for informational purposes or for the initiation of disciplinary action.  Copies of the Summaries also will be forwarded to the Director of Personnel.  In cases that involve alleged violations of the State Officials and Employees Ethics Act, the Executive Inspector General will make a recommendation for discipline and forward that recommendation to the appropriate Department Director and to the Director of Personnel.  The completed investigative report will then be submitted to the Executive Ethics Commission, and the Commission will have jurisdiction over disciplinary action.  In addition, any hearing to contest disciplinary action for a violation of the Act shall be conducted by the Executive Ethics Commission.


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 will be contacted for possible joint investigation at the earliest practicable time.  When warranted by an investigation, a case will 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 will make reasonable efforts to comply.


(Source:  Amended at 40 Ill. Reg. 8011, effective May 18, 2016)