What is the role and jurisdiction of the Legislative Inspector General?↓

As the name of the office implies, the role of the Legislative Inspector General (LIG) is to inspect, meaning to investigate and report. The LIG is not a prosecutor or a judge and therefore lacks any enforcement authority.

LIG investigations are administrative, not criminal. Evidence of criminal violations is referred to criminal investigative agencies.

The office and jurisdiction of the LIG are governed by the State Officials and Employees Ethics Act (“Ethics Act”), which is found at 5 Illinois Compiled Statutes, 430, Article 25 (abbreviated 5 ILCS 430/25).

That statute says that the LIG has jurisdiction over current and former “members” (legislators) of the General Assembly regarding events occurring during a member’s term of office. The LIG also has jurisdiction over current and former State employees regarding events occurring during any period of legislative branch employment.

The Ethics Act says the LIG has jurisdiction to investigate allegations of violations of that Act, as well as “violations of other related laws and rules regarding events related to [a] member’s or employee’s public duties or use of State office, employment, or resources,” as well as “fraud, waste, abuse, mismanagement, [or] misconduct … related to the member’s or employee’s public duties or use of State office, employment, or resources.”

The Ethics Act also states that the LIG has jurisdiction over complaints in violation of Section 25-63 of the Act, which relates to victims of discrimination, harassment, or sexual harassment.

The most obvious “other related law” over which the LIG has jurisdiction is the other ethics act: the Illinois Governmental Ethics Act, found at 5 ILCS 420.

Among other things, the Governmental Ethics Act contains rules applying specifically to legislators, consisting of “Rules of Conduct for Legislators,” which are enforceable, and “Ethical Principles for Legislators,” which are specifically designated as being unenforceable by any disciplinary action.

Another important role of the LIG is, as stated in the Ethics Act, “To assist and coordinate the ethics officers for State agencies under the jurisdiction of the Legislative Inspector General and to work with those ethics officers.”

Other duties and authorities of the LIG are described in the Ethics Act at 5 ILCS 430/25-20.

For further discussion, see Episode 2 of our “Ethics Answers” video series.

What is the Legislative Ethics Commission?↓

The Legislative Ethics Commission (LEC) is an appointed body of eight commissioners who act as the quasi-judicial body that decides contested cases when complaints are filed with the LEC by the Attorney General’s office on behalf of the Legislative Inspector General (LIG).

The LEC also has duties relating to ethics training of members and employees of the legislative branch. The Ethics Act states: “In consultation with the Legislative Inspector General, the Legislative Ethics Commission may develop comprehensive training for members and employees under its jurisdiction that includes, but is not limited to, sexual harassment, employment discrimination, and workplace civility.”

Further duties of the LEC are specified in the Ethics Act at 5 ILCS 430/25-15.

The eight members of the LEC are appointed by the four legislative caucus leaders, who each appoint two members – two each from the Democratic and Republican caucuses of the Senate and House of Representatives.

Members of the LEC may be members of the General Assembly or members of the public.

The Ethics Act says, “the jurisdiction of the Commission is limited to matters arising under this Act.”

Consequently, at least as of this writing (August 2022), even though the LIG has jurisdiction to investigate allegations of violations of the Illinois Governmental Ethics Act (5 ILCS 420), consisting of “Rules of Conduct for Legislators” and “Ethical Principles for Legislators,” the LEC has no jurisdiction to receive complaints or act on any violations of that act.

Must the Legislative Inspector General obtain permission from the Legislative Ethics Commission before opening an investigation?↓

No. Not anymore.

In order to assure the independence of the Legislative Inspector General in opening investigations, the Ethics Act was amended in 2022 to prohibit any requirement of pre-approval by the Legislative Ethics Commission.

Must a complaint be filed before the Legislative Inspector General can open an investigation?↓

It is the Legislative Inspector General’s (LIG’s) duty and practice to open investigations based on the filing of a complaint.

The affirmative duty to investigate allegations received by complaint is found in Section 25-20 of the State Officials and Employees Ethics Act (5 ILCS 430/25-20): “In addition to duties otherwise assigned by law, the Legislative Inspector General shall have the following duties: (1) To receive and investigate, without advance approval of the Legislative Ethics Commission, allegations of violations of this Act and other wrongful acts within his or her jurisdiction based on a complaint.”

The Ethics Act also describes the investigative authority of the LIG in Section 25-10: “The jurisdiction of each Legislative Inspector General is to investigate allegations of violations of this Act, violations of other related laws and rules regarding events related to the member’s or employee’s public duties or use of State office, employment, or resources, or fraud, waste, abuse, mismanagement, misconduct, nonfeasance, misfeasance, or malfeasance related to the member's or employee's public duties or use of State office, employment, or resources.”

How do I submit a complaint?↓

You may submit a complaint to the Legislative Inspector General by filling out and submitting the form available at this link: LIG Complaint Form.

What are the rules of confidentiality regarding the identity of those who file complaints?↓

According to the State Officials and Employees Ethics Act, the identity of any person providing information or reporting any possible or alleged misconduct to the Legislative Inspector General (LIG) shall be kept confidential and may not be disclosed without that person’s consent, unless the person consents to disclosure of his or her name or disclosure of the person’s identity is otherwise required by law. (5 ILCS 430/25-90(a))

When you submit a complaint, it is automatically presumed that you want your identity kept confidential unless you sign the part of the complaint form in which you may consent to disclosure of your identity.

What are the rules of confidentiality regarding complaints and investigations?↓

Regardless of whether the person filing a complaint consents to disclosure of the person’s identity as the complainant, by law the complaint itself is nevertheless confidential and may not be publicly disclosed unless disclosed as part of publication of records made public by the Legislative Ethics Commission (LEC) in cases in which allegations of the complaint are determined to be well-founded. Even then, such records may be redacted to prevent disclosure of the identity of complainants and witnesses. (5 ILCS 430/25-52; 25-90(b);25-95(d))

The Legislative Inspector General (LIG) may, in the LIG’s discretion, provide people who file complaints and those who are subjects of investigation with notifications of the opening of an investigation and updates on the status of the investigation, including when the investigation is closed, but those notifications and updates must by law be general in nature. The LIG is prohibited from providing either complainants or subjects of investigation with details about the investigation unless publicly disclosed by the LEC. (5 ILCS 430/25-90(c))

LIG records, including investigative summary reports, are also exempt from disclosure under the Freedom of Information Act, unless as part of publication of records made public by the LEC. (5 ILCS 430/25-95(d))

The Ethics Act does authorize the LIG, at the request of the subject of any investigation in which the LIG determines there is insufficient evidence to conclude a violation has occurred, to provide the subject of investigation with a written statement of the LIG’s decision to close the investigation. (Note: What the subject of investigation does with such a notice is up to them. No rule prevents public disclosure by the subject.) (5 ILCS 430/25-51)

May I submit a complaint anonymously?↓

Yes. However, if you as the complainant are an essential witness or the complaint fails to identify some other essential witness(es), it may be impossible to investigate the allegations raised in your complaint. Also, without your contact information the LIG will be unable to provide you with any updates about the investigation, including whether an investigation is opened or closed.

Your concerns about confidentiality will likely be satisfied without the need to file a complaint anonymously. For details about confidentiality of your identity as the person filing a complaint, the complaint itself, and other LIG reports and records, see the answer to the frequently asked question about rules of confidentiality.

What rights do I have if I submit a complaint?↓

Section 25-63 of the State Officials and Employees Ethics Act (5 ILCS 430/25-63) sets forth the rights of a person who files a complaint (complainant) with the Legislative Inspector General:

(1) within 5 business days of the Legislative Inspector General receiving a complaint in which the complainant is identified, to be notified by the Legislative Inspector General of the receipt of the complaint, the complainant's rights, and an explanation of the process, rules, and procedures related to the investigation of an allegation, and the duties of the Legislative Inspector General and the Legislative Ethics Commission;

(2) within 5 business days after the Legislative Inspector General’s decision to open or close an investigation into the complaint or refer the complaint to another appropriate agency, to be notified of the Legislative Inspector General's decision; however, if the Legislative Inspector General reasonably determines that publicly acknowledging the existence of an investigation would interfere with the conduct or completion of that investigation, the notification may be withheld until public acknowledgment of the investigation would no longer interfere with that investigation;

(3) after an investigation has been opened, to have any interviews of the complainant audio recorded by the Legislative Inspector General and to review, in person and in the presence of the Legislative Inspector General or his or her designee, any transcript or interview report created from that audio recorded interview. The complainant may provide any supplemental statements or evidence throughout the investigation;

(4) to have a union representative, attorney, co-worker, or other support person who is not involved in the investigation, at the complainant’s expense, present at any interview or meeting, whether in person or by telephone or audio-visual communication, between the complainant and the Legislative Inspector General or Legislative Ethics Commission;

(5) to submit a complainant impact statement that shall be included with the Legislative Inspector General's summary report to the Legislative Ethics Commission for its consideration;

(6) to testify at a hearing [before the Legislative Ethics Commission], to the extent the hearing is based on an allegation of a violation of Section 5-65 of this Act [relating to sexual harassment] involving the complainant, and have a single union representative, attorney, co-worker, or other support person who is not involved in the investigation, at the complainant's expense, accompany him or her while testifying;

(7) to review, within 5 business days prior to its release, any portion of a summary report of the investigation subject to public release under this Article related to the allegations concerning the complainant, after redactions made by the Legislative Ethics Commission, and offer suggestions for redaction or provide a response that shall be made public with the summary report; and

(8) to file a complaint with the Legislative Ethics Commission for any violation of the complainant's rights under this Section by the Legislative Inspector General.

The complainant shall have the sole discretion in determining whether or not to exercise those rights.

All such rights shall be waived if the complainant fails to cooperate with the Legislative Inspector General's investigation of the complaint.

The notice requirements imposed on the Legislative Inspector General shall be waived if the Legislative Inspector General is unable to identify or locate the complainant.

What rights do I have if I am the subject of a complaint?↓

Subjects of an investigation by the Legislative Inspector General (LIG) are obligated to cooperate in the investigation and subject to discipline if they fail to do so, as stated in Section 25-70 of the Ethics Act:

“It is the duty of every officer and employee under the jurisdiction of the Legislative Inspector General, including any inspector general serving in any State agency under the jurisdiction of the Legislative Inspector General, to cooperate with the Legislative Inspector General and the Attorney General in any investigation undertaken pursuant to this Act. Failure to cooperate includes, but is not limited to, intentional omissions and knowing false statements. Failure to cooperate with an investigation of the Legislative Inspector General or the Attorney General is grounds for disciplinary action, including dismissal. Nothing in this Section limits or alters a person’s existing rights or privileges under State or federal law.” (5 ILCS 430/25-70)

People who are subjects of a LIG investigation may have legal counsel present with them during an investigative interview, at their own expense.

As stated in Section 25-70, even though statutorily obligated to cooperate in the LIG investigation, subjects of such investigation still retain other rights under State or federal law, including their Fifth Amendment constitutional right against self-incrimination – they can refuse to answer questions if their answers could be used in a criminal proceeding as evidence that the person committed a crime. In situations in which the obligation to cooperate conflicts with a person’s Fifth Amendment right against self-incrimination, both those conducting the interview and the person to be interviewed face legal issues (called Garrity issues) that should be clearly discussed and resolved before the interview is conducted.

Subjects of LIG investigation who also face potential criminal prosecution would be well advised to seek qualified legal counsel in deciding whether or to what extent to cooperate in the LIG investigation. Sorting out the legal issues and consequences involved can be complicated.

What happens after a complaint is filed?↓

The first thing the Legislative Inspector General (LIG) does after receiving a complaint is to determine whether, if true, the allegations stated in the complaint would constitute a violation within the LIG’s jurisdiction.

If so, then at least a preliminary investigation is conducted to determine whether sufficient credible evidence of a violation exists to reasonably justify full investigation. If not, then the case is closed.

If the LIG, upon conclusion of an investigation, determines that insufficient evidence exists to constitute reasonable cause to believe that a violation has occurred, then the case is closed.

If the LIG, upon conclusion of an investigation, determines that reasonable cause does exist to believe that a violation has occurred (a determination that the allegations of the complaint are well-founded), then the LIG issues a summary report of the investigation.

The LIG’s summary report of investigations are required to include the following:

Section 25-63 of the State Officials and Employees Ethics Act (5 ILCS 430/25-63) sets forth the rights of a person who files a complaint (complainant) with the Legislative Inspector General:

(1) A description of any allegations or other information received by the Legislative Inspector General pertinent to the investigation.

(2) A description of any alleged misconduct discovered in the course of the investigation.

(3) Recommendations for any corrective or disciplinary action to be taken in response to any alleged misconduct described in the report, including, but not limited to, discharge.

(4) Other information the Legislative Inspector General deems relevant to the investigation or resulting recommendations.

The summary report is delivered to the appropriate “ultimate jurisdictional authority” (for most legislative branch personnel, the member or employee’s legislative leader: President of the Senate, Minority Leader of the Senate, Speaker of the House of Representatives, or Minority Leader of the House of Representatives), and the member of the General Assembly, if any, who is the subject of the report.

The appropriate ultimate jurisdictional authority and the member of the General Assembly, if any, that is the subject of the report has 20 days to respond to the summary report, in writing, to the LIG. The response from the ultimate jurisdictional authority or agency head is to include a description of any corrective or disciplinary action imposed or to be imposed.

If, in the judgment of the LIG, the corrective or disciplinary action taken by the ultimate jurisdictional authority or agency head is appropriate and adequate, then within 30 days after receiving a response from the appropriate ultimate jurisdictional authority or agency head the LIG must deliver to the Legislative Ethics Commission (LEC) a statement setting forth the basis for the decision not to file a complaint and a copy of the summary report and response from the ultimate jurisdictional authority or agency head. Those documents may be redacted to prevent disclosure of the identity of the complainant or witnesses.

Unless the LEC decides further investigation by the LIG or Attorney General is needed, the case is then closed and reported accordingly by the LIG, which is how the vast majority of LIG investigations resulting in finding of misconduct are resolved.

If, in the judgment of the LIG, the corrective or disciplinary action taken by the ultimate jurisdictional authority or agency head is unresponsive or inadequate, then within 30 days after receiving a response from the appropriate ultimate jurisdictional authority or agency head, the LIG must notify the LEC and the Attorney General that the LIG believes that a complaint should be filed with the LEC and must submit the summary report and supporting documents to the Attorney General.

If the Attorney General determines that reasonable cause exists to believe that a violation has occurred, then the LIG, acting through the Attorney General as the LIG’s legal representative, may file a complaint with the LEC. The LIG’s complaint must set forth the alleged violation and the grounds that exist to support the complaint.

Statute of Limitations: Absent an affirmative effort by the subject of the complaint to fraudulently conceal the alleged violation, the LIG’s complaint to the LEC must be filed within 12 months after the LIG received the allegation of the violation or within 18 months after the most recent act of the alleged violation or of a series of alleged violations, whichever is later.

At that point, the LEC can either (1) request further investigation by the LIG or Attorney General, or (2) hold an evidentiary hearing in closed session to determine whether the preponderance of evidence supports a finding that a violation occurred as alleged in the complaint. In such a hearing the LIG is represented by the Attorney General’s office and the person accused may be represented by legal counsel.

Within an appropriate time limit set by rules of the LEC, the LEC may (1) dismiss the complaint, (2) issue a recommendation of discipline to the respondent and the respondent's ultimate jurisdictional authority, (3) impose an administrative fine upon the respondent, (4) issue injunctive relief as described in Section 50-10 of the Ethics Act, or (5) impose a combination of items (2) through (4).

A decision of the LEC to impose a fine is subject to judicial review under the Administrative Review Law. All other decisions by the LEC are final and not subject to review either administratively or judicially. (5 ILCS 430/25-60)

Within 30 days after the issuance of a final administrative decision that concludes that a violation occurred, the LEC must make public the entire record of proceedings before the LEC, the decision, any recommendation, any discipline imposed, and the response from the ultimate jurisdictional authority or agency head to the LEC. Such records may be redacted to prevent disclosure of the identity of the complainant and witnesses.

Under what circumstances can investigative summary reports of the Legislative Inspector General become public?↓

Pursuant to Section 25-52 of the Ethics Act (5 ILCS 430/25-52), investigative summary reports of the Legislative Inspector General (LIG) may only be released publicly by the Legislative Ethics Commission (LEC) – the LIG has no such authority. And, the LEC is authorized to publicly release such summary reports only in cases resulting in discipline in the form of suspension of at least three days or termination of employment (or if the summary report is part of the public record of a disciplinary hearing held before the LEC).

In such cases, the LEC must make available to the public the LIG’s summary report and the response of the violator’s ultimate jurisdictional authority or agency head. The report and response may be redacted to prevent public disclosure of the identity of the complainant or witnesses or any other information that the LEC determines should not be made public.

What reports are the Legislative Inspector General required to file and where can I find them?↓

Pursuant to the Ethics Act (5 ILCS 430/25-65 and 25-85), the Legislative Inspector General (LIG) is required to file two types of quarterly activity reports: a confidential report to the Legislative Ethics Commission (LEC) and a public report to the General Assembly that is published on the LIG’s website.

The confidential report to the LEC is required to include at least the following:

(1) A summary of any investigation opened during the preceding quarter, the affected office, agency or agencies, the investigation's unique tracking number, and a brief statement of the general nature of the allegation or allegations;

(2) A summary of any investigation closed during the preceding quarter, the affected office, agency or agencies, the investigation's unique tracking number, and a brief statement of the general nature of the allegation or allegations.

(3) The status of an ongoing investigation that remained open at the end of the quarter, the affected office, agency or agencies, the investigation's unique tracking number, and a brief statement of the general nature of the investigation.

If any investigation is not concluded within six months after its initiation, the LIG must also file a confidential six-month report with the LEC disclosing:

(1) the general nature of the allegation or information giving rise to the investigation, the title or job duties of the subjects of the investigation, and the investigation's unique tracking number.

(2) the date of the last alleged violation giving rise to the investigation;

(3) whether the LIG has found credible the allegations of criminal conduct;

(4) whether the allegation has been referred to an appropriate law enforcement agency and the identity of the law enforcement agency to which those allegations were referred;

(5) if an allegation has not been referred to an appropriate law enforcement agency, the reasons for the failure to complete the investigation within six months, a summary of the investigative steps taken, additional investigative steps contemplated at the time of the report, and an estimate of additional time necessary to complete the investigation; and

(6) any other information deemed necessary by the LEC in determining whether to appoint a Special Inspector General.

If the LIG has referred an allegation to an appropriate law enforcement agency and continues to investigate the matter, future reporting requirements are suspended.

The public quarterly reports submitted by the LIG to both the General Assembly and LEC and published on the LIG’s website are required to include:

(1) the total number of allegations received since the date of the last report and the total number of allegations received since the date of the last report by category of claim;

(2) the total number of investigations initiated since the date of the last report and the total number of investigations initiated since the date of the last report by category of claim;

(3) the total number of investigations concluded since the date of the last report and the total number of investigations concluded since the date of the last report by category of claim;

(4) the total number of investigations pending as of the reporting date and the total number of investigations pending as of the reporting date by category of claim;

(5) the total number of summary reports forwarded to the Attorney General pursuant to subsection (c) of Section 25-50 since the date of the last report;

(6) the total number of actions filed with the Legislative Ethics Commission since the date of the last report, the total number of actions pending before the Legislative Ethics Commission as of the reporting date, the total number of actions filed with the Legislative Ethics Commission since the date of the last report by category of claim, and the total number of actions pending before the Legislative Ethics Commission as of the reporting date by category of claim;

(7) the number of allegations referred to any law enforcement agency since the date of the last report;

(8) the total number of allegations referred to another investigatory body since the date of the last report; and

(9) the cumulative number of each of the foregoing for the current calendar year. For the purposes of such public reports, “category of claim” includes discrimination claims, harassment claims, sexual harassment claims, retaliation claims, gift ban claims, prohibited political activity claims, revolving door prohibition claims, and other, miscellaneous, or uncharacterized claims.

What rights do I have under the Ethics Act as a victim of discrimination, harassment, or sexual harassment?↓

Pursuant to Section 25-63 of the Ethics Act (5 ILCS 430/25-63) persons who file a complaint with the Legislative Inspector General (LIG) as a victim of discrimination, harassment, or sexual harassment in violation of Section 5-65 of the Ethics Act or Article 2 of the Illinois Human Rights Act (“complainant”), regardless of whether the complaint is filed by the person, shall have the following rights:

(1) within 5 business days of the LIG receiving a complaint in which the complainant is identified, to be notified by the LIG of the receipt of the complaint, the complainant’s rights, and an explanation of the process, rules, and procedures related to the investigation of an allegation, and the duties of the LIG and the Legislative Ethics Commission (LEC);

(2) within 5 business days after the LIG’s decision to open or close an investigation into the complaint or refer the complaint to another appropriate agency, to be notified of the LIG’s decision; however, if the LIG reasonably determines that publicly acknowledging the existence of an investigation would interfere with the conduct or completion of that investigation, the notification may be withheld until public acknowledgment of the investigation would no longer interfere with that investigation;

(3) after an investigation has been opened, to have any interviews of the complainant audio recorded by the LIG and to review, in person and in the presence of the LIG or the LIG’s designee, any transcript or interview report created from that audio recorded interview. The complainant may provide any supplemental statements or evidence throughout the investigation;

(4) to have a union representative, attorney, co-worker, or other support person who is not involved in the investigation, at the complainant’s expense, present at any interview or meeting, whether in person or by telephone or audio-visual communication, between the complainant and the LIG or LEC;

(5) to submit a complainant impact statement that shall be included with the LIG’s summary report to the LEC for its consideration;

(6) to testify at a hearing held under subsection (g) of Section 25-50 of the Ethics Act, to the extent the hearing is based on an allegation of a violation of Section 5-65 of that Act involving the complainant, and have a single union representative, attorney, co-worker, or other support person who is not involved in the investigation, at the complainant’s expense, accompany the complainant while testifying;

(7) to review, within 5 business days prior to its release, any portion of a summary report of the investigation subject to public release related to the allegations concerning the complainant, after redactions made by the LEC, and offer suggestions for redaction or provide a response that shall be made public with the summary report; and

(8) to file a complaint with the LEC for any violation of the complainant’s rights under this Section by the LIG.

The complainant shall have the sole discretion in determining whether or not to exercise those rights. All such rights shall be waived if the complainant fails to cooperate with the LIG’s investigation of the complaint.

Are members and employees of the legislative branch required to cooperate in Legislative Inspector General investigations?↓

The Ethics Act states in 5 ILCS 430/25-70: “It is the duty of every officer and employee under the jurisdiction of the Legislative Inspector General, including any inspector general serving in any State agency under the jurisdiction of the Legislative Inspector General, to cooperate with the Legislative Inspector General and the Attorney General in any investigation undertaken pursuant to this Act. Failure to cooperate includes, but is not limited to, intentional omissions and knowing false statements. Failure to cooperate with an investigation of the Legislative Inspector General or the Attorney General is grounds for disciplinary action, including dismissal. Nothing in this Section limits or alters a person's existing rights or privileges under State or federal law.”

Can I contact the Legislative Inspector General’s office directly to seek ethics advice if, for some reason, I prefer to do so rather than consult with my ethics officer?↓

Yes.

What are the rules of confidentiality if I seek guidance from the Legislative Inspector General (or my ethics officer) regarding Ethics Act issues?↓

The Ethics Act prohibits public disclosure of requests made to the Legislative Inspector General (or ethics officers) for guidance about Ethics Act issues and guidance provided in response to such requests. (5 ILCS 430/25-90(b) and 25-95(a-5))