100TH GENERAL ASSEMBLY
State of Illinois
2017 and 2018
SB0739

 

Introduced 1/30/2017, by Sen. Julie A. Morrison

 

SYNOPSIS AS INTRODUCED:
 
5 ILCS 430/5-45
5 ILCS 430/20-23
5 ILCS 430/20-50
5 ILCS 430/20-90
5 ILCS 430/20-95
30 ILCS 500/50-30

    Amends the State Officials and Employees Ethics Act. Provides that the Inspector General may require an ethics officer to provide relevant information as may be necessary to make an informed determination concerning whether to allow a former State employee to accept employment from a new employer in which he or she may have personally and substantially participated in decisions that benefited the new employer. Specifies requirements for written restricted determinations. Requires ethics officers to, among other requirements, successfully complete a training curriculum to be developed by the Executive Ethics Commission and thereafter successfully complete an annual training program. Provides that after an Executive Inspector General issues a summary report of an investigation, the ultimate jurisdictional authority or agency head may disclose Office of Executive Inspector General investigatory files and reports to agency staff who are necessary and responsible for determining and imposing discipline, and to an employee accused of wrongdoing for the purpose of determining and imposing appropriate discipline. Provides that the head and employees of a State agency affected by or involved in an investigation shall keep confidential and shall not disclose information exempted from disclosure under the Freedom of Information Act or by the State Officials and Employees Ethics Act. Provides additional exceptions under which investigatory files, reports, and requests for documents may be disclosed. Amends the Illinois Procurement Code to modify a Section concerning revolving door prohibitions. Makes conforming changes. Contains a severability clause. Effective immediately.


LRB100 05645 RJF 15659 b

 

 

A BILL FOR

 

SB0739LRB100 05645 RJF 15659 b

1    AN ACT concerning government.
 
2    Be it enacted by the People of the State of Illinois,
3represented in the General Assembly:
 
4    Section 5. The State Officials and Employees Ethics Act is
5amended by changing Sections 5-45, 20-23, 20-50, 20-90, and
620-95 as follows:
 
7    (5 ILCS 430/5-45)
8    Sec. 5-45. Procurement; revolving door prohibition.
9    (a) No former officer, member, or State employee, or spouse
10or immediate family member living with such person, shall,
11within a period of one year immediately after termination of
12State employment, knowingly accept employment or receive
13compensation or fees for services from a person or entity if
14the officer, member, or State employee, during the year
15immediately preceding termination of State employment,
16participated personally and substantially in the award of State
17contracts, or the issuance of State contract change orders,
18with a cumulative value of $25,000 or more to the person or
19entity, or its parent or subsidiary.
20    (b) No former officer of the executive branch or State
21employee of the executive branch with regulatory or licensing
22authority, or spouse or immediate family member living with
23such person, shall, within a period of one year immediately

 

 

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1after termination of State employment, knowingly accept
2employment or receive compensation or fees for services from a
3person or entity if the officer or State employee, during the
4year immediately preceding termination of State employment,
5participated personally and substantially in making a
6regulatory or licensing decision that directly applied to the
7person or entity, or its parent or subsidiary.
8    (c) Within 6 months after the effective date of this
9amendatory Act of the 96th General Assembly, each executive
10branch constitutional officer and legislative leader, the
11Auditor General, and the Joint Committee on Legislative Support
12Services shall adopt a policy delineating which State positions
13under his or her jurisdiction and control, by the nature of
14their duties, may have the authority to participate personally
15and substantially in the award of State contracts or in
16regulatory or licensing decisions. The Governor shall adopt
17such a policy for all State employees of the executive branch
18not under the jurisdiction and control of any other executive
19branch constitutional officer.
20    The policies required under subsection (c) of this Section
21shall be filed with the appropriate ethics commission
22established under this Act or, for the Auditor General, with
23the Office of the Auditor General.
24    (d) Each Inspector General shall have the authority to
25determine that additional State positions under his or her
26jurisdiction, not otherwise subject to the policies required by

 

 

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1subsection (c) of this Section, are nonetheless subject to the
2notification requirement of subsection (f) below due to their
3involvement in the award of State contracts or in regulatory or
4licensing decisions.
5    (e) The Joint Committee on Legislative Support Services,
6the Auditor General, and each of the executive branch
7constitutional officers and legislative leaders subject to
8subsection (c) of this Section shall provide written
9notification to all employees in positions subject to the
10policies required by subsection (c) or a determination made
11under subsection (d): (1) upon hiring, promotion, or transfer
12into the relevant position; and (2) at the time the employee's
13duties are changed in such a way as to qualify that employee.
14An employee receiving notification must certify in writing that
15the person was advised of the prohibition and the requirement
16to notify the appropriate Inspector General in subsection (f).
17    (f) Any State employee in a position subject to the
18policies required by subsection (c) or to a determination under
19subsection (d), but who does not fall within the prohibition of
20subsection (h) below, who is offered non-State employment
21during State employment or within a period of one year
22immediately after termination of State employment shall, prior
23to accepting such non-State employment, notify the appropriate
24Inspector General. Within 10 calendar days after receiving
25notification from an employee in a position subject to the
26policies required by subsection (c), such Inspector General

 

 

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1shall make a determination as to whether the State employee is
2restricted from accepting such employment by subsection (a) or
3(b). In making a determination, in addition to any other
4relevant information, an Inspector General shall assess the
5effect of the prospective employment or relationship upon
6decisions referred to in subsections (a) and (b), based on the
7totality of the participation by the former officer, member, or
8State employee in those decisions. The Inspector General may
9require an ethics officer to provide relevant information as
10may be necessary to make an informed determination. A
11determination by an Inspector General must be in writing,
12signed and dated by the Inspector General, and delivered to the
13subject of the determination within 10 calendar days after
14receiving notification from the employee, or the person is
15deemed eligible for the employment opportunity. A written
16restricted determination shall identify the factual and legal
17basis for the determination and provide the person subject to
18the restricted determination with notice of the opportunity to
19request the investigatory files and reports relied upon in
20making the determination. If requested by the person subject to
21a restricted determination, the Inspector General shall
22provide a copy of the investigatory files and reports, subject
23to subsection (d) of Section 20-95 of this Act, relied upon in
24making the determination to the person subject to the
25restricted determination within 3 business days. The Inspector
26General may redact information in the investigatory files and

 

 

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1reports that may reveal the identity of witnesses, or if the
2Inspector General determines it is appropriate to protect the
3identity of a person. For purposes of this subsection,
4"appropriate Inspector General" means (i) for members and
5employees of the legislative branch, the Legislative Inspector
6General; (ii) for the Auditor General and employees of the
7Office of the Auditor General, the Inspector General provided
8for in Section 30-5 of this Act; and (iii) for executive branch
9officers and employees, the Inspector General having
10jurisdiction over the officer or employee. For purposes of this
11subsection, "notification from the employee" may be defined by
12the Executive Ethics Commission by rule. Notice of any
13determination of an Inspector General and of any such appeal
14shall be given to the ultimate jurisdictional authority, the
15Attorney General, and the Executive Ethics Commission.
16    (g) An Inspector General's determination regarding
17restrictions under subsection (a) or (b) may be appealed to the
18appropriate Ethics Commission by the person subject to the
19decision or the Attorney General no later than the 10th
20calendar day after the date of the determination.
21    On appeal, the Ethics Commission or Auditor General shall
22seek, accept, and consider written public comments regarding a
23determination. In deciding whether to uphold an Inspector
24General's determination, the appropriate Ethics Commission or
25Auditor General shall assess, in addition to any other relevant
26information, the effect of the prospective employment or

 

 

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1relationship upon the decisions referred to in subsections (a)
2and (b), based on the totality of the participation by the
3former officer, member, or State employee in those decisions.
4The Ethics Commission shall decide whether to uphold an
5Inspector General's determination within 10 calendar days or
6the person is deemed eligible for the employment opportunity.
7    (h) The following officers, members, or State employees
8shall not, within a period of one year immediately after
9termination of office or State employment, knowingly accept
10employment or receive compensation or fees for services from a
11person or entity if the person or entity or its parent or
12subsidiary, during the year immediately preceding termination
13of State employment, was a party to a State contract or
14contracts with a cumulative value of $25,000 or more involving
15the officer, member, or State employee's State agency, or was
16the subject of a regulatory or licensing decision involving the
17officer, member, or State employee's State agency, regardless
18of whether he or she participated personally and substantially
19in the award of the State contract or contracts or the making
20of the regulatory or licensing decision in question:
21        (1) members or officers;
22        (2) members of a commission or board created by the
23    Illinois Constitution;
24        (3) persons whose appointment to office is subject to
25    the advice and consent of the Senate;
26        (4) the head of a department, commission, board,

 

 

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1    division, bureau, authority, or other administrative unit
2    within the government of this State;
3        (5) chief procurement officers, State purchasing
4    officers, and their designees whose duties are directly
5    related to State procurement; and
6        (6) chiefs of staff, deputy chiefs of staff, associate
7    chiefs of staff, assistant chiefs of staff, and deputy
8    governors.
9    (i) For the purposes of this Section, with respect to
10officers or employees of a regional transit board, as defined
11in this Act, the phrase "person or entity" does not include:
12(i) the United States government, (ii) the State, (iii)
13municipalities, as defined under Article VII, Section 1 of the
14Illinois Constitution, (iv) units of local government, as
15defined under Article VII, Section 1 of the Illinois
16Constitution, or (v) school districts.
17    (j) For purposes of this Section, "compensation or fees for
18services" includes compensation received directly or
19indirectly from a person or entity. It does not include a small
20portion of a person's compensation received as part of a
21general profit sharing plan.
22(Source: P.A. 96-555, eff. 8-18-09; 97-653, eff. 1-13-12.)
 
23    (5 ILCS 430/20-23)
24    Sec. 20-23. Ethics Officers. Each officer and the head of
25each State agency under the jurisdiction of the Executive

 

 

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1Ethics Commission shall designate an Ethics Officer for the
2office or State agency. The board of each Regional Transit
3Board shall designate an Ethics Officer. Ethics Officers shall:
4        (1) act as liaisons between the State agency or
5    Regional Transit Board and the appropriate Executive
6    Inspector General and between the State agency or Regional
7    Transit Board and the Executive Ethics Commission;
8        (2) review statements of economic interest and
9    disclosure forms of officers, senior employees, and
10    contract monitors before they are filed with the Secretary
11    of State; and
12        (3) provide guidance to officers and employees in the
13    interpretation and implementation of this Act, which the
14    officer or employee may in good faith rely upon. Such
15    guidance shall be based, wherever possible, upon legal
16    precedent in court decisions, opinions of the Attorney
17    General, and the findings and opinions of the Executive
18    Ethics Commission; and .
19        (4) within 6 months after the effective date of this
20    amendatory Act of the 100th General Assembly, successfully
21    complete a training curriculum to be developed by the
22    Executive Ethics Commission and thereafter successfully
23    complete an annual training program. Thereafter, whenever
24    a new ethics officer is designated by a State agency, that
25    person shall successfully complete the training curriculum
26    within 30 days after assuming the position. Successful

 

 

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1    completion of the required training curriculum within the
2    periods provided shall be a prerequisite to continue
3    serving as an ethics officer.
4(Source: P.A. 96-1528, eff. 7-1-11.)
 
5    (5 ILCS 430/20-50)
6    Sec. 20-50. Investigation reports.
7    (a) If an Executive Inspector General, upon the conclusion
8of an investigation, determines that reasonable cause exists to
9believe that a violation has occurred, then the Executive
10Inspector General shall issue a summary report of the
11investigation. The report shall be delivered to the appropriate
12ultimate jurisdictional authority and to the head of each State
13agency affected by or involved in the investigation, if
14appropriate. The appropriate ultimate jurisdictional authority
15or agency head shall respond to the summary report within 20
16days, in writing, to the Executive Inspector General. The
17response shall include a description of any corrective or
18disciplinary action to be imposed.
19    (b) The summary report of the investigation shall include
20the following:
21        (1) A description of any allegations or other
22    information received by the Executive Inspector General
23    pertinent to the investigation.
24        (2) A description of any alleged misconduct discovered
25    in the course of the investigation.

 

 

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1        (3) Recommendations for any corrective or disciplinary
2    action to be taken in response to any alleged misconduct
3    described in the report, including but not limited to
4    discharge.
5        (4) Other information the Executive Inspector General
6    deems relevant to the investigation or resulting
7    recommendations.
8    (c) Within 30 days after receiving a response from the
9appropriate ultimate jurisdictional authority or agency head
10under subsection (a), the Executive Inspector General shall
11notify the Commission and the Attorney General if the Executive
12Inspector General believes that a complaint should be filed
13with the Commission. If the Executive Inspector General desires
14to file a complaint with the Commission, the Executive
15Inspector General shall submit the summary report and
16supporting documents to the Attorney General. If the Attorney
17General concludes that there is insufficient evidence that a
18violation has occurred, the Attorney General shall notify the
19Executive Inspector General and the Executive Inspector
20General shall deliver to the Executive Ethics Commission a copy
21of the summary report and response from the ultimate
22jurisdictional authority or agency head. If the Attorney
23General determines that reasonable cause exists to believe that
24a violation has occurred, then the Executive Inspector General,
25represented by the Attorney General, may file with the
26Executive Ethics Commission a complaint. The complaint shall

 

 

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1set forth the alleged violation and the grounds that exist to
2support the complaint. The complaint must be filed with the
3Commission within 18 months after the most recent act of the
4alleged violation or of a series of alleged violations except
5where there is reasonable cause to believe that fraudulent
6concealment has occurred. To constitute fraudulent concealment
7sufficient to toll this limitations period, there must be an
8affirmative act or representation calculated to prevent
9discovery of the fact that a violation has occurred. If a
10complaint is not filed with the Commission within 6 months
11after notice by the Inspector General to the Commission and the
12Attorney General, then the Commission may set a meeting of the
13Commission at which the Attorney General shall appear and
14provide a status report to the Commission.
15    (c-5) Within 30 days after receiving a response from the
16appropriate ultimate jurisdictional authority or agency head
17under subsection (a), if the Executive Inspector General does
18not believe that a complaint should be filed, the Executive
19Inspector General shall deliver to the Executive Ethics
20Commission a statement setting forth the basis for the decision
21not to file a complaint and a copy of the summary report and
22response from the ultimate jurisdictional authority or agency
23head. An Inspector General may also submit a redacted version
24of the summary report and response from the ultimate
25jurisdictional authority if the Inspector General believes
26either contains information that, in the opinion of the

 

 

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1Inspector General, should be redacted prior to releasing the
2report, may interfere with an ongoing investigation, or
3identifies an informant or complainant.
4    (c-10) If, after reviewing the documents, the Commission
5believes that further investigation is warranted, the
6Commission may request that the Executive Inspector General
7provide additional information or conduct further
8investigation. The Commission may also appoint a Special
9Executive Inspector General to investigate or refer the summary
10report and response from the ultimate jurisdictional authority
11to the Attorney General for further investigation or review. If
12the Commission requests the Attorney General to investigate or
13review, the Commission must notify the Attorney General and the
14Inspector General. The Attorney General may not begin an
15investigation or review until receipt of notice from the
16Commission. If, after review, the Attorney General determines
17that reasonable cause exists to believe that a violation has
18occurred, then the Attorney General may file a complaint with
19the Executive Ethics Commission. If the Attorney General
20concludes that there is insufficient evidence that a violation
21has occurred, the Attorney General shall notify the Executive
22Ethics Commission and the appropriate Executive Inspector
23General.
24    (d) A copy of the complaint filed with the Executive Ethics
25Commission must be served on all respondents named in the
26complaint and on each respondent's ultimate jurisdictional

 

 

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1authority in the same manner as process is served under the
2Code of Civil Procedure.
3    (e) A respondent may file objections to the complaint
4within 30 days after notice of the petition has been served on
5the respondent.
6    (f) The Commission shall meet, either in person or by
7telephone, at least 30 days after the complaint is served on
8all respondents in a closed session to review the sufficiency
9of the complaint. The Commission shall issue notice by
10certified mail, return receipt requested, to the Executive
11Inspector General, Attorney General, and all respondents of the
12Commission's ruling on the sufficiency of the complaint. If the
13complaint is deemed to sufficiently allege a violation of this
14Act, then the Commission shall include a hearing date scheduled
15within 4 weeks after the date of the notice, unless all of the
16parties consent to a later date. If the complaint is deemed not
17to sufficiently allege a violation, then the Commission shall
18send by certified mail, return receipt requested, a notice to
19the Executive Inspector General, Attorney General, and all
20respondents of the decision to dismiss the complaint.
21    (g) On the scheduled date the Commission shall conduct a
22closed meeting, either in person or, if the parties consent, by
23telephone, on the complaint and allow all parties the
24opportunity to present testimony and evidence. All such
25proceedings shall be transcribed.
26    (h) Within an appropriate time limit set by rules of the

 

 

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1Executive Ethics Commission, the Commission shall (i) dismiss
2the complaint, (ii) issue a recommendation of discipline to the
3respondent and the respondent's ultimate jurisdictional
4authority, (iii) impose an administrative fine upon the
5respondent, (iv) issue injunctive relief as described in
6Section 50-10, or (v) impose a combination of (ii) through
7(iv).
8    (i) The proceedings on any complaint filed with the
9Commission shall be conducted pursuant to rules promulgated by
10the Commission.
11    (j) The Commission may designate hearing officers to
12conduct proceedings as determined by rule of the Commission.
13    (k) In all proceedings before the Commission, the standard
14of proof is by a preponderance of the evidence.
15    (l) Within 30 days after the issuance of a final
16administrative decision that concludes that a violation
17occurred, the Executive Ethics Commission shall make public the
18entire record of proceedings before the Commission, the
19decision, any recommendation, any discipline imposed, and the
20response from the agency head or ultimate jurisdictional
21authority to the Executive Ethics Commission.
22    (m) After the Executive Inspector General issues a summary
23report of the investigation, the ultimate jurisdictional
24authority or agency head may, as necessary, disclose Office of
25Executive Inspector General investigatory files and reports to
26agency staff who are necessary and responsible for determining

 

 

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1and imposing discipline and, as strictly necessary, to an
2employee accused of wrongdoing for the purpose of determining
3and imposing appropriate discipline.
4(Source: P.A. 96-555, eff. 8-18-09.)
 
5    (5 ILCS 430/20-90)
6    Sec. 20-90. Confidentiality.
7    (a) The identity of any individual providing information or
8reporting any possible or alleged misconduct to an Executive
9Inspector General or the Executive Ethics Commission shall be
10kept confidential and may not be disclosed without the consent
11of that individual, unless the individual consents to
12disclosure of his or her name or disclosure of the individual's
13identity is otherwise required by law. The confidentiality
14granted by this subsection does not preclude the disclosure of
15the identity of a person in any capacity other than as the
16source of an allegation.
17    (b) Subject to the provisions of Section 20-52,
18commissioners, employees, and agents of the Executive Ethics
19Commission, the Executive Inspectors General, and employees
20and agents of each Office of an Executive Inspector General,
21the Attorney General, and the employees and agents of the
22office of the Attorney General, and the head and employees of a
23State agency affected by or involved in an investigation, shall
24keep confidential and shall not disclose information exempted
25from disclosure under the Freedom of Information Act or by this

 

 

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1Act, provided the identity of any individual providing
2information or reporting any possible or alleged misconduct to
3the Executive Inspector General for the Governor may be
4disclosed to an Inspector General appointed or employed by a
5Regional Transit Board in accordance with Section 75-10.
6(Source: P.A. 96-555, eff. 8-18-09; 96-1528, eff. 7-1-11.)
 
7    (5 ILCS 430/20-95)
8    Sec. 20-95. Exemptions.
9    (a) Documents generated by an ethics officer under this
10Act, except Section 5-50, are exempt from the provisions of the
11Freedom of Information Act.
12    (b) Any allegations and related documents submitted to an
13Executive Inspector General and any pleadings and related
14documents brought before the Executive Ethics Commission are
15exempt from the provisions of the Freedom of Information Act so
16long as the Executive Ethics Commission does not make a finding
17of a violation of this Act. If the Executive Ethics Commission
18finds that a violation has occurred, the entire record of
19proceedings before the Commission, the decision and
20recommendation, and the response from the agency head or
21ultimate jurisdictional authority to the Executive Ethics
22Commission are not exempt from the provisions of the Freedom of
23Information Act but information contained therein that is
24otherwise exempt from the Freedom of Information Act must be
25redacted before disclosure as provided in the Freedom of

 

 

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1Information Act. A summary report released by the Executive
2Ethics Commission under Section 20-52 is a public record, but
3information redacted by the Executive Ethics Commission shall
4not be part of the public record.
5    (c) Meetings of the Commission are exempt from the
6provisions of the Open Meetings Act.
7    (d) Unless otherwise provided in this Act, all
8investigatory files, and reports, and requests for documents of
9or by the Office of an Executive Inspector General, other than
10monthly reports required under Section 20-85, are
11confidential, are exempt from disclosure under the Freedom of
12Information Act, and shall not be divulged to any person or
13agency, except as necessary (i) to a law enforcement authority,
14(ii) to the ultimate jurisdictional authority, (iii) to the
15Executive Ethics Commission, (iv) to another Inspector General
16appointed pursuant to this Act, or (v) to an Inspector General
17appointed or employed by a Regional Transit Board in accordance
18with Section 75-10, (vi) to the head of a State agency affected
19by or involved in the investigation, or (vii) to the person
20subject to a restricted determination, the Attorney General, or
21the Executive Ethics Commission, when the investigatory files
22and reports relate to a revolving door determination under
23Section 5-45 of this Act.
24(Source: P.A. 96-555, eff. 8-18-09; 96-1528, eff. 7-1-11.)
 
25    Section 10. The Illinois Procurement Code is amended by

 

 

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1changing Section 50-30 as follows:
 
2    (30 ILCS 500/50-30)
3    Sec. 50-30. Revolving door prohibition.
4    (a) Chief procurement officers, State purchasing officers,
5procurement compliance monitors, their designees whose
6principal duties are directly related to State procurement, and
7executive officers confirmed by the Senate are expressly
8prohibited for a period of 2 years after terminating an
9affected position from engaging in any procurement activity
10relating to the State agency most recently employing them, or
11relating to the State agency most recently assigned to them to
12oversee, in an affected position for a period of at least 6
13months. The prohibition includes but is not limited to:
14lobbying the procurement process; specifying; bidding;
15proposing bid, proposal, or contract documents; on their own
16behalf or on behalf of any firm, partnership, association, or
17corporation. This subsection applies only to persons who
18terminate an affected position on or after January 15, 1999.
19    (b) In addition to any other provisions of this Code,
20employment of former State employees is subject to the State
21Officials and Employees Ethics Act.
22(Source: P.A. 96-795, eff. 7-1-10 (see Section 5 of P.A. 96-793
23for the effective date of changes made by P.A. 96-795).)
 
24    Section 97. Severability. The provisions of this Act are

 

 

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1severable under Section 1.31 of the Statute on Statutes.
 
2    Section 99. Effective date. This Act takes effect upon
3becoming law.