100TH GENERAL ASSEMBLY
State of Illinois
2017 and 2018
SB1688

 

Introduced 2/9/2017, by Sen. Kwame Raoul

 

SYNOPSIS AS INTRODUCED:
 
See Index

    Amends the Department of Professional Regulation Law of the Civil Administrative Code of Illinois. Requires the Department of Financial and Professional Regulation to consider certain mitigating factors and evidence of rehabilitation for certain applicants of licenses, certificates, and registrations. Requires the Department, upon denial of a license, certificate, or registration, to provide the applicant certain information concerning the denial. Provides that no application for licensure or registration shall be denied by reason of a finding of lack of good moral character when the finding is based solely upon the fact that the applicant has one or more previous convictions. Provides that the Department shall not require applicants to report certain criminal history information and the Department shall not consider the information. Provides that on May 1 of each year, the Department shall prepare, publicly announce, and publish certain statistical information. Amends the Criminal Identification Act. Includes applications for license, certification, and registration that must contain specific language which states that the applicant is not obligated to disclose sealed or expunged records of conviction or arrest and entities authorized to grant professional licenses, certifications, and registrations that may not ask if an applicant has had records expunged or sealed. Provides that certain sealed or impounded felony records shall not be disseminated in connection with an application for a professional or business license, except specified health care worker licenses. Effective immediately.


LRB100 08713 SMS 18849 b

FISCAL NOTE ACT MAY APPLY

 

 

A BILL FOR

 

SB1688LRB100 08713 SMS 18849 b

1    AN ACT concerning State government.
 
2    Be it enacted by the People of the State of Illinois,
3represented in the General Assembly:
 
4    Section 5. The Department of Professional Regulation Law of
5the Civil Administrative Code of Illinois is amended by
6changing Sections 2105-130, 2105-131, 2105-135, 2105-205, and
72105-207 as follows:
 
8    (20 ILCS 2105/2105-130)
9    Sec. 2105-130. Determination of disciplinary sanctions.
10    (a) Following disciplinary proceedings as authorized in
11any licensing Act administered by the Department, upon a
12finding by the Department that a person has committed a
13violation of the licensing Act with regard to licenses,
14certificates, or authorities of persons exercising the
15respective professions, trades, or occupations, the Department
16may revoke, suspend, refuse to renew, place on probationary
17status, fine, or take any other disciplinary action as
18authorized in the licensing Act with regard to those licenses,
19certificates, or authorities. When making a determination of
20the appropriate disciplinary sanction to be imposed, the
21Department shall consider only evidence contained in the
22record. The Department shall consider any aggravating or
23mitigating factors contained in the record when determining the

 

 

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1appropriate disciplinary sanction to be imposed.
2    (b) When making a determination of the appropriate
3disciplinary sanction to be imposed on a licensee, the
4Department shall consider, but is not limited to, the following
5aggravating factors contained in the record:
6        (1) the seriousness of the offenses;
7        (2) the presence of multiple offenses;
8        (3) prior disciplinary history, including actions
9    taken by other agencies in this State, by other states or
10    jurisdictions, hospitals, health care facilities,
11    residency programs, employers, or professional liability
12    insurance companies or by any of the armed forces of the
13    United States or any state;
14        (4) the impact of the offenses on any injured party;
15        (5) the vulnerability of any injured party, including,
16    but not limited to, consideration of the injured party's
17    age, disability, or mental illness;
18        (6) the motive for the offenses;
19        (7) the lack of contrition for the offenses;
20        (8) financial gain as a result of committing the
21    offenses; and
22        (9) the lack of cooperation with the Department or
23    other investigative authorities.
24    (c) When making a determination of the appropriate
25disciplinary sanction to be imposed on a licensee, the
26Department shall consider, but is not limited to, the following

 

 

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1mitigating factors contained in the record:
2        (1) the lack of prior disciplinary action by the
3    Department or by other agencies in this State, by other
4    states or jurisdictions, hospitals, health care
5    facilities, residency programs, employers, insurance
6    providers, or by any of the armed forces of the United
7    States or any state;
8        (2) contrition for the offenses;
9        (3) cooperation with the Department or other
10    investigative authorities;
11        (4) restitution to injured parties;
12        (5) whether the misconduct was self-reported; and
13        (6) any voluntary remedial actions taken.
14(Source: P.A. 98-1047, eff. 1-1-15.)
 
15    (20 ILCS 2105/2105-131 new)
16    Sec. 2105-131. Applicants with criminal convictions;
17notice of denial.
18    (a) Except as provided in Section 2105-130 of this Act
19regarding licensing restrictions based on enumerated offenses
20for health care workers as defined in the Health Care Worker
21Self-Referral Act, the Department, upon a finding that an
22applicant for a license, certificate, or registration was
23previously convicted of a felony or misdemeanor that may be
24grounds for refusing to issue a license or certificate or
25granting registration, shall consider any mitigating factors

 

 

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1and evidence of rehabilitation contained in the applicant's
2record, including any of the following, in determining whether
3to grant a license, certificate, or registration:
4        (1) the lack of direct relation of the offense for
5    which the applicant was previously convicted to the duties,
6    functions, and responsibilities of the position for which a
7    license in sought;
8        (2) unless otherwise specified, whether 5 years since a
9    felony conviction or 3 years since release from confinement
10    for the conviction, whichever is later, have passed without
11    a subsequent conviction;
12        (3) if the applicant was previously licensed or
13    employed in this State or other states or jurisdictions,
14    the lack of prior misconduct arising from or related to the
15    licensed position or position of employment;
16        (4) the age of the person at the time of the criminal
17    offense;
18        (5) successful completion of sentence and, for
19    applicants serving a term of parole or probation, a
20    progress report provided by the applicant's probation or
21    parole officer that documents the applicant's compliance
22    with conditions of supervision;
23        (6) evidence of the applicant's present fitness and
24    professional character;
25        (7) evidence of rehabilitation or rehabilitative
26    effort during or after incarceration, or during or after a

 

 

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1    term of supervision, including, but not limited to, a
2    certificate of good conduct under Section 5-5.5-25 of the
3    Unified Code of Corrections or certificate of relief from
4    disabilities under Section 5-5.5-10 of the Unified Code of
5    Corrections; and
6        (8) any other mitigating factors that contribute to the
7    person's potential and current ability to perform the job
8    duties.
9    (b) It is the affirmative obligation of the Department to
10demonstrate that a prior conviction would impair the ability of
11the applicant to engage in a practice requiring registration,
12licensure, or certification by the Department. If the
13Department refuses to issue a license or certificate or grant
14registration to an applicant, the Department shall notify the
15applicant of the denial in writing with the following included
16in the notice of denial:
17        (1) a statement about the decision to refuse to grant a
18    license, certificate, or registration;
19        (2) a list of the conviction items that formed the sole
20    or partial basis for the refusal to issue a license;
21        (3) a list of the mitigating evidence presented by the
22    applicant;
23        (4) reasons for refusing to issue a license specific to
24    the evidence presented in mitigation of conviction items
25    that formed the partial or sole basis for the Department's
26    decision; and

 

 

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1        (5) a summary of the appeal process or the earliest the
2    applicant may reapply for a license, whichever is
3    applicable.
 
4    (20 ILCS 2105/2105-135)
5    Sec. 2105-135. Qualification for licensure or
6registration; good moral character; applicant conviction
7records.
8    (a) The practice of professions licensed or registered by
9the Department is hereby declared to affect the public health,
10safety, and welfare and to be subject to regulation and control
11in the public interest. It is further declared to be a matter
12of public interest and concern that persons who are licensed or
13registered to engage in any of the professions licensed or
14registered by the Department are of good moral character, which
15shall be a continuing requirement of licensure or registration
16so as to merit and receive the confidence and trust of the
17public. Upon a finding by the Department that a person has
18committed a violation of the disciplinary grounds of any
19licensing Act administered by the Department with regard to
20licenses, certificates, or authorities of persons exercising
21the respective professions, trades, or occupations, the
22Department is authorized to revoke, suspend, refuse to renew,
23place on probationary status, fine, or take any other
24disciplinary action it deems warranted against any licensee or
25registrant whose conduct violates the continuing requirement

 

 

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1of good moral character.
2    (b) No application for licensure or registration shall be
3denied by reason of a finding of lack of good moral character
4when the finding is based solely upon the fact that the
5applicant has previously been convicted of one or more criminal
6offenses. When reviewing a prior conviction of an initial
7applicant for the purpose of determining good moral character,
8the Department shall consider evidence of rehabilitation and
9mitigating factors in the applicant's record, including those
10set forth in subsection (a) of Section 2105-131 of this Act.
11    (c) The Department shall not require applicants to report
12the following information and shall not consider the following
13criminal history records in connection with an application for
14licensure or registration:
15        (1) juvenile adjudications of delinquent minors as
16    defined in Section 5-105 of the Juvenile Court Act of 1987
17    subject to the restrictions set forth in Section 5-130 of
18    that Act;
19        (2) law enforcement, court, and conviction records of
20    an individual who was 17 years old at the time of the
21    offense and before January 1, 2014, unless the offense
22    required automatic transfer to adult court;
23        (3) records of arrest not followed by a conviction
24    unless related to the practice of the profession; however,
25    applicants shall not be asked to report any arrests, and an
26    arrest not followed by a conviction shall not be the basis

 

 

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1    of a denial and may be used only to assess an applicant's
2    rehabilitation;
3        (4) convictions overturned by a higher court; or
4        (5) convictions or arrests that have been sealed or
5    expunged.
6(Source: P.A. 98-1047, eff. 1-1-15.)
 
7    (20 ILCS 2105/2105-205)  (was 20 ILCS 2105/60.3)
8    Sec. 2105-205. Publication of disciplinary actions; annual
9report.
10    (a) The Department shall publish on its website, at least
11monthly, final disciplinary actions taken by the Department
12against a licensee or applicant pursuant to any licensing Act
13administered by the Department. The specific disciplinary
14action and the name of the applicant or licensee shall be
15listed.
16    (b) No later than May 1 of each year, the Department must
17prepare, publicly announce, and publish a report of summary
18statistical information relating to new and renewal license,
19certification, or registration applications during the
20preceding calendar year. Each report shall show at minimum:
21        (1) the number of applicants for each new or renewal
22    license, certificate, or registration administered by the
23    Department in the previous calendar year;
24        (2) the number of applicants for a new or renewal
25    license, certificate, or registration within the previous

 

 

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1    calendar year who had any criminal conviction;
2        (3) the number of applicants for a new or renewal
3    license, certificate, or registration in the previous
4    calendar year who were granted a license, registration, or
5    certificate;
6        (4) the number of applicants for a new or renewal
7    license, certificate, or registration within the previous
8    calendar year with a criminal conviction who were granted a
9    license, certificate, or registration in the previous
10    calendar year;
11        (5) the number of applicants for a new or renewal
12    license, certificate, or registration in the previous
13    calendar year who were denied a license, registration, or
14    certificate;
15        (6) the number of applicants for new or renewal
16    license, certificate, or registration in the previous
17    calendar year with a criminal conviction who were denied a
18    license, certificate, or registration in part or in whole
19    because of such conviction;
20        (7) the number of probationary licenses issued without
21    monitoring within the previous calendar year to applicants
22    with a criminal conviction;
23        (8) the number of probationary licenses issued with
24    monitoring within the previous calendar year to applicants
25    with a criminal conviction; and
26        (9) the number of licensees, certificate holders, or

 

 

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1    permittees who were granted expungement for a record of
2    discipline based on a conviction predating licensure,
3    certification, or registration or a criminal charge,
4    arrest, or conviction that was dismissed, sealed, or
5    expunged or did not arise from the regulated activity, as a
6    share of the total such expungement requests.
7(Source: P.A. 99-227, eff. 8-3-15.)
 
8    (20 ILCS 2105/2105-207)
9    Sec. 2105-207. Records of Department actions.
10    (a) Any licensee subject to a licensing Act administered by
11the Division of Professional Regulation and who has been
12subject to disciplinary action by the Department may file an
13application with the Department on forms provided by the
14Department, along with the required fee of $200, to have the
15records classified as confidential, not for public release, and
16considered expunged for reporting purposes if:
17        (1) the application is submitted more than 3 7 years
18    after the disciplinary offense or offenses occurred;
19        (2) the licensee has had no incidents of discipline
20    under the licensing Act since the disciplinary offense or
21    offenses identified in the application occurred;
22        (3) the Department has no pending investigations
23    against the licensee; and
24        (4) the licensee is not currently in a disciplinary
25    status.

 

 

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1    (b) An application to make disciplinary records
2confidential shall only be considered by the Department for an
3offense or action relating to:
4        (1) failure to pay taxes or student loans;
5        (2) continuing education;
6        (3) failure to renew a license on time;
7        (4) failure to obtain or renew a certificate of
8    registration or ancillary license;
9        (5) advertising; or
10        (5.1) discipline based on criminal charges or
11    convictions:
12            (A) that did not arise from the licensed activity
13        and was unrelated to the licensed activity; or
14            (B) for which the records have been sealed,
15        expunged, or dismissed;
16        (5.2) a probationary license issued to new applicants
17    on the sole or partial basis of prior convictions; or
18        (6) any grounds for discipline removed from the
19    licensing Act.
20    (c) An application shall be submitted to and considered by
21the Director of the Division of Professional Regulation upon
22submission of an application and the required non-refundable
23fee. The Department may establish additional requirements by
24rule. The Department is not required to report the removal of
25any disciplinary record to any national database. Nothing in
26this Section shall prohibit the Department from using a

 

 

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1previous discipline for any regulatory purpose or from
2releasing records of a previous discipline upon request from
3law enforcement, or other governmental body as permitted by
4law. Classification of records as confidential shall result in
5removal of records of discipline from records kept pursuant to
6Sections 2105-200 and 2105-205 of this Act.
7(Source: P.A. 98-816, eff. 8-1-14.)
 
8    Section 10. The Criminal Identification Act is amended by
9changing Sections 12 and 13 as follows:
 
10    20 ILCS 2630/12)
11    Sec. 12. Entry of order; effect of expungement or sealing
12records.
13    (a) Except with respect to law enforcement agencies, the
14Department of Corrections, State's Attorneys, or other
15prosecutors, and as provided in Section 13 of this Act, an
16expunged or sealed record may not be considered by any private
17or public entity in employment matters, certification,
18licensing, revocation of certification or licensure, or
19registration. Applications for employment, certification,
20registration, or licensure must contain specific language
21which states that the applicant is not obligated to disclose
22sealed or expunged records of conviction or arrest. Employers
23and entities authorized to grant a professional license,
24certification, or registration may not ask if an applicant has

 

 

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1had records expunged or sealed.
2    (b) A person whose records have been sealed or expunged is
3not entitled to remission of any fines, costs, or other money
4paid as a consequence of the sealing or expungement. This
5amendatory Act of the 93rd General Assembly does not affect the
6right of the victim of a crime to prosecute or defend a civil
7action for damages. Persons engaged in civil litigation
8involving criminal records that have been sealed may petition
9the court to open the records for the limited purpose of using
10them in the course of litigation.
11(Source: P.A. 93-211, eff. 1-1-04; 93-1084, eff. 6-1-05.)
 
12    (20 ILCS 2630/13)
13    Sec. 13. Retention and release of sealed records.
14    (a) The Department of State Police shall retain records
15sealed under subsection (c) or (e-5) of Section 5.2 or
16impounded under subparagraph (B) or (B-5) of paragraph (9) of
17subsection (d) of Section 5.2 and shall release them only as
18authorized by this Act. Felony records sealed under subsection
19(c) or (e-5) of Section 5.2 or impounded under subparagraph (B)
20or (B-5) of paragraph (9) of subsection (d) of Section 5.2
21shall be used and disseminated by the Department only as
22otherwise specifically required or authorized by a federal or
23State law, rule, or regulation that requires inquiry into and
24release of criminal records, including, but not limited to,
25subsection (A) of Section 3 of this Act, except those records

 

 

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1shall not be used or disseminated in connection with an
2application for a professional or business license,
3registration, or certification not involving a licensed health
4care worker as defined in the Health Care Worker Self-Referral
5Act. However, all requests for records that have been expunged,
6sealed, and impounded and the use of those records are subject
7to the provisions of Section 2-103 of the Illinois Human Rights
8Act. Upon conviction for any offense, the Department of
9Corrections shall have access to all sealed records of the
10Department pertaining to that individual.
11    (b) Notwithstanding the foregoing, all sealed or impounded
12records are subject to inspection and use by the court and
13inspection and use by law enforcement agencies and State's
14Attorneys or other prosecutors in carrying out the duties of
15their offices.
16    (c) The sealed or impounded records maintained under
17subsection (a) are exempt from disclosure under the Freedom of
18Information Act.
19    (d) The Department of State Police shall commence the
20sealing of records of felony arrests and felony convictions
21pursuant to the provisions of subsection (c) of Section 5.2 of
22this Act no later than one year from the date that funds have
23been made available for purposes of establishing the
24technologies necessary to implement the changes made by this
25amendatory Act of the 93rd General Assembly.
26(Source: P.A. 97-1026, eff. 1-1-13; 97-1120, eff. 1-1-13;

 

 

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198-399, eff. 8-16-13; 98-463, eff. 8-16-13.)
 
2    Section 99. Effective date. This Act takes effect upon
3becoming law.

 

 

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1 INDEX
2 Statutes amended in order of appearance
3    20 ILCS 2105/2105-130
4    20 ILCS 2105/2105-131 new
5    20 ILCS 2105/2105-135
6    20 ILCS 2105/2105-205was 20 ILCS 2105/60.3
7    20 ILCS 2105/2105-207
8    20 ILCS 2630/12
9    20 ILCS 2630/13