Illinois General Assembly - Full Text of SB3965
Illinois General Assembly

Previous General Assemblies

Full Text of SB3965  96th General Assembly

SB3965sam002 96TH GENERAL ASSEMBLY

Sen. Martin A. Sandoval

Filed: 11/16/2010

 

 


 

 


 
09600SB3965sam002LRB096 24159 RLJ 43842 a

1
AMENDMENT TO SENATE BILL 3965

2    AMENDMENT NO. ______. Amend Senate Bill 3965 by replacing
3everything after the enacting clause with the following:
 
4    "Section 5. The State Officials and Employees Ethics Act is
5amended by changing Sections 1-5, 20-5, 20-10, 20-20, 20-21,
620-23, 20-50, 20-55, 20-70, and 70-5 as follows:
 
7    (5 ILCS 430/1-5)
8    Sec. 1-5. Definitions. As used in this Act:
9    "Appointee" means a person appointed to a position in or
10with a State agency, regardless of whether the position is
11compensated.
12    "Campaign for elective office" means any activity in
13furtherance of an effort to influence the selection,
14nomination, election, or appointment of any individual to any
15federal, State, or local public office or office in a political
16organization, or the selection, nomination, or election of

 

 

09600SB3965sam002- 2 -LRB096 24159 RLJ 43842 a

1Presidential or Vice-Presidential electors, but does not
2include activities (i) relating to the support or opposition of
3any executive, legislative, or administrative action (as those
4terms are defined in Section 2 of the Lobbyist Registration
5Act), (ii) relating to collective bargaining, or (iii) that are
6otherwise in furtherance of the person's official State duties.
7    "Candidate" means a person who has filed nominating papers
8or petitions for nomination or election to an elected State
9office, or who has been appointed to fill a vacancy in
10nomination, and who remains eligible for placement on the
11ballot at either a general primary election or general
12election.
13    "Collective bargaining" has the same meaning as that term
14is defined in Section 3 of the Illinois Public Labor Relations
15Act.
16    "Commission" means an ethics commission created by this
17Act.
18    "Compensated time" means any time worked by or credited to
19a State employee that counts toward any minimum work time
20requirement imposed as a condition of employment with a State
21agency, but does not include any designated State holidays or
22any period when the employee is on a leave of absence.
23    "Compensatory time off" means authorized time off earned by
24or awarded to a State employee to compensate in whole or in
25part for time worked in excess of the minimum work time
26required of that employee as a condition of employment with a

 

 

09600SB3965sam002- 3 -LRB096 24159 RLJ 43842 a

1State agency.
2    "Contribution" has the same meaning as that term is defined
3in Section 9-1.4 of the Election Code.
4    "Employee" means (i) any person employed full-time,
5part-time, or pursuant to a contract and whose employment
6duties are subject to the direction and control of an employer
7with regard to the material details of how the work is to be
8performed or (ii) any appointed or elected commissioner,
9trustee, director, or board member of a board of a State
10agency, including any retirement system or investment board
11subject to the Illinois Pension Code or (iii) any other
12appointee.
13    "Employment benefits" include but are not limited to the
14following: modified compensation or benefit terms; compensated
15time off; or change of title, job duties, or location of office
16or employment. An employment benefit may also include favorable
17treatment in determining whether to bring any disciplinary or
18similar action or favorable treatment during the course of any
19disciplinary or similar action or other performance review.
20    "Executive branch constitutional officer" means the
21Governor, Lieutenant Governor, Attorney General, Secretary of
22State, Comptroller, and Treasurer.
23    "Gift" means any gratuity, discount, entertainment,
24hospitality, loan, forbearance, or other tangible or
25intangible item having monetary value including, but not
26limited to, cash, food and drink, and honoraria for speaking

 

 

09600SB3965sam002- 4 -LRB096 24159 RLJ 43842 a

1engagements related to or attributable to government
2employment or the official position of an employee, member, or
3officer.
4    "Governmental entity" means a unit of local government
5(including a community college district) or a school district
6but not a State agency.
7    "Leave of absence" means any period during which a State
8employee does not receive (i) compensation for State
9employment, (ii) service credit towards State pension
10benefits, and (iii) health insurance benefits paid for by the
11State.
12    "Legislative branch constitutional officer" means a member
13of the General Assembly and the Auditor General.
14    "Legislative leader" means the President and Minority
15Leader of the Senate and the Speaker and Minority Leader of the
16House of Representatives.
17    "Member" means a member of the General Assembly.
18    "Officer" means an executive branch constitutional officer
19or a legislative branch constitutional officer.
20    "Political" means any activity in support of or in
21connection with any campaign for elective office or any
22political organization, but does not include activities (i)
23relating to the support or opposition of any executive,
24legislative, or administrative action (as those terms are
25defined in Section 2 of the Lobbyist Registration Act), (ii)
26relating to collective bargaining, or (iii) that are otherwise

 

 

09600SB3965sam002- 5 -LRB096 24159 RLJ 43842 a

1in furtherance of the person's official State duties or
2governmental and public service functions.
3    "Political organization" means a party, committee,
4association, fund, or other organization (whether or not
5incorporated) that is required to file a statement of
6organization with the State Board of Elections or a county
7clerk under Section 9-3 of the Election Code, but only with
8regard to those activities that require filing with the State
9Board of Elections or a county clerk.
10    "Prohibited political activity" means:
11        (1) Preparing for, organizing, or participating in any
12    political meeting, political rally, political
13    demonstration, or other political event.
14        (2) Soliciting contributions, including but not
15    limited to the purchase of, selling, distributing, or
16    receiving payment for tickets for any political
17    fundraiser, political meeting, or other political event.
18        (3) Soliciting, planning the solicitation of, or
19    preparing any document or report regarding any thing of
20    value intended as a campaign contribution.
21        (4) Planning, conducting, or participating in a public
22    opinion poll in connection with a campaign for elective
23    office or on behalf of a political organization for
24    political purposes or for or against any referendum
25    question.
26        (5) Surveying or gathering information from potential

 

 

09600SB3965sam002- 6 -LRB096 24159 RLJ 43842 a

1    or actual voters in an election to determine probable vote
2    outcome in connection with a campaign for elective office
3    or on behalf of a political organization for political
4    purposes or for or against any referendum question.
5        (6) Assisting at the polls on election day on behalf of
6    any political organization or candidate for elective
7    office or for or against any referendum question.
8        (7) Soliciting votes on behalf of a candidate for
9    elective office or a political organization or for or
10    against any referendum question or helping in an effort to
11    get voters to the polls.
12        (8) Initiating for circulation, preparing,
13    circulating, reviewing, or filing any petition on behalf of
14    a candidate for elective office or for or against any
15    referendum question.
16        (9) Making contributions on behalf of any candidate for
17    elective office in that capacity or in connection with a
18    campaign for elective office.
19        (10) Preparing or reviewing responses to candidate
20    questionnaires in connection with a campaign for elective
21    office or on behalf of a political organization for
22    political purposes.
23        (11) Distributing, preparing for distribution, or
24    mailing campaign literature, campaign signs, or other
25    campaign material on behalf of any candidate for elective
26    office or for or against any referendum question.

 

 

09600SB3965sam002- 7 -LRB096 24159 RLJ 43842 a

1        (12) Campaigning for any elective office or for or
2    against any referendum question.
3        (13) Managing or working on a campaign for elective
4    office or for or against any referendum question.
5        (14) Serving as a delegate, alternate, or proxy to a
6    political party convention.
7        (15) Participating in any recount or challenge to the
8    outcome of any election, except to the extent that under
9    subsection (d) of Section 6 of Article IV of the Illinois
10    Constitution each house of the General Assembly shall judge
11    the elections, returns, and qualifications of its members.
12    "Prohibited source" means any person or entity who:
13        (1) is seeking official action (i) by the member or
14    officer or (ii) in the case of an employee, by the employee
15    or by the member, officer, State agency, or other employee
16    directing the employee;
17        (2) does business or seeks to do business (i) with the
18    member or officer or (ii) in the case of an employee, with
19    the employee or with the member, officer, State agency, or
20    other employee directing the employee;
21        (3) conducts activities regulated (i) by the member or
22    officer or (ii) in the case of an employee, by the employee
23    or by the member, officer, State agency, or other employee
24    directing the employee;
25        (4) has interests that may be substantially affected by
26    the performance or non-performance of the official duties

 

 

09600SB3965sam002- 8 -LRB096 24159 RLJ 43842 a

1    of the member, officer, or employee;
2        (5) is registered or required to be registered with the
3    Secretary of State under the Lobbyist Registration Act,
4    except that an entity not otherwise a prohibited source
5    does not become a prohibited source merely because a
6    registered lobbyist is one of its members or serves on its
7    board of directors; or
8        (6) is an agent of, a spouse of, or an immediate family
9    member who is living with a "prohibited source".
10    "Service Boards" means the Board of the Commuter Rail
11Division of the Regional Transportation Authority, the Board of
12the Suburban Bus Division of the Regional Transportation
13Authority, and the Board of the Chicago Transit Authority
14established under the Metropolitan Transit Authority Act.
15    "State agency" includes all officers, boards, commissions
16and agencies created by the Constitution, whether in the
17executive or legislative branch; all officers, departments,
18boards, commissions, agencies, institutions, authorities,
19public institutions of higher learning as defined in Section 2
20of the Higher Education Cooperation Act (except community
21colleges), and bodies politic and corporate of the State; and
22administrative units or corporate outgrowths of the State
23government which are created by or pursuant to statute, other
24than units of local government (including community college
25districts) and their officers, school districts, and boards of
26election commissioners; and all administrative units and

 

 

09600SB3965sam002- 9 -LRB096 24159 RLJ 43842 a

1corporate outgrowths of the above and as may be created by
2executive order of the Governor. "State agency" includes the
3General Assembly, the Senate, the House of Representatives, the
4President and Minority Leader of the Senate, the Speaker and
5Minority Leader of the House of Representatives, the Senate
6Operations Commission, and the legislative support services
7agencies. "State agency" includes the Office of the Auditor
8General. "State agency" includes all board members, officers,
9and employees of the Regional Transportation Authority and each
10of the Service Boards. "State agency" does not include the
11judicial branch.
12    "State employee" means any employee of a State agency.
13    "Ultimate jurisdictional authority" means the following:
14        (1) For members, legislative partisan staff, and
15    legislative secretaries, the appropriate legislative
16    leader: President of the Senate, Minority Leader of the
17    Senate, Speaker of the House of Representatives, or
18    Minority Leader of the House of Representatives.
19        (2) For State employees who are professional staff or
20    employees of the Senate and not covered under item (1), the
21    Senate Operations Commission.
22        (3) For State employees who are professional staff or
23    employees of the House of Representatives and not covered
24    under item (1), the Speaker of the House of
25    Representatives.
26        (4) For State employees who are employees of the

 

 

09600SB3965sam002- 10 -LRB096 24159 RLJ 43842 a

1    legislative support services agencies, the Joint Committee
2    on Legislative Support Services.
3        (5) For State employees of the Auditor General, the
4    Auditor General.
5        (6) For State employees of public institutions of
6    higher learning as defined in Section 2 of the Higher
7    Education Cooperation Act (except community colleges), the
8    board of trustees of the appropriate public institution of
9    higher learning.
10        (7) For State employees of an executive branch
11    constitutional officer other than those described in
12    paragraph (6), the appropriate executive branch
13    constitutional officer.
14        (8) For State employees not under the jurisdiction of
15    paragraph (1), (2), (3), (4), (5), (6), or (7), the
16    Governor.
17(Source: P.A. 95-880, eff. 8-19-08; 96-6, eff. 4-3-09; 96-555,
18eff. 8-18-09.)
 
19    (5 ILCS 430/20-5)
20    Sec. 20-5. Executive Ethics Commission.
21    (a) The Executive Ethics Commission is created.
22    (b) The Executive Ethics Commission shall consist of 9
23commissioners. The Governor shall appoint 5 commissioners, and
24the Attorney General, Secretary of State, Comptroller, and
25Treasurer shall each appoint one commissioner. Appointments

 

 

09600SB3965sam002- 11 -LRB096 24159 RLJ 43842 a

1shall be made by and with the advice and consent of the Senate
2by three-fifths of the elected members concurring by record
3vote. Any nomination not acted upon by the Senate within 60
4session days of the receipt thereof shall be deemed to have
5received the advice and consent of the Senate. If, during a
6recess of the Senate, there is a vacancy in an office of
7commissioner, the appointing authority shall make a temporary
8appointment until the next meeting of the Senate when the
9appointing authority shall make a nomination to fill that
10office. No person rejected for an office of commissioner shall,
11except by the Senate's request, be nominated again for that
12office at the same session of the Senate or be appointed to
13that office during a recess of that Senate. No more than 5
14commissioners may be of the same political party.
15    The terms of the initial commissioners shall commence upon
16qualification. Four initial appointees of the Governor, as
17designated by the Governor, shall serve terms running through
18June 30, 2007. One initial appointee of the Governor, as
19designated by the Governor, and the initial appointees of the
20Attorney General, Secretary of State, Comptroller, and
21Treasurer shall serve terms running through June 30, 2008. The
22initial appointments shall be made within 60 days after the
23effective date of this Act.
24    After the initial terms, commissioners shall serve for
254-year terms commencing on July 1 of the year of appointment
26and running through June 30 of the fourth following year.

 

 

09600SB3965sam002- 12 -LRB096 24159 RLJ 43842 a

1Commissioners may be reappointed to one or more subsequent
2terms.
3    Vacancies occurring other than at the end of a term shall
4be filled by the appointing authority only for the balance of
5the term of the commissioner whose office is vacant.
6    Terms shall run regardless of whether the position is
7filled.
8    (c) The appointing authorities shall appoint commissioners
9who have experience holding governmental office or employment
10and shall appoint commissioners from the general public. A
11person is not eligible to serve as a commissioner if that
12person (i) has been convicted of a felony or a crime of
13dishonesty or moral turpitude, (ii) is, or was within the
14preceding 12 months, engaged in activities that require
15registration under the Lobbyist Registration Act, (iii) is
16related to the appointing authority, or (iv) is a State officer
17or employee.
18    (d) The Executive Ethics Commission shall have
19jurisdiction over all officers and employees of State agencies
20other than the General Assembly, the Senate, the House of
21Representatives, the President and Minority Leader of the
22Senate, the Speaker and Minority Leader of the House of
23Representatives, the Senate Operations Commission, the
24legislative support services agencies, and the Office of the
25Auditor General. The jurisdiction of the Commission is limited
26to matters arising under this Act.

 

 

09600SB3965sam002- 13 -LRB096 24159 RLJ 43842 a

1    A member or legislative branch State employee serving on an
2executive branch board or commission remains subject to the
3jurisdiction of the Legislative Ethics Commission and is not
4subject to the jurisdiction of the Executive Ethics Commission.
5    (d-5) The Executive Ethics Commission shall have
6jurisdiction over all chief procurement officers and
7procurement compliance monitors and their respective staffs.
8The Executive Ethics Commission shall have jurisdiction over
9any matters arising under the Illinois Procurement Code if the
10Commission is given explicit authority in that Code.
11    (d-10) The Executive Ethics Commission shall have
12jurisdiction over all board members, officers, and employees of
13the Regional Transportation Authority and each of the Service
14Boards.
15    (e) The Executive Ethics Commission must meet, either in
16person or by other technological means, at least monthly and as
17often as necessary. At the first meeting of the Executive
18Ethics Commission, the commissioners shall choose from their
19number a chairperson and other officers that they deem
20appropriate. The terms of officers shall be for 2 years
21commencing July 1 and running through June 30 of the second
22following year. Meetings shall be held at the call of the
23chairperson or any 3 commissioners. Official action by the
24Commission shall require the affirmative vote of 5
25commissioners, and a quorum shall consist of 5 commissioners.
26Commissioners shall receive compensation in an amount equal to

 

 

09600SB3965sam002- 14 -LRB096 24159 RLJ 43842 a

1the compensation of members of the State Board of Elections and
2may be reimbursed for their reasonable expenses actually
3incurred in the performance of their duties.
4    (f) No commissioner or employee of the Executive Ethics
5Commission may during his or her term of appointment or
6employment:
7        (1) become a candidate for any elective office;
8        (2) hold any other elected or appointed public office
9    except for appointments on governmental advisory boards or
10    study commissions or as otherwise expressly authorized by
11    law;
12        (3) be actively involved in the affairs of any
13    political party or political organization; or
14        (4) advocate for the appointment of another person to
15    an appointed or elected office or position or actively
16    participate in any campaign for any elective office.
17    (g) An appointing authority may remove a commissioner only
18for cause.
19    (h) The Executive Ethics Commission shall appoint an
20Executive Director. The compensation of the Executive Director
21shall be as determined by the Commission. The Executive
22Director of the Executive Ethics Commission may employ and
23determine the compensation of staff, as appropriations permit.
24    (i) The Executive Ethics Commission shall appoint, by a
25majority of the members appointed to the Commission, chief
26procurement officers and procurement compliance monitors in

 

 

09600SB3965sam002- 15 -LRB096 24159 RLJ 43842 a

1accordance with the provisions of the Illinois Procurement
2Code. The compensation of a chief procurement officer and
3procurement compliance monitor shall be determined by the
4Commission.
5(Source: P.A. 96-555, eff. 8-18-09.)
 
6    (5 ILCS 430/20-10)
7    Sec. 20-10. Offices of Executive Inspectors General.
8    (a) Five independent Offices of the Executive Inspector
9General are created, one each for the Governor, the Attorney
10General, the Secretary of State, the Comptroller, and the
11Treasurer. Each Office shall be under the direction and
12supervision of an Executive Inspector General and shall be a
13fully independent office with separate appropriations.
14    (b) The Governor, Attorney General, Secretary of State,
15Comptroller, and Treasurer shall each appoint an Executive
16Inspector General, without regard to political affiliation and
17solely on the basis of integrity and demonstrated ability.
18Appointments shall be made by and with the advice and consent
19of the Senate by three-fifths of the elected members concurring
20by record vote. Any nomination not acted upon by the Senate
21within 60 session days of the receipt thereof shall be deemed
22to have received the advice and consent of the Senate. If,
23during a recess of the Senate, there is a vacancy in an office
24of Executive Inspector General, the appointing authority shall
25make a temporary appointment until the next meeting of the

 

 

09600SB3965sam002- 16 -LRB096 24159 RLJ 43842 a

1Senate when the appointing authority shall make a nomination to
2fill that office. No person rejected for an office of Executive
3Inspector General shall, except by the Senate's request, be
4nominated again for that office at the same session of the
5Senate or be appointed to that office during a recess of that
6Senate.
7    Nothing in this Article precludes the appointment by the
8Governor, Attorney General, Secretary of State, Comptroller,
9or Treasurer of any other inspector general required or
10permitted by law. The Governor, Attorney General, Secretary of
11State, Comptroller, and Treasurer each may appoint an existing
12inspector general as the Executive Inspector General required
13by this Article, provided that such an inspector general is not
14prohibited by law, rule, jurisdiction, qualification, or
15interest from serving as the Executive Inspector General
16required by this Article. An appointing authority may not
17appoint a relative as an Executive Inspector General.
18    Each Executive Inspector General shall have the following
19qualifications:
20        (1) has not been convicted of any felony under the laws
21    of this State, another State, or the United States;
22        (2) has earned a baccalaureate degree from an
23    institution of higher education; and
24        (3) has 5 or more years of cumulative service (A) with
25    a federal, State, or local law enforcement agency, at least
26    2 years of which have been in a progressive investigatory

 

 

09600SB3965sam002- 17 -LRB096 24159 RLJ 43842 a

1    capacity; (B) as a federal, State, or local prosecutor; (C)
2    as a senior manager or executive of a federal, State, or
3    local agency; (D) as a member, an officer, or a State or
4    federal judge; or (E) representing any combination of (A)
5    through (D).
6    The term of each initial Executive Inspector General shall
7commence upon qualification and shall run through June 30,
82008. The initial appointments shall be made within 60 days
9after the effective date of this Act.
10    After the initial term, each Executive Inspector General
11shall serve for 5-year terms commencing on July 1 of the year
12of appointment and running through June 30 of the fifth
13following year. An Executive Inspector General may be
14reappointed to one or more subsequent terms.
15    A vacancy occurring other than at the end of a term shall
16be filled by the appointing authority only for the balance of
17the term of the Executive Inspector General whose office is
18vacant.
19    Terms shall run regardless of whether the position is
20filled.
21    (c) The Executive Inspector General appointed by the
22Attorney General shall have jurisdiction over the Attorney
23General and all officers and employees of, and vendors and
24others doing business with, State agencies within the
25jurisdiction of the Attorney General. The Executive Inspector
26General appointed by the Secretary of State shall have

 

 

09600SB3965sam002- 18 -LRB096 24159 RLJ 43842 a

1jurisdiction over the Secretary of State and all officers and
2employees of, and vendors and others doing business with, State
3agencies within the jurisdiction of the Secretary of State. The
4Executive Inspector General appointed by the Comptroller shall
5have jurisdiction over the Comptroller and all officers and
6employees of, and vendors and others doing business with, State
7agencies within the jurisdiction of the Comptroller. The
8Executive Inspector General appointed by the Treasurer shall
9have jurisdiction over the Treasurer and all officers and
10employees of, and vendors and others doing business with, State
11agencies within the jurisdiction of the Treasurer. The
12Executive Inspector General appointed by the Governor shall
13have jurisdiction over the Governor, the Lieutenant Governor,
14and all officers and employees of, and vendors and others doing
15business with, executive branch State agencies under the
16jurisdiction of the Executive Ethics Commission and not within
17the jurisdiction of the Attorney General, the Secretary of
18State, the Comptroller, or the Treasurer. The Executive
19Inspector General for the Office of the Governor shall also
20have jurisdiction over the board members, officers, and
21employees of the Regional Transportation Authority and each of
22the Service Boards.
23    The jurisdiction of each Executive Inspector General is to
24investigate allegations of fraud, waste, abuse, mismanagement,
25misconduct, nonfeasance, misfeasance, malfeasance, or
26violations of this Act or violations of other related laws and

 

 

09600SB3965sam002- 19 -LRB096 24159 RLJ 43842 a

1rules.
2    (d) The compensation for each Executive Inspector General
3shall be determined by the Executive Ethics Commission and
4shall be made from appropriations made to the Comptroller for
5this purpose. Subject to Section 20-45 of this Act, each
6Executive Inspector General has full authority to organize his
7or her Office of the Executive Inspector General, including the
8employment and determination of the compensation of staff, such
9as deputies, assistants, and other employees, as
10appropriations permit. A separate appropriation shall be made
11for each Office of Executive Inspector General.
12    (e) No Executive Inspector General or employee of the
13Office of the Executive Inspector General may, during his or
14her term of appointment or employment:
15        (1) become a candidate for any elective office;
16        (2) hold any other elected or appointed public office
17    except for appointments on governmental advisory boards or
18    study commissions or as otherwise expressly authorized by
19    law;
20        (3) be actively involved in the affairs of any
21    political party or political organization; or
22        (4) advocate for the appointment of another person to
23    an appointed or elected office or position or actively
24    participate in any campaign for any elective office.
25    In this subsection an appointed public office means a
26position authorized by law that is filled by an appointing

 

 

09600SB3965sam002- 20 -LRB096 24159 RLJ 43842 a

1authority as provided by law and does not include employment by
2hiring in the ordinary course of business.
3    (e-1) No Executive Inspector General or employee of the
4Office of the Executive Inspector General may, for one year
5after the termination of his or her appointment or employment:
6        (1) become a candidate for any elective office;
7        (2) hold any elected public office; or
8        (3) hold any appointed State, county, or local judicial
9    office.
10    (e-2) The requirements of item (3) of subsection (e-1) may
11be waived by the Executive Ethics Commission.
12    (f) An Executive Inspector General may be removed only for
13cause and may be removed only by the appointing constitutional
14officer. At the time of the removal, the appointing
15constitutional officer must report to the Executive Ethics
16Commission the justification for the removal.
17(Source: P.A. 96-555, eff. 8-18-09.)
 
18    (5 ILCS 430/20-20)
19    Sec. 20-20. Duties of the Executive Inspectors General. In
20addition to duties otherwise assigned by law, each Executive
21Inspector General shall have the following duties:
22        (1) To receive and investigate allegations of
23    violations of this Act. An investigation may not be
24    initiated more than one year after the most recent act of
25    the alleged violation or of a series of alleged violations

 

 

09600SB3965sam002- 21 -LRB096 24159 RLJ 43842 a

1    except where there is reasonable cause to believe that
2    fraudulent concealment has occurred. To constitute
3    fraudulent concealment sufficient to toll this limitations
4    period, there must be an affirmative act or representation
5    calculated to prevent discovery of the fact that a
6    violation has occurred. The Executive Inspector General
7    shall have the discretion to determine the appropriate
8    means of investigation as permitted by law.
9        (1.5) To receive and investigate allegations of fraud,
10    waste, abuse, mismanagement, misconduct, nonfeasance,
11    misfeasance, malfeasance, or violations of the Regional
12    Transportation Authority Act or violations of other
13    related laws or rules.
14        (2) To request information relating to an
15    investigation from any person when the Executive Inspector
16    General deems that information necessary in conducting an
17    investigation.
18        (3) To issue subpoenas to compel the attendance of
19    witnesses for the purposes of testimony and production of
20    documents and other items for inspection and copying and to
21    make service of those subpoenas and subpoenas issued under
22    item (7) of Section 20-15.
23        (4) To submit reports as required by this Act.
24        (5) To file pleadings in the name of the Executive
25    Inspector General with the Executive Ethics Commission,
26    through the Attorney General, as provided in this Article

 

 

09600SB3965sam002- 22 -LRB096 24159 RLJ 43842 a

1    if the Attorney General finds that reasonable cause exists
2    to believe that a violation has occurred.
3        (6) To assist and coordinate the ethics officers for
4    State agencies under the jurisdiction of the Executive
5    Inspector General and to work with those ethics officers.
6        (7) To participate in or conduct, when appropriate,
7    multi-jurisdictional investigations.
8        (8) To request, as the Executive Inspector General
9    deems appropriate, from ethics officers of State agencies
10    under his or her jurisdiction, reports or information on
11    (i) the content of a State agency's ethics training program
12    and (ii) the percentage of new officers and employees who
13    have completed ethics training.
14        (9) To review hiring and employment files of each State
15    agency within the Executive Inspector General's
16    jurisdiction to ensure compliance with Rutan v. Republican
17    Party of Illinois, 497 U.S. 62 (1990), and with all
18    applicable employment laws.
19        (10) To establish a policy that ensures the appropriate
20    handling and correct recording of all investigations
21    conducted by the Office, and to ensure that the policy is
22    accessible via the Internet in order that those seeking to
23    report those allegations are familiar with the process and
24    that the subjects of those allegations are treated fairly.
25(Source: P.A. 96-555, eff. 8-18-09.)
 

 

 

09600SB3965sam002- 23 -LRB096 24159 RLJ 43842 a

1    (5 ILCS 430/20-21)
2    Sec. 20-21. Special Executive Inspectors General.
3    (a) The Executive Ethics Commission, on its own initiative
4and by majority vote, may appoint special Executive Inspectors
5General (i) to investigate alleged violations of this Act or
6the Regional Transportation Authority Act and other related
7laws and rules if an investigation by the Inspector General was
8not concluded within 6 months after its initiation, where the
9Commission finds that the Inspector General's reasons under
10Section 20-65 for failing to complete the investigation are
11insufficient, (ii) to accept referrals from the Commission of
12allegations made pursuant to this Act concerning an Executive
13Inspector General or employee of an Office of an Executive
14Inspector General and to investigate those allegations, (iii)
15to investigate matters within the jurisdiction of an Executive
16Inspector General if an Executive Inspector General (including
17his or her employees) could be reasonably deemed to be a
18wrongdoer or suspect, or if in the determination of the
19Commission, an investigation presents real or apparent
20conflicts of interest for the Office of the Executive Inspector
21General, and (iv) to investigate alleged violations of this Act
22pursuant to Section 20-50 and Section 20-51.
23    (b) A special Executive Inspector General must have the
24same qualifications as an Executive Inspector General
25appointed under Section 20-10.
26    (c) The Commission's appointment of a special Executive

 

 

09600SB3965sam002- 24 -LRB096 24159 RLJ 43842 a

1Inspector General must be in writing and must specify the
2duration and purpose of the appointment.
3    (d) A special Executive Inspector General shall have the
4same powers and duties with respect to the purpose of his or
5her appointment as an Executive Inspector General appointed
6under Section 20-10.
7    (e) A special Executive Inspector General shall report the
8findings of his or her investigation to the Commission.
9    (f) The Commission may report the findings of a special
10Executive Inspector General and its recommendations, if any, to
11the appointing authority of the appropriate Executive
12Inspector General.
13(Source: P.A. 96-555, eff. 8-18-09.)
 
14    (5 ILCS 430/20-23)
15    Sec. 20-23. Ethics Officers. Each officer and the head of
16each State agency, including the Regional Transportation
17Authority and each of the Service Boards, under the
18jurisdiction of the Executive Ethics Commission shall
19designate an Ethics Officer for the office or State agency.
20Ethics Officers shall:
21        (1) act as liaisons between the State agency, including
22    the Regional Transportation Authority and each of the
23    Service Boards, and the appropriate Executive Inspector
24    General and between the State agency, including the
25    Regional Transportation Authority and each of the Service

 

 

09600SB3965sam002- 25 -LRB096 24159 RLJ 43842 a

1    Boards, and the Executive Ethics Commission;
2        (2) review statements of economic interest and
3    disclosure forms of officers, senior employees, and
4    contract monitors before they are filed with the Secretary
5    of State; and
6        (3) provide guidance to officers and employees in the
7    interpretation and implementation of this Act or the
8    Regional Transportation Authority Act and related laws and
9    rules, which the officer or employee may in good faith rely
10    upon. Such guidance shall be based, wherever possible, upon
11    legal precedent in court decisions, opinions of the
12    Attorney General, and the findings and opinions of the
13    Executive Ethics Commission.
14(Source: P.A. 93-617, eff. 12-9-03.)
 
15    (5 ILCS 430/20-50)
16    Sec. 20-50. Investigation reports.
17    (a) If an Executive Inspector General, upon the conclusion
18of an investigation, determines that reasonable cause exists to
19believe that a violation has occurred, then the Executive
20Inspector General shall issue a summary report of the
21investigation. The report shall be delivered to the appropriate
22ultimate jurisdictional authority and to the head of each State
23agency, including the Regional Transportation Authority and
24the Service Boards, affected by or involved in the
25investigation, if appropriate. The appropriate ultimate

 

 

09600SB3965sam002- 26 -LRB096 24159 RLJ 43842 a

1jurisdictional authority or agency head shall respond to the
2summary report within 20 days, in writing, to the Executive
3Inspector General. The response shall include a description of
4any corrective or disciplinary action to be imposed.
5    (b) The summary report of the investigation shall include
6the following:
7        (1) A description of any allegations or other
8    information received by the Executive Inspector General
9    pertinent to the investigation.
10        (2) A description of any alleged misconduct discovered
11    in the course of the investigation.
12        (3) Recommendations for any corrective or disciplinary
13    action to be taken in response to any alleged misconduct
14    described in the report, including but not limited to
15    discharge.
16        (4) Other information the Executive Inspector General
17    deems relevant to the investigation or resulting
18    recommendations.
19    (c) Within 30 days after receiving a response from the
20appropriate ultimate jurisdictional authority or agency head
21under subsection (a), the Executive Inspector General shall
22notify the Commission and the Attorney General if the Executive
23Inspector General believes that a complaint should be filed
24with the Commission. If the Executive Inspector General desires
25to file a complaint with the Commission, the Executive
26Inspector General shall submit the summary report and

 

 

09600SB3965sam002- 27 -LRB096 24159 RLJ 43842 a

1supporting documents to the Attorney General. If the Attorney
2General concludes that there is insufficient evidence that a
3violation has occurred, the Attorney General shall notify the
4Executive Inspector General and the Executive Inspector
5General shall deliver to the Executive Ethics Commission a copy
6of the summary report and response from the ultimate
7jurisdictional authority or agency head. If the Attorney
8General determines that reasonable cause exists to believe that
9a violation has occurred, then the Executive Inspector General,
10represented by the Attorney General, may file with the
11Executive Ethics Commission a complaint. The complaint shall
12set forth the alleged violation and the grounds that exist to
13support the complaint. The complaint must be filed with the
14Commission within 18 months after the most recent act of the
15alleged violation or of a series of alleged violations except
16where there is reasonable cause to believe that fraudulent
17concealment has occurred. To constitute fraudulent concealment
18sufficient to toll this limitations period, there must be an
19affirmative act or representation calculated to prevent
20discovery of the fact that a violation has occurred. If a
21complaint is not filed with the Commission within 6 months
22after notice by the Inspector General to the Commission and the
23Attorney General, then the Commission may set a meeting of the
24Commission at which the Attorney General shall appear and
25provide a status report to the Commission.
26    (c-5) Within 30 days after receiving a response from the

 

 

09600SB3965sam002- 28 -LRB096 24159 RLJ 43842 a

1appropriate ultimate jurisdictional authority or agency head
2under subsection (a), if the Executive Inspector General does
3not believe that a complaint should be filed, the Executive
4Inspector General shall deliver to the Executive Ethics
5Commission a statement setting forth the basis for the decision
6not to file a complaint and a copy of the summary report and
7response from the ultimate jurisdictional authority or agency
8head. An Inspector General may also submit a redacted version
9of the summary report and response from the ultimate
10jurisdictional authority if the Inspector General believes
11either contains information that, in the opinion of the
12Inspector General, should be redacted prior to releasing the
13report, may interfere with an ongoing investigation, or
14identifies an informant or complainant.
15    (c-10) If, after reviewing the documents, the Commission
16believes that further investigation is warranted, the
17Commission may request that the Executive Inspector General
18provide additional information or conduct further
19investigation. The Commission may also appoint a Special
20Executive Inspector General to investigate or refer the summary
21report and response from the ultimate jurisdictional authority
22to the Attorney General for further investigation or review. If
23the Commission requests the Attorney General to investigate or
24review, the Commission must notify the Attorney General and the
25Inspector General. The Attorney General may not begin an
26investigation or review until receipt of notice from the

 

 

09600SB3965sam002- 29 -LRB096 24159 RLJ 43842 a

1Commission. If, after review, the Attorney General determines
2that reasonable cause exists to believe that a violation has
3occurred, then the Attorney General may file a complaint with
4the Executive Ethics Commission. If the Attorney General
5concludes that there is insufficient evidence that a violation
6has occurred, the Attorney General shall notify the Executive
7Ethics Commission and the appropriate Executive Inspector
8General.
9    (d) A copy of the complaint filed with the Executive Ethics
10Commission must be served on all respondents named in the
11complaint and on each respondent's ultimate jurisdictional
12authority in the same manner as process is served under the
13Code of Civil Procedure.
14    (e) A respondent may file objections to the complaint
15within 30 days after notice of the petition has been served on
16the respondent.
17    (f) The Commission shall meet, either in person or by
18telephone, at least 30 days after the complaint is served on
19all respondents in a closed session to review the sufficiency
20of the complaint. The Commission shall issue notice by
21certified mail, return receipt requested, to the Executive
22Inspector General, Attorney General, and all respondents of the
23Commission's ruling on the sufficiency of the complaint. If the
24complaint is deemed to sufficiently allege a violation of this
25Act or the Regional Transportation Authority Act and other
26related laws and rules, then the Commission shall include a

 

 

09600SB3965sam002- 30 -LRB096 24159 RLJ 43842 a

1hearing date scheduled within 4 weeks after the date of the
2notice, unless all of the parties consent to a later date. If
3the complaint is deemed not to sufficiently allege a violation,
4then the Commission shall send by certified mail, return
5receipt requested, a notice to the Executive Inspector General,
6Attorney General, and all respondents of the decision to
7dismiss the complaint.
8    (g) On the scheduled date the Commission shall conduct a
9closed meeting, either in person or, if the parties consent, by
10telephone, on the complaint and allow all parties the
11opportunity to present testimony and evidence. All such
12proceedings shall be transcribed.
13    (h) Within an appropriate time limit set by rules of the
14Executive Ethics Commission, the Commission shall (i) dismiss
15the complaint, (ii) issue a recommendation of discipline to the
16respondent and the respondent's ultimate jurisdictional
17authority, (iii) impose an administrative fine upon the
18respondent, (iv) issue injunctive relief as described in
19Section 50-10, or (v) impose a combination of (ii) through
20(iv).
21    (i) The proceedings on any complaint filed with the
22Commission shall be conducted pursuant to rules promulgated by
23the Commission.
24    (j) The Commission may designate hearing officers to
25conduct proceedings as determined by rule of the Commission.
26    (k) In all proceedings before the Commission, the standard

 

 

09600SB3965sam002- 31 -LRB096 24159 RLJ 43842 a

1of proof is by a preponderance of the evidence.
2    (l) Within 30 days after the issuance of a final
3administrative decision that concludes that a violation
4occurred, the Executive Ethics Commission shall make public the
5entire record of proceedings before the Commission, the
6decision, any recommendation, any discipline imposed, and the
7response from the agency head or ultimate jurisdictional
8authority to the Executive Ethics Commission.
9(Source: P.A. 96-555, eff. 8-18-09.)
 
10    (5 ILCS 430/20-55)
11    Sec. 20-55. Decisions; recommendations.
12    (a) All decisions of the Executive Ethics Commission must
13include a description of the alleged misconduct, the decision
14of the Commission, including any fines levied and any
15recommendation of discipline, and the reasoning for that
16decision. All decisions of the Commission shall be delivered to
17the head of the appropriate State agency, including the
18Regional Transportation Authority and the Service Boards, the
19appropriate ultimate jurisdictional authority, and the
20appropriate Executive Inspector General. The Executive Ethics
21Commission shall promulgate rules for the decision and
22recommendation process.
23    (b) If the Executive Ethics Commission issues a
24recommendation of discipline to an agency head or ultimate
25jurisdictional authority, that agency head or ultimate

 

 

09600SB3965sam002- 32 -LRB096 24159 RLJ 43842 a

1jurisdictional authority must respond to that recommendation
2in 30 days with a written response to the Executive Ethics
3Commission. This response must include any disciplinary action
4the agency head or ultimate jurisdictional authority has taken
5with respect to the officer or employee in question. If the
6agency head or ultimate jurisdictional authority did not take
7any disciplinary action, or took a different disciplinary
8action than that recommended by the Executive Ethics
9Commission, the agency head or ultimate jurisdictional
10authority must describe the different action and explain the
11reasons for the different action in the written response. This
12response must be served upon the Executive Ethics Commission
13and the appropriate Executive Inspector General within the
1430-day period and is not exempt from the provisions of the
15Freedom of Information Act.
16    (c) Disciplinary action under this Act against a person
17subject to the Personnel Code, the Secretary of State Merit
18Employment Code, the Comptroller Merit Employment Code, or the
19State Treasurer Employment Code is within the jurisdiction of
20the Executive Ethics Commission and is not within the
21jurisdiction of those Acts.
22    (d) Any hearing to contest disciplinary action for a
23violation of this Act against a person subject to the Personnel
24Code, the Secretary of State Merit Employment Code, the
25Comptroller Merit Employment Code, or the State Treasurer
26Employment Code pursuant to an agreement between an Executive

 

 

09600SB3965sam002- 33 -LRB096 24159 RLJ 43842 a

1Inspector General and an ultimate jurisdictional authority
2shall be conducted by the Executive Ethics Commission and not
3under any of those Acts.
4    (e) Any investigation or inquiry by the Executive Ethics
5Commission or the Executive Inspector General for the Office of
6the Governor of any Board member, officer, or employee of the
7Regional Transportation Authority or a Service Board must be
8conducted in accordance with the rights of the employees as set
9forth in State and federal law and applicable judicial
10decisions. Any recommendations for corrective or disciplinary
11action toward any employee of the Regional Transportation
12Authority or a Service Board must comply with the provisions of
13any collective bargaining agreement that may apply to the
14employee.
15    (f) Nothing in this Section shall diminish the rights,
16privileges, or remedies of any Board member, officer, or
17employee of the Regional Transportation Authority or a Service
18Board under any other federal or State law, rule, or regulation
19or under any collective bargaining agreement.
20(Source: P.A. 96-555, eff. 8-18-09.)
 
21    (5 ILCS 430/20-70)
22    Sec. 20-70. Cooperation in investigations.
23    (a) It is the duty of every officer and employee under the
24jurisdiction of an Executive Inspector General, including any
25inspector general serving in any State agency under the

 

 

09600SB3965sam002- 34 -LRB096 24159 RLJ 43842 a

1jurisdiction of that Executive Inspector General, to cooperate
2with the Executive Inspector General and the Attorney General
3in any investigation undertaken pursuant to this Act. Failure
4to cooperate includes, but is not limited to, intentional
5omissions and knowing false statements. Failure to cooperate
6with an investigation of the Executive Inspector General or the
7Attorney General is grounds for disciplinary action, including
8dismissal. Nothing in this Section limits or alters a person's
9existing rights or protections under State or federal law.
10    (b) All Board members, officers, and employees of the
11Regional Transportation Authority or a Service Board and all
12officers, employees, vendors, subcontractors, and others doing
13business with the Regional Transportation Authority or a
14Service Board have a duty to cooperate with the Executive
15Ethics Commission and the Executive Inspector General for the
16Office of the Governor in any investigation undertaken pursuant
17to this Section. Failure to cooperate includes, but is not
18limited to, intentional omissions and knowing false
19statements. Failure to cooperate with an investigation
20pursuant to this Section is grounds for disciplinary action by
21the Regional Transportation Authority or the appropriate
22Service Board. Nothing in this Section limits or alters a
23person's existing rights or protections under State or federal
24law.
25    (c) All Board members, officers, and employees of the
26Regional Transportation Authority or a Service Board have a

 

 

09600SB3965sam002- 35 -LRB096 24159 RLJ 43842 a

1duty to report, directly and without undue delay, to the
2Executive Inspector General for the Office of the Governor any
3information concerning conduct which they know or should
4reasonably know to involve corruption or other criminal
5activity by a Board member, officer, employee, vendor,
6subcontractor, or others doing business with the Regional
7Transportation Authority or a Service Board. Failure to report
8corrupt or other criminal activity to the Executive Inspector
9General for the Office of the Governor is grounds for
10disciplinary action by the Regional Transportation Authority
11or a Service Board, as applicable.
12(Source: P.A. 96-555, eff. 8-18-09.)
 
13    (5 ILCS 430/70-5)
14    Sec. 70-5. Adoption by governmental entities. Adoption by
15governmental entities.
16    (a) Within 6 months after the effective date of this Act,
17each governmental entity other than a community college
18district, and each community college district within 6 months
19after the effective date of this amendatory Act of the 95th
20General Assembly, shall adopt an ordinance or resolution that
21regulates, in a manner no less restrictive than Section 5-15
22and Article 10 of this Act, (i) the political activities of
23officers and employees of the governmental entity and (ii) the
24soliciting and accepting of gifts by and the offering and
25making of gifts to officers and employees of the governmental

 

 

09600SB3965sam002- 36 -LRB096 24159 RLJ 43842 a

1entity.
2    (b) Within 3 months after the effective date of this
3amendatory Act of the 93rd General Assembly, the Attorney
4General shall develop model ordinances and resolutions for the
5purpose of this Article. The Attorney General shall advise
6governmental entities on their contents and adoption.
7    (c) As used in this Article, (i) an "officer" means an
8elected or appointed official; regardless of whether the
9official is compensated, and (ii) an "employee" means a
10full-time, part-time, or contractual employee.
11    (d) On and after the effective date of this amendatory Act
12of the 96th General Assembly, the provisions of this Section do
13not apply to any board member, officer, or employee of the
14Regional Transportation Authority or a Service Board.
15(Source: P.A. 95-880, eff. 8-19-08.)
 
16    Section 99. Effective date. This Act takes effect June 1,
172011.".