SB0728 95TH GENERAL ASSEMBLY

LRB095 09960 JAM 30172 b

95TH GENERAL ASSEMBLY
State of Illinois
2007 and 2008
SB0728

Introduced 2/8/2007, by Sen. Susan Garrett

SYNOPSIS AS INTRODUCED:

See Index

Amends the State Officials and Employees Ethics Act. Requires that each Executive Inspector General submit to the Executive Ethics Commission a plan that sets standards and determines the hours and frequency necessary for ethics training (now, the Executive Inspectors General, the Legislative Inspector General, and the Auditor General's Inspector General each sets standards and determines the hours and frequency of necessary ethics training). Prohibits the spouse of an executive branch constitutional officer, member of the General Assembly, or State employee, or the immediate family member living with that officer, member, or employee, from receiving compensation or fees for services from a person or entity if during the previous year the officer, member, or employee was involved in a specified manner in the awarding of certain contracts to or the making of regulatory decisions directly applying to the person or entity or the person's or entity's parent or subsidiary. Permits waiver of the prohibition under certain circumstances. After issuing a summary report of an investigation of an alleged violation of the Act, requires the Executive Inspector General to deliver the report to the Executive Ethics Commission or notify the Commission and the Attorney General of intent to seek leave to petition to file a complaint. Requires the Executive Inspector General to issue a redacted version of the report; specifies the contents of the redacted report and to whom it may be released. Makes other changes. Amends the Governor's Office of Management and Budget Act. Excludes the Executive Ethics Commission and the Governor's Executive Inspector General from the definition of a State agency for purposes of the Act.

FISCAL NOTE ACT MAY APPLY

A BILL FOR

AN ACT concerning government.

Be it enacted by the People of the State of Illinois, represented in the General Assembly:

Section 5. The State Officials and Employees Ethics Act is amended by changing Sections 5-10, 5-45, and 20-50 as follows:

(5 ILCS 430/5-10)

Sec. 5-10. Ethics training. Each officer, member, and employee must complete, at least annually beginning in 2004, an ethics training program conducted by the appropriate State agency. Each ultimate jurisdictional authority must implement an ethics training program for its officers, members, and employees. These ethics training programs shall be overseen by the appropriate Ethics Commission and Inspector General appointed pursuant to this Act in consultation with the Office of the Attorney General.

Each Executive Inspector General shall submit an annual plan for approval to the Executive Ethics Commission that sets set standards and determines determine the hours and frequency of training necessary for each position or category of positions. A person who fills a vacancy in an elective or appointed position that requires training and a person employed in a position that requires training must complete his or her initial ethics training within 6 months after commencement of his or her office or employment.

(Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03.)

(5 ILCS 430/5-45)

Sec. 5-45. Procurement; regulation; revolving door prohibition. (a) No former officer, member, or State employee, or spouse or immediate family member living with such person, shall, within a period of one year immediately after termination of State employment, knowingly accept employment or receive compensation or fees for services from a person or entity if the officer, member, or State employee, during the year immediately preceding termination of State employment, participated personally and substantially in the decision to award State contracts with a cumulative value of over $25,000 to the person or entity, or its parent or subsidiary.

(b) No former officer of the executive branch or State employee of the executive branch with regulatory or licensing authority, or spouse or immediate family member living with such person, shall, within a period of one year immediately after termination of State employment, knowingly accept employment or receive compensation of fees for services from a person or entity if the officer or State employee, during the year immediately preceding termination of State employment, made a regulatory or licensing decision that directly applied to the person or entity, or its parent or subsidiary.

(b-5) Neither the spouse of a current State officer, member, or employee, nor an immediate family member living with the State member, officer, or employee, shall knowingly accept employment or receive compensation or fees for services from a person or entity if the State officer, member, or employee, during the year immediately preceding, (i) participated personally and substantially in the decision to award State contracts with a cumulative value of over $25,000 to the person or entity, or its parent or subsidiary; or (ii) made a regulatory or licensing decision that directly applied to the person or entity, or its parent or subsidiary.

(c) The requirements of this Section may be waived (i) for the executive branch, in writing by the Executive Ethics Commission, (ii) for the legislative branch, in writing by the Legislative Ethics Commission, and (iii) for the Auditor General, in writing by the Auditor General. During the time period from the effective date of this amendatory Act of the 93rd General Assembly until the Executive Ethics Commission first meets, the requirements of this Section may be waived in writing by the appropriate ultimate jurisdictional authority. During the time period from the effective date of this amendatory Act of the 93rd General Assembly until the Legislative Ethics Commission first meets, the requirements of this Section may be waived in writing by the appropriate ultimate jurisdictional authority. The waiver shall be granted upon a showing that the prospective employment or relationship did not affect the decisions referred to in sections (a), and (b), or (b-5).

(d) This Section applies only to persons who terminate an affected position on or after the effective date of this amendatory Act of the 93rd General Assembly.

(Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03.)

(5 ILCS 430/20-50)

Sec. 20-50. Investigation reports; complaint procedure.

(a) If an Executive Inspector General, upon the conclusion of an investigation, determines that reasonable cause exists to believe that a violation has occurred, then the Executive Inspector General shall issue a summary report of the investigation. The report shall be delivered to the appropriate ultimate jurisdictional authority and to the head of each State agency affected by or involved in the investigation, if appropriate.

Within 30 days after delivering a summary report, the Executive Inspector General shall either: (1) notify the Commission and Attorney General that the Inspector General seeks to file a petition for leave to file a complaint with the Executive Ethics Commission pursuant to subsection (c); or (2) deliver the summary report and a second, redacted version of the report to the Executive Ethics Commission. In addition, the second, redacted version of the report shall also be delivered to the ultimate jurisdictional authority, the head of each State agency affected by or involved in the investigation, if appropriate, and the person or persons accused of the violation. The redacted version of the report shall contain a description of the facts and circumstances related to the violation and the discipline recommended by the Executive Inspector General. The redacted version of the report shall contain no information that might reasonably tend to reveal the identity of the subject of the investigation or any informant or witness, or information that might risk the effectiveness of other investigations. All recipients of the second, redacted report, and the Executive Inspector General who issued the report, may, within 30 days, provide in writing to the Executive Ethics Commission comments suggesting any reason why the redacted report should or should not be released to the public.

Within the same 30-day period, the ultimate jurisdictional authority shall forward to the Executive Inspector General and to the Executive Ethics Commission a response to the summary report. The response shall indicate what discipline related to the summary report, if any, the ultimate jurisdictional authority has imposed or intends to impose.

Within 60 days after receiving any summary report, redacted report, or ultimate jurisdictional authority response that recommends, imposes or intends to impose discharge or suspension of 3 days or greater, the Executive Ethics Commission shall: (1) make a written finding that release of the redacted report is fair and in the public interest and release the redacted report by publishing it on its website; (2) make a written finding that release of the redacted report is not fair, or not in the public interest, and return the redacted report to the Executive Inspector General; or (3) seek additional information about the investigation or discipline from the Executive Inspector General or ultimate jurisdictional authority. The Commission may also delay its decision pending the conclusion of related judicial or administrative proceedings. If the Commission makes a written finding that release of the redacted report is fair and in the public interest, it shall indicate in the written finding that, in its opinion, the discipline recommended by the Executive Inspector General and imposed by the ultimate jurisdictional authority is: (i) within the reasonable range previously imposed for like conduct; or (ii) above the reasonable range previously imposed for like conduct; or (iii) below the reasonable range previously imposed for like conduct. The Commission may also make further redactions prior to the release of the report or may delay its finding pending the conclusion of related judicial or administrative proceedings.

If the Attorney General decides not to file a petition for leave to file a complaint with the Executive Ethics Commission related to a summary report, the summary report shall be immediately forwarded to the Executive Ethics Commission for redaction and consideration for release as described in this Section. The Executive Ethics Commission may promulgate rules to implement all provisions of this Section.

(b) The summary report of the investigation shall include the following:

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

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

(3) A specific recommendation Recommendations for any corrective or disciplinary action to be taken in response to any alleged misconduct described in the report, including suspension for a specified number of days or but not limited to discharge.

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

(c) If Not less than 30 days after delivery of the summary report of an investigation under subsection (a), if the Executive Inspector General desires to file a petition for leave to file a complaint under subsection (a), the Executive Inspector General shall notify the Commission and the Attorney General. If the Attorney General determines that reasonable cause exists to believe that a violation has occurred, then the Executive Inspector General, represented by the Attorney General, may file with the Executive Ethics Commission a petition for leave to file a complaint. The petition shall set forth the alleged violation and the grounds that exist to support the petition. The petition for leave to file a complaint must be filed with the Commission within 18 months after the most recent act of the alleged violation or of a series of alleged violations except where there is reasonable cause to believe that fraudulent concealment has occurred. To constitute fraudulent concealment sufficient to toll this limitations period, there must be an affirmative act or representation calculated to prevent discovery of the fact that a violation has occurred. If a petition for leave to file a complaint is not filed with the Commission within 6 months after notice by the Inspector General to the Commission and the Attorney General, then the Commission may set a meeting of the Commission at which the Attorney General shall appear and provide a status report to the Commission.

(d) A copy of the petition must be served on all respondents named in the complaint and on each respondent's ultimate jurisdictional authority in the same manner as process is served under the Code of Civil Procedure.

(e) A respondent may file objections to the petition for leave to file a complaint within 30 days after notice of the petition has been served on the respondent.

(f) The Commission shall meet, either in person or by telephone, in a closed session to review the sufficiency of the complaint. If the Commission finds that complaint is sufficient, the Commission shall grant the petition for leave to file the complaint. The Commission shall issue notice to the Executive Inspector General and all respondents of the Commission's ruling on the sufficiency of the complaint. If the complaint is deemed to sufficiently allege a violation of this Act, then the Commission shall notify the parties and shall include a hearing date scheduled within 4 weeks after the date of the notice, unless all of the parties consent to a later date. If the complaint is deemed not to sufficiently allege a violation, then the Commission shall send by certified mail, return receipt requested, a notice to the parties of the decision to dismiss the complaint.

(g) On the scheduled date the Commission shall conduct a closed meeting, either in person or, if the parties consent, by telephone, on the complaint and allow all parties the opportunity to present testimony and evidence. All such proceedings shall be transcribed.

(h) Within an appropriate time limit set by rules of the Executive Ethics Commission, the Commission shall (i) dismiss the complaint or (ii) issue a recommendation of discipline to the respondent and the respondent's ultimate jurisdictional authority or impose an administrative fine upon the respondent, or both.

(i) The proceedings on any complaint filed with the Commission shall be conducted pursuant to rules promulgated by the Commission.

(j) The Commission may designate hearing officers to conduct proceedings as determined by rule of the Commission.

(k) In all proceedings before the Commission, the standard of proof is by a preponderance of the evidence.

(l) When the Inspector General concludes that there is insufficient evidence that a violation has occurred, the Inspector General shall close the investigation. At the request of the subject of the investigation, the Inspector General shall provide a written statement to the subject of the investigation and to the Commission of the Inspector General's decision to close the investigation. Closure by the Inspector General does not bar the Inspector General from resuming the investigation if circumstances warrant.

(Source: P.A. 93-617, eff. 12-9-03.)

Section 10. The Governor's Office of Management and Budget Act is amended by changing Section 1 as follows:

(20 ILCS 3005/1) (from Ch. 127, par. 411)

Sec. 1. Definitions.

"Capital expenditure" means money spent for replacing, remodeling, expanding, or acquiring facilities, buildings or land owned directly by the State through any State department, authority, public corporation of the State, State college or university, or any other public agency created by the State, but not units of local government or school districts.

"Director" means the Director of the Governor's Office of Management and Budget.

"Office" means the Governor's Office of Management and Budget.

"State Agency," whether used in the singular or plural, means all Departments, Officers, Commissions, Boards, Institutions and bodies, politic and corporate of the State, including the Offices of Clerk of the Supreme Court and Clerks of the Appellate Courts; except it shall not mean (i) the several Courts of the State, (ii) nor the Legislature, its Committees or Commissions, (iii) nor the Constitutionally elected State Officers, (iv) the Executive Ethics Commission, or (v) the Office of Executive Inspector General appointed by the Governor.

(Source: P.A. 93-25, eff. 6-20-03.)