ADMINISTRATIVE CODE

TITLE 2: GOVERNMENTAL ORGANIZATION
SUBTITLE E: MISCELLANEOUS STATE AGENCIES
CHAPTER VI: EXECUTIVE ETHICS COMMISSION
PART 1620 ORGANIZATION, INFORMATION, RULEMAKING AND HEARINGS

SUBPART A: ORGANIZATION

Section 1620.5 Definitions

Section 1620.10 Composition of Executive Ethics Commission

Section 1620.20 Officers

Section 1620.30 Appointment of Executive Director

Section 1620.40 Duties of Executive Director

Section 1620.50 Duties of Staff

SUBPART B: INFORMATION

Section 1620.110 Requests for Records

Section 1620.120 Response to Requests for Records

Section 1620.140 Copies of Public Records - Fees

Section 1620.150 Materials Immediately Available

SUBPART C: RULEMAKING

Section 1620.200 Rulemaking Procedures

SUBPART D: INVESTIGATIONS

Section 1620.300 Conduct of Investigations

Section 1620.310 State Officer or Employee Case Initiation Form

Section 1620.320 Case Initiation Form - Contents

Section 1620.330 Opening an Investigation File

Section 1620.340 Referral to the Appropriate Executive Inspector General

Section 1620.350 Investigations

SUBPART E: HEARINGS

Section 1620.420 Attorney of Record

Section 1620.430 Filing Requirements

Section 1620.440 Complaint

Section 1620.450 Complaint - Required Provisions

Section 1620.460 Service

Section 1620.470 Objections

Section 1620.480 Sufficiency of the Complaint

Section 1620.490 Discovery

Section 1620.500 Subpoenas

Section 1620.510 Motions

Section 1620.520 Hearings

Section 1620.525 20-63 Complainant's Right to Testify

Section 1620.530 Decision of the Commission

SUBPART F: REVOLVING DOOR PROHIBITION

Section 1620.610 Revolving Door Prohibition

Section 1620.640 Waiver of Prohibition of Executive Inspector General Employees as Judicial Appointee

Section 1620.650 Waiver of Prohibition of Executive Inspector General Employees as Judicial Appointee - Commission Procedure

SUBPART G: GIFT BAN

Section 1620.700 Gift Ban

SUBPART H: MISCELLANEOUS FILINGS

Section 1620.800 Personnel Policies

Section 1620.810 Quarterly and Six-Month Status Reports

Section 1620.820 Ex Parte Communications

Section 1620.825 Communications Related to Procurement

Section 1620.826 Communications Related to Power Procurement by the Illinois Power Agency

Section 1620.830 Designation of Ethics Officer

SUBPART I: TRAINING PROGRAMS

Section 1620.900 Ethics Training

Section 1620.910 Harassment and Discrimination Prevention Training

SUBPART J: INVESTIGATION REPORTS AND SUMMARY REVIEWS

Section 1620.1000 Investigation Reports Finding a Violation

Section 1620.1010 Investigation Reports Finding No Violation

Section 1620.1020 Release of Summary Reports

Section 1620.1025 Allegations of Sexual Harassment Violations by Lobbyists

SUBPART K: DISCIPLINARY ACTION

Section 1620.1100 Disciplinary Action under the Ethics Act

Section 1620.1110 Hearings to Contest Disciplinary Actions

SUBPART L: PROCUREMENT CODE PROVISIONS

Section 1620.1200 Procurement Code Conflicts of Interest Exemptions

Section 1620.1250 Potential Conflict of Interest Submittal from the Procurement Policy Board

Section 1620.1270 Prohibited Bidder Exceptions for Higher Education

SUBPART M: ACTIONS FOR REMOVING AND DISCIPLINING CERTAIN OFFICERS

Section 1620.1300 Purpose

Section 1620.1310 Instituting a Complaint for Removal or Discipline

Section 1620.1320 Service of Process, Notice

Section 1620.1330 Contents of the Complaint and Amendments

Section 1620.1340 Objections to Sufficiency of Complaint

Section 1620.1350 Sufficiency of the Complaint

Section 1620.1360 Cause for Discharge or Discipline

Section 1620.1370 Discovery

Section 1620.1380 Subpoenas

Section 1620.1390 Motions

Section 1620.1400 Order of Evidentiary Hearing

Section 1620.1410 Public Hearing

Section 1620.1420 Proposal for Decision and Response

Section 1620.1430 Decision of the Commission

Section 1620.1440 Administrative Law Judge

Section 1620.1450 Authority of Administrative Law Judge

Section 1620.1460 Appearances - Representation

Section 1620.1470 Record of Proceedings

Section 1620.1480 Service of Pleadings

SUBPART A: ORGANIZATION

Section 1620.5 Definitions

"20-63 Complainant" means a "complainant" as defined in Section 20-63 of the Act (a known person identified in a complaint filed with an Executive Inspector General as a person subjected to alleged discrimination, harassment, or sexual harassment in violation of Section 5-65 of the Act, subsection (a) of Section 4.7 of the Lobbyist Registration Act, or Article 2 of the Illinois Human Rights Act, regardless of whether the complaint is filed by the person [5 ILCS 430/20-63(a)]). A person who is not known and identified in the complaint but who otherwise meets the definition shall, upon identification and location, be considered a 20-63 Complainant and accorded, to the extent practicable, all the rights that would have been accorded complainant had the complainant been known and identified in the complaint.

"Act" or "Ethics Act" means the State Officials and Employees Ethics Act [5 ILCS 430].

"Chair" means the Chairperson of the Executive Ethics Commission as chosen in accordance with Section 20-5(e) of the Act.

"Commission" means the Executive Ethics Commission created by Section 20-5 of the Act.

"Commissioner" means a commissioner of the Executive Ethics Commission.

"Executive Inspector General" means one of the 5 appointees described in Section 20-10(b) of the Act.

"FOIA" means the Freedom of Information Act [5 ILCS 140].

"Officer" or "Employee" means a former or current officer or State employee of the executive branch or of State public universities.

"Relationship" means any arrangement between a source and the officer or employee for employment, compensation or fees for services.

"Requestor" means a person who submits a request for public records in accordance with this Part.

"Source" means a requestor's prospective employer or source of compensation of fees for services, including the parent or subsidiary of the same.

"Ultimate Jurisdictional Authority" or "UJA" means those entities described in 5 ILCS 430/1-5 and not under the jurisdiction of the Legislative Ethics Commission.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

TITLE 2: GOVERNMENTAL ORGANIZATION
SUBTITLE E: MISCELLANEOUS STATE AGENCIES
CHAPTER VI: EXECUTIVE ETHICS COMMISSION
PART 1620 ORGANIZATION, INFORMATION, RULEMAKING AND HEARINGS
SECTION 1620.10 COMPOSITION OF EXECUTIVE ETHICS COMMISSION

Section 1620.10 Composition of Executive Ethics Commission

The Executive Ethics Commission consists of nine commissioners. The Governor appoints five commissioners and the Attorney General, Secretary of State, Comptroller and Treasurer each appoint one commissioner. [5 ILCS 430/20-5(b)]

Section 1620.20 Officers

The Executive Ethics Commission shall elect a Chair and Vice-Chair and any other officers it deems appropriate. The terms of officers shall be for two years commencing July 1 and running through June 30 of the second year. [5 ILCS 430/20-5(e)] Neither Chairs nor Vice-Chairs may succeed themselves except that a Commissioner elected to fill a vacancy in the office of Chair or Vice Chair during a term shall serve the remaining balance of that term and may be elected to a new two-year term to begin the following July 1.

(Source: Amended at 48 Ill. Reg. 6829, effective April 25, 2024)

Section 1620.30 Appointment of Executive Director

The Executive Ethics Commission shall appoint an Executive Director. [5 ILCS 430/20-5(h)]

Section 1620.40 Duties of Executive Director

The Executive Director serves as the director of the staff of the Executive Ethics Commission and is responsible for the employment of necessary professional, technical and secretarial staff as directed by the Executive Ethics Commission. The Executive Director shall serve at the pleasure of the Commission.

Section 1620.50 Duties of Staff

The duties and organization of staff are established by the Executive Director as directed by the Executive Ethics Commission.

SUBPART B: INFORMATION

Section 1620.110 Requests for Records

a) A request for access to records for an opportunity to inspect or for copies of records shall be submitted in writing to the Freedom of Information Officer at the office of the Executive Ethics Commission. The Executive Director shall either serve as, or shall appoint at least one, Freedom of Information Officer for the purpose of receiving FOI requests and responding to those requests. Any person serving as FOI Officer must complete training as required by Section 3.5 of FOIA. Requests for public records may be submitted by mail, e-mail, hand delivery or facsimile, directed to the Freedom of Information Officer, as follows:

FOI OFFICER

Executive Ethics Commission

401 S. Spring Street

515 Stratton Building

Springfield, Illinois 62706

EEC.legalstaff@illinois.gov

(217)558-1399 (facsimile)

b) The request must describe the public record sought, being as specific as possible. If the description is not sufficiently clear to allow easy identification of the records sought, the requestor may be asked to supply additional necessary information.

c) Pursuant to Section 5-15 of the Illinois Administrative Procedure Act [5 ILCS 100/5-15], requests for copies of Executive Ethics Commission rules shall be granted but are not deemed to be Freedom of Information Act requests, unless so labeled by the requestor.

d) The requestor shall indicate whether the public record is being obtained for a commercial purpose.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.120 Response to Requests for Records

a) The Freedom of Information Officer shall respond to a written request for a copy of, or for an opportunity to inspect, public records within 5 business days after receipt of the request except that a response to a request for a commercial purpose or a response to a recurrent requestor may take up to 21 days as permitted by, and in accordance with, Section 3.1 or 3.2 of FOIA, respectively.

b) If, for one or more reasons provided in Section 3(e) of FOIA, the Freedom of Information Officer cannot comply with or deny the request within 5 business days, the Freedom of Information Officer shall have an additional 5 business days in which to respond. Within the initial 5-day period, the Freedom of Information Officer shall give the requestor written notice of the extension of time to respond or of the treatment as a voluminous request pursuant to Section 3.6 of FOIA. The notice shall set forth the reasons for the extension or treatment.

c) When a request for a copy of public records has been granted, the FOI Officer may notify the requestor that the requested copies will be made available upon payment of fees as provided in Section 6 of FOIA.

d) A denial of a request for public records shall be made in writing and shall state the reasons for the denial, including a detailed factual basis for the application of any exemption claimed, and the names and titles or positions of individuals responsible for the decision. The notice of denial shall also inform the requestor of the right to review by the Public Access Counselor established in the Office of the Attorney General and the requestor's right to judicial review under Section 11 of FOIA.

e) Failure to respond to a written request within the applicable time limits described in subsections (a) and (b) may be considered by the requestor as a denial of the request.

f) Pursuant to Section 8.5 of FOIA, the Commission is not required to provide copies of records available on its website when it directs the requestor to the website where the records are available and can reasonably be accessed.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.140 Copies of Public Records − Fees

a) When copies of public records not exempt from disclosure under FOIA are requested, they will be provided subject to the payment of fees charged as allowed by Section 6 of FOIA. The first 50 hard copy pages are provided free of charge if and only if the copies are black and white and either legal or letter sized. The Commission reserves the right to charge fees to reimburse its actual costs for reproducing public records exceeding 50 pages or in color or in a size other than letter or legal, as allowed by Section 6 of FOIA.

b) If the Commission incurs extraordinary shipping expenses for sending copies of public records to the requestor, the Commission reserves the right to seek reimbursement of those actual shipping expenses from the requestor.

c) Charges may be waived or reduced in any case in which the FOI Officer determines that the waiver serves the public interest.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.150 Materials Immediately Available

Detailed information about the Commission is publicly and immediately available at the Commission website: https://eec.illinois.gov/. The Commission's website provides a description of the Commission's responsibilities, organizational structure, categories of public records, and process for obtaining public records. Public records immediately available on the web site include Commission annual reports, UJA harassment and discrimination prevention training program reports, publications explaining Commission decisions issued pursuant to the State Officials and Employees Ethics Act [5 ILCS 430], and Executive Inspector General Founded Reports.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

SUBPART C: RULEMAKING

Section 1620.200 Rulemaking Procedures

a) Rules of the Executive Ethics Commission may be adopted, amended or repealed only by affirmative vote of at least five members of the Commission.

b) Rulemaking of the Commission must be conducted in compliance with applicable provisions of the Illinois Administrative Procedure Act [5 ILCS 100].

SUBPART D: INVESTIGATIONS

Section 1620.300 Conduct of Investigations

a) Policy and Procedures Manual

1) All investigations by an Executive Inspector General or the Executive Inspector General's employees (collectively known as EIG) shall be conducted in accordance with procedures contained within this Part and within a policy and procedures manual developed by the EIG and approved by the Executive Ethics Commission. Approval shall be based on compliance with the Act, this Part and other applicable law. A policy and procedures manual should give direction to EIG employees that supplement the requirements of the Act and this Part.

2) The policy and procedures manual described in subsection (c) shall be submitted for approval to the Executive Ethics Commission within 90 days after July 1, 2008. Any future amendments to the policy and procedures manual shall be subject to the Commission's approval. An updated policy and procedures manual for each EIG shall be posted on the EEC website. Portions of the policy and procedures manual that may compromise the integrity of investigations or confidential investigative techniques may be redacted by the EEC after consultation with the appropriate EIG.

b) Waiver of Policy and Procedures Manual Provisions

1) Waiver by the Commission

Upon written petition by an Executive Inspector General and a finding that the waiver is, in the particular context, necessary to avoid compromising the integrity of an investigation, the Commission may grant a waiver of the subsection (c)(6) requirement that requests for documents or physical objects be in writing.

2) Temporary Waiver by the Chair

The Chair of the Commission, or the Chair's designee, may likewise grant a waiver of the subsection (c)(7) requirement that requests for documents or physical objects be made in writing in response to an oral or written request by an EIG if the Chair or the Chair's designee finds that the waiver is, in the particular context, necessary to avoid compromising the integrity of an investigation, and provided that, within 72 hours after the waiver, the Executive Inspector General files a written request to the Commission. A waiver granted by the Chair pursuant to this subsection (b)(2) may be withdrawn by the Chair at any time if the Chair no longer reasonably believes that the waiver is necessary to avoid compromising the integrity of an investigation.

c) The policy and procedures manual shall include, but not be limited to, the following:

1) An EIG shall accept case initiation forms from State of Illinois employees and the general public in accordance with Section 1620.320.

2) An EIG shall not investigate allegations of violations of State or federal law or this Part made against an EIG (including the EIG's employees). An EIG shall not investigate allegations of violations of State or federal law or of this Part if an EIG (including the EIG's employees) could be reasonably deemed to be a wrongdoer or suspect. Instead, in such cases, the EIG shall promptly refer all such allegations to the EEC for consideration of appointment of a Special Executive Inspector General.

3) Within 5 business days either after the receipt of a complaint in which a 20-63 Complainant is identified or after the subsequent identification or location of a person who was subjected to the discrimination, harassment, or sexual harassment as alleged in a pending complaint, the EIG shall notify the 20-63 Complainant of the receipt of the complaint, the complainant's rights, and an explanation of the process, rules, and procedures related to the investigation of an allegation, and of the duties of the EIG and the EEC. [5 ILCS 430/20-63] The notification shall be transmitted to the 20-63 Complainant by letter or appropriate electronic means.

4) Within 30 calendar days after receipt of a case initiation form as described in Section 1620.320, the EIG shall do one of 5 things:

A) Determine that no investigation is appropriate; or

B) Open an investigation file pursuant to Section 1620.330 and commence an investigation; or

C) Refer the case initiation form to the appropriate EIG, the Executive Ethics Commission or other appropriate body as described in Section 1620.340 and take no further action; or

D) Suspend the investigation pending review of the outcome of other proceedings; or

E) Refer the investigation to the Executive Ethics Commission for consideration of appointment of a Special Executive Inspector General.

5) The EIG shall notify a 20-63 Complainant of the EIG's decision to open or close an investigation into the relevant complaint or to refer the complaint to another appropriate agency within 5 business days after the decision is made. If, however, the EIG reasonably determines that publicly acknowledging the existence of an investigation would interfere with the conduct or completion of that investigation, the notification may be withheld until public acknowledgment of the investigation would no longer interfere with that investigation. [5 ILCS 430/20-63]

6) Each EIG shall disclose the opening of all investigation files, as described in Section 1620.330, in writing to the Executive Ethics Commission. The disclosure shall identify the affected office, agency or agencies, the date the investigation was opened, and the investigation's unique tracking number. Reports on all investigations opened in a calendar month shall be submitted to the Commission on or before the 15^th day of the following month.

7) All EIG requests for production of or viewing of documents or physical objects under office or agency control shall be made in writing; provided, however, that the Commission may exempt any EIG who functions wholly within a single office or agency from the application of this requirement upon joint petition by the EIG and the affected office or agency. A written request for documents or physical objects shall state that the recipient of the request, should the recipient believe that the release of the subject matter of the request might violate existing rights or protections under State or federal law, has the right to seek a determination from the Commission relative to such rights or protections, if desired. An EIG may take reasonable steps to seal or otherwise ensure the integrity of the requested documents or physical objects pending the Commission's determination. If security concerns demand the removal of sealed documents or physical objects, the EIG shall issue a subpoena before removal. The Commission shall consider the applicability of the right or protection asserted and issue a determination within 5 business days; provided, however that where delay for such a period could place an investigation in jeopardy, an EIG may request expedited consideration. The recipient and Commission shall maintain confidentiality about the request so as to minimize any risk of compromising the investigation. The recipient may assert any existing rights or protections under State or federal law with respect to the request, and such assertions made in good faith do not constitute failure to cooperate in an investigation.

8) An EIG desiring to interview any State officer or employee who is the subject of an EIG investigation and whom the EIG, based on the information available at the time of the interview, reasonably believes likely faces discipline shall notify the interviewee whether the underlying investigation is criminal or administrative in nature. If the underlying investigation is criminal in nature, the interviewee shall be presented a form that outlines the interviewee's rights during the interview, including the right to the presence of an attorney, union representative or coworker uninvolved in the investigation. If the underlying investigation is administrative in nature, the interviewee shall be presented a form that outlines the interviewee's rights during the interview, including the right to presence of a union representative or coworker uninvolved in the investigation. In both criminal and administrative investigations, the interviewee shall sign the form, attesting only to the fact that the form was presented to the interviewee and he or she was given the opportunity to read it. All forms presented to interviewees shall be pre-approved by the Commission. If, at any point, an interview subject requests the presence of a person authorized by this subsection (c)(8) or an attorney, the interview shall be suspended, and a new date and time set. Evidence obtained directly or indirectly in violation of this subsection (c) is not admissible in any proceeding before the Executive Ethics Commission.

9) No EIG shall infringe upon the right of employees or officers to seek advice from their agency ethics officer on the interpretation and implementation of the Act, or to seek advice from private legal counsel.

10) Conduct of Interview

A) Interviews shall be conducted in a businesslike manner. The investigator shall avoid any personality clashes, acts of undue familiarity, abuse, or use of profanity. The investigator shall treat all persons interviewed with respect and not unduly embarrass, inconvenience, intimidate or degrade the interviewee.

B) Any armed State employee present shall not use firearms in any manner that might intimidate unless anyone in the room is physically threatened.

C) Interviewees enjoy all rights in the course of an interview protected by the Constitution of the United States and federal and State law.

D) The duty to cooperate in investigations as provided at 5 ILCS 430/20-70 does not include restriction on those rights.

E) In the event that the subject of an interview believes that the investigator has operated in violation of this Part, or in violation of applicable law, the interviewee may file a written objection with the Commission, setting forth with specificity the nature of the alleged violation. Within 30 days after receiving the objection, the Commission shall issue a written finding either sustaining or overruling the objection, shall appoint a Special Executive Inspector General to discover more facts (by interviewing witnesses, etc.), or shall refer the issue to an appropriate law enforcement authority. If the Commission sustains the objection, it shall issue a copy of its finding to the EIG to whom the investigator reports, as well as make public a copy of its finding. Subjects of the complaint process described in this subsection (c)(11)(E) are entitled to due process of law.

11) State employees who are subjects of EIG interviews and whom the EIG, based on the information available at the time of the interview, reasonably believes likely faces discipline, shall be presented a form that outlines their rights during the interview. The form shall also clearly indicate that the interviewee has the right to refuse to consent to have the interview recorded and the right to stop the recording of the interview at any time and that refusing to consent to have the interview recorded or to stop the recording at any time shall not constitute failure to cooperate in the investigation or otherwise subject the interviewee to any discipline. The form shall also indicate that the interviewee may request at any time that the interview be recorded. If the interviewee requests at any time that the interview be recorded, the interviewer shall honor this request, stop the interview and immediately provide the employee a request to record form. Upon execution of a request to record form, the interview and all future interviews of the subject shall be recorded by mechanical, digital or other means. All forms and recordings shall be preserved, unedited, in the investigation file. Nothing in this subsection (c)(11) shall be construed to require the recording of interviews other than pursuant to an appropriately executed request of the interviewee. The interviewee shall sign the form, attesting only to the fact that the form was presented to the interviewee and that the interviewee was given the opportunity to read it.

12) Upon completion of investigations, the EIG or the EIG's designee shall write a final report summarizing the background of the investigation, the allegations, investigative steps taken and conclusions drawn. The final report shall include a recommendation regarding appropriate action. An investigation is deemed completed for purposes of this Part when all processes of internal review of the investigation and of the final report have terminated.

13) The policy and procedures manual may contain additional policies or procedures not inconsistent with this Part, subject to Commission approval as outlined in subsection (a)(2).

d) The EIG shall determine a reasonable time, place, and manner for a 20-63 Complainant to exercise the Complainant's right to review, in person, any transcript or interview report created from an audio recording of the Complainant's interview and shall make reasonable accommodations as necessary.

e) Any person may complain to the Commission, in writing, concerning an EIG's alleged violation of the Act or this Part. Upon receipt of a complaint, the Commission may notify the EIG and require the EIG to provide information related to the investigation in order to determine whether any conduct has occurred that would require the Commission to appoint a Special Executive Inspector General pursuant to 5 ILCS 430/20-21. Under those circumstances, the Commission deems the EIG's disclosure of that information to the Commission to be "necessary" as provided at 5 ILCS 430/20-95(d).

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

Section 1620.310 State Officer or Employee Case Initiation Form

Each Executive Inspector General shall prescribe and make available a case initiation form for investigation of a complaint against a State officer or employee.

Section 1620.320 Case Initiation Form − Contents

The case initiation form shall set out:

a) the name of the employee or officer who is alleged to have committed misconduct;

b) the identity of the State agency by which the employee or officer is employed;

c) the name, address and telephone number of the complainant, unless filed anonymously;

d) the date and time of the alleged misconduct;

e) a description of the acts and circumstances that surrounded the alleged misconduct;

f) the names of any other person who witnessed, participated in, or was subjected to, alleged misconduct of any kind;

g) an address to which the completed form may be mailed;

h) a statement of the confidentiality of the identity of the complainant (see 5 ILCS 430/20-90(a));

i) a statement that penalties may be applied for intentionally making a false report alleging an ethics violation (see 5 ILCS 430/50-5(d)); and

j) such other information that the Executive Inspector General reasonably requires.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

Section 1620.330 Opening an Investigation File

a) Upon deciding to open an investigation file in accordance with Section 1620.300(c)(4)(B), the Executive Inspector General shall promptly create an investigation file and assign the file a unique tracking number. Multiple case initiation forms that relate to the same alleged acts of misconduct may be consolidated for purposes of investigation. In the absence of a completed case initiation form, the Executive Inspector General may create an investigation file and assign the file a unique tracking number if the Executive Inspector General reasonably believes that misconduct may have occurred within the Executive Inspector General's jurisdiction. Investigations that have been closed and are reopened, involving the same alleged wrongdoing by at least one of the same persons who was the subject of the original complaint, shall be identified by the same tracking number as the initial investigation. All time limits stated in this Part shall be applied from the date of the original complaint.

b) The investigation file shall contain the case initiation form, or if none, so much of the information that would normally appear on the case initiation form as is known to the Executive Inspector General at the inception of the matter.

(Source: Amended at 36 Ill. Reg. 13826, effective August 21, 2012)

Section 1620.340 Referral to the Appropriate Executive Inspector General

Notwithstanding Section 1620.330, if an Executive Inspector General receives a case initiation form or other information that alleges misconduct of an officer or employee outside his or her jurisdiction, he or she shall promptly forward the case initiation form or information to the appropriate Executive Inspector General, appropriate ethics commission or other appropriate body and shall keep a record of this referral and its recipients.

Section 1620.350 Investigations

Investigations shall commence upon the opening of an investigation file in accordance with Section 1620.330. Investigations shall be conducted in accordance with Section 20-20 of the Act [5 ILCS 430/20-20].

SUBPART E: HEARINGS

Section 1620.420 Attorney of Record

In all cases filed before the Commission, all respondents not appearing pro se must be represented of record by a member of the Illinois Bar or an eligible out-of-state attorney, consistent with the requirements of Illinois Supreme Court Rule 707. Attorneys shall file a written appearance before addressing the Commission and may not withdraw an appearance for a party without leave of the Commission.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.430 Filing Requirements

a) An original and one copy of all documents shall be filed with the Commission at the Commission's offices. The documents shall be produced on 8½" x 11" white paper by a typing, printing, duplicating or copying process that provides a clear, readable image. If a filing is unreadable, it will be returned as unacceptable for filing. Parties represented by counsel shall send to the Commission an electronic copy of all documents via electronic mail on the same day that the paper documents are filed. Parties not represented by counsel are encouraged to send electronic copies of all filings.

b) Each party who files a document with the Commission shall also send a copy of that document to the other party in the case, or, if represented, to the other party's attorney. Parties shall attach a certificate of service to each document in accordance with Illinois Supreme Court Rule 12.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.440 Complaint

a) Cases other than appeals of disciplinary actions under the Act filed under Section 1620.1100 shall be commenced by the filing of a complaint with the Commission.

b) The Executive Inspector General or Secretary of State Inspector General, as appropriate, shall be designated as "the petitioner" and the person who is alleged to have violated the Act shall be designated as "the respondent".

c) The form of the complaint shall be captioned substantially as follows:

IN THE EXECUTIVE ETHICS COMMISSION OF THE STATE OF ILLINOIS
A. B., in (his/her) capacity as	)
Executive Inspector General for the	)
(constitutional officer),	)
	)
Petitioner,	)
	)
v.	)	No. _______________
	)
C. D.	)
	)
Respondent.	)
Complaint

d) The Commission shall assign each complaint a unique tracking number and all subsequent filings in each case shall reference this tracking number.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.450 Complaint − Required Provisions

The complaint shall set forth the jurisdiction of the Commission by identifying the respondent, the respondent's employer and the Section of the Act the respondent is alleged to have violated. The complaint shall also set forth the alleged violation and the grounds that exist to support the petition.

(Source: Amended at 34 Ill. Reg. 13108, effective August 27, 2010)

Section 1620.460 Service

After filing the complaint, the petitioner shall serve a file-stamped copy of the complaint on all respondents and on each respondent's ultimate jurisdictional authority in the same manner as process is served under Part 2 (Process) of the Civil Practice Law of the Code of Civil Procedure [735 ILCS 5/Art. II, Part 2]. [5 ILCS 430/20-50(d)] Petitioner shall file the proof of service with the Commission.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.470 Objections

A respondent may file objections to the complaint within 30 days after the complaint has been served on the respondent. [5 ILCS 430/20-50(e)] If the respondent fails to object to the complaint, a general denial of the facts set forth in the complaint shall be considered filed.

(Source: Amended at 34 Ill. Reg. 13108, effective August 27, 2010)

Section 1620.480 Sufficiency of the Complaint

a) At least 30 days after the complaint is served on all respondents, the Commission shall meet in person or by telephone in a closed session to review the sufficiency of the complaint.

b) If the Commission finds that the complaint is sufficient, the Commission will notify the parties via certified mail, return receipt requested, of the decision. The notice shall include a hearing date scheduled within 4 weeks after the date of the notice, unless all the parties agree to a later date. [5 ILCS 430/20-50(f)] The Commission may grant, for good cause shown, a continuance of the hearing date contained in the notice.

c) If the Commission finds that the complaint is insufficient for any reason, the Commission shall notify the parties via certified mail, return receipt requested, of the decision to reject the complaint. [5 ILCS 430/20-50(f)] The Commission may reject the complaint with or without leave to refile.

(Source: Amended at 34 Ill. Reg. 13108, effective August 27, 2010)

Section 1620.490 Discovery

a) The parties shall not engage in discovery without leave of the Commission, but the Commission encourages the voluntary exchange of information by the parties.

b) At least 2 weeks prior to the scheduled hearing or at a date determined by the Chair or an administrative law judge, if any, each party must file with the Commission and disclose to the other party:

1) the names of all witnesses expected to testify at hearing;

2) a summary of the witnesses' expected testimony;

3) copies of all documents expected to be introduced into evidence at hearing;

4) a description of any physical evidence expected to be introduced at hearing;

5) any known evidence that is exculpatory or tends to negate the allegations contained in the complaint; and

6) any statements or recordings of statements made by a respondent, or summaries of a respondent's interview.

c) Any physical evidence expected to be introduced at hearing shall be made available to the other party for inspection at least 2 weeks prior to the scheduled hearing or at a date determined by the Chair or an administrative law judge, if any.

d) All writings or electronic recordings in the possession of either party reflecting prior statements of an identified witness related in any way to the subject matter of the witness' expected testimony, or to matters bearing on the witness' credibility, shall be filed with the Commission and be produced to the opposing party no later than one week prior to the commencement of the hearing or at a date determined by the Chair or administrative law judge, if any. If a statement is part of notes that were taken during the case investigation, the notes may be redacted to remove the author's thoughts, mental impressions or other work product.

e) A party offering testimony or evidence that has not been disclosed in accordance with this Section has the burden to show that the evidence was not available at the time required by this Section and that the other party has not been unfairly prejudiced by the failure to disclose.

(Source: Amended at 34 Ill. Reg. 13108, effective August 27, 2010)

Section 1620.500 Subpoenas

The Chair and the administrative law judge, if any, shall have authority to issue subpoenas in the name of the Commission to compel the presence of witnesses for purposes of testimony and the production of documents and other items for inspection and copying.

a) Subpoenas may be issued upon written request of either party if:

1) the request is reasonably designed to produce or lead to the production of evidence related to the alleged violation;

2) the terms of compliance are reasonable given the time frames and other circumstances;

3) the party seeking the subpoena has attempted and failed to obtain the subject of the subpoena through other means; and

4) the subpoena is properly prepared and presented for signature.

b) Subpoenas for testimony of witnesses at hearing will be granted in the absence of compelling circumstances to the contrary.

c) Witnesses may be subpoenaed to give sworn evidentiary depositions, subject to cross-examination, if and only if they are unable to attend the hearing.

d) The cost of service and witness and mileage fees shall be borne by the person requesting the subpoena. Witness and mileage fees shall be the same as are paid witnesses in the circuit courts of the State of Illinois.

e) The person requesting a subpoena shall be responsible for its service in accordance with the Illinois Code of Civil Procedure [735 ILCS 5] and the Illinois Supreme Court Rules.

Section 1620.510 Motions

a) Unless made orally on the record during a hearing, all motions shall be in writing and shall briefly state the order or relief requested and the specific grounds upon which relief is sought. Motions based on facts that are not in the record shall be supported by affidavit.

b) The motion shall point out specifically the defect complained of or other grounds for relief and shall specify the requested relief. The moving party shall file a proposed order with each motion.

c) The Chair or, if an administrative law judge has been appointed, the administrative law judge may determine all motions except motions that are potentially dispositive of the case. Motions that are potentially dispositive of the case must be determined by the Commission.

d) All written motions that are potentially dispositive of the case shall be filed with the Commission and served on the other party prior to the scheduled hearing. Potentially dispositive motions filed less than one week prior to a scheduled hearing may, in the Commission's discretion, be considered after the scheduled hearing. The scheduled hearing may be continued while the Commission considers the potentially dispositive motion if, in the opinion of the Chair or the administrative law judge, continuing the scheduled hearing is in the best interests of judicial economy.

e) The Commission may consider potentially dispositive motions with or without oral argument by the parties and may direct the Chair or administrative law judge to conduct a hearing on the motion and present proposed findings of fact and conclusions of law to the Commission.

f) Dispositive motions may not exceed 15 pages in length and non-dispositive motions may not exceed 5 pages in length without first obtaining leave of the Commission.

g) Responses to any motion shall be filed within 15 days after the motion is filed, unless otherwise directed by the Commission, the Chair, or, if an administrative law judge has been appointed, the administrative law judge. Reply briefs and sur-replies shall be permitted solely at the discretion of the Commission, the Chair, or, if an administrative law judge has been appointed, the administrative law judge, who may also determine the deadline and format for the reply or sur-reply.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.520 Hearings

a) The Chair shall preside over all hearings unless, at the election of the Commission, the Chair designates an administrative law judge to act as a hearing officer. The administrative law judges shall be licensed to practice law in the State of Illinois and may be a commissioner or regular or contractual employee of the Commission. The Commission shall grant, for good cause shown, a petition from either party seeking disqualification of the administrative law judge or a commissioner for bias or conflict of interest.

b) All hearings shall be closed to the public.

c) Hearings shall be conducted in accordance with the contested case provisions of Article 10 of the Administrative Procedure Act [5 ILCS 100/Art. 10].

d) If a 20-63 Complainant has submitted an impact statement with respect to the allegations in the summary report of the investigation that served as the basis for the filing of the complaint, the EIG shall, with notice to the respondent, provide to the person presiding over the hearing a copy of the statement for the Commission’s consideration. The Commission shall consider the impact statement only for purpose of determining an appropriate penalty, if any.

e) At the conclusion of the hearing, the Chair or the administrative law judge, if any, may set a briefing schedule.

f) If a party, or any person at the instance of or in collusion with a party, unreasonably refuses or fails to comply with this Subpart E or with any order of the Commission, Chair or administrative law judge, the Chair or administrative law judge may enter an adverse finding, or order as may be necessary to ensure just disposition of the matter.

g) The Chair or the administrative law judge presiding at the hearing may conduct any additional proceedings ancillary to or related to the hearing as the Chair or the administrative law judge deems appropriate.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

Section 1620.525 20-63 Complainant's Right to Testify

a) For purposes of this Section, "Complainant" means a 20-63 Complainant.

b) Notification

1) If the complaint is based in whole or in part upon allegations of sexual harassment involving one or more Complainants, the Attorney General shall, at least 4 weeks before the scheduled hearing, file with the Commission and disclose to the other party a list of Complainants whom the Attorney General does not intend to call as witnesses to testify. For each such non-called Complainant, the Attorney General shall separately provide to the Commission either:

A) a copy of the Attorney General's notification to the Complainant of the Complainant's right to testify at and on the date of the hearing and a copy of the Complainant's response, if any; or

B) if notice of the hearing and the right to testify was not given, the Complainant's contact information.

2) If the Attorney General provided the information under subsection (b)(1)(B), the Chair, Executive Director, or administrative law judge shall, within 5 business days of receipt of the contact information, notify the Complainant of the date and location of the hearing and of Complainant's right to testify. The Chair, Executive Director, or administrative law judge will have a continuing duty to notify any non-called Complainant who has expressed an interest in exercising their right to testify of any schedule changes.

c) A non-called Complainant shall notify the Commission of Complainant's intention to testify and the identity of the accompanying support person, if any, at least two weeks before the scheduled hearing, and the Commission shall then notify the parties.

d) A Complainant who testifies pursuant to this Section may be accompanied while testifying by a single union representative, attorney, co-worker, or other support person who is not involved in the investigation. The accompanying person may not be present at the hearing for any other purpose.

e) Unless otherwise called as a witness by a party, Complainant may testify only with respect to the allegations of sexual harassment involving Complainant.

f) The Complainant's right to testify does not include the right to otherwise be present during the hearing.

(Source: Added at 47 Ill. Reg. 12045, effective July 31, 2023)

Section 1620.530 Decision of the Commission

a) Within 60 days after the hearing or after briefs are due, whichever is later, the Commission shall enter a decision.

b) When the Commission is determining an appropriate fine pursuant to either Section 20-90(d) or 50-5 of the Act after a finding of liability, the Commission may consider the following mitigating and aggravating factors:

1) nature of violations;

2) the scope of the violation or scheme of violations;

3) the use of title or position;

4) the extent of the use of resources, money, time to the State;

5) the extent of a respondent's intent or knowledge of the facts surrounding the violation;

6) premeditation;

7) the duration of any series of violations;

8) position of authority;

9) involvement of others, especially other State employees;

10) impact on an ongoing investigation or the operations of government;

11) any impact statement submitted by a 20-63 Complainant;

12) self-disclosure;

13) cooperation;

14) in the absences of substantial aggravating factors, a self-employed person's incidental business or employment matters that are not reported under Section 5-45(f) of the Act in a timely manner or involve subject matter not directly related to prior State employment and that entail monetary amounts of less than $5,000 are deemed to be offenses warranting a warning or minimal fine;

15) prior disciplinary record or Ethics Act violation; and

16) years of service and type of service with the State.

c) The decision shall include a description of the alleged misconduct, the decision of the Commission, including any fines levied and any recommendation of discipline and the reasoning for that decision. [5 ILCS 430/20-55(a)]

d) Decisions of the Commission shall be signed by at least 5 commissioners.

e) All decisions shall be delivered to the head of the appropriate State agency, the appropriate ultimate jurisdictional authority, the Executive Inspector General or Secretary of State Inspector General, as appropriate, the respondent, and the Attorney General. [5 ILCS 430/20-55(a)]

f) Once a complaint has been filed with the Commission, any proposed settlement reached by the parties must be submitted to the Commission for review and approval.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

SUBPART F: REVOLVING DOOR PROHIBITION

Section 1620.610 Revolving Door Prohibition

a) Within 6 months after the effective date of PA 96-555 (August 18, 2009), each executive branch constitutional officer shall adopt a policy delineating which State positions under his or her jurisdiction and control, by the nature of their duties, may have the authority to participate personally and substantially in the award or fiscal administration of State contracts or in regulatory or licensing decisions. These policies shall be filed with the Commission and appropriate Executive Inspector General. [5 ILCS 430/5-45(c)]

b) No later than June 1, 2010, and annually thereafter, each Executive Inspector General shall report to the Commission his or her determination of any additional State positions under his or her jurisdiction, not otherwise subject to the policies required by Section 5-45(c) of the Act, that are nonetheless subject to the notification requirement of Section 5-45(f) due to their involvement in the award or fiscal administration of State contracts or in regulatory or licensing decisions. [5 ILCS 430/5-45(d)]

c) Any State employee in a position subject to the policies required by subsection 5-45(c) or a determination of Section 5-45(d) of the Act, but who does not fall within the prohibition of Section 5-45(h), who is offered non-State employment during State employment or within a period of one year immediately after termination of State employment shall, prior to accepting such non-State employment, notify the appropriate Executive Inspector General. [5 ILCS 430/5-45(f)] The employee's notification to the appropriate Executive Inspector General must include:

1) the employee's name;

2) a description of the positions the employee held in State government in the last 12 months, including the title, responsibilities, and employing State agency or agencies;

3) the title, description and responsibilities of the prospective employment position;

4) the name, description, ownership, corporate structure including its parent and any subsidiaries, and contact information of the prospective employer;

5) in the case of self-employment, that is, when the employee will be an independent contractor who receives compensation or fees for services provided, regardless of whether those fees are paid directly or through a third party, the employee's initial submission shall include a list of known clients with which the employee or the employee's business intends to contract. The employee must update this list for a period of one year after termination of State employment when the employee or the employee's company intends to contract with a new client and submit the names of each additional client to both the former employee's Ethics Officer and the appropriate Inspector General.

6) a statement from the Ethics Officer or Officers of the State agency or agencies employing the employee in the last 12 months that identifies any contracts the prospective employer, or its parent or subsidiaries have had with the State agency or agencies in the last 12 months, the amounts of those contracts, any regulatory or licensing decisions made by the State agency or agencies in the last 12 months that applied to the prospective employer or its parent or subsidiary, whether the employee was involved in any regulatory, licensing, or contracting decisions or activities regarding the prospective employer or its parent or subsidiary within the last 12 months, and if the employee was involved, a description of that involvement. If the Ethics Officer is the employee seeking the determination or is unable for any reason to provide this statement, the Executive Inspector General may consider a statement provided by another appropriate employee or officer. The statement from the ethics officer must be submitted to the appropriate Executive Inspector General within 5 calendar days after receiving notification from the employee.

d) Within 10 calendar days after receiving notification from an employee or officer in a position subject to policies required by subsection (a), the Executive Inspector General shall make a determination as to whether the State employee is restricted from accepting such employment by Section 5-45(a) or (b) of the Act. Such a determination must be in writing, signed and dated by the Executive Inspector General, and delivered to the subject of the determination within 10 calendar days. [5 ILCS 430/5-45(f)]

e) A copy of such a determination shall also be forwarded to the ultimate jurisdictional authority, the Attorney General and the Commission. [5 ILCS 430/5-45(g)] If an Executive Inspector General fails to make a determination within 10 calendar days after receiving a notification described in subsections (c) and (d), the EIG shall report this failure to the Attorney General and Commission immediately.

f) An Executive Inspector General's determination may be appealed to the Commission by the person subject to the determination or the Attorney General no later than the 10^th calendar day after the date of the determination. [5 ILCS 430/5-45(g)]

1) The appeal filed with the Commission shall contain a copy of the Executive Inspector General's written determination and a verified statement that explains the basis for arguing that the determination was in error. Copies of the appeal shall be sent to the relevant Executive Inspector General and shall also be sent to the subject of the determination, if filed by the Attorney General, or the Attorney General, if filed by the subject of the determination.

2) The Attorney General shall serve a complete copy of the Executive Inspector General's revolving door determination file on the appellant with a copy to the Commission within 48 hours after the appeal is filed with the Commission.

3) Any objection to the appeal by the subject of the determination or by the Attorney General shall be filed with the Commission within 5 calendar days after the filing, unless the Commission grants an extension of time.

4) The Commission shall seek, accept and consider written public comments regarding a determination. A copy of the appeal will be posted on the Commission's web site and be posted at the Commission's offices, with instructions on how written public comments may be forwarded to the Commission for consideration. The Commission shall assess, in addition to any other relevant information, the effect of the prospective employment or relationship upon the decisions referred to in Section 5-45(a) or (b) of the Act, based upon the totality of the participation by the former officer or employee in those decisions. [5 ILCS 430/5-45(g)]

5) The Commission shall decide whether to uphold an Executive Inspector General's determination within 10 calendar days after receiving the appeal. Copies of the Commission's decision shall be sent to the former officer or employee, the Attorney General, the relevant Executive Inspector General, and the ultimate jurisdictional authority.

g) Any State employee in a position subject to the policies required by Section 5-45(c) or a determination of Section 5-45(d) of the Act, who is offered non-State employment during State employment or within a period of one year immediately after termination of State employment, but fails to provide the required notice set forth in subsection (c), shall be subject to a fine pursuant to Section 50-5(e) of the Act [5 ILCS 430/5-45(f)].

h) Any employee or officer who receives offers of non-State employment during State employment or within a period of one year immediately after termination of State employment and who is concerned about the effect of accepting the employment offer vis-à-vis the revolving door prohibition may seek a determination as provided in this Section.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

Section 1620.640 Waiver of Prohibition of Executive Inspector General Employees as Judicial Appointee

A current or former Executive Inspector General or a current or former employee of the office of the Executive Inspector General may request the Commission to waive the prohibition of judicial appointments (see 5 ILCS 430/20-10(e-1)). The requestor shall file a verified petition that identifies:

a) the judicial office to which he or she intends to be appointed;

b) the effect, if any, of his or her appointment on present or anticipated investigations conducted by any Executive Inspector General or law enforcement;

c) any Executive Inspector General investigations, current, anticipated or closed in the previous five years, related to the office, including employees of the office, to which he or she intends to be appointed; and

d) any other information the requestor believes may support the waiver.

Section 1620.650 Waiver of Prohibition of Executive Inspector General Employees as Judicial Appointee − Commission Procedure

Upon receipt of the requestor's petition, the Commission may:

a) grant the petition;

b) deny the petition;

c) request additional written information from the requestor or other persons;

d) request oral testimony from the requestor or other persons; and/or

e) conduct further inquiry related to the petition before the Commission.

SUBPART G: GIFT BAN

Section 1620.700 Gift Ban

For purposes of further defining exceptions to the Gift Ban [5 ILCS 430/10-15], the Commission defines the following terms:

a) "Educational materials and missions" are those materials and missions that:

1) have a close connection to the recipient officer's or employee's State employment or the mission of the agency or office;

2) primarily benefit the public and not the employee or officer;

3) are approved by the agency's ethics officer in advance of the mission or receipt of the materials, if practicable. If it is not practicable to obtain advance approval, the mission and materials shall be reported to the agency's ethics officer as soon as practicable and shall contain a detailed explanation of why approval could not be obtained in advance. The following items may be accepted without ethics officer approval:

A) Single copies of academic or professional publications or software in the employee's or officer's area of responsibility or field of study.

B) Waiver of conference registration fees for officers or employees serving as conference speakers, committee members or invitees of the conference host; and

4) may include registration fees or similar charges for access to educational training, materials, courses, and webinars offered via telephone or video conference, online, or other electronic means of transmission.

b) Travel Expenses

1) "Travel expenses for a meeting to discuss State business" are those expenses that:

A) have a close connection to the recipient officer's or employee's State employment;

B) primarily benefit the public and not the employee or officer;

C) are for travel in a style and manner in character with the conduct of State business; and

D) are approved by the agency's ethics officer in advance of the travel, if practicable. If it is not practicable to obtain advance approval, the travel shall be reported to the agency's ethics officer as soon as practicable and contain a detailed explanation of why approval could not be obtained in advance.

2) For site visits, "travel expenses for a meeting to discuss State business" are those expenses that:

A) are related to site visits necessary as part of a purchasing or product review process, satisfy subsections (b)(1)(A) and (C), and are disclosed in a monthly summary report to the agency ethics officer; or

B) for purposes of satisfying the requirement of prior ethics officer approval, are travel, meals or lodging paid for by a prohibited source related to fundraising activities conducted by State university development officers or employees; are disclosed in a monthly summary report to the university ethics officer; and are reimbursable, whenever practicable, to the recipient officer's or employee's agency and not directly to the recipient officer or employee.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

SUBPART H: MISCELLANEOUS FILINGS

Section 1620.800 Personnel Policies

a) Each executive branch constitutional officer and the Board of Higher Education shall file copies of the personnel policies adopted and implemented pursuant to 5 ILCS 430/5-5 with the Commission by August 15, 2005.

b) The officers and board identified in subsection (a) shall also on July 1 of each year, file with the Commission copies of the personnel policies in effect on that date, or a statement that the policies are unchanged from the previous year.

c) The officers and boards identified in subsection (a) shall also file with the Commission any amendments to the personnel policies within 30 days after the adoption of the amendments.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.810 Quarterly and Six-Month Status Reports

a) Each Executive Inspector General shall file a quarterly activity report with the Commission that reflects investigative activity during the previous quarter on or before January 15, April 15, July 15 and October 15 of each year. The activity report shall include:

1) The number of investigations opened during the preceding quarter, the affected offices or agencies, and the unique tracking number for new investigations.

2) The number of investigations closed during the preceding quarter, the affected offices or agencies, and the unique tracking number for closed investigations.

3) The status of each on-going investigation that remained open at the end of the quarter, the affected office, agency or agencies, the investigation's unique tracking number, the date opened, and a brief statement of the general nature of the investigation at the time the status report is filed. [5 ILCS 430/20-65(a)]

4) A statement of the amount of public funds at risk of loss as a result of the alleged misconduct under investigation.

5) A statement of whether the alleged misconduct may give rise to criminal penalties. If law enforcement was notified of the allegations, the report should indicate the date of the notification and the identity of the law enforcement entity notified. If law enforcement was not notified, the report should explain why notification has not occurred.

6) Other information deemed necessary by the Commission to fulfill its duties.

b) On January 15, April 15, July 15 and October 15 of each year, the Attorney General shall submit a report to the Commission indicating:

1) the number of complaints received from each Executive Inspector General since the date of the last report;

2) the number of complaints for which the Attorney General has determined reasonable cause exists to believe that a violation has occurred since the date of the last report; and

3) the number of complaints still under review by the Attorney General. [5 ILCS 430/20-86]

c) If any investigation is not concluded within 6 months after its initiation, the appropriate Executive Inspector General shall file a 6-month report with the Commission by the 15^th day of the month following it being open for 6 months. The 6-month report shall disclose:

1) The general nature of the allegation or information giving rise to the investigation (and present allegations or information being investigated, if different), the job title or job duties of the subjects of the investigation, and the investigation's unique tracking number.

2) The date of the last alleged violation of this Act or other State law giving rise to the investigation.

3) Whether the Executive Inspector General has found credible any allegations of criminal conduct.

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

5) If an allegation has not been referred to an appropriate law enforcement agency, the reason for the failure to complete the investigation within 6 months, a summary of the investigative steps taken, additional investigative steps contemplated at the time of the report, and an estimate of additional time necessary to complete the investigation. [5 ILCS 430/20-65(b)]

6) A statement of the amount of public funds at risk of loss as a result of the alleged misconduct under investigation, if the amount of loss is greater than $5,000.

7) If an ultimate jurisdictional authority is a subject of the investigation reported under this Section, the EIG shall inform the Commission separately of this fact.

8) Any other information deemed necessary by the Executive Ethics Commission in determining whether to appoint a Special Executive Inspector General. The Commission may direct the Executive Inspector General to provide the Commission a complete copy of any investigation file. When additional information is needed to determine whether a Special Executive Inspector General should be appointed, the Commission deems the EIG's disclosure of the additional information to the Commission to be "necessary" as provided at 5 ILCS 430/20-95(d).

d) The Executive Inspector General shall continue to report each investigation not concluded within 6 months on the 15^th day of each month, in accordance with subsection (c), until the investigation has been concluded. Each monthly report shall contain a personal verification by the EIG stating: "I have read this report and after thorough examination I believe that this report contains a complete and accurate listing of all investigations required by 2 Ill. Adm. Code 1620.810(c)."

e) If an Executive Inspector General has referred an allegation to an appropriate law enforcement agency and continues to investigate the matter, the future reporting requirements of this Section are suspended. [5 ILCS 430/20-65(c)]

f) All reports shall be provided to the Commission in paper form, electronically or both, as directed by the Commission.

(Source: Amended at 34 Ill. Reg. 13108, effective August 27, 2010)

Section 1620.820 Ex Parte Communications

a) Any State officer or employee who receives an ex parte communication from a non-interested party as excluded by Section 5-50(b-5) and Section 5-50(d) of the State Officials and Employee Ethics Act [5 ILCS 5-50(b-5) and (d)] or an ex parte communication from any person that imparts or requests material information or makes a material argument regarding an agency's rulemaking pursuant to Section 5-165 of the Illinois Administrative Procedure Act [5 ILCS 100/5-165] shall report this communication within 7 days to his or her agency's ethics officer.

b) Any ethics officer who receives a report of ex parte communications described in subsection (a) shall forward the report to the Commission within seven days, except with respect to communications related to the agency's rulemaking pursuant to Section 5-165 of the Illinois Administrative Procedure Act, which may be reported to the Commission at the same time the agency files its Second Notice with the Joint Committee on Administrative Rules. Any ex parte communication that the ethics officer reasonably believes is an attempt to influence through duress, coercion or the direct or indirect offer or promise of anything of value to any person or entity in consideration for any benefit or preference must be reported to the Executive Ethics Commission by the next business day. The report shall include:

1) all written ex parte communications, including all written responses to the communications;

2) a memorandum prepared by the ethics officer containing:

A) the nature and substance of all oral ex parte communications;

B) the identity and job title of the person to whom each communication was made;

C) all responses made and the identity and job title of the person making each response;

D) the identity of each person from whom the written or oral ex parte communication was received and the date of receipt;

E) the individual or entity represented by that person;

F) any action the person requested or recommended; and

G) any other pertinent information. [5 ILCS 430/5-50(c)]

c) For reporting of ex parte communications under Section 5-165 of the IAPA, repetitive, bulk public comment (e.g., form letters, petitions) may be reported in the following manner.

1) Identification of the persons and or entity that authored the comment (if known), with address and phone number;

2) Identification of any other entities in support of or opposition to the rulemaking and of the comment received by the agency;

3) Provision of a sample of the public comment and, where different form letters are used, a sample of each;

4) Submission of a tabulation of the number of persons supporting/opposing each type of public comment received by the agency; and

5) Retention by the agency of all comments received.

d) Reports received under this Section shall be considered by the Commission for possible action pursuant to Section 20-15(2) of the Act. Reports received by the Commission shall be maintained in accordance with the State Records Act [5 ILCS 160].

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.825 Communications Related to Procurement

a) Unless otherwise specified in this Section, any written or oral communication received by a State employee who, by the nature of his or her duties, has the authority to participate personally or substantially in the decision to award a State contract and that imparts or requests material information or makes a material argument regarding potential action concerning an active procurement matter, including but not limited to, an application, a contract or a project, shall be reported to the Procurement Policy Board, and, with respect to the Illinois Power Agency, by the initiator of the communication, and may be reported also by the recipient. [30 ILCS 500/50-39(a)]

1) As soon as practicable, but in no event more than 30 days after receipt of the communication or the first in a series of related communications described in subsection (b), the State employee shall report the communication to the Procurement Policy Board in accordance with the Board's rules.

2) Notwithstanding the requirements of subsection (a), as soon as practicable, but in no event more than 30 days after receipt of a communication described in subsection (b), the initiator of a communication received by an employee of the Illinois Power Agency shall also report, and the recipient of the communication may report, the communications to the Procurement Policy Board in accordance with the Board's rules.

3) No trade secrets or other proprietary or confidential information shall be included in any communication reported to the Procurement Policy Board. [30 ILCS 500/50-39(b)]

b) A communication must be reported if it is material, regarding a potential action, relating to an active procurement matter, and not otherwise excluded from reporting.

1) Materiality

A) "Material information" is information that a reasonable person would deem important in determining his or her course of action. It is information pertaining to significant issues, including, but not limited to, price, quantity and terms of payment or performance. [30 ILCS 500/50-39(g)]

B) A "material argument" is a communication that a reasonable person would believe was made for the purpose of influencing a decision relating to a procurement matter. It does not include general information about products, services or industry best practices, or a response to a communication initiated by an employee of the State for the purpose of providing information to evaluate new products, trends, services or technologies. [30 ILCS 500/50-39(g)]

C) In determining whether a communication is material, the State employee must consider:

i) whether the information conveyed is new or already known to the State agency (or repeated or restated privately) and other participants in the communication; and

ii) the likelihood that the information would influence a pending procurement matter.

2) A "potential action" is one that a reasonable person would believe could affect the initiation, development or outcome of a procurement matter.

3) "Active procurement matter" means a procurement process beginning with the requisition or determination of need by an agency and continuing through the publication of an award notice or other completion of a final procurement action, the resolution of any protests, and the expiration of any protest or Procurement Policy Board review period, if applicable. The Chief Procurement Officer may designate a document for an agency to use in documenting a determination of need. "Active procurement matter" also includes communications relating to change orders, renewals or extensions. [30 ILCS 500/50-39(g)] "Procurement processes" includes the processes of procuring specific goods, supplies, services, professional or artistic services, construction, leases of real property (whether the State is the lessor or lessee), or capital improvements, and includes master contracts, contracts for financing through use of installment or lease-purchase arrangements, renegotiated contracts, amendments to contracts, and change orders. Active procurement matters include:

A) drafting, reviewing or preparing specifications, plans or requirements, including determining the method of source selection;

B) drafting, reviewing or preparing any Invitations for Bid, Requests for Information, Requests for Proposals, sole source procurement justifications, emergency procurement justifications or selection information;

C) evaluating bids, responses and offers, other communications among an evaluation team and any technical advisors to the team relating to the evaluation of a procurement not yet awarded;

D) letting or awarding a contract;

E) resolving protests;

F) determining inclusion on prequalification lists or prequalification in general;

G) identifying potential conflicts of interest or voiding or allowing a contract, bid, offer or subcontract for a conflict of interest;

H) allowing a conflict or subcontract pursuant to Section 50-60 of the Illinois Procurement Code [30 ILCS 500]; and

I) determining, drafting, preparing, executing, denying or approving change orders or the renewal or extension of an existing contract.

c) This Section does not apply to the following communications:

1) Statements by a person publicly made in a public forum. However, communications made in a public forum, if made again privately, must be reported;

2) Statements regarding matters of procedure and practice, such as format, the number of copies required, the manner of filing, and the status of a matter;

3) Communications regarding the administration and implementation of an existing contract, except communications regarding change orders or the renewal or extension of an existing contract.

4) Statements made by a State employee to:

A) the State employee's agency head;

B) other employees of that agency;

C) employees of the Executive Ethics Commission; or

D) an employee of another State agency who, through the communication, is either:

i) exercising his or her experience or expertise in the subject matter of the particular procurement in the normal course of business, for official purposes, and at the initiation of the purchasing agency or the appropriate State Purchasing Officer; or

ii) exercising oversight, supervisory or management authority over the procurement in the normal course of business and as part of official responsibilities.

5) Unsolicited communications providing general information about products, services or industry best practices, before those products or services become involved in a procurement matter.

6) Communications received in response to procurement solicitations pursuant to the Illinois Procurement Code, including, but not limited to, vendor responses to a Request for Information, Request for Proposal, Request for Qualifications, Invitation for Bid or a small purchase, sole source or emergency solicitation, or questions and answers posted to the Procurement Bulletin to supplement the procurement action, provided that the communications are made in accordance with the instructions contained in the procurement solicitation, procedures or guidelines.

7) Communications that are privileged, protected or confidential under law.

8) Communications that are part of a formal procurement process as set out by statute, rule or the solicitation, guidance or procedures, including, but not limited to, the posting of procurement opportunities, the processes for approving a procurement business case or its equivalent, fiscal approval, submission of bids, the finalizing of contract terms and conditions with an awardee or apparent awardee, and similar formal procurement processes.

9) Any communication asking for clarification regarding a contract solicitation so long as there is no competitive advantage to the person or business and the question and answer, if material, are posted to the Illinois Procurement Bulletin as an addendum to the contract solicitation. [30 ILCS 500/50-39(a)]

d) Notwithstanding any exemption provided in subsection (c), a State employee must report any communication that imparts or requests material information or makes a material argument regarding a potential action concerning an active procurement matter if that communication attempts to influence through duress, coercion or the direct or indirect offer or promise of anything of value to any person or entity in consideration for any benefit or preference in the procurement process.

e) Notwithstanding any exemption provided in subsection (c), a State employee must report any communication that imparts or requests material information or makes a material argument regarding a potential action concerning an active procurement matter if the employee reasonably believes the communication was made for any improper purpose, including, but not limited to, providing an improper benefit, monetary or non-monetary, to any person or entity.

f) This Section does not apply to communications concerning procurements that are exempt from the Illinois Procurement Code.

g) For purposes of this Section, "State employee" means:

1) any person employed full-time, part-time or pursuant to a personal services contract and whose employment duties are subject to the direction and control of an employer with regard to the material details of how the work is to be performed;

2) any appointed or elected commissioner, trustee, director or board member of a board of a State agency; or

3) any other person appointed to a position in or with a State agency, regardless of whether the position is compensated.

h) For purposes of this Section, "public forum" includes any meeting that satisfies the notice requirements contained in Section 2.02 of the Open Meetings Act [5 ILCS 120/2.02], but also includes other public events that are advertised and generally open to the public. A meeting may be a public forum even if a reasonable fee is required, such as educational seminars and conferences.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.826 Communications Related to Power Procurement by the Illinois Power Agency

a) This Section implements Section 50-39 of the Illinois Procurement Code concerning communications with the Illinois Power Agency relating to power procurement.

b) For purposes of this Section, the identified terms have the following definitions:

1) "Illinois Power Agency" or "IPA" means the agency created by Section 1-15 of the Illinois Power Agency Act [20 ILCS 3855/1-15];

2) "Illinois Power Agency employee" means:

A) any person employed full-time, part-time or pursuant to a personal services contract with IPA and whose employment duties are subject to the direction and control of the IPA Director or staff with regard to the material details of how the work is to be performed;

B) the Director of IPA;

C) or any person associated with IPA as an independent contractor performing services or providing goods pursuant to terms specified by contract with IPA, including employees of any such independent contractor.

3) "Content of any power procurement plan" means the substance of the power procurement plan provided in the Illinois Power Agency Act (IPA Act) [20 ILCS 3855] and Sections 16-111.5 and 16-111.5B of the Public Utilities Act (PUA) [220 ILCS 5/16-111.5 and 16-111.5B].

4) "Manner of conducting a power procurement process" means the method of carrying out and administering the procurement process provided in Section 1-75 of the IPA Act and Section 16-111.5 of the PUA.

5) "Method or structure of contracting with power suppliers" means the system or composition of agreeing with a provider of electricity or related services, including renewable resources, for procurements administered by IPA, whether or not IPA is a party to the contract.

6) "Procurement of a power supply" means the acquisition of electricity or related services, including renewable resources, on behalf of participating utilities or IPA. A procurement of a power supply commences when IPA begins efforts, formal or informal, on the power procurement plan provided in the IPA Act and Section 16-111.5 of the PUA or, for procurements of renewable energy resources, pursuant to Section 1-56 of the IPA Act, and continues through the conclusion of the procurement process provided in Sections 1-75 and 1-56 of the IPA Act and Section 16-111.5 of the PUA, and includes any alternate procedures adopted by the Director pursuant to Section 20-10(i) of the Illinois Procurement Code.

7) "Public forum" includes any meeting that satisfies the notice requirements of Section 2.02 of the Open Meetings Act [5 ILCS 120/2.02], but also includes other public events that are advertised and generally open to the public. A meeting may be a public forum even if a reasonable fee is required, such as educational seminars and conferences.

8) "Participating utility" means a utility that is required to or elects to participate in the IPA procurement process pursuant to Section 16-111.5(a) of the PUA.

c) Any person communicating orally, in writing, electronically, or otherwise with the Illinois Power Agency to impart, solicit, or transfer any information related to the content of any power procurement plan, the manner of conducting any power procurement process, the procurement of any power supply, or the method or structure of contracting with power suppliers must disclose to the Procurement Policy Board the full nature, content and extent of any such communication.

d) The disclosure required under this Section shall be filed, in writing, as soon as practicable, but in no event more than 30 days after receipt of the communication. The report shall include the following information:

1) The names of any party to the communication.

2) The date on which the communication occurred.

3) The time at which the communication occurred.

4) The duration of the communication.

5) The method (written, oral, etc.) of the communication.

6) A summary of the substantive content of the communication. [30 ILCS 500/50-39(a)]

e) No trade secrets or other proprietary or confidential information shall be included in any communication reported to the Procurement Policy Board. [30 ILCS 500/50-39(b)]

f) This Section does not apply to the following communications:

1) Statements by a person publicly made in a public forum. However, communications made in a public forum, if made again privately, must be reported.

2) Statements regarding matters of procedure and practice, such as format, the number of copies required, the manner of filing, and the status of a matter.

3) Communications regarding the administration and implementation of an existing contract, except communications regarding change orders or the renewal or extension of an existing contract. [30 ILCS 500/50-39(a)]

4) Statements made by an IPA employee to:

A) the Director of IPA;

B) other employees of IPA;

C) persons associated with IPA as an independent contractor performing services or providing goods pursuant to terms specified by contract with the agency;

D) a commissioner or employee of the Executive Ethics Commission exercising oversight of IPA as part of official responsibilities; or

E) a commissioner or employee of the Illinois Commerce Commission (ICC), when the communications are part of the procurement process provided in Section 1-75 of the IPA Act and Sections 16-111.5 and 16-111.5B of the PUA.

5) Communications that are privileged, protected or confidential under law. [30 ILCS 500/50-39(a)]

6) Communications that are required as part of formal processes set out by statute, rule or solicitation, guidelines or procedures, including, but not limited to, the process for determining the content of any power procurement plan, the manner of conducting any power procurement process, the procurement of any power supply, or the method or structure of contracting with power suppliers, provided that the communications are made in accordance with the instructions contained in the statute, rule, solicitation, guidance or procedures.

7) Unsolicited communications providing general information about products, services or industry best practices, before those products or services become involved in a procurement matter. [30 ILCS 500/50-39(a)]

8) Communications that are submitted and published on IPA's and ICC's websites in accordance with statute or rules.

g) Notwithstanding any exemption provided in subsection (f), a person must report any communication subject to this Section if that communication attempts to influence through duress, coercion or the direct or indirect offer or promise of anything of value to any person or entity for any benefit or preference in the power procurement process.

h) Notwithstanding any exemption provided in subsection (f), a person must report any communication subject to this Section if the person reasonably believes the communication was made for any improper purpose, including, but not limited to, providing an improper benefit, monetary or non-monetary, to any person or entity.

i) This Section does not apply to communications concerning the hiring of procurement administrators or procurement planning consultants pursuant to Section 1-75 of the IPA Act.

(Source: Added at 37 Ill. Reg. 19561, effective November 22, 2013)

Section 1620.830 Designation of Ethics Officer

Each officer and the head of each State agency under the jurisdiction of the Executive Ethics Commission shall designate an ethics officer for the officer or State agency [5 ILCS 430/20-23].

a) The designation of the ethics officer shall be in writing and shall be forwarded to the Executive Ethics Commission and to the appropriate Executive Inspector General.

b) The Executive Ethics Commission and the appropriate Executive Inspector General shall be notified in writing of the ethics officer's name, business address, telephone number and e-mail address within 30 days after the appointment of a new ethics officer.

(Source: Amended at 34 Ill. Reg. 13108, effective August 27, 2010)

SUBPART I: TRAINING PROGRAMS

Section 1620.900 Ethics Training

a) Beginning in 2014, on or before February 1 of each year, each ultimate jurisdictional authority (UJA) shall submit an annual report to the Commission that summarizes ethics training that was completed during the previous calendar year and lays out the plan for the ethics training programs in the coming year. [5 ILCS 430/5-10(b)]

b) This report shall contain the following information:

1) A copy of all materials used in the ethics training of employees and officers of the UJA during the previous year.

2) The number of officers or employees who completed ethics training in the previous year, identified by agency and, if applicable, training program type.

3) The identity of any officers or employees who, for any reason, failed to complete required ethics training during the previous year; the reason, if available, for each failure; and what disciplinary or administrative action the UJA has imposed or plans to impose in response to this failure.

4) All ethics training materials to be used during the current calendar year to train employees subject to the jurisdiction of that UJA, if available by February 1. If these materials are not available on February 1, they should be forwarded at least 8 weeks before training commences but shall be submitted no later than September 1.

5) Other information deemed necessary by the Commission to fulfill its duties.

c) The ethics training materials described in subsection (b)(4) shall also be submitted at the same time to the appropriate Executive Inspector General. The Commission and appropriate Executive Inspector General shall review the materials and approve the materials or request changes within 4 weeks. The ethics training information described in subsections (b)(2) and (b)(3) shall also be submitted at the same time to the appropriate Executive Inspector General. The materials shall not be used until approvals are obtained.

d) Certification of Training Sent to Ethics Officer

1) Upon completion of any ethics training program required by the Act, each officer and employee must certify in writing that the person has completed the training program. Each officer and employee must provide to his or her Ethics Officer a signed copy of the certification by the deadline for completion of the ethics training program. [5 ILCS 430/5-10(d)]

2) The certification shall state: "I certify that I have carefully read and reviewed the content of, and completed, the [insert name of training program]. Furthermore, I certify that I understand my failure to comply with the laws, rules, policies and procedures referred to within this training course may result in disciplinary action up to and including termination of State employment/appointment, administrative fines, and possible criminal prosecution, depending on the nature of the violation."

3) The certification required by this Part may be made in accordance with the Illinois Commerce Security Act [5 ILCS 175] or in a manner substantially similar to the requirements of that Act, and notice of this certification shall be forwarded electronically to the Ethics Officer for those employees whose ethics training is conducted electronically.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

ADMINISTRATIVE CODE

Section 1620.910 Harassment and Discrimination Prevention Training

a) Each UJA shall submit to the Commission by February 1 of each year a report that summarizes the harassment and discrimination prevention training program that was completed by officers and employees under its jurisdiction during the previous calendar year and lays out the plan for the training program in the current year.

b) This report shall be submitted in a commonly available and searchable format (e.g., PDF) and contain the following information:

1) A description of how initial and annual harassment and discrimination prevention training of employees and officers of the UJA was delivered during the previous year, including descriptions of the content covered, the materials used, and delivery modes.

2) The number of officers or employees who completed harassment and discrimination prevention training in the previous year, identified by agency and, if applicable, training program type.

3) The names of any officers or employees who, for any reason, failed to complete the required harassment and discrimination prevention training during the previous year; the reason (e.g., on authorized leave of absence), if available, for each failure; and what disciplinary or administrative action the UJA has imposed or plans to impose in response to this failure. As these reports will be made available to the public on the Commission's website, care should be taken not to include information disclosure of which would constitute an unwarranted invasion of personal privacy.

4) An explanation of how proof of completion of harassment and discrimination prevention training was submitted to the ethics officers in the prior year and will be submitted in the current year.

c) Each UJA shall also provide to the Commission and the appropriate Executive Inspector General for their review and approval a copy of all harassment and discrimination prevention training materials to be used to train employees subject to the jurisdiction of that UJA during a given calendar year at least 8 weeks before the use of those materials commences but in no event later than September 1. The Commission and Executive Inspector General shall review the materials and either approve the materials or request changes within 4 weeks after receipt of the materials. The materials shall not be used until approvals are obtained.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

SUBPART J: INVESTIGATION REPORTS AND SUMMARY REVIEWS

Section 1620.1000 Investigation Reports Finding a Violation

If an Executive Inspector General or the Attorney General, pursuant to Section 20-50 or 20-51 of the Act, respectively, upon the conclusion of an investigation, determines that reasonable cause exists to believe that a violation has occurred, then the Executive Inspector General or Attorney 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. [5 ILCS 430/20-50]

a) The summary report of the investigation shall include the following:

1) The unique tracking number of the investigation.

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

3) A summary of investigative steps taken. This summary need not disclose any confidential investigation techniques.

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

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

6) Other information the Executive Inspector General or Attorney General deems relevant to the investigation or resulting recommendation. [5 ILCS 430/20-50(b)]

7) The last known mailing addresses for all subjects or, if the subjects are represented by counsel, the mailing address for their counsel.

8) The date of the last alleged violation of the Act or other State law, rule or policy giving rise to the investigation.

9) Other information deemed necessary by the Commission to fulfill its duties.

b) The appropriate UJA or agency head shall respond to the summary report within 20 days, in writing, to the Executive Inspector General or Attorney General, as appropriate. The response shall include a description of any corrective or disciplinary action to be imposed. [5 ILCS 430/20-50] If the appropriate UJA or agency fails to respond in writing within 20 days, the Executive Inspector General or Attorney General shall inform the Commission of this failure within 5 business days.

c) Within 30 days after receiving a response from the appropriate UJA or agency head, the Executive Inspector General or Attorney General, as appropriate, shall:

1) notify the Commission and the Attorney General that he or she believes that a complaint should be filed with the Commission and submit the summary report and supporting documents to the Attorney General; or

2) deliver to the Commission a statement setting forth the basis for his or her decision not to file a complaint and a copy of the summary report and response from the UJA or agency head. [5 ILCS 430/20-50(c-5)]

d) A summary report submitted to the Commission shall be accompanied by a copy of any impact statement submitted by a 20-63 Complainant with respect to the report.

e) If, after reviewing the documents, the Commission believes that further investigation is warranted, the Commission may:

1) request that the Executive Inspector General provide additional information or conduct further investigation; or

2) appoint a Special Executive Inspector General; or

3) refer the summary report and response to the Attorney General for further investigation or review.

f) If, after review, the Attorney General determines that reasonable cause exists to believe that a violation has occurred, then the Attorney General may file a complaint with the Commission. If the Attorney General concludes that there is insufficient evidence that a violation has occurred, the Attorney General shall notify the Commission and the appropriate Executive Inspector General. [5 ILCS 430/20-50(c-10)]

g) If a given investigation results in a determination by the EIG that reasonable cause exists to believe that violations of both the Ethics Act (including rules or policies adopted to implement the Ethics Act) and laws other than the Ethics Act have occurred, and if the Attorney General files a complaint with the Commission related to the Ethics Act violations, then the EIG must file its summary report as to the non-Ethics Act violations no later than 30 days after the final administrative decision is made with respect to the complaint filed by the Attorney General.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

Section 1620.1010 Investigation Reports Finding No Violation

If, upon the conclusion of an investigation, an Executive Inspector General or the Attorney General determines that there is insufficient evidence that a violation has occurred, the Executive Inspector General or Attorney General shall close the investigation and provide the Commission with a written statement. [5 ILCS 430/20-51]

a) The statement shall contain:

1) The unique tracking number of the investigation.

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

3) A summary of investigative steps taken. This summary need not disclose any confidential investigation techniques.

4) The facts or conclusions of law that form the basis for the Executive Inspector General's determination that no violation of the State Officials and Employees Ethics Act has occurred.

5) Recommendations for any corrective action to be taken in response to any findings made in the report, if any.

6) Other information the Executive Inspector General deems relevant to the investigation or resulting statement.

7) Other information deemed necessary by the Commission to fulfill its duties.

b) If, after reviewing the documents, the Commission believes that further investigation is warranted, the Commission may:

1) request that the Executive Inspector General provide additional information or conduct further investigation; or

2) appoint a Special Executive Inspector General; or

3) refer the allegations to the Attorney General for further investigation or review. [5 ILCS 430/20-51]

(Source: Added at 34 Ill. Reg. 13108, effective August 27, 2010)

Section 1620.1020 Release of Summary Reports

a) Upon receipt of a founded summary report finding a violation described in Section 1620.1000 that resulted in a suspension of at least 3 days or termination, or, at the discretion of the Commission, upon the receipt of any founded summary report, the Commission shall redact information that may reveal the identity of witnesses, complainants or informants. The Commission may also redact information to protect the identity of a person or any other information it believes should not be made public. [5 ILCS 430/20-52(b)]

b) The Commission shall forward the version of the report and response it intends to make available to the public to the Attorney General, appropriate Executive Inspector General and respondents. Each may offer, within 15 days, the Commission suggestions for redaction or provide a response that shall be made public with the summary report. [5 ILCS 430/20-52(b)]

c) After considering the suggestions for redaction, if any, the Commission shall reassess what should be made available to the public and prepare a version of the report and response for publication. If any portion of the report and response subject to public release relates to allegations concerning a 20-63 Complainant, the Commission shall, within 5 business days prior to the report's release, provide the 20-63 Complainant with an opportunity to review that portion and offer suggestions for redaction or to provide a response to be made public with the report response, subject to review and redaction by the Commission in accordance with section 20-52(b) of the Ethics Act. Where publication is required due to the level of resultant discipline, the Commission shall post the report and response on the Commission's web site within 60 days after receipt of the report and response.

d) The Commission may determine not to make the report or response available to the public if the Executive Inspector General or Attorney General certifies that releasing the report to the public will interfere with an ongoing investigation. [5 ILCS 430/20-52(c)]

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

Section 1620.1025 Allegations of Sexual Harassment Violations by Lobbyists

In accordance with Section 14(d-5)(5) of the Secretary of State Act [15 ILCS 305/14(d-5)(5)], the Secretary of State Inspector General ("Inspector General" for the rest of this Section) shall, upon completion of a review of allegations that an individual required to be registered under the Lobbyist Registration Act [25 ILCS 170] has engaged in one or more acts of sexual harassment, submit a summary of the review to the Commission.

a) The summary of the review shall include the following:

1) The unique tracking number of the review.

2) A statement of whether the Inspector General determines that reasonable cause exists to believe an individual required to be registered under the Lobbyist Registration Act has engaged in one or more acts of sexual harassment and an explanation of the basis for that determination.

3) A description of any allegations or other information received by the Inspector General pertinent to the review.

4) A summary of investigative steps taken. This summary need not disclose any confidential investigation techniques.

5) If reasonable cause exists to believe there has been an act of sexual harassment, then:

A) A description of the alleged misconduct discovered in the course of the review.

B) The last known mailing addresses for all subjects or, if the subjects are represented by counsel, the mailing address for their counsel.

C) The date of the last alleged violation of the Act or other State law, rule or policy giving rise to the investigation.

6) Other information the Inspector General deems relevant to the review or resulting recommendation.

b) If the Inspector General determines that reasonable cause exists to believe a sexual harassment violation has occurred, the Inspector General shall also provide a copy of the summary of the review and supporting documents, along with a request that the Attorney General file a complaint on behalf of the Inspector General to initiate proceedings before the Commission.

c) If, after reviewing the documents, the Commission believes that further investigation is warranted, the Commission may request that the Inspector General provide additional information or conduct further review.

d) If, after review, the Attorney General agrees that reasonable cause exists to believe that a violation has occurred, then the Attorney General may file a complaint with the Commission. If the Attorney General concludes that there is insufficient evidence that a violation has occurred, the Attorney General shall notify the Commission and the Inspector General.

e) No person who has reviewed the summary of a review with respect to which a complaint is filed by the Attorney General, or who has participated in discussions of the substance of that review, may be appointed to serve as administrative law judge with respect to the administrative proceedings arising from that review.

(Source: Added at 42 Ill. Reg. 13550, effective June 26, 2018)

SUBPART K: DISCIPLINARY ACTION

Section 1620.1100 Disciplinary Action under the Ethics Act

Disciplinary action under the Ethics Act against a person subject to the Personnel Code, the Secretary of State Merit Employment Code, the Comptroller Merit Employment Code, or the State Treasurer Employment Code is within the jurisdiction of the Executive Ethics Commission and not within the jurisdiction of those Acts. [5 ILCS 430/20-55(c)]

a) An allegation of a violation of the Ethics Act shall set forth with particularity a statement of facts and a designation of the applicable provisions of the Ethics Act that have been violated or not complied with. Allegations of Ethics Act violations shall be set forth separately from any other allegations of violations.

b) Any appeal must be filed with the Commission within 15 days after the date on which the affected person knew, received written notice, or, through the use of reasonable diligence, should have known, of the disciplinary action. The affected person shall simultaneously serve a copy of the appeal on the Director of the Department of Central Management Services (CMS) or the Secretary of State, Comptroller or Treasurer, as appropriate.

c) The form of the appeal shall be captioned substantially as follows:

IN THE EXECUTIVE ETHICS COMMISSION OF THE STATE OF ILLINOIS
IN RE APPEAL OF	)	No. _______________
(employee),	)
	)
Appeal

d) The appeal shall state facts and argument to support the person's appeal. Relevant documents may be attached as exhibits.

e) The CMS Director or the Secretary of State, Comptroller or Treasurer, as appropriate, may respond within 15 days after the appeal.

f) Within 60 days after the receipt of the appeal and response, the Commission may set the matter for hearing if it concludes that substantial issues of fact or law exist, or issue its decision, so long as the penalty to be imposed is not removal, discharge, demotion or suspension for a period of more than 30 days within a 12-month period.

g) If the penalty to be imposed is removal, discharge, demotion or suspension for a period of more than 30 days within a 12-month period, the Chair or Administrative Law Judge, if any, shall set the matter for hearing.

h) While related allegations of non-Ethics Act violations are pending with other entities, the Commission may continue proceedings before it generally and suspend time periods described in this Part.

(Source: Amended at 42 Ill. Reg. 13550, effective June 26, 2018)

Section 1620.1110 Hearings to Contest Disciplinary Actions

Any hearings to contest disciplinary action for a violation of the Ethics Act against a person subject to the Personnel Code [20 ILCS 414], the Secretary of State Merit Employment Code [15 ILCS 310], the Comptroller Merit Employment Code [15 ILCS 410], or the State Treasurer Employment Code [15 ILCS 510] pursuant to an agreement between an Executive Inspector General and a UJA shall be conducted by the Executive Ethics Commission and not under any of those Acts. [5 ILCS 430/20-55(d)]

a) If the penalty to be imposed on an affected person is removal, discharge, demotion or suspension for a period of more than 30 days within a 12-month period or, if the Commission determines that a hearing is appropriate pursuant to Section 1620.1100, the Chair or Administrative Law Judge, if any, shall set the matter for hearing.

b) For purposes of these hearings, the agency has the burden of proof.

c) Hearings and pre-hearing matters will be conducted in accordance with Sections 1620.420, 1620.430, 1620.460, 1620.470, 1620.490, 1620.500, 1620.510, 1620.520 and 1620.530.

(Source: Amended at 47 Ill. Reg. 12045, effective July 31, 2023)

SUBPART L: PROCUREMENT CODE PROVISIONS

Section 1620.1200 Procurement Code Conflicts of Interest Exemptions

An appropriate Chief Procurement Officer may file a request with the Executive Ethics Commission to exempt named individuals from the prohibitions of Section 50-13 of the Procurement Code when, in his or her judgment, the public interest in having the individual in the service of the State outweighs the public policy evidenced in that Section. [30 ILCS 500/50-20]

a) The request shall be in writing and describe in detail the nature of the conflict and the reason or reasons why the individual should be exempted from Section 50-13 of the Procurement Code.

b) Upon receipt of the request for an exemption, the Commission shall set a date, time and location for a public hearing at which any person may present written or oral testimony, and provide public notice of the hearing on its web site. The Commission shall also appoint a hearing officer to conduct the public hearing.

c) The Chief Procurement Officer making the request for an exemption shall publish notice of the date, time and location of the hearing in the online electronic Illinois Procurement Bulletin at least 14 days prior to the hearing and provide notice to the individual subject to the waiver and to the Procurement Policy Board. [30 ILCS 500/50-20]

d) Within 60 days after the public hearing, the Commission shall release a decision that grants or denies the exemption. The decision shall include a statement setting forth the name of the individual and all the pertinent facts that would make that Section applicable, setting forth the reason for the exemption and declaring whether the individual was exempted from Section 50-13 of the Procurement Code. This decision shall be published in the Illinois Procurement Bulletin and, if the decision grants the exemption, also be filed with the Secretary of State and the Comptroller.

(Source: Added at 34 Ill. Reg. 13108, effective August 27, 2010)

Section 1620.1250 Potential Conflict of Interest Submittal from the Procurement Policy Board

If the Procurement Policy Board makes a recommendation to void a contract or void a bid or offer and the Chief Procurement Officer selected or intends to award the contract to the bidder or offeror, the Executive Ethics Commission shall hold a public hearing within 30 days after receiving the Board's recommendation. [30 ILCS 500/50-35(d)]

a) The Procurement Policy Board shall forward its recommendations to void a contract, bid or offer pursuant to Section 50-35(d) of the Illinois Procurement Code, to the Executive Director of the Commission and the appropriate Chief Procurement Officer within five days after making the recommendation. The recommendation shall contain the following information:

1) The name and contact information of the bidder, offeror, contractor and/or subcontractor.

2) A statement of all relevant facts the Board considered in reaching its recommendation, including the names of all individuals that provided information or testified.

3) A statement of all relevant legal conclusions the Board made in reaching its recommendation.

4) A written or recorded record of the Board's hearing, if one took place.

5) A copy of all documents relied upon by the Board in making its recommendation.

b) Within five business days after receipt of the Board's recommendation, the appropriate Chief Procurement Officer shall inform the Commission, in writing, whether the Chief Procurement Officer intends to accept the Board's recommendation.

c) If the Procurement Policy Board makes a recommendation to void a contract or void a bid or offer and the Chief Procurement Officer selected or intends to award the contract to the bidder or offerer, the Commission shall set a date, time and location for a public hearing to take place within 30 days after receiving the Board's recommendation.

d) The appropriate Chief Procurement Officer shall publish notice of the date, time and location of the hearing in the online Illinois Procurement Bulletin at least 14 days prior to the hearing. The Commission shall provide notice via the United States Postal Service to the bidder, offeror or contractor and to the Procurement Policy Board and post notice on its website.

e) The Commission shall appoint a hearing officer to conduct the public hearing. At the public hearing any person may present written or oral testimony, including relevant facts and legal conclusions, in support of or in opposition to the Procurement Policy Board's recommendation. The hearing shall be recorded by a court reporter with transcripts available upon payment of any costs. The hearing officer shall provide the official record of the public hearing, including the transcript and any exhibits, to the Chief Procurement Officer for the purpose of the Chief Procurement Officer determining action in regard to the award or selection of a bid or offer or the voiding of a contract.

f) A Chief Procurement Officer is prohibited from awarding a contract before a hearing if the Board recommendation does not support a bid or offer. [30 ILCS 500/50-35(d)]

g) Within 30 days after the public hearing, or as established by the Hearing Officer, the Chief Procurement Officer shall publish in the online Illinois Procurement Bulletin a notice of action taken by the Chief Procurement Officer in regard to the award or selection of a bid or offer or the voiding of a contract that was the subject of a public hearing conducted by the Commission pursuant to this Section.

(Source: Added at 37 Ill. Reg. 19561, effective November 22, 2013)

Section 1620.1270 Prohibited Bidder Exceptions for Higher Education

The Chief Procurement Officer for Higher Education may file a request for the Executive Ethics Commission's approval to permit a public institution of higher education to accept a bid or enter into a contract with a business that assisted the public institution of higher education in determining whether there is a need for a contract or assisted in reviewing, drafting, or preparing documents related to a bid or contract. [30 ILCS 500/1-13(e)]

a) The approval request shall be in writing and shall include:

1) a description of the bid or contract, including the total contract price and the relationship to the research needs of the public institution of higher education;

2) a description of the assistance provided by the vendor to the public institution of higher education; and

3) an explanation of the reasons for selecting the vendor and of why it is in the best interest of the public institution of higher education to accept the bid or contract, notwithstanding the restrictions of Section 50-10.5(e) of the Procurement Code.

c) The Commission will respond in writing to the approval request within 10 calendar days by either requesting more information or with an approval or denial of the request.

d) Upon receipt of the Commission's approval or denial of the request, the Chief Procurement Officer for Higher Education shall publish the approval request and the Commission's decision in the online electronic Illinois Procurement Bulletin.

(Source: Added at 42 Ill. Reg. 13550, effective June 26, 2018)

SUBPART M: ACTIONS FOR REMOVING AND DISCIPLINING CERTAIN OFFICERS

Section 1620.1300 Purpose

Chief Procurement Officers (CPOs), State Purchasing Officers (SPOs), Procurement Compliance Monitors (PCMs), and Chief Internal Auditors are appointed to five year terms and are subject to removal or, in the case of Chief Procurement Officers, discipline only after a hearing by or before the Executive Ethics Commission. These hearings are to be held in accordance with the contested case provisions of the Illinois Administrative Procedure Act [5 ILCS 100/Art.10] and the provisions of this Subpart M.

(Source: Added at 36 Ill. Reg. 13826, effective August 21, 2012)

ADMINISTRATIVE CODE

Section 1620.1310 Instituting a Complaint for Removal or Discipline

a) Cases may be commenced only by the filing of a complaint with the Commission as follows:

1) For removal or discipline of CPOs, by the Governor or the director of a State agency directly responsible to the Governor (see 30 ILCS 500/10-20(b));

2) For removal of SPOs, by the CPO or the executive officer of the State agency housing the SPO or to which the SPO has been assigned (see 30 ILCS 500/10-10);

3) For removal of PCMs, by the appropriate CPO or executive officer of the State agency housing the PCM or to which the PCM has been assigned (see 30 ILCS 500/10-15);

4) For removal of Chief Internal Auditors, by the chief executive officer of one of the appropriate designated State agencies, as these terms are defined in the Fiscal Control and Internal Auditing Act [30 ILCS 10].

b) The parties shall be designated as follows: the complaining officer shall be designated as the complainant and the person who is the subject of the complaint shall be designated as the respondent. In all such cases, the complaining officer shall be represented by the Attorney General.

(Source: Added at 36 Ill. Reg. 13826, effective August 21, 2012)

Section 1620.1320 Service of Process, Notice

a) After filing a complaint with the Commission, a complainant shall serve a file-stamped copy on each respondent in the same manner as process is served under Part 2 (Process of the Civil Practice Law of the Code of Civil Procedure) [735 ILCS 5/Art. II, Part 2]. The complainant shall file the proof of service with the Commission.

b) The Commission shall forward copies of complaints filed under this Section and any notices of evidentiary hearings to certain persons, if not parties, as follows:

1) For removal or discipline of CPOs, to the Governor (see 30 ILCS 500/10-20);

2) For removal of SPOs, to the CPO and the executive officer of the State agency housing the SPO or to which the SPO has been assigned (see 30 ILCS 500/10-10);

3) For removal of PCMs, to the appropriate CPO and the executive officer of the State agency housing the PCM or to which the PCM has been assigned (see 30 ILCS 500/10-15).

(Source: Added at 36 Ill. Reg. 13826, effective August 21, 2012)

Section 1620.1330 Contents of the Complaint and Amendments

a) The complaint must contain charges that are specific enough to apprise the respondent of the nature and substance of the cause alleged for removal. If a breach of a statutory duty or a rule is alleged, the specific statute or rule shall be cited in connection with the charge.

b) Charges shall be set forth in separate paragraphs and contain the dates, names of persons, places and information reasonably calculated to apprise the respondent of the allegations that are the basis of the complaint.

c) At any time prior to commencement of hearing or prior to the close of hearing, the Administrative Law Judge may, upon motion of a party, permit amendment of the complaint if no undue surprise results that would prejudice the opposing party's right to a prompt hearing or impose an injustice on either side.

(Source: Added at 36 Ill. Reg. 13826, effective August 21, 2012)

Section 1620.1340 Objections to Sufficiency of Complaint

A respondent may file written objections contesting the sufficiency of the complaint within 15 days after service. For good cause, the Administrative Law Judge may grant an extension of time. If the respondent fails to object to the complaint, a general denial of the facts set forth in the complaint shall be considered filed.

(Source: Added at 36 Ill. Reg. 13826, effective August 21, 2012)

Section 1620.1350 Sufficiency of the Complaint

a) Within 60 days after the time for respondent to file an objection to the complaint has expired, the Commission shall meet in person or by telephone in a closed session to review the sufficiency of the complaint. If the Commission finds that the complaint is sufficient, the Commission shall notify the parties via certified mail, return receipt requested, of the decision. The notice shall include an evidentiary hearing date scheduled within four weeks after the date of the notice. The Commission may grant, for good cause shown, a continuance of the evidentiary hearing date contained in the notice. If the Commission finds that the complaint is insufficient for any reason, the Commission shall notify the parties via certified mail, return receipt requested, of the decision.

b) A complaint is sufficient if it complies with Section 1620.1330 and if it contains allegations of fact that, if proven, constitute cause for discharge.

(Source: Added at 36 Ill. Reg. 13826, effective August 21, 2012)

Section 1620.1360 Cause for Discharge or Discipline

a) Cause for discharge consists of some substantial shortcoming that renders the respondent's continuance in his or her position in some way detrimental to the discipline and efficiency of the service and that the law and sound public opinion recognize as good cause for the respondent no longer holding the position.

b) In determining the appropriate level of discipline for a CPO, the Commission shall consider the respondent's performance record, including disciplinary history, and the respondent's length of continuous service, unless the offense would warrant immediate discharge in accordance with subsection (a).

(Source: Added at 36 Ill. Reg. 13826, effective August 21, 2012)

Section 1620.1370 Discovery

Discovery shall be obtained through the following methods:

a) Bill of Particulars – A respondent may request additional information regarding the charges. Written demands for relevant information concerning the charges shall be answered within 10 days after service unless objected to by the complainant.

b) Written Interrogatories − A party may direct written interrogatories to any other party. The interrogatories shall be restricted to the subject matter of the complaint or defense and shall avoid placing undue detail, excessive burden, or expense on the answering party. Within 10 days after service, the answering party shall serve on the propounding party an answer, under oath or affirmation, or an objection to each interrogatory. When appropriate, a document may be served in answer to an interrogatory. Supplemental interrogatories shall not be allowed except on leave of the Administrative Law Judge for good cause shown.

c) Production, Inspection, Copying or Photographing of Documents and Tangible Things − A party, by written request served upon the other parties, may require production for inspection, copying or photographing any document, object or tangible thing that is relevant to the subject matter of the complaint or defense. The party upon whom the request is served shall respond to the request within 10 days, stating, with respect to each item or category, that inspection and related activities will be permitted as required, unless the request is objected to by an opposing party, stating the reasons for objection.

d) List of Witnesses and Documents − Upon timely request prior to a hearing on the merits, each party to the proceeding shall serve on the other party:

1) A list of names and home or work addresses of the witnesses the party proposes to call in its case in chief.

2) All documents the party proposes to offer in its case in chief.

3) All written or recorded statements of the party's witnesses that may be used by an adverse party for the purpose of cross-examination.

e) Deposition − A party may take discovery depositions either for good cause shown or by agreement. A discovery deposition, taken for good cause or by agreement, may be taken only upon leave of the Administrative Law Judge. No party shall serve a notice of deposition without leave of the Administrative Law Judge.

f) Admission of Fact or of Genuineness of Documents − A party may serve on any other party a written request for the admission by the latter of the truth of any specified relevant fact set forth in the request or for the admission of genuineness of any relevant documents described in the request. Copies of the documents shall be served with the request unless copies have already been furnished.

g) Privileges − All matters that are privileged against disclosure in civil cases in the courts of the State of Illinois shall be privileged against disclosure through any discovery procedure.

h) Limitation of Discovery − At any time, the Administrative Law Judge may, on his/her own motion or on motion of any party or witness, make protective orders as justice and fairness may require, denying, limiting, conditioning or regulating discovery to prevent unreasonable annoyance, expense, embarrassment, disadvantage or oppression. Discovery materials need not be filed with the Commission unless specifically requested by the Administrative Law Judge.

(Source: Added at 36 Ill. Reg. 13826, effective August 21, 2012)

Section 1620.1380 Subpoenas

The Chairperson and the Administrative Law Judge, if any, shall have authority to issue subpoenas in the name of the Commission to compel the presence of witnesses for purposes of testimony and the production of documents and other items for inspection and copying.