Section 1520.10  Definitions

 

"Act" means the State Gift Ban Act [5 ILCS 425].

 

"Chair" means the chairman of the Commission or his designee.

 

"Commission" means the Attorney General's Ethics Commission created by Section 45 of the Act.

 

"Valid complaint" means a complaint meeting the requirements of Section 1520.20(a) of this Part.

 

Section 1520.20  Complaints and Initial Notice

 

a)         To be considered by the Commission, a complaint must be in writing, signed and notarized, and allege a violation of the Act committed by a named employee of the Attorney General no more than one year before the complaint is filed.

 

1)         Complaints should fully describe the incident and surrounding circumstances, including identification of others involved in the violation and their employers and other relevant contractual relationships, dates and places, etc.

 

2)         If the complaint is in any way defective (e.g., no time frame given, not notarized, no allegation of any violation of the Act or of any facts that could possibly constitute a violation of the Act), the Chair shall, by certified mail, return receipt requested, notify the complainant that the complaint was not properly filed and identify each and every defect.  The notice shall include a statement advising the complainant that the complaint may be resubmitted if the defects are cured.

 

3)         A complaint or other report of an incident of a violation of the Act that is not made against an employee of the Attorney General will be forwarded immediately to the appropriate ethics commission.

 

4)         The Chair shall provide assistance in preparing the complaint upon complainant's request.

 

b)         Upon receipt of a valid complaint, the Commission shall provide the notifications required by Section 60(b) of the Act to the respondent and the complainant.  In addition to a statement of the time, place and nature of the meeting on the sufficiency of the complaint and probable cause, the notice to the respondent shall include:

 

1)         a statement of the legal authority and jurisdiction under which the meeting is to be held with a citation to the particular Sections of the statutes and rules involved,

 

2)         a short and plain statement of the matters asserted and the possible outcome of the meeting,

 

3)         the official tracking number assigned to the matter, and

 

4)         the names and mailing addresses of the administrative law judge, if any, all parties and all other persons to whom the Commission gives notice of the meeting.

 

Section 1520.30  Determination of Sufficiency and Probable Cause

 

a)         If the complaint is valid, the Chair shall review the complaint and prepare a recommendation to the Commission as to sufficiency and the existence of probable cause to proceed, which shall be considered at the Commission's meeting held pursuant to Section 60(c) of the Act.

 

b)         Part of the Chair's review may include, to the extent necessary, a preliminary inquiry of the complainant or sources identified by the complainant to develop or verify basic facts necessary to the existence of a violation (e.g., identification of the alleged violator as an employee of the Attorney General, the nature of the gift, the circumstances in which the gift was given).  The results of this inquiry shall be considered as part of the evidence presented by the complainant in making the probable cause determination.

 

Section 1520.40  Closed Meeting on the Complaint

 

a)         If the Commission finds that the complaint is sufficient and that there is a reasonable ground for belief of the alleged facts, it shall appoint an examiner, licensed to practice law in Illinois, to investigate the allegations and to present evidence to the Commission in the closed meeting required by Section 60(d) of the Act.

 

b)         Notice of the meeting shall be given to the parties as required in Section 60(c) of the Act.  The notice shall include, in addition to the information described in Section 1520.20(b) of this Part, a statement of the possible consequences of failure to respond.

 

c)         The examiner shall prepare a complete report of the results of the investigation, including any exculpatory evidence, for the Commission.  The report shall be shared with the complainant and the respondent at or before a preliminary conference to be completed no more than 24 hours before the closed meeting. The parties may stipulate to, among other things, any or all of the facts contained in the report.

 

d)         The examiner shall assist or act for the complainant in the presentation of evidence to the Commission and shall be responsible for the coordination of the presentation of all evidence of a violation to the Commission.

 

e)         At the election of the Commission, the Chair, another member of the Commission, or an attorney designated by the Chair may act as administrative law judge to preside over the taking of evidence at the closed meeting.

 

f)         At the close of the taking of evidence and arguments, the Commission may move directly to deliberations and decision making or may direct the administrative law judge to prepare written findings of fact, conclusions and a recommended decision.  Deliberations and decision making shall be conducted in closed session. A designee appointed to act as administrative law judge may assist the Commission in arriving at and preparing a decision.

 

Section 1520.50  Public Hearing

 

a)         Should the respondent demand a public hearing after issuance of the Commission's preliminary recommendation or fine in accordance with Section 60(f) of the Act, the Commission shall appoint an attorney to act as administrative law judge to preside over the hearing.  The person appointed shall, if possible, be the same person who presided over the taking of evidence in the closed meeting.

 

b)         The examiner shall assist or act for the complainant in the presentation of evidence and shall be responsible for the coordination of the presentation of all evidence of a violation.

 

c)         The parties may reintroduce any evidence admitted at the closed meeting. Documentary and physical evidence admitted in the closed meeting shall be admitted without need of laying foundations.  The parties may recall witnesses that testified in the closed meeting or may rely on transcripts or recordings of their earlier testimony, which transcripts or recordings may, at the option of the offering party, be read or played at the public hearing.

 

d)         New evidence may be presented by the parties or the examiner.

 

e)         The administrative law judge shall prepare findings of fact, conclusions of law, and a recommended decision for the Commission's consideration at a closed meeting to be held within 5 business days after the completion of the hearing, as required by Section 60(f) of the Act.

 

Section 1520.60  Conduct of Meetings and Hearings on the Complaint

 

a)         Meetings and hearings on complaints shall be conducted in accordance with the contested case provisions of Article 10 of the Administrative Procedure Act [5 ILCS 100/Art. 10].

 

b)         Procedure

 

1)         The meeting or hearing shall be opened with an explanation of the procedure to be followed in the hearing.

 

2)         Upon motion of either party or at the discretion of the hearing officer, any or all witnesses may be sequestered.

 

3)         Preliminary matters such as objection to charges, disputes involving discovery, stipulation of facts and documents, and scheduling of witnesses may be resolved.

 

4)         Each party shall be given the opportunity to make a brief opening statement identifying the issues and indicating what is to be proven.

 

5)         Each party may call witnesses to testify on his/her own behalf.  All witnesses shall testify under oath or affirmation.  The respective parties may cross-examine opposing witnesses, and the examiner may also examine the witnesses.

 

6)         Before closing the hearing, the hearing officer shall allow both parties the opportunity either to make brief oral closing statements or to submit written closing statements.

 

c)         Motions

 

1)         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.

 

2)         The motion shall point out specifically the defects complained of and shall ask for appropriate relief, such as: dismissal of the action, more clear definition of a specific charge, etc.

 

d)         If the hearing officer determines that a witness is hostile or unwilling, the witness may be examined by the party calling him/her as if under cross-examination. The party calling a witness may, upon showing that he/she called the witness in good faith but is surprised by his/her testimony, impeach the witness by proof of prior inconsistent statements.

 

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

 

f)         The Commission shall have video or audio recordings made of meetings and hearings held under Sections 1520.40 and 1520.50 of this Part.  The Commission shall have recordings transcribed at the request of any party, and shall make a copy available to the respondent without charge should the respondent appeal imposition of a fine to court.

 

Section 1520.70  Subpoenas

 

The Chair and the administrative law judges shall have the authority to issue subpoenas in the name of the Commission to compel the presence of witnesses at meetings, hearings or depositions or to compel the production of books and papers.

 

a)         Subpoenas shall be issued upon written request of the complainant, respondent or examiner 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, and

 

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

 

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

 

c)         A properly requested subpoena shall be issued within one business day after receipt of the request.

 

Section 1520.80  Appointment and Disqualification of Administrative Law Judges

 

a)         In appointing an administrative law judge, the Commission shall inquire as to any personal or pecuniary interest or relationship the prospective appointee may have with respect to the complainant or respondent and shall appoint no administrative law judge who appears to the Commission to be biased for or against any party or who has a conflict of interest.

 

b)         A complainant or respondent who has reason to believe the administrative law judge should be disqualified on the basis of bias or conflict of interest may object to the appointment on that basis and ask that the administrative law judge be disqualified any time before evidence is taken, but must do so at or before the prelimary conference if the party is aware of disqualifying facts at that time.  If the administrative law judge does not disqualify himself in response to the objection, the objector may present facts to the Commission on the issue of bias or conflict of interest at the beginning of the meeting or hearing, and the question shall be resolved before further proceedings. Failure to object before the taking of evidence shall constitute a waiver of the objection.

 

c)         If the complainant or respondent discovers facts that would form a basis for objection to the appointment of an administrative law judge for bias or conflict of interest only after the taking of evidence begins, the party shall move for disqualification within three business days of the discovery, but in no event after the final decision of the Commission, or the issue is waived.

 

Section 1520.90  Required Public Notice of Meetings and Hearings

 

Where the Act requires that public notice of Commission meetings or hearings be given, the notice will be posted at the main Chicago and Springfield offices of the Attorney General. Notice of specific meetings or hearings will be given to anyone who makes a request therefor.

 

Section 1520.100  Meetings

 

Except in cases of emergency, a member of the Commission must be physically present at the time and place of the meeting to be considered in attendance at a given meeting.  In emergency situations members may attend by telephone or video conference so long as at least 3 of the members are physically present and if the persons seeking to attend by telephone or video make arrangements to do so with the Chair in advance.

 

Section 1520.110  Filing of Papers

 

a)         Documents to be sent to, filed with, or served upon the Commission shall be addressed to the Chair, Attorney General's Ethics Commission, c/o Office of the Attorney General, 500 South Second Street, Springfield, Illinois 62706.

 

b)         Documents other than complaints may be filed with the Chair by facsimile transmission at a number designated by the Chair.  Documents received by facsimile transmission after 4:45 p.m., in whole or in part, will be deemed received on the next business day.

 

c)         Documents may not be filed by e-mail or other form of electronic submission.

 

Section 1520.120  Comments to Public

 

It is the policy of the Commission that its individual members shall not comment publicly upon the merits of complaints that are the subject of Commission proceedings.