Section 2000.10  Definitions

 

For the purpose of this Part, the following terms shall have the following meanings, respectively:

 

a)         "Agency" A department, agency, board, authority or commission to which the Governor appoints the director or a majority of the members.

 

b)         "Director" The director, chief administrator or chairman of an Agency.

 

c)         "Board" The Board of Ethics

 

d)         "E.O. 3" Executive Order 3 (1977)

 

e)         "Included Person" A person required to file a Statement of Economic Interest under E.O. 3.

 

f)         "Statement" A Statement of Economic Interest

 

g)         "Immediate Family" The parents, children, brothers and sisters of, and living with, an Included Person.

 

Section 2000.20  Agency Recommendations

 

Each Director shall report to the Board initially by May 9, 1977, and yearly thereafter no later than March 15th, the name and title of each employee in such Director's Agency who, in the judgment of such Director, is required to file a Statement.  The Board shall review the names and positions recommended for filing by each Director and shall determine the names of those who must file.  A current list of Included Persons shall be maintained and updated by the Board.  On January 31st and August 31st of each year, each Director shall advise the Board of any recommended additions to, or deletions from, the list of Included Persons for such Director's Agency.

 

Section 2000.30  Time for Filing Statements

 

Included Persons shall file Statements between April 15th and April 30th of each year provided that, in 1977, Statements need not be filed until August 8, 1977, and provided, further, that any Included Person who becomes such in any calendar year during the period between the thirtieth day prior to the due date for filing of Statements and the end of such year shall file a Statement within 30 days after such person becomes an Included Person.

 

Section 2000.40  Extension of Time to File Statement

 

Any Included Person who desires to request an extension of time to file a Statement may do so by submitting to the Board, on or before the due date for such Statement, a written request specifying the reasons for the extension and the date by which the Statement will be filed.  The Executive Director of the Board may grant an extension for a period not exceeding 30 days.  Any request for extension beyond 30 days may only be granted by the Board.

 

Section 2000.50  Objection to Filing of Statement

 

Any individual who desires to object to being an Included Person may file a written objection with the Board.  Such objection must contain a statement giving the reasons why the individual is not in any category of personnel required to file a Statement together with such supporting documents as such individual deems appropriate.  The Board will notify each such individual, in writing, of its decision on the objection and such decision shall not become effective until 10 days after written notice has been mailed to such individual by the Board.  Until a decision is made by the Board sustaining an individual's objection, such individual shall not be excused from filing a Statement, but such Statement shall not be open to public inspection.  In the event the Board sustains an individual's objection, any Statement filed by such individual shall be returned.

 

Section 2000.60  Public Inspection

 

a)         Any person wishing to inspect a Statement filed with the Board shall complete and sign a form listing:

 

1)         the name of the person requesting the inspection and his or her business or residence address,

 

2)         the name of any person or organization for whom the person requesting the inspection is acting,

 

3)         the name of the Included Person whose Statement is to be inspected,

 

4)         the date of the inspection.

 

b)         A copy of the form shall be maintained in the file of the person whose Statement is inspected.  The form shall be available for inspection only by the Included Person to whom it relates, the Board, and the Board's staff. Public inspection of Statements shall be during normal business hours.  No inspection shall occur between April 15th and May 21st except that in 1977, no inspection shall occur until August 29, 1977.

 

Section 2000.70  Request for Board's Position on Particular Ethical Problems

 

a)         Any person subject to Executive Order No. 3, 1977, who may be involved in a situation that he or she believes might appear to raise an ethical problem relating to his or her State duties, may request from the Board a determination as to whether such situation would cause the Board, under paragraph 8(f) of the Order, to recommend to the Governor any remedial action against the individual making the request.  Such procedure shall afford the opportunity for the requester to be apprised of what his or her obligations may be on the matter with respect to Board jurisdiction.  The facts set out in the request may be either actual or proposed.

 

b)         The request shall be signed by the requester and shall set out fully and objectively the facts of the situation in question.  The requester also may include supporting documents.

 

c)         All requests and all Board responses to such requests shall be in writing.  A request may be granted only on the basis of the facts stated therein.

 

d)         In granting a request, the Board shall state that on the basis of the facts presented, it would not propose to recommend to the Governor any remedial action against the individual as it is empowered to do under the Order.

 

e)         In denying a request, the Board shall state that it is unable to express a view as to whether it should make no recommendation of remedial action.  A denial may also include an explanation of such denial and any recommendations or directions to the individual that the Board deems appropriate.

 

f)         All such requests and responses shall be confidential as to the identity of the requester unless he or she specifies otherwise.

 

g)         The Board shall take no action on any denied request without first consulting the individual on the matter.

 

(Source:  added at 2 Ill. Reg. 27, p. 287, effective July 10, 1978)

 

Section 2000.80  Undue Hardship

 

If the spouse or member of the immediate family of an Included Person believes that any required disclosure would constitute an undue hardship to him or her, then, prior to the due date for the filing of the Statement (including any extensions thereof), such Included Person shall file a written objection with the Board.  The objection shall identify, by name, the Included Person, the spouse or immediate family member or members raising objection, and the reason why such disclosure constitutes undue hardship.

 

a)         Undue Hardship - includes, but is not limited to, the following:

 

1)         threat of harm against person or property;

 

2)         unwarranted invasion of privacy, or

 

3)         such other facts or circumstances as in the judgment of the Board of Ethics constitute undue hardship.

 

b)         If the Board sustains the objection on grounds of undue hardship, the Statement of the Included Person will not be required to disclose information with respect to the objecting spouse or immediate family member, provided that, prior to the due date for the filing of the Included Person's Statement (including any extensions thereof), there is filed with the Board the following:

 

1)         A Statement of the Included Person containing all information required to be disclosed with respect to such person.  The Statement shall also contain all information pertaining to the spouse or immediate family members with respect to which no objection to disclosure was made.

 

2)         An affidavit, in such form as may be approved by the Board, signed under oath by the spouse or immediate family member with respect to which an objection to disclosure was made, setting forth any position or ownership interest in any corporation, partnership or sole proprietorship (including not for profit entities other than those of a religious nature but excluding publicly held corporations of which less than 1% of the outstanding capital stock is owned) which does business with, receives or is entitled to receive grants from, or is regulated by the Agency of the Included Person.

 

3)         A Statement of the spouse or immediate family member with respect to which an objection was made disclosing all information which would have been required to be included in the Statement of the Included Person but for the provisions of this Section 2000.80.

 

c)         The Statement and affidavit referred to in paragraphs b(1) and b(2) above, shall be open to public inspection in accordance with Section 2000.60.  The Statement referred to in paragraph b(3) above, shall not be open to public inspection but shall be available for inspection only by the Board and the Board's staff.

 

d)         In the event the Board does not sustain an undue hardship objection, it shall notify the Included Person of its determination and such Included Person shall have thirty (30) days from the date of such notification in which to file a full and complete Statement.

 

(Source:  Added at 2 Ill. Reg. 44, p. 208, effective November 6, 1978)