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Interacting with the OEIG

Interacting with the OEIG. Neil P. Olson General Counsel Office of Executive Inspector General for Agencies of the Illinois Governor Ethics Officer Conference – April 16, 2019.

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Interacting with the OEIG

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  1. Interacting with the OEIG Neil P. Olson General Counsel Office of Executive Inspector General for Agencies of the Illinois Governor Ethics Officer Conference – April 16, 2019

  2. Ethics Officers shall “ACT as LIAISONs between the [Agency] and the appropriate Executive Inspector General[.]” 5 ILCS 430/20-23(1). The questions: How will I, as an Ethics Officer, liaise with the OEIG? What are the expectations of me?

  3. Complaints & Compliance (Referrals and Revolving Door) • External Compliance & Outreach (Ethics Training and Sexual Harassment Training) • Hiring & Employment Monitoring • Investigations Divisions of the OEIG for the agencies of the Illinois governor

  4. OEIG must account for each complaint it receives and make a determination of how to handle within 30 days of receipt. 2 Ill. Adm. Code 1620.300(c). • In FY18, of 2,724 complaints received, 90 investigations opened. • Many complaints are referred to agency for further evaluation/investigation; the OEIG may ask for a written response from agency depending on nature of allegations. See also Executive Order 16-04, §V, ¶ 4. • Ethics Officer likely will be involved with internal investigation and/or response to OEIG. Complaints & Compliance (Referrals)

  5. Employees who “by the nature of their duties, may have the authority to participate personally and substantially in the award of State contracts or in regulatory or licensing decisions.” 5 ILCS 430/5-45(c), a.k.a. the “c-list.” These are the employees who must file for a determination from the OEIG prior to accepting non-State employment for one year after the termination of their State employment. • Ethics Officers, as a practical matter, usually have responsibility to maintain c-list, and designate employees to or from it. (For Governor’s agencies, the online RD Portal.) • Employees must be notified that they are on the c-list when they come into position or at the time their duties are changed in such a way that they qualify. 5 ILCS 430/5-45(e). Complaints & CompliAnce(Revolving Door determinations)

  6. When employee seeks determination from OEIG, Ethics Officer must file form (RD-102) within 5 calendar days of receipt of the employee’s notification [2 Ill. Adm Code 1620.620(c)(6)]. • RD-102 must contain full and accurate information, such as job description, listings of and details about relevant contracts or regulatory actions, etc. • OEIG may follow up with additional questions or requests for information about the employee’s duties and actions. Complaints & CompliAnce(Revolving Door determinations)

  7. New employees must take initial ethics training within 30 days of starting employment. • Other employees take ethics training annually. • OEIG delivers EEC approved training through DoITOneNet system to agencies under the Governor; other agencies not under the Governor have own systems. • As a practical matter, Ethics Officers will have role in maintaining lists of employees required to take training, reporting, and ensuring compliance. External compliance & Outreach (ethics training)

  8. Like ethics training, new employees take initial sexual harassment training within 30 days of starting employment. • Other employees take sexual harassment training annually. • Ultimate jurisdictional authority’s training must be approved by the EEC and OEIG, and meet the statutory requirements under 5 ILCS 430/5-10.5. • For agencies under the Governor, sexual harassment training is administered through the OneNet system. • As a practical matter, Ethics Officers will have role in maintaining lists of employees required to take training, reporting, and ensuring compliance. • Note that EEC publishes reports that include names of individuals that failed to complete the training program. 5 ILCS 430/5-10.5. External compliance & Outreach (Sexual Harassment training)

  9. OEIG required to “review hiring and employment files of each State agency within the Executive Inspector General’s jurisdiction to ensure compliance with Rutan [], and with all applicable employment laws.” 5 ILCS 430/20-20(9), eff. 8-18-09. • The Hiring & Employment Monitoring Division (HEM) conducts file reviews and on-site monitoring to ensure that hiring decisions are lawful, merit-based, and justifiable. • Agencies required to cooperate with HEM reviews pursuant to Executive Order 16-04. • HEM serves a compliance function apart from the investigations division. Hiring & Compliance monitoring

  10. Under Executive Order 16-04, Ethics Officers “must promptly notify the OEIG of any allegations of misconduct after receiving such information.” • Notification should include all information about the allegations and identities of potential witnesses as well as current contact information for Ethics Officer and other internal investigators. • Referral of allegation to OEIG does not relieve agency of the obligation to independently investigate or take action, if appropriate. Investigations (duty to report)

  11. OEIG issues Requests for Documents (RFDs) for records under agency control. • RFDs may be issued to Ethics Officer in “liaison” role, but not required to be. • Ethics Officer should ensure timely response; communicate with OEIG if there might be a delay. • Ethics Officer should ensure a full response by search of all record keeping systems (or record keepers) likely to maintain information. Investigations (document requests)

  12. Witnesses are entitled to representation by an employee “uninvolved” with an investigation. 2 Ill. Adm. Code 1620.300(c)(6). • If employee requests that Ethics Officer (or General Counsel) represent him or her, the Ethics Officer likely has an inherent conflict of interest. Investigations (EO representation)

  13. Ethics Officers shall: “provide guidance to officers and employees in the interpretation and implementation of this Act, which the officer or employee may in good faith rely upon.” 5 ILCS 430/20-23(3). • “Such guidance shall be based, whenever possible, upon legal precedent in court decisions, opinions of the Attorney General, and the findings and opinions of the Executive Ethics Commission.” 5 ILCS 430/20-23(3). • Important to know all the facts and relevant precedent when providing guidance. • Issue of what guidance was given and on what basis may become an issue in investigation. Investigations (EO guidance)

  14. When allegation(s) is “founded,” the OEIG issues a summary report to the ultimate jurisdictional authority and the head of each State agency affected by or involved in the investigation, if appropriate. • Ultimate jurisdictional authority and agency head must respond to summary report within 20 days, in writing, to the OEIG. • Ethics Officer may be involved with response or corrective action. • Currently, the Ethics Act does not allow for the OEIG to provide a status of an investigation to an Ethics Officer. Compare 5 ILCS 430/20-90(c) (EIG has discretion to notify complainants and subjects of an investigation with an update on the status of an investigation, including when the investigation is opened and closed). Investigations (final reports)

  15. Questions?

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