GovState takes very seriously its duty to operate in a manner that will maintain and strengthen the public’s trust and confidence in the integrity of the University and will protect the integrity of the State of Illinois contracting process.
Purpose of the Revolving Door Prohibition
As a means of protecting against divided loyalties in State employees, the Illinois State Officials and Employees Ethics Act contains a “Revolving Door Prohibition” in section 5-45 (5 ILCS 430/5-45). The
Ethics Act States:
"No former officer, member, or State employee, or spouse or immediate family member living with such person, shall, within a period of one year immediately after termination of State employment, knowingly
accept employment or receive compensation or fees for services from a person or entity if the officer, member, or State employee, during the year immediately preceding termination of State employment, participated personally and substantially in the award or fiscal administration of State contracts, or the issuance of State contract change orders, with a cumulative value of $25,000 or more to the person or entity, or its parent or subsidiary." [5 ILCS 430/5-45(a).]
In practice, that Revolving Door Prohibition helps ensure that State officials and employees, including GovState officials and employees, act in the best interest of the State and not necessarily that of a future employer. Even the appearance of divided loyalties can negatively impact GovState.
GovState has adopted Policy 87 to fulfill its obligations, as a State agency, under section 5-45 of the Ethics Act, and to provide guidance to University employees regarding the Revolving Door Prohibition.
Key Elements of the Prohibition
As stated in the text of the statute:
- The Revolving Door Prohibition affects employees “personally and substantially” involved in awarding or fiscal administration of contracts or change orders of $25,000 or more.
- The involvement in award/fiscal administration decisions must have been during the one year preceding an offer of non-State employment.
- You cannot knowingly accept employment or receive compensation or fees for services from a non-State person or entity (or the parent or subsidiary thereof) for which you were involved in a decision.
- The prohibitions on accepting the non-State employment are in effect for one year after your employment with GovState ends.
- The Revolving Door Prohibition also applies to your spouse and the children living in your household.
Violations of the Revolving Door Prohibition could lead to the following penalties (5 ILCS 430/50-5):
- Class A misdemeanor.
- Monetary fine of up to 3x the annual compensation wrongly obtained.
- Disciplinary sanctions, up to and including discharge.
The "C-List" and the "H-List"
The C-List
While ALL GovState employees are covered by the Revolving Door Prohibition, if you are not personally and substantially involved in awarding or administering GovState’s contracts, the Prohibition may not affect you. That said, certain GovState employees, by the nature of the job
descriptions for the positions they fill, are assumed to have the authority to participate
personally and substantially in the award or fiscal administration of contracts (whether or not these employees actually do so). As required by subsection (c) of the Revolving Door Prohibition, GovState has identified the employment positions that meet that criterion and maintains a list of those positions in Policy 87 – the "C-List".
The employees who fill C-List positions have a special obligation they must meet: They must notify the Office of the Executive Inspector General (“OEIG”) when offered employment or compensation they wish to accept from a non-State employer, so that the OEIG can determine if accepting the employment or compensation is prohibited by law. The OEIG explains the Revolving Door determination and decision process on its website.
The GovState Ethics Officer personally notifies all GovState employees who fill C-List positions about their obligations. If you believe you fill a position that is on the C-List but have not been notified, or if you believe that your position should be on the C-List but is not, please contact the Ethics Officer.
The H-List
Another subsection of the Revolving Door Prohibition, subsection (h), imposes additional obligations on GovState’s highest officials: members of the Board of Trustees, the President, and the Chief of Staff. These officials are said to be on GovState’s "H-List". H-List officials are prohibited, for a period of one year, from accepting employment or compensation from a person or entity if the person or entity (or its parent or subsidiary), during the year immediately preceding the official’s separation from GovState, was a party to a GovState contract or contracts with a cumulative value of $25,000 or more, regardless of whether the official participated personally or substantially in
the award or fiscal administration of the contract(s) in question. There is no Revolving Door determination and decision process for the H-List.