Bill Text: IL HB3342 | 2017-2018 | 100th General Assembly | Engrossed


Bill Title: Amends the Department of Financial and Professional Regulation Law of the Civil Administrative Code of Illinois. Requires the Department of Financial and Professional Regulation to consider certain mitigating factors and evidence of rehabilitation for certain applicants of licenses, certificates, and registrations. Requires the Department, upon denial of a license, certificate, or registration, to provide the applicant certain information concerning the denial. Provides that no application for licensure or registration shall be denied by reason of a finding of lack of good moral character when the finding is based solely upon the fact that the applicant has one or more previous convictions. Provides that the Department shall not require applicants to report certain criminal history information and the Department shall not consider the information. Provides that on May 1 of each year, the Department shall prepare, publicly announce, and publish certain statistical information. Amends the Criminal Identification Act. Includes applications for license, certification, and registration that must contain specific language which states that the applicant is not obligated to disclose sealed or expunged records of conviction or arrest and entities authorized to grant professional licenses, certifications, and registrations that may not ask if an applicant has had records expunged or sealed. Provides that certain sealed or impounded felony records shall not be disseminated in connection with an application for a professional or business license, except specified health care worker licenses. Effective immediately.

Spectrum: Moderate Partisan Bill (Democrat 9-2)

Status: (Engrossed) 2017-07-04 - Rule 2-10 Third Reading Deadline Established As July 4, 2017 [HB3342 Detail]

Download: Illinois-2017-HB3342-Engrossed.html



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1 AN ACT concerning State government.
2 Be it enacted by the People of the State of Illinois,
3represented in the General Assembly:
4 Section 5. The Department of Professional Regulation Law of
5the Civil Administrative Code of Illinois is amended by
6changing Sections 2105-130, 2105-135, 2105-205, and 2105-207
7and by adding Section 2105-131 as follows:
8 (20 ILCS 2105/2105-130)
9 Sec. 2105-130. Determination of disciplinary sanctions.
10 (a) Following disciplinary proceedings as authorized in
11any licensing Act administered by the Department, upon a
12finding by the Department that a person has committed a
13violation of the licensing Act with regard to licenses,
14certificates, or authorities of persons exercising the
15respective professions, trades, or occupations, the Department
16may revoke, suspend, refuse to renew, place on probationary
17status, fine, or take any other disciplinary action as
18authorized in the licensing Act with regard to those licenses,
19certificates, or authorities. When making a determination of
20the appropriate disciplinary sanction to be imposed, the
21Department shall consider only evidence contained in the
22record. The Department shall consider any aggravating or
23mitigating factors contained in the record when determining the

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1appropriate disciplinary sanction to be imposed.
2 (b) When making a determination of the appropriate
3disciplinary sanction to be imposed on a licensee, the
4Department shall consider, but is not limited to, the following
5aggravating factors contained in the record:
6 (1) the seriousness of the offenses;
7 (2) the presence of multiple offenses;
8 (3) prior disciplinary history, including actions
9 taken by other agencies in this State, by other states or
10 jurisdictions, hospitals, health care facilities,
11 residency programs, employers, or professional liability
12 insurance companies or by any of the armed forces of the
13 United States or any state;
14 (4) the impact of the offenses on any injured party;
15 (5) the vulnerability of any injured party, including,
16 but not limited to, consideration of the injured party's
17 age, disability, or mental illness;
18 (6) the motive for the offenses;
19 (7) the lack of contrition for the offenses;
20 (8) financial gain as a result of committing the
21 offenses; and
22 (9) the lack of cooperation with the Department or
23 other investigative authorities.
24 (c) When making a determination of the appropriate
25disciplinary sanction to be imposed on a licensee, the
26Department shall consider, but is not limited to, the following

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1mitigating factors contained in the record:
2 (1) the lack of prior disciplinary action by the
3 Department or by other agencies in this State, by other
4 states or jurisdictions, hospitals, health care
5 facilities, residency programs, employers, insurance
6 providers, or by any of the armed forces of the United
7 States or any state;
8 (2) contrition for the offenses;
9 (3) cooperation with the Department or other
10 investigative authorities;
11 (4) restitution to injured parties;
12 (5) whether the misconduct was self-reported; and
13 (6) any voluntary remedial actions taken.
14(Source: P.A. 98-1047, eff. 1-1-15.)
15 (20 ILCS 2105/2105-131 new)
16 Sec. 2105-131. Applicants with criminal convictions;
17notice of denial.
18 (a) Except as provided in Section 2105-165 of this Act
19regarding licensing restrictions based on enumerated offenses
20for health care workers as defined in the Health Care Worker
21Self-Referral Act and except as provided in any licensing Act
22administered by the Department in which convictions of certain
23enumerated offenses are a bar to licensure, the Department,
24upon a finding that an applicant for a license, certificate, or
25registration was previously convicted of a felony or

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1misdemeanor that may be grounds for refusing to issue a license
2or certificate or granting registration, shall consider any
3mitigating factors and evidence of rehabilitation contained in
4the applicant's record, including any of the following, to
5determine whether a prior conviction will impair the ability of
6the applicant to engage in the practice for which a license,
7certificate, or registration is sought:
8 (1) the lack of direct relation of the offense for
9 which the applicant was previously convicted to the duties,
10 functions, and responsibilities of the position for which a
11 license is sought;
12 (2) unless otherwise specified, whether 5 years since a
13 felony conviction or 3 years since release from confinement
14 for the conviction, whichever is later, have passed without
15 a subsequent conviction;
16 (3) if the applicant was previously licensed or
17 employed in this State or other states or jurisdictions,
18 the lack of prior misconduct arising from or related to the
19 licensed position or position of employment;
20 (4) the age of the person at the time of the criminal
21 offense;
22 (5) successful completion of sentence and, for
23 applicants serving a term of parole or probation, a
24 progress report provided by the applicant's probation or
25 parole officer that documents the applicant's compliance
26 with conditions of supervision;

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1 (6) evidence of the applicant's present fitness and
2 professional character;
3 (7) evidence of rehabilitation or rehabilitative
4 effort during or after incarceration, or during or after a
5 term of supervision, including, but not limited to, a
6 certificate of good conduct under Section 5-5.5-25 of the
7 Unified Code of Corrections or certificate of relief from
8 disabilities under Section 5-5.5-10 of the Unified Code of
9 Corrections; and
10 (8) any other mitigating factors that contribute to the
11 person's potential and current ability to perform the job
12 duties.
13 (b) If the Department refuses to issue a license or
14certificate or grant registration to an applicant based upon a
15conviction or convictions, in whole or in part, the Department
16shall notify the applicant of the denial in writing with the
17following included in the notice of denial:
18 (1) a statement about the decision to refuse to grant a
19 license, certificate, or registration;
20 (2) a list of convictions that the Department
21 determined will impair the applicant's ability to engage in
22 the position for which a license, registration, or
23 certificate is sought;
24 (3) a list of convictions that formed the sole or
25 partial basis for the refusal to issue a license or
26 certificate or grant registration; and

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1 (4) a summary of the appeal process or the earliest the
2 applicant may reapply for a license, certificate, or
3 registration, whichever is applicable.
4 (20 ILCS 2105/2105-135)
5 Sec. 2105-135. Qualification for licensure or
6registration; good moral character; applicant conviction
7records.
8 (a) The practice of professions licensed or registered by
9the Department is hereby declared to affect the public health,
10safety, and welfare and to be subject to regulation and control
11in the public interest. It is further declared to be a matter
12of public interest and concern that persons who are licensed or
13registered to engage in any of the professions licensed or
14registered by the Department are of good moral character, which
15shall be a continuing requirement of licensure or registration
16so as to merit and receive the confidence and trust of the
17public. Upon a finding by the Department that a person has
18committed a violation of the disciplinary grounds of any
19licensing Act administered by the Department with regard to
20licenses, certificates, or authorities of persons exercising
21the respective professions, trades, or occupations, the
22Department is authorized to revoke, suspend, refuse to renew,
23place on probationary status, fine, or take any other
24disciplinary action it deems warranted against any licensee or
25registrant whose conduct violates the continuing requirement

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1of good moral character.
2 (b) No application for licensure or registration shall be
3denied by reason of a finding of lack of good moral character
4when the finding is based solely upon the fact that the
5applicant has previously been convicted of one or more criminal
6offenses. When reviewing a prior conviction of an initial
7applicant for the purpose of determining good moral character,
8the Department shall consider evidence of rehabilitation and
9mitigating factors in the applicant's record, including those
10set forth in subsection (a) of Section 2105-131 of this Act.
11 (c) The Department shall not require applicants to report
12the following information and shall not consider the following
13criminal history records in connection with an application for
14licensure or registration:
15 (1) juvenile adjudications of delinquent minors as
16 defined in Section 5-105 of the Juvenile Court Act of 1987
17 subject to the restrictions set forth in Section 5-130 of
18 that Act;
19 (2) law enforcement records, court records, and
20 conviction records of an individual who was 17 years old at
21 the time of the offense and before January 1, 2014, unless
22 the nature of the offense required the individual to be
23 tried as an adult;
24 (3) records of arrest not followed by a charge or
25 conviction;
26 (4) records of arrest where the charges were dismissed

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1 unless related to the practice of the profession; however,
2 applicants shall not be asked to report any arrests, and an
3 arrest not followed by a conviction shall not be the basis
4 of a denial and may be used only to assess an applicant's
5 rehabilitation;
6 (5) convictions overturned by a higher court; or
7 (6) convictions or arrests that have been sealed or
8 expunged.
9(Source: P.A. 98-1047, eff. 1-1-15.)
10 (20 ILCS 2105/2105-205) (was 20 ILCS 2105/60.3)
11 Sec. 2105-205. Publication of disciplinary actions; annual
12report.
13 (a) The Department shall publish on its website, at least
14monthly, final disciplinary actions taken by the Department
15against a licensee or applicant pursuant to any licensing Act
16administered by the Department. The specific disciplinary
17action and the name of the applicant or licensee shall be
18listed.
19 (b) No later than May 1 of each year, the Department must
20prepare, publicly announce, and publish a report of summary
21statistical information relating to new license,
22certification, or registration applications during the
23preceding calendar year. Each report shall show at minimum:
24 (1) the number of applicants for each new license,
25 certificate, or registration administered by the

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1 Department in the previous calendar year;
2 (2) the number of applicants for a new license,
3 certificate, or registration within the previous calendar
4 year who had any criminal conviction;
5 (3) the number of applicants for a new license,
6 certificate, or registration in the previous calendar year
7 who were granted a license, registration, or certificate;
8 (4) the number of applicants for a new license,
9 certificate, or registration within the previous calendar
10 year with a criminal conviction who were granted a license,
11 certificate, or registration in the previous calendar
12 year;
13 (5) the number of applicants for a new license,
14 certificate, or registration in the previous calendar year
15 who were denied a license, registration, or certificate;
16 (6) the number of applicants for new license,
17 certificate, or registration in the previous calendar year
18 with a criminal conviction who were denied a license,
19 certificate, or registration in part or in whole because of
20 such conviction;
21 (7) the number of licenses issued on probation within
22 the previous calendar year to applicants with a criminal
23 conviction; and
24 (8) the number of licensees or certificate holders who
25 were granted expungement for a record of discipline based
26 on a conviction predating licensure, certification, or

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1 registration or a criminal charge, arrest, or conviction
2 that was dismissed, sealed, or expunged or did not arise
3 from the regulated activity, as a share of the total such
4 expungement requests.
5(Source: P.A. 99-227, eff. 8-3-15.)
6 (20 ILCS 2105/2105-207)
7 Sec. 2105-207. Records of Department actions.
8 (a) Any licensee subject to a licensing Act administered by
9the Division of Professional Regulation and who has been
10subject to disciplinary action by the Department may file an
11application with the Department on forms provided by the
12Department, along with the required fee of $175 $200, to have
13the records classified as confidential, not for public release,
14and considered expunged for reporting purposes if:
15 (1) the application is submitted more than 3 7 years
16 after the disciplinary offense or offenses occurred or
17 after restoration of the license, whichever is later;
18 (2) the licensee has had no incidents of discipline
19 under the licensing Act since the disciplinary offense or
20 offenses identified in the application occurred;
21 (3) the Department has no pending investigations
22 against the licensee; and
23 (4) the licensee is not currently in a disciplinary
24 status.
25 (b) An application to make disciplinary records

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1confidential shall only be considered by the Department for an
2offense or action relating to:
3 (1) failure to pay taxes or student loans;
4 (2) continuing education;
5 (3) failure to renew a license on time;
6 (4) failure to obtain or renew a certificate of
7 registration or ancillary license;
8 (5) advertising; or
9 (5.1) discipline based on criminal charges or
10 convictions:
11 (A) that did not arise from the licensed activity
12 and was unrelated to the licensed activity; or
13 (B) that were dismissed or for which records have
14 been sealed or expunged.
15 (5.2) past probationary status of a license issued to
16 new applicants on the sole or partial basis of prior
17 convictions; or
18 (6) any grounds for discipline removed from the
19 licensing Act.
20 (c) An application shall be submitted to and considered by
21the Director of the Division of Professional Regulation upon
22submission of an application and the required non-refundable
23fee. The Department may establish additional requirements by
24rule. The Department is not required to report the removal of
25any disciplinary record to any national database. Nothing in
26this Section shall prohibit the Department from using a

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1previous discipline for any regulatory purpose or from
2releasing records of a previous discipline upon request from
3law enforcement, or other governmental body as permitted by
4law. Classification of records as confidential shall result in
5removal of records of discipline from records kept pursuant to
6Sections 2105-200 and 2105-205 of this Act.
7(Source: P.A. 98-816, eff. 8-1-14.)
8 Section 10. The Criminal Identification Act is amended by
9changing Section 12 as follows:
10 20 ILCS 2630/12)
11 Sec. 12. Entry of order; effect of expungement or sealing
12records.
13 (a) Except with respect to law enforcement agencies, the
14Department of Corrections, State's Attorneys, or other
15prosecutors, and as provided in Section 13 of this Act, an
16expunged or sealed record may not be considered by any private
17or public entity in employment matters, certification,
18licensing, revocation of certification or licensure, or
19registration. Applications for employment must contain
20specific language which states that the applicant is not
21obligated to disclose sealed or expunged records of conviction
22or arrest. The entity authorized to grant a license,
23certification, or registration shall include, in an
24application for licensure, certification, or registration,

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1specific language stating that the applicant is not obligated
2to disclose sealed or expunged records of a conviction or
3arrest; however, if the inclusion of that language in an
4application for licensure, certification, or registration is
5not practical, the entity shall publish on its website
6instructions specifying that applicants are not obligated to
7disclose sealed or expunged records of a conviction or arrest.
8Employers may not ask if an applicant has had records expunged
9or sealed.
10 (b) A person whose records have been sealed or expunged is
11not entitled to remission of any fines, costs, or other money
12paid as a consequence of the sealing or expungement. This
13amendatory Act of the 93rd General Assembly does not affect the
14right of the victim of a crime to prosecute or defend a civil
15action for damages. Persons engaged in civil litigation
16involving criminal records that have been sealed may petition
17the court to open the records for the limited purpose of using
18them in the course of litigation.
19(Source: P.A. 93-211, eff. 1-1-04; 93-1084, eff. 6-1-05.)
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