Public Act 097-0754
 
HB4116 EnrolledLRB097 15595 PJG 60735 b


  
    AN ACT concerning finance.
  
 
    Be it enacted by the People of the State of Illinois,
 
represented in the General Assembly:
  



 
 
    Section 5. The Illinois Governmental Ethics Act is amended  
by changing Sections 4A-101, 4A-102, 4A-106, and 4A-107 as 
follows:
 
    (5 ILCS 420/4A-101)  (from Ch. 127, par. 604A-101)
    Sec. 4A-101. Persons required to file.   The following 
persons shall file
verified written statements of economic 
interests, as provided in this Article:


        (a) Members of the General Assembly and candidates for 
    nomination or
election to the General Assembly.


        (b) Persons holding an elected office in the Executive 
    Branch of this
State, and candidates for nomination or 
    election to these offices.


        (c) Members of a Commission or Board created by the 
    Illinois Constitution,
and candidates for nomination or 
    election to such Commission or Board.


        (d) Persons whose appointment to office is subject to 
    confirmation by
the Senate and persons appointed by the 
    Governor to any other position on a board or commission 
    described in subsection (a) of Section 15 of the 
    Gubernatorial Boards and Commissions Act.


        (e) Holders of, and candidates for nomination or 
    election to, the office
of judge or associate judge of the 
    Circuit Court and the office of judge of
the Appellate or 
    Supreme Court.


        (f) Persons who are employed by any branch, agency, 
    authority or board
of the government of this State, 
    including but not limited to, the Illinois
State Toll 
    Highway Authority, the Illinois Housing Development 
    Authority,
the Illinois Community College Board, and 
    institutions under the
jurisdiction of the Board of 
    Trustees
of the University of Illinois, Board of Trustees 
    of Southern Illinois
University, Board of Trustees of 
    Chicago State University,
Board of Trustees of Eastern 
    Illinois University, Board of Trustees of
Governor's State 
    University, Board of Trustees of Illinois State 
    University,
Board of Trustees of Northeastern Illinois 
    University, Board of Trustees of
Northern Illinois 
    University, Board of Trustees of Western Illinois

    University, or Board of Trustees of the Illinois 
    Mathematics and Science
Academy, and are compensated for 
    services as employees and not as
independent contractors 
    and who:


            (1) are, or function as, the head of a department, 
        commission, board,
division, bureau, authority or 
        other administrative unit within the
government of 
        this State, or who exercise similar authority within 
        the
government of this State;


            (2) have direct supervisory authority over, or 
        direct responsibility for
the formulation, 
        negotiation, issuance or execution of contracts 
        entered into
by the State in the amount of $5,000 or 
        more;


            (3) have authority for the issuance or 
        promulgation of rules and
regulations within areas 
        under the authority of the State;


            (4) have authority for the approval of 
        professional licenses;


            (5) have responsibility with respect to the 
        financial inspection
of regulated nongovernmental 
        entities;


            (6) adjudicate, arbitrate, or decide any judicial 
        or administrative
proceeding, or review the 
        adjudication, arbitration or decision of any judicial

        or administrative proceeding within the authority of 
        the State;


            (7) have supervisory responsibility for 20 or more 
        employees of the
State;


            (8) negotiate, assign, authorize, or grant naming 
        rights or sponsorship rights regarding any property or 
        asset of the State, whether real, personal, tangible, 
        or intangible; or

            (9) have responsibility with respect to the 
        procurement of goods or services. 
        (g) Persons who are elected to office in a unit of 
    local government,
and candidates for nomination or 
    election to that office, including regional

    superintendents of school districts.


        (h) Persons appointed to the governing board of a unit 
    of local
government, or of a special district, and persons 
    appointed to a zoning
board, or zoning board of appeals, or 
    to a regional, county, or municipal
plan commission, or to 
    a board of review of any county, and persons
appointed to 
    the Board of the Metropolitan Pier and Exposition Authority

    and any Trustee appointed under Section 22 of the 
    Metropolitan Pier and
Exposition Authority Act, and 
    persons appointed to a board or commission of
a unit of 
    local government who have authority to authorize the 
    expenditure of
public funds.  This subsection does not apply 
    to members of boards or
commissions who function in an 
    advisory capacity.


        (i) Persons who are employed by a unit of local 
    government and are
compensated for services as employees 
    and not as independent contractors and
who:


            (1) are, or function as, the head of a department, 
        division, bureau,
authority or other administrative 
        unit within the unit of local
government, or who 
        exercise similar authority within the unit of local

        government;


            (2) have direct supervisory authority over, or 
        direct responsibility for
the formulation, 
        negotiation, issuance or execution of contracts 
        entered into
by the unit of local government in the 
        amount of $1,000 or greater;


            (3) have authority to approve licenses
and permits 
        by the unit of local government; this item does not 
        include
employees who function in a ministerial 
        capacity;


            (4) adjudicate, arbitrate, or decide any judicial 
        or administrative
proceeding, or review the 
        adjudication, arbitration or decision of any judicial

        or administrative proceeding within the authority of 
        the unit of local
government;


            (5) have authority to issue or promulgate rules and 
        regulations within
areas under the authority of the 
        unit of local government; or


            (6) have supervisory responsibility for 20 or more 
        employees of the
unit of local government.


        (j) Persons on the Board of Trustees of the Illinois 
    Mathematics and
Science Academy.


        (k) Persons employed by a school district in positions 
    that
require that
person to hold an administrative or a 
    chief school business official
endorsement.


        (l) Special government agents. A "special government 
    agent" is a
person who is directed, retained, designated, 
    appointed, or
employed, with or without compensation, by or 
    on behalf of a
statewide executive branch constitutional 
    officer to make an ex
parte communication under Section 
    5-50 of the State Officials and
Employees Ethics Act or 
    Section 5-165 of the Illinois
Administrative Procedure 
    Act.



        (m) Members of the board of commissioners of any flood 
    prevention district created under the Flood Prevention 
    District Act or the Beardstown Regional Flood Prevention 
    District Act. 
        (n) Members of the board of any retirement system or 
    investment board established under the Illinois Pension 
    Code, if not required to file under any other provision of 
    this Section.
        (o) Members of the board of any pension fund 
    established under the Illinois Pension Code, if not 
    required to file under any other provision of this Section. 
        (p) Members of the investment advisory panel created 
    under Section 20 of the Illinois Prepaid Tuition Act. 
    This Section shall not be construed to prevent any unit of 
local government
from enacting financial disclosure 
requirements that mandate
 more information
than required by 
this Act.


(Source: P.A. 96-6, eff. 4-3-09; 96-543, eff. 8-17-09; 96-555, 
eff. 8-18-09; 96-1000, eff. 7-2-10; 97-309, eff. 8-11-11.)

 
    (5 ILCS 420/4A-102)  (from Ch. 127, par. 604A-102)

    Sec. 4A-102. The statement of economic interests required 
by this Article
shall include the economic interests of the 
person making the statement as
provided in this Section.  The 
interest (if constructively controlled by the
person making the 
statement) of a spouse or any other party, shall be
considered 
to be the same as the interest of the person making the

statement.  Campaign receipts shall not be included in this 
statement.


        (a) The following interests shall be listed by all 
    persons required to
file:


            (1) The name, address and type of practice of any 
        professional
organization or individual professional 
        practice in which the person making
the statement was 
        an officer, director, associate, partner or 
        proprietor,
or served in any advisory capacity, from 
        which income in excess of $1200
was derived during the 
        preceding calendar year;


            (2) The nature of professional services (other 
        than services rendered to
the unit or units of 
        government in relation to which the person is required

        to file)
and the nature of the entity to which they 
        were rendered if fees exceeding
$5,000 were received 
        during the preceding calendar year from the entity for

        professional services rendered by the person making 
        the statement.


            (3) The identity (including the address or legal 
        description of real
estate) of any capital asset from 
        which a capital gain of $5,000 or more
was realized in 
        the preceding calendar year.


            (4) The name of any unit of government which has 
        employed the person
making the statement during the 
        preceding calendar year other than the unit
or units of 
        government in relation to which the person is required 
        to file.


            (5) The name of any entity from which a gift or 
        gifts, or honorarium or
honoraria, valued singly or in 
        the aggregate in excess of $500, was
received during 
        the preceding calendar year.


        (b) The following interests shall also be listed by 
    persons listed in
items (a) through (f), item (l), and item 
    (n), and item (p) of Section 4A-101:


            (1) The name and instrument of ownership in any 
        entity doing business in
the State of Illinois, in 
        which an ownership interest held by the person at
the 
        date of filing is in excess of $5,000 fair market value 
        or from which
dividends of in excess of $1,200 were 
        derived during the preceding calendar
year. (In the 
        case of real estate, location thereof shall be listed 
        by
street address, or if none, then by legal 
        description). No time or demand
deposit in a financial 
        institution, nor any debt instrument need be listed;


            (2) Except for professional service entities, the 
        name of any entity and
any position held therein from 
        which income of in excess of $1,200 was
derived during 
        the preceding calendar year, if the entity does 
        business in
the State of Illinois. No time or demand 
        deposit in a financial
institution, nor any debt 
        instrument need be listed.


            (3) The identity of any compensated lobbyist with 
        whom the person making
the statement maintains a close 
        economic association, including the name of
the 
        lobbyist and specifying the legislative matter or 
        matters which are the
object of the lobbying activity, 
        and describing the general type of
economic activity of 
        the client or principal on whose behalf that person is

        lobbying.


        (c) The following interests shall also be listed by 
    persons listed in
items (g), (h), (i), and (o) of Section 
    4A-101:


            (1) The name and instrument of ownership in any 
        entity doing business
with a unit of local government 
        in relation to which the person is
required to file if 
        the ownership interest of the person filing is greater

        than $5,000 fair market value as of the date of filing 
        or if dividends in
excess of $1,200 were received from 
        the entity during the preceding
calendar year. (In the 
        case of real estate, location thereof shall be
listed 
        by street address, or if none, then by legal 
        description). No time
or demand deposit in a financial 
        institution, nor any debt instrument need
be listed.


            (2) Except for professional service entities, the 
        name of any entity and
any position held therein from 
        which income in excess of $1,200 was derived
during the 
        preceding calendar year if the entity does business 
        with a
unit of local government in relation to which 
        the person is required to
file. No time or demand 
        deposit in a financial institution, nor any debt

        instrument need be listed.


            (3) The name of any entity and the nature of the 
        governmental action
requested by any entity which has 
        applied to a unit of local
government
in relation to 
        which the person must file for any license, franchise 
        or
permit for annexation, zoning or rezoning of real 
        estate during the
preceding calendar year if the 
        ownership interest of the person filing is
in excess of 
        $5,000 fair market value at the time of filing or if 
        income or
dividends in excess of $1,200 were received 
        by the person filing from the
entity during the 
        preceding calendar year.


    For the purposes of this Section, the unit of local 
government in relation to which a person required to file under 
item (o) of Section 4A-101 shall be the unit of local 
government that contributes to the pension fund of which such 
person is a member of the board. 
(Source: P.A. 96-6, eff. 4-3-09.)

 
    (5 ILCS 420/4A-106)  (from Ch. 127, par. 604A-106)

    Sec. 4A-106. The statements of economic interests required 
of persons
listed in items (a) through (f), item (j), item (l), 
and item (n), and item (p) of
Section 4A-101 shall be
filed 
with the Secretary of State.  The statements of economic 
interests
required of persons listed in items (g), (h), (i), 
(k), and (o) of
Section
4A-101 shall be filed with the county 
clerk of the county in which the
principal office of the unit 
of local government with which the person is
associated is 
located.  If it is not apparent which county the principal 
office
of a unit of local government is located, the chief 
administrative officer, or
his or her designee, has the 
authority, for purposes of this Act, to determine
the county in 
which the principal office is located.  On or before February 1

annually, (1) the chief administrative officer of any State 
agency in the
executive, legislative, or judicial branch 
employing persons required to file
under item (f) or item (l) 
of Section
4A-101 and the chief administrative officer of a 
board or panel described in item (n) or (p) of Section 4A-101 
shall certify to the Secretary of State the names and mailing 
addresses
of those persons, and (2) the chief administrative 
officer, or his or her
designee, of each unit of local 
government with persons described in items (h),
(i) and (k) and 
a board described in item (o) of Section 4A-101 shall certify 
to the appropriate county clerk a
list of names and addresses 
of persons described in items (h), (i),
 (k), and (o) of
Section 
4A-101 that are required to file.  In preparing the lists, each 
chief
administrative officer, or his or her designee, shall set 
out the names in
alphabetical order.


    On or before April 1 annually, the Secretary of State shall 
notify (1)
all persons whose names have been certified to him 
under items (f),
 (l), and (n), and (p) of
Section 4A-101, and 
(2) all persons described in items (a) through (e) and
item (j) 
of Section 4A-101, other than candidates for office who have 
filed
their statements with their nominating petitions, of the 
requirements for
filing statements of economic interests.
A 
person required to file with the Secretary of State by virtue 
of more than
one item among items (a) through (f) and items 
(j), (l), and (n), and (p)
shall be notified of and is
required

to file only one statement of economic interests relating to 
all items under
which the person is required to file with the 
Secretary of State.


    On or before April 1 annually, the county clerk of each 
county shall
notify all persons whose names have been certified 
to him under items (g),
(h), (i), (k), and (o) of Section 
4A-101, other than candidates
for office who have filed their 
statements with their nominating petitions, of
the 
requirements for filing statements of economic interests.
A 
person required to file with a county clerk by virtue of more 
than one item
among items (g), (h), (i), (k), and (o) shall be 
notified of and is
required to
file only one statement of 
economic interests relating to all items under which
the person 
is required to file with that county clerk.


    Except as provided in Section 4A-106.1, the notices 
provided for in this
Section shall be in writing and deposited 
in
the U.S. Mail, properly addressed, first class postage 
prepaid, on or before
the day required by this Section for the 
sending of the notice. Alternatively, a county clerk may send 
the notices electronically to all persons whose names have been 
thus certified to him under item (h), (i), or (k) of Section 
4A-101. A certificate
executed by the Secretary of State or 
county clerk attesting that he or she has sent
the notice by 
the means permitted by this Section constitutes prima facie 
evidence thereof.


    From the lists certified to him under this Section of 
persons described in
items (g), (h), (i), (k), and (o) of 
Section 4A-101, the clerk
of each county shall
compile an 
alphabetical listing of persons required to file statements of

economic interests in his office under any of those items.  As 
the
statements are filed in his office, the county clerk shall 
cause the fact
of that filing to be indicated on the 
alphabetical listing of persons who
are required to file 
statements. Within 30 days after the due dates, the county

clerk shall mail to the State Board of Elections a true copy of 
that listing
showing those who have filed statements.


    The county clerk of each county shall note upon the 
alphabetical listing
the names of all persons required to file 
a statement of economic interests
who failed to file a 
statement on or before May 1.  It shall be the duty of
the 
several county clerks to give notice as provided in Section 
4A-105 to
any person who has failed to file his or her 
statement with the clerk on or
before May 1.


    Any person who files or has filed a statement of economic 
interest
under this Act is entitled to receive from the 
Secretary of State or county
clerk, as the case may be, a 
receipt indicating that the person has filed
such a statement, 
the date of such filing, and the identity of the
governmental 
unit or units in relation to which the filing is required.


    The Secretary of State may employ such employees and 
consultants
as he considers necessary to carry out his duties 
hereunder, and may
prescribe their duties, fix their 
compensation, and provide for
reimbursement of their expenses.


    All statements of economic interests filed under this 
Section shall be
available for examination and copying by the 
public at all reasonable times.
Not later than 12 months after 
the effective date of this amendatory Act of
the 93rd General 
Assembly, beginning with statements filed in calendar year

2004, the Secretary of State shall make statements of economic 
interests filed
with the Secretary available for inspection and 
copying via the Secretary's
website.

(Source: P.A. 96-6, eff. 4-3-09; 96-1336, eff. 1-1-11.)

 
    (5 ILCS 420/4A-107)  (from Ch. 127, par. 604A-107)

    Sec. 4A-107. Any person required to file a statement of 
economic interests
under this Article who willfully files a 
false or incomplete statement shall be
guilty of a Class A 
misdemeanor.


    Except when the fees and penalties for late filing have 
been waived under Section 4A-105, failure to file a statement 
within the time prescribed shall result in
ineligibility for, 
or forfeiture of, office or position of employment, as
the case 
may be; provided, however, that if the notice of failure to

file a statement of economic interests provided in Section 
4A-105 of this
Act is not given by the Secretary of State or 
the county clerk, as the case
may be, no forfeiture shall 
result if a statement is filed within 30 days
of actual notice 
of the failure to file. The Secretary of State shall provide 
the Attorney General with the names of persons who failed to 
file a statement. The county clerk shall provide the State's 
Attorney of the county of the entity for which the filing of 
statement of economic interest is required with the name of 
persons who failed to file a statement.


    The Attorney General, with respect to offices or positions 
described in
items (a) through (f) and items (j), (l), and (n), 
and (p) of Section 4A-101 of this
Act, or the State's
Attorney 
of the county of the entity for which the filing of statements 
of
economic interests is required, with respect to offices or 
positions
described in items (g) through (i), item (k), and 
item (o) of
Section
4A-101 of this Act,
shall bring an action 
in quo warranto against any person who has failed to file
by 
either May 31 or June 30 of any given year and for whom the fees 
and penalties for late filing have not been waived under 
Section 4A-105.


(Source: P.A. 96-6, eff. 4-3-09; 96-550, eff. 8-17-09; 96-1000, 
eff. 7-2-10.)

 
 
    Section 99. Effective date. This Act takes effect upon 
becoming law.