101ST GENERAL ASSEMBLY
State of Illinois
2019 and 2020
HB4002

 

Introduced 1/8/2020, by Rep. Amy Grant, Allen Skillicorn and Jonathan Carroll

 

SYNOPSIS AS INTRODUCED:
 
5 ILCS 430/1-5
5 ILCS 430/5-45

    Amends the State Officials and Employees Ethics Act. Provides that no person who has served as a statewide elected official, the executive or administrative head of a State agency, the deputy executive or administrative head of a State agency, or a member of the General Assembly shall, within 2 years after the termination of service or employment, become a lobbyist. Defines "lobbyist".


LRB101 15836 RJF 65193 b

 

 

A BILL FOR

 

HB4002LRB101 15836 RJF 65193 b

1    AN ACT concerning government.
 
2    Be it enacted by the People of the State of Illinois,
3represented in the General Assembly:
 
4    Section 5. The State Officials and Employees Ethics Act is
5amended by changing Sections 1-5 and 5-45 as follows:
 
6    (5 ILCS 430/1-5)
7    Sec. 1-5. Definitions. As used in this Act:
8    "Appointee" means a person appointed to a position in or
9with a State agency, regardless of whether the position is
10compensated.
11    "Board members of Regional Transit Boards" means any person
12appointed to serve on the governing board of a Regional Transit
13Board.
14    "Campaign for elective office" means any activity in
15furtherance of an effort to influence the selection,
16nomination, election, or appointment of any individual to any
17federal, State, or local public office or office in a political
18organization, or the selection, nomination, or election of
19Presidential or Vice-Presidential electors, but does not
20include activities (i) relating to the support or opposition of
21any executive, legislative, or administrative action (as those
22terms are defined in Section 2 of the Lobbyist Registration
23Act), (ii) relating to collective bargaining, or (iii) that are

 

 

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1otherwise in furtherance of the person's official State duties.
2    "Candidate" means a person who has filed nominating papers
3or petitions for nomination or election to an elected State
4office, or who has been appointed to fill a vacancy in
5nomination, and who remains eligible for placement on the
6ballot at either a general primary election or general
7election.
8    "Collective bargaining" has the same meaning as that term
9is defined in Section 3 of the Illinois Public Labor Relations
10Act.
11    "Commission" means an ethics commission created by this
12Act.
13    "Compensated time" means any time worked by or credited to
14a State employee that counts toward any minimum work time
15requirement imposed as a condition of employment with a State
16agency, but does not include any designated State holidays or
17any period when the employee is on a leave of absence.
18    "Compensatory time off" means authorized time off earned by
19or awarded to a State employee to compensate in whole or in
20part for time worked in excess of the minimum work time
21required of that employee as a condition of employment with a
22State agency.
23    "Contribution" has the same meaning as that term is defined
24in Section 9-1.4 of the Election Code.
25    "Employee" means (i) any person employed full-time,
26part-time, or pursuant to a contract and whose employment

 

 

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1duties are subject to the direction and control of an employer
2with regard to the material details of how the work is to be
3performed or (ii) any appointed or elected commissioner,
4trustee, director, or board member of a board of a State
5agency, including any retirement system or investment board
6subject to the Illinois Pension Code or (iii) any other
7appointee.
8    "Employment benefits" include but are not limited to the
9following: modified compensation or benefit terms; compensated
10time off; or change of title, job duties, or location of office
11or employment. An employment benefit may also include favorable
12treatment in determining whether to bring any disciplinary or
13similar action or favorable treatment during the course of any
14disciplinary or similar action or other performance review.
15    "Executive branch constitutional officer" means the
16Governor, Lieutenant Governor, Attorney General, Secretary of
17State, Comptroller, and Treasurer.
18    "Gift" means any gratuity, discount, entertainment,
19hospitality, loan, forbearance, or other tangible or
20intangible item having monetary value including, but not
21limited to, cash, food and drink, and honoraria for speaking
22engagements related to or attributable to government
23employment or the official position of an employee, member, or
24officer. The value of a gift may be further defined by rules
25adopted by the appropriate ethics commission or by the Auditor
26General for the Auditor General and for employees of the office

 

 

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1of the Auditor General.
2    "Governmental entity" means a unit of local government
3(including a community college district) or a school district
4but not a State agency or a Regional Transit Board.
5    "Leave of absence" means any period during which a State
6employee does not receive (i) compensation for State
7employment, (ii) service credit towards State pension
8benefits, and (iii) health insurance benefits paid for by the
9State.
10    "Legislative branch constitutional officer" means a member
11of the General Assembly and the Auditor General.
12    "Legislative leader" means the President and Minority
13Leader of the Senate and the Speaker and Minority Leader of the
14House of Representatives.
15    "Member" means a member of the General Assembly.
16    "Lobbyist" means an individual who, by acting directly,
17does any of the following:
18        (1) Receives compensation to encourage the passage,
19    defeat, approval, veto, or modification of legislation, a
20    rule, or an executive order by the members of the General
21    Assembly, a State agency, or any statewide elected
22    official.
23        (2) Is a designated representative of an organization
24    which has as one of its purposes the encouragement of the
25    passage, defeat, approval, veto, or modification of
26    legislation, a rule, or an executive order before the

 

 

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1    General Assembly, a State agency, or any statewide elected
2    official.
3        (3) Represents the position of a federal, State, or
4    local government agency, in which the person serves or is
5    employed as the designated representative, for purposes of
6    encouraging the passage, defeat, approval, veto, or
7    modification of legislation, a rule, or an executive order
8    by members of the General Assembly, a State agency, or any
9    statewide elected official.
10    "Lobbyist" does not include:
11        (1) Officials and employees of a political party
12    organized in the State of Illinois representing more than
13    2% of the total votes cast for governor in the last
14    preceding general election, but only when representing the
15    political party in an official capacity.
16        (2) Representatives of the news media only when engaged
17    in the reporting and dissemination of news and editorials.
18        (3) All federal, State, and local elected officials,
19    while performing the duties and responsibilities of
20    office.
21        (4) Persons whose activities are limited to
22    appearances to give testimony or provide information or
23    assistance at sessions of committees of the General
24    Assembly or at public hearings of State agencies or who are
25    giving testimony or providing information or assistance at
26    the request of public officials or employees.

 

 

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1        (5) Members of the staff of the United States Congress
2    or the General Assembly.
3        (6) State agency officials and employees while they are
4    engaged in activities within the agency in which they serve
5    or are employed or with another agency with which the
6    official's or employee's agency is involved in a
7    collaborative project.
8        (7) An individual who is a member, director, trustee,
9    officer, or committee member of a business, trade, labor,
10    farm, professional, religious, education, or charitable
11    association, foundation, or organization who is not paid
12    compensation and is not otherwise specifically designated
13    as a lobbyist under this Act.
14    "Officer" means an executive branch constitutional officer
15or a legislative branch constitutional officer.
16    "Political" means any activity in support of or in
17connection with any campaign for elective office or any
18political organization, but does not include activities (i)
19relating to the support or opposition of any executive,
20legislative, or administrative action (as those terms are
21defined in Section 2 of the Lobbyist Registration Act), (ii)
22relating to collective bargaining, or (iii) that are otherwise
23in furtherance of the person's official State duties or
24governmental and public service functions.
25    "Political organization" means a party, committee,
26association, fund, or other organization (whether or not

 

 

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1incorporated) that is required to file a statement of
2organization with the State Board of Elections or a county
3clerk under Section 9-3 of the Election Code, but only with
4regard to those activities that require filing with the State
5Board of Elections or a county clerk.
6    "Prohibited political activity" means:
7        (1) Preparing for, organizing, or participating in any
8    political meeting, political rally, political
9    demonstration, or other political event.
10        (2) Soliciting contributions, including but not
11    limited to the purchase of, selling, distributing, or
12    receiving payment for tickets for any political
13    fundraiser, political meeting, or other political event.
14        (3) Soliciting, planning the solicitation of, or
15    preparing any document or report regarding any thing of
16    value intended as a campaign contribution.
17        (4) Planning, conducting, or participating in a public
18    opinion poll in connection with a campaign for elective
19    office or on behalf of a political organization for
20    political purposes or for or against any referendum
21    question.
22        (5) Surveying or gathering information from potential
23    or actual voters in an election to determine probable vote
24    outcome in connection with a campaign for elective office
25    or on behalf of a political organization for political
26    purposes or for or against any referendum question.

 

 

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1        (6) Assisting at the polls on election day on behalf of
2    any political organization or candidate for elective
3    office or for or against any referendum question.
4        (7) Soliciting votes on behalf of a candidate for
5    elective office or a political organization or for or
6    against any referendum question or helping in an effort to
7    get voters to the polls.
8        (8) Initiating for circulation, preparing,
9    circulating, reviewing, or filing any petition on behalf of
10    a candidate for elective office or for or against any
11    referendum question.
12        (9) Making contributions on behalf of any candidate for
13    elective office in that capacity or in connection with a
14    campaign for elective office.
15        (10) Preparing or reviewing responses to candidate
16    questionnaires in connection with a campaign for elective
17    office or on behalf of a political organization for
18    political purposes.
19        (11) Distributing, preparing for distribution, or
20    mailing campaign literature, campaign signs, or other
21    campaign material on behalf of any candidate for elective
22    office or for or against any referendum question.
23        (12) Campaigning for any elective office or for or
24    against any referendum question.
25        (13) Managing or working on a campaign for elective
26    office or for or against any referendum question.

 

 

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1        (14) Serving as a delegate, alternate, or proxy to a
2    political party convention.
3        (15) Participating in any recount or challenge to the
4    outcome of any election, except to the extent that under
5    subsection (d) of Section 6 of Article IV of the Illinois
6    Constitution each house of the General Assembly shall judge
7    the elections, returns, and qualifications of its members.
8    "Prohibited source" means any person or entity who:
9        (1) is seeking official action (i) by the member or
10    officer or (ii) in the case of an employee, by the employee
11    or by the member, officer, State agency, or other employee
12    directing the employee;
13        (2) does business or seeks to do business (i) with the
14    member or officer or (ii) in the case of an employee, with
15    the employee or with the member, officer, State agency, or
16    other employee directing the employee;
17        (3) conducts activities regulated (i) by the member or
18    officer or (ii) in the case of an employee, by the employee
19    or by the member, officer, State agency, or other employee
20    directing the employee;
21        (4) has interests that may be substantially affected by
22    the performance or non-performance of the official duties
23    of the member, officer, or employee;
24        (5) is registered or required to be registered with the
25    Secretary of State under the Lobbyist Registration Act,
26    except that an entity not otherwise a prohibited source

 

 

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1    does not become a prohibited source merely because a
2    registered lobbyist is one of its members or serves on its
3    board of directors; or
4        (6) is an agent of, a spouse of, or an immediate family
5    member who is living with a "prohibited source".
6    "Regional Transit Boards" means (i) the Regional
7Transportation Authority created by the Regional
8Transportation Authority Act, (ii) the Suburban Bus Division
9created by the Regional Transportation Authority Act, (iii) the
10Commuter Rail Division created by the Regional Transportation
11Authority Act, and (iv) the Chicago Transit Authority created
12by the Metropolitan Transit Authority Act.
13    "State agency" includes all officers, boards, commissions
14and agencies created by the Constitution, whether in the
15executive or legislative branch; all officers, departments,
16boards, commissions, agencies, institutions, authorities,
17public institutions of higher learning as defined in Section 2
18of the Higher Education Cooperation Act (except community
19colleges), and bodies politic and corporate of the State; and
20administrative units or corporate outgrowths of the State
21government which are created by or pursuant to statute, other
22than units of local government (including community college
23districts) and their officers, school districts, and boards of
24election commissioners; and all administrative units and
25corporate outgrowths of the above and as may be created by
26executive order of the Governor. "State agency" includes the

 

 

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1General Assembly, the Senate, the House of Representatives, the
2President and Minority Leader of the Senate, the Speaker and
3Minority Leader of the House of Representatives, the Senate
4Operations Commission, and the legislative support services
5agencies. "State agency" includes the Office of the Auditor
6General. "State agency" does not include the judicial branch.
7    "State employee" means any employee of a State agency.
8    "Ultimate jurisdictional authority" means the following:
9        (1) For members, legislative partisan staff, and
10    legislative secretaries, the appropriate legislative
11    leader: President of the Senate, Minority Leader of the
12    Senate, Speaker of the House of Representatives, or
13    Minority Leader of the House of Representatives.
14        (2) For State employees who are professional staff or
15    employees of the Senate and not covered under item (1), the
16    Senate Operations Commission.
17        (3) For State employees who are professional staff or
18    employees of the House of Representatives and not covered
19    under item (1), the Speaker of the House of
20    Representatives.
21        (4) For State employees who are employees of the
22    legislative support services agencies, the Joint Committee
23    on Legislative Support Services.
24        (5) For State employees of the Auditor General, the
25    Auditor General.
26        (6) For State employees of public institutions of

 

 

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1    higher learning as defined in Section 2 of the Higher
2    Education Cooperation Act (except community colleges), the
3    board of trustees of the appropriate public institution of
4    higher learning.
5        (7) For State employees of an executive branch
6    constitutional officer other than those described in
7    paragraph (6), the appropriate executive branch
8    constitutional officer.
9        (8) For State employees not under the jurisdiction of
10    paragraph (1), (2), (3), (4), (5), (6), or (7), the
11    Governor.
12        (9) For employees of Regional Transit Boards, the
13    appropriate Regional Transit Board.
14        (10) For board members of Regional Transit Boards, the
15    Governor.
16(Source: P.A. 96-6, eff. 4-3-09; 96-555, eff. 8-18-09; 96-1528,
17eff. 7-1-11; 96-1533, eff. 3-4-11; 97-813, eff. 7-13-12.)
 
18    (5 ILCS 430/5-45)
19    Sec. 5-45. Procurement; revolving door prohibition.
20    (a) No former officer, member, or State employee, or spouse
21or immediate family member living with such person, shall,
22within a period of one year immediately after termination of
23State employment, knowingly accept employment or receive
24compensation or fees for services from a person or entity if
25the officer, member, or State employee, during the year

 

 

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1immediately preceding termination of State employment,
2participated personally and substantially in the award of State
3contracts, or the issuance of State contract change orders,
4with a cumulative value of $25,000 or more to the person or
5entity, or its parent or subsidiary.
6    (a-5) No officer, member, or spouse or immediate family
7member living with such person shall, during the officer or
8member's term in office or within a period of 2 years
9immediately leaving office, hold an ownership interest, other
10than a passive interest in a publicly traded company, in any
11gaming license under the Illinois Gambling Act, the Video
12Gaming Act, the Illinois Horse Racing Act of 1975, or the
13Sports Wagering Act. Any member of the General Assembly or
14spouse or immediate family member living with such person who
15has an ownership interest, other than a passive interest in a
16publicly traded company, in any gaming license under the
17Illinois Gambling Act, the Illinois Horse Racing Act of 1975,
18the Video Gaming Act, or the Sports Wagering Act at the time of
19the effective date of this amendatory Act of the 101st General
20Assembly shall divest himself or herself of such ownership
21within one year after the effective date of this amendatory Act
22of the 101st General Assembly. No State employee who works for
23the Illinois Gaming Board or Illinois Racing Board or spouse or
24immediate family member living with such person shall, during
25State employment or within a period of 2 years immediately
26after termination of State employment, hold an ownership

 

 

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1interest, other than a passive interest in a publicly traded
2company, in any gaming license under the Illinois Gambling Act,
3the Video Gaming Act, the Illinois Horse Racing Act of 1975, or
4the Sports Wagering Act.
5    (a-10) No person who has served as a statewide elected
6official, the executive or administrative head of a State
7agency, the deputy executive or administrative head of a State
8agency, or a member of the General Assembly shall, within 2
9years after the termination of service or employment, become a
10lobbyist.
11    (b) No former officer of the executive branch or State
12employee of the executive branch with regulatory or licensing
13authority, or spouse or immediate family member living with
14such person, shall, within a period of one year immediately
15after termination of State employment, knowingly accept
16employment or receive compensation or fees for services from a
17person or entity if the officer or State employee, during the
18year immediately preceding termination of State employment,
19participated personally and substantially in making a
20regulatory or licensing decision that directly applied to the
21person or entity, or its parent or subsidiary.
22    (c) Within 6 months after the effective date of this
23amendatory Act of the 96th General Assembly, each executive
24branch constitutional officer and legislative leader, the
25Auditor General, and the Joint Committee on Legislative Support
26Services shall adopt a policy delineating which State positions

 

 

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1under his or her jurisdiction and control, by the nature of
2their duties, may have the authority to participate personally
3and substantially in the award of State contracts or in
4regulatory or licensing decisions. The Governor shall adopt
5such a policy for all State employees of the executive branch
6not under the jurisdiction and control of any other executive
7branch constitutional officer.
8    The policies required under subsection (c) of this Section
9shall be filed with the appropriate ethics commission
10established under this Act or, for the Auditor General, with
11the Office of the Auditor General.
12    (d) Each Inspector General shall have the authority to
13determine that additional State positions under his or her
14jurisdiction, not otherwise subject to the policies required by
15subsection (c) of this Section, are nonetheless subject to the
16notification requirement of subsection (f) below due to their
17involvement in the award of State contracts or in regulatory or
18licensing decisions.
19    (e) The Joint Committee on Legislative Support Services,
20the Auditor General, and each of the executive branch
21constitutional officers and legislative leaders subject to
22subsection (c) of this Section shall provide written
23notification to all employees in positions subject to the
24policies required by subsection (c) or a determination made
25under subsection (d): (1) upon hiring, promotion, or transfer
26into the relevant position; and (2) at the time the employee's

 

 

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1duties are changed in such a way as to qualify that employee.
2An employee receiving notification must certify in writing that
3the person was advised of the prohibition and the requirement
4to notify the appropriate Inspector General in subsection (f).
5    (f) Any State employee in a position subject to the
6policies required by subsection (c) or to a determination under
7subsection (d), but who does not fall within the prohibition of
8subsection (h) below, who is offered non-State employment
9during State employment or within a period of one year
10immediately after termination of State employment shall, prior
11to accepting such non-State employment, notify the appropriate
12Inspector General. Within 10 calendar days after receiving
13notification from an employee in a position subject to the
14policies required by subsection (c), such Inspector General
15shall make a determination as to whether the State employee is
16restricted from accepting such employment by subsection (a) or
17(b). In making a determination, in addition to any other
18relevant information, an Inspector General shall assess the
19effect of the prospective employment or relationship upon
20decisions referred to in subsections (a) and (b), based on the
21totality of the participation by the former officer, member, or
22State employee in those decisions. A determination by an
23Inspector General must be in writing, signed and dated by the
24Inspector General, and delivered to the subject of the
25determination within 10 calendar days or the person is deemed
26eligible for the employment opportunity. For purposes of this

 

 

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1subsection, "appropriate Inspector General" means (i) for
2members and employees of the legislative branch, the
3Legislative Inspector General; (ii) for the Auditor General and
4employees of the Office of the Auditor General, the Inspector
5General provided for in Section 30-5 of this Act; and (iii) for
6executive branch officers and employees, the Inspector General
7having jurisdiction over the officer or employee. Notice of any
8determination of an Inspector General and of any such appeal
9shall be given to the ultimate jurisdictional authority, the
10Attorney General, and the Executive Ethics Commission.
11    (g) An Inspector General's determination regarding
12restrictions under subsection (a) or (b) may be appealed to the
13appropriate Ethics Commission by the person subject to the
14decision or the Attorney General no later than the 10th
15calendar day after the date of the determination.
16    On appeal, the Ethics Commission or Auditor General shall
17seek, accept, and consider written public comments regarding a
18determination. In deciding whether to uphold an Inspector
19General's determination, the appropriate Ethics Commission or
20Auditor General shall assess, in addition to any other relevant
21information, the effect of the prospective employment or
22relationship upon the decisions referred to in subsections (a)
23and (b), based on the totality of the participation by the
24former officer, member, or State employee in those decisions.
25The Ethics Commission shall decide whether to uphold an
26Inspector General's determination within 10 calendar days or

 

 

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1the person is deemed eligible for the employment opportunity.
2    (h) The following officers, members, or State employees
3shall not, within a period of one year immediately after
4termination of office or State employment, knowingly accept
5employment or receive compensation or fees for services from a
6person or entity if the person or entity or its parent or
7subsidiary, during the year immediately preceding termination
8of State employment, was a party to a State contract or
9contracts with a cumulative value of $25,000 or more involving
10the officer, member, or State employee's State agency, or was
11the subject of a regulatory or licensing decision involving the
12officer, member, or State employee's State agency, regardless
13of whether he or she participated personally and substantially
14in the award of the State contract or contracts or the making
15of the regulatory or licensing decision in question:
16        (1) members or officers;
17        (2) members of a commission or board created by the
18    Illinois Constitution;
19        (3) persons whose appointment to office is subject to
20    the advice and consent of the Senate;
21        (4) the head of a department, commission, board,
22    division, bureau, authority, or other administrative unit
23    within the government of this State;
24        (5) chief procurement officers, State purchasing
25    officers, and their designees whose duties are directly
26    related to State procurement;

 

 

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1        (6) chiefs of staff, deputy chiefs of staff, associate
2    chiefs of staff, assistant chiefs of staff, and deputy
3    governors;
4        (7) employees of the Illinois Racing Board; and
5        (8) employees of the Illinois Gaming Board.
6    (i) For the purposes of this Section, with respect to
7officers or employees of a regional transit board, as defined
8in this Act, the phrase "person or entity" does not include:
9(i) the United States government, (ii) the State, (iii)
10municipalities, as defined under Article VII, Section 1 of the
11Illinois Constitution, (iv) units of local government, as
12defined under Article VII, Section 1 of the Illinois
13Constitution, or (v) school districts.
14(Source: P.A. 101-31, eff. 6-28-19.)