101ST GENERAL ASSEMBLY
State of Illinois
2019 and 2020
SB1784

 

Introduced 2/15/2019, by Sen. Omar Aquino

 

SYNOPSIS AS INTRODUCED:
 
5 ILCS 420/4A-101  from Ch. 127, par. 604A-101
5 ILCS 420/4A-101.5 new
5 ILCS 420/4A-102  from Ch. 127, par. 604A-102
5 ILCS 420/4A-105  from Ch. 127, par. 604A-105
5 ILCS 420/4A-106  from Ch. 127, par. 604A-106
5 ILCS 420/4A-106.5 new
5 ILCS 420/4A-107  from Ch. 127, par. 604A-107
5 ILCS 420/4A-108
5 ILCS 430/20-23

    Amends the Illinois Governmental Ethics Act. Modifies the disclosure of economic interests Article to provide for separate provisions concerning statements of economic interests to be filed with the Secretary of State and the county clerk respectively. Amends the State Officials and Employees Ethics Act. Provides that Ethics Officers designated for an office or State agency under the jurisdiction of the Executive Ethics Commission or designated by a Regional Transit Board shall, among other responsibilities, review statements of economic interest and disclosure forms of officers, senior employees, and contract monitors before they are filed with the Secretary of State if the statements of economic interest are filed by hard copy. Provides that if such statements are filed online, the Ethics Officer shall review the statements of economic interest and disclosure forms of officers, senior employees, and contract monitors within 15 days after the filing deadline. Makes conforming changes. Effective immediately.


LRB101 11042 RJF 56246 b

 

 

A BILL FOR

 

SB1784LRB101 11042 RJF 56246 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 Illinois Governmental Ethics Act is amended
5by changing Sections 4A-101, 4A-102, 4A-105, 4A-106, 4A-107,
6and 4A-108 and by adding Sections 4A-101.5 and 4A-106.5 as
7follows:
 
8    (5 ILCS 420/4A-101)  (from Ch. 127, par. 604A-101)
9    Sec. 4A-101. Persons required to file with the Secretary of
10State. The following persons shall file verified written
11statements of economic interests with the Secretary of State,
12as provided in this Article:
13        (a) Members of the General Assembly and candidates for
14    nomination or election to the General Assembly.
15        (b) Persons holding an elected office in the Executive
16    Branch of this State, and candidates for nomination or
17    election to these offices.
18        (c) Members of a Commission or Board created by the
19    Illinois Constitution, and candidates for nomination or
20    election to such Commission or Board.
21        (d) Persons whose appointment to office is subject to
22    confirmation by the Senate and persons appointed by the
23    Governor to any other position on a board or commission

 

 

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1    described in subsection (a) of Section 15 of the
2    Gubernatorial Boards and Commissions Act.
3        (e) Holders of, and candidates for nomination or
4    election to, the office of judge or associate judge of the
5    Circuit Court and the office of judge of the Appellate or
6    Supreme Court.
7        (f) Persons who are employed by any branch, agency,
8    authority or board of the government of this State,
9    including but not limited to, the Illinois State Toll
10    Highway Authority, the Illinois Housing Development
11    Authority, the Illinois Community College Board, and
12    institutions under the jurisdiction of the Board of
13    Trustees of the University of Illinois, Board of Trustees
14    of Southern Illinois University, Board of Trustees of
15    Chicago State University, Board of Trustees of Eastern
16    Illinois University, Board of Trustees of Governors
17    Governor's State University, Board of Trustees of Illinois
18    State University, Board of Trustees of Northeastern
19    Illinois University, Board of Trustees of Northern
20    Illinois University, Board of Trustees of Western Illinois
21    University, or Board of Trustees of the Illinois
22    Mathematics and Science Academy, and are compensated for
23    services as employees and not as independent contractors
24    and who:
25            (1) are, or function as, the head of a department,
26        commission, board, division, bureau, authority or

 

 

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1        other administrative unit within the government of
2        this State, or who exercise similar authority within
3        the government of this State;
4            (2) have direct supervisory authority over, or
5        direct responsibility for the formulation,
6        negotiation, issuance or execution of contracts
7        entered into by the State in the amount of $5,000 or
8        more;
9            (3) have authority for the issuance or
10        promulgation of rules and regulations within areas
11        under the authority of the State;
12            (4) have authority for the approval of
13        professional licenses;
14            (5) have responsibility with respect to the
15        financial inspection of regulated nongovernmental
16        entities;
17            (6) adjudicate, arbitrate, or decide any judicial
18        or administrative proceeding, or review the
19        adjudication, arbitration or decision of any judicial
20        or administrative proceeding within the authority of
21        the State;
22            (7) have supervisory responsibility for 20 or more
23        employees of the State;
24            (8) negotiate, assign, authorize, or grant naming
25        rights or sponsorship rights regarding any property or
26        asset of the State, whether real, personal, tangible,

 

 

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1        or intangible; or
2            (9) have responsibility with respect to the
3        procurement of goods or services.
4        (f-5) Members of the board of commissioners of any
5    flood prevention district created under the Flood
6    Prevention District Act or the Beardstown Regional Flood
7    Prevention District Act.
8        (g) (Blank). Persons who are elected to office in a
9    unit of local government, and candidates for nomination or
10    election to that office, including regional
11    superintendents of school districts.
12        (h) (Blank). Persons appointed to the governing board
13    of a unit of local government, or of a special district,
14    and persons appointed to a zoning board, or zoning board of
15    appeals, or to a regional, county, or municipal plan
16    commission, or to a board of review of any county, and
17    persons appointed to the Board of the Metropolitan Pier and
18    Exposition Authority and any Trustee appointed under
19    Section 22 of the Metropolitan Pier and Exposition
20    Authority Act, and persons appointed to a board or
21    commission of a unit of local government who have authority
22    to authorize the expenditure of public funds. This
23    subsection does not apply to members of boards or
24    commissions who function in an advisory capacity.
25        (i) (Blank). Persons who are employed by a unit of
26    local government and are compensated for services as

 

 

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1    employees and not as independent contractors and who:
2            (1) are, or function as, the head of a department,
3        division, bureau, authority or other administrative
4        unit within the unit of local government, or who
5        exercise similar authority within the unit of local
6        government;
7            (2) have direct supervisory authority over, or
8        direct responsibility for the formulation,
9        negotiation, issuance or execution of contracts
10        entered into by the unit of local government in the
11        amount of $1,000 or greater;
12            (3) have authority to approve licenses and permits
13        by the unit of local government; this item does not
14        include employees who function in a ministerial
15        capacity;
16            (4) adjudicate, arbitrate, or decide any judicial
17        or administrative proceeding, or review the
18        adjudication, arbitration or decision of any judicial
19        or administrative proceeding within the authority of
20        the unit of local government;
21            (5) have authority to issue or promulgate rules and
22        regulations within areas under the authority of the
23        unit of local government; or
24            (6) have supervisory responsibility for 20 or more
25        employees of the unit of local government.
26        (j) Persons on the Board of Trustees of the Illinois

 

 

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1    Mathematics and Science Academy.
2        (k) (Blank). Persons employed by a school district in
3    positions that require that person to hold an
4    administrative or a chief school business official
5    endorsement.
6        (l) Special government agents. A "special government
7    agent" is a person who is directed, retained, designated,
8    appointed, or employed, with or without compensation, by or
9    on behalf of a statewide executive branch constitutional
10    officer to make an ex parte communication under Section
11    5-50 of the State Officials and Employees Ethics Act or
12    Section 5-165 of the Illinois Administrative Procedure
13    Act.
14        (m) (Blank). Members of the board of commissioners of
15    any flood prevention district created under the Flood
16    Prevention District Act or the Beardstown Regional Flood
17    Prevention District Act.
18        (n) Members of the board of any retirement system or
19    investment board established under the Illinois Pension
20    Code, if not required to file under any other provision of
21    this Section.
22        (o) (Blank). Members of the board of any pension fund
23    established under the Illinois Pension Code, if not
24    required to file under any other provision of this Section.
25        (p) Members of the investment advisory panel created
26    under Section 20 of the Illinois Prepaid Tuition Act.

 

 

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1    This Section shall not be construed to prevent any unit of
2local government from enacting financial disclosure
3requirements that mandate more information than required by
4this Act.
5(Source: P.A. 96-6, eff. 4-3-09; 96-543, eff. 8-17-09; 96-555,
6eff. 8-18-09; 96-1000, eff. 7-2-10; 97-309, eff. 8-11-11;
797-754, eff. 7-6-12; revised 10-10-18.)
 
8    (5 ILCS 420/4A-101.5 new)
9    Sec. 4A-101.5. Persons required to file with the county
10clerk. The following persons shall file verified written
11statements of economic interests with the county clerk, as
12provided in this Article:
13    (a) Persons who are elected to office in a unit of local
14government, and candidates for nomination or election to that
15office, including regional superintendents of school
16districts.
17    (b) Persons appointed to the governing board of a unit of
18local government, or of a special district, and persons
19appointed to a zoning board, or zoning board of appeals, or to
20a regional, county, or municipal plan commission, or to a board
21of review of any county, and persons appointed to the Board of
22the Metropolitan Pier and Exposition Authority and any Trustee
23appointed under Section 22 of the Metropolitan Pier and
24Exposition Authority Act, and persons appointed to a board or
25commission of a unit of local government who have authority to

 

 

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1authorize the expenditure of public funds. This subsection (b)
2does not apply to members of boards or commissions who function
3in an advisory capacity.
4    (c) Persons who are employed by a unit of local government
5and are compensated for services as employees and not as
6independent contractors, and who:
7        (1) are, or function as, the head of a department,
8    division, bureau, authority, or other administrative unit
9    within the unit of local government, or who exercise
10    similar authority within the unit of local government;
11        (2) have direct supervisory authority over, or direct
12    responsibility for the formulation, negotiation, issuance,
13    or execution of contracts entered into by the unit of local
14    government in the amount of $1,000 or greater;
15        (3) have authority to approve licenses and permits by
16    the unit of local government, but not including employees
17    who function in a ministerial capacity;
18        (4) adjudicate, arbitrate, or decide any judicial or
19    administrative proceeding, or review the adjudication,
20    arbitration, or decision of any judicial or administrative
21    proceeding within the authority of the unit of local
22    government;
23        (5) have authority to issue or adopt rules and
24    regulations within areas under the authority of the unit of
25    local government; or
26        (6) have supervisory responsibility for 20 or more

 

 

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1    employees of the unit of local government.
2    (d) Persons employed by a school district in positions that
3require that person to hold an administrative or a chief school
4business official endorsement.
5    (e) Members of the board of any pension fund established
6under the Illinois Pension Code, if not required to file under
7any other provision of this Section.
 
8    (5 ILCS 420/4A-102)  (from Ch. 127, par. 604A-102)
9    Sec. 4A-102. The statement of economic interests required
10by this Article shall include the economic interests of the
11person making the statement as provided in this Section. The
12interest (if constructively controlled by the person making the
13statement) of a spouse or any other party, shall be considered
14to be the same as the interest of the person making the
15statement. Campaign receipts shall not be included in this
16statement.
17        (a) The following interests shall be listed by all
18    persons required to file:
19            (1) The name, address and type of practice of any
20        professional organization or individual professional
21        practice in which the person making the statement was
22        an officer, director, associate, partner or
23        proprietor, or served in any advisory capacity, from
24        which income in excess of $1200 was derived during the
25        preceding calendar year;

 

 

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1            (2) The nature of professional services (other
2        than services rendered to the unit or units of
3        government in relation to which the person is required
4        to file) and the nature of the entity to which they
5        were rendered if fees exceeding $5,000 were received
6        during the preceding calendar year from the entity for
7        professional services rendered by the person making
8        the statement.
9            (3) The identity (including the address or legal
10        description of real estate) of any capital asset from
11        which a capital gain of $5,000 or more was realized in
12        the preceding calendar year.
13            (4) The name of any unit of government which has
14        employed the person making the statement during the
15        preceding calendar year other than the unit or units of
16        government in relation to which the person is required
17        to file.
18            (5) The name of any entity from which a gift or
19        gifts, or honorarium or honoraria, valued singly or in
20        the aggregate in excess of $500, was received during
21        the preceding calendar year.
22        (b) The following interests shall also be listed by
23    persons listed in items (a) through (f), item (l), item
24    (n), and item (p) of Section 4A-101:
25            (1) The name and instrument of ownership in any
26        entity doing business in the State of Illinois, in

 

 

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1        which an ownership interest held by the person at the
2        date of filing is in excess of $5,000 fair market value
3        or from which dividends of in excess of $1,200 were
4        derived during the preceding calendar year. (In the
5        case of real estate, location thereof shall be listed
6        by street address, or if none, then by legal
7        description). No time or demand deposit in a financial
8        institution, nor any debt instrument need be listed;
9            (2) Except for professional service entities, the
10        name of any entity and any position held therein from
11        which income of in excess of $1,200 was derived during
12        the preceding calendar year, if the entity does
13        business in the State of Illinois. No time or demand
14        deposit in a financial institution, nor any debt
15        instrument need be listed.
16            (3) The identity of any compensated lobbyist with
17        whom the person making the statement maintains a close
18        economic association, including the name of the
19        lobbyist and specifying the legislative matter or
20        matters which are the object of the lobbying activity,
21        and describing the general type of economic activity of
22        the client or principal on whose behalf that person is
23        lobbying.
24        (c) The following interests shall also be listed by
25    persons listed in items (a) through (c) and item (e) (g),
26    (h), (i), and (o) of Section 4A-101.5 4A-101:

 

 

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1            (1) The name and instrument of ownership in any
2        entity doing business with a unit of local government
3        in relation to which the person is required to file if
4        the ownership interest of the person filing is greater
5        than $5,000 fair market value as of the date of filing
6        or if dividends in excess of $1,200 were received from
7        the entity during the preceding calendar year. (In the
8        case of real estate, location thereof shall be listed
9        by street address, or if none, then by legal
10        description). No time or demand deposit in a financial
11        institution, nor any debt instrument need be listed.
12            (2) Except for professional service entities, the
13        name of any entity and any position held therein from
14        which income in excess of $1,200 was derived during the
15        preceding calendar year if the entity does business
16        with a unit of local government in relation to which
17        the person is required to file. No time or demand
18        deposit in a financial institution, nor any debt
19        instrument need be listed.
20            (3) The name of any entity and the nature of the
21        governmental action requested by any entity which has
22        applied to a unit of local government in relation to
23        which the person must file for any license, franchise
24        or permit for annexation, zoning or rezoning of real
25        estate during the preceding calendar year if the
26        ownership interest of the person filing is in excess of

 

 

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1        $5,000 fair market value at the time of filing or if
2        income or dividends in excess of $1,200 were received
3        by the person filing from the entity during the
4        preceding calendar year.
5    For the purposes of this Section, the unit of local
6government in relation to which a person required to file under
7item (e) (o) of Section 4A-101.5 4A-101 shall be the unit of
8local government that contributes to the pension fund of which
9such person is a member of the board.
10(Source: P.A. 96-6, eff. 4-3-09; 97-754, eff. 7-6-12.)
 
11    (5 ILCS 420/4A-105)  (from Ch. 127, par. 604A-105)
12    Sec. 4A-105. Time for filing. Except as provided in
13Section 4A-106.1, by May 1 of each year a statement must be
14filed by each person whose position at that time subjects him
15to the filing requirements of Section 4A-101 or 4A-101.5 unless
16he has already filed a statement in relation to the same unit
17of government in that calendar year.
18    Statements must also be filed as follows:
19        (a) A candidate for elective office shall file his
20    statement not later than the end of the period during which
21    he can take the action necessary under the laws of this
22    State to attempt to qualify for nomination, election, or
23    retention to such office if he has not filed a statement in
24    relation to the same unit of government within a year
25    preceding such action.

 

 

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1        (b) A person whose appointment to office is subject to
2    confirmation by the Senate shall file his statement at the
3    time his name is submitted to the Senate for confirmation.
4        (b-5) A special government agent, as defined in item
5    (1) of Section 4A-101 of this Act, shall file a statement
6    within 30 days after making the first ex parte
7    communication and each May 1 thereafter if he or she has
8    made an ex parte communication within the previous 12
9    months.
10        (c) Any other person required by this Article to file
11    the statement shall file a statement at the time of his or
12    her initial appointment or employment in relation to that
13    unit of government if appointed or employed by May 1.
14    If any person who is required to file a statement of
15economic interests fails to file such statement by May 1 of any
16year, the officer with whom such statement is to be filed under
17Section 4A-106 or 4A-106.5 of this Act shall, within 7 days
18after May 1, notify such person by certified mail of his or her
19failure to file by the specified date. Except as may be
20prescribed by rule of the Secretary of State, such person shall
21file his or her statement of economic interests on or before
22May 15 with the appropriate officer, together with a $15 late
23filing fee. Any such person who fails to file by May 15 shall
24be subject to a penalty of $100 for each day from May 16 to the
25date of filing, which shall be in addition to the $15 late
26filing fee specified above. Failure to file by May 31 shall

 

 

SB1784- 15 -LRB101 11042 RJF 56246 b

1result in a forfeiture in accordance with Section 4A-107 of
2this Act.
3    Any person who takes office or otherwise becomes required
4to file a statement of economic interests within 30 days prior
5to May 1 of any year may file his or her statement at any time
6on or before May 31 without penalty. If such person fails to
7file such statement by May 31, the officer with whom such
8statement is to be filed under Section 4A-106 or 4A-106.5 of
9this Act shall, within 7 days after May 31, notify such person
10by certified mail of his or her failure to file by the
11specified date. Such person shall file his or her statement of
12economic interests on or before June 15 with the appropriate
13officer, together with a $15 late filing fee. Any such person
14who fails to file by June 15 shall be subject to a penalty of
15$100 per day for each day from June 16 to the date of filing,
16which shall be in addition to the $15 late filing fee specified
17above. Failure to file by June 30 shall result in a forfeiture
18in accordance with Section 4A-107 of this Act.
19    All late filing fees and penalties collected pursuant to
20this Section shall be paid into the General Revenue Fund in the
21State treasury, if the Secretary of State receives such
22statement for filing, or into the general fund in the county
23treasury, if the county clerk receives such statement for
24filing. The Attorney General, with respect to the State, and
25the several State's Attorneys, with respect to counties, shall
26take appropriate action to collect the prescribed penalties.

 

 

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1    Failure to file a statement of economic interests within
2the time prescribed shall not result in a fine or ineligibility
3for, or forfeiture of, office or position of employment, as the
4case may be; provided that the failure to file results from not
5being included for notification by the appropriate agency,
6clerk, secretary, officer or unit of government, as the case
7may be, and that a statement is filed within 30 days of actual
8notice of the failure to file.
9    Beginning with statements required to be filed on or after
10May 1, 2009, the officer with whom a statement is to be filed
11may, in his or her discretion, waive the late filing fee, the
12monetary late filing penalty, and the ineligibility for or
13forfeiture of office or position for failure to file when the
14person's late filing of a statement or failure to file a
15statement is due to his or her (i) serious or catastrophic
16illness that renders the person temporarily incapable of
17completing the statement or (ii) military service.
18(Source: P.A. 96-550, eff. 8-17-09.)
 
19    (5 ILCS 420/4A-106)  (from Ch. 127, par. 604A-106)
20    Sec. 4A-106. Persons filing statements with Secretary of
21State; notice; certification of list of names; alphabetical
22list; receipt; examination and copying of statements. The
23statements of economic interests required of persons listed in
24items (a) through (f), item (j), item (l), item (n), and item
25(p) of Section 4A-101 shall be filed with the Secretary of

 

 

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1State. The statements of economic interests required of persons
2listed in items (g), (h), (i), (k), and (o) of Section 4A-101
3shall be filed with the county clerk of the county in which the
4principal office of the unit of local government with which the
5person is associated is located. If it is not apparent which
6county the principal office of a unit of local government is
7located, the chief administrative officer, or his or her
8designee, has the authority, for purposes of this Act, to
9determine the county in which the principal office is located.
10On or before February 1 annually, (1) the chief administrative
11officer of any State agency in the executive, legislative, or
12judicial branch employing persons required to file under item
13(f) or item (l) of Section 4A-101 and the chief administrative
14officer of a board or panel described in item (n) or (p) of
15Section 4A-101 shall certify to the Secretary of State the
16names and mailing addresses of those persons, and (2) the chief
17administrative officer, or his or her designee, of each unit of
18local government with persons described in items (h), (i) and
19(k) and a board described in item (o) of Section 4A-101 shall
20certify to the appropriate county clerk a list of names and
21addresses of persons described in items (h), (i), (k), and (o)
22of Section 4A-101 that are required to file. In preparing the
23lists, each chief administrative officer, or his or her
24designee, shall set out the names in alphabetical order.
25    On or before April 1 annually, the Secretary of State shall
26notify (1) all persons whose names have been certified to him

 

 

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1under items (f), (l), (n), and (p) of Section 4A-101, and (2)
2all persons described in items (a) through (e) and item (j) of
3Section 4A-101, other than candidates for office who have filed
4their statements with their nominating petitions, of the
5requirements for filing statements of economic interests. A
6person required to file with the Secretary of State by virtue
7of more than one position as listed in Section 4A-101, and
8filing his or her statement of economic interests in writing,
9rather than through the internet based system, item among items
10(a) through (f) and items (j), (l), (n), and (p) shall be
11notified of and is required to file only one statement of
12economic interests relating to all items under which the person
13is required to file with the Secretary of State.
14    On or before April 1 annually, the county clerk of each
15county shall notify all persons whose names have been certified
16to him under items (g), (h), (i), (k), and (o) of Section
174A-101, other than candidates for office who have filed their
18statements with their nominating petitions, of the
19requirements for filing statements of economic interests. A
20person required to file with a county clerk by virtue of more
21than one item among items (g), (h), (i), (k), and (o) shall be
22notified of and is required to file only one statement of
23economic interests relating to all items under which the person
24is required to file with that county clerk.
25    Except as provided in Section 4A-106.1, the notices
26provided for in this Section shall be in writing and deposited

 

 

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1in the U.S. Mail, properly addressed, first class postage
2prepaid, on or before the day required by this Section for the
3sending of the notice. Alternatively, a county clerk may send
4the notices electronically to all persons whose names have been
5thus certified to him under item (h), (i), or (k) of Section
64A-101. A certificate executed by the Secretary of State or
7county clerk attesting that he or she has sent the notice by
8the means permitted by this Section constitutes prima facie
9evidence thereof.
10    From the lists certified to him under this Section of
11persons described in items (g), (h), (i), (k), and (o) of
12Section 4A-101, the clerk of each county shall compile an
13alphabetical listing of persons required to file statements of
14economic interests in his office under any of those items. As
15the statements are filed in his office, the county clerk shall
16cause the fact of that filing to be indicated on the
17alphabetical listing of persons who are required to file
18statements. Within 30 days after the due dates, the county
19clerk shall mail to the State Board of Elections a true copy of
20that listing showing those who have filed statements.
21    The county clerk of each county shall note upon the
22alphabetical listing the names of all persons required to file
23a statement of economic interests who failed to file a
24statement on or before May 1. It shall be the duty of the
25several county clerks to give notice as provided in Section
264A-105 to any person who has failed to file his or her

 

 

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1statement with the clerk on or before May 1.
2    Any person who files or has filed a statement of economic
3interest under this Section Act is entitled to receive from the
4Secretary of State or county clerk, as the case may be, a
5receipt indicating that the person has filed such a statement,
6the date of such filing, and the identity of the governmental
7unit or units in relation to which the filing is required.
8    The Secretary of State may employ such employees and
9consultants as he considers necessary to carry out his duties
10hereunder, and may prescribe their duties, fix their
11compensation, and provide for reimbursement of their expenses.
12    All statements of economic interests filed under this
13Section shall be available for examination and copying by the
14public at all reasonable times. Not later than 12 months after
15the effective date of this amendatory Act of the 93rd General
16Assembly, beginning with statements filed in calendar year
172004, the Secretary of State shall make statements of economic
18interests filed with the Secretary available for inspection and
19copying via the Secretary's website.
20(Source: P.A. 96-6, eff. 4-3-09; 96-1336, eff. 1-1-11; 97-754,
21eff. 7-6-12.)
 
22    (5 ILCS 420/4A-106.5 new)
23    Sec. 4A-106.5. Persons filing statements with county
24clerk; notice; certification of list of names; alphabetical
25list; receipt; examination and copying of statements. The

 

 

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1statements of economic interests required of persons listed in
2Section 4A-101.5 shall be filed with the county clerk of the
3county in which the principal office of the unit of local
4government with which the person is associated is located. If
5it is not apparent which county the principal office of a unit
6of local government is located, the chief administrative
7officer, or his or her designee, has the authority, for
8purposes of this Act, to determine the county in which the
9principal office is located. The chief administrative officer,
10or his or her designee, of each unit of local government with
11persons described in Section 4A-101.5 shall certify to the
12appropriate county clerk a list of names and addresses of
13persons that are required to file. In preparing the lists, each
14chief administrative officer, or his or her designee, shall set
15out the names in alphabetical order.
16    On or before April 1 annually, the county clerk of each
17county shall notify all persons whose names have been certified
18to him under Section 4A-101.5, other than candidates for office
19who have filed their statements with their nominating
20petitions, of the requirements for filing statements of
21economic interests. A person required to file with a county
22clerk by virtue of more than one item among items set forth in
23Section 4A-101.5 shall be notified of and is required to file
24only one statement of economic interests relating to all items
25under which the person is required to file with that county
26clerk.

 

 

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1    Except as provided in Section 4A-106.1, the notices
2provided for in this Section shall be in writing and deposited
3in the U.S. Mail, properly addressed, first class postage
4prepaid, on or before the day required by this Section for the
5sending of the notice. Alternatively, a county clerk may send
6the notices electronically to all persons whose names have been
7thus certified to him. A certificate executed by county clerk
8attesting that he or she has sent the notice by the means
9permitted by this Section constitutes prima facie evidence
10thereof.
11    From the lists certified to him or her under this Section
12of persons described Section 4A-101.5, the clerk of each county
13shall compile an alphabetical listing of persons required to
14file statements of economic interests in his or her office
15under any of those items. As the statements are filed in his or
16her office, the county clerk shall cause the fact of that
17filing to be indicated on the alphabetical listing of persons
18who are required to file statements. Within 30 days after the
19due dates, the county clerk shall mail to the State Board of
20Elections a true copy of that listing showing those who have
21filed statements.
22    The county clerk of each county shall note upon the
23alphabetical listing the names of all persons required to file
24a statement of economic interests who failed to file a
25statement on or before May 1. It shall be the duty of the
26several county clerks to give notice as provided in Section

 

 

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14A-105 to any person who has failed to file his or her
2statement with the clerk on or before May 1.
3    Any person who files or has filed a statement of economic
4interest under this Section is entitled to receive from the
5county clerk a receipt indicating that the person has filed
6such a statement, the date of such filing, and the identity of
7the governmental unit or units in relation to which the filing
8is required.
9    All statements of economic interests filed under this
10Section shall be available for examination and copying by the
11public at all reasonable times.
 
12    (5 ILCS 420/4A-107)  (from Ch. 127, par. 604A-107)
13    Sec. 4A-107. Any person required to file a statement of
14economic interests under this Article who willfully files a
15false or incomplete statement shall be guilty of a Class A
16misdemeanor.
17    Except when the fees and penalties for late filing have
18been waived under Section 4A-105, failure to file a statement
19within the time prescribed shall result in ineligibility for,
20or forfeiture of, office or position of employment, as the case
21may be; provided, however, that if the notice of failure to
22file a statement of economic interests provided in Section
234A-105 of this Act is not given by the Secretary of State or
24the county clerk, as the case may be, no forfeiture shall
25result if a statement is filed within 30 days of actual notice

 

 

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1of the failure to file. The Secretary of State shall provide
2the Attorney General with the names of persons who failed to
3file a statement. The county clerk shall provide the State's
4Attorney of the county of the entity for which the filing of
5statement of economic interest is required with the name of
6persons who failed to file a statement.
7    The Attorney General, with respect to offices or positions
8described in items (a) through (f) and items (j), (l), (n), and
9(p) of Section 4A-101 of this Act, or the State's Attorney of
10the county of the entity for which the filing of statements of
11economic interests is required, with respect to offices or
12positions described in items (a) through (e) (g) through (i),
13item (k), and item (o) of Section 4A-101.5 4A-101 of this Act,
14shall bring an action in quo warranto against any person who
15has failed to file by either May 31 or June 30 of any given year
16and for whom the fees and penalties for late filing have not
17been waived under Section 4A-105.
18(Source: P.A. 96-6, eff. 4-3-09; 96-550, eff. 8-17-09; 96-1000,
19eff. 7-2-10; 97-754, eff. 7-6-12.)
 
20    (5 ILCS 420/4A-108)
21    Sec. 4A-108. Internet-based systems of filing.
22    (a) Notwithstanding any other provision of this Act or any
23other law, the Secretary of State and county clerks are
24authorized to institute an Internet-based system for the filing
25of statements of economic interests in their offices. With

 

 

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1respect to county clerk systems, the determination to institute
2such a system shall be in the sole discretion of the county
3clerk and shall meet the requirements set out in this Section.
4With respect to a Secretary of State system, the determination
5to institute such a system shall be in the sole discretion of
6the Secretary of State and shall meet the requirements set out
7in this Section and those Sections of the State Officials and
8Employees Ethics Act requiring ethics officer review prior to
9filing. The system shall be capable of allowing an ethics
10officer to approve a statement of economic interests and shall
11include a means to amend a statement of economic interests.
12When this Section does not modify or remove the requirements
13set forth elsewhere in this Article, those requirements shall
14apply to any system of Internet-based filing authorized by this
15Section. When this Section does modify or remove the
16requirements set forth elsewhere in this Article, the
17provisions of this Section shall apply to any system of
18Internet-based filing authorized by this Section.
19    (b) In any system of Internet-based filing of statements of
20economic interests instituted by the Secretary of State or a
21county clerk:
22        (1) Any filing of an Internet-based statement of
23    economic interests shall be the equivalent of the filing of
24    a verified, written statement of economic interests as
25    required by Section 4A-101 or 4A-101.5 and the equivalent
26    of the filing of a verified, dated, and signed statement of

 

 

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1    economic interests as required by Section 4A-104.
2        (2) The Secretary of State and county clerks who
3    institute a system of Internet-based filing of statements
4    of economic interests shall establish a password-protected
5    website to receive the filings of such statements. A
6    website established under this Section shall set forth and
7    provide a means of responding to the items set forth in
8    Section 4A-102 that are required of a person who files a
9    statement of economic interests with that officer. A
10    website established under this Section shall set forth and
11    provide a means of generating a printable receipt page
12    acknowledging filing.
13        (3) The times for the filing of statements of economic
14    interests set forth in Section 4A-105 shall be followed in
15    any system of Internet-based filing of statements of
16    economic interests; provided that a candidate for elective
17    office who is required to file a statement of economic
18    interests in relation to his or her candidacy pursuant to
19    Section 4A-105(a) shall receive a written or printed
20    receipt for his or her filing.
21        A candidate filing for Governor, Lieutenant Governor,
22    Attorney General, Secretary of State, Treasurer,
23    Comptroller, State Senate, or State House of
24    Representatives shall not use the Internet to file his or
25    her statement of economic interests, but shall file his or
26    her statement of economic interests in a written or printed

 

 

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1    form and shall receive a written or printed receipt for his
2    or her filing. Annually, the duly appointed ethics officer
3    for each legislative caucus shall certify to the Secretary
4    of State whether his or her caucus members will file their
5    statements of economic interests electronically or in a
6    written or printed format for that year. If the ethics
7    officer for a caucus certifies that the statements of
8    economic interests shall be written or printed, then
9    members of the General Assembly of that caucus shall not
10    use the Internet to file his or her statement of economic
11    interests, but shall file his or her statement of economic
12    interests in a written or printed form and shall receive a
13    written or printed receipt for his or her filing. If no
14    certification is made by an ethics officer for a
15    legislative caucus, or if a member of the General Assembly
16    is not affiliated with a legislative caucus, then the
17    affected member or members of the General Assembly may file
18    their statements of economic interests using the Internet.
19        (4) In the first year of the implementation of a system
20    of Internet-based filing of statements of economic
21    interests, each person required to file such a statement is
22    to be notified in writing of his or her obligation to file
23    his or her statement of economic interests by way of the
24    Internet-based system. If access to the web site requires a
25    code or password, this information shall be included in the
26    notice prescribed by this paragraph.

 

 

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1        (5) When a person required to file a statement of
2    economic interests has supplied the Secretary of State or a
3    county clerk, as applicable, with an email address for the
4    purpose of receiving notices under this Article by email, a
5    notice sent by email to the supplied email address shall be
6    the equivalent of a notice sent by first class mail, as set
7    forth in Section 4A-106 or 4A-106.5. A person who has
8    supplied such an email address shall notify the Secretary
9    of State or county clerk, as applicable, when his or her
10    email address changes or if he or she no longer wishes to
11    receive notices by email.
12        (6) If any person who is required to file a statement
13    of economic interests and who has chosen to receive notices
14    by email fails to file his or her statement by May 10, then
15    the Secretary of State or county clerk, as applicable,
16    shall send an additional email notice on that date,
17    informing the person that he or she has not filed and
18    describing the penalties for late filing and failing to
19    file. This notice shall be in addition to other notices
20    provided for in this Article.
21        (7) The Secretary of State and each county clerk who
22    institutes a system of Internet-based filing of statements
23    of economic interests may also institute an Internet-based
24    process for the filing of the list of names and addresses
25    of persons required to file statements of economic
26    interests by the chief administrative officers that must

 

 

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1    file such information with the Secretary of State or county
2    clerk, as applicable, pursuant to Section 4A-106 or
3    4A-106.5. Whenever the Secretary of State or a county clerk
4    institutes such a system under this paragraph, every chief
5    administrative officer must use the system to file this
6    information.
7        (8) The Secretary of State and any county clerk who
8    institutes a system of Internet-based filing of statements
9    of economic interests shall post the contents of such
10    statements filed with him or her available for inspection
11    and copying on a publicly accessible website. Such postings
12    shall not include the addresses or signatures of the
13    filers.
14        (9) A person required to file with the Secretary of
15    State by virtue of more than one position as listed in
16    Section 4A-101, and filing his or her statement of economic
17    interests through the Internet-based system, shall be
18    required to file an economic interest statement for each
19    relevant position for which the person is required to file
20    with the Secretary of State.
21    (c) Each ethics officer or administrator of each person
22required to file with the Secretary of State may require
23employees to file his or her statement of economic interests
24electronically using the Internet-based system.
25(Source: P.A. 99-108, eff. 7-22-15; 100-1041, eff. 1-1-19.)
 

 

 

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1    Section 10. The State Officials and Employees Ethics Act is
2amended by changing Section 20-23 as follows:
 
3    (5 ILCS 430/20-23)
4    Sec. 20-23. Ethics Officers. Each officer and the head of
5each State agency under the jurisdiction of the Executive
6Ethics Commission shall designate an Ethics Officer for the
7office or State agency. The board of each Regional Transit
8Board shall designate an Ethics Officer. Ethics Officers shall:
9        (1) act as liaisons between the State agency or
10    Regional Transit Board and the appropriate Executive
11    Inspector General and between the State agency or Regional
12    Transit Board and the Executive Ethics Commission;
13        (2) review statements of economic interest and
14    disclosure forms of officers, senior employees, and
15    contract monitors before they are filed with the Secretary
16    of State if statements of economic interest are filed by
17    hard copy. If the statements of economic interest are filed
18    online, the Ethics Officer shall review statements of
19    economic interest and disclosure forms of officers, senior
20    employees, and contract monitors within 15 days after the
21    filing deadline; and
22        (3) provide guidance to officers and employees in the
23    interpretation and implementation of this Act, which the
24    officer or employee may in good faith rely upon. Such
25    guidance shall be based, wherever possible, upon legal

 

 

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1    precedent in court decisions, opinions of the Attorney
2    General, and the findings and opinions of the Executive
3    Ethics Commission.
4(Source: P.A. 96-1528, eff. 7-1-11.)
 
5    Section 99. Effective date. This Act takes effect upon
6becoming law.