|
|||||||
| |||||||
| |||||||
1 | AN ACT concerning government.
| ||||||
2 | Be it enacted by the People of the State of Illinois,
| ||||||
3 | represented in the General Assembly:
| ||||||
4 | Section 3. The Illinois Governmental Ethics Act is amended | ||||||
5 | by changing Sections 4A-101, 4A-102, 4A-105, 4A-106, and 4A-107 | ||||||
6 | as follows: | ||||||
7 | (5 ILCS 420/4A-101) (from Ch. 127, par. 604A-101) | ||||||
8 | Sec. 4A-101. Persons required to file. The following | ||||||
9 | persons shall file
verified written statements of economic | ||||||
10 | interests, as provided in this Article:
| ||||||
11 | (a) Members of the General Assembly and candidates for | ||||||
12 | nomination or
election to the General Assembly.
| ||||||
13 | (b) Persons holding an elected office in the Executive | ||||||
14 | Branch of this
State, and candidates for nomination or | ||||||
15 | election to these offices.
| ||||||
16 | (c) Members of a Commission or Board created by the | ||||||
17 | Illinois Constitution,
and candidates for nomination or | ||||||
18 | election to such Commission or Board.
| ||||||
19 | (d) Persons whose appointment to office is subject to | ||||||
20 | confirmation by
the Senate.
| ||||||
21 | (e) Holders of, and candidates for nomination or | ||||||
22 | election to, the office
of judge or associate judge of the | ||||||
23 | Circuit Court and the office of judge of
the Appellate or | ||||||
24 | Supreme Court.
| ||||||
25 | (f) Persons who are employed by any branch, agency, | ||||||
26 | authority or board
of the government of this State, | ||||||
27 | including but not limited to, the Illinois
State Toll | ||||||
28 | Highway Authority, the Illinois Housing Development | ||||||
29 | Authority,
the Illinois Community College Board, and | ||||||
30 | institutions under the
jurisdiction of the Board of | ||||||
31 | Trustees
of the University of Illinois, Board of Trustees | ||||||
32 | of Southern Illinois
University, Board of Trustees of |
| |||||||
| |||||||
1 | Chicago State University,
Board of Trustees of Eastern | ||||||
2 | Illinois University, Board of Trustees of
Governor's State | ||||||
3 | University, Board of Trustees of Illinois State | ||||||
4 | University,
Board of Trustees of Northeastern Illinois | ||||||
5 | University, Board of Trustees of
Northern Illinois | ||||||
6 | University, Board of Trustees of Western Illinois
| ||||||
7 | University, or Board of Trustees of the Illinois | ||||||
8 | Mathematics and Science
Academy, and are compensated for | ||||||
9 | services as employees and not as
independent contractors | ||||||
10 | and who:
| ||||||
11 | (1) are, or function as, the head of a department, | ||||||
12 | commission, board,
division, bureau, authority or | ||||||
13 | other administrative unit within the
government of | ||||||
14 | this State, or who exercise similar authority within | ||||||
15 | the
government of this State;
| ||||||
16 | (2) have direct supervisory authority over, or | ||||||
17 | direct responsibility for
the formulation, | ||||||
18 | negotiation, issuance or execution of contracts | ||||||
19 | entered into
by the State in the amount of $5,000 or | ||||||
20 | more;
| ||||||
21 | (3) have authority for the issuance or | ||||||
22 | promulgation of rules and
regulations within areas | ||||||
23 | under the authority of the State;
| ||||||
24 | (4) have authority for the approval of | ||||||
25 | professional licenses;
| ||||||
26 | (5) have responsibility with respect to the | ||||||
27 | financial inspection
of regulated nongovernmental | ||||||
28 | entities;
| ||||||
29 | (6) adjudicate, arbitrate, or decide any judicial | ||||||
30 | or administrative
proceeding, or review the | ||||||
31 | adjudication, arbitration or decision of any judicial
| ||||||
32 | or administrative proceeding within the authority of | ||||||
33 | the State;
| ||||||
34 | (7) have supervisory responsibility for 20 or more | ||||||
35 | employees of the
State; or
| ||||||
36 | (8) negotiate, assign, authorize, or grant naming |
| |||||||
| |||||||
1 | rights or sponsorship rights regarding any property or | ||||||
2 | asset of the State, whether real, personal, tangible, | ||||||
3 | or intangible.
| ||||||
4 | (g) Persons who are elected to office in a unit of | ||||||
5 | local government,
and candidates for nomination or | ||||||
6 | election to that office, including regional
| ||||||
7 | superintendents of school districts.
| ||||||
8 | (h) Persons appointed to the governing board of a unit | ||||||
9 | of local
government, or of a special district, and persons | ||||||
10 | appointed to a zoning
board, or zoning board of appeals, or | ||||||
11 | to a regional, county, or municipal
plan commission, or to | ||||||
12 | a board of review of any county, and persons
appointed to | ||||||
13 | the Board of the Metropolitan Pier and Exposition Authority
| ||||||
14 | and any Trustee appointed under Section 22 of the | ||||||
15 | Metropolitan Pier and
Exposition Authority Act, and | ||||||
16 | persons appointed to a board or commission of
a unit of | ||||||
17 | local government who have authority to authorize the | ||||||
18 | expenditure of
public funds. This subsection does not apply | ||||||
19 | to members of boards or
commissions who function in an | ||||||
20 | advisory capacity.
| ||||||
21 | (i) Persons who are employed by a unit of local | ||||||
22 | government and are
compensated for services as employees | ||||||
23 | and not as independent contractors and
who:
| ||||||
24 | (1) are, or function as, the head of a department, | ||||||
25 | division, bureau,
authority or other administrative | ||||||
26 | unit within the unit of local
government, or who | ||||||
27 | exercise similar authority within the unit of local
| ||||||
28 | government;
| ||||||
29 | (2) have direct supervisory authority over, or | ||||||
30 | direct responsibility for
the formulation, | ||||||
31 | negotiation, issuance or execution of contracts | ||||||
32 | entered into
by the unit of local government in the | ||||||
33 | amount of $1,000 or greater;
| ||||||
34 | (3) have authority to approve licenses
and permits | ||||||
35 | by the unit of local government; this item does not | ||||||
36 | include
employees who function in a ministerial |
| |||||||
| |||||||
1 | capacity;
| ||||||
2 | (4) adjudicate, arbitrate, or decide any judicial | ||||||
3 | or administrative
proceeding, or review the | ||||||
4 | adjudication, arbitration or decision of any judicial
| ||||||
5 | or administrative proceeding within the authority of | ||||||
6 | the unit of local
government;
| ||||||
7 | (5) have authority to issue or promulgate rules and | ||||||
8 | regulations within
areas under the authority of the | ||||||
9 | unit of local government; or
| ||||||
10 | (6) have supervisory responsibility for 20 or more | ||||||
11 | employees of the
unit of local government.
| ||||||
12 | (j) Persons on the Board of Trustees of the Illinois | ||||||
13 | Mathematics and
Science Academy.
| ||||||
14 | (k) Persons employed by a school district in positions | ||||||
15 | that
require that
person to hold an administrative or a | ||||||
16 | chief school business official
endorsement.
| ||||||
17 | (l) Special government agents. A "special government | ||||||
18 | agent" is a
person who is directed, retained, designated, | ||||||
19 | appointed, or
employed, with or without compensation, by or | ||||||
20 | on behalf of a
statewide executive branch constitutional | ||||||
21 | officer to make an ex
parte communication under Section | ||||||
22 | 5-50 of the State Officials and
Employees Ethics Act or | ||||||
23 | Section 5-165 of the Illinois
Administrative Procedure | ||||||
24 | Act.
| ||||||
25 | (m) Members of the board of any pension fund or | ||||||
26 | retirement system established under Article 2, 14, 15, 16, | ||||||
27 | or 18 of the Illinois Pension Code and members of the | ||||||
28 | Illinois State Board of Investment, if not required to file | ||||||
29 | under any other provision of this Section.
| ||||||
30 | (n) Members of the board of any pension fund or | ||||||
31 | retirement system established under Article 3, 4, 5, 6, 7, | ||||||
32 | 8, 9, 10, 11, 12, 13, 17, 19, or 22 of the Illinois Pension | ||||||
33 | Code, if not required to file under any other provision of | ||||||
34 | this Section.
| ||||||
35 | This Section shall not be construed to prevent any unit of | ||||||
36 | local government
from enacting financial disclosure |
| |||||||
| |||||||
1 | requirements that mandate
more information
than required by | ||||||
2 | this Act.
| ||||||
3 | (Source: P.A. 93-617, eff. 12-9-03; 93-816, eff. 7-27-04.)
| ||||||
4 | (5 ILCS 420/4A-102) (from Ch. 127, par. 604A-102)
| ||||||
5 | Sec. 4A-102. The statement of economic interests required | ||||||
6 | by this Article
shall include the economic interests of the | ||||||
7 | person making the statement as
provided in this Section. The | ||||||
8 | interest (if constructively controlled by the
person making the | ||||||
9 | statement) of a spouse or any other party, shall be
considered | ||||||
10 | to be the same as the interest of the person making the
| ||||||
11 | statement. Campaign receipts shall not be included in this | ||||||
12 | statement.
| ||||||
13 | (a) The following interests shall be listed by all persons | ||||||
14 | required to
file:
| ||||||
15 | (1) The name, address and type of practice of any | ||||||
16 | professional
organization or individual professional | ||||||
17 | practice in which the person making
the statement was an | ||||||
18 | officer, director, associate, partner or proprietor,
or | ||||||
19 | served in any advisory capacity, from which income in | ||||||
20 | excess of $1200
was derived during the preceding calendar | ||||||
21 | year;
| ||||||
22 | (2) The nature of professional services (other than | ||||||
23 | services rendered to
the unit or units of government in | ||||||
24 | relation to which the person is required
to file)
and the | ||||||
25 | nature of the entity to which they were rendered if fees | ||||||
26 | exceeding
$5,000 were received during the preceding | ||||||
27 | calendar year from the entity for
professional services | ||||||
28 | rendered by the person making the statement.
| ||||||
29 | (3) The identity (including the address or legal | ||||||
30 | description of real
estate) of any capital asset from which | ||||||
31 | a capital gain of $5,000 or more
was realized in the | ||||||
32 | preceding calendar year.
| ||||||
33 | (4) The name of any unit of government which has | ||||||
34 | employed the person
making the statement during the | ||||||
35 | preceding calendar year other than the unit
or units of |
| |||||||
| |||||||
1 | government in relation to which the person is required to | ||||||
2 | file.
| ||||||
3 | (5) The name of any entity from which a gift or gifts, | ||||||
4 | or honorarium or
honoraria, valued singly or in the | ||||||
5 | aggregate in excess of $500, was
received during the | ||||||
6 | preceding calendar year.
| ||||||
7 | (b) The following interests shall also be listed by persons | ||||||
8 | listed in
items (a) through (f) ,
and item (l) , and item (m) of | ||||||
9 | Section 4A-101:
| ||||||
10 | (1) The name and instrument of ownership in any entity | ||||||
11 | doing business in
the State of Illinois, in which an | ||||||
12 | ownership interest held by the person at
the date of filing | ||||||
13 | is in excess of $5,000 fair market value or from which
| ||||||
14 | dividends of in excess of $1,200 were derived during the | ||||||
15 | preceding calendar
year. (In the case of real estate, | ||||||
16 | location thereof shall be listed by
street address, or if | ||||||
17 | none, then by legal description). No time or demand
deposit | ||||||
18 | in a financial institution, nor any debt instrument need be | ||||||
19 | listed;
| ||||||
20 | (2) Except for professional service entities, the name | ||||||
21 | of any entity and
any position held therein from which | ||||||
22 | income of in excess of $1,200 was
derived during the | ||||||
23 | preceding calendar year, if the entity does business in
the | ||||||
24 | State of Illinois. No time or demand deposit in a financial
| ||||||
25 | institution, nor any debt instrument need be listed.
| ||||||
26 | (3) The identity of any compensated lobbyist with whom | ||||||
27 | the person making
the statement maintains a close economic | ||||||
28 | association, including the name of
the lobbyist and | ||||||
29 | specifying the legislative matter or matters which are the
| ||||||
30 | object of the lobbying activity, and describing the general | ||||||
31 | type of
economic activity of the client or principal on | ||||||
32 | whose behalf that person is
lobbying.
| ||||||
33 | (c) The following interests shall also be listed by persons | ||||||
34 | listed in
items (g), (h), and (i) , and (n) of Section 4A-101:
| ||||||
35 | (1) The name and instrument of ownership in any entity | ||||||
36 | doing business
with a unit of local government in relation |
| |||||||
| |||||||
1 | to which the person is
required to file if the ownership | ||||||
2 | interest of the person filing is greater
than $5,000 fair | ||||||
3 | market value as of the date of filing or if dividends in
| ||||||
4 | excess of $1,200 were received from the entity during the | ||||||
5 | preceding
calendar year. (In the case of real estate, | ||||||
6 | location thereof shall be
listed by street address, or if | ||||||
7 | none, then by legal description). No time
or demand deposit | ||||||
8 | in a financial institution, nor any debt instrument need
be | ||||||
9 | listed.
| ||||||
10 | (2) Except for professional service entities, the name | ||||||
11 | of any entity and
any position held therein from which | ||||||
12 | income in excess of $1,200 was derived
during the preceding | ||||||
13 | calendar year if the entity does business with a
unit of | ||||||
14 | local government in relation to which the person is | ||||||
15 | required to
file. No time or demand deposit in a financial | ||||||
16 | institution, nor any debt
instrument need be listed.
| ||||||
17 | (3) The name of any entity and the nature of the | ||||||
18 | governmental action
requested by any entity which has | ||||||
19 | applied to a unit of local
government
in relation to which | ||||||
20 | the person must file for any license, franchise or
permit | ||||||
21 | for annexation, zoning or rezoning of real estate during | ||||||
22 | the
preceding calendar year if the ownership interest of | ||||||
23 | the person filing is
in excess of $5,000 fair market value | ||||||
24 | at the time of filing or if income or
dividends in excess | ||||||
25 | of $1,200 were received by the person filing from the
| ||||||
26 | entity during the preceding calendar year.
| ||||||
27 | (Source: P.A. 92-101, eff. 1-1-02; 93-617, eff. 12-9-03.)
| ||||||
28 | (5 ILCS 420/4A-105) (from Ch. 127, par. 604A-105)
| ||||||
29 | Sec. 4A-105. Time for filing. Except as provided in | ||||||
30 | Section 4A-106.1, by
May 1 of each year a statement must be | ||||||
31 | filed by each person
whose position at that time subjects him | ||||||
32 | to the filing requirements of Section
4A-101 unless he has | ||||||
33 | already filed a statement in relation to the same unit of
| ||||||
34 | government in that calendar year.
| ||||||
35 | Statements must also be filed as follows:
|
| |||||||
| |||||||
1 | (a) A candidate for elective office shall file his | ||||||
2 | statement not later
than the end of the period during which | ||||||
3 | he can take the action necessary
under the laws of this | ||||||
4 | State to attempt to qualify for nomination, election, or
| ||||||
5 | retention to such office if he has not filed a statement in | ||||||
6 | relation to the
same unit of government within a year | ||||||
7 | preceding such action.
| ||||||
8 | (b) A person whose appointment to office is subject to | ||||||
9 | confirmation by
the Senate shall file his statement at the | ||||||
10 | time his name is submitted to
the Senate for confirmation.
| ||||||
11 | (b-5) A special government agent, as defined in
item | ||||||
12 | (1) of Section 4A-101 of this Act, shall file a statement | ||||||
13 | within 60 days after assuming responsibilities as a special | ||||||
14 | government agent
30 days
after
making the first ex parte | ||||||
15 | communication and each May 1 thereafter if he or she
has | ||||||
16 | made an ex parte communication within the previous 12 | ||||||
17 | months.
| ||||||
18 | (c) Any other person required by this Article to file | ||||||
19 | the statement
shall file a statement at the time of his or | ||||||
20 | her initial appointment or
employment in relation to that | ||||||
21 | unit of government if appointed or employed by
May 1.
| ||||||
22 | If any person who is required to file a statement of | ||||||
23 | economic interests
fails to file such statement by May 1 of any | ||||||
24 | year, the officer with whom
such statement is to be filed under | ||||||
25 | Section 4A-106 of this Act shall,
within 7 days after May 1, | ||||||
26 | notify such person by certified mail of his or
her failure to | ||||||
27 | file by the specified date. Except as may be prescribed by
rule | ||||||
28 | of the Secretary of State, such person shall file his or
her | ||||||
29 | statement of economic interests on or before May 15 with the
| ||||||
30 | appropriate officer, together with a $15 late filing fee. Any | ||||||
31 | such person
who fails to file by May 15 shall be subject to a | ||||||
32 | penalty of $100 for each
day from May 16 to the date of filing, | ||||||
33 | which shall be in addition to the $15
late filing fee specified | ||||||
34 | above. Failure to file by May 31 shall result in a
forfeiture | ||||||
35 | in accordance with Section 4A-107 of this Act.
| ||||||
36 | Any person who takes office or otherwise becomes required |
| |||||||
| |||||||
1 | to file a
statement of economic interests within 30 days prior | ||||||
2 | to May 1 of any year
may file his or her statement at any time | ||||||
3 | on or before May 31 without
penalty. If such person fails to | ||||||
4 | file such statement by May 31, the
officer with whom such | ||||||
5 | statement is to be filed under Section 4A-106 of
this Act | ||||||
6 | shall, within 7 days after May 31, notify such person by | ||||||
7 | certified
mail of his or her failure to file by the specified | ||||||
8 | date. Such person
shall file his or her statement of economic | ||||||
9 | interests on or before June 15 with
the appropriate officer, | ||||||
10 | together with a $15 late filing fee. Any such
person who fails | ||||||
11 | to file by June 15 shall be subject to a penalty of $100
per day | ||||||
12 | for each day from June 16 to the date of filing, which shall be | ||||||
13 | in
addition to the $15 late filing fee specified above. Failure | ||||||
14 | to file by June
30 shall result in a forfeiture in accordance | ||||||
15 | with Section 4A-107 of this Act.
| ||||||
16 | All late filing fees and penalties collected pursuant to | ||||||
17 | this Section
shall be paid into the General Revenue Fund in the | ||||||
18 | State treasury, if the
Secretary of State receives such | ||||||
19 | statement for filing, or into the general
fund in the county | ||||||
20 | treasury, if the county clerk receives such statement
for | ||||||
21 | filing. The Attorney General, with respect to the State, and | ||||||
22 | the
several State's Attorneys, with respect to counties, shall | ||||||
23 | take appropriate
action to collect the prescribed penalties.
| ||||||
24 | Failure to file a statement of economic interests within | ||||||
25 | the time
prescribed shall not result in a fine or ineligibility | ||||||
26 | for, or forfeiture of,
office or position of employment, as the | ||||||
27 | case may be; provided that the failure
to file results from not | ||||||
28 | being included for notification by the appropriate
agency, | ||||||
29 | clerk, secretary, officer or unit of government, as the case | ||||||
30 | may be,
and that a statement is filed within 30 days of actual | ||||||
31 | notice of the failure to
file.
| ||||||
32 | (Source: P.A. 93-617, eff. 12-9-03.)
| ||||||
33 | (5 ILCS 420/4A-106) (from Ch. 127, par. 604A-106) | ||||||
34 | Sec. 4A-106. The statements of economic interests required | ||||||
35 | of persons
listed in items (a) through (f), item (j), and item |
| |||||||
| |||||||
1 | (l) , and item (m) of
Section 4A-101 shall be
filed with the | ||||||
2 | Secretary of State. The statements of economic interests
| ||||||
3 | required of persons listed in items (g), (h), (i), and (k) , and | ||||||
4 | (n) of
Section
4A-101 shall be filed with the county clerk of | ||||||
5 | the county in which the
principal office of the unit of local | ||||||
6 | government with which the person is
associated is located. If | ||||||
7 | it is not apparent which county the principal office
of a unit | ||||||
8 | of local government is located, the chief administrative | ||||||
9 | officer, or
his or her designee, has the authority, for | ||||||
10 | purposes of this Act, to determine
the county in which the | ||||||
11 | principal office is located. On or before February 1
annually, | ||||||
12 | (1) the chief administrative officer of any State agency in the
| ||||||
13 | executive, legislative, or judicial branch employing persons | ||||||
14 | required to file
under item (f) or item (l) of Section
4A-101 | ||||||
15 | and the chief administrative officer of a board described in | ||||||
16 | item (m) of Section 4A-101 shall certify to the Secretary of | ||||||
17 | State the names and mailing addresses
of those persons required | ||||||
18 | to file under those items , and (2) the chief administrative | ||||||
19 | officer, or his or her
designee, of each unit of local | ||||||
20 | government with persons described in items (h),
(i) ,
and (k) , | ||||||
21 | and (n) of Section 4A-101 shall certify to the appropriate | ||||||
22 | county clerk a
list of names and addresses of persons described | ||||||
23 | in items (h), (i) ,
and (k) , and (n) of
Section 4A-101 that are | ||||||
24 | required to file. In preparing the lists, each chief
| ||||||
25 | administrative officer, or his or her designee, shall set out | ||||||
26 | the names in
alphabetical order.
| ||||||
27 | On or before April 1 annually, the Secretary of State shall | ||||||
28 | notify (1)
all persons whose names have been certified to him | ||||||
29 | under items (f) ,
and (l) , and (m) of
Section 4A-101, and (2) | ||||||
30 | all persons described in items (a) through (e) and
item (j) of | ||||||
31 | Section 4A-101, other than candidates for office who have filed
| ||||||
32 | their statements with their nominating petitions, of the | ||||||
33 | requirements for
filing statements of economic interests.
A | ||||||
34 | person required to file with the Secretary of State by virtue | ||||||
35 | of more than
one item among items (a) through (f) and items | ||||||
36 | (j) ,
and (l) , and (m)
shall be notified of and is
required
to |
| |||||||
| |||||||
1 | file only one statement of economic interests relating to all | ||||||
2 | items under
which the person is required to file with the | ||||||
3 | Secretary of State.
| ||||||
4 | On or before April 1 annually, the county clerk of each | ||||||
5 | county shall
notify all persons whose names have been certified | ||||||
6 | to him under items (g),
(h), (i), and (k) , and (n) of Section | ||||||
7 | 4A-101, other than candidates
for office who have filed their | ||||||
8 | statements with their nominating petitions, of
the | ||||||
9 | requirements for filing statements of economic interests.
A | ||||||
10 | person required to file with a county clerk by virtue of more | ||||||
11 | than one item
among items (g), (h), (i), and (k) , and (n) shall | ||||||
12 | be notified of and is
required to
file only one statement of | ||||||
13 | economic interests relating to all items under which
the person | ||||||
14 | is required to file with that county clerk.
| ||||||
15 | Except as provided in Section 4A-106.1, the notices | ||||||
16 | provided for in this
Section shall be in writing and deposited | ||||||
17 | in
the U.S. Mail, properly addressed, first class postage | ||||||
18 | prepaid, on or before
the day required by this Section for the | ||||||
19 | sending of the notice. A certificate
executed by the Secretary | ||||||
20 | of State or county clerk attesting that he has mailed
the | ||||||
21 | notice constitutes prima facie evidence thereof.
| ||||||
22 | From the lists certified to him under this Section of | ||||||
23 | persons described in
items (g), (h), (i), and (k) , and (n) of | ||||||
24 | Section 4A-101, the clerk
of each county shall
compile an | ||||||
25 | alphabetical listing of persons required to file statements of
| ||||||
26 | economic interests in his office under any of those items. As | ||||||
27 | the
statements are filed in his office, the county clerk shall | ||||||
28 | cause the fact
of that filing to be indicated on the | ||||||
29 | alphabetical listing of persons who
are required to file | ||||||
30 | statements. Within 30 days after the due dates, the county
| ||||||
31 | clerk shall mail to the State Board of Elections a true copy of | ||||||
32 | that listing
showing those who have filed statements.
| ||||||
33 | The county clerk of each county shall note upon the | ||||||
34 | alphabetical listing
the names of all persons required to file | ||||||
35 | a statement of economic interests
who failed to file a | ||||||
36 | statement on or before May 1. It shall be the duty of
the |
| |||||||
| |||||||
1 | several county clerks to give notice as provided in Section | ||||||
2 | 4A-105 to
any person who has failed to file his or her | ||||||
3 | statement with the clerk on or
before May 1.
| ||||||
4 | Any person who files or has filed a statement of economic | ||||||
5 | interest
under this Act is entitled to receive from the | ||||||
6 | Secretary of State or county
clerk, as the case may be, a | ||||||
7 | receipt indicating that the person has filed
such a statement, | ||||||
8 | the date of such filing, and the identity of the
governmental | ||||||
9 | unit or units in relation to which the filing is required.
| ||||||
10 | The Secretary of State may employ such employees and | ||||||
11 | consultants
as he considers necessary to carry out his duties | ||||||
12 | hereunder, and may
prescribe their duties, fix their | ||||||
13 | compensation, and provide for
reimbursement of their expenses.
| ||||||
14 | All statements of economic interests filed under this | ||||||
15 | Section shall be
available for examination and copying by the | ||||||
16 | public at all reasonable times.
Not later than 12 months after | ||||||
17 | the effective date of this amendatory Act of
the 93rd General | ||||||
18 | Assembly, beginning with statements filed in calendar year
| ||||||
19 | 2004, the Secretary of State shall make statements of economic | ||||||
20 | interests filed
with the Secretary available for inspection and | ||||||
21 | copying via the Secretary's
website.
| ||||||
22 | (Source: P.A. 93-617, eff. 12-9-03; 94-603, eff. 8-16-05.)
| ||||||
23 | (5 ILCS 420/4A-107) (from Ch. 127, par. 604A-107)
| ||||||
24 | Sec. 4A-107. Any person required to file a statement of | ||||||
25 | economic interests
under this Article who willfully files a | ||||||
26 | false or incomplete statement shall be
guilty of a Class A | ||||||
27 | misdemeanor.
| ||||||
28 | Failure to file a statement within the time prescribed | ||||||
29 | shall result in
ineligibility for, or forfeiture of, office or | ||||||
30 | position of employment, as
the case may be; provided, however, | ||||||
31 | that if the notice of failure to
file a statement of economic | ||||||
32 | interests provided in Section 4A-105 of this
Act is not given | ||||||
33 | by the Secretary of State or the county clerk, as the case
may | ||||||
34 | be, no forfeiture shall result if a statement is filed within | ||||||
35 | 30 days
of actual notice of the failure to file.
|
| |||||||
| |||||||
1 | The Attorney General, with respect to offices or positions | ||||||
2 | described in
items (a) through (f) and items (j) ,
and (l) , and | ||||||
3 | (m) of Section 4A-101 of this
Act, or the State's
Attorney of | ||||||
4 | the county of the entity for which the filing of statements of
| ||||||
5 | economic interests is required, with respect to offices or | ||||||
6 | positions
described in items (g) through (i) ,
and item (k) , and | ||||||
7 | item (n) of
Section
4A-101 of this Act,
shall bring an action | ||||||
8 | in quo warranto against any person who has failed to file
by | ||||||
9 | either May 31 or June 30 of any given year.
| ||||||
10 | (Source: P.A. 93-617, eff. 12-9-03.)
| ||||||
11 | Section 5. The State Officials and Employees Ethics Act is | ||||||
12 | amended by changing Sections 1-5, 5-10, 5-20, 5-45, 20-5, | ||||||
13 | 20-23, 20-40, 25-5, 25-10, and 25-23 as follows: | ||||||
14 | (5 ILCS 430/1-5)
| ||||||
15 | Sec. 1-5. Definitions. As used in this Act:
| ||||||
16 | "Appointee" means a person appointed to a position in or | ||||||
17 | with a State
agency, regardless of whether the position is | ||||||
18 | compensated.
| ||||||
19 | "Campaign for elective office" means any activity in | ||||||
20 | furtherance of an
effort to influence the selection, | ||||||
21 | nomination, election, or appointment of any
individual to any | ||||||
22 | federal, State, or local public office or office in a
political | ||||||
23 | organization, or the selection, nomination, or election
of | ||||||
24 | Presidential or Vice-Presidential electors,
but does not | ||||||
25 | include
activities (i) relating to the support or opposition of | ||||||
26 | any executive,
legislative, or administrative action (as those | ||||||
27 | terms are defined in Section 2
of the Lobbyist Registration | ||||||
28 | Act), (ii) relating to collective bargaining, or
(iii) that are | ||||||
29 | otherwise in furtherance of the person's official State duties.
| ||||||
30 | "Candidate" means a person who has
filed nominating papers | ||||||
31 | or petitions for nomination or election to an elected
State | ||||||
32 | office, or who has been appointed to fill a vacancy in | ||||||
33 | nomination, and
who remains eligible for placement on the | ||||||
34 | ballot at either a
general primary election or general |
| |||||||
| |||||||
1 | election.
| ||||||
2 | "Collective bargaining" has the same meaning as that term | ||||||
3 | is defined in
Section 3 of the Illinois Public Labor Relations | ||||||
4 | Act.
| ||||||
5 | "Commission" means an ethics commission created by this | ||||||
6 | Act.
| ||||||
7 | "Compensated time" means any time worked by or credited to | ||||||
8 | a State employee
that counts
toward any minimum work time | ||||||
9 | requirement imposed as a condition of employment
with a State | ||||||
10 | agency, but does not include any designated State holidays or | ||||||
11 | any
period when the employee is on a
leave of absence.
| ||||||
12 | "Compensatory time off" means authorized time off earned by | ||||||
13 | or awarded to a
State employee to compensate in whole or in | ||||||
14 | part for time worked in excess of
the minimum work time | ||||||
15 | required
of that employee as a condition of employment with a | ||||||
16 | State agency.
| ||||||
17 | "Contribution" has the same meaning as that term is defined | ||||||
18 | in Section 9-1.4
of the Election Code.
| ||||||
19 | "Employee" means (i) any person employed full-time, | ||||||
20 | part-time, or
pursuant to a contract and whose employment | ||||||
21 | duties are subject to the direction
and
control of an employer | ||||||
22 | with regard to the material details of how the work is
to be | ||||||
23 | performed ,
or (ii) any appointed or elected commissioner, | ||||||
24 | trustee, director, or board member of a board of a State | ||||||
25 | agency, or (iii) any other appointee.
| ||||||
26 | "Executive branch constitutional officer" means the | ||||||
27 | Governor, Lieutenant
Governor, Attorney General, Secretary of | ||||||
28 | State, Comptroller, and Treasurer.
| ||||||
29 | "Gift" means any gratuity, discount, entertainment, | ||||||
30 | hospitality, loan,
forbearance, or other tangible or | ||||||
31 | intangible item having monetary value
including, but not
| ||||||
32 | limited to, cash, food and drink, and honoraria for speaking | ||||||
33 | engagements
related to or attributable to government | ||||||
34 | employment or the official position of
an
employee, member, or | ||||||
35 | officer.
"Gift", however, does not include anything of value | ||||||
36 | solicited from a prohibited source by an officer, member, or |
| |||||||
| |||||||
1 | employee and given by the prohibited source to a not-for-profit | ||||||
2 | organization organized under Section 501(c)(3) of the Internal | ||||||
3 | Revenue Code of 1986, as now or hereafter amended, renumbered, | ||||||
4 | or succeeded. The amendment to the definition of "gift" made by | ||||||
5 | this amendatory Act of the 94th General Assembly is declarative | ||||||
6 | of existing law.
| ||||||
7 | "Governmental entity" means a unit of local government or a | ||||||
8 | school
district but not a State
agency.
| ||||||
9 | "Leave of absence" means any period during which a State | ||||||
10 | employee does not
receive (i) compensation for State | ||||||
11 | employment, (ii) service credit towards
State pension | ||||||
12 | benefits, and (iii) health insurance benefits paid for by the
| ||||||
13 | State.
| ||||||
14 | "Legislative branch constitutional officer" means a member | ||||||
15 | of the General
Assembly and the Auditor General.
| ||||||
16 | "Legislative leader" means the President and Minority | ||||||
17 | Leader of the Senate
and the Speaker and Minority Leader of the | ||||||
18 | House of Representatives.
| ||||||
19 | "Member" means a member of the General Assembly.
| ||||||
20 | "Officer" means an executive branch constitutional officer
| ||||||
21 | or a
legislative branch constitutional officer.
| ||||||
22 | "Political" means any activity in support
of or in | ||||||
23 | connection with any campaign for elective office or any | ||||||
24 | political
organization, but does not include activities (i) | ||||||
25 | relating to the support or
opposition of any executive, | ||||||
26 | legislative, or administrative action (as those
terms are | ||||||
27 | defined in Section 2 of the Lobbyist Registration Act), (ii) | ||||||
28 | relating
to collective bargaining, or (iii) that are
otherwise
| ||||||
29 | in furtherance of the person's official
State duties or | ||||||
30 | governmental and public service functions.
| ||||||
31 | "Political organization" means a party, committee, | ||||||
32 | association, fund, or
other organization (whether or not | ||||||
33 | incorporated) that is required to file a
statement of | ||||||
34 | organization with the State Board of Elections or a county | ||||||
35 | clerk
under Section 9-3 of the Election Code, but only with | ||||||
36 | regard to those
activities that require filing with the State |
| |||||||
| |||||||
1 | Board of Elections or a county
clerk.
| ||||||
2 | "Prohibited political activity" means:
| ||||||
3 | (1) Preparing for, organizing, or participating in any
| ||||||
4 | political meeting, political rally, political | ||||||
5 | demonstration, or other political
event.
| ||||||
6 | (2) Soliciting contributions, including but not | ||||||
7 | limited to the purchase
of, selling, distributing, or | ||||||
8 | receiving
payment for tickets for any political | ||||||
9 | fundraiser,
political meeting, or other political event.
| ||||||
10 | (3) Soliciting, planning the solicitation of, or | ||||||
11 | preparing any document or
report regarding any thing of | ||||||
12 | value intended as a campaign contribution.
| ||||||
13 | (4) Planning, conducting, or participating in a public | ||||||
14 | opinion
poll in connection with a campaign for elective | ||||||
15 | office or on behalf of a
political organization for | ||||||
16 | political purposes or for or against any referendum
| ||||||
17 | question.
| ||||||
18 | (5) Surveying or gathering information from potential | ||||||
19 | or actual
voters in an election to determine probable vote | ||||||
20 | outcome in connection with a
campaign for elective office | ||||||
21 | or on behalf of a political organization for
political | ||||||
22 | purposes or for or against any referendum question.
| ||||||
23 | (6) Assisting at the polls on election day on behalf of | ||||||
24 | any
political organization or candidate for elective | ||||||
25 | office or for or against any
referendum
question.
| ||||||
26 | (7) Soliciting votes on behalf of a candidate for | ||||||
27 | elective office or a
political organization or for or | ||||||
28 | against any referendum question or helping in
an effort to | ||||||
29 | get voters
to the polls.
| ||||||
30 | (8) Initiating for circulation, preparing, | ||||||
31 | circulating, reviewing, or
filing any petition on
behalf of | ||||||
32 | a candidate for elective office or for or against any | ||||||
33 | referendum
question.
| ||||||
34 | (9) Making contributions on behalf
of any candidate for | ||||||
35 | elective office in that capacity or in connection with a
| ||||||
36 | campaign for elective office.
|
| |||||||
| |||||||
1 | (10) Preparing or reviewing responses to candidate | ||||||
2 | questionnaires in
connection with a campaign for elective | ||||||
3 | office or on behalf of a political
organization for | ||||||
4 | political purposes.
| ||||||
5 | (11) Distributing, preparing for distribution, or | ||||||
6 | mailing campaign
literature, campaign signs, or other | ||||||
7 | campaign material on behalf of any
candidate for elective | ||||||
8 | office or for or against any referendum question.
| ||||||
9 | (12) Campaigning for any elective
office or for or | ||||||
10 | against any referendum question.
| ||||||
11 | (13) Managing or working on a campaign for elective
| ||||||
12 | office or for or against any referendum question.
| ||||||
13 | (14) Serving as a delegate, alternate, or proxy to a | ||||||
14 | political
party convention.
| ||||||
15 | (15) Participating in any recount or challenge to the | ||||||
16 | outcome of
any election, except to the extent that under | ||||||
17 | subsection (d) of
Section 6 of Article IV of the Illinois | ||||||
18 | Constitution each house of the General
Assembly shall judge | ||||||
19 | the elections, returns, and qualifications of its members.
| ||||||
20 | "Prohibited source" means any person or entity who:
| ||||||
21 | (1) is seeking official action (i) by the
member or | ||||||
22 | officer or (ii) in the case of an employee, by
the employee
| ||||||
23 | or by the
member, officer, State agency, or other employee | ||||||
24 | directing the
employee;
| ||||||
25 | (2) does business or seeks to do business (i) with the
| ||||||
26 | member or officer or (ii) in the case of an employee,
with | ||||||
27 | the
employee or with the member, officer, State agency, or | ||||||
28 | other
employee directing the
employee;
| ||||||
29 | (3) conducts activities regulated (i) by the
member or | ||||||
30 | officer or (ii) in the case of an employee, by
the employee | ||||||
31 | or by the member, officer, State agency, or
other employee | ||||||
32 | directing the employee;
| ||||||
33 | (4) has interests that may be substantially affected by | ||||||
34 | the performance or
non-performance of the official duties | ||||||
35 | of the member, officer, or
employee; or
| ||||||
36 | (5) is registered or required to be registered with the |
| |||||||
| |||||||
1 | Secretary of State
under the Lobbyist Registration Act, | ||||||
2 | except that an entity not otherwise a
prohibited source | ||||||
3 | does not become a prohibited source merely because a
| ||||||
4 | registered lobbyist is one of its members or serves on its | ||||||
5 | board of
directors.
| ||||||
6 | "State agency" includes all officers, boards, commissions | ||||||
7 | and agencies
created by the Constitution, whether in the | ||||||
8 | executive or legislative
branch; all officers,
departments, | ||||||
9 | boards, commissions, agencies, institutions, authorities,
| ||||||
10 | public institutions of higher learning as defined in Section 2 | ||||||
11 | of the Higher
Education
Cooperation Act, and bodies politic and | ||||||
12 | corporate of the State; and
administrative
units or corporate | ||||||
13 | outgrowths of the State government which are created by
or | ||||||
14 | pursuant to statute, other than units of local government and | ||||||
15 | their
officers, school districts, and boards of election | ||||||
16 | commissioners; and all
administrative units and corporate | ||||||
17 | outgrowths of the above and as may be
created by executive | ||||||
18 | order of the Governor. "State agency" includes the General
| ||||||
19 | Assembly, the Senate, the House of Representatives, the | ||||||
20 | President and Minority
Leader of the Senate, the Speaker and | ||||||
21 | Minority Leader of the House of
Representatives, the Senate | ||||||
22 | Operations Commission, and the legislative support
services | ||||||
23 | agencies. "State agency" includes the Office
of the Auditor | ||||||
24 | General. "State agency" does not include the judicial branch.
| ||||||
25 | "State employee" means any employee of a State agency.
| ||||||
26 | "Ultimate jurisdictional
authority" means the following:
| ||||||
27 | (1) For members, legislative partisan staff, and | ||||||
28 | legislative secretaries,
the appropriate
legislative | ||||||
29 | leader: President of the
Senate, Minority Leader of the | ||||||
30 | Senate, Speaker of the House of Representatives,
or | ||||||
31 | Minority Leader of the House of Representatives.
| ||||||
32 | (2) For State employees who are professional staff or | ||||||
33 | employees of the
Senate and not covered under item (1), the | ||||||
34 | Senate Operations Commission.
| ||||||
35 | (3) For State employees who are professional staff or | ||||||
36 | employees of the
House of Representatives and not covered |
| |||||||
| |||||||
1 | under item (1), the Speaker of the
House of | ||||||
2 | Representatives.
| ||||||
3 | (4) For State employees who are employees of the | ||||||
4 | legislative support
services agencies, the Joint Committee | ||||||
5 | on Legislative Support Services.
| ||||||
6 | (5) For State employees of the Auditor General, the | ||||||
7 | Auditor General.
| ||||||
8 | (6) For State employees of public institutions of | ||||||
9 | higher learning as
defined in Section 2 of the Higher | ||||||
10 | Education Cooperation Act, the board of
trustees of the | ||||||
11 | appropriate public institution of higher learning.
| ||||||
12 | (7) For State employees of an executive branch | ||||||
13 | constitutional officer
other than those described in | ||||||
14 | paragraph (6), the
appropriate executive branch | ||||||
15 | constitutional officer.
| ||||||
16 | (8) For State employees not under the jurisdiction of | ||||||
17 | paragraph (1), (2),
(3), (4), (5), (6), or (7), or (9), the | ||||||
18 | Governor.
| ||||||
19 | (9) For the Legislative Inspector General, State | ||||||
20 | employees of the Office of the Legislative Inspector | ||||||
21 | General, commissioners of the Legislative Ethics | ||||||
22 | Commission, and State employees of the Legislative Ethics | ||||||
23 | Commission, the Legislative Ethics Commission.
| ||||||
24 | (Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03; | ||||||
25 | 93-685, eff. 7-8-04.) | ||||||
26 | (5 ILCS 430/5-10)
| ||||||
27 | Sec. 5-10. Ethics training. Each officer, member, and | ||||||
28 | employee
must complete, at least
annually beginning in 2004, an | ||||||
29 | ethics training program conducted by the
appropriate
State | ||||||
30 | agency. Each ultimate jurisdictional authority
must implement | ||||||
31 | an ethics training program for its officers, members, and
| ||||||
32 | employees.
These ethics training programs shall be overseen by | ||||||
33 | the appropriate Ethics
Commission and Inspector
General | ||||||
34 | appointed pursuant to this Act in consultation with the Office | ||||||
35 | of the
Attorney
General.
|
| |||||||
| |||||||
1 | Each Executive Inspector General
and each ultimate | ||||||
2 | jurisdictional authority for the legislative branch shall set | ||||||
3 | standards and
determine the hours and frequency of training | ||||||
4 | necessary for each
position or category of positions. A person | ||||||
5 | who fills a vacancy in an
elective or appointed position that | ||||||
6 | requires training and a person
employed in a position that | ||||||
7 | requires training must complete his or her
initial ethics | ||||||
8 | training within 6 months after commencement of his or
her | ||||||
9 | office or employment.
| ||||||
10 | (Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03.) | ||||||
11 | (5 ILCS 430/5-20)
| ||||||
12 | Sec. 5-20. Public service announcements; other promotional | ||||||
13 | material.
| ||||||
14 | (a) No
Beginning January 1, 2004, no public service | ||||||
15 | announcement or
advertisement that identifies any specific | ||||||
16 | program administered by a State agency
is on behalf of
any | ||||||
17 | State administered program and contains the
proper name, image, | ||||||
18 | or voice of any executive branch constitutional officer
or | ||||||
19 | member of the General Assembly shall be broadcast or aired on | ||||||
20 | radio or
television or printed in a commercial newspaper or a | ||||||
21 | commercial magazine at any
time.
| ||||||
22 | (b) The proper name or image of any executive branch | ||||||
23 | constitutional officer
or member of the General Assembly may | ||||||
24 | not appear on any (i)
bumper stickers,
(ii) commercial | ||||||
25 | billboards, (iii) lapel pins or buttons, (iv) magnets, (v)
| ||||||
26 | stickers, and
(vi) other similar promotional items, that are | ||||||
27 | not in furtherance of the person's official State duties or | ||||||
28 | governmental and public service functions, if
designed,
paid | ||||||
29 | for, prepared, or distributed using public dollars. This | ||||||
30 | subsection does
not apply to stocks of items existing on the | ||||||
31 | effective date of this amendatory
Act of the 93rd General | ||||||
32 | Assembly.
| ||||||
33 | (c) This Section does not apply to
communications
funded | ||||||
34 | through expenditures required to be reported under Article 9 of | ||||||
35 | the
Election Code.
|
| |||||||
| |||||||
1 | (Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03; | ||||||
2 | 93-685, eff. 7-8-04.) | ||||||
3 | (5 ILCS 430/5-45)
| ||||||
4 | Sec. 5-45. Procurement; revolving door prohibition.
| ||||||
5 | (a) No current or former officer, member, or State | ||||||
6 | employee, or spouse or
immediate family member living with such | ||||||
7 | person, shall, during the period of State employment or within | ||||||
8 | a period of one
year immediately after termination of State | ||||||
9 | employment, knowingly accept
employment or receive | ||||||
10 | compensation or fees for services from a person or entity
if | ||||||
11 | the officer, member, or State employee, during the immediately | ||||||
12 | preceding 2 years of State employment with respect to a current | ||||||
13 | officer, member, or State employee, or during the year | ||||||
14 | immediately
preceding termination of State employment with | ||||||
15 | respect to a former officer, member, or State employee , | ||||||
16 | participated personally and
substantially in the decision to | ||||||
17 | award State contracts with a cumulative value
of over $25,000
| ||||||
18 | to the person or entity, or its parent or subsidiary.
| ||||||
19 | (b) No current or former officer of the executive branch or | ||||||
20 | State employee of the
executive branch with regulatory or
| ||||||
21 | licensing authority, or spouse or immediate family member | ||||||
22 | living with such
person, shall, during the period of State | ||||||
23 | employment or within a period of one year immediately after | ||||||
24 | termination of
State employment, knowingly accept employment | ||||||
25 | or receive compensation of fees
for services from a person or | ||||||
26 | entity if the officer
or State
employee, during the immediately | ||||||
27 | preceding 2 years of State employment with respect to a current | ||||||
28 | officer, member, or State employee, or during the year | ||||||
29 | immediately preceding
termination of State employment with | ||||||
30 | respect to a former officer, member, or State employee , made a | ||||||
31 | regulatory or licensing decision that
directly applied to the | ||||||
32 | person or entity, or its parent or subsidiary.
| ||||||
33 | (c) The requirements of this Section may be waived
(i) for | ||||||
34 | the executive
branch, in writing by
the Executive Ethics | ||||||
35 | Commission, (ii) for the
legislative branch, in writing by
the |
| |||||||
| |||||||
1 | Legislative Ethics Commission, and (iii) for the
Auditor | ||||||
2 | General, in writing by the Auditor General.
During the time | ||||||
3 | period from the effective date of this amendatory Act of the
| ||||||
4 | 93rd General Assembly until the Executive Ethics Commission | ||||||
5 | first meets, the
requirements of this Section may be waived in | ||||||
6 | writing by the appropriate
ultimate jurisdictional authority. | ||||||
7 | During the time period from the
effective date of this | ||||||
8 | amendatory Act of the 93rd General Assembly until the
| ||||||
9 | Legislative Ethics Commission first meets, the requirements of | ||||||
10 | this Section may
be waived in writing by the appropriate | ||||||
11 | ultimate jurisdictional authority.
The waiver shall be granted
| ||||||
12 | upon the person seeking the waiver proving by clear and | ||||||
13 | convincing evidence
a showing that the
prospective
employment | ||||||
14 | or relationship did not affect the decisions referred to in | ||||||
15 | sections
(a) and (b).
| ||||||
16 | (d) With respect to former officers, members, State | ||||||
17 | employees, spouses, and family members, this
This Section | ||||||
18 | applies only with respect to persons who terminate an affected | ||||||
19 | position
on or after December 19, 2003 ( the effective date of | ||||||
20 | Public
this amendatory Act 93-617)
of the 93rd General
| ||||||
21 | Assembly .
| ||||||
22 | (Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03.) | ||||||
23 | (5 ILCS 430/20-5)
| ||||||
24 | Sec. 20-5. Executive Ethics Commission.
| ||||||
25 | (a) The Executive Ethics Commission is created.
| ||||||
26 | (b) The Executive Ethics Commission shall consist of 9
| ||||||
27 | commissioners.
The Governor shall appoint 5 commissioners, and | ||||||
28 | the Attorney General, Secretary
of State, Comptroller, and | ||||||
29 | Treasurer shall each appoint one commissioner.
Appointments | ||||||
30 | shall be made by and with the advice and consent of the
Senate | ||||||
31 | by three-fifths of the elected members concurring by record | ||||||
32 | vote.
Any nomination not acted upon by the Senate within 60 | ||||||
33 | session days of the
receipt thereof shall be deemed to have | ||||||
34 | received the advice and consent of
the Senate. If, during a | ||||||
35 | recess of the Senate, there is a vacancy in an office
of |
| |||||||
| |||||||
1 | commissioner, the appointing authority shall make a temporary
| ||||||
2 | appointment until the next meeting of the Senate when the | ||||||
3 | appointing
authority shall make a nomination to fill that | ||||||
4 | office. No person rejected for
an office of commissioner shall, | ||||||
5 | except by the Senate's request, be
nominated again for that | ||||||
6 | office at the same session of the Senate or be
appointed to | ||||||
7 | that office during a recess of that Senate.
No more than 5
| ||||||
8 | commissioners may be of the same
political party.
| ||||||
9 | The terms of the initial commissioners shall commence upon | ||||||
10 | qualification.
Four initial appointees of the Governor, as | ||||||
11 | designated by the Governor, shall
serve terms running through | ||||||
12 | June 30, 2007. One initial appointee of the
Governor, as | ||||||
13 | designated by the Governor, and the initial appointees of the
| ||||||
14 | Attorney General, Secretary of State, Comptroller, and | ||||||
15 | Treasurer shall serve
terms running through June 30, 2008.
The | ||||||
16 | initial appointments shall be made within 60 days
after the | ||||||
17 | effective date of this Act.
| ||||||
18 | After the initial terms, commissioners shall serve for | ||||||
19 | 4-year terms
commencing on July 1 of the year of appointment | ||||||
20 | and running
through June 30 of the fourth following year. | ||||||
21 | Commissioners may be
reappointed to one or more subsequent | ||||||
22 | terms.
| ||||||
23 | Vacancies occurring other than at the end of a term shall | ||||||
24 | be filled
by the appointing authority only for the balance of | ||||||
25 | the
term of the commissioner whose office is vacant.
| ||||||
26 | Terms shall run regardless of whether the position is | ||||||
27 | filled.
| ||||||
28 | (c) The appointing authorities shall appoint commissioners | ||||||
29 | who
have experience holding governmental office or employment | ||||||
30 | and shall
appoint commissioners from the general public.
A | ||||||
31 | person is not eligible to
serve as a commissioner if that | ||||||
32 | person (i) has been convicted of a
felony or a crime of | ||||||
33 | dishonesty or moral turpitude, (ii) is, or was
within the | ||||||
34 | preceding 12 months, engaged in activities that
require | ||||||
35 | registration under the Lobbyist Registration Act, (iii) is | ||||||
36 | related
to the appointing authority, or (iv) is a State officer |
| |||||||
| |||||||
1 | or employee.
| ||||||
2 | (d) The Executive Ethics Commission shall have
| ||||||
3 | jurisdiction over all officers and employees of State agencies | ||||||
4 | other
than the General Assembly, the Senate, the House of | ||||||
5 | Representatives,
the President and Minority Leader of the | ||||||
6 | Senate, the Speaker and
Minority Leader of the House of | ||||||
7 | Representatives, the Senate
Operations Commission, the | ||||||
8 | legislative support services agencies, the Legislative Ethics | ||||||
9 | Commission, the Office of the Legislative Inspector General,
| ||||||
10 | and
the Office of the Auditor General.
The jurisdiction of the
| ||||||
11 | Commission is limited to matters arising under this Act.
| ||||||
12 | (e) The Executive Ethics Commission must meet, either
in | ||||||
13 | person or by other technological means, at least monthly and as
| ||||||
14 | often as necessary. At the first meeting of the Executive
| ||||||
15 | Ethics Commission, the commissioners shall choose from their
| ||||||
16 | number a chairperson and other officers that they deem | ||||||
17 | appropriate.
The terms of officers shall be for 2 years | ||||||
18 | commencing July 1 and
running through June 30 of the second | ||||||
19 | following year. Meetings shall be held at
the call
of the | ||||||
20 | chairperson or any 3 commissioners. Official action by the
| ||||||
21 | Commission shall require the affirmative vote of 5 | ||||||
22 | commissioners, and
a quorum shall consist of 5 commissioners. | ||||||
23 | Commissioners shall receive
compensation in an amount equal to | ||||||
24 | the compensation of members of the State
Board of Elections and | ||||||
25 | may be
reimbursed for their reasonable expenses actually | ||||||
26 | incurred in the
performance of their duties.
| ||||||
27 | (f) No commissioner or employee of the Executive
Ethics | ||||||
28 | Commission may during his or her term of appointment or | ||||||
29 | employment:
| ||||||
30 | (1) become a candidate for any elective office;
| ||||||
31 | (2) hold any other elected or appointed public office | ||||||
32 | except for
appointments on governmental advisory boards or | ||||||
33 | study commissions or as
otherwise expressly authorized by | ||||||
34 | law;
| ||||||
35 | (3) be actively involved in the affairs of any | ||||||
36 | political party or
political
organization; or
|
| |||||||
| |||||||
1 | (4) actively participate in any campaign for any | ||||||
2 | elective office.
| ||||||
3 | (g) An appointing authority may remove a commissioner only | ||||||
4 | for cause.
| ||||||
5 | (h) The Executive Ethics Commission shall appoint an | ||||||
6 | Executive Director. The
compensation of the Executive Director | ||||||
7 | shall be as determined by the Commission
or by the Compensation | ||||||
8 | Review Board, whichever amount is higher. The Executive
| ||||||
9 | Director of the Executive Ethics Commission may employ and | ||||||
10 | determine the
compensation of staff, as appropriations permit.
| ||||||
11 | (Source: P.A. 93-617, eff. 12-9-03.) | ||||||
12 | (5 ILCS 430/20-23)
| ||||||
13 | Sec. 20-23. Ethics Officers.
Each officer and the head of | ||||||
14 | each State agency
under the jurisdiction of the
Executive | ||||||
15 | Ethics Commission , including without limitation the Executive | ||||||
16 | Ethics Commission and each Executive Inspector General, shall | ||||||
17 | designate an Ethics
Officer for the office or State agency.
| ||||||
18 | Ethics Officers shall:
| ||||||
19 | (1) act as liaisons between the State agency and the | ||||||
20 | appropriate Executive
Inspector General and between the | ||||||
21 | State agency and the Executive Ethics
Commission;
| ||||||
22 | (2) review statements of economic interest and | ||||||
23 | disclosure forms of
officers, senior employees, and | ||||||
24 | contract monitors before they are filed with
the Secretary | ||||||
25 | of State; and
| ||||||
26 | (3) provide guidance to officers and employees in the | ||||||
27 | interpretation and
implementation of this Act, which the | ||||||
28 | officer or employee may in good faith
rely upon. Such | ||||||
29 | guidance shall be based, wherever possible,
upon legal | ||||||
30 | precedent in court decisions, opinions of the Attorney | ||||||
31 | General, and
the findings and opinions of the Executive | ||||||
32 | Ethics Commission.
| ||||||
33 | (Source: P.A. 93-617, eff. 12-9-03.)
| ||||||
34 | (5 ILCS 430/20-40)
|
| |||||||
| |||||||
1 | Sec. 20-40. Collective bargaining agreements.
Any | ||||||
2 | investigation or inquiry by an Executive Inspector General or | ||||||
3 | any agent
or
representative of an Executive Inspector General | ||||||
4 | must be conducted
with awareness of the
provisions of a | ||||||
5 | collective bargaining agreement that applies to the
employees | ||||||
6 | of the relevant State agency and with an awareness of the | ||||||
7 | rights of
the
employees as set forth by State and federal law | ||||||
8 | and applicable judicial
decisions. In implementing any
Any
| ||||||
9 | recommendation for discipline or in taking any action taken
| ||||||
10 | against any
State employee pursuant to this Act , the ultimate | ||||||
11 | jurisdictional authority
must comply with the provisions of the | ||||||
12 | collective bargaining
agreement that applies to the State | ||||||
13 | employee.
| ||||||
14 | (Source: P.A. 93-617, eff. 12-9-03.) | ||||||
15 | (5 ILCS 430/25-5)
| ||||||
16 | Sec. 25-5. Legislative Ethics Commission.
| ||||||
17 | (a) The Legislative Ethics Commission is created.
| ||||||
18 | (b) The Legislative Ethics Commission shall consist of 8
| ||||||
19 | commissioners appointed 2 each by the
President and Minority | ||||||
20 | Leader of the Senate and the Speaker and Minority Leader
of the | ||||||
21 | House of Representatives.
| ||||||
22 | The terms of the initial commissioners shall commence upon | ||||||
23 | qualification.
Each appointing authority shall designate one | ||||||
24 | appointee who
shall serve for a 2-year term running through
| ||||||
25 | June 30, 2005.
Each appointing authority shall designate one | ||||||
26 | appointee who
shall serve for a
4-year term running through | ||||||
27 | June 30, 2007.
The initial appointments shall be made within 60 | ||||||
28 | days
after the effective date of this Act.
| ||||||
29 | After the initial terms, commissioners shall serve for | ||||||
30 | 4-year terms
commencing on July 1 of the year of appointment | ||||||
31 | and running
through June 30 of the fourth following year. | ||||||
32 | Commissioners may be
reappointed to one or more subsequent | ||||||
33 | terms.
| ||||||
34 | Vacancies occurring other than at the end of a term shall | ||||||
35 | be filled
by the appointing authority only for the balance of |
| |||||||
| |||||||
1 | the
term of the commissioner whose office is vacant.
| ||||||
2 | Terms shall run regardless of whether the position is | ||||||
3 | filled.
| ||||||
4 | (c) The appointing authorities shall appoint commissioners | ||||||
5 | who
have experience holding governmental office or employment | ||||||
6 | and may
appoint commissioners who are members of the General | ||||||
7 | Assembly as well as
commissioners from the general public.
A | ||||||
8 | commissioner who is a member of the General Assembly must | ||||||
9 | recuse himself or
herself from participating in any matter | ||||||
10 | relating to any investigation or
proceeding in which he or she | ||||||
11 | is the subject.
A person is not eligible to
serve as a | ||||||
12 | commissioner if that person (i) has been convicted of a
felony | ||||||
13 | or a crime of dishonesty or moral turpitude, (ii) is, or was
| ||||||
14 | within the preceding 12 months, engaged in activities that
| ||||||
15 | require registration under the Lobbyist Registration Act, | ||||||
16 | (iii) is a
relative of the appointing authority, or (iv) is a | ||||||
17 | State officer or employee
other than a member of the General | ||||||
18 | Assembly.
| ||||||
19 | (d) The Legislative Ethics Commission shall have
| ||||||
20 | jurisdiction over members of the General Assembly and
all State
| ||||||
21 | employees whose ultimate jurisdictional authority is
(i) a | ||||||
22 | legislative leader, (ii) the Senate Operations Commission, or
| ||||||
23 | (iii) the
Joint Committee on Legislative Support Services , or | ||||||
24 | (iv) the Legislative Ethics Commission .
The jurisdiction of the
| ||||||
25 | Commission is limited to matters arising under this Act.
| ||||||
26 | (e) The Legislative Ethics Commission must meet, either
in | ||||||
27 | person or by other technological means, monthly or as
often as | ||||||
28 | necessary. At the first meeting of the Legislative
Ethics | ||||||
29 | Commission, the commissioners shall choose from their
number a | ||||||
30 | chairperson and other officers that they deem appropriate.
The | ||||||
31 | terms of officers shall be for 2 years commencing July 1 and
| ||||||
32 | running through June 30 of the second following year. Meetings | ||||||
33 | shall be held at
the call
of the chairperson or any 3 | ||||||
34 | commissioners. Official action by the
Commission shall require | ||||||
35 | the affirmative vote of 5 commissioners, and
a quorum shall | ||||||
36 | consist of 5 commissioners. Commissioners shall receive
no |
| |||||||
| |||||||
1 | compensation but
may be
reimbursed for their reasonable | ||||||
2 | expenses actually incurred in the
performance of their duties.
| ||||||
3 | (f) No commissioner, other than a commissioner who is a | ||||||
4 | member of the
General
Assembly, or employee of the Legislative
| ||||||
5 | Ethics Commission may during his or her term of appointment or | ||||||
6 | employment:
| ||||||
7 | (1) become a candidate for any elective office;
| ||||||
8 | (2) hold any other elected or appointed public office
| ||||||
9 | except for appointments on governmental advisory boards
or | ||||||
10 | study commissions or as otherwise expressly authorized by | ||||||
11 | law;
| ||||||
12 | (3) be actively involved in the affairs of any | ||||||
13 | political party or political
organization; or
| ||||||
14 | (4) actively participate in any campaign for any
| ||||||
15 | elective office.
| ||||||
16 | (g) An appointing authority may remove a
commissioner only | ||||||
17 | for cause.
| ||||||
18 | (h) The Legislative Ethics Commission shall appoint an
| ||||||
19 | Executive Director subject to the approval of at least 3 of the | ||||||
20 | 4 legislative leaders. The compensation of the Executive | ||||||
21 | Director shall
be as determined by the Commission or by the | ||||||
22 | Compensation Review
Board, whichever amount is higher. The | ||||||
23 | Executive Director of the Legislative
Ethics Commission may | ||||||
24 | employ, subject to the approval of at least 3 of the 4 | ||||||
25 | legislative leaders, and determine the
compensation of staff, | ||||||
26 | as appropriations permit.
| ||||||
27 | (Source: P.A. 93-617, eff. 12-9-03; 93-685, eff. 7-8-04.) | ||||||
28 | (5 ILCS 430/25-10)
| ||||||
29 | Sec. 25-10. Office of Legislative Inspector General.
| ||||||
30 | (a) The independent Office of the Legislative Inspector | ||||||
31 | General is created.
The Office shall be under the direction and | ||||||
32 | supervision of the
Legislative Inspector General and shall be a | ||||||
33 | fully independent office with its
own appropriation.
| ||||||
34 | (b) The Legislative Inspector General shall be appointed | ||||||
35 | without regard to
political
affiliation and solely on the basis |
| |||||||
| |||||||
1 | of integrity and
demonstrated ability.
The Legislative Ethics
| ||||||
2 | Commission shall diligently search out qualified candidates | ||||||
3 | for Legislative
Inspector General
and shall make | ||||||
4 | recommendations to the General Assembly.
| ||||||
5 | The Legislative Inspector General shall be appointed by a | ||||||
6 | joint resolution of
the
Senate and the House of | ||||||
7 | Representatives, which may specify the date on
which the | ||||||
8 | appointment takes effect.
A joint resolution, or other document | ||||||
9 | as may be specified by the
Joint Rules of the General Assembly, | ||||||
10 | appointing the Legislative Inspector
General must be certified | ||||||
11 | by
the Speaker
of the House of Representatives and the | ||||||
12 | President of the Senate as having been
adopted by the
| ||||||
13 | affirmative vote of three-fifths of the members elected to each | ||||||
14 | house,
respectively,
and be filed with the Secretary of State.
| ||||||
15 | The appointment of the Legislative Inspector General takes | ||||||
16 | effect on the day
the
appointment is completed by the General | ||||||
17 | Assembly, unless the appointment
specifies a later date on | ||||||
18 | which it is to become effective.
| ||||||
19 | The Legislative Inspector General shall have the following | ||||||
20 | qualifications:
| ||||||
21 | (1) has not been convicted of any felony under the laws | ||||||
22 | of this State,
another state, or the United States;
| ||||||
23 | (2) has earned a baccalaureate degree from an | ||||||
24 | institution of higher
education; and
| ||||||
25 | (3) has 5 or more years of cumulative service (A) with | ||||||
26 | a federal,
State, or
local law enforcement agency, at least | ||||||
27 | 2 years of which have been in a
progressive investigatory | ||||||
28 | capacity; (B)
as a
federal, State, or local prosecutor; (C)
| ||||||
29 | as a
senior manager or executive of a federal, State, or | ||||||
30 | local
agency; (D) as a member, an officer,
or a State
or | ||||||
31 | federal judge; or (E) representing any combination of (A) | ||||||
32 | through (D).
| ||||||
33 | The Legislative Inspector General may not be a relative of | ||||||
34 | a commissioner.
| ||||||
35 | The term of the initial Legislative Inspector General shall
| ||||||
36 | commence upon qualification and shall run through June 30, |
| |||||||
| |||||||
1 | 2008.
| ||||||
2 | After the initial term, the Legislative Inspector General | ||||||
3 | shall serve
for 5-year terms commencing on July 1 of the year | ||||||
4 | of appointment
and running through June 30 of the fifth | ||||||
5 | following year. The
Legislative Inspector General may be | ||||||
6 | reappointed to one or more
subsequent terms.
| ||||||
7 | A vacancy occurring other than at the end of a term shall | ||||||
8 | be filled in the
same manner as an appointment only for the | ||||||
9 | balance of the term of the
Legislative
Inspector General whose | ||||||
10 | office is vacant.
| ||||||
11 | Terms shall run regardless of whether the position is | ||||||
12 | filled.
| ||||||
13 | (c) The Legislative Inspector General
shall have | ||||||
14 | jurisdiction over the members of the General Assembly and
all | ||||||
15 | State employees whose ultimate jurisdictional authority is
(i) | ||||||
16 | a legislative leader, (ii) the Senate Operations Commission, or
| ||||||
17 | (iii) the
Joint Committee on Legislative Support Services , or | ||||||
18 | (iv) the Legislative Ethics Commission .
| ||||||
19 | The jurisdiction of each Legislative Inspector General is | ||||||
20 | to investigate
allegations of fraud, waste, abuse, | ||||||
21 | mismanagement, misconduct, nonfeasance,
misfeasance,
| ||||||
22 | malfeasance, or violations of this Act or violations of other | ||||||
23 | related
laws and rules.
| ||||||
24 | (d) The compensation of the Legislative Inspector General | ||||||
25 | shall
be the greater of an amount (i) determined by the | ||||||
26 | Commission or (ii) by joint
resolution of the General Assembly | ||||||
27 | passed by a majority of members elected in
each chamber.
| ||||||
28 | Subject to Section 25-45 of this Act, the Legislative Inspector | ||||||
29 | General has
full
authority to organize the Office of the | ||||||
30 | Legislative Inspector General,
including the employment and | ||||||
31 | determination of the compensation of
staff, such as deputies, | ||||||
32 | assistants, and other employees, as
appropriations permit. | ||||||
33 | Employment of staff is subject to the approval of at least 3 of | ||||||
34 | the 4 legislative leaders.
| ||||||
35 | (e) No Legislative Inspector General or employee of the | ||||||
36 | Office of
the Legislative Inspector General may, during his or |
| |||||||
| |||||||
1 | her term of appointment or
employment:
| ||||||
2 | (1) become a candidate for any elective office;
| ||||||
3 | (2) hold any other elected or appointed public office
| ||||||
4 | except for appointments on governmental advisory boards
or | ||||||
5 | study commissions or as otherwise expressly authorized by | ||||||
6 | law;
| ||||||
7 | (3) be actively involved in the affairs of any | ||||||
8 | political party or
political organization; or
| ||||||
9 | (4) actively participate in any campaign for any
| ||||||
10 | elective office.
| ||||||
11 | In this subsection an appointed public office means a | ||||||
12 | position authorized by
law that is filled by an appointing | ||||||
13 | authority as provided by law and does not
include employment by | ||||||
14 | hiring in the ordinary course of business.
| ||||||
15 | (e-1) No Legislative Inspector General or employee of the | ||||||
16 | Office of the
Legislative Inspector General may, for one year | ||||||
17 | after the termination of his or
her appointment or employment:
| ||||||
18 | (1) become a candidate for any elective office;
| ||||||
19 | (2) hold any elected public office; or
| ||||||
20 | (3) hold any appointed State, county, or local judicial | ||||||
21 | office.
| ||||||
22 | (e-2) The requirements of item (3) of subsection (e-1) may | ||||||
23 | be waived by the
Legislative Ethics Commission.
| ||||||
24 | (f) The Commission may remove the Legislative Inspector | ||||||
25 | General only for
cause. At the time of the removal, the | ||||||
26 | Commission must report to the General
Assembly the | ||||||
27 | justification for the removal.
| ||||||
28 | (Source: P.A. 93-617, eff. 12-9-03; 93-685, eff. 7-8-04.) | ||||||
29 | (5 ILCS 430/25-23)
| ||||||
30 | Sec. 25-23. Ethics Officers.
The President and Minority | ||||||
31 | Leader of the Senate
and
the Speaker and Minority Leader of the | ||||||
32 | House of Representatives shall each
appoint an ethics officer | ||||||
33 | for the members and employees of his or her
legislative
caucus.
| ||||||
34 | The commissioners of the Legislative Ethics Commission shall | ||||||
35 | designate an ethics officer for the Legislative Ethics |
| |||||||
| |||||||
1 | Commission. The Legislative Inspector General shall designate | ||||||
2 | an ethics officer for the Office of the Legislative Inspector | ||||||
3 | General. No later than January 1, 2004, the head of each other
| ||||||
4 | State agency under the
jurisdiction of the
Legislative Ethics | ||||||
5 | Commission, other than the General Assembly, shall
designate an | ||||||
6 | ethics
officer for the State agency.
Ethics Officers shall:
| ||||||
7 | (1) act as liaisons between the State agency and the | ||||||
8 | Legislative
Inspector
General and between the State agency | ||||||
9 | and the Legislative Ethics
Commission;
| ||||||
10 | (2) review statements of economic interest and | ||||||
11 | disclosure forms of
officers, senior employees, and | ||||||
12 | contract
monitors
before they are filed with the
Secretary | ||||||
13 | of State; and
| ||||||
14 | (3) provide guidance to officers and employees
in the | ||||||
15 | interpretation and implementation of this Act, which the | ||||||
16 | officer or
employee may in good faith rely upon. Such | ||||||
17 | guidance
shall be based, wherever possible, upon legal | ||||||
18 | precedent in court decisions,
opinions of the Attorney | ||||||
19 | General, and the findings and opinions of the
Legislative | ||||||
20 | Ethics Commission.
| ||||||
21 | (Source: P.A. 93-617, eff. 12-9-03.) | ||||||
22 | Section 15. The Lobbyist Registration Act is amended by | ||||||
23 | changing Section 2 as follows:
| ||||||
24 | (25 ILCS 170/2) (from Ch. 63, par. 172)
| ||||||
25 | Sec. 2. Definitions. As used in this Act, unless the | ||||||
26 | context otherwise
requires:
| ||||||
27 | (a) "Person" means any individual, firm, partnership, | ||||||
28 | committee,
association, corporation, or any other organization | ||||||
29 | or group of persons.
| ||||||
30 | (b) "Expenditure" means a payment, distribution, loan, | ||||||
31 | advance, deposit,
or gift of money or anything of value, and | ||||||
32 | includes a contract, promise, or
agreement, whether or not | ||||||
33 | legally enforceable, to make an expenditure, for
the ultimate | ||||||
34 | purpose of influencing executive, legislative, or |
| |||||||
| |||||||
1 | administrative
action, other than compensation as defined in | ||||||
2 | subsection (d).
| ||||||
3 | (c) "Official" means:
| ||||||
4 | (1) the Governor, Lieutenant Governor, Secretary of | ||||||
5 | State, Attorney
General, State Treasurer, and State | ||||||
6 | Comptroller;
| ||||||
7 | (2) Chiefs of Staff for officials described in item | ||||||
8 | (1);
| ||||||
9 | (3) Cabinet members of any elected constitutional | ||||||
10 | officer, including
Directors, Assistant Directors and | ||||||
11 | Chief Legal Counsel or General Counsel;
| ||||||
12 | (4) Members of the General Assembly.
| ||||||
13 | (d) "Compensation" means any money, thing of value or | ||||||
14 | financial benefits
received or to be received in return for | ||||||
15 | services rendered or to be
rendered, for lobbying as defined in | ||||||
16 | subsection (e).
| ||||||
17 | Monies paid to members of the General Assembly by the State | ||||||
18 | as
remuneration for performance of their Constitutional and | ||||||
19 | statutory duties
as members of the General Assembly shall not | ||||||
20 | constitute compensation as
defined by this Act.
| ||||||
21 | (e) "Lobbying" means any communication with (i) an official | ||||||
22 | of the
executive or legislative branch of State government as | ||||||
23 | defined in subsection
(c) or (ii) a State employee as defined | ||||||
24 | in this Section, for the ultimate purpose of influencing | ||||||
25 | executive, legislative, or
administrative action.
| ||||||
26 | (f) "Influencing" means any communication, action, | ||||||
27 | reportable
expenditure as prescribed in Section 6 or other | ||||||
28 | means used to promote,
support, affect, modify, oppose or delay | ||||||
29 | any executive, legislative or
administrative action or to | ||||||
30 | promote goodwill with officials as defined in
subsection (c).
| ||||||
31 | (g) "Executive action" means the proposal, drafting, | ||||||
32 | development,
consideration, amendment, adoption, approval, | ||||||
33 | promulgation, issuance,
modification, rejection or | ||||||
34 | postponement by a State entity of a rule,
regulation, order, | ||||||
35 | decision, determination, contractual arrangement, purchasing
| ||||||
36 | agreement or other quasi-legislative or quasi-judicial action |
| |||||||
| |||||||
1 | or proceeding.
| ||||||
2 | (h) "Legislative action" means the development, drafting, | ||||||
3 | introduction,
consideration, modification, adoption, | ||||||
4 | rejection, review, enactment, or passage
or defeat of any bill, | ||||||
5 | amendment, resolution, report, nomination,
administrative rule | ||||||
6 | or other matter by either house of the General Assembly or
a | ||||||
7 | committee thereof, or by a legislator. Legislative action also | ||||||
8 | means the
action of the Governor in approving or vetoing any | ||||||
9 | bill or portion thereof, and
the action of the Governor or any | ||||||
10 | agency in the development of a proposal for
introduction in the | ||||||
11 | legislature.
| ||||||
12 | (i) "Administrative action" means the execution or | ||||||
13 | rejection of any rule,
regulation, legislative rule, standard, | ||||||
14 | fee, rate, contractual arrangement,
purchasing agreement or | ||||||
15 | other delegated legislative or quasi-legislative action
to be | ||||||
16 | taken or withheld by any executive agency, department, board or
| ||||||
17 | commission of the State.
| ||||||
18 | (j) "Lobbyist" means any person who undertakes to lobby | ||||||
19 | State government
as provided in subsection (e).
| ||||||
20 | (k) "State employee" is defined as that term is defined in | ||||||
21 | Section 1-5 of the State Officials and Employees Ethics Act. | ||||||
22 | (l) "Employee", with respect to a State employee, is | ||||||
23 | defined as that term is defined in Section 1-5 of the State | ||||||
24 | Officials and Employees Ethics Act.
| ||||||
25 | (m) "State agency" is defined as that term is defined in | ||||||
26 | Section 1-5 of the State Officials and Employees Ethics Act.
| ||||||
27 | (Source: P.A. 88-187.)
| ||||||
28 | Section 25. The Illinois Procurement Code is amended by | ||||||
29 | changing Sections 1-15.15, 1-15.100, 15-25, 20-10, 20-30, | ||||||
30 | 35-15, 35-20, 35-25, 35-30, 35-35, 35-40, 40-15, 40-25, 50-13, | ||||||
31 | 50-20, and 50-30 and by adding Sections 20-43, 50-21, and 50-37 | ||||||
32 | as follows:
| ||||||
33 | (30 ILCS 500/1-15.15)
| ||||||
34 | Sec. 1-15.15. Chief Procurement Officer. "Chief
|
| |||||||
| |||||||
1 | Procurement Officer" means:
| ||||||
2 | (1) for procurements for construction and | ||||||
3 | construction-related services
committed by law to the | ||||||
4 | jurisdiction or responsibility of the Capital
Development | ||||||
5 | Board, the executive director of the Capital Development Board.
| ||||||
6 | (2) for procurements for all construction, | ||||||
7 | construction-related services,
operation of any facility, and | ||||||
8 | the provision of any service or activity
committed by law to | ||||||
9 | the jurisdiction or responsibility of the Illinois
Department | ||||||
10 | of Transportation, including the direct or reimbursable | ||||||
11 | expenditure
of all federal funds for which the Department of | ||||||
12 | Transportation is responsible
or accountable for the use | ||||||
13 | thereof in accordance with federal law, regulation,
or | ||||||
14 | procedure, the Secretary of Transportation.
| ||||||
15 | (3) for all procurements made by a public institution of | ||||||
16 | higher education, (i) a
representative designated by the | ||||||
17 | Governor for procurements made before July 1, 2006, and (ii) | ||||||
18 | for procurements made on or after July 1, 2006, an employee of | ||||||
19 | the Board of Higher Education designated by the Board of Higher | ||||||
20 | Education . The higher education chief procurement officer | ||||||
21 | designated by the Board of Higher Education shall not be a | ||||||
22 | trustee, officer, or employee of a public institution of higher | ||||||
23 | education.
| ||||||
24 | (4) for the selection and appointment of consultants by a | ||||||
25 | pension fund or retirement system created under Article 2, 14, | ||||||
26 | 15, 16, or 18 of the Illinois Pension Code or an investment | ||||||
27 | board created under Article 22A of the Illinois Pension Code, | ||||||
28 | as the term "consultant" is defined in subsection (a-5) of | ||||||
29 | Section 1-113.5 or subsection (e) of Section 22A-111, | ||||||
30 | respectively, of the Illinois Pension Code, a representative | ||||||
31 | designated by the board of trustees of that pension fund or | ||||||
32 | retirement system or by the Illinois State Board of Investment, | ||||||
33 | as the case may be, for a total of 6 pension chiefs of | ||||||
34 | procurement.
| ||||||
35 | (5)
(4) for all other procurements, the Director of the | ||||||
36 | Department of Central
Management Services.
|
| |||||||
| |||||||
1 | (Source: P.A. 90-572, eff. 2-6-98.)
| ||||||
2 | (30 ILCS 500/1-15.100)
| ||||||
3 | Sec. 1-15.100. State agency. "State agency" means and | ||||||
4 | includes all
boards, commissions, agencies, institutions, | ||||||
5 | authorities, and bodies politic
and corporate of the State, | ||||||
6 | created by or in accordance with the constitution
or statute, | ||||||
7 | of the executive branch of State government and does include
| ||||||
8 | colleges, universities, and institutions under the | ||||||
9 | jurisdiction of the
governing boards of the University of | ||||||
10 | Illinois, Southern Illinois University,
Illinois State | ||||||
11 | University, Eastern Illinois University, Northern Illinois
| ||||||
12 | University, Western Illinois University, Chicago State | ||||||
13 | University, Governor
State University, Northeastern Illinois | ||||||
14 | University, and the Board of Higher
Education. However, this | ||||||
15 | term applies
does
not apply to public employee pension funds,
| ||||||
16 | retirement systems , or investment boards that are
subject to | ||||||
17 | fiduciary duties imposed by the Illinois Pension Code only to | ||||||
18 | the extent and for the purpose of procurements required under | ||||||
19 | Sections 1-113.5 and 22A-111 of the Illinois Pension Code to be | ||||||
20 | made in accordance with Article 35 of this Code. The term | ||||||
21 | "State agency" does not apply
or to the
University of Illinois | ||||||
22 | Foundation. "State agency" does not include units of
local | ||||||
23 | government, school districts, community colleges under the | ||||||
24 | Public
Community College Act, and the Illinois Comprehensive | ||||||
25 | Health Insurance Board.
| ||||||
26 | (Source: P.A. 90-572, eff. 2-6-98.)
| ||||||
27 | (30 ILCS 500/15-25)
| ||||||
28 | Sec. 15-25. Bulletin content.
| ||||||
29 | (a) Invitations for bids. Notice of each and every contract | ||||||
30 | that is
offered, including renegotiated contracts and change | ||||||
31 | orders,
shall be published in the Bulletin. The applicable | ||||||
32 | chief procurement officer
may provide by rule an organized | ||||||
33 | format for the publication of this
information, but in any case | ||||||
34 | it must include at least the date first offered,
the date |
| |||||||
| |||||||
1 | submission of offers is due, the location that offers are to be
| ||||||
2 | submitted to, the purchasing State agency, the responsible | ||||||
3 | State purchasing
officer, a brief purchase description, the | ||||||
4 | method of source selection, and
information of how to obtain a | ||||||
5 | comprehensive purchase description and any
disclosure and | ||||||
6 | contract forms.
| ||||||
7 | (b) Contracts let or awarded. Notice of each and every | ||||||
8 | contract that is let
or awarded, including renegotiated | ||||||
9 | contracts and change orders, shall be
published in the next | ||||||
10 | available subsequent Bulletin, and
the applicable chief | ||||||
11 | procurement officer may provide by rule an organized
format for | ||||||
12 | the publication
of
this information, but in any case it must | ||||||
13 | include at least all of the
information specified in subsection | ||||||
14 | (a) as well as the name of the successful
responsible bidder or | ||||||
15 | offeror, the contract price, the number of unsuccessful
| ||||||
16 | responsive bidders, and any other disclosure specified in any | ||||||
17 | Section of this
Code. This notice shall include the disclosures | ||||||
18 | under Section 50-37, if those disclosures are required. In | ||||||
19 | addition, the notice shall summarize the outreach efforts | ||||||
20 | undertaken by the agency to make potential bidders or offerors | ||||||
21 | aware of any contract offer other than publication in the | ||||||
22 | Bulletin. This notice must be posted in the online electronic | ||||||
23 | Bulletin no later than 10 business days after services or goods | ||||||
24 | are first provided.
| ||||||
25 | (c) Emergency purchase disclosure. Any chief procurement | ||||||
26 | officer, State
purchasing officer, or designee exercising | ||||||
27 | emergency purchase authority under
this Code shall publish a | ||||||
28 | written description and reasons and the total cost,
if known, | ||||||
29 | or an estimate if unknown and the name of the responsible chief
| ||||||
30 | procurement officer and State purchasing officer, and the | ||||||
31 | business or person
contracted with for all emergency purchases | ||||||
32 | in
the next timely, practicable Bulletin. This notice must be | ||||||
33 | posted in the online electronic Bulletin within 10 business | ||||||
34 | days after the earlier of (i) execution of the contract or (ii) | ||||||
35 | whenever services or goods begin to be provided under the | ||||||
36 | contract and, in any event, prior to any payment by the State |
| |||||||
| |||||||
1 | under the contract.
| ||||||
2 | (c-5) Each State agency shall post in the online electronic | ||||||
3 | Bulletin a copy of its annual report of utilization of | ||||||
4 | businesses owned by minorities, females, and persons with | ||||||
5 | disabilities as submitted to the Business Enterprises Council | ||||||
6 | for Minorities, Females, and Persons with Disabilities | ||||||
7 | pursuant to Section 6(c) of the Business Enterprise for | ||||||
8 | Minorities, Females, and Persons with Disabilities Act within | ||||||
9 | 10 business days of its submission of its report to the | ||||||
10 | Council.
| ||||||
11 | (c-10) Renewals. Notice of each contract renewal shall be | ||||||
12 | posted online on the Procurement Bulletin. The Procurement | ||||||
13 | Policy Board by rule shall specify the information to be | ||||||
14 | included in the notice, and the applicable chief procurement | ||||||
15 | officer by rule may provide a format for the information.
| ||||||
16 | (d) Other required disclosure. The applicable chief | ||||||
17 | procurement officer
shall provide by rule for the organized | ||||||
18 | publication of all other disclosure
required in other Sections | ||||||
19 | of this Code in a timely manner.
| ||||||
20 | (e) The changes to subsections (b), (c), and (c-5) of this | ||||||
21 | Section made by this amendatory Act of the 94th General | ||||||
22 | Assembly apply to reports submitted, offers made, and notices | ||||||
23 | on contracts executed on or after its effective date.
| ||||||
24 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
25 | (30 ILCS 500/20-10)
| ||||||
26 | Sec. 20-10. Competitive sealed bidding.
| ||||||
27 | (a) Conditions for use. All contracts shall be awarded by
| ||||||
28 | competitive sealed bidding
except as otherwise provided in | ||||||
29 | Section 20-5.
| ||||||
30 | (b) Invitation for bids. An invitation for bids shall be
| ||||||
31 | issued and shall include a
purchase description and the | ||||||
32 | material contractual terms and
conditions applicable to the
| ||||||
33 | procurement.
| ||||||
34 | (c) Public notice. Public notice of the invitation for bids | ||||||
35 | shall be
published in the Illinois Procurement Bulletin at |
| |||||||
| |||||||
1 | least 14 days before the date
set in the invitation for the | ||||||
2 | opening of bids.
| ||||||
3 | (d) Bid opening. Bids shall be opened publicly in the
| ||||||
4 | presence of one or more witnesses
at the time and place | ||||||
5 | designated in the invitation for bids. The
name of each bidder, | ||||||
6 | the amount
of each bid, and other relevant information as may | ||||||
7 | be specified by
rule shall be
recorded. After the award of the | ||||||
8 | contract, the winning bid and the
record of each unsuccessful | ||||||
9 | bid shall be open to
public inspection.
| ||||||
10 | (e) Bid acceptance and bid evaluation. Bids shall be
| ||||||
11 | unconditionally accepted without
alteration or correction, | ||||||
12 | except as authorized in this Code. Bids
shall be evaluated | ||||||
13 | based on the
requirements set forth in the invitation for bids, | ||||||
14 | which may
include criteria to determine
acceptability such as | ||||||
15 | inspection, testing, quality, workmanship,
delivery, and | ||||||
16 | suitability for a
particular purpose. Those criteria that will | ||||||
17 | affect the bid price
and be considered in evaluation
for award, | ||||||
18 | such as discounts, transportation costs, and total or
life | ||||||
19 | cycle costs, shall be
objectively measurable. The invitation | ||||||
20 | for bids shall set forth
the evaluation criteria to be used.
| ||||||
21 | (f) Correction or withdrawal of bids. Correction or
| ||||||
22 | withdrawal of inadvertently
erroneous bids before or after | ||||||
23 | award, or cancellation of awards of
contracts based on bid
| ||||||
24 | mistakes, shall be permitted in accordance with rules.
After | ||||||
25 | bid opening, no
changes in bid prices or other provisions of | ||||||
26 | bids prejudicial to
the interest of the State or fair
| ||||||
27 | competition shall be permitted. All decisions to permit the
| ||||||
28 | correction or withdrawal of bids
based on bid mistakes shall be | ||||||
29 | supported by written determination
made by a State purchasing | ||||||
30 | officer.
| ||||||
31 | (g) Award. The contract shall be awarded with reasonable
| ||||||
32 | promptness by written notice
to the lowest responsible and | ||||||
33 | responsive bidder whose bid meets
the requirements and criteria
| ||||||
34 | set forth in the invitation for bids, except when a State | ||||||
35 | purchasing officer
determines it is not in the best interest of | ||||||
36 | the State and by written
explanation determines another bidder |
| |||||||
| |||||||
1 | shall receive the award. The explanation
shall appear in the | ||||||
2 | appropriate volume of the Illinois Procurement Bulletin. The | ||||||
3 | written explanation must include: | ||||||
4 | (1) a description of the agency's needs; | ||||||
5 | (2) a determination that the anticipated cost will be | ||||||
6 | fair and reasonable; | ||||||
7 | (3) a listing of all responsible and responsive | ||||||
8 | bidders; and | ||||||
9 | (4) the name of the bidder selected, pricing, and the | ||||||
10 | reasons for selecting that bidder instead of the lowest | ||||||
11 | responsible and responsive bidder. | ||||||
12 | Each agency may adopt rules to implement the requirements | ||||||
13 | of this subsection (g). | ||||||
14 | The written explanation shall be filed with the Legislative | ||||||
15 | Audit Commission and the Procurement Policy Board and be made | ||||||
16 | available for inspection by the public within 30 days after the | ||||||
17 | agency's decision to award the contract.
| ||||||
18 | (h) Multi-step sealed bidding. When it is considered
| ||||||
19 | impracticable to initially prepare
a purchase description to | ||||||
20 | support an award based on price, an
invitation for bids may be | ||||||
21 | issued
requesting the submission of unpriced offers to be | ||||||
22 | followed by an
invitation for bids limited to
those bidders | ||||||
23 | whose offers have been qualified under the criteria
set forth | ||||||
24 | in the first solicitation.
| ||||||
25 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
26 | (30 ILCS 500/20-30)
| ||||||
27 | Sec. 20-30. Emergency purchases.
| ||||||
28 | (a) Conditions for use. In accordance with standards set by
| ||||||
29 | rule, a purchasing
agency may make emergency procurements | ||||||
30 | without competitive sealed
bidding or prior notice
when there | ||||||
31 | exists a threat to public health or public safety, or
when | ||||||
32 | immediate expenditure is
necessary for repairs to State | ||||||
33 | property in order to protect
against further loss of or damage | ||||||
34 | to
State property, to prevent or minimize serious disruption in | ||||||
35 | critical State
services that affect health, safety, or |
| |||||||
| |||||||
1 | collections of substantial State revenue , or to ensure the
| ||||||
2 | integrity of State records ; provided, however, that the term of | ||||||
3 | the emergency purchase shall be limited to the time reasonably | ||||||
4 | needed for a competitive procurement, not to exceed 6 months . | ||||||
5 | Emergency procurements shall be made
with as much competition
| ||||||
6 | as is practicable under the circumstances.
A written
| ||||||
7 | description of the basis for the emergency and reasons for the
| ||||||
8 | selection of the particular
contractor shall be included in the | ||||||
9 | contract file.
| ||||||
10 | (b) Notice. Before the next appropriate volume of the | ||||||
11 | Illinois Procurement
Bulletin, the purchasing agency shall | ||||||
12 | publish in the
Illinois Procurement Bulletin a copy of each | ||||||
13 | written description
and reasons and the total cost
of each | ||||||
14 | emergency procurement made during the previous month.
When only | ||||||
15 | an estimate of the
total cost is known at the time of | ||||||
16 | publication, the estimate shall
be identified as an estimate | ||||||
17 | and
published. When the actual total cost is determined, it | ||||||
18 | shall
also be published in like manner
before the 10th day of | ||||||
19 | the next succeeding month.
| ||||||
20 | (c) Affidavits. A purchasing agency making a procurement
| ||||||
21 | under this Section shall file
affidavits with the chief | ||||||
22 | procurement officer and the Auditor General within
10 days
| ||||||
23 | after the procurement setting
forth the amount expended, the | ||||||
24 | name of the contractor involved,
and the conditions and
| ||||||
25 | circumstances requiring the emergency procurement. When only | ||||||
26 | an
estimate of the cost is
available within 10 days after the | ||||||
27 | procurement, the actual cost
shall be reported immediately
| ||||||
28 | after it is determined. At the end of each fiscal quarter, the
| ||||||
29 | Auditor General shall file with the
Legislative Audit | ||||||
30 | Commission and the Governor a complete listing
of all emergency
| ||||||
31 | procurements reported during that fiscal quarter. The | ||||||
32 | Legislative
Audit Commission shall
review the emergency | ||||||
33 | procurements so reported and, in its annual
reports, advise the | ||||||
34 | General
Assembly of procurements that appear to constitute an | ||||||
35 | abuse of
this Section.
| ||||||
36 | (d) Quick purchases. The chief procurement officer may |
| |||||||
| |||||||
1 | promulgate rules
extending the circumstances by which a | ||||||
2 | purchasing agency may make purchases
under this Section, | ||||||
3 | including but not limited to the procurement of items
available | ||||||
4 | at a discount for a limited period of time.
| ||||||
5 | (e) The changes to this Section made by this amendatory Act | ||||||
6 | of the 94th General Assembly apply to procurements executed on | ||||||
7 | or after its effective date.
| ||||||
8 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
9 | (30 ILCS 500/20-43 new)
| ||||||
10 | Sec. 20-43. Bidder or offeror authorized to do business in | ||||||
11 | Illinois. In addition to meeting any other requirement of law | ||||||
12 | or rule, a person (other than an individual acting as a sole | ||||||
13 | proprietor) may qualify as a bidder or offeror under this Code | ||||||
14 | only if the person is a legal entity authorized to do business | ||||||
15 | in Illinois prior to submitting the bid, offer, or proposal.
| ||||||
16 | (30 ILCS 500/35-15)
| ||||||
17 | Sec. 35-15. Prequalification.
| ||||||
18 | (a) The Director of Central Management Services , the | ||||||
19 | pension chief procurement officers, and the higher education
| ||||||
20 | chief procurement officer shall each develop appropriate
and | ||||||
21 | reasonable prequalification standards and categories of | ||||||
22 | professional and
artistic services.
| ||||||
23 | (b) The prequalifications and categorizations shall be | ||||||
24 | submitted to the
Procurement Policy Board and published for | ||||||
25 | public comment prior to their
submission to the Joint Committee | ||||||
26 | on Administrative Rules for approval.
| ||||||
27 | (c) The Director of Central Management Services , the | ||||||
28 | pension chief procurement officers, and the higher education
| ||||||
29 | chief procurement officer shall each also assemble and
maintain | ||||||
30 | a comprehensive list of prequalified and categorized | ||||||
31 | businesses and
persons.
| ||||||
32 | (d) Prequalification shall not be used to bar or prevent | ||||||
33 | any qualified
business or person for bidding or responding to | ||||||
34 | invitations for bid or
proposal.
|
| |||||||
| |||||||
1 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
2 | (30 ILCS 500/35-20)
| ||||||
3 | Sec. 35-20. Uniformity in procurement.
| ||||||
4 | (a) The Director of Central Management Services , the | ||||||
5 | pension chief procurement officers, and the higher education
| ||||||
6 | chief procurement officer shall each develop, cause to be
| ||||||
7 | printed, and distribute uniform documents for the | ||||||
8 | solicitation, review, and
acceptance of all professional and | ||||||
9 | artistic services.
| ||||||
10 | (b) All chief procurement officers, State purchasing | ||||||
11 | officers, and their
designees shall use the appropriate uniform | ||||||
12 | procedures and forms specified in
this Code for
all | ||||||
13 | professional and artistic services.
| ||||||
14 | (c) These forms shall include in detail, in writing, at | ||||||
15 | least:
| ||||||
16 | (1) a description of the goal to be achieved;
| ||||||
17 | (2) the services to be performed;
| ||||||
18 | (3) the need for the service;
| ||||||
19 | (4) the qualifications that are necessary; and
| ||||||
20 | (5) a plan for post-performance review.
| ||||||
21 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
22 | (30 ILCS 500/35-25)
| ||||||
23 | Sec. 35-25. Uniformity in contract.
| ||||||
24 | (a) The Director of Central Management Services , the | ||||||
25 | pension chief procurement officers, and the higher education
| ||||||
26 | chief procurement officer shall each develop, cause to be
| ||||||
27 | printed, and distribute uniform documents for the contracting | ||||||
28 | of professional
and artistic services.
| ||||||
29 | (b) All chief procurement officers, State purchasing | ||||||
30 | officers, and their
designees shall use the appropriate uniform | ||||||
31 | contracts and forms in
contracting for all professional and | ||||||
32 | artistic services.
| ||||||
33 | (c) These contracts and forms shall include in detail, in | ||||||
34 | writing, at least:
|
| |||||||
| |||||||
1 | (1) the detail listed in subsection (c) of Section | ||||||
2 | 35-20;
| ||||||
3 | (2) the duration of the contract, with a schedule of | ||||||
4 | delivery, when
applicable;
| ||||||
5 | (3) the method for charging and measuring cost (hourly, | ||||||
6 | per day, etc.);
| ||||||
7 | (4) the rate of remuneration; and
| ||||||
8 | (5) the maximum price.
| ||||||
9 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
10 | (30 ILCS 500/35-30)
| ||||||
11 | Sec. 35-30. Awards.
| ||||||
12 | (a) All State contracts for professional and artistic | ||||||
13 | services, except as
provided in this Section, shall be awarded | ||||||
14 | using the
competitive request for proposal process outlined in | ||||||
15 | this Section.
| ||||||
16 | (b) For each contract offered, the chief procurement | ||||||
17 | officer, State
purchasing officer, or his or her designee shall | ||||||
18 | use the appropriate standard
solicitation
forms
available from | ||||||
19 | the Department of Central Management Services , the appropriate | ||||||
20 | pension chief procurement officer, or the higher
education | ||||||
21 | chief procurement officer.
| ||||||
22 | (c) Prepared forms shall be submitted to the Department of | ||||||
23 | Central
Management Services , a pension chief procurement | ||||||
24 | officer, or the higher education chief procurement officer,
| ||||||
25 | whichever is appropriate, for
publication in its Illinois | ||||||
26 | Procurement Bulletin and circulation to the
Department of | ||||||
27 | Central Management
Services' , the pension chief procurement | ||||||
28 | officer's, or the higher education chief procurement officer's | ||||||
29 | list of
prequalified vendors. Notice of the offer or request | ||||||
30 | for
proposal shall appear at least 14 days before the response | ||||||
31 | to the offer is due.
| ||||||
32 | (d) All interested respondents shall return their | ||||||
33 | responses to the
Department of Central
Management Services , the | ||||||
34 | pension chief procurement officer, or the higher education | ||||||
35 | chief procurement officer,
whichever is appropriate, which |
| |||||||
| |||||||
1 | shall open
and record them. The Department , the pension chief | ||||||
2 | procurement officer, or higher education chief procurement | ||||||
3 | officer
then shall forward the responses, together
with any
| ||||||
4 | information it has available about the qualifications and other | ||||||
5 | State work
of the respondents.
| ||||||
6 | (e) After evaluation, ranking, and selection, the | ||||||
7 | responsible chief
procurement officer, State purchasing | ||||||
8 | officer, or
his or her designee shall notify the Department of | ||||||
9 | Central Management Services , the pension chief procurement | ||||||
10 | officer,
or the higher education chief procurement officer, | ||||||
11 | whichever is appropriate,
of the successful respondent and | ||||||
12 | shall forward
a copy of the signed contract for the | ||||||
13 | Department's , pension chief procurement officer's, or higher | ||||||
14 | education chief
procurement officer's file. The Department , | ||||||
15 | the pension chief procurement officer, or higher education | ||||||
16 | chief
procurement officer shall
publish the names of the
| ||||||
17 | responsible procurement decision-maker,
the agency letting the | ||||||
18 | contract, the
successful respondent, a contract reference, and | ||||||
19 | value of the let contract
in the next appropriate volume of the | ||||||
20 | Illinois Procurement Bulletin.
| ||||||
21 | (f) For all professional and artistic contracts with | ||||||
22 | annualized value
that exceeds $25,000, evaluation and ranking | ||||||
23 | by price are required. Any chief
procurement officer or State | ||||||
24 | purchasing officer,
but not their designees, may select an | ||||||
25 | offeror other than the lowest bidder by
price. In any case, | ||||||
26 | when the contract exceeds the $25,000 threshold
threshhold and
| ||||||
27 | the lowest bidder is not selected, the chief procurement | ||||||
28 | officer or the State
purchasing officer shall forward together
| ||||||
29 | with the contract notice of who the low bidder was and a | ||||||
30 | written decision as
to why another was selected to the | ||||||
31 | Department of Central Management Services , the pension chief | ||||||
32 | procurement officer, or
the higher education chief procurement | ||||||
33 | officer, whichever is appropriate.
The Department , the pension | ||||||
34 | chief procurement officer, or higher education chief | ||||||
35 | procurement officer shall publish as
provided in subsection (e) | ||||||
36 | of Section 35-30,
but
shall include notice of the chief |
| |||||||
| |||||||
1 | procurement officer's or State purchasing
officer's written | ||||||
2 | decision.
| ||||||
3 | (g) The Department of Central Management Services , the | ||||||
4 | pension chief procurement officers, and higher education chief
| ||||||
5 | procurement officer may each refine, but not
contradict, this | ||||||
6 | Section by promulgating rules
for submission to the Procurement | ||||||
7 | Policy Board and then to the Joint Committee
on Administrative | ||||||
8 | Rules. Any
refinement shall be based on the principles and | ||||||
9 | procedures of the federal
Architect-Engineer Selection Law, | ||||||
10 | Public Law 92-582 Brooks Act, and the
Architectural, | ||||||
11 | Engineering, and Land Surveying Qualifications Based Selection
| ||||||
12 | Act; except that pricing shall be an integral part of the | ||||||
13 | selection process.
| ||||||
14 | (Source: P.A. 90-572, eff. date - See Sec. 99-5; revised | ||||||
15 | 10-19-05.)
| ||||||
16 | (30 ILCS 500/35-35)
| ||||||
17 | Sec. 35-35. Exceptions.
| ||||||
18 | (a) Exceptions to Section 35-30 are allowed for sole source | ||||||
19 | procurements,
emergency procurements, and at the discretion of | ||||||
20 | the chief procurement officer
or the State purchasing officer, | ||||||
21 | but not
their designees, for professional and artistic | ||||||
22 | contracts that are nonrenewable,
one year or less in duration, | ||||||
23 | and have a value of less than $20,000.
| ||||||
24 | (b) All exceptions granted under this Article must still be | ||||||
25 | submitted to the
Department of Central Management Services , the | ||||||
26 | appropriate pension chief procurement officer,
or the higher | ||||||
27 | education chief procurement officer, whichever is appropriate,
| ||||||
28 | and published as provided for in subsection (f) of Section | ||||||
29 | 35-30, shall name
the authorizing
chief procurement officer or | ||||||
30 | State purchasing officer, and shall include a
brief explanation | ||||||
31 | of the reason for the exception.
| ||||||
32 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
33 | (30 ILCS 500/35-40)
| ||||||
34 | Sec. 35-40. Subcontractors.
|
| |||||||
| |||||||
1 | (a) Any contract granted under this Article shall state | ||||||
2 | whether the services
of a subcontractor will be used. The | ||||||
3 | contract shall include the names and
addresses of all | ||||||
4 | subcontractors and the expected amount of money each will
| ||||||
5 | receive under the contract.
| ||||||
6 | (b) If at any time during the term of a contract, a | ||||||
7 | contractor adds or
changes any subcontractors, he or she shall | ||||||
8 | promptly notify, in writing, the
Department of Central | ||||||
9 | Management Services , the appropriate pension chief procurement | ||||||
10 | officer, or the higher education chief
procurement officer, | ||||||
11 | whichever is appropriate, and the
responsible chief | ||||||
12 | procurement officer, State purchasing officer, or their
| ||||||
13 | designee of the names and addresses and the
expected amount of | ||||||
14 | money each new or replaced subcontractor will receive.
| ||||||
15 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
16 | (30 ILCS 500/40-15)
| ||||||
17 | Sec. 40-15. Method of source selection.
| ||||||
18 | (a) Request for information. Except as provided in
| ||||||
19 | subsections (b) and (c), all State
contracts for leases of real | ||||||
20 | property or capital improvements
shall be awarded by a request | ||||||
21 | for
information process in accordance with Section 40-20.
| ||||||
22 | (b) Other methods. A request for information process need
| ||||||
23 | not be used in procuring any
of the following leases:
| ||||||
24 | (1) Property of less than 10,000 square feet.
| ||||||
25 | (2) Rent of less than $100,000 per year.
| ||||||
26 | (3) Duration of less than one year that cannot be
| ||||||
27 | renewed.
| ||||||
28 | (4) Specialized space available at only one location.
| ||||||
29 | (5) Renewal or extension of a lease
in effect before | ||||||
30 | July 1, 2002 ;
provided that: (i) the chief procurement | ||||||
31 | officer determines in writing that the
renewal or extension | ||||||
32 | is in the best interest of the State; (ii) the chief
| ||||||
33 | procurement officer submits his or her written | ||||||
34 | determination and the renewal or
extension to the Board; | ||||||
35 | (iii) the Board does not object in writing to the
renewal |
| |||||||
| |||||||
1 | or extension within 30 days after its submission; and (iv) | ||||||
2 | the chief
procurement officer publishes the renewal or | ||||||
3 | extension in the appropriate
volume of the Procurement | ||||||
4 | Bulletin.
| ||||||
5 | (c) Leases with governmental units. Leases with other
| ||||||
6 | governmental units may be
negotiated without using the request | ||||||
7 | for information process when
deemed by the chief procurement | ||||||
8 | officer to be
in the best interest of the State.
| ||||||
9 | (Source: P.A. 93-133, eff. 1-1-04; 93-839, eff. 7-30-04.)
| ||||||
10 | (30 ILCS 500/40-25)
| ||||||
11 | Sec. 40-25. Length of leases.
| ||||||
12 | (a) Maximum term. Leases shall be for a term not to exceed
| ||||||
13 | 10 years and shall include
a termination option in favor of the | ||||||
14 | State after 5 years.
| ||||||
15 | (b) Renewal. Leases may include a renewal option. An
option | ||||||
16 | to renew may be
exercised only when a State purchasing officer | ||||||
17 | determines in
writing that renewal is in the best
interest of | ||||||
18 | the State and notice of the exercise of the option is published | ||||||
19 | in
the appropriate volume of the Procurement Bulletin at least | ||||||
20 | 60 days prior to
the exercise of the option.
| ||||||
21 | (c) Subject to appropriation. All leases shall recite that
| ||||||
22 | they are subject to termination
and cancellation in any year | ||||||
23 | for which the General Assembly fails
to make an appropriation | ||||||
24 | to
make payments under the terms of the lease.
| ||||||
25 | (d) Holdover. No lease may continue on a month-to-month or | ||||||
26 | other holdover basis for a total of more than 6 months.
| ||||||
27 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
28 | (30 ILCS 500/50-13)
| ||||||
29 | Sec. 50-13. Conflicts of interest.
| ||||||
30 | (a) Prohibition. It is unlawful for any person holding an
| ||||||
31 | elective office in this State,
holding a seat in the General | ||||||
32 | Assembly, or appointed to or
employed in any of the offices or
| ||||||
33 | agencies of State government and who receives compensation for | ||||||
34 | such employment
in excess of 60% of the salary of the Governor |
| |||||||
| |||||||
1 | of the State of Illinois , or who
is an officer or employee of
| ||||||
2 | the Capital Development
Board or the Illinois Toll Highway | ||||||
3 | Authority, or who is the spouse
or minor child of any such
| ||||||
4 | person to have or acquire any contract, or any direct pecuniary
| ||||||
5 | interest in any contract therein,
whether for stationery, | ||||||
6 | printing, paper, or any services,
materials, or supplies, that | ||||||
7 | will be
wholly or partially satisfied by the payment of funds | ||||||
8 | appropriated
by the General Assembly of
the State of Illinois | ||||||
9 | or in any contract of the Capital
Development Board or the | ||||||
10 | Illinois Toll
Highway Authority.
| ||||||
11 | (b) Interests. It is unlawful for any firm, partnership,
| ||||||
12 | association, or corporation, in
which any person listed in | ||||||
13 | subsection (a) is entitled to receive (i) more than
7 1/2% of | ||||||
14 | the total
distributable income or (ii) an amount in excess of | ||||||
15 | the salary of the Governor,
to have or acquire any
such | ||||||
16 | contract or direct pecuniary interest therein.
| ||||||
17 | (c) Combined interests. It is unlawful for any firm, | ||||||
18 | partnership,
association, or corporation, in which any person | ||||||
19 | listed in subsection (a)
together with his or her spouse or | ||||||
20 | minor children is entitled to receive (i)
more than 15%, in the | ||||||
21 | aggregate, of the total distributable income or (ii) an
amount | ||||||
22 | in excess of 2 times the salary of the Governor, to have or | ||||||
23 | acquire any
such contract or direct pecuniary interest therein.
| ||||||
24 | (c-5) Appointees and firms. In addition to any provisions | ||||||
25 | of this Code,
the interests of certain
appointees and their | ||||||
26 | firms are subject to Section 3A-35 of the Illinois
Governmental | ||||||
27 | Ethics Act.
| ||||||
28 | (d) Securities. Nothing in this Section invalidates the
| ||||||
29 | provisions of any bond or other
security previously offered or | ||||||
30 | to be offered for sale or sold by
or for the State of Illinois.
| ||||||
31 | (e) Prior interests. This Section does not affect the
| ||||||
32 | validity of any contract made
between the State and an officer | ||||||
33 | or employee of the State or
member of the General Assembly,
his | ||||||
34 | or her spouse, minor child, or other immediate family member | ||||||
35 | living in
his or her residence or any
combination of those | ||||||
36 | persons
if that contract was in
existence before his or her |
| |||||||
| |||||||
1 | election or employment as an officer,
member, or employee. The
| ||||||
2 | contract is voidable, however, if it cannot be completed within | ||||||
3 | 365
days after the officer, member,
or employee takes office or | ||||||
4 | is employed.
| ||||||
5 | (f) Exceptions.
| ||||||
6 | (1) Public aid payments. This Section does not apply
to | ||||||
7 | payments made for a
public aid recipient.
| ||||||
8 | (2) Teaching. This Section does not apply to a
contract | ||||||
9 | for personal services as
a teacher or school administrator | ||||||
10 | between a member of the General
Assembly or his or her
| ||||||
11 | spouse, or a State officer or employee or his or her | ||||||
12 | spouse, and
any school district, public community college | ||||||
13 | district, the University of
Illinois, Southern Illinois | ||||||
14 | University, Illinois State University, Eastern
Illinois | ||||||
15 | University, Northern Illinois University, Western Illinois | ||||||
16 | University,
Chicago State University, Governor State | ||||||
17 | University, or Northeastern Illinois
University.
| ||||||
18 | (3) Ministerial duties. This Section does not apply to
| ||||||
19 | a contract for personal
services of a wholly ministerial | ||||||
20 | character, including but not
limited to services as a | ||||||
21 | laborer, clerk,
typist, stenographer, page, bookkeeper, | ||||||
22 | receptionist, or telephone
switchboard operator, made
by a | ||||||
23 | spouse or minor child of an elective or appointive State
| ||||||
24 | officer or employee or of a member
of the General Assembly.
| ||||||
25 | (4) Child and family services. This Section does not
| ||||||
26 | apply to payments made
to a member of the General Assembly, | ||||||
27 | a State officer or employee,
his or her spouse or minor
| ||||||
28 | child acting as a foster parent, homemaker, advocate, or | ||||||
29 | volunteer
for or in behalf of a child or
family served by | ||||||
30 | the Department of Children and Family Services.
| ||||||
31 | (5) Licensed professionals. Contracts with licensed | ||||||
32 | professionals,
provided they are competitively bid or part | ||||||
33 | of a reimbursement program for
specific, customary goods | ||||||
34 | and services through the Department of Children and
Family | ||||||
35 | Services, the Department of Human Services,
the Department | ||||||
36 | of Healthcare and Family Services
Public Aid , the |
| |||||||
| |||||||
1 | Department of Public Health, or
the Department on Aging.
| ||||||
2 | (g) Penalty. A person convicted of a violation of this | ||||||
3 | Section is guilty of
a business offense and shall be fined not | ||||||
4 | less than $1,000 nor more than
$5,000.
| ||||||
5 | (Source: P.A. 93-615, eff. 11-19-03; revised 12-15-05.)
| ||||||
6 | (30 ILCS 500/50-20)
| ||||||
7 | Sec. 50-20. Exemptions. With the approval of the | ||||||
8 | appropriate chief
procurement officer involved, the Governor, | ||||||
9 | or an executive ethics board or
commission he or she | ||||||
10 | designates, may exempt named individuals from the
prohibitions | ||||||
11 | of
Section 50-13 when, in his, her, or its judgment, the public | ||||||
12 | interest in
having
the
individual in the service of the State | ||||||
13 | outweighs the public policy evidenced in
that Section. An | ||||||
14 | exemption is effective only when it is filed with the
Secretary | ||||||
15 | of State and the Comptroller within 60 days after its issuance | ||||||
16 | or when performance of the contract begins, whichever is | ||||||
17 | earlier, and includes a statement setting forth
the name of the | ||||||
18 | individual and all the pertinent facts that would make that
| ||||||
19 | Section applicable, setting forth the reason for the exemption, | ||||||
20 | and declaring
the individual exempted from that Section.
| ||||||
21 | Exemptions must be filed with the Secretary of State and | ||||||
22 | Comptroller prior to execution of any contracts. A copy of
| ||||||
23 | Notice of each exemption shall be published in the Illinois | ||||||
24 | Procurement
Bulletin in its electronic form prior to execution | ||||||
25 | of the contract . The changes to this Section made by this | ||||||
26 | amendatory Act of the 94th General Assembly apply to exemptions | ||||||
27 | granted on or after its effective date.
| ||||||
28 | A contract for which a waiver has been issued but has not | ||||||
29 | been filed in accordance with this Section is voidable.
| ||||||
30 | (Source: P.A. 90-572, eff. 2-6-98.)
| ||||||
31 | (30 ILCS 500/50-21 new) | ||||||
32 | Sec. 50-21. Bond issuances. | ||||||
33 | (a) A State agency shall not enter into a contract with | ||||||
34 | respect to the issuance of bonds or other securities by the |
| |||||||
| |||||||
1 | State or a State agency with any entity that uses an | ||||||
2 | independent consultant. | ||||||
3 | As used in this subsection, "independent consultant" means | ||||||
4 | a person used by the entity to obtain or retain securities | ||||||
5 | business through direct or indirect communication by the person | ||||||
6 | with a State official or employee on behalf of the entity when | ||||||
7 | the communication is undertaken by the person in exchange for | ||||||
8 | or with the understanding of receiving payment from the entity | ||||||
9 | or another person. "Independent consultant" does not include | ||||||
10 | (i) a finance professional employed by the entity or (ii) a | ||||||
11 | person whose sole basis of compensation from the entity is the | ||||||
12 | actual provision of legal, accounting, or engineering advice, | ||||||
13 | services, or assistance in connection with the securities | ||||||
14 | business that the entity seeks to obtain or retain. | ||||||
15 | (b) Each contract entered into by a State agency with | ||||||
16 | respect to the issuance of bonds or other securities by the | ||||||
17 | State or a State agency shall include a certification by any | ||||||
18 | contracting party subject to the Municipal Securities | ||||||
19 | Rulemaking Board's Rule G-38, or a successor rule, that the | ||||||
20 | contracting entity is and shall remain for the duration of the | ||||||
21 | contract in compliance with the Rule's requirements for | ||||||
22 | reporting political contributions. Violation of the | ||||||
23 | certification makes the contract voidable by the State and | ||||||
24 | shall bar the awarding of a State agency contract with respect | ||||||
25 | to the issuance of bonds or other securities to the violator | ||||||
26 | for a period of 10 years after the determination of the | ||||||
27 | violation. | ||||||
28 | (c) Any entity convicted of violating the Municipal | ||||||
29 | Securities Rulemaking Board's Rule G-37 or Rule G-38, or any | ||||||
30 | successor rules, with respect to the prohibitions of those | ||||||
31 | rules against obtaining or retaining municipal securities | ||||||
32 | business and the making of political contributions or payments | ||||||
33 | is permanently barred from participating in any State agency | ||||||
34 | contract with respect to the issuance of bonds or other | ||||||
35 | securities.
|
| |||||||
| |||||||
1 | (30 ILCS 500/50-37 new) | ||||||
2 | Sec. 50-37. Contract award disclosure. | ||||||
3 | (a) For the purposes of this Section: | ||||||
4 | "Contracting entity" means an entity that would execute any | ||||||
5 | contract with a State agency. | ||||||
6 | "Key persons" means any persons who (i) have an ownership | ||||||
7 | or distributive income share in the contracting entity that is | ||||||
8 | in excess of 5%, or an amount greater than 60% of the annual | ||||||
9 | salary of the Governor, or (ii) serve as executive officers of | ||||||
10 | the contracting entity. | ||||||
11 | (b) For contracts with an annual value of $50,000 or more, | ||||||
12 | all offers from responsive bidders or offerors shall be | ||||||
13 | accompanied by disclosure of the names and addresses of the | ||||||
14 | following: | ||||||
15 | (1) The contracting entity. | ||||||
16 | (2) Any entity that is a parent of, or owns a | ||||||
17 | controlling interest in, the contracting entity. | ||||||
18 | (3) Any entity that is a subsidiary of, or in which a | ||||||
19 | controlling interest is owned by, the contracting entity. | ||||||
20 | (4) The contracting entity's key persons. | ||||||
21 | (c) Notices of contracts let or awarded published in the | ||||||
22 | Procurement Bulletin pursuant to Section 15-25 shall include as | ||||||
23 | part of the notice posted online the names disclosed by the | ||||||
24 | winning bidder or offeror pursuant to subsection (b). | ||||||
25 | (d) The changes made to this Section made by this | ||||||
26 | amendatory Act of the 94th General Assembly apply to contracts | ||||||
27 | first offered on or after its effective date. | ||||||
28 | Section 35. The Illinois Pension Code is amended by | ||||||
29 | changing Sections 1-101.2, 1-101.4, 1-109.1, 1-110, 1-113.5, | ||||||
30 | 1-113.12, 1A-113, 22A-108.1, and 22A-111 and by adding Sections | ||||||
31 | 1-125, 1-130, 1-135, and 1-140 as follows:
| ||||||
32 | (40 ILCS 5/1-101.2)
| ||||||
33 | Sec. 1-101.2. Fiduciary. A person is a "fiduciary" with | ||||||
34 | respect to a
pension fund or retirement system established |
| |||||||
| |||||||
1 | under this Code to
the extent
that the person:
| ||||||
2 | (1) exercises any discretionary authority or | ||||||
3 | discretionary control
respecting management of the pension | ||||||
4 | fund or retirement system, or exercises
any authority or | ||||||
5 | control respecting management or disposition of its | ||||||
6 | assets;
| ||||||
7 | (2) renders investment advice , or advice with respect | ||||||
8 | to the selection of other fiduciaries, for a fee or other | ||||||
9 | compensation, direct or
indirect, with respect to any | ||||||
10 | moneys or other property of the pension fund or
retirement | ||||||
11 | system, or has any authority or responsibility to do so; or
| ||||||
12 | (3) has any discretionary authority or discretionary | ||||||
13 | responsibility in the
administration of the pension fund or | ||||||
14 | retirement system.
| ||||||
15 | (Source: P.A. 90-507, eff. 8-22-97 .)
| ||||||
16 | (40 ILCS 5/1-101.4)
| ||||||
17 | Sec. 1-101.4. Investment adviser. A person is an | ||||||
18 | "investment adviser",
"investment advisor", or "investment | ||||||
19 | manager" with respect to a pension fund or
retirement system | ||||||
20 | established under this Code if the
the person:
| ||||||
21 | (1) is a fiduciary appointed by the board of trustees | ||||||
22 | of the pension fund
or retirement system in accordance with | ||||||
23 | Section 1-109.1;
| ||||||
24 | (2) has the power to manage, acquire, or dispose of any | ||||||
25 | asset of the
retirement system or pension fund;
| ||||||
26 | (3) has acknowledged in writing that he or she is a | ||||||
27 | fiduciary with respect
to the pension fund or retirement | ||||||
28 | system; and
| ||||||
29 | (4) is at least one of the following: (i) registered as | ||||||
30 | an investment
adviser under the federal Investment | ||||||
31 | Advisers Act of 1940 (15 U.S.C. 80b-1, et
seq.); (ii) | ||||||
32 | registered as an investment adviser under the Illinois | ||||||
33 | Securities
Law of 1953; (iii) a bank, as defined in the | ||||||
34 | Investment Advisers Act of 1940;
or (iv) an insurance | ||||||
35 | company authorized to transact business in this State.
|
| |||||||
| |||||||
1 | (Source: P.A. 90-507, eff. 8-22-97.)
| ||||||
2 | (40 ILCS 5/1-109.1) (from Ch. 108 1/2, par. 1-109.1)
| ||||||
3 | Sec. 1-109.1. Allocation and Delegation of Fiduciary | ||||||
4 | Duties.
| ||||||
5 | (1) Subject to the provisions of Section 22A-113 of this | ||||||
6 | Code and
subsections (2) and (3) of this Section, the board of | ||||||
7 | trustees of a
retirement system or pension fund established | ||||||
8 | under this Code may:
| ||||||
9 | (a) Appoint one or more investment managers as | ||||||
10 | fiduciaries to manage
(including the power to acquire and | ||||||
11 | dispose of) any assets of the
retirement system or pension | ||||||
12 | fund; and
| ||||||
13 | (b) Allocate duties among themselves and designate | ||||||
14 | others as fiduciaries
to carry out specific fiduciary | ||||||
15 | activities other than the management of the
assets of the | ||||||
16 | retirement system or pension fund.
| ||||||
17 | (2) The board of trustees of a pension fund established | ||||||
18 | under Article 5, 6,
8, 9, 10, 11, 12 or 17 of this Code may not | ||||||
19 | transfer its investment authority,
nor transfer the assets of | ||||||
20 | the fund to any other person or entity for the
purpose of | ||||||
21 | consolidating or merging its assets and management with any | ||||||
22 | other
pension fund or public investment authority, unless the | ||||||
23 | board resolution
authorizing such transfer is submitted for | ||||||
24 | approval to the contributors and
pensioners of the fund at | ||||||
25 | elections held not less than 30 days after the
adoption of such | ||||||
26 | resolution by the board, and such resolution is approved by a
| ||||||
27 | majority of the votes cast on the question in both the | ||||||
28 | contributors election
and the pensioners election. The | ||||||
29 | election procedures and qualifications
governing the election | ||||||
30 | of trustees shall govern the submission of resolutions
for | ||||||
31 | approval under this paragraph, insofar as they may be made | ||||||
32 | applicable.
| ||||||
33 | (3) Pursuant to subsections (h) and (i) of Section 6 of | ||||||
34 | Article VII of
the Illinois Constitution, the investment | ||||||
35 | authority of boards of trustees
of retirement systems and |
| |||||||
| |||||||
1 | pension funds established under this Code is declared
to be a | ||||||
2 | subject of exclusive State jurisdiction, and the concurrent | ||||||
3 | exercise
by a home rule unit of any power affecting such | ||||||
4 | investment authority is
hereby specifically denied and | ||||||
5 | preempted.
| ||||||
6 | (4) For the purposes of this Code, "emerging investment | ||||||
7 | manager" means a
qualified investment adviser that manages an | ||||||
8 | investment portfolio of at
least $10,000,000 but less than | ||||||
9 | $2,000,000,000 and is a
"minority owned business" or "female | ||||||
10 | owned business" as those terms are
defined in the Business | ||||||
11 | Enterprise for Minorities,
Females, and Persons with | ||||||
12 | Disabilities Act.
| ||||||
13 | It is hereby declared to be the public policy of the State | ||||||
14 | of Illinois to
encourage the trustees of public employee | ||||||
15 | retirement systems
to use emerging investment managers in | ||||||
16 | managing their system's assets to the
greatest extent feasible | ||||||
17 | within the bounds of financial and fiduciary
prudence, and to | ||||||
18 | take affirmative steps to remove any barriers to the full
| ||||||
19 | participation of emerging investment managers in investment | ||||||
20 | opportunities
afforded by those retirement systems.
| ||||||
21 | On or before July 1, 2006 each system or fund subject to | ||||||
22 | Article 2, 5, 6, 7, 8, 9, 10, 11, 12, 14, 15, 16, 17, or 18 of | ||||||
23 | this Code and the Illinois State Board of Investment shall | ||||||
24 | adopt a policy including quantifiable goals for the utilization | ||||||
25 | of emerging investment managers. This policy shall also include | ||||||
26 | quantifiable goals for the management of assets in specific | ||||||
27 | classes by emerging investment managers, including but not | ||||||
28 | limited to: large cap domestic equity, small and medium cap | ||||||
29 | domestic equity, international equity, fixed income | ||||||
30 | investments, and private equity.
| ||||||
31 | Each retirement system subject to this Code shall prepare a
| ||||||
32 | report to be submitted to the Governor and the General Assembly | ||||||
33 | by
September 1 of each year. The report shall identify the | ||||||
34 | emerging
investment managers used by the system, the percentage | ||||||
35 | of the system's
assets under the investment control of emerging | ||||||
36 | investment managers, and
the actions it has undertaken to |
| |||||||
| |||||||
1 | increase the use of emerging investment
managers, including | ||||||
2 | encouraging other investment managers to use emerging
| ||||||
3 | investment managers as subcontractors when the opportunity | ||||||
4 | arises.
| ||||||
5 | The use of an emerging investment manager does not | ||||||
6 | constitute a transfer
of investment authority for the purposes | ||||||
7 | of subsection (2) of this Section.
| ||||||
8 | (Source: P.A. 94-471, eff. 8-4-05.)
| ||||||
9 | (40 ILCS 5/1-110) (from Ch. 108 1/2, par. 1-110)
| ||||||
10 | Sec. 1-110. Prohibited Transactions.
| ||||||
11 | (a) A fiduciary with respect to a retirement system or | ||||||
12 | pension fund shall
not cause the retirement system or pension | ||||||
13 | fund to engage in a transaction if
he or she knows or should | ||||||
14 | know that such transaction constitutes a direct or
indirect:
| ||||||
15 | (1) Sale or exchange, or leasing of any property from | ||||||
16 | the retirement
system
or pension fund to a party in | ||||||
17 | interest for less than adequate consideration,
or from a | ||||||
18 | party in interest to a retirement system or pension fund | ||||||
19 | for more
than adequate consideration.
| ||||||
20 | (2) Lending of money or other extension of credit from | ||||||
21 | the retirement
system or pension fund to a party in | ||||||
22 | interest without the receipt of adequate
security and a | ||||||
23 | reasonable rate of interest, or from a party in interest to
| ||||||
24 | a retirement system or pension fund with the provision of | ||||||
25 | excessive security
or an unreasonably high rate of | ||||||
26 | interest.
| ||||||
27 | (3) Furnishing of goods, services or facilities from | ||||||
28 | the retirement
system or pension fund to a party in | ||||||
29 | interest for less than adequate
consideration, or from a | ||||||
30 | party in interest to a retirement system or
pension fund | ||||||
31 | for more than adequate consideration.
| ||||||
32 | (4) Transfer to, or use by or for the benefit of, a | ||||||
33 | party in interest
of any assets of a retirement system or | ||||||
34 | pension fund for less than adequate
consideration.
| ||||||
35 | (b) A fiduciary with respect to a retirement system or |
| |||||||
| |||||||
1 | pension fund
established under this Code shall not:
| ||||||
2 | (1) Deal with the assets of the retirement system or | ||||||
3 | pension fund in his
own interest or for his own account;
| ||||||
4 | (2) In his individual or any other capacity act in any | ||||||
5 | transaction
involving the retirement system or pension | ||||||
6 | fund on behalf of a party whose
interests are adverse to | ||||||
7 | the interests of the retirement system or pension fund
or | ||||||
8 | the interests of its participants or beneficiaries; or
| ||||||
9 | (3) Receive any consideration for his own personal | ||||||
10 | account from any party
dealing with the retirement system | ||||||
11 | or pension fund in connection with a
transaction involving | ||||||
12 | the assets of the retirement system or pension
fund.
| ||||||
13 | (c) Nothing in this Section shall be construed to prohibit | ||||||
14 | any trustee from:
| ||||||
15 | (1) Receiving any benefit to which he may be entitled | ||||||
16 | as a participant
or beneficiary in the retirement system or | ||||||
17 | pension fund.
| ||||||
18 | (2) Receiving any reimbursement of expenses properly | ||||||
19 | and actually incurred
in the performance of his duties with | ||||||
20 | the retirement system or pension fund.
| ||||||
21 | (3) Serving as a trustee in addition to being an | ||||||
22 | officer, employee, agent
or other representative of a party | ||||||
23 | in interest.
| ||||||
24 | (d) A fiduciary with respect to a retirement system or | ||||||
25 | pension fund shall
not knowingly cause or advise the retirement | ||||||
26 | system or pension fund to engage in an investment transaction | ||||||
27 | when the fiduciary (i) has any direct interest in
the income, | ||||||
28 | gains, or profits of the investment advisor through which the | ||||||
29 | investment transaction is made or (ii) has a business | ||||||
30 | relationship with that investment advisor that would result in | ||||||
31 | a pecuniary benefit to the fiduciary as a result of the | ||||||
32 | investment transaction. | ||||||
33 | Whoever violates the provisions of this
subsection (d) is | ||||||
34 | guilty of a Class 3 felony.
| ||||||
35 | (Source: P.A. 88-535.)
|
| |||||||
| |||||||
1 | (40 ILCS 5/1-113.5)
| ||||||
2 | Sec. 1-113.5. Investment advisers ; consultants; and | ||||||
3 | investment services.
| ||||||
4 | (a) The board of trustees of a pension fund or retirement | ||||||
5 | system may appoint investment advisers
as defined in Section | ||||||
6 | 1-101.4. The board of any pension fund investing in
common or | ||||||
7 | preferred stock under Section 1-113.4 shall appoint an | ||||||
8 | investment
adviser before making such investments.
| ||||||
9 | The investment adviser shall be a fiduciary, as defined in | ||||||
10 | Section 1-101.2,
with respect to the pension fund or retirement | ||||||
11 | system and shall be one of the following:
| ||||||
12 | (1) an investment adviser registered under the federal | ||||||
13 | Investment Advisers
Act of 1940 and the Illinois Securities | ||||||
14 | Law of 1953;
| ||||||
15 | (2) a bank or trust company authorized to conduct a | ||||||
16 | trust business in
Illinois;
| ||||||
17 | (3) a life insurance company authorized to transact | ||||||
18 | business in Illinois;
or
| ||||||
19 | (4) an investment company as defined and registered | ||||||
20 | under the federal
Investment Company Act of 1940 and | ||||||
21 | registered under the Illinois Securities Law
of 1953.
| ||||||
22 | (a-5) Notwithstanding any other provision of law, a person | ||||||
23 | or entity that provides consulting services (referred to as a | ||||||
24 | "consultant" in this Section) to a pension fund or retirement | ||||||
25 | system with respect to the selection of fiduciaries may not be | ||||||
26 | awarded a contract to provide those consulting services that is | ||||||
27 | more than 5 years in duration. No contract to provide such | ||||||
28 | consulting services may be renewed or extended. At the end of | ||||||
29 | the term of a contract, however, the contractor is eligible to | ||||||
30 | compete for a new contract as provided in subsection (a-10). No | ||||||
31 | pension fund, retirement system, or consultant shall attempt to | ||||||
32 | avoid or contravene the restrictions of this subsection by any | ||||||
33 | means.
| ||||||
34 | (a-10) For the board of trustees of a pension fund or | ||||||
35 | retirement system created under Article 2, 14, 15, 16, or 18, | ||||||
36 | the selection and appointment of a consultant, and the |
| |||||||
| |||||||
1 | contracting for investment services from a consultant, | ||||||
2 | constitute procurements of professional and artistic services | ||||||
3 | under the Illinois Procurement Code that must be made and | ||||||
4 | awarded in accordance with and through the use of the method of | ||||||
5 | selection required by Article 35 of that Code. For the board of | ||||||
6 | trustees of a pension fund or retirement system created under | ||||||
7 | any other Article of this Code, the selection and appointment | ||||||
8 | of a consultant, and the contracting for investment services by | ||||||
9 | a consultant, constitute procurements that must be made and | ||||||
10 | awarded in a manner substantially similar to the method of | ||||||
11 | selection required for the procurement of professional and | ||||||
12 | artistic services under Article 35 of the Illinois Procurement | ||||||
13 | Code. All offers from responsive offerors shall be accompanied | ||||||
14 | by disclosure of the names and addresses of the following:
| ||||||
15 | (1) The offeror. | ||||||
16 | (2) Any entity that is a parent of, or owns a | ||||||
17 | controlling interest in, the offeror. | ||||||
18 | (3) Any entity that is a subsidiary of, or in which a | ||||||
19 | controlling interest is owned by, the offeror. | ||||||
20 | (4) The offeror's key persons. | ||||||
21 | "Key persons" means any persons who (i) have an ownership | ||||||
22 | or distributive income share in the offeror that is in excess | ||||||
23 | of 5%, or an amount greater than 60% of the annual salary of | ||||||
24 | the Governor, or (ii) serve as executive officers of the | ||||||
25 | offeror. | ||||||
26 | Beginning on July 1, 2006, a person, other than a trustee | ||||||
27 | or an employee of a pension fund or retirement system, may not | ||||||
28 | act as a consultant under this Section unless that person is at | ||||||
29 | least one of the following: (i) registered as an investment | ||||||
30 | adviser under the federal Investment Advisers Act of 1940 (15 | ||||||
31 | U.S.C. 80b-1, et seq.); (ii) registered as an investment | ||||||
32 | adviser under the Illinois Securities Law of 1953; (iii) a | ||||||
33 | bank, as defined in the Investment Advisers Act of 1940; or | ||||||
34 | (iv) an insurance company authorized to transact business in | ||||||
35 | this State.
| ||||||
36 | (b) All investment advice and services provided by an |
| |||||||
| |||||||
1 | investment adviser
or a consultant appointed under this Section | ||||||
2 | shall be (i) rendered pursuant to a written contract
between | ||||||
3 | the investment adviser or consultant and the board , awarded as | ||||||
4 | provided in subsection (a-10) , and (ii) in accordance with the
| ||||||
5 | board's investment policy.
| ||||||
6 | The contract shall include all of the following:
| ||||||
7 | (1) acknowledgement in writing by the investment | ||||||
8 | adviser or consultant that he or she
is a fiduciary with | ||||||
9 | respect to the pension fund or retirement system ;
| ||||||
10 | (2) the board's investment policy;
| ||||||
11 | (3) full disclosure of direct and indirect fees, | ||||||
12 | commissions, penalties,
and any other compensation that | ||||||
13 | may be received by the investment adviser or consultant ,
| ||||||
14 | including reimbursement for expenses; and
| ||||||
15 | (4) a requirement that the investment adviser or | ||||||
16 | consultant submit periodic written
reports, on at least a | ||||||
17 | quarterly basis, for the board's review at its regularly
| ||||||
18 | scheduled meetings. All returns on investment shall be | ||||||
19 | reported as net returns
after payment of all fees, | ||||||
20 | commissions, and any other compensation.
| ||||||
21 | (b-5) Each contract described in subsection (b) shall also | ||||||
22 | include (i) full disclosure of direct and indirect fees, | ||||||
23 | commissions, penalties, and other compensation, including | ||||||
24 | reimbursement for expenses, that may be paid by or on behalf of | ||||||
25 | the investment adviser or consultant in connection with the | ||||||
26 | provision of services to the pension fund or retirement system | ||||||
27 | and (ii) a requirement that the investment adviser or | ||||||
28 | consultant update the disclosure promptly after a modification | ||||||
29 | of those payments or an additional payment. | ||||||
30 | Within 30 days after the effective date of this amendatory | ||||||
31 | Act of the 94th General Assembly, each investment adviser and | ||||||
32 | consultant currently providing services or subject to an | ||||||
33 | existing contract for the provision of services must disclose | ||||||
34 | to the board of trustees all direct and indirect fees, | ||||||
35 | commissions, penalties, and other compensation paid by or on | ||||||
36 | behalf of the investment adviser or consultant in connection |
| |||||||
| |||||||
1 | with the provision of those services and shall update that | ||||||
2 | disclosure promptly after a modification of those payments or | ||||||
3 | an additional payment.
| ||||||
4 | A person required to make a disclosure under subsection (d) | ||||||
5 | is also required to disclose direct and indirect fees, | ||||||
6 | commissions, penalties, or other compensation that shall or may | ||||||
7 | be paid by or on behalf of the person in connection with the | ||||||
8 | rendering of those services. The person shall update the | ||||||
9 | disclosure promptly after a modification of those payments or | ||||||
10 | an additional payment. | ||||||
11 | The disclosures required by this subsection shall be in | ||||||
12 | writing and shall include the date and amount of each payment | ||||||
13 | and the name and address of each recipient of a payment.
| ||||||
14 | (c) Within 30 days after appointing an investment adviser | ||||||
15 | or consultant , the board shall
submit a copy of the contract to | ||||||
16 | the Division
Department of Insurance of the Department of | ||||||
17 | Financial and Professional Regulation .
| ||||||
18 | (d) Investment services provided by a person other than an | ||||||
19 | investment
adviser appointed under this Section, including but | ||||||
20 | not limited to services
provided by the kinds of persons listed | ||||||
21 | in items (1) through (4) of subsection
(a), shall be rendered | ||||||
22 | only after full written disclosure of direct and
indirect fees, | ||||||
23 | commissions, penalties, and any other compensation that shall | ||||||
24 | or
may be received by the person rendering those services.
| ||||||
25 | (e) The board of trustees of each pension fund or | ||||||
26 | retirement system shall retain records of
investment | ||||||
27 | transactions in accordance with the rules of the Department of
| ||||||
28 | Financial and Professional Regulation
Insurance .
| ||||||
29 | (f) This subsection applies to the board of trustees of a | ||||||
30 | pension fund or retirement system created under Article 2, 14, | ||||||
31 | 15, 16, or 18. Notwithstanding any other provision of law, a | ||||||
32 | board of trustees shall comply with the Business Enterprise for | ||||||
33 | Minorities, Females, and Persons with Disabilities Act. The | ||||||
34 | board of trustees shall post upon its website the percentage of | ||||||
35 | its contracts awarded under this Section currently and during | ||||||
36 | the preceding 5 fiscal years that were awarded to "minority |
| |||||||
| |||||||
1 | owned businesses", "female owned businesses", and "businesses | ||||||
2 | owned by a person with a disability", as those terms are | ||||||
3 | defined in the Business Enterprise for Minorities, Females, and | ||||||
4 | Persons with Disabilities Act.
| ||||||
5 | (g) This Section is a denial and limitation of home rule | ||||||
6 | powers and functions in accordance with subsection (i) of | ||||||
7 | Section 6 of Article VII of the Illinois Constitution. A home | ||||||
8 | rule unit may not regulate investment adviser and consultant | ||||||
9 | contracts in a manner that is less restrictive than the | ||||||
10 | provisions of this Section.
| ||||||
11 | (Source: P.A. 90-507, eff. 8-22-97.)
| ||||||
12 | (40 ILCS 5/1-113.12)
| ||||||
13 | Sec. 1-113.12. Application. Sections 1-113.1 through | ||||||
14 | 1-113.10 apply only
to pension funds established under Article | ||||||
15 | 3 or 4 of this Code , except that Section 1-113.5 applies to all | ||||||
16 | pension funds and retirement systems established under this | ||||||
17 | Code .
| ||||||
18 | (Source: P.A. 90-507, eff. 8-22-97.)
| ||||||
19 | (40 ILCS 5/1-125 new) | ||||||
20 | Sec. 1-125. No monetary gain on investments. No trustee or | ||||||
21 | employee of the board of any retirement system or pension fund | ||||||
22 | or of the Illinois State Board of Investment shall have any | ||||||
23 | direct interest in
the income, gains, or profits of any | ||||||
24 | investments made in behalf of the
retirement system or pension | ||||||
25 | fund or of the Illinois State Board of Investment, nor receive | ||||||
26 | any pay
or emolument for services in
connection with any | ||||||
27 | investment. No trustee or employee of the board of any | ||||||
28 | retirement system or pension fund or the Illinois State Board | ||||||
29 | of Investment shall
become an endorser or surety, or in any | ||||||
30 | manner an obligor for money loaned
or borrowed from the | ||||||
31 | retirement system or pension fund or the Illinois State Board | ||||||
32 | of Investment. Whoever violates any of the provisions of this
| ||||||
33 | Section is guilty of a Class 3 felony. |
| |||||||
| |||||||
1 | (40 ILCS 5/1-130 new) | ||||||
2 | Sec. 1-130. Fraud. Any person who knowingly makes any false | ||||||
3 | statement, or falsifies or
permits to be falsified any record | ||||||
4 | of a retirement system or pension fund or of the Illinois State | ||||||
5 | Board of Investment, in an attempt to
defraud the retirement | ||||||
6 | system or pension fund or the Illinois State Board of | ||||||
7 | Investment, is guilty of a Class 3 felony. | ||||||
8 | (40 ILCS 5/1-135 new) | ||||||
9 | Sec. 1-135. Prohibition on gifts. | ||||||
10 | (a) For the purposes of this Section: | ||||||
11 | (1) "Board" means (i) the board of trustees of a | ||||||
12 | pension fund or retirement system created under this Code | ||||||
13 | or (ii) the Illinois State Board of Investment created | ||||||
14 | under Article 22A of this Code. | ||||||
15 | (2) "Gift" means a gift as defined in Section 1-5 of | ||||||
16 | the State Officials and Employees Ethics Act. | ||||||
17 | (3) "Prohibited source" is a person or entity who: | ||||||
18 | (i) is seeking official action (A) by the board, | ||||||
19 | (B) by a board member, or (C) in the case of a board | ||||||
20 | employee, by the employee, the board, a board member, | ||||||
21 | or another employee directing the employee; | ||||||
22 | (ii) does business or seeks to do business (A) with | ||||||
23 | the board, (B) with a board member, or (C) in the case | ||||||
24 | of a board employee, with the employee, the board, a | ||||||
25 | board member, or another employee directing the | ||||||
26 | employee; | ||||||
27 | (iii) has interests that may be substantially | ||||||
28 | affected by the performance or non-performance of the | ||||||
29 | official duties of the board member or employee; or | ||||||
30 | (iv) is registered or required to be registered | ||||||
31 | with the Secretary of State under the Lobbyist | ||||||
32 | Registration Act, except that an entity not otherwise a | ||||||
33 | prohibited source does not become a prohibited source | ||||||
34 | merely because a registered lobbyist is one of its | ||||||
35 | members or serves on its board of directors.
|
| |||||||
| |||||||
1 | (b) No board member or employee shall solicit or accept any | ||||||
2 | gift from a prohibited source or from an officer, agent, or | ||||||
3 | employee of a prohibited source. No prohibited source or | ||||||
4 | officer, agent, or employee of a prohibited source shall offer | ||||||
5 | to a board member or employee any gift. | ||||||
6 | (c) Violation of this Section is a Class A misdemeanor. | ||||||
7 | (40 ILCS 5/1-140 new)
| ||||||
8 | Sec. 1-140. Contingent fees. No person shall retain or | ||||||
9 | employ another to attempt to influence the outcome of an | ||||||
10 | investment decision of or the procurement of investment advice | ||||||
11 | or services by a board of a pension fund or retirement system | ||||||
12 | or the Illinois State Board of Investment for compensation | ||||||
13 | contingent in whole or in part upon the decision or | ||||||
14 | procurement, and no person shall accept any such retainer or | ||||||
15 | employment for compensation contingent in whole or in part upon | ||||||
16 | the decision or procurement. Any person who violates this | ||||||
17 | Section is guilty of a business offense and shall be fined not | ||||||
18 | more than $10,000. In addition, any person convicted of a | ||||||
19 | violation of this Section is prohibited for a period of 3 years | ||||||
20 | from conducting such activities.
| ||||||
21 | (40 ILCS 5/1A-113)
| ||||||
22 | Sec. 1A-113. Penalties.
| ||||||
23 | (a) A pension fund that fails, without just cause, to file | ||||||
24 | its annual
statement within the time prescribed under Section | ||||||
25 | 1A-109 shall pay to the
Department a penalty to be determined | ||||||
26 | by the Department, which shall not exceed
$100 for each day's | ||||||
27 | delay.
| ||||||
28 | (b) A pension fund that fails, without just cause, to file | ||||||
29 | its actuarial
statement within the time prescribed under | ||||||
30 | Section 1A-110 or 1A-111 shall pay
to the Department a penalty | ||||||
31 | to be determined by the Department, which shall not
exceed $100 | ||||||
32 | for each day's delay.
| ||||||
33 | (c) A pension fund that fails to pay a fee within the time | ||||||
34 | prescribed under
Section 1A-112 shall pay to the Department a |
| |||||||
| |||||||
1 | penalty of 5% of the amount of the
fee for each month or part of | ||||||
2 | a month that the fee is late. The entire penalty
shall not | ||||||
3 | exceed 25% of the fee due.
| ||||||
4 | (d) This subsection applies to any governmental unit, as | ||||||
5 | defined in Section
1A-102, that is subject to any law | ||||||
6 | establishing a pension fund or retirement
system for the | ||||||
7 | benefit of employees of the governmental unit.
| ||||||
8 | Whenever the Division determines by examination, | ||||||
9 | investigation, or in any
other manner that the governing body | ||||||
10 | or any elected or appointed officer or
official of a | ||||||
11 | governmental unit has failed to comply with any provision of | ||||||
12 | that
law:
| ||||||
13 | (1) The Director shall notify in writing the governing | ||||||
14 | body, officer, or
official of the specific provision or | ||||||
15 | provisions of the law with which the
person has failed to | ||||||
16 | comply.
| ||||||
17 | (2) Upon receipt of the notice, the person notified | ||||||
18 | shall take immediate
steps to comply with the provisions of | ||||||
19 | law specified in the notice.
| ||||||
20 | (3) If the person notified fails to comply within a | ||||||
21 | reasonable time after
receiving the notice, the Director | ||||||
22 | may hold a hearing at which the person
notified may show | ||||||
23 | cause for noncompliance with the law.
| ||||||
24 | (4) If upon hearing the Director determines that good | ||||||
25 | and sufficient cause
for noncompliance has not been shown, | ||||||
26 | the Director may order the person to
submit evidence of | ||||||
27 | compliance within a specified period of not less than 30
| ||||||
28 | days.
| ||||||
29 | (5) If evidence of compliance has not been submitted to | ||||||
30 | the Director
within the period of time prescribed in the | ||||||
31 | order and no administrative appeal
from the order has been | ||||||
32 | initiated, the Director may assess a civil penalty of
up to | ||||||
33 | $2,000 against the governing body, officer, or
official for | ||||||
34 | each noncompliance with an order of the Director.
| ||||||
35 | The Director shall develop by rule, with as much | ||||||
36 | specificity as
practicable, the standards and criteria to be |
| |||||||
| |||||||
1 | used in assessing penalties and
their amounts. The standards | ||||||
2 | and criteria shall include, but need not be
limited to, | ||||||
3 | consideration of evidence of efforts made in good faith to | ||||||
4 | comply
with applicable legal requirements. This rulemaking is | ||||||
5 | subject to the
provisions of the Illinois Administrative | ||||||
6 | Procedure Act.
| ||||||
7 | If a penalty is not paid within 30 days of the date of | ||||||
8 | assessment, the
Director without further notice shall report | ||||||
9 | the act of noncompliance to the
Attorney General of this State. | ||||||
10 | It shall be the duty of the Attorney General
or, if the | ||||||
11 | Attorney General so designates, the State's Attorney of the | ||||||
12 | county
in which the governmental unit is located to apply | ||||||
13 | promptly by complaint on
relation of the Director of Insurance | ||||||
14 | in the name of the people of the State of
Illinois, as | ||||||
15 | plaintiff, to the circuit court of the county in which the
| ||||||
16 | governmental unit is located for enforcement of the penalty | ||||||
17 | prescribed in this
subsection or for such additional relief as | ||||||
18 | the nature of the case and the
interest of the employees of the | ||||||
19 | governmental unit or the public may require.
| ||||||
20 | (e)
Whoever knowingly makes a false certificate, entry, or | ||||||
21 | memorandum upon
any of the books or papers pertaining to any | ||||||
22 | pension fund or upon any
statement, report, or exhibit filed or | ||||||
23 | offered for file with the Division or
the Director of Insurance | ||||||
24 | in the course of any examination, inquiry, or
investigation, | ||||||
25 | with intent to deceive the Director, the Division, or any of | ||||||
26 | its
employees is guilty of a Class 3 felony
A misdemeanor .
| ||||||
27 | (Source: P.A. 90-507, eff. 8-22-97.)
| ||||||
28 | (40 ILCS 5/22A-108.1) (from Ch. 108 1/2, par. 22A-108.1)
| ||||||
29 | Sec. 22A-108.1. Investment Advisor: Any person or business | ||||||
30 | entity
which provides investment advice to the
the Board on a | ||||||
31 | personalized basis and with an
understanding of the policies | ||||||
32 | and goals of the Board. "Investment Advisor" shall
not include | ||||||
33 | any person or business entity which provides statistical or | ||||||
34 | general
market research data available for purchase or use by | ||||||
35 | others.
|
| |||||||
| |||||||
1 | (Source: P.A. 79-1171.)
| ||||||
2 | (40 ILCS 5/22A-111) (from Ch. 108 1/2, par. 22A-111)
| ||||||
3 | Sec. 22A-111. Duties and responsibilities.
| ||||||
4 | (a) The Board shall manage the investments of any pension
| ||||||
5 | fund, retirement system or education fund for the purpose
of | ||||||
6 | obtaining a total return on
investments for the long term. It | ||||||
7 | also shall perform such other functions as
may be assigned or | ||||||
8 | directed by the General Assembly.
| ||||||
9 | (b) The authority of the board to manage pension fund | ||||||
10 | investments and the
liability shall begin when there has been a | ||||||
11 | physical transfer of the pension
fund investments to the board | ||||||
12 | and placed in the custody of the State Treasurer.
| ||||||
13 | (c) The authority of the board to manage monies from the | ||||||
14 | education fund for
investment and the liability of the board | ||||||
15 | shall begin when there has been a
physical transfer of | ||||||
16 | education fund investments to the board and placed in
the | ||||||
17 | custody of the State Treasurer.
| ||||||
18 | (d) The board may not delegate its management functions but | ||||||
19 | it may arrange
to compensate for personalized investment | ||||||
20 | advisory service
for any or all investments under its control, | ||||||
21 | with any national or state bank
or trust company authorized to | ||||||
22 | do a trust business and domiciled in Illinois,
or other | ||||||
23 | financial institution organized under the laws of Illinois, or | ||||||
24 | an
investment advisor who is qualified under Federal Investment | ||||||
25 | Advisors Act of 1940
and is registered under the Illinois | ||||||
26 | Securities Law of 1953. Nothing contained
herein shall prevent | ||||||
27 | the Board from subscribing to general investment research
| ||||||
28 | services available for purchase or use by others. The Board | ||||||
29 | shall also have
the authority to compensate for accounting | ||||||
30 | services.
| ||||||
31 | (e) Notwithstanding any other provision of law, a person or | ||||||
32 | entity that provides consulting services (referred to as a | ||||||
33 | "consultant" in this Section) to the board with respect to the | ||||||
34 | selection of fiduciaries may not be awarded a contract to | ||||||
35 | provide those consulting services that is more than 5 years in |
| |||||||
| |||||||
1 | duration. No contract to provide such consulting services may | ||||||
2 | be renewed or extended. At the end of the term of a contract, | ||||||
3 | however, the contractor is eligible to compete for a new | ||||||
4 | contract as provided in subsection (f). Neither the board nor a | ||||||
5 | consultant shall attempt to avoid or contravene the | ||||||
6 | restrictions of this subsection by any means.
| ||||||
7 | (f) The selection of a consultant, and the contracting for | ||||||
8 | investment services from a consultant, constitute procurements | ||||||
9 | of professional and artistic services under the Illinois | ||||||
10 | Procurement Code that must be made and awarded in accordance | ||||||
11 | with and through the use of the method of selection required by | ||||||
12 | Article 35 of that Code. All offers from responsive offerors | ||||||
13 | shall be accompanied by disclosure of the names and addresses | ||||||
14 | of the following: | ||||||
15 | (1) The offeror. | ||||||
16 | (2) Any entity that is a parent of, or owns a | ||||||
17 | controlling interest in, the offeror. | ||||||
18 | (3) Any entity that is a subsidiary of, or in which a | ||||||
19 | controlling interest is owned by, the offeror. | ||||||
20 | (4) The offeror's key persons. | ||||||
21 | "Key persons" means any persons who (i) have an ownership | ||||||
22 | or distributive income share in the offeror that is in excess | ||||||
23 | of 5%, or an amount greater than 60% of the annual salary of | ||||||
24 | the Governor, or (ii) serve as executive officers of the | ||||||
25 | offeror. | ||||||
26 | Beginning on July 1, 2006, a person, other than a trustee | ||||||
27 | or an employee of the board, may not act as a consultant under | ||||||
28 | this Section unless that person is at least one of the | ||||||
29 | following: (i) registered as an investment adviser under the | ||||||
30 | federal Investment Advisers Act of 1940 (15 U.S.C. 80b-1, et | ||||||
31 | seq.); (ii) registered as an investment adviser under the | ||||||
32 | Illinois Securities Law of 1953; (iii) a bank, as defined in | ||||||
33 | the Investment Advisers Act of 1940; or (iv) an insurance | ||||||
34 | company authorized to transact business in this State.
| ||||||
35 | In addition to any other requirement, each contract between | ||||||
36 | the Board and an investment advisor or consultant shall include |
| |||||||
| |||||||
1 | (i) full disclosure of direct and indirect fees, commissions, | ||||||
2 | penalties, and other compensation, including reimbursement for | ||||||
3 | expenses, that may be paid by or on behalf of the investment | ||||||
4 | advisor or consultant in connection with the provision of | ||||||
5 | services to the pension fund or retirement system and (ii) a | ||||||
6 | requirement that the investment advisor or consultant update | ||||||
7 | the disclosure promptly after a modification of those payments | ||||||
8 | or an additional payment. | ||||||
9 | Within 30 days after the effective date of this amendatory | ||||||
10 | Act of the 94th General Assembly, each investment advisor and | ||||||
11 | consultant currently providing services or subject to an | ||||||
12 | existing contract for the provision of services must disclose | ||||||
13 | to the Board all direct and indirect fees, commissions, | ||||||
14 | penalties, and other compensation paid by or on behalf of the | ||||||
15 | investment advisor or consultant in connection with the | ||||||
16 | provision of those services and shall update that disclosure | ||||||
17 | promptly after a modification of those payments or an | ||||||
18 | additional payment. | ||||||
19 | The disclosures required by this subsection shall be in | ||||||
20 | writing and shall include the date and amount of each payment | ||||||
21 | and the name and address of each recipient of a payment. | ||||||
22 | Notwithstanding any other provision of law, the Board shall | ||||||
23 | comply with the Business Enterprise for Minorities, Females, | ||||||
24 | and Persons with Disabilities Act. The Board shall post upon | ||||||
25 | its website the percentage of its contracts awarded under this | ||||||
26 | subsection currently and during the preceding 5 fiscal years | ||||||
27 | that were awarded to "minority owned businesses", "female owned | ||||||
28 | businesses", and "businesses owned by a person with a | ||||||
29 | disability", as those terms are defined in the Business | ||||||
30 | Enterprise for Minorities, Females, and Persons with | ||||||
31 | Disabilities Act.
| ||||||
32 | (Source: P.A. 84-1127.)
| ||||||
33 | (40 ILCS 5/2-152 rep.)
| ||||||
34 | (40 ILCS 5/2-155 rep.)
| ||||||
35 | (40 ILCS 5/12-190.3 rep.)
|
| |||||||
| |||||||
1 | (40 ILCS 5/13-806 rep.)
| ||||||
2 | (40 ILCS 5/14-148 rep.)
| ||||||
3 | (40 ILCS 5/15-186 rep.)
| ||||||
4 | (40 ILCS 5/15-189 rep.)
| ||||||
5 | (40 ILCS 5/16-191 rep.)
| ||||||
6 | (40 ILCS 5/16-198 rep.)
| ||||||
7 | (40 ILCS 5/18-159 rep.)
| ||||||
8 | (40 ILCS 5/18-162 rep.)
| ||||||
9 | Section 40. The Illinois Pension Code is amended by | ||||||
10 | repealing Sections 2-152, 2-155, 12-190.3, 13-806, 14-148, | ||||||
11 | 15-186, 15-189, 16-191, 16-198, 18-159, and 18-162. | ||||||
12 | Section 90. The State Mandates Act is amended by adding | ||||||
13 | Section 8.30 as
follows:
| ||||||
14 | (30 ILCS 805/8.30 new)
| ||||||
15 | Sec. 8.30. Exempt mandate. Notwithstanding Sections 6 and 8 | ||||||
16 | of this
Act, no reimbursement by the State is required for the | ||||||
17 | implementation of
any mandate created by this amendatory Act of | ||||||
18 | the 94th General Assembly.
| ||||||
19 | Section 98. Severability. The provisions of this Act are | ||||||
20 | severable under Section 1.31 of the Statute on Statutes.
| ||||||
21 | Section 99. Effective date. This Act takes effect upon | ||||||
22 | becoming law.
|