Full Text of HB5598 97th General Assembly
HB5598 97TH GENERAL ASSEMBLY |
| | 97TH GENERAL ASSEMBLY
State of Illinois
2011 and 2012 HB5598 Introduced 2/15/2012, by Rep. Jim Durkin - Darlene J. Senger - Kent Gaffney - Chad Hays - Jim Sacia SYNOPSIS AS INTRODUCED: |
| 5 ILCS 420/4A-101 | from Ch. 127, par. 604A-101 | 5 ILCS 420/4A-102 | from Ch. 127, par. 604A-102 | 5 ILCS 420/4A-106 | from Ch. 127, par. 604A-106 | 5 ILCS 420/4A-107 | from Ch. 127, par. 604A-107 |
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Amends the Illinois Governmental Ethics Act. Requires members of the investment advisory panel created under the Illinois Prepaid Tuition Act to file
verified written statements of economic interests with the Secretary of State. Effective immediately.
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| | A BILL FOR |
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| 1 | | AN ACT concerning education.
| 2 | | Be it enacted by the People of the State of Illinois,
| 3 | | represented in the General Assembly:
| 4 | | Section 5. The Illinois Governmental Ethics Act is amended | 5 | | by changing Sections 4A-101, 4A-102, 4A-106, and 4A-107 as | 6 | | 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 and persons appointed by the | 21 | | Governor to any other position on a board or commission | 22 | | described in subsection (a) of Section 15 of the | 23 | | Gubernatorial Boards and Commissions Act.
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| 1 | | (e) Holders of, and candidates for nomination or | 2 | | election to, the office
of judge or associate judge of the | 3 | | Circuit Court and the office of judge of
the Appellate or | 4 | | Supreme Court.
| 5 | | (f) Persons who are employed by any branch, agency, | 6 | | authority or board
of the government of this State, | 7 | | including but not limited to, the Illinois
State Toll | 8 | | Highway Authority, the Illinois Housing Development | 9 | | Authority,
the Illinois Community College Board, and | 10 | | institutions under the
jurisdiction of the Board of | 11 | | Trustees
of the University of Illinois, Board of Trustees | 12 | | of Southern Illinois
University, Board of Trustees of | 13 | | Chicago State University,
Board of Trustees of Eastern | 14 | | Illinois University, Board of Trustees of
Governor's State | 15 | | University, Board of Trustees of Illinois State | 16 | | University,
Board of Trustees of Northeastern Illinois | 17 | | University, Board of Trustees of
Northern Illinois | 18 | | University, Board of Trustees of Western Illinois
| 19 | | University, or Board of Trustees of the Illinois | 20 | | Mathematics and Science
Academy, and are compensated for | 21 | | services as employees and not as
independent contractors | 22 | | and who:
| 23 | | (1) are, or function as, the head of a department, | 24 | | commission, board,
division, bureau, authority or | 25 | | other administrative unit within the
government of | 26 | | this State, or who exercise similar authority within |
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| 1 | | the
government of this State;
| 2 | | (2) have direct supervisory authority over, or | 3 | | direct responsibility for
the formulation, | 4 | | negotiation, issuance or execution of contracts | 5 | | entered into
by the State in the amount of $5,000 or | 6 | | more;
| 7 | | (3) have authority for the issuance or | 8 | | promulgation of rules and
regulations within areas | 9 | | under the authority of the State;
| 10 | | (4) have authority for the approval of | 11 | | professional licenses;
| 12 | | (5) have responsibility with respect to the | 13 | | financial inspection
of regulated nongovernmental | 14 | | entities;
| 15 | | (6) adjudicate, arbitrate, or decide any judicial | 16 | | or administrative
proceeding, or review the | 17 | | adjudication, arbitration or decision of any judicial
| 18 | | or administrative proceeding within the authority of | 19 | | the State;
| 20 | | (7) have supervisory responsibility for 20 or more | 21 | | employees of the
State;
| 22 | | (8) negotiate, assign, authorize, or grant naming | 23 | | rights or sponsorship rights regarding any property or | 24 | | asset of the State, whether real, personal, tangible, | 25 | | or intangible; or
| 26 | | (9) have responsibility with respect to the |
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| 1 | | procurement of goods or services. | 2 | | (g) Persons who are elected to office in a unit of | 3 | | local government,
and candidates for nomination or | 4 | | election to that office, including regional
| 5 | | superintendents of school districts.
| 6 | | (h) Persons appointed to the governing board of a unit | 7 | | of local
government, or of a special district, and persons | 8 | | appointed to a zoning
board, or zoning board of appeals, or | 9 | | to a regional, county, or municipal
plan commission, or to | 10 | | a board of review of any county, and persons
appointed to | 11 | | the Board of the Metropolitan Pier and Exposition Authority
| 12 | | and any Trustee appointed under Section 22 of the | 13 | | Metropolitan Pier and
Exposition Authority Act, and | 14 | | persons appointed to a board or commission of
a unit of | 15 | | local government who have authority to authorize the | 16 | | expenditure of
public funds. This subsection does not apply | 17 | | to members of boards or
commissions who function in an | 18 | | advisory capacity.
| 19 | | (i) Persons who are employed by a unit of local | 20 | | government and are
compensated for services as employees | 21 | | and not as independent contractors and
who:
| 22 | | (1) are, or function as, the head of a department, | 23 | | division, bureau,
authority or other administrative | 24 | | unit within the unit of local
government, or who | 25 | | exercise similar authority within the unit of local
| 26 | | government;
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| 1 | | (2) have direct supervisory authority over, or | 2 | | direct responsibility for
the formulation, | 3 | | negotiation, issuance or execution of contracts | 4 | | entered into
by the unit of local government in the | 5 | | amount of $1,000 or greater;
| 6 | | (3) have authority to approve licenses
and permits | 7 | | by the unit of local government; this item does not | 8 | | include
employees who function in a ministerial | 9 | | capacity;
| 10 | | (4) adjudicate, arbitrate, or decide any judicial | 11 | | or administrative
proceeding, or review the | 12 | | adjudication, arbitration or decision of any judicial
| 13 | | or administrative proceeding within the authority of | 14 | | the unit of local
government;
| 15 | | (5) have authority to issue or promulgate rules and | 16 | | regulations within
areas under the authority of the | 17 | | unit of local government; or
| 18 | | (6) have supervisory responsibility for 20 or more | 19 | | employees of the
unit of local government.
| 20 | | (j) Persons on the Board of Trustees of the Illinois | 21 | | Mathematics and
Science Academy.
| 22 | | (k) Persons employed by a school district in positions | 23 | | that
require that
person to hold an administrative or a | 24 | | chief school business official
endorsement.
| 25 | | (l) Special government agents. A "special government | 26 | | agent" is a
person who is directed, retained, designated, |
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| 1 | | appointed, or
employed, with or without compensation, by or | 2 | | on behalf of a
statewide executive branch constitutional | 3 | | officer to make an ex
parte communication under Section | 4 | | 5-50 of the State Officials and
Employees Ethics Act or | 5 | | Section 5-165 of the Illinois
Administrative Procedure | 6 | | Act.
| 7 | | (m) Members of the board of commissioners of any flood | 8 | | prevention district created under the Flood Prevention | 9 | | District Act or the Beardstown Regional Flood Prevention | 10 | | District Act. | 11 | | (n) Members of the board of any retirement system or | 12 | | investment board established under the Illinois Pension | 13 | | Code, if not required to file under any other provision of | 14 | | this Section. | 15 | | (o) Members of the board of any pension fund | 16 | | established under the Illinois Pension Code, if not | 17 | | required to file under any other provision of this Section. | 18 | | (p) Members of the investment advisory panel created | 19 | | under Section 20 of the Illinois Prepaid Tuition Act. | 20 | | This Section shall not be construed to prevent any unit of | 21 | | local government
from enacting financial disclosure | 22 | | requirements that mandate
more information
than required by | 23 | | this Act.
| 24 | | (Source: P.A. 96-6, eff. 4-3-09; 96-543, eff. 8-17-09; 96-555, | 25 | | eff. 8-18-09; 96-1000, eff. 7-2-10; 97-309, eff. 8-11-11.)
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| 1 | | (5 ILCS 420/4A-102) (from Ch. 127, par. 604A-102)
| 2 | | Sec. 4A-102. The statement of economic interests required | 3 | | by this Article
shall include the economic interests of the | 4 | | person making the statement as
provided in this Section. The | 5 | | interest (if constructively controlled by the
person making the | 6 | | statement) of a spouse or any other party, shall be
considered | 7 | | to be the same as the interest of the person making the
| 8 | | statement. Campaign receipts shall not be included in this | 9 | | statement.
| 10 | | (a) The following interests shall be listed by all | 11 | | persons required to
file:
| 12 | | (1) The name, address and type of practice of any | 13 | | professional
organization or individual professional | 14 | | practice in which the person making
the statement was | 15 | | an officer, director, associate, partner or | 16 | | proprietor,
or served in any advisory capacity, from | 17 | | which income in excess of $1200
was derived during the | 18 | | preceding calendar year;
| 19 | | (2) The nature of professional services (other | 20 | | than services rendered to
the unit or units of | 21 | | government in relation to which the person is required
| 22 | | to file)
and the nature of the entity to which they | 23 | | were rendered if fees exceeding
$5,000 were received | 24 | | during the preceding calendar year from the entity for
| 25 | | professional services rendered by the person making | 26 | | the statement.
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| 1 | | (3) The identity (including the address or legal | 2 | | description of real
estate) of any capital asset from | 3 | | which a capital gain of $5,000 or more
was realized in | 4 | | the preceding calendar year.
| 5 | | (4) The name of any unit of government which has | 6 | | employed the person
making the statement during the | 7 | | preceding calendar year other than the unit
or units of | 8 | | government in relation to which the person is required | 9 | | to file.
| 10 | | (5) The name of any entity from which a gift or | 11 | | gifts, or honorarium or
honoraria, valued singly or in | 12 | | the aggregate in excess of $500, was
received during | 13 | | the preceding calendar year.
| 14 | | (b) The following interests shall also be listed by | 15 | | persons listed in
items (a) through (f), item (l), and item | 16 | | (n) , and item (p) of Section 4A-101:
| 17 | | (1) The name and instrument of ownership in any | 18 | | entity doing business in
the State of Illinois, in | 19 | | which an ownership interest held by the person at
the | 20 | | date of filing is in excess of $5,000 fair market value | 21 | | or from which
dividends of in excess of $1,200 were | 22 | | derived during the preceding calendar
year. (In the | 23 | | case of real estate, location thereof shall be listed | 24 | | by
street address, or if none, then by legal | 25 | | description). No time or demand
deposit in a financial | 26 | | institution, nor any debt instrument need be listed;
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| 1 | | (2) Except for professional service entities, the | 2 | | name of any entity and
any position held therein from | 3 | | which income of in excess of $1,200 was
derived during | 4 | | the preceding calendar year, if the entity does | 5 | | business in
the State of Illinois. No time or demand | 6 | | deposit in a financial
institution, nor any debt | 7 | | instrument need be listed.
| 8 | | (3) The identity of any compensated lobbyist with | 9 | | whom the person making
the statement maintains a close | 10 | | economic association, including the name of
the | 11 | | lobbyist and specifying the legislative matter or | 12 | | matters which are the
object of the lobbying activity, | 13 | | and describing the general type of
economic activity of | 14 | | the client or principal on whose behalf that person is
| 15 | | lobbying.
| 16 | | (c) The following interests shall also be listed by | 17 | | persons listed in
items (g), (h), (i), and (o) of Section | 18 | | 4A-101:
| 19 | | (1) The name and instrument of ownership in any | 20 | | entity doing business
with a unit of local government | 21 | | in relation to which the person is
required to file if | 22 | | the ownership interest of the person filing is greater
| 23 | | than $5,000 fair market value as of the date of filing | 24 | | or if dividends in
excess of $1,200 were received from | 25 | | the entity during the preceding
calendar year. (In the | 26 | | case of real estate, location thereof shall be
listed |
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| 1 | | by street address, or if none, then by legal | 2 | | description). No time
or demand deposit in a financial | 3 | | institution, nor any debt instrument need
be listed.
| 4 | | (2) Except for professional service entities, the | 5 | | name of any entity and
any position held therein from | 6 | | which income in excess of $1,200 was derived
during the | 7 | | preceding calendar year if the entity does business | 8 | | with a
unit of local government in relation to which | 9 | | the person is required to
file. No time or demand | 10 | | deposit in a financial institution, nor any debt
| 11 | | instrument need be listed.
| 12 | | (3) The name of any entity and the nature of the | 13 | | governmental action
requested by any entity which has | 14 | | applied to a unit of local
government
in relation to | 15 | | which the person must file for any license, franchise | 16 | | or
permit for annexation, zoning or rezoning of real | 17 | | estate during the
preceding calendar year if the | 18 | | ownership interest of the person filing is
in excess of | 19 | | $5,000 fair market value at the time of filing or if | 20 | | income or
dividends in excess of $1,200 were received | 21 | | by the person filing from the
entity during the | 22 | | preceding calendar year.
| 23 | | For the purposes of this Section, the unit of local | 24 | | government in relation to which a person required to file under | 25 | | item (o) of Section 4A-101 shall be the unit of local | 26 | | government that contributes to the pension fund of which such |
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| 1 | | person is a member of the board. | 2 | | (Source: P.A. 96-6, eff. 4-3-09.)
| 3 | | (5 ILCS 420/4A-106) (from Ch. 127, par. 604A-106)
| 4 | | Sec. 4A-106. The statements of economic interests required | 5 | | of persons
listed in items (a) through (f), item (j), item (l), | 6 | | and item (n) , and item (p) of
Section 4A-101 shall be
filed | 7 | | with the Secretary of State. The statements of economic | 8 | | interests
required of persons listed in items (g), (h), (i), | 9 | | (k), and (o) of
Section
4A-101 shall be filed with the county | 10 | | clerk of the county in which the
principal office of the unit | 11 | | of local government with which the person is
associated is | 12 | | located. If it is not apparent which county the principal | 13 | | office
of a unit of local government is located, the chief | 14 | | administrative officer, or
his or her designee, has the | 15 | | authority, for purposes of this Act, to determine
the county in | 16 | | which the principal office is located. On or before February 1
| 17 | | annually, (1) the chief administrative officer of any State | 18 | | agency in the
executive, legislative, or judicial branch | 19 | | employing persons required to file
under item (f) or item (l) | 20 | | of Section
4A-101 and the chief administrative officer of a | 21 | | board or panel described in item (n) or (p) of Section 4A-101 | 22 | | shall certify to the Secretary of State the names and mailing | 23 | | addresses
of those persons, and (2) the chief administrative | 24 | | officer, or his or her
designee, of each unit of local | 25 | | government with persons described in items (h),
(i) and (k) and |
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| 1 | | a board described in item (o) of Section 4A-101 shall certify | 2 | | to the appropriate county clerk a
list of names and addresses | 3 | | of persons described in items (h), (i),
(k), and (o) of
Section | 4 | | 4A-101 that are required to file. In preparing the lists, each | 5 | | chief
administrative officer, or his or her designee, shall set | 6 | | out the names in
alphabetical order.
| 7 | | On or before April 1 annually, the Secretary of State shall | 8 | | notify (1)
all persons whose names have been certified to him | 9 | | under items (f),
(l), and (n) , and (p) of
Section 4A-101, and | 10 | | (2) all persons described in items (a) through (e) and
item (j) | 11 | | of Section 4A-101, other than candidates for office who have | 12 | | filed
their statements with their nominating petitions, of the | 13 | | requirements for
filing statements of economic interests.
A | 14 | | person required to file with the Secretary of State by virtue | 15 | | of more than
one item among items (a) through (f) and items | 16 | | (j), (l), and (n) , and (p)
shall be notified of and is
required
| 17 | | to file only one statement of economic interests relating to | 18 | | all items under
which the person is required to file with the | 19 | | Secretary of State.
| 20 | | On or before April 1 annually, the county clerk of each | 21 | | county shall
notify all persons whose names have been certified | 22 | | to him under items (g),
(h), (i), (k), and (o) of Section | 23 | | 4A-101, other than candidates
for office who have filed their | 24 | | statements with their nominating petitions, of
the | 25 | | requirements for filing statements of economic interests.
A | 26 | | person required to file with a county clerk by virtue of more |
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| 1 | | than one item
among items (g), (h), (i), (k), and (o) shall be | 2 | | notified of and is
required to
file only one statement of | 3 | | economic interests relating to all items under which
the person | 4 | | is required to file with that county clerk.
| 5 | | Except as provided in Section 4A-106.1, the notices | 6 | | provided for in this
Section shall be in writing and deposited | 7 | | in
the U.S. Mail, properly addressed, first class postage | 8 | | prepaid, on or before
the day required by this Section for the | 9 | | sending of the notice. Alternatively, a county clerk may send | 10 | | the notices electronically to all persons whose names have been | 11 | | thus certified to him under item (h), (i), or (k) of Section | 12 | | 4A-101. A certificate
executed by the Secretary of State or | 13 | | county clerk attesting that he or she has sent
the notice by | 14 | | the means permitted by this Section constitutes prima facie | 15 | | evidence thereof.
| 16 | | From the lists certified to him under this Section of | 17 | | persons described in
items (g), (h), (i), (k), and (o) of | 18 | | Section 4A-101, the clerk
of each county shall
compile an | 19 | | alphabetical listing of persons required to file statements of
| 20 | | economic interests in his office under any of those items. As | 21 | | the
statements are filed in his office, the county clerk shall | 22 | | cause the fact
of that filing to be indicated on the | 23 | | alphabetical listing of persons who
are required to file | 24 | | statements. Within 30 days after the due dates, the county
| 25 | | clerk shall mail to the State Board of Elections a true copy of | 26 | | that listing
showing those who have filed statements.
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| 1 | | The county clerk of each county shall note upon the | 2 | | alphabetical listing
the names of all persons required to file | 3 | | a statement of economic interests
who failed to file a | 4 | | statement on or before May 1. It shall be the duty of
the | 5 | | several county clerks to give notice as provided in Section | 6 | | 4A-105 to
any person who has failed to file his or her | 7 | | statement with the clerk on or
before May 1.
| 8 | | Any person who files or has filed a statement of economic | 9 | | interest
under this Act is entitled to receive from the | 10 | | Secretary of State or county
clerk, as the case may be, a | 11 | | receipt indicating that the person has filed
such a statement, | 12 | | the date of such filing, and the identity of the
governmental | 13 | | unit or units in relation to which the filing is required.
| 14 | | The Secretary of State may employ such employees and | 15 | | consultants
as he considers necessary to carry out his duties | 16 | | hereunder, and may
prescribe their duties, fix their | 17 | | compensation, and provide for
reimbursement of their expenses.
| 18 | | All statements of economic interests filed under this | 19 | | Section shall be
available for examination and copying by the | 20 | | public at all reasonable times.
Not later than 12 months after | 21 | | the effective date of this amendatory Act of
the 93rd General | 22 | | Assembly, beginning with statements filed in calendar year
| 23 | | 2004, the Secretary of State shall make statements of economic | 24 | | interests filed
with the Secretary available for inspection and | 25 | | copying via the Secretary's
website.
| 26 | | (Source: P.A. 96-6, eff. 4-3-09; 96-1336, eff. 1-1-11.)
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| 1 | | (5 ILCS 420/4A-107) (from Ch. 127, par. 604A-107)
| 2 | | Sec. 4A-107. Any person required to file a statement of | 3 | | economic interests
under this Article who willfully files a | 4 | | false or incomplete statement shall be
guilty of a Class A | 5 | | misdemeanor.
| 6 | | Except when the fees and penalties for late filing have | 7 | | been waived under Section 4A-105, failure to file a statement | 8 | | within the time prescribed shall result in
ineligibility for, | 9 | | or forfeiture of, office or position of employment, as
the case | 10 | | may be; provided, however, that if the notice of failure to
| 11 | | file a statement of economic interests provided in Section | 12 | | 4A-105 of this
Act is not given by the Secretary of State or | 13 | | the county clerk, as the case
may be, no forfeiture shall | 14 | | result if a statement is filed within 30 days
of actual notice | 15 | | of the failure to file. The Secretary of State shall provide | 16 | | the Attorney General with the names of persons who failed to | 17 | | file a statement. The county clerk shall provide the State's | 18 | | Attorney of the county of the entity for which the filing of | 19 | | statement of economic interest is required with the name of | 20 | | persons who failed to file a statement.
| 21 | | The Attorney General, with respect to offices or positions | 22 | | described in
items (a) through (f) and items (j), (l), and (n) , | 23 | | and (p) of Section 4A-101 of this
Act, or the State's
Attorney | 24 | | of the county of the entity for which the filing of statements | 25 | | of
economic interests is required, with respect to offices or |
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| 1 | | positions
described in items (g) through (i), item (k), and | 2 | | item (o) of
Section
4A-101 of this Act,
shall bring an action | 3 | | in quo warranto against any person who has failed to file
by | 4 | | either May 31 or June 30 of any given year and for whom the fees | 5 | | and penalties for late filing have not been waived under | 6 | | Section 4A-105.
| 7 | | (Source: P.A. 96-6, eff. 4-3-09; 96-550, eff. 8-17-09; 96-1000, | 8 | | eff. 7-2-10.)
| 9 | | Section 99. Effective date. This Act takes effect upon | 10 | | becoming law.
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