Full Text of HB4116 97th General Assembly
HB4116enr 97TH GENERAL ASSEMBLY |
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| 1 | | AN ACT concerning finance.
| 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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