Sen. Dan Kotowski

Filed: 5/8/2013

 

 


 

 


 
09800SB1361sam002LRB098 08268 JDS 45545 a

1
AMENDMENT TO SENATE BILL 1361

2    AMENDMENT NO. ______. Amend Senate Bill 1361, AS AMENDED,
3by replacing everything after the enacting clause with the
4following:
 
5    "Section 5. The Illinois Governmental Ethics Act is amended
6by changing Sections 1-105, 1-110, 4A-102, 4A-103, and 4A-108
7and by adding Sections 1-102.5, 1-104.3, 1-104.4, 1-104.5,
81-105.2, 1-105.3, 1-105.4, 1-105.6, 1-105.7, 1-112.5, 1-113.6,
9and 1-113.7 as follows:
 
10    (5 ILCS 420/1-102.5 new)
11    Sec. 1-102.5. "Asset" means, for the purposes of Sections
124A-102 and 4A-103, an item that is owned and has monetary
13value. For the purposes of Sections 4A-102 and 4A-103, assets
14include, but are not limited to: stocks, bonds (except those
15issued by the federal, state, or local governments), sector
16mutual funds, sector exchange traded funds, commodity futures,

 

 

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1investment real estate, and partnership interests. For the
2purposes of Sections 4A-102 and 4A-103, assets do not include:
3personal residences; personal vehicles; savings or checking
4accounts; bonds, notes, or securities issued by any branch of
5federal, state, or local government; Medicare benefits;
6inheritances or bequests; diversified mutual funds; annuities;
7pensions (including government pensions); retirement accounts;
8college savings plans that are qualified tuition plans;
9non-income producing trust holdings; or tangible personal
10property.
 
11    (5 ILCS 420/1-104.3 new)
12    Sec. 1-104.3. "Creditor" means, for the purposes of
13Sections 4A-102 and 4A-103, an individual, organization, or
14other business entity to whom money or its equivalent is owed,
15no matter whether that obligation is secured or unsecured,
16except that if a filer makes a loan to members of his or her
17family, a political committee registered with the Illinois
18State Board of Elections, or a political committee, principal
19campaign committee, or authorized committee registered with
20the Federal Election Commission, then that filer does not, by
21making such a loan, become a creditor of that individual or
22entity for the purposes of Sections 4A-102 and 4A-103 of this
23Act.
 
24    (5 ILCS 420/1-104.4 new)

 

 

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1    Sec. 1-104.4. "Debt" means, for the purposes of Sections
24A-102 and 4A-103, any money or monetary obligation owed at any
3time during the preceding calendar year to an individual,
4company, or other organization, other than a loan that is from
5a financial institution, government agency, or business entity
6and that is granted on terms made available to the general
7public. For the purposes of Sections 4A-102 and 4A-103, "debt"
8includes, but is not limited to: personal loans from friends or
9business associates, business loans made outside the lender's
10regular course of business, and loans made at below market
11rates. For the purposes of Sections 4A-102 and 4A-103, "debt"
12does not include: (i) debts to or from financial institutions
13or government entities, such as mortgages, student loans,
14credit card debts, or loans secured by automobiles, household
15furniture, or appliances, as long as those loans were made on
16terms available to the general public and do not exceed the
17purchase price of the items securing them; or (ii) debts to or
18from a political committee registered with the Illinois State
19Board of Elections or political committees, principal campaign
20committees, or authorized committees registered with the
21Federal Election Commission.
 
22    (5 ILCS 420/1-104.5 new)
23    Sec. 1-104.5. "Diversified funds" means investment
24products, such as mutual funds, exchange traded funds, or unit
25investment trusts, that invest in a wide variety of securities.
 

 

 

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1    (5 ILCS 420/1-105)  (from Ch. 127, par. 601-105)
2    Sec. 1-105. "Economic opportunity" means any purchase,
3sale, lease, contract, option, or other transaction or
4arrangement involving property or services wherein a
5legislator or, in the case of Sections 4A-102 and 4A-103, the
6filer may gain an economic benefit. The term shall not include
7gifts.
8(Source: Laws 1967, p. 3401.)
 
9    (5 ILCS 420/1-105.2 new)
10    Sec. 1-105.2. "Economic relationship" means, for the
11purposes of Sections 4A-102 and 4A-103, any relationship that
12provides the filer with income or an economic opportunity. For
13the purposes of Sections 4A-102 and 4A-103, economic
14relationships include, but are not limited to, ownership
15interests in family-owned businesses and creditor-debtor
16relationships with third parties other than commercial lending
17institutions.
 
18    (5 ILCS 420/1-105.3 new)
19    Sec. 1-105.3. "Family" means, for the purposes of Sections
204A-102 and 4A-103, a filer's spouse (including a party to a
21civil union or a registered domestic partner), children,
22step-children, parents, step-parents, siblings, step-siblings,
23half-siblings, brothers-in-law, sisters-in-law, sons-in-law,

 

 

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1daughters-in-law, aunts, uncles, nieces, nephews, great aunts,
2great uncles, first cousins, grandfathers, grandmothers,
3grandsons, and granddaughters, as well as the father, mother,
4grandfather, and grandmother of the filer's spouse (including a
5party to a civil union or a registered domestic partner).
 
6    (5 ILCS 420/1-105.4 new)
7    Sec. 1-105.4. "Filer" means, for the purposes of Section
84A-102 and 4A-103, a person required to file a statement of
9economic interests pursuant to this Act.
 
10    (5 ILCS 420/1-105.6 new)
11    Sec. 1-105.6. "Income" means, for the purposes of Sections
124A-102 and 4A-103, income from whatever source derived,
13required to be reported on the filer's federal income tax
14return, including, but not limited to: compensation received
15for services rendered or to be rendered (as reported on any
16Internal Revenue Service forms, including, but not limited to,
17W-2, 1099, or K-1); earnings or capital gains from the sale of
18assets; profit; interest or dividend income from all assets;
19revenue from leases and rentals, royalties, prizes, awards, or
20barter; forgiveness of debt; and earnings derived from
21annuities or trusts other than testamentary trusts. "Income"
22does not include compensation earned for service in the
23position that necessitates the filing of the statement of
24economic interests, and income from the sale of a personal

 

 

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1residence or personal vehicle.
 
2    (5 ILCS 420/1-105.7 new)
3    Sec. 1-105.7. "Investment real estate" means any real
4property, other than a filer's personal residences, purchased
5to produce a profit, whether from income or resale.
 
6    (5 ILCS 420/1-110)  (from Ch. 127, par. 601-110)
7    Sec. 1-110. "Lobbyist" means an individual who is required
8to be registered to engage in lobbying activities pursuant to
9any statute, regulation, or ordinance adopted by a unit of
10government in the State of Illinois any person required to be
11registered under "An Act concerning lobbying and providing a
12penalty for violation thereof", approved July 10, 1957, as
13amended.
14(Source: Laws 1967, p. 3401.)
 
15    (5 ILCS 420/1-112.5 new)
16    Sec. 1-112.5. "Personal residence" means, for the purposes
17of Sections 4A-102 and 4A-103, a filer's primary home residence
18and any residential real property held by the filer and used by
19the filer for residential rather than commercial or income
20generating purposes.
 
21    (5 ILCS 420/1-113.6 new)
22    Sec. 1-113.6. "Sector funds" means mutual funds or exchange

 

 

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1traded funds invested in a particular industry or business.
 
2    (5 ILCS 420/1-113.7 new)
3    Sec. 1-113.7. "Spouse" means a party to a marriage, a party
4to a civil union, or a registered domestic partner.
 
5    (5 ILCS 420/4A-102)  (from Ch. 127, par. 604A-102)
6    Sec. 4A-102. The statement of economic interests required
7by this Article shall include the economic interests of the
8person making the statement as provided in this Section. The
9following interests shall be listed by all persons required to
10file:
11        (1) each asset that has a value of more than $10,000 as
12    of the end of the preceding calendar year and is: (i) held
13    in the filer's name, (ii) held jointly by the filer with
14    his or her spouse, or (iii) held jointly by the filer with
15    his or her minor child or children;
16        (2) excluding the income from the position that
17    requires the filing of a statement of economic interests
18    under this Act, each source of income that generated in
19    excess of $2,500 in income during the preceding calendar
20    year (as reported on the filer's federal income tax return
21    covering the preceding calendar year) and, if the sale or
22    transfer of an asset produced more than $2,500 in capital
23    gains during the preceding calendar year, the transaction
24    date on which that asset was sold or transferred;

 

 

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1        (3) each creditor of a debt in excess of $5,000 that,
2    during the preceding calendar year, was: (i) owed by the
3    filer, (ii) owed jointly by the filer with his or her
4    spouse or (iii) owed jointly by the filer with his or her
5    minor child or children;
6        (4) each debtor of a debt in excess of $5,000 that,
7    during the preceding calendar year, was: (i) owed to the
8    filer, (ii) owed jointly to the filer with his or her
9    spouse or (iii) owed jointly to the filer with his or her
10    minor child or children;
11        (5) each lobbyist who is registered with any unit of
12    government in the State of Illinois and with whom the filer
13    maintains an economic relationship and each lobbyist
14    registered with any unit of government in the State of
15    Illinois who is a member of the filer's family; and
16        (6) each source and type of gift or gifts, or
17    honorarium or honoraria, valued singly or in the aggregate
18    in excess of $1,000 that was received during the preceding
19    calendar year.
20    For the purposes of this Section, the unit of local
21government in relation to which a person is required to file
22under item (o) of Section 4A-101 shall be the unit of local
23government that contributes to the pension fund of which such
24person is a member of the board.
25    The interest (if constructively controlled by the person
26making the statement) of a spouse or any other party, shall be

 

 

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1considered to be the same as the interest of the person making
2the statement. Campaign receipts shall not be included in this
3statement.
4        (a) The following interests shall be listed by all
5    persons required to file:
6            (1) The name, address and type of practice of any
7        professional organization or individual professional
8        practice in which the person making the statement was
9        an officer, director, associate, partner or
10        proprietor, or served in any advisory capacity, from
11        which income in excess of $1200 was derived during the
12        preceding calendar year;
13            (2) The nature of professional services (other
14        than services rendered to the unit or units of
15        government in relation to which the person is required
16        to file) and the nature of the entity to which they
17        were rendered if fees exceeding $5,000 were received
18        during the preceding calendar year from the entity for
19        professional services rendered by the person making
20        the statement.
21            (3) The identity (including the address or legal
22        description of real estate) of any capital asset from
23        which a capital gain of $5,000 or more was realized in
24        the preceding calendar year.
25            (4) The name of any unit of government which has
26        employed the person making the statement during the

 

 

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1        preceding calendar year other than the unit or units of
2        government in relation to which the person is required
3        to file.
4            (5) The name of any entity from which a gift or
5        gifts, or honorarium or honoraria, valued singly or in
6        the aggregate in excess of $500, was received during
7        the preceding calendar year.
8        (b) The following interests shall also be listed by
9    persons listed in items (a) through (f), item (l), item
10    (n), and item (p) of Section 4A-101:
11            (1) The name and instrument of ownership in any
12        entity doing business in the State of Illinois, in
13        which an ownership interest held by the person at the
14        date of filing is in excess of $5,000 fair market value
15        or from which dividends of in excess of $1,200 were
16        derived during the preceding calendar year. (In the
17        case of real estate, location thereof shall be listed
18        by street address, or if none, then by legal
19        description). No time or demand deposit in a financial
20        institution, nor any debt instrument need be listed;
21            (2) Except for professional service entities, the
22        name of any entity and any position held therein from
23        which income of in excess of $1,200 was derived during
24        the preceding calendar year, if the entity does
25        business in the State of Illinois. No time or demand
26        deposit in a financial institution, nor any debt

 

 

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

 

 

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1        preceding calendar year if the entity does business
2        with a unit of local government in relation to which
3        the person is required to file. No time or demand
4        deposit in a financial institution, nor any debt
5        instrument need be listed.
6            (3) The name of any entity and the nature of the
7        governmental action requested by any entity which has
8        applied to a unit of local government in relation to
9        which the person must file for any license, franchise
10        or permit for annexation, zoning or rezoning of real
11        estate during the preceding calendar year if the
12        ownership interest of the person filing is in excess of
13        $5,000 fair market value at the time of filing or if
14        income or dividends in excess of $1,200 were received
15        by the person filing from the entity during the
16        preceding calendar year.
17    For the purposes of this Section, the unit of local
18government in relation to which a person required to file under
19item (o) of Section 4A-101 shall be the unit of local
20government that contributes to the pension fund of which such
21person is a member of the board.
22(Source: P.A. 96-6, eff. 4-3-09; 97-754, eff. 7-6-12.)
 
23    (5 ILCS 420/4A-103)  (from Ch. 127, par. 604A-103)
24    Sec. 4A-103. The statement of economic interests required
25by this Article to be filed with the Secretary of State or

 

 

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1county clerk shall be filled in by typewriting or hand
2printing, shall be verified, dated, and signed by the person
3making the statement and shall contain substantially the
4following:
 
5
STATEMENT OF ECONOMIC INTERESTS

 
6INSTRUCTIONS:
7    You may find the following documents helpful to you in
8completing this form:
9        (1) federal income tax returns, including any related
10    schedules, attachments, and forms; and
11        (2) investment and brokerage statements.
12    To complete this form, you do not need to disclose specific
13amounts or values or report interests relating either to
14political committees registered with the Illinois State Board
15of Elections or to political committees, principal campaign
16committees, or authorized committees registered with the
17Federal Election Commission.
18    The information you disclose will be available to the
19public.
20    You must answer all 6 questions. Certain questions will ask
21you to report any applicable assets or debts held in your name;
22held jointly with your spouse; or held jointly by you with your
23minor child. If you have any concerns about whether an interest
24should be reported, please consult your department's ethics

 

 

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1officer, if applicable.
2    Please ensure that the information you provide is complete
3and accurate. If you need more space than the form allows,
4please attach additional pages for your response. If you are
5subject to the State Officials and Employees Ethics Act, your
6ethics officer must review your statement of economic interests
7before you file it. Failure to complete the statement in good
8faith and within the prescribed deadline may subject you to
9fines, imprisonment, or both.
 
10DEFINITIONS, EXAMPLES AND FURTHER INSTRUCTIONS:
11    As used in this form:
12    "Asset" means an item that is owned and has monetary value.
13Assets include, but are not limited to: stocks, bonds (except
14those issued by the federal, state or local governments),
15sector mutual funds, sector exchange traded funds, commodity
16futures, investment real estate and partnership interests.
17"Asset" does not include: personal residences; personal
18vehicles; savings or checking accounts; bonds, notes or
19securities issued by any branch of federal, state or local
20government; Medicare benefits; inheritances or bequests;
21diversified mutual funds; diversified exchange traded funds;
22annuities; pensions (including government pensions);
23retirement accounts; college savings plans that are qualified
24tuition plans; non-income producing trust holdings; or
25tangible personal property.

 

 

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1    "Creditor" means an individual, organization, or other
2business entity to whom money or its equivalent is owned, no
3matter whether that obligation is secured or unsecured, except
4that if a filer makes a loan to members of his or her family, a
5political committee registered with the Illinois State Board of
6Elections, or a political committee, principal campaign
7committee, or authorized committee registered with the Federal
8Election Commission, then that filer does not, for the purposes
9of this from, become a creditor of that individual or entity by
10making such a loan.
11    "Debt" means any money or monetary obligation owed at any
12time during the preceding calendar year to an individual,
13company, or other organization, other than a loan that is from
14a financial institution, government agency, or business entity
15and that is granted on terms made available to the general
16public. "Debt" includes, but is not limited to: personal loans
17from friends or business associates, business loans made
18outside the lender's regular course of business, and loans made
19at below market rates. "Debt" does not include: (i) debts to or
20from financial institutions or government entities, such as
21mortgages, student loans, credit card debts, or loans secured
22by automobiles, household furniture, or appliances, as long as
23those loans were made on terms available to the general public
24and do not exceed the purchase price of the items securing
25them; or (ii) debts to or from political committees registered
26with the Illinois State Board of Elections or political

 

 

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1committees, principal campaign committees, or authorized
2committees registered with the Federal Election Commission.
3    "Diversified funds" are investment products, such as
4mutual funds, exchange traded funds, or unit investment trusts,
5that invest in a wide variety of securities.
6    "Economic opportunity" means any purchase, sale, lease,
7contract, option or other transaction or arrangement involving
8property or services wherein the filer may gain an economic
9benefit. The term shall not include gifts.
10    "Economic relationship" means any relationship that
11provides the filer with income or an economic opportunity.
12Economic relationships include, but are not limited to,
13ownership interests in family-owned businesses and
14creditor-debtor relationships with third parties other than
15commercial lending institutions.
16    "Family" means a filer's spouse, children, step-children,
17parents, step-parents, siblings, step-siblings half-siblings,
18brothers-in-law, sisters-in-law, sons-in-law,
19daughters-in-law, aunts, uncles, nieces, nephews, great aunts,
20great uncles, first cousins, grandfathers, grandmothers,
21grandsons, and granddaughters, as well as the father, mother,
22grandfather, and grandmother of the filer's spouse.
23    "Income" means, for the purposes of Sections 4A-102 and
244A-103, income from whatever source derived, required to be
25reported on the filer's federal income tax return, including,
26but not limited to: compensation received for services rendered

 

 

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1or to be rendered (as reported on any Internal Revenue Service
2forms, including, but not limited to, W-2, 1099, or K-1);
3earnings or capital gains from the sale of assets; profit;
4interest or dividend income from all assets; revenue from
5leases and rentals, royalties, prizes, awards or barter;
6forgiveness of debt; and earnings annuities or trusts other
7than testamentary trusts. "Income" does not include
8compensation earned from service in the position that
9necessitates the filing of the statement of economic interests
10or income from the sale of a personal residence or personal
11vehicle.
12    "Investment real estate" means any real property, other
13than a filer's personal residences, purchased to produce a
14profit, whether from income or resale.
15    "Lobbyist" means an individual who is required to be
16registered to engage in lobbying activities pursuant to any
17statute, regulation, or ordinance adopted by a unit of
18government in the State of Illinois.
19    "Personal residence" means a filer's primary home
20residence and any residential real property held by the filer
21and used by the filer for residential rather than commercial or
22income generating purposes.
23    "Sector funds" means mutual funds or exchange traded funds
24invested in a particular industry or business.
25    "Spouse" means a party to a marriage, a party to a civil
26union, or a registered domestic partner.
 

 

 

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1BASIC INFORMATION:
2Name: .......................................................
3Job title:...................................................
4Office, department, or agency that requires you to file this
5form:........................................................
6Other offices, departments, or agencies that require you to
7file a Statement of Economic Interests form: ................
8Full mailing address: .......................................
9Preferred e-mail address (optional) .........................
 
10QUESTIONS:
11    1. If you have any single asset that was worth more than
12$10,000 as of the end of the preceding calendar year and is
13held in your name, held jointly by you with your spouse, or
14held jointly by you with your minor child, list such assets
15below. If you do not have any such assets, list "none" below.
16.............................................................
17.............................................................
18.............................................................
19.............................................................
20.............................................................
21    2. Excluding the position for which you are required to
22file this form, list the source of any income in excess of
23$2,500 in income as reported on your federal income tax return
24covering the preceding calendar year. If you sold an asset that

 

 

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1produced more than $2,500 in capital gains in the preceding
2calendar year, list the name of the asset and the transaction
3date on which the sale or transfer took place. If you had no
4other sources of income exceeding $2,500, list "none" below.
5
6
Source of Income / Name of
7
Asset
Date Sold (if applicable)
8............................... ...............................
9............................... ...............................
10............................... ...............................
11    3. Excluding debts incurred on terms available to the
12general public, such as mortgages, student loans, and credit
13card debts, if you owed any single debt in the preceding
14calendar year exceeding $5,000, list the creditor of the debt
15below. If you had no such debts, list "none" below.
16    List the creditor for all applicable debts owed by you,
17owed jointly by you with your spouse, or owed jointly by you
18with your minor child. In addition to the types of debts listed
19above, you do not need to report any debts to or from financial
20institutions or government agencies, such as debts secured by
21automobiles, household furniture or appliances, as long as the
22debt was made on terms available to the general public and does
23not exceed the purchase price of the item securing the loan,
24debts to members of your family, or debts to or from a
25political committee registered with the Illinois State Board of
26Elections or any political committee, principal campaign

 

 

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1committee, or authorized committee registered with the Federal
2Election Commission.
3.............................................................
4.............................................................
5.............................................................
6.............................................................
7    4. Excluding debts owed to you by members of your family or
8by a political committee, if there is any entity or person who
9owed any debt to you in the preceding calendar year exceeding
10$5,000, list the debtor below. If no such debts were owed to
11you, list "none" below.
12    List the debtor for all applicable debts owed to you, owed
13jointly to you with your spouse, or owed jointly to you with
14your minor child. You do not need to report loans made to
15members of your family or to a political committee registered
16with the Illinois State Board of Elections or any political
17committee, principal campaign committee, or authorized
18committee registered with the Federal Election Commission.
19.............................................................
20.............................................................
21.............................................................
22    5. If you maintain an economic relationship with a lobbyist
23or if a member of your family is a lobbyist registered with any
24unit of government in the State of Illinois, list the name of
25the lobbyist below and identify the nature of your relationship
26with the lobbyist. If you do not have an economic association

 

 

09800SB1361sam002- 21 -LRB098 08268 JDS 45545 a

1with a lobbyist, list "none" below.
2
3
Name of Lobbyist
Relationship to Filer
4............................... ...............................
5............................... ...............................
6............................... ...............................
7    6. List the name of any person, organization, or entity
8that was the source of a gift or gifts, or honorarium or
9honoraria, valued singly or in the aggregate in excess of
10$1,000 received during the preceding calendar year.
11.............................................................
12.............................................................
13.............................................................
 
14VERIFICATION:
15    "I declare that this statement of economic interests
16(including any attachments) has been examined by me and to the
17best of my knowledge and belief is a true, correct and complete
18statement of my economic interests as required by the Illinois
19Governmental Ethics Act. I understand that the penalty for
20willfully filing a false or incomplete statement is a fine not
21to exceed $2,500 or imprisonment in a penal institution other
22than the penitentiary not to exceed one year, or both fine and
23imprisonment."
24Printed Name of Filer........................................
25Date.........................................................

 

 

09800SB1361sam002- 22 -LRB098 08268 JDS 45545 a

1Signature....................................................
 
2If this statement of economic interests requires ethics officer
3review prior to filing, the applicable ethics officer must
4complete the following:
 
5CERTIFICATION OF ETHICS OFFICER REVIEW:
6    "In accordance with law, as Ethics Officer, I reviewed this
7statement of economic interests prior to its filing."
 
8Printed Name of Ethics Officer...............................
9Date.........................................................
10Signature....................................................
11
STATEMENT OF ECONOMIC INTEREST
12
(TYPE OR HAND PRINT)
13.............................................................
14(name)
15.............................................................
16(each office or position of employment for which this statement
17is filed)
18.............................................................
19(full mailing address)
20GENERAL DIRECTIONS:
21    The interest (if constructively controlled by the person
22making the statement) of a spouse or any other party, shall be
23considered to be the same as the interest of the person making

 

 

09800SB1361sam002- 23 -LRB098 08268 JDS 45545 a

1the statement.
2    Campaign receipts shall not be included in this statement.
3    If additional space is needed, please attach supplemental
4listing.
5    1. List the name and instrument of ownership in any entity
6doing business in the State of Illinois, in which the ownership
7interest held by the person at the date of filing is in excess
8of $5,000 fair market value or from which dividends in excess
9of $1,200 were derived during the preceding calendar year. (In
10the case of real estate, location thereof shall be listed by
11street address, or if none, then by legal description.) No time
12or demand deposit in a financial institution, nor any debt
13instrument need be listed.
14Business EntityInstrument of Ownership
15..............................................................
16..............................................................
17..............................................................
18..............................................................
19    2. List the name, address and type of practice of any
20professional organization in which the person making the
21statement was an officer, director, associate, partner or
22proprietor or served in any advisory capacity, from which
23income in excess of $1,200 was derived during the preceding
24calendar year.
25NameAddressType of Practice
26.............................................................

 

 

09800SB1361sam002- 24 -LRB098 08268 JDS 45545 a

1.............................................................
2.............................................................
3    3. List the nature of professional services rendered (other
4than to the State of Illinois) to each entity from which income
5exceeding $5,000 was received for professional services
6rendered during the preceding calendar year by the person
7making the statement.
8.............................................................
9.............................................................
10    4. List the identity (including the address or legal
11description of real estate) of any capital asset from which a
12capital gain of $5,000 or more was realized during the
13preceding calendar year.
14.............................................................
15.............................................................
16    5. List the identity of any compensated lobbyist with whom
17the person making the statement maintains a close economic
18association, including the name of the lobbyist and specifying
19the legislative matter or matters which are the object of the
20lobbying activity, and describing the general type of economic
21activity of the client or principal on whose behalf that person
22is lobbying.
23LobbyistLegislative MatterClient or Principal
24.............................................................
25.............................................................
26    6. List the name of any entity doing business in the State

 

 

09800SB1361sam002- 25 -LRB098 08268 JDS 45545 a

1of Illinois from which income in excess of $1,200 was derived
2during the preceding calendar year other than for professional
3services and the title or description of any position held in
4that entity. (In the case of real estate, location thereof
5shall be listed by street address, or if none, then by legal
6description). No time or demand deposit in a financial
7institution nor any debt instrument need be listed.
8EntityPosition Held
9..............................................................
10..............................................................
11..............................................................
12    7. List the name of any unit of government which employed
13the person making the statement during the preceding calendar
14year other than the unit or units of government in relation to
15which the person is required to file.
16.............................................................
17.............................................................
18    8. List the name of any entity from which a gift or gifts,
19or honorarium or honoraria, valued singly or in the aggregate
20in excess of $500, was received during the preceding calendar
21year.
22.............................................................
23VERIFICATION:
24    "I declare that this statement of economic interests
25(including any accompanying schedules and statements) has been
26examined by me and to the best of my knowledge and belief is a

 

 

09800SB1361sam002- 26 -LRB098 08268 JDS 45545 a

1true, correct and complete statement of my economic interests
2as required by the Illinois Governmental Ethics Act. I
3understand that the penalty for willfully filing a false or
4incomplete statement shall be a fine not to exceed $1,000 or
5imprisonment in a penal institution other than the penitentiary
6not to exceed one year, or both fine and imprisonment."
7................ ..........................................
8(date of filing) (signature of person making the statement)
9(Source: P.A. 95-173, eff. 1-1-08.)
 
10    (5 ILCS 420/4A-108)
11    Sec. 4A-108. Internet-based systems of filing; required
12training for ethics officers.
13    (a) Notwithstanding any other provision of this Act or any
14other law, the Secretary of State and county clerks are a
15county clerk is authorized to institute an Internet-based
16system for the filing of statements of economic interests in
17their offices his or her office. With respect to county clerk
18systems, the The determination to institute such a system shall
19be in the sole discretion of the county clerk and shall meet
20the requirements set out in this Section. With respect to a
21Secretary of State system, the determination to institute such
22a system shall be in the sole discretion of the Secretary of
23State and shall meet the requirements set out in this Section
24and those Sections of the State Officials and Employees Act
25requiring ethics officer review prior to filing. The system

 

 

09800SB1361sam002- 27 -LRB098 08268 JDS 45545 a

1shall include a means to amend a statement of economic
2interest. When this Section does not modify or remove the
3requirements set forth elsewhere in this Article, those
4requirements shall apply to any system of Internet-based filing
5authorized by this Section. When this Section does modify or
6remove the requirements set forth elsewhere in this Article,
7the provisions of this Section shall apply to any system of
8Internet-based filing authorized by this Section.
9    (b) In any system of Internet-based filing of statements of
10economic interests instituted by the Secretary of State or a
11county clerk:
12        (1) Any filing of an Internet-based statement of
13    economic interests shall be the equivalent of the filing of
14    a verified, written statement of economic interests as
15    required by Section 4A-101 and the equivalent of the filing
16    of a verified, dated, and signed statement of economic
17    interests as required by Section 4A-103 4A-104.
18        (2) The Secretary of State and county clerks who
19    institute A county clerk who institutes a system of
20    Internet-based filing of statements of economic interests
21    shall establish a password-protected website web site to
22    receive the filings of such statements. A website
23    established under this Section shall set forth and provide
24    a means of responding to the form's questions items set
25    forth in Section 4A-103 4A-102 that are required of a
26    person who files a statement of economic interests with

 

 

09800SB1361sam002- 28 -LRB098 08268 JDS 45545 a

1    that officer. A website established under this Section
2    shall set forth and provide a means for generating a
3    printable receipt page, acknowledging filing.
4        (3) The times for the filing of statements of economic
5    interests set forth in Section 4A-105 shall be followed in
6    any system of Internet-based filing of statements of
7    economic interests; provided that a candidate for elective
8    office who is required to file a statement of economic
9    interests in relation to his or her candidacy pursuant to
10    Section 4A-105(a) shall not use the Internet to file his or
11    her statement of economic interests but shall file his or
12    her statement of economic interests in a written or printed
13    form and shall receive a written or printed receipt for his
14    or her filing.
15        (4) In the first year of the implementation of a system
16    of Internet-based filing of statements of economic
17    interests, each person required to file such a statement is
18    to be notified in writing of his or her obligation to file
19    his or her statement of economic interests and the option
20    to file by way of the Internet-based system or by way of
21    standardized form. If access to the web site requires a
22    code or password, this information shall be included in the
23    notice prescribed by this paragraph.
24        (5) When a person required to file a statement of
25    economic interests has supplied the Secretary of State or a
26    county clerk, as applicable, with an email address for the

 

 

09800SB1361sam002- 29 -LRB098 08268 JDS 45545 a

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

 

 

09800SB1361sam002- 30 -LRB098 08268 JDS 45545 a

1    government must use the system to file this information.
2        (8) The Secretary of State and any Any county clerk who
3    institutes a system of Internet-based filing of statements
4    of economic interests shall post the contents of such
5    statements filed with him or her available for inspection
6    and copying on a publicly accessible website. Such postings
7    shall not include the addresses of the filers.
8    (c) Each person serving as an ethics officer under the
9State Officials and Employees Ethics Act shall, within 6 months
10after the effective date of this amendatory Act of the 98th
11General Assembly, successfully complete an electronic training
12curriculum to be developed by the Secretary of State and
13thereafter successfully complete an annual training program.
14Thereafter, whenever a new ethics officer is designated under
15the State Officials and Employees Ethics Act, that person shall
16successfully complete the electronic training curriculum
17within 30 days after assuming the position. Successful
18completion of the required training curriculum within the
19periods provided shall be a prerequisite to continue serving as
20an ethics officer.
21(Source: P.A. 96-1336, eff. 1-1-11; 97-212, eff. 7-28-11.)
 
22    (5 ILCS 420/4A-104 rep.)
23    Section 10. The Illinois Governmental Ethics Act is amended
24by repealing Sections 4A-104.
 

 

 

09800SB1361sam002- 31 -LRB098 08268 JDS 45545 a

1    Section 15. The Lobbyist Registration Act is amended by
2changing Section 6 as follows:
 
3    (25 ILCS 170/6)  (from Ch. 63, par. 176)
4    Sec. 6. Reports.
5    (a) Lobbyist reports. Except as otherwise provided in this
6Section, every lobbyist registered under this Act who is solely
7employed by a lobbying entity shall file an affirmation,
8verified under oath pursuant to Section 1-109 of the Code of
9Civil Procedure, with the Secretary of State attesting to the
10accuracy of any reports filed pursuant to subsection (b) as
11those reports pertain to work performed by the lobbyist. Any
12lobbyist registered under this Act who is not solely employed
13by a lobbying entity shall personally file reports required of
14lobbying entities pursuant to subsection (b). A lobbyist may,
15if authorized so to do by a lobbying entity by whom he or she is
16employed or retained, file lobbying entity reports pursuant to
17subsection (b) provided that the lobbying entity may delegate
18the filing of the lobbying entity report to only one lobbyist
19in any reporting period.
20    (b) Lobbying entity reports. Every lobbying entity
21registered under this Act shall report expenditures related to
22lobbying. The report shall itemize each individual expenditure
23or transaction and shall include the name of the official on
24whose behalf the expenditure was made, the name of the client
25if the expenditure was made on behalf of a client, the total

 

 

09800SB1361sam002- 32 -LRB098 08268 JDS 45545 a

1amount of the expenditure, a description of the expenditure,
2the vendor or purveyor to whom the expenditure was made
3(including the address or location of the expenditure), the
4date on which the expenditure occurred and the subject matter
5of the lobbying activity, if any. Each expenditure required to
6be reported shall include all expenses made for or on behalf of
7an official or his or her immediate family member living with
8the official.
9    (b-1) The report shall include any change or addition to
10the client list information, required in Section 5 for
11registration, since the last report, including the names and
12addresses of all clients who retained the lobbying entity
13together with an itemized description for each client of the
14following: (1) lobbying regarding executive action, including
15the name of any executive agency lobbied and the subject
16matter; (2) lobbying regarding legislative action, including
17the General Assembly and any other agencies lobbied and the
18subject matter; and (3) lobbying regarding administrative
19action, including the agency lobbied and the subject matter.
20Registrants who made no reportable expenditures during a
21reporting period shall file a report stating that no
22expenditures were incurred.
23    (b-2) Expenditures attributable to lobbying officials
24shall be listed and reported according to the following
25categories:
26        (1) travel and lodging on behalf of others, including,

 

 

09800SB1361sam002- 33 -LRB098 08268 JDS 45545 a

1    but not limited to, all travel and living accommodations
2    made for or on behalf of State officials during sessions of
3    the General Assembly.
4        (2) meals, beverages and other entertainment.
5        (3) gifts (indicating which, if any, are on the basis
6    of personal friendship).
7        (4) honoraria.
8        (5) any other thing or service of value not listed
9    under categories (1) through (4), setting forth a
10    description of the expenditure. The category travel and
11    lodging includes, but is not limited to, all travel and
12    living accommodations made for or on behalf of State
13    officials in the State capital during sessions of the
14    General Assembly.
15    (b-3) If expenditures are Expenditures incurred for
16hosting receptions, benefits, and other large gatherings held
17for purposes of goodwill or otherwise to influence executive,
18legislative, or administrative action and if the total number
19of State officials invited to such an event is equal to or
20greater than the number of State legislators in the smaller
21minority caucus of either the House of Representatives or the
22Senate, as defined in the rules of those chambers, then to
23which there are 25 or more State officials invited shall be
24reported listing only the total amount of the expenditure, the
25date of the event, and the estimated number of officials in
26attendance shall be reported.

 

 

09800SB1361sam002- 34 -LRB098 08268 JDS 45545 a

1    (b-5) The report must include a description of any business
2or familial relationship, or both, that a registrant has with
3an official who he or she is registered to lobby under this
4Act. For the purposes of this subsection, "familial
5relationship" includes those people related to the registrant
6as spouse, as defined in the Illinois Governmental Ethics Act,
7child, step-child, parent, step-parent, sibling, step-sibling,
8half-sibling, parent-in-law, brother-in-law, sister-in-law,
9son-in-law, daughter-in-law, aunt, uncle, niece, nephew, great
10aunt, great uncle, first cousin, grandfather, grandmother,
11grandson and granddaughter, as well as the father, mother,
12grandfather and grandmother of the filer's spouse.
13    (b-7) Matters excluded from reports. The following items
14need not be included in the report:
15        (1) Reasonable and bona fide expenditures made by the
16    registrant who is a member of a legislative or State study
17    commission or committee while attending and participating
18    in meetings and hearings of such commission or committee.
19        (2) Reasonable and bona fide expenditures made by the
20    registrant for personal sustenance, lodging, travel,
21    office expenses and clerical or support staff.
22        (3) Salaries, fees, and other compensation paid to the
23    registrant for the purposes of lobbying.
24        (4) Any contributions required to be reported under
25    Article 9 of the Election Code.
26        (5) Expenditures made by a registrant on behalf of an

 

 

09800SB1361sam002- 35 -LRB098 08268 JDS 45545 a

1    official that are returned or reimbursed prior to the
2    deadline for submission of the report.
3    (c) A registrant who terminates employment or duties which
4required him or her to register under this Act shall give the
5Secretary of State, within 30 days after the date of such
6termination, written notice of such termination and shall
7include therewith a report of the expenditures described
8herein, covering the period of time since the filing of his or
9her last report to the date of termination of employment. Such
10notice and report shall be final and relieve such registrant of
11further reporting under this Act, unless and until he or she
12later takes employment or assumes duties requiring him or her
13to again register under this Act.
14    (d) Failure to file any such report within the time
15designated or the reporting of incomplete information shall
16constitute a violation of this Act.
17    A registrant shall preserve for a period of 2 years all
18receipts and records used in preparing reports under this Act.
19    (e) Within 30 days after a filing deadline or as provided
20by rule, the lobbyist shall notify each official on whose
21behalf an expenditure has been reported. Notification shall
22include the name of the registrant, the total amount of the
23expenditure, a description of the expenditure, the date on
24which the expenditure occurred, and the subject matter of the
25lobbying activity.
26    (f) A report for the period beginning January 1, 2010 and

 

 

09800SB1361sam002- 36 -LRB098 08268 JDS 45545 a

1ending on June 30, 2010 shall be filed no later than July 15,
22010, and a report for the period beginning July 1, 2010 and
3ending on December 31, 2010 shall be filed no later than
4January 15, 2011. Beginning January 1, 2011, reports shall be
5filed semi-monthly as follows: (i) for the period beginning the
6first day of the month through the 15th day of the month, the
7report shall be filed no later than the 20th day of the month
8and (ii) for the period beginning on the 16th day of the month
9through the last day of the month, the report shall be filed no
10later than the 5th day of the following month. A report filed
11under this Act is due in the Office of the Secretary of State
12no later than the close of business on the date on which it is
13required to be filed.
14    (g) All reports filed under this Act shall be filed in a
15format or on forms prescribed by the Secretary of State.
16(Source: P.A. 96-555, eff. 1-1-10; 96-1358, eff. 7-28-10.)
 
17    Section 99. Effective date. This Act takes effect January
181, 2015.".