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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,
3represented in the General Assembly:
 
4    Section 5. The Illinois Governmental Ethics Act is amended
5by changing Sections 4A-101, 4A-102, 4A-106, and 4A-107 as
6follows:
 
7    (5 ILCS 420/4A-101)  (from Ch. 127, par. 604A-101)
8    Sec. 4A-101. Persons required to file. The following
9persons shall file verified written statements of economic
10interests, 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
21local government from enacting financial disclosure
22requirements that mandate more information than required by
23this Act.
24(Source: P.A. 96-6, eff. 4-3-09; 96-543, eff. 8-17-09; 96-555,
25eff. 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
3by this Article shall include the economic interests of the
4person making the statement as provided in this Section. The
5interest (if constructively controlled by the person making the
6statement) of a spouse or any other party, shall be considered
7to be the same as the interest of the person making the
8statement. Campaign receipts shall not be included in this
9statement.
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
24government in relation to which a person required to file under
25item (o) of Section 4A-101 shall be the unit of local
26government that contributes to the pension fund of which such

 

 

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

 

 

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1a board described in item (o) of Section 4A-101 shall certify
2to the appropriate county clerk a list of names and addresses
3of persons described in items (h), (i), (k), and (o) of Section
44A-101 that are required to file. In preparing the lists, each
5chief administrative officer, or his or her designee, shall set
6out the names in alphabetical order.
7    On or before April 1 annually, the Secretary of State shall
8notify (1) all persons whose names have been certified to him
9under 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)
11of Section 4A-101, other than candidates for office who have
12filed their statements with their nominating petitions, of the
13requirements for filing statements of economic interests. A
14person required to file with the Secretary of State by virtue
15of 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
17to file only one statement of economic interests relating to
18all items under which the person is required to file with the
19Secretary of State.
20    On or before April 1 annually, the county clerk of each
21county shall notify all persons whose names have been certified
22to him under items (g), (h), (i), (k), and (o) of Section
234A-101, other than candidates for office who have filed their
24statements with their nominating petitions, of the
25requirements for filing statements of economic interests. A
26person required to file with a county clerk by virtue of more

 

 

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1than one item among items (g), (h), (i), (k), and (o) shall be
2notified of and is required to file only one statement of
3economic interests relating to all items under which the person
4is required to file with that county clerk.
5    Except as provided in Section 4A-106.1, the notices
6provided for in this Section shall be in writing and deposited
7in the U.S. Mail, properly addressed, first class postage
8prepaid, on or before the day required by this Section for the
9sending of the notice. Alternatively, a county clerk may send
10the notices electronically to all persons whose names have been
11thus certified to him under item (h), (i), or (k) of Section
124A-101. A certificate executed by the Secretary of State or
13county clerk attesting that he or she has sent the notice by
14the means permitted by this Section constitutes prima facie
15evidence thereof.
16    From the lists certified to him under this Section of
17persons described in items (g), (h), (i), (k), and (o) of
18Section 4A-101, the clerk of each county shall compile an
19alphabetical listing of persons required to file statements of
20economic interests in his office under any of those items. As
21the statements are filed in his office, the county clerk shall
22cause the fact of that filing to be indicated on the
23alphabetical listing of persons who are required to file
24statements. Within 30 days after the due dates, the county
25clerk shall mail to the State Board of Elections a true copy of
26that listing showing those who have filed statements.

 

 

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1    The county clerk of each county shall note upon the
2alphabetical listing the names of all persons required to file
3a statement of economic interests who failed to file a
4statement on or before May 1. It shall be the duty of the
5several county clerks to give notice as provided in Section
64A-105 to any person who has failed to file his or her
7statement with the clerk on or before May 1.
8    Any person who files or has filed a statement of economic
9interest under this Act is entitled to receive from the
10Secretary of State or county clerk, as the case may be, a
11receipt indicating that the person has filed such a statement,
12the date of such filing, and the identity of the governmental
13unit or units in relation to which the filing is required.
14    The Secretary of State may employ such employees and
15consultants as he considers necessary to carry out his duties
16hereunder, and may prescribe their duties, fix their
17compensation, and provide for reimbursement of their expenses.
18    All statements of economic interests filed under this
19Section shall be available for examination and copying by the
20public at all reasonable times. Not later than 12 months after
21the effective date of this amendatory Act of the 93rd General
22Assembly, beginning with statements filed in calendar year
232004, the Secretary of State shall make statements of economic
24interests filed with the Secretary available for inspection and
25copying 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
3economic interests under this Article who willfully files a
4false or incomplete statement shall be guilty of a Class A
5misdemeanor.
6    Except when the fees and penalties for late filing have
7been waived under Section 4A-105, failure to file a statement
8within the time prescribed shall result in ineligibility for,
9or forfeiture of, office or position of employment, as the case
10may be; provided, however, that if the notice of failure to
11file a statement of economic interests provided in Section
124A-105 of this Act is not given by the Secretary of State or
13the county clerk, as the case may be, no forfeiture shall
14result if a statement is filed within 30 days of actual notice
15of the failure to file. The Secretary of State shall provide
16the Attorney General with the names of persons who failed to
17file a statement. The county clerk shall provide the State's
18Attorney of the county of the entity for which the filing of
19statement of economic interest is required with the name of
20persons who failed to file a statement.
21    The Attorney General, with respect to offices or positions
22described in items (a) through (f) and items (j), (l), and (n),
23and (p) of Section 4A-101 of this Act, or the State's Attorney
24of the county of the entity for which the filing of statements
25of economic interests is required, with respect to offices or

 

 

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1positions described in items (g) through (i), item (k), and
2item (o) of Section 4A-101 of this Act, shall bring an action
3in quo warranto against any person who has failed to file by
4either May 31 or June 30 of any given year and for whom the fees
5and penalties for late filing have not been waived under
6Section 4A-105.
7(Source: P.A. 96-6, eff. 4-3-09; 96-550, eff. 8-17-09; 96-1000,
8eff. 7-2-10.)
 
9    Section 99. Effective date. This Act takes effect upon
10becoming law.