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Full Text of HB4116  97th General Assembly

HB4116ham003 97TH GENERAL ASSEMBLY

Rep. Jim Durkin

Filed: 3/26/2012

 

 


 

 


 
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1
AMENDMENT TO HOUSE BILL 4116

2    AMENDMENT NO. ______. Amend House Bill 4116 by replacing
3everything after the enacting clause with the following:
 
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

 

 

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1    Illinois Constitution, and candidates for nomination or
2    election to such Commission or Board.
3        (d) Persons whose appointment to office is subject to
4    confirmation by the Senate and persons appointed by the
5    Governor to any other position on a board or commission
6    described in subsection (a) of Section 15 of the
7    Gubernatorial Boards and Commissions Act.
8        (e) Holders of, and candidates for nomination or
9    election to, the office of judge or associate judge of the
10    Circuit Court and the office of judge of the Appellate or
11    Supreme Court.
12        (f) Persons who are employed by any branch, agency,
13    authority or board of the government of this State,
14    including but not limited to, the Illinois State Toll
15    Highway Authority, the Illinois Housing Development
16    Authority, the Illinois Community College Board, and
17    institutions under the jurisdiction of the Board of
18    Trustees of the University of Illinois, Board of Trustees
19    of Southern Illinois University, Board of Trustees of
20    Chicago State University, Board of Trustees of Eastern
21    Illinois University, Board of Trustees of Governor's State
22    University, Board of Trustees of Illinois State
23    University, Board of Trustees of Northeastern Illinois
24    University, Board of Trustees of Northern Illinois
25    University, Board of Trustees of Western Illinois
26    University, or Board of Trustees of the Illinois

 

 

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1    Mathematics and Science Academy, and are compensated for
2    services as employees and not as independent contractors
3    and who:
4            (1) are, or function as, the head of a department,
5        commission, board, division, bureau, authority or
6        other administrative unit within the government of
7        this State, or who exercise similar authority within
8        the government of this State;
9            (2) have direct supervisory authority over, or
10        direct responsibility for the formulation,
11        negotiation, issuance or execution of contracts
12        entered into by the State in the amount of $5,000 or
13        more;
14            (3) have authority for the issuance or
15        promulgation of rules and regulations within areas
16        under the authority of the State;
17            (4) have authority for the approval of
18        professional licenses;
19            (5) have responsibility with respect to the
20        financial inspection of regulated nongovernmental
21        entities;
22            (6) adjudicate, arbitrate, or decide any judicial
23        or administrative proceeding, or review the
24        adjudication, arbitration or decision of any judicial
25        or administrative proceeding within the authority of
26        the State;

 

 

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1            (7) have supervisory responsibility for 20 or more
2        employees of the State;
3            (8) negotiate, assign, authorize, or grant naming
4        rights or sponsorship rights regarding any property or
5        asset of the State, whether real, personal, tangible,
6        or intangible; or
7            (9) have responsibility with respect to the
8        procurement of goods or services.
9        (g) Persons who are elected to office in a unit of
10    local government, and candidates for nomination or
11    election to that office, including regional
12    superintendents of school districts.
13        (h) Persons appointed to the governing board of a unit
14    of local government, or of a special district, and persons
15    appointed to a zoning board, or zoning board of appeals, or
16    to a regional, county, or municipal plan commission, or to
17    a board of review of any county, and persons appointed to
18    the Board of the Metropolitan Pier and Exposition Authority
19    and any Trustee appointed under Section 22 of the
20    Metropolitan Pier and Exposition Authority Act, and
21    persons appointed to a board or commission of a unit of
22    local government who have authority to authorize the
23    expenditure of public funds. This subsection does not apply
24    to members of boards or commissions who function in an
25    advisory capacity.
26        (i) Persons who are employed by a unit of local

 

 

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1    government and are compensated for services as employees
2    and not as independent contractors and who:
3            (1) are, or function as, the head of a department,
4        division, bureau, authority or other administrative
5        unit within the unit of local government, or who
6        exercise similar authority within the unit of local
7        government;
8            (2) have direct supervisory authority over, or
9        direct responsibility for the formulation,
10        negotiation, issuance or execution of contracts
11        entered into by the unit of local government in the
12        amount of $1,000 or greater;
13            (3) have authority to approve licenses and permits
14        by the unit of local government; this item does not
15        include employees who function in a ministerial
16        capacity;
17            (4) adjudicate, arbitrate, or decide any judicial
18        or administrative proceeding, or review the
19        adjudication, arbitration or decision of any judicial
20        or administrative proceeding within the authority of
21        the unit of local government;
22            (5) have authority to issue or promulgate rules and
23        regulations within areas under the authority of the
24        unit of local government; or
25            (6) have supervisory responsibility for 20 or more
26        employees of the unit of local government.

 

 

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1        (j) Persons on the Board of Trustees of the Illinois
2    Mathematics and Science Academy.
3        (k) Persons employed by a school district in positions
4    that require that person to hold an administrative or a
5    chief school business official endorsement.
6        (l) Special government agents. A "special government
7    agent" is a person who is directed, retained, designated,
8    appointed, or employed, with or without compensation, by or
9    on behalf of a statewide executive branch constitutional
10    officer to make an ex parte communication under Section
11    5-50 of the State Officials and Employees Ethics Act or
12    Section 5-165 of the Illinois Administrative Procedure
13    Act.
14        (m) Members of the board of commissioners of any flood
15    prevention district created under the Flood Prevention
16    District Act or the Beardstown Regional Flood Prevention
17    District Act.
18        (n) Members of the board of any retirement system or
19    investment board established under the Illinois Pension
20    Code, if not required to file under any other provision of
21    this Section.
22        (o) Members of the board of any pension fund
23    established under the Illinois Pension Code, if not
24    required to file under any other provision of this Section.
25        (p) Members of the investment advisory panel created
26    under Section 20 of the Illinois Prepaid Tuition Act.

 

 

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1    This Section shall not be construed to prevent any unit of
2local government from enacting financial disclosure
3requirements that mandate more information than required by
4this Act.
5(Source: P.A. 96-6, eff. 4-3-09; 96-543, eff. 8-17-09; 96-555,
6eff. 8-18-09; 96-1000, eff. 7-2-10; 97-309, eff. 8-11-11.)
 
7    (5 ILCS 420/4A-102)  (from Ch. 127, par. 604A-102)
8    Sec. 4A-102. The statement of economic interests required
9by this Article shall include the economic interests of the
10person making the statement as provided in this Section. The
11interest (if constructively controlled by the person making the
12statement) of a spouse or any other party, shall be considered
13to be the same as the interest of the person making the
14statement. Campaign receipts shall not be included in this
15statement.
16        (a) The following interests shall be listed by all
17    persons required to file:
18            (1) The name, address and type of practice of any
19        professional organization or individual professional
20        practice in which the person making the statement was
21        an officer, director, associate, partner or
22        proprietor, or served in any advisory capacity, from
23        which income in excess of $1200 was derived during the
24        preceding calendar year;
25            (2) The nature of professional services (other

 

 

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1        than services rendered to the unit or units of
2        government in relation to which the person is required
3        to file) and the nature of the entity to which they
4        were rendered if fees exceeding $5,000 were received
5        during the preceding calendar year from the entity for
6        professional services rendered by the person making
7        the statement.
8            (3) The identity (including the address or legal
9        description of real estate) of any capital asset from
10        which a capital gain of $5,000 or more was realized in
11        the preceding calendar year.
12            (4) The name of any unit of government which has
13        employed the person making the statement during the
14        preceding calendar year other than the unit or units of
15        government in relation to which the person is required
16        to file.
17            (5) The name of any entity from which a gift or
18        gifts, or honorarium or honoraria, valued singly or in
19        the aggregate in excess of $500, was received during
20        the preceding calendar year.
21        (b) The following interests shall also be listed by
22    persons listed in items (a) through (f), item (l), and item
23    (n), and item (p) of Section 4A-101:
24            (1) The name and instrument of ownership in any
25        entity doing business in the State of Illinois, in
26        which an ownership interest held by the person at the

 

 

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

 

 

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1        entity doing business with a unit of local government
2        in relation to which the person is required to file if
3        the ownership interest of the person filing is greater
4        than $5,000 fair market value as of the date of filing
5        or if dividends in excess of $1,200 were received from
6        the entity during the preceding calendar year. (In the
7        case of real estate, location thereof shall be listed
8        by street address, or if none, then by legal
9        description). No time or demand deposit in a financial
10        institution, nor any debt instrument need be listed.
11            (2) Except for professional service entities, the
12        name of any entity and any position held therein from
13        which income in excess of $1,200 was derived during the
14        preceding calendar year if the entity does business
15        with a unit of local government in relation to which
16        the person is required to file. No time or demand
17        deposit in a financial institution, nor any debt
18        instrument need be listed.
19            (3) The name of any entity and the nature of the
20        governmental action requested by any entity which has
21        applied to a unit of local government in relation to
22        which the person must file for any license, franchise
23        or permit for annexation, zoning or rezoning of real
24        estate during the preceding calendar year if the
25        ownership interest of the person filing is in excess of
26        $5,000 fair market value at the time of filing or if

 

 

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1        income or dividends in excess of $1,200 were received
2        by the person filing from the entity during the
3        preceding calendar year.
4    For the purposes of this Section, the unit of local
5government in relation to which a person required to file under
6item (o) of Section 4A-101 shall be the unit of local
7government that contributes to the pension fund of which such
8person is a member of the board.
9(Source: P.A. 96-6, eff. 4-3-09.)
 
10    (5 ILCS 420/4A-106)  (from Ch. 127, par. 604A-106)
11    Sec. 4A-106. The statements of economic interests required
12of persons listed in items (a) through (f), item (j), item (l),
13and item (n), and item (p) of Section 4A-101 shall be filed
14with the Secretary of State. The statements of economic
15interests required of persons listed in items (g), (h), (i),
16(k), and (o) of Section 4A-101 shall be filed with the county
17clerk of the county in which the principal office of the unit
18of local government with which the person is associated is
19located. If it is not apparent which county the principal
20office of a unit of local government is located, the chief
21administrative officer, or his or her designee, has the
22authority, for purposes of this Act, to determine the county in
23which the principal office is located. On or before February 1
24annually, (1) the chief administrative officer of any State
25agency in the executive, legislative, or judicial branch

 

 

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1employing persons required to file under item (f) or item (l)
2of Section 4A-101 and the chief administrative officer of a
3board or panel described in item (n) or (p) of Section 4A-101
4shall certify to the Secretary of State the names and mailing
5addresses of those persons, and (2) the chief administrative
6officer, or his or her designee, of each unit of local
7government with persons described in items (h), (i) and (k) and
8a board described in item (o) of Section 4A-101 shall certify
9to the appropriate county clerk a list of names and addresses
10of persons described in items (h), (i), (k), and (o) of Section
114A-101 that are required to file. In preparing the lists, each
12chief administrative officer, or his or her designee, shall set
13out the names in alphabetical order.
14    On or before April 1 annually, the Secretary of State shall
15notify (1) all persons whose names have been certified to him
16under items (f), (l), and (n), and (p) of Section 4A-101, and
17(2) all persons described in items (a) through (e) and item (j)
18of Section 4A-101, other than candidates for office who have
19filed their statements with their nominating petitions, of the
20requirements for filing statements of economic interests. A
21person required to file with the Secretary of State by virtue
22of more than one item among items (a) through (f) and items
23(j), (l), and (n), and (p) shall be notified of and is required
24to file only one statement of economic interests relating to
25all items under which the person is required to file with the
26Secretary of State.

 

 

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1    On or before April 1 annually, the county clerk of each
2county shall notify all persons whose names have been certified
3to him under items (g), (h), (i), (k), and (o) of Section
44A-101, other than candidates for office who have filed their
5statements with their nominating petitions, of the
6requirements for filing statements of economic interests. A
7person required to file with a county clerk by virtue of more
8than one item among items (g), (h), (i), (k), and (o) shall be
9notified of and is required to file only one statement of
10economic interests relating to all items under which the person
11is required to file with that county clerk.
12    Except as provided in Section 4A-106.1, the notices
13provided for in this Section shall be in writing and deposited
14in the U.S. Mail, properly addressed, first class postage
15prepaid, on or before the day required by this Section for the
16sending of the notice. Alternatively, a county clerk may send
17the notices electronically to all persons whose names have been
18thus certified to him under item (h), (i), or (k) of Section
194A-101. A certificate executed by the Secretary of State or
20county clerk attesting that he or she has sent the notice by
21the means permitted by this Section constitutes prima facie
22evidence thereof.
23    From the lists certified to him under this Section of
24persons described in items (g), (h), (i), (k), and (o) of
25Section 4A-101, the clerk of each county shall compile an
26alphabetical listing of persons required to file statements of

 

 

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1economic interests in his office under any of those items. As
2the statements are filed in his office, the county clerk shall
3cause the fact of that filing to be indicated on the
4alphabetical listing of persons who are required to file
5statements. Within 30 days after the due dates, the county
6clerk shall mail to the State Board of Elections a true copy of
7that listing showing those who have filed statements.
8    The county clerk of each county shall note upon the
9alphabetical listing the names of all persons required to file
10a statement of economic interests who failed to file a
11statement on or before May 1. It shall be the duty of the
12several county clerks to give notice as provided in Section
134A-105 to any person who has failed to file his or her
14statement with the clerk on or before May 1.
15    Any person who files or has filed a statement of economic
16interest under this Act is entitled to receive from the
17Secretary of State or county clerk, as the case may be, a
18receipt indicating that the person has filed such a statement,
19the date of such filing, and the identity of the governmental
20unit or units in relation to which the filing is required.
21    The Secretary of State may employ such employees and
22consultants as he considers necessary to carry out his duties
23hereunder, and may prescribe their duties, fix their
24compensation, and provide for reimbursement of their expenses.
25    All statements of economic interests filed under this
26Section shall be available for examination and copying by the

 

 

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1public at all reasonable times. Not later than 12 months after
2the effective date of this amendatory Act of the 93rd General
3Assembly, beginning with statements filed in calendar year
42004, the Secretary of State shall make statements of economic
5interests filed with the Secretary available for inspection and
6copying via the Secretary's website.
7(Source: P.A. 96-6, eff. 4-3-09; 96-1336, eff. 1-1-11.)
 
8    (5 ILCS 420/4A-107)  (from Ch. 127, par. 604A-107)
9    Sec. 4A-107. Any person required to file a statement of
10economic interests under this Article who willfully files a
11false or incomplete statement shall be guilty of a Class A
12misdemeanor.
13    Except when the fees and penalties for late filing have
14been waived under Section 4A-105, failure to file a statement
15within the time prescribed shall result in ineligibility for,
16or forfeiture of, office or position of employment, as the case
17may be; provided, however, that if the notice of failure to
18file a statement of economic interests provided in Section
194A-105 of this Act is not given by the Secretary of State or
20the county clerk, as the case may be, no forfeiture shall
21result if a statement is filed within 30 days of actual notice
22of the failure to file. The Secretary of State shall provide
23the Attorney General with the names of persons who failed to
24file a statement. The county clerk shall provide the State's
25Attorney of the county of the entity for which the filing of

 

 

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1statement of economic interest is required with the name of
2persons who failed to file a statement.
3    The Attorney General, with respect to offices or positions
4described in items (a) through (f) and items (j), (l), and (n),
5and (p) of Section 4A-101 of this Act, or the State's Attorney
6of the county of the entity for which the filing of statements
7of economic interests is required, with respect to offices or
8positions described in items (g) through (i), item (k), and
9item (o) of Section 4A-101 of this Act, shall bring an action
10in quo warranto against any person who has failed to file by
11either May 31 or June 30 of any given year and for whom the fees
12and penalties for late filing have not been waived under
13Section 4A-105.
14(Source: P.A. 96-6, eff. 4-3-09; 96-550, eff. 8-17-09; 96-1000,
15eff. 7-2-10.)
 
16    Section 99. Effective date. This Act takes effect upon
17becoming law.".