Public Act 097-0754
 
HB4116 EnrolledLRB097 15595 PJG 60735 b

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