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Public Act 097-0754
Public Act 0754 97TH GENERAL ASSEMBLY
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Public Act 097-0754
| | HB4116 Enrolled | LRB097 15595 PJG 60735 b |
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| 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.
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| (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;
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| (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.)
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| (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.
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| (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;
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| (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.
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| 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.
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Effective Date: 7/6/2012
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