Title:2 Part:560

PART 560 LOBBYIST REGISTRATION AND REPORTS : Sections Listing

TITLE 2: GOVERNMENTAL ORGANIZATION
SUBTITLE C: CONSTITUTIONAL OFFICERS
CHAPTER III: SECRETARY OF STATE
PART 560 LOBBYIST REGISTRATION AND REPORTS

SUBPART A: DEFINITIONS

Section 560.100 Definitions
Section 560.105 Designated Officials

SUBPART B: LOBBYIST REGISTRATION

Section 560.200 Persons Required to Register
Section 560.205 Designation and Duties of Authorized Agent
Section 560.210 Persons Not Required to Register
Section 560.220 Registration Requirements
Section 560.225 Ethics Training
Section 560.230 Failure to Register (Repealed)
Section 560.235 Prohibition on Sexual Harassment

SUBPART C: REPORTING REQUIREMENTS

Section 560.300 Persons Required to File Semi-monthly Reports
Section 560.301 Affirmations
Section 560.305 Time, Place and Manner for Filing Semi-monthly Reports
Section 560.310 Categorizing Expenditures
Section 560.315 Allocating Expenditures
Section 560.320 Large Gatherings and Giveaways
Section 560.325 Reporting Expenditures by Participants in Grass Roots Lobbying Events
Section 560.326 Registrant's Duties for Grass Roots Lobbying Events
Section 560.330 Expenditures for Immediate Family Members of Officials
Section 560.340 Travel and Lodging Accommodations for Officials
Section 560.345 Members of Legislative or State Study Committees
Section 560.350 Personal and Office Expenses
Section 560.355 Registrant's Duties for Grass Roots Lobbying Events (Repealed)
Section 560.360 Salaries, Fees and Compensation
Section 560.365 Contributions Reported Under the Election Code
Section 560.370 Returned Expenditures/Reimbursement by Official
Section 560.371 Lobbyist Notifications to Officials
Section 560.372 Official's Clarification Notice
Section 560.375 Reports in the Absence of Reportable Expenditures
Section 560.380 Amending Reports
Section 560.385 Termination of Lobbying Activities
Section 560.390 Failure to File Registration Statements and Semi-monthly Reports
Section 560.395 Preservation of Records

SUBPART D: PUBLIC DISCLOSURE

Section 560.400 Requests for Reports
Section 560.402 Location and Business Hours
Section 560.405 Official Forms
Section 560.410 List of Officials
Section 560.420 Fees
Section 560.430 Enforcement

Section 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION A Form R1: Lobbyist Registration Statement - For Individual/Firm/Partnership/Committee/Association/Corporation or any Other Organization Employing a Lobbyist on Their Own Behalf (Repealed)
Section 560.ILLUSTRATION B Form R2: Lobbyist Registration Statement - For Individual/Firm/Partnership/Committee/Association/Corporation or any Other Organization Who Performs Lobbying Services on Behalf of Another (Repealed)
Section 560.ILLUSTRATION C Attachment R1/R2: Lobbyist Registration Attachment - For Individual Lobbyist (Repealed)
Section 560.ILLUSTRATION D Form R3: Lobbyist Registration Attachment - For Addition or Deletion of Affiliated Lobbyists (Repealed)
Section 560.ILLUSTRATION E Form R4: Lobbyist Registration Attachment - For Addition or Deletion of Affiliated Clients (Repealed)

Section 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION A Form S1: Lobbyist Expenditure Report - Summary of Reportable Expenditures (Repealed)
Section 560.ILLUSTRATION B Schedule 1A/2A: Lobbyist Expenditure Report - Itemized Expenditures for Travel and Lodging or Meals, Beverages and Entertainment (Repealed)
Section 560.ILLUSTRATION C Schedule 1B/2B: Lobbyist Expenditure Report - Non-Itemized Expenditures for Travel and Lodging or Meals, Beverages and Entertainment (Repealed)
Section 560.ILLUSTRATION D Schedule 2C: Lobbyist Expenditure Report - Expenditures for Large Gatherings (Repealed)
Section 560.ILLUSTRATION E Schedule 3A/4A: Lobbyist Expenditure Report - Itemized Expenditures for Gifts or Honoraria (Repealed)
Section 560.ILLUSTRATION F Schedule 3B/4B: Lobbyist Expenditure Report - Non-Itemized Expenditures for Gifts and Honoraria (Repealed)
Section 560.ILLUSTRATION G Schedule GR1: Lobbyist Expenditure Notification - Expenditures in Connection with a Grass Roots Lobbying Event (Repealed)

AUTHORITY: Implementing and authorized by the Lobbyist Registration Act [25 ILCS 170] and P.A. 100-554, effective November 16, 2017.

SOURCE: Adopted at 18 Ill. Reg. 22532, effective January 1, 1994; amended at 21 Ill. Reg. 405, effective January 1, 1997; emergency amendment at 22 Ill. Reg. 22419, effective December 8, 1998, for a maximum of 150 days; amended at 23 Ill. Reg. 5856, effective May 3, 1999; amended at 24 Ill. Reg. 6708, effective April 14, 2000; emergency amendment at 35 Ill. Reg. 2424, effective January 21, 2011, for a maximum of 150 days; emergency expired June 19, 2011; amended at 35 Ill. Reg. 12761, effective July 18, 2011; emergency amendment at 37 Ill. Reg. 20784, effective December 16, 2013, for a maximum of 150 days; emergency repeal of emergency amendment at 38 Ill. Reg. 5395, effective February 7, 2014, for the remainder of the 150 days; amended at 38 Ill. Reg. 8401, effective April 3, 2014; emergency amendment at 41 Ill. Reg. 15373, effective December 8, 2017, for a maximum of 150 days; emergency expired May 6, 2018; amended at 43 Ill. Reg. 751, effective December 20, 2018.

SUBPART A: DEFINITIONS

Section 560.100 Definitions

The following definitions shall apply to this Part:

"Act" means the Lobbyist Registration Act [25 ILCS 170].

"Administrative Action" means the execution or rejection of any rule, regulation, legislative rule, standard, fee, rate, contractual arrangement, purchasing agreement or other delegated legislative or quasi-legislative action to be taken or withheld by any executive agency, department, board or commission of the State. (Section 2(i) of the Act) It shall not include any correspondence or direct lobbying communication to an official providing a response to an official's request.

"Allocation" means the proration of the expenditure made for lobbying an official when the expenditure is made for more than one official, but fewer than 25 officials.

"Authorized Agent" means the person designated by an entity or lobbyist registered under the Act as the person responsible for the accurate submission and retention of reports required under the Act. (Section 2(l) of the Act) The authorized agent need not register unless he or she is a lobbyist, as defined in this Section.

"Client" means any person or entity that provides compensation to or employs a lobbyist to lobby State government as provided in the Act.

"Client Registrant" means a client who is required to register under the Act.

"Compensation" means any money, thing of value or financial benefits received or to be received in return for services rendered or to be rendered, for lobbying, as defined in this Section. Monies paid to officials by the State as remuneration for performance or reimbursement of expenses in connection with their constitutional and statutory duties as officials shall not constitute compensation. (Section 2 of the Act)

"Complete Report" means a statement or report to be filed with the Secretary of State Index Department in apparent and substantial conformity with the requirements of this Part that shall contain the electronic acknowledgement of the authorized agent, the completion of all applicable sections of the statement or report, and the attachment of all appropriate schedules.

"Direct Lobbying Communication" means any activity concerning the direct contact of officials in person or by means of correspondence, telephone or other electronic medium for the purpose of influencing executive, legislative or administrative action. Any correspondence or contact of a routine nature with an official's office, or by a citizen lawfully petitioning a public official pursuant to Section 9 of the Act, shall not be considered direct lobbying communication, unless the communication is made by a hired lobbyist or is in conjunction with a reportable expenditure.

"Due Diligence" means when a lobbyist or authorized agent for any registered entity shows that best efforts have been used to obtain, maintain and submit the information required by the Act. With regard to filing complete reports, the authorized agent will not be deemed to have exercised due diligence unless he or she has access to the expense records of the entity's lobbyists, and has made at least one written request to obtain information required by the Act from the lobbyist that informs the lobbyist that the reporting of that information to the authorized agent is required by law or regulation. This definition should not be construed as a requirement that the authorized agent review the lobbyist's expense records if the lobbyist certifies their accuracy to the authorized agent.

"Employer" means the individual, firm, partnership, committee, association, corporation or any other organization or group of persons by whom a lobbyist is employed, and not the name of the lobbyist's supervisor.

"Executive Action" means the proposal, drafting, development, consideration, amendment, adoption, approval, promulgation, issuance, modification, rejection or postponement by a State entity of a rule, regulation, order, decision, determination, contractual arrangement, purchasing agreement or other quasi-legislative or quasi-judicial action or proceeding. (Section 2(g) of the Act) It shall not include any correspondence or communication to an official providing a response to an official's request.

"Expenditure" means a payment, distribution, loan, advance, deposit or gift of money or anything of value, and includes a contract, promise or agreement, whether or not legally enforceable, to make an expenditure, for the ultimate purpose of influencing executive, legislative or administrative action, other than compensation as defined in this Section. (Section 2(b) of the Act) For the purposes of this Part, "expenditure" refers to a reportable expenditure made on behalf of an official in one of the 6 categories described in Section 6 of the Act and Section 560.310 of this Part.

"File", "Filed" and "Filing" means the submission of a complete report, as defined in this Section, to the Secretary of State Index Department by the close of business on the prescribed filing date. Registration statements, semi-monthly reports, and any other required reports or correspondence shall be completed online, using the Secretary of State Index Department website (http://www.cyberdriveillinois.com/departments/index/home.html) unless otherwise instructed. If the filing deadline falls on a weekend or a holiday, the deadline will be extended to the next business day unless otherwise instructed. The Index Department shall notify any lobbying entity who has failed to submit a complete report and pay proper fees as required by Sections 560.220 and 560.390. An entity that fails to file a complete entity registration statement, semi-monthly report, or other required report or correspondence and/or pay proper fees shall not be considered a registered lobbying entity by the Secretary of State.

"Goodwill" means, for reporting purposes, any expenditure made on behalf of officials that has no direct relation to a specific executive, legislative or administrative action, regardless of whether the lobbyist making the expenditure is reimbursed by his or her employing registered entity or client. Goodwill should be reported as the subject matter when no specific action is discussed.

"Grass Roots Lobbying Communication" means:

correspondence by a representative (a lobbyist or a non-lobbyist) of a registered entity to the general public, or any segment thereof, encouraging correspondence to an official's office in support of, or opposition to, an executive, legislative or administrative action;

correspondence by a member of the general public, or any segment thereof, to an official's office in support of, or opposition to, an executive, legislative or administrative action when such correspondence is a result of a communication described above in this definition. A reportable expenditure made for or on behalf of an official by a member of the general public as a result of a grass roots lobbying communication shall constitute lobbying activity requiring that individual to register as a lobbyist unless that person reports the expenditure to the registered entity pursuant to Section 560.325.

"Grass Roots Lobbying Event" means:

any organized activity sponsored by a registered entity that is intended to influence the actions of officials by inviting or transporting participants (e.g., members, employees, constituents or the general public) to a specific site on the grounds of, or in the proximity of, public offices or other meeting places where officials are expected to be accessible for grass roots lobbying; or

any event to which officials are invited that is sponsored by a non-lobbyist member or employee of a registered entity, e.g., an on-site inspection of, or reception at, the member's or employee's place of business, or a social gathering at any location. Reportable expenditures incurred as a result of the event shall be reported to the registered entity pursuant to Section 560.325.

"Honorarium" means a payment of money to a member of the General Assembly for an appearance or speech, excluding any actual and necessary travel expenses incurred by the member (and one relative) to the extent that those expenses are paid by any other person. [5 ILCS 420/2-110]

"Influencing" means any communication, action, or reportable expenditure or other means used to promote, support, affect, modify, oppose or delay any executive, legislative or administrative action or to promote goodwill with officials, as defined in this Section. (Section 2(f) of the Act)

"Legislative Action" means the development, drafting, introduction, consideration, modification, adoption, rejection, review, enactment or passage or defeat of any bill, amendment, resolution, report, nomination, administrative rule, or other matter by either house of the General Assembly or a committee thereof, or by a legislator. Legislative action also means the action of the Governor in approving or vetoing any bill or portion thereof, and the action of the Governor or any agency in the development of a proposal for introduction in the legislature. (Section 2(h) of the Act) It shall not include any correspondence or communication to an official providing a response to an official's request.

"Lobby" and "Lobbying" means any communication with an official of the executive or legislative branch of State government as defined in this Section for the ultimate purpose of influencing any executive, legislative or administrative action. (Section 2(e) of the Act) Lobbying shall not be construed to infringe in any way the right of a citizen to lawfully petition any public official by any means of communication. The following are excluded from the definition of "lobbying":

Any grass roots lobbying communication as defined in this Section;

Any communication by a candidate or political committee, as defined in Article 9 of the Election Code [10 ILCS 5/9], in relation to the candidate's campaign, or other communications by a political party committee registered with the Illinois State Board of Elections or Federal Election Commission;

Any communication by a political committee registered with the Illinois State Board of Elections or Federal Election Commission in connection with a question of public policy referendum to be presented to the electors; and

Any professional or technical assistance or ministerial function (a function in which nothing is left to discretion) as a normal course of business (see Section 560.210(c), (d), and (n)).

"Lobbyist" means any natural person who undertakes to lobby State government as defined in this Section. (Section 2(j) of the Act)

"Lobbying Entity" means any entity that hires, retains, employs or compensates a natural person to lobby State government as provided in this Section. (Section 2(k) of the Act)

"Official" means:

The Governor, Lieutenant Governor, Secretary of State, Attorney General, State Treasurer and State Comptroller and their Chiefs of Staff;

Cabinet members of any elected constitutional officer, including Directors, Assistant Directors and Chief Legal Counsel or General Counsel, and other position titles of comparable ranking that are deemed by their employing Constitutional Officer to be an official under this Part;

Members of the General Assembly; and

Members of any board, commission, authority, or task force of the State authorized or created by State law or by executive order of the Governor that has authority to make binding recommendations or determinations. (Section 2(c) of the Act) (See Section 560.105 for additional information.)

"Official" shall not be construed to include those individuals possessing power of attorney on behalf of an official.

"Person" means any individual, firm, partnership, committee, association, corporation or any other organization or group of persons. (Section 2(a) of the Act)

"Picture" means an original or photocopied photograph of a lobbyist to be affixed to the lobbyist's registration attachment.

"Professional Services and Technical Skills" shall be limited to advice and analysis directly applying any professional or technical discipline (see Section 560.210(c) and (d)). Being a professional or technical person does not in itself exempt a person from registering if that person undertakes a direct lobbying communication or makes a reportable expenditure.

"Sexual Harassment" means any unwelcome sexual advances or requests for sexual favors or any conduct of a sexual nature when:

submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment;

submission to or rejection of that conduct by an individual is used as the basis for employment decisions affecting such individual; or

such conduct has the purpose or effect of substantially interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment.

For the purposes of this definition, the phrase "working environment" is not limited to a physical location where an employee is assigned to perform his or her duties and does not require an employment relationship. [5 ILCS 430/5.65(b)]

"Vendor" means any person who sells or leases commodities, equipment, or real estate to the State of Illinois.

(Source: Amended at 43 Ill. Reg. 751, effective December 20, 2018)

Section 560.105 Designated Officials

As indicated in Section 560.100, the term "official" means all members of the General Assembly; all elected constitutional officers (Governor, Lieutenant Governor, Secretary of State, Attorney General, State Treasurer, and State Comptroller), their Chiefs of Staff, their cabinet members (including Directors, Assistant Directors, and General Counsels or Chief Legal Counsels) and all position titles the employing constitutional officer deems comparable; and members of any board, commission, authority, or task force of the State authorized or created by State law or by executive order of the Governor that has authority to make binding recommendations or determinations. (Section 2(c) of the Act) For reporting purposes, the term "official" includes the following positions, boards, commissions, authorities, and task forces:

MEMBERS OF THE GENERAL ASSEMBLY

CONSTITUTIONAL OFFICERS

Governor

Lieutenant Governor

Attorney General

Secretary of State

Comptroller

Treasurer

ATTORNEY GENERAL'S OFFICE

Chief Deputy Attorney General

Chief of Staff

Counsel to the Attorney General

Deputy Attorney General/Child Support Enforcement

Deputy Attorney General/Civil Litigation

Deputy Attorney General/Criminal Justice

Deputy Attorney General/Springfield & Regional Coordination

Deputy Chief of Staff/Administration

Deputy Chief of Staff/Policy & Legislative Affairs

Senior Counsel to the Attorney General

Solicitor General

COMPTROLLER'S OFFICE

Assistant Comptroller – Fiscal Policy

Assistant Comptroller – Operations

Assistant Comptroller – Policy & Planning

Chief of Staff

Deputy Director of Legal Affairs

Director of Administrative Services & Budget

Director of Cemetery Care & Burial Trusts

Director of Communications

Director of Financial Reporting

Director of Human Resources

Director of Information Technology

Director of Internal Audits

Director of Issues Development

Director of Legal Affairs

Director of Legislative Affairs

Director of Local Government

Director of Research & Fiscal Information

Director of State Accounting

Legislative Liaison

Press Secretary

Purchasing Agent

LIEUTENANT GOVERNOR'S OFFICE

Director of Constituent Services

Director of Intergovernmental Affairs

Director of Operations

Director of Rural Affairs

General Counsel

Legislative Counsel

Policy Assistant

Senior Policy Advisor

SECRETARY OF STATE'S OFFICE

Chief Auditor

Deputy Chief Auditor

Deputy Chief of Staff

Deputy Director of Intergovernmental Affairs

Deputy Secretary of State/Chief of Staff

Director of Intergovernmental Affairs

Director of Policy and Programs

General Counsel

Inspector General

Executive Inspector General

Press Secretary

Directors, Chief Deputy Directors and Deputy Directors

of the following departments:

Accounting Revenue

Administrative Hearings

Archives

Budget and Fiscal Management

Business Services

Communications

Court of Claims

Driver Services

Index

Information Technology

Legislative Affairs

Library

Personnel

Physical Services

Police

Securities

Vehicle Services

TREASURER'S OFFICE

Chief Internal Auditor

Chief of Staff

Chief Procurement Officer

Deputy Chief of Staff for Administration

Deputy Chief of Staff for Programs

Deputy Director of Legislative Affairs

Deputy Press Secretary

Deputy Treasurer/CFO

Director of College Savings

Director of Communications

Director of Community Affairs

Director of Financial Education

Director of Human Resources

Director of the Illinois Funds

Director of Information Technology

Director of Invest in Illinois

Director of Marketing

Director of Scheduling and Advance

Director of Technical and Support Services

Director of Unclaimed Property

Director of Legislative Affairs

General Counsel

Manager of Accounting

Manager of Banking

Manager of Warrant

Portfolio Manager

Press Secretary

GOVERNOR'S OFFICE

Chief of Staff

Deputy Chief of Staff − Economy & Labor

Deputy Chief of Staff − Education

Deputy Chief of Staff − Intergovernmental Affairs

Deputy Chief of Staff − Legislative Affairs

Deputy Chief of Staff − Operations

Deputy Chief of Staff − Public Safety

Deputy Chief of Staff − Social Services

Deputy Governor

Director of Communications

Director of Office of Management & Budget

Director of Policy Development

General Counsel

CODE DEPARTMENTS:

Directors, Assistant Directors and General Counsel of the following agencies:

Aging

Agriculture

Central Management Services

Children and Family Services

Commerce and Economic Opportunity

Corrections

Employment Security

Financial and Professional Regulation

Healthcare and Family Services

Human Rights

Human Services **

Illinois Power Agency

Juvenile Justice

Labor

Lottery

Natural Resources

Public Health

Revenue

State Police

Transportation **

Veterans Affairs

** Secretary, Assistant Secretary and General Counsel

of this Agency

NON-CODE DEPARTMENTS:

Directors, Assistant Directors and General Counsel of the following agencies:

Emergency Management Agency

Environmental Protection Agency

Fire Marshal

Historic Preservation Agency

Military Affairs

BOARDS, COMMISSIONS, TASK FORCES AND AUTHORITIES:

Members, Executive Directors and General Counsel of the following:

Block Grants, Advisory Committee on

Boiler and Pressure Vessel Rules Board

Capital Development Board

Carnival-Amusement Safety Board

Charitable Trust Stabilization Committee

Chicago Transit Authority Board

Civil Service Commission

Commerce Commission

Comprehensive Health Insurance Board

Conservation Foundation

Court of Claims

Credit Union Advisors Board

Currency Exchange Advisors Board

Downstate Illinois Sports Facilities Authority Board

Educational Labor Relations Board

Environmental Health Practitioners Board

Executive Ethics Commission

Gaming Board

General Assembly Retirement System, Board of Trustees

Health Facilities and Services Review Board

Higher Education, Board of

Historic Preservation Agency, Board of Trustees

Hospital Licensing Board

Human Rights Commission

Illinois Arts Council

Illinois Development Finance Authority

Illinois Educational Facilities Authority

Illinois Finance Authority

Illinois Global Partnership, Inc., Board of Directors

Illinois Health Facilities Authority

Illinois Housing Development Authority

Illinois Juvenile Justice Commission

Illinois Math and Science Academy, Board of Trustees

Illinois Medical District Commission

Illinois Public Safety Agency Network, Inc., Board of Directors

Illinois State Board of Investment

Illinois State Toll Highway Authority

Illinois Student Assistance Commission

Illinois Workers' Compensation Commission

Joint Committee on Administrative Rules

Judges' Retirement System, Board of Trustees

Labor Relations Boards, State and Local

Liquor Control Commission

Local Records Commission

Lottery Control Board

Merit Commission for the Office of the Comptroller

Merit Commission for the Secretary of State

Metropolitan Pier and Exposition Authority

Minority Controlled and Female Controlled Business Loan Board

Motor Vehicle Review Board

Personnel Review Board for the Treasurer

Pollution Control Board

Prisoner Review Board

Property Tax Appeal Board

Purchased Care Review Board

Racing Board

Savings Institutions Board

Small Business Utility Advocate

Sports Facilities Authority Board

State Board of Education

State Board of Elections

State Employees' Retirement System, Board of Trustees

State Mining Board

State Police Merit Board

State Universities Retirement System, Board of Trustees

Teachers' Retirement System, Board of Trustees

Workforce Investment Board

(Source: Added at 35 Ill. Reg. 12761, effective July 18, 2011)

SUBPART B: LOBBYIST REGISTRATION

Section 560.200 Persons Required to Register

The following individuals shall register with the Secretary of State Index Department:

a) Any natural person who, for compensation or otherwise, undertakes to lobby as defined in Section 560.100. (Section 3(a) of the Act)

b) Any person or entity who employs, retains, or compensates another person for the purposes of lobbying, even if lobbying constitutes a small percentage of the individual's duties. (Section 3(a) of the Act) For example, XYZ Corporation is required to register upon retaining a lobbying entity that does not lobby exclusively for XYZ Corporation or upon employing an individual to lobby exclusively for XYZ Corporation.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.205 Designation and Duties of Authorized Agent

a) Every lobbying entity shall designate on its Registration Statement an authorized agent who shall be responsible for keeping copies of the expenditure and registration records provided to him or her by that entity's lobbyists.

b) For each lobbyist registering independently pursuant to Section 560.220, the Index Department shall assume that the authorized agent is the lobbyist himself or herself unless the lobbyist has specifically designated another individual as his or her agent.

c) The authorized agent shall be the Index Department's contact person for the registered entity. Notices from the Department will be mailed only to the authorized agent. The authorized agent shall notify the Department of any change of address.

d) No registered entity shall have a vacancy in the position of authorized agent. The Department shall continue to send notices to the authorized agent designated until a registered entity notifies the Department in writing of the new authorized agent.

e) The authorized agent shall submit the official semi-monthly reports on behalf of the registered entity, consolidating the expenditure information for all of the lobbyists for that entity.

f) The Index Department shall not accept registration statements and semi-monthly reports that are signed by anyone other than the authorized agent unless accompanied by a written explanation.

g) Each exclusive lobbyist of each lobbying entity shall be provided with a copy of the written sexual harassment policy of his or her employer by the authorized agent. The authorized agent shall also provide each exclusive lobbyist with an acknowledgement form that acknowledges the lobbyist has received a copy of the policy that the exclusive lobbyist shall sign and date within 2 business days. The authorized agent shall secure from each exclusive lobbyist the signed and dated acknowledgement and maintain that document for a period of 2 years.

(Source: Amended at 43 Ill. Reg. 751, effective December 20, 2018)

Section 560.210 Persons Not Required to Register

This Part is not intended and shall not be construed to apply to the following:

a) Persons or entities who, for the purpose of influencing any executive, legislative or administrative action and who do not make expenditures that are reportable pursuant to Section 6 of the Act, appear without compensation or promise thereof only as witnesses before committees of the House and Senate for the purpose of explaining or arguing for or against the passage of or action upon any legislation then pending before those committees, or who seek without compensation or promise thereof the approval or veto of any legislation by the Governor. (Section 3(a)(1) of the Act)

b) Persons or entities that receive no compensation from their immediate employer or association other than reimbursement for expenses of up to $500 per year while engaged in lobbying State government, unless those persons made expenditures that are reportable under Section 6 of the Act. (Section 3(a)(8) of the Act) Volunteers for non-profit registered entities who undertake a direct lobbying communication within the scope of their volunteer activities are not required to register unless they make reportable expenditures. However, this exemption does not apply to non-profit entities engaged in direct lobbying communications.

c) Persons or entities performing professional services in drafting bills or in advising and rendering opinions to clients as to the construction and effect of proposed or pending legislation when those professional services are not otherwise, directly or indirectly, connected with executive, legislative or administrative action. (Section 3(a)(3) of the Act) Examples include, but are not limited to, the following:

1) an entity that monitors or drafts legislation on behalf of its members or clients, but does not engage in direct lobbying communications with officials or make reportable expenditures;

2) an individual employed by a registered or non-registered entity who monitors or drafts legislation on behalf of his or her employer or client, but does not engage in direct lobbying communications with officials or make reportable expenditures.

d) Persons or entities in possession of technical skills and knowledge relevant to certain areas of executive, legislative or administrative actions, whose skills and knowledge would be helpful to officials regardless of whether the assistance was requested when considering such actions, whose activities are limited to making occasional appearances for or communicating on behalf of a registrant and who do not make expenditures that are reportable pursuant to Section 6 of the Act even though receiving expense reimbursement for those occasional appearances. (Section 3(a)(6) of the Act) Examples include, but are not limited to the following:

1) A group of physicians (or individual physician if the firm is registered under this Part) that prepares a report on a particular health issue that is used to inform officials on the subject in connection with a hospital's efforts to lobby for additional funding. The physician's or physicians' contact with officials shall be limited to explanation of the medical subject matter and shall not attempt to influence the hospital's funding.

2) An engineering firm (or individual engineer if the firm is registered under this Part) that prepares a technical analysis on structural performance or operational capability that is used in the preparation for, or negotiation of, a bid or any other executive or administrative action. The firm's or engineer's contact with officials shall be limited to the explanation of the analysis and shall not attempt to influence the procurement of the bid.

e) Employees of the General Assembly, legislators, legislative agencies and legislative commissions who, in the course of their official duties only, engage in activities that otherwise qualify as lobbying. (Section 3(a)(5) of the Act)

f) Persons or entities who are employees of departments, divisions, or agencies of State government, and who appear before committees of the House and Senate for the purpose of explaining how the passage of or action upon any legislation then pending before those committees will affect those departments, divisions or agencies of State government. (Section 3(a)(4) of the Act) No communication by a department, division, agency or employees thereof acting within the scope of their employment regarding any executive, legislative or administrative action shall be construed as lobbying activities requiring a department, division or agency of State government or its employees to register under this Part.

g) Any full-time employee of a bona fide church or religious organization who represents that organization solely for the purpose of protecting the right of the members thereof to practice the religious doctrines of that church or religious organization, or any such bona fide church or religious organization. (Section 3(a)(7) of the Act)

h) Persons or entities who own, publish, or are employed by a newspaper or other regularly published periodical, or who own or are employed by a radio station, television station or other bona fide news medium that in the ordinary course of business disseminates news, editorial or other comment, or paid advertisements that directly urge the passage or defeat of legislation.

1) This exemption shall not be applicable to such an individual insofar as he receives additional compensation or expenses from some source other than the bona fide news medium for the purpose of influencing executive, legislative or administrative action.

2) This exemption does not apply to newspapers and periodicals owned by or published by trade associations and not-for-profit corporations engaged primarily in endeavors other than dissemination of news. (Section 3(a)(2) of the Act)

i) Any attorney or group or firm of attorneys in the course of representing a legal client in any administrative or judicial proceeding in which ex parte communications are not allowed and who does not make expenditures that are reportable under Section 6 of the Act, or any witness providing testimony in any administrative or judicial proceeding, in which ex parte communications are not allowed and who does not make expenditures that are reportable pursuant to Section 6 of the Act. The act of representing a legal client in any administrative or judicial proceeding begins with the retaining of legal counsel for that purpose.

j) Persons who, in the scope of their employment as a vendor, regardless of any ownership interest in same, offer or solicit an official for the purchase or lease of any goods or services where:

1) the solicitation is limited to either an oral inquiry or written advertisements and informative literature; or

2) the goods and services are subject to pre-qualification or competitive bidding requirements of the Illinois Procurement Code [30 ILCS 500], Architectural, Engineering, and Land Surveying Qualifications Based Selections Act [30 ILCS 535], Governmental Joint Purchasing Act [30 ILCS 525], and Business Enterprise for Minorities, Females, and Persons with Disabilities Act [30 ILCS 575]; or

3) the goods and services are for sale at a cost not to exceed $5,000; and

4) the persons do not make expenditures that are reportable under Section 6 of the Act. (Section (3)(a)(10) of the Act)

k) National, State, or local government units and school districts, and elected or appointed officers or employees thereof, who, within the scope of their public office or employment, lobby exclusively for one of the aforementioned units of government. For purposes of this Part, a "unit of local government" shall mean a unit of local government as defined by Article VII, Section 1 of the Illinois Constitution.

l) Persons who make incidental contacts with officials at business or social functions where executive, legislative or administrative action is discussed and who do not make a reportable expenditure pursuant to Section 6 of the Act. However, the person or entity sponsoring the event or making a reportable expenditure in connection with the event is not exempt from registering under this subsection.

m) Individuals or entities employed by a lobbying entity or other participants in a grass roots lobbying event whose lobbying activity is limited to participation at a grass roots lobbying event, and who report expenditures to the lobbying entity as prescribed by Section 560.325. However, persons or entities performing contractual grass roots lobbying communication services involved in organizing a grass roots lobbying event or communication shall register if there is contact with officials other than the routine communication that is the subject of the contract.

n) Persons who perform ministerial functions in conjunction with an executive, legislative or administrative action that require routine written correspondence or contact with officials shall not subject a person to register pursuant to this Part (for example, an assistant arranging an appointment between a lobbyist and an official).

o) Any attorney or group or firm of attorneys in the course of representing a client in an administrative or executive action involving a contractual or purchasing arrangement who does not make expenditures that are reportable pursuant to Section 6 of the Act. (Section 3(a)(9.5) of the Act)

p) A person or entity claiming an exemption under Section 3 of the Act shall complete a statement of exemption and shall certify under penalties existing under the Act and Section 1-109 of the Code of Civil Procedure [735 ILCS 5/1-109] that the person or entity is not required to register under the Act. (Section 3(c) of the Act) The statement of exemption shall include the individual's or entity's name, address, phone number, fax number, contact person, and contact person's email address, and shall indicate the particular exemption claimed under Section 3 of the Act.

q) In addition, the individual or entity shall also cite any further statutory authority that provides a basis on which the individual or entity may claim an exemption from registration, such as an enacting statute that designates an entity as a unit of local government.

r) Each lobbying entity shall inform its clients of the requirement to register under the Act or to file a statement of exemption. All individuals or entities claiming an exemption shall utilize the form available on the Secretary of State Index Department website.

s) Nothing prohibits the Secretary from rejecting a statement of exemption and requiring a person or entity to register should the Secretary determine the individual or entity is not eligible for the claimed exemption. (Section 3(c) of the Act)

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.220 Registration Requirements

a) Every natural person and every entity required to register under the Act shall register before any service is performed which requires the natural person or entity to register, but in any event not later than 2 business days after being employed or retained. (Section 5 of the Act) Every lobbying entity shall designate a person as an authorized agent (see Sections 560.100 and 560.205) who shall be responsible for reporting under this Part.

b) The authorized agent shall file an Entity Registration Statement and an Exclusive Lobbyist Information Statement for all persons who lobby exclusively for the entity even if lobbying is a small percentage of that person's job duties. (See Section 560.405.)

c) Every natural person and every entity required to register under the Act shall annually renew his or her registration on or before January 31 of each year if continuing lobbyist activities from the previous year. By December 15 of each year, the Secretary of State Index Department will send to all current authorized agents reminder notices of the January 31 deadline. Nothing in this Section shall relieve a lobbyist or lobbying entity from the requirement to register before commencing lobbying activities in a particular year and within 2 business days after being employed or retained for lobbying services.

d) The registrant has a continuing duty to report any substantial change or addition to the information contained in the registration. (Section 5 of the Act)

e) Registration statements shall be filed in accordance with the definition of "filing" (see Section 560.100).

f) All registration statements shall include an annual, non-refundable, non-transferable registration fee, assessed as follows, in the form of a credit or debit card payment or electronic check payable to the Secretary of State:

1) A lobbyist's registration shall include a single, annual, non-refundable, non-transferrable registration fee of $300. A self-employed independent contract lobbyist who does not lobby under a business entity name or an assumed business name and who has no employees engaged in lobbying activities may submit a single annual fee of $300 and need not pay an entity fee.

2) A lobbying entity's registration shall include a single, annual, non-refundable, non-transferable registration fee of $300 for the entity and a single, annual, non-refundable, non-transferable registration fee of $300 for each person registering as a lobbyist on an Exclusive Lobbyist Information Statement.

g) The Secretary of State Index Department will provide an acknowledgment to each authorized agent indicating the date of receipt for all statements filed (see Section 560.100).

h) Persons solely engaged in grass roots lobbying as an employee of a lobbying entity or a participant in a grass roots lobbying event who make a reportable expenditure are required to register unless the expenditure is reported to the registered entity pursuant to Section 560.326.

i) The registrant must file a confirmation that the registrant has a sexual harassment policy as required by Section 4.7, that such policy shall be made available to any individual within 2 business days upon written request (including electronic requests), that any person may contact the authorized agent of the registrant to report allegations of sexual harassment alleged against the registrant or exclusive lobbyist hired by the registrant, and that the registrant recognizes the Inspector General has jurisdiction to review any allegations of sexual harassment alleged against the registrant or lobbyists hired by the registrant (Section 5(d) of the Act). The confirmation required by this subsection (i) will substantially be presented during the electronic registration process as follows: Submission of registration confirms that this lobbying registrant is in compliance, and will maintain compliance, with the Lobbyist Registration Act and this Part through the period of registration in this calendar year. This confirms that:

1) The registrant has a written policy on the prevention, prohibition and investigation of sexual harassment and retaliation that includes how to report allegations and the consequences for committing sexual harassment or retaliation.

2) The registrant will provide all employees required to register with a copy of the policy and secure an acknowledgment of receipt.

3) The policy shall be made available, within 2 business days, to any individual who makes a written request for the policy (including electronic requests).

4) Any person may contact the authorized agent of the registrant to report allegations of sexual harassment.

5) The registrant recognizes the Inspector General has jurisdiction to review any allegations of sexual harassment against the registrant or lobbyists hired by the registrant.

6) The registrant acknowledges that violations with regard to sexual harassment are subject to the jurisdiction of the Executive Ethics Commission and are subject to the penalties of the State Officials and Employees Ethics Act [5 ILCS 430].

j) Each natural person required to register as a lobbyist under the Act must complete, at least annually, a sexual harassment training program provided by the Secretary of State no later than 30 days after registration or renewal under the Act. This requirement does not apply to a lobbying entity or a client that hires a lobbyist that:

1) does not have employees of the lobbying entity or clients registered as lobbyists; or

2) does not have an actual presence in Illinois. [25 ILCS 170/4.7]

(Source: Amended at 43 Ill. Reg. 751, effective December 20, 2018)

Section 560.225 Ethics Training

Each natural person required to register as a lobbyist under the Act must complete the ethics training program provided by the Secretary of State (see Section 4.5 of the Act). Each natural person registered under the Act must complete the training program no later than 30 days after registration or renewal under the Act. (Section 4.5 of the Act) The training may address topics including, but not limited to, registration mandates, reporting requirements, prohibited gifts, prohibited board appointments and enforcement powers of the Secretary of State's Office of the Inspector General. The Secretary of State may include the ethics training for lobbyists as part of the registration process and the training materials may be presented online. Failure to complete the ethics training by the established deadline may delay the following year's registration and may result in the registrant being reported to the Secretary of State's Office of the Inspector General.

(Source: Added at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.230 Failure to Register (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.235 Prohibition on Sexual Harassment

a) All persons have the right to work in an environment free from sexual harassment. All persons subject to the Act shall refrain from sexual harassment of any person.

b) Sexual Harrassment Defined

1) For purposes of the Act, "sexual harassment" means any unwelcome sexual advances or requests for sexual favors or any conduct of a sexual nature when:

A) submission to such conduct is made either explicitly or implicitly a term or condition of an individual's employment;

B) submission to or rejection of such conduct by an individual is used as the basis for employment decisions affecting that individual; or

C) that conduct has the purpose or effect of substantially interfering with an individual's work performance or creating an intimidating, hostile, or offensive working environment.

2) For the purposes of this definition, the phrase "working environment" is not limited to a physical location where an employee is assigned to perform his or her duties and does not require an employment relationship. [5 ILCS 430/5-65]

c) No later than January 1, 2018, each natural person and any entity required to register under the Act shall have a written sexual harassment policy that shall include, at a minimum:

1) a prohibition on sexual harassment;

2) details on how an individual can report an allegation of sexual harassment, including options for making a confidential report to a supervisor, ethics officer, Inspector General, or the Department of Human Rights and that reports made to any of the above persons will be confidential to the extent practicable;

3) a prohibition on retaliation for reporting sexual harassment allegations, including availability of whistleblower protections under the State Officials and Employee Ethics Act, the Whistleblower Act [740 ILCS 174], and the Illinois Human Rights Act [775 ILCS 5]; and

4) the consequences of a violation of the prohibition on sexual harassment and the consequences for knowingly making a false report. [25 ILCS 170/4.7(c)]

(Source: Added at 43 Ill. Reg. 751, effective December 20, 2018)

SUBPART C: REPORTING REQUIREMENTS

Section 560.300 Persons Required to File Semi-monthly Reports

a) Except as otherwise provided in this Section, every person required to register as prescribed in Section 560.200 shall report under oath subject to penalties existing under the Act and pursuant to Section 1-109 of the Code of Civil Procedure to the Secretary of State all expenditures for lobbying made or incurred by the lobbyist on his or her behalf or the behalf of his or her employer (Section 6 of the Act). For the purpose of this Subpart, "expenditures" shall refer to reportable expenditures made on behalf of officials or immediate family members of officials who reside with the officials in the 6 categories described in Section 560.310.

b) In the case where an individual is solely employed by another person to perform job related functions, any part of which includes lobbying, the employer shall be responsible for reporting all lobbying expenditures incurred on the employer's behalf as shall be identified by the lobbyist to the employer preceding such report. The authorized agent for each lobbying entity shall file one semi-monthly report that includes all expenditures made by persons who lobby exclusively for that entity and reimbursed expenditures made by persons who do not lobby exclusively for that entity. Lobbyists shall submit their expenditure information to the authorized agent for their lobbying entities and shall not file separate semi-monthly reports with the Secretary of State. In connection with each semi-monthly report filed, the authorized agent shall verify, under penalties existing under the Act and Section 1-109 of the Code of Civil Procedure, that the expenditure information contained in the report is true, accurate and complete to the best of his or her knowledge as provided by the individually reporting lobbyists, if any.

c) Persons and entities that do not lobby exclusively for one lobbying entity shall report all expenditures that were not reimbursed by employers (i.e., clients), including expenditures to establish goodwill with officials that were not on behalf of a client.

d) Participants in grass roots lobbying events who make reportable expenditures shall file reports as prescribed by Section 560.325.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.301 Affirmations

a) Twice annually, each lobbyist required to be registered under this Part shall affirm, under oath subject to penalties existing under the Act and Section 1-109 of the Code of Civil Procedure, the accuracy of all expenditures included in semi-monthly reports filed in the reporting period on his or her behalf for the preceding 6 month period. The affirmation statement for the period of January 1 through June 30 shall be due on August 4. The affirmation statement for the period of July through December 31 shall be due on February 4.

b) If a lobbyist cannot affirm the expenditures reported on his or her behalf due to errors or omissions, the lobbyist shall report the discrepancy to his or her authorized agent, after which the agent and lobbyist shall reconcile the differences and, if necessary, the agent shall make amendments to previously filed semi-monthly reports. The period of time used for the reconciliation of expenditure records and/or the amendment of a report may not extend the affirmation deadline unless agreed to in writing by the Secretary of State.

c) Registrants shall use official affirmation statement forms provided by the Index Department.

(Source: Added at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.305 Time, Place and Manner for Filing Semi-monthly Reports

a) A report for the period beginning July 1, 2010 and ending on December 31, 2010 shall be filed no later than January 15, 2011. Beginning January 1, 2011, reports shall be filed semi-monthly as follows:

1) for the period beginning the first day of the month through the 15^th day of the month, the report shall be filed no later than the 20^th day of the month; and

2) for the period beginning on the 16^th day of the month through the last day of the month, the report shall be filed no later than the 5^th day of the following month. (Section 6(f) of the Act)

b) Semi-monthly reports shall be filed in accordance with the definition of "filing" (see Section 560.100).

c) Within 5 business days after a reporting deadline, the Secretary of State Index Department shall notify authorized agents of their failure to file a report. (Section 7(b) of the Act)

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.310 Categorizing Expenditures

a) Expenditures attributable to lobbying officials shall be listed and reported according to the following categories:

1) travel and lodging on behalf of others, including, but not limited to, all travel and living accommodations made for or on behalf of State officials during sessions of the General Assembly;

2) meals, beverages and other entertainment;

3) gifts;

4) gifts on the basis of personal friendship;

5) honoraria.

NOTE: Public Act 89-405 added Section 2-110 of the Governmental Ethics Act [5 ILCS 420/2-110] to prohibit members of the General Assembly from accepting any honorarium. This amendment to the Governmental Ethics Act applies only to members of the General Assembly and contains no similar prohibition with respect to the acceptance of honoraria by other officials;

6) any other thing or service of value not listed under subsections (a)(1) through (5), setting forth a description of the expenditure. (Section 6(b-2) of the Act)

b) The report shall itemize each individual expenditure or transaction and shall include the name of the lobbyist, the name of the official on whose behalf the expenditure was made, the name of the client on whose behalf the expenditure was made, if applicable, the total amount of the expenditure, a description of the expenditure, the seller, purveyor or other provider to whom the expenditure was made (including the address or location of the expenditure), the date on which the expenditure occurred and the subject matter of the lobbying activity, if any. For those expenditures made on behalf of a client, if the client is a client registrant, the report shall also include the name and address of the client or clients of the client registrant and the official or officials on whose behalf the expenditures ultimately were made. (Section 6(b) of the Act) For purposes of expenditure reporting, the address of an expenditure may be listed as a landmark, if applicable. If there is no subject matter pertaining to the lobbying activity in connection with an expenditure, the term "goodwill" should be reported as the subject matter. Allocation is permitted for determining the itemization threshold (see Section 560.315).

c) Client Information

1) Subject to the qualifications in subsection (c)(2), the semi-monthly report shall include the names and addresses of all the clients and clients of client registrants required to be identified under Section 6(b) of the Act, together with an itemized description for each client of the following:

A) lobbying regarding executive action, including the name of any executive agency lobbied and the subject matter;

B) lobbying regarding any legislative action, including the General Assembly and any other agencies lobbied and the subject matter;

C) lobbying regarding administrative action, including the agency lobbied and the subject matter.

2) Registrants who made no reportable expenditures during a reporting period shall file a report stating that they had no expenditures. If, however, changes in lobbying activities that are reportable under Section 5 of the Act have taken place, a registrant shall amend its registration pursuant to Section 560.220.

(Source: Amended at 38 Ill. Reg. 8401, effective April 3, 2014)

Section 560.315 Allocating Expenditures

a) For reporting purposes, the registrant may allocate the expenditure by prorating the total cost of the transaction among the number of beneficiaries (officials and non-officials). Example: A lobbyist buys dinner for a group of 5 persons, an official, the official's spouse, and three non-officials who are not immediate family members of an official. The total cost of the expenditure is divided by 5 to compute the portion allocable to each beneficiary. The lobbyist must report the portions allocable to the official and the official's spouse.

b) Alternatively, when the transaction includes more than one beneficiary (officials and non-officials), the registrant may report the exact amount expended on behalf of an official or member of an official's immediate family.

c) To be included in the allocation calculation, the lobbyist must be present and participating at the event at which the expenditure occurred. If lobbyists for more than one lobbying entity divide the bill for a single transaction, each lobbyist must report an expenditure for each official in attendance.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.320 Large Gatherings and Giveaways

a) Expenditures incurred for hosting receptions, benefits and other large gatherings held for purposes of goodwill or otherwise to influence executive, legislative or administrative action to which there are twenty-five (25) or more State officials invited shall be reported listing the total amount of the expenditure, the date of the event, the estimated total number of persons in attendance (officials and non-officials), and the estimated number of officials in attendance. (Section 6 of the Act)

b) Expenditures incurred for generic gifts or product samples for goodwill to influence executive, legislative or administrative action where 25 or more officials receive substantially identical items shall be reported by listing the total amount of the expenditure, a description of the gift or product sample, the date of purchase or distribution and the estimated number of officials receiving the item. The reportable cost for product samples should be the market price of the product, or if it is not presently being sold, its estimated value.

c) Options for reporting large gatherings and giveaways that are sponsored by more than one entity:

1) If all sponsors are registered, the total cost of the gathering may be prorated, and each entity's share reported on its own expenditure report. Each entity shall report the information required in subsection (a) of this Section. Alternatively, each sponsor may report the actual amount of its contribution instead of the prorated amount.

2) If one or more of the sponsors are not registered, all sponsoring entities may unite to register an umbrella entity for the purpose of reporting the gathering or giveaway. The umbrella entity reports the information required in subsection (a) of this Section. A registered sponsor need not report the event on its expenditure report. A nonregistered sponsor whose lobbying activities are limited to this sponsorship need not register separately. Alternatively, nonregistered sponsors may register and report as described in subsection (c)(1) of this Section.

3) A nonregistered sponsor who is a member of a registered association may report the expenditure through the association by filing an Expenditure Report Large Gatherings or Giveaways Schedule, along with a Grass Roots Lobbying Statement, with the association's authorized agent. The sponsor may use this option only when the association co-sponsors the event or consents to attach the forms to its expenditure report.

d) A nonregistered sponsor of a large gathering or giveaway held at a national or multi-state conference or seminar at which Illinois officials are expected to attend need not register if its lobbying activity is limited to sponsorship of this event, provided that all persons who register for the conference are invited to the gathering or offered the giveaway item. A sponsor that is already registered under the Act must report expenditures on behalf of Illinois officials to the extent feasible.

(Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.325 Reporting Expenditures by Participants in Grass Roots Lobbying Events

A participant in a grass roots lobbying event (as defined in Section 560.100) who makes a reportable expenditure shall file a Grass Roots Lobbying Statement with the authorized agent of the sponsoring entity within thirty (30) days from the date of the event. The form shall include the name, address, and telephone number of the participant making the expenditure; the total amount of the expenditure; and the name and title of each official. If a participant fails to return to the sponsoring entity a Grass Roots Lobbying Statement disclosing any expenditure made on behalf of an official, or if the registered entity disclaims sponsorship of the event, the participant will be subject to the registration provisions of Section 560.200.

(Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.326 Registrant's Duties for Grass Roots Lobbying Events

Registered entities that sponsor a grass roots lobbying event shall be required to inform the participants in writing that any reportable expenditures incurred must be disclosed to the authorized agent of the registered entity. The registered entity shall distribute a Grass Roots Lobbying Statement to those participants deemed to have made a reportable expenditure. The authorized agent shall report grass roots lobbying expenditures by filing as an addendum to the sponsoring entity's report any Grass Roots Lobbying Statements received from participants pursuant to Section 560.325.

(Source: Added at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.330 Expenditures for Immediate Family Members of Officials

a) Each individual expenditure required to be reported shall include all expenses made for or on behalf of a State official and members of the official's immediate family living with the official if the expenditure was made with the intent to influence the official or to promote goodwill with the official (Section 6(b) of the Act). The expenditure shall be reportable as if the expenditure were made to the official.

b) "Immediate family member" shall be defined as a spouse or child of the official.

c) Expenditures by a lobbyist for or on behalf of an official who is a member of the lobbyist's immediate family need not be reported under this Part.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.340 Travel and Lodging Accommodations for Officials

a) Under the category of travel and lodging, reports shall include, but are not limited to, all travel and lodging accommodations provided free of charge to an official during sessions of the General Assembly when the official would otherwise have to incur the expense on his or her own behalf. (Section 6 of the Act) However, de minimis travel under 20 miles need not be reported.

b) Examples of Reportable Expenditures:

1) a lobbyist gives a ride to an official from Chicago to Springfield;

2) a lobbyist furnishes an official with lodging accommodations at the lobbyist's home, or at a hotel/motel, regardless of whether the accommodations are located in Illinois.

c) For any travel or lodging in which the official shares accommodations or accompanies the lobbyist and no direct expenditure is made for either lodging or carrier, the expenditure must be reported at market value; e.g., the price of comparable airfare (either commercial or charter), mileage reimbursement or lodging rate allowed by the State of Illinois Travel Regulation Board for members of the General Assembly.

(Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.345 Members of Legislative or State Study Committees

Reasonable and bona fide expenditures made by the registrant who is a member of a legislative or State study commission or committee while attending and participating in meetings and hearings of such commission or committee need not be reported (Section 6 of the Act). Any expenditures for meals, beverages, entertainment, gifts or honoraria made by a registrant for or on behalf of an official not pertinent to the meeting or hearing shall be reported.

Section 560.350 Personal and Office Expenses

a) Reasonable and bona fide expenditures made by the registrant for personal sustenance, lodging and travel not on the behalf of an official, office expenses and clerical or support staff need not be reported (Section 6 of the Act) regardless of whether the goods or services are purchased or leased from an entity in which an official has an ownership interest.

b) Expenses relating to the development, production or distribution of any invitation, announcement, newsletter or grass roots lobbying communication, regardless of whether the communication is sent to officials, need not be reported.

c) Expenses arising from a communication by a candidate or political committee in relation to the candidate's campaign, or other communications by a political party committee registered with the Illinois State Board of Elections or Federal Election Commission, need not be reported.

d) Any communication by a political committee registered with the Illinois State Board of Elections or Federal Election Commission in connection with a public policy referendum to be presented to the electors need not be reported.

(Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.355 Registrant's Duties for Grass Roots Lobbying Events (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.360 Salaries, Fees and Compensation

Salaries, fees, and other compensation paid to the lobbyist for the purpose of lobbying, and not as a direct reimbursement for a reportable expenditure, need not be reported by the employer. However, the employer's report shall include a direct reimbursement of a lobbyist's reportable expenditure.

(Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.365 Contributions Reported Under the Election Code

a) Any monetary or in-kind contribution made by a person or political committee pursuant to Article 9 of the Election Code [10 ILCS 5/9], need not be reported. Tickets purchased for a political fundraising event and which constitute contributions pursuant to Article 9 of the Election Code need not be reported regardless of whether the lobbyist or registered entity who purchases such tickets gives any such ticket or tickets to an official.

b) Any expenditure by a political committee other than a single candidate or political party relating to travel and lodging; meals, beverages, or entertainment; and gifts or honoraria, made for or on behalf of an official, which is not provided in return for a contribution of equal or greater value by an official to the political committee must be reported. However, the political committee need not register independently if its activities are directed by a registered entity.

(Source: Amended at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.370 Returned Expenditures/Reimbursement by Official

Any reportable expenditure that the official returns to the lobbyist or for which the official reimburses the lobbyist or lobbying entity prior to the deadline for submission of the report need not be reported. (Section 6(b-7)(5) of the Act)

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.371 Lobbyist Notifications to Officials

Pursuant to Sections 6 and 6.5 of the Act, registrants shall send 2 notifications to each official on whose behalf an expenditure was incurred during the reporting period.

a) A registrant that makes an expenditure on behalf of an official must inform the official in writing, contemporaneously with receipt of the expenditure, that the expenditure is a reportable expenditure pursuant to the Act and that the official will be included in the report submitted by the registrant in accordance with Section 6 of the Act. (Section 6.5(a) of the Act)

b) Any official disclosed in a report submitted pursuant to Section 6 of the Act who did not receive the notification of the expenditure required by subsection (a) of this Section or who has returned or reimbursed the expenditure included in a report submitted pursuant to Section 6 of the Act may, at any time, contest the disclosure of an expenditure by submitting a letter to the registrant and the Secretary of State. The Secretary of State shall make the letter available to the public in the same manner as the report. (Section 6.5(b) of the Act)

c) Within 30 days after a filing deadline, a registrant shall notify each official for whom an expenditure was reported of the name of the registrant, a description of the expenditure, the total amount of the expenditure, the date on which the expenditure was incurred, and, if applicable, the subject matter of the lobbying activity.

d) Registrants shall not send the Secretary of State a copy of the notifications to officials.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.372 Official's Clarification Notice

An official may submit a letter of clarification to the Secretary of State Index Department to contest an expenditure attributed to him or her. The clarification notice will be forwarded to the registered entity who shall respond in writing within thirty (30) days after receipt of the notification of the letter of clarification. The official's clarification notice and the registered entity's response shall be public information.

(Source: Added at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.375 Reports in the Absence of Reportable Expenditures

Registrants that made no reportable expenditures during a reporting period shall file an Expenditure Summary Report stating that no expenditures were incurred (Section 6(b-1) of the Act). The reports shall be filed (see Section 560.100), in accordance with Sections 560.305 and 560.310.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.380 Amending Reports

Any change or error in information previously submitted in a statement or report shall be disclosed by filing an amended statement or report as soon as practicable following the change or discovery of the error. A registrant has a continuing duty to report any substantial change or addition to the information contained in its registration. (Section 5 of the Act)

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.385 Termination of Lobbying Activities

a) To terminate registration under this Section, a lobbyist or lobbying entity must file with the Secretary of State Index Department via its authorized agent a written notification of the termination of lobbying activities and a final expenditure report covering the period of time since the filing of its last semi-monthly report to the date of termination within 30 days after the termination. Such notice and report shall be final and relieve such registrant of further reporting under this Part. (Section 6(c) of the Act)

b) To terminate an individual lobbyist from a lobbying entity, the lobbyist shall notify the authorized agent in sufficient time for the authorized agent to notify the Secretary of State within 30 days after the termination that the lobbyist no longer lobbies for that entity. The lobbyist must provide the authorized agent with copies of expenditure records and an affirmation for the next reporting period. The authorized agent shall include any reportable expenditures incurred by that lobbyist prior to termination in the entity's next report.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.390 Failure to File Registration Statements and Semi-monthly Reports

Failure to file a statement or report within the time designated, or the reporting of incomplete information, may constitute a violation of the Act. Within 5 business days after a filing deadline, the Secretary of State Index Department shall notify the authorized agent for any registrant that is deemed required to file, but has failed to do so. (Section 7(b) of the Act)

a) A registrant that is required to file a registration statement or semi-monthly report, and has not filed by the deadlines prescribed in the Act, is subject to the following late filing fees in addition to any penalties imposed by the Act:

1) Filings received within 15 days after a filing deadline shall be accompanied by a $50 late filing fee;

2) A registrant that fails to file within 15 days shall be subject to a penalty of $100, which shall be in addition to the $50 late filing fee specified in subsection (a)(1).

b) For good cause shown, the Director of the Index Department may extend the time for compliance for an additional 30 days after the date of the filing deadline.

1) Examples of such extenuating circumstances include, but are not limited to, the following:

A) inadvertent data erasure or computer malfunction;

B) hospitalization of the authorized agent;

C) loss of original receipts resulting from fire, flood, or other act of nature.

2) Lobbyists must provide replacement expenditure information to the authorized agent for compilation of the entity's report.

c) A registrant will be liable for the late filing fee and penalty if it does not receive notifications from the Secretary of State's Office due to the registrant's failure to inform the Index Department of a change of street address and/or email address or authorized agent.

d) Copies of all records shall be maintained by the Index Department for inspection by the Secretary of State Inspector General, Attorney General or appropriate State's Attorney in the course of his or her enforcement activities under Section 11 of the Act.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.395 Preservation of Records

a) A lobbyist, or an authorized agent, if the lobbying entity prefers, shall preserve for a period of 2 years from the filing date copies of all receipts and records forwarded to the Authorized Agent that were used in preparing reports under this Part. (Section 6(d) of the Act)

b) Examples of records that should be maintained include, but are not limited to, the following:

1) The total of all expenditures made for or on behalf of officials;

2) Proof of payment for every expenditure;

3) The allocation formula used in prorating the expenses incurred for or on behalf of an official when an expenditure is made for more than one official, but fewer than 25;

4) A list of the officials invited to a large gathering.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

SUBPART D: PUBLIC DISCLOSURE

Section 560.400 Requests for Reports

a) All requests to view or copy statements or semi-monthly reports shall be made in person or submitted in writing. Copies must be paid for in advance (see Section 560.420).

b) All statements and reports filed under this Part with the Secretary of State Index Department shall be available within 5 business days from the filing date for examination and copying by the public during regular business hours (see Section 560.402) and shall be made available via the Internet without charge.

c) The Secretary of State Index Department shall certify that an entity or individual is or is not registered pursuant to the Act. The written inquiry shall include the name and address of the person submitting the request and the name and address of the individual requested and their lobbying entity, if applicable.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.402 Location and Business Hours

The offices of the Secretary of State Index Department are located at 111 East Monroe Street, Springfield, Illinois 62756, and at 17 N. State Street, Chicago, Illinois 60602, and shall be open Monday through Friday, from 8:00 a.m. to 4:30 p.m., except on State legal holidays.

(Source: Amended at 24 Ill. Reg. 6708, effective April 14, 2000)

Section 560.405 Official Forms

Registered entities are required to use only the electronic lobbyist registration and reporting system and official forms and schedules approved by the Secretary of State Index Department when filing lobbyist registration statements or reports.

a) Copies of official forms may be obtained from the Index Department.

b) Alternative methods of reporting are prohibited unless prior written approval has been received from the Director of the Index Department.

c) Prior written approval will be given based on the compatibility of alternative methods with the Index Department's public disclosure procedures.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.410 List of Officials

The Secretary of State Index Department shall maintain and make available to registrants a list of position titles deemed by their employing Constitutional Officers to be officials under this Part. The Constitutional Officers may provide this list to the Index Department on an annual basis or as amendments are required. The Secretary of State Index Department shall post an updated list of officials on its website as applicable.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.420 Fees

Semi-monthly reports and lists of registrants shall be made available to the public at the following fees:

a) The list of registrants shall be available free of charge via the Internet. This list is available on compact disc for $10.

b) Copies of statements or semi-monthly reports shall be available free of charge via the Internet. Paper copies of statements or semi-monthly reports are available for $.50 per page.

c) There is no charge to inspect materials filed at the Secretary of State Index Department, 111 East Monroe Street, Springfield, Illinois 62756 or via the Internet.

d) Certification that an entity or individual is or is not registered pursuant to the Act shall be available for $2.00.

(Source: Amended at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.430 Enforcement

The Secretary of State Inspector General is the office having investigative authority for alleged violations of the Act. Investigations shall be conducted pursuant to Section 11 of the Act.

(Source: Added at 35 Ill. Reg. 12761, effective July 18, 2011)

Section 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION A Form R1: Lobbyist Registration Statement − For Individual/Firm/Partnership/Committee/Association/Corporation or any Other Organization Employing a Lobbyist on Their Own Behalf (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION B Form R2: Lobbyist Registration Statement − For Individual/Firm/Partnership/Committee/Association/Corporation or any Other Organization Who Performs Lobbying Services on Behalf of Another (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION C Attachment R1/R2: Lobbyist Registration Attachment − For Individual Lobbyist (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION D Form R3: Lobbyist Registration Attachment − For Addition or Deletion of Affiliated Lobbyists (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX A Lobbyist Registration Statements

Section 560.ILLUSTRATION E Form R4: Lobbyist Registration Attachment − For Addition or Deletion of Affiliated Clients (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION A Form S1: Lobbyist Expenditure Report − Summary of Reportable Expenditures (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION B Schedule 1A/2A: Lobbyist Expenditure Report − Itemized Expenditures for Travel and Lodging or Meals, Beverages and Entertainment (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION C Schedule 1B/2B: Lobbyist Expenditure Report − Non-Itemized Expenditures for Travel and Lodging or Meals, Beverages and Entertainment (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION D Schedule 2C: Lobbyist Expenditure Report − Expenditures for Large Gatherings (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION E Schedule 3A/4A: Lobbyist Expenditure Report − Itemized Expenditures for Gifts or Honoraria (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION F Schedule 3B/4B: Lobbyist Expenditure Report − Non-Itemized Expenditures for Gifts and Honoraria (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)

Section 560.APPENDIX B Lobbyist Expenditure Reports

Section 560.ILLUSTRATION G Schedule GR1: Lobbyist Expenditure Notification − Expenditures in Connection with a Grass Roots Lobbying Event (Repealed)

(Source: Repealed at 21 Ill. Reg. 405, effective January 1, 1997)