102ND GENERAL ASSEMBLY
State of Illinois
2021 and 2022
HB3486

 

Introduced 2/22/2021, by Rep. Anne Stava-Murray

 

SYNOPSIS AS INTRODUCED:
 
5 ILCS 430/1-5
5 ILCS 430/5-45

    Amends the State Officials and Employees Ethics Act. Provides that no person who has served as a statewide elected official, the executive or administrative head of a State agency, the deputy executive or administrative head of a State agency, or a member of the General Assembly shall, within 2 years after the termination of service or employment, become a lobbyist. Defines "lobbyist".


LRB102 17015 RJF 22437 b

 

 

A BILL FOR

 

HB3486LRB102 17015 RJF 22437 b

1    AN ACT concerning government.
 
2    Be it enacted by the People of the State of Illinois,
3represented in the General Assembly:
 
4    Section 5. The State Officials and Employees Ethics Act is
5amended by changing Sections 1-5 and 5-45 as follows:
 
6    (5 ILCS 430/1-5)
7    Sec. 1-5. Definitions. As used in this Act:
8    "Appointee" means a person appointed to a position in or
9with a State agency, regardless of whether the position is
10compensated.
11    "Board members of Regional Transit Boards" means any
12person appointed to serve on the governing board of a Regional
13Transit Board.
14    "Campaign for elective office" means any activity in
15furtherance of an effort to influence the selection,
16nomination, election, or appointment of any individual to any
17federal, State, or local public office or office in a
18political organization, or the selection, nomination, or
19election of Presidential or Vice-Presidential electors, but
20does not include activities (i) relating to the support or
21opposition of any executive, legislative, or administrative
22action (as those terms are defined in Section 2 of the Lobbyist
23Registration Act), (ii) relating to collective bargaining, or

 

 

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1(iii) that are otherwise in furtherance of the person's
2official State duties.
3    "Candidate" means a person who has filed nominating papers
4or petitions for nomination or election to an elected State
5office, or who has been appointed to fill a vacancy in
6nomination, and who remains eligible for placement on the
7ballot at either a general primary election or general
8election.
9    "Collective bargaining" has the same meaning as that term
10is defined in Section 3 of the Illinois Public Labor Relations
11Act.
12    "Commission" means an ethics commission created by this
13Act.
14    "Compensated time" means any time worked by or credited to
15a State employee that counts toward any minimum work time
16requirement imposed as a condition of employment with a State
17agency, but does not include any designated State holidays or
18any period when the employee is on a leave of absence.
19    "Compensatory time off" means authorized time off earned
20by or awarded to a State employee to compensate in whole or in
21part for time worked in excess of the minimum work time
22required of that employee as a condition of employment with a
23State agency.
24    "Contribution" has the same meaning as that term is
25defined in Section 9-1.4 of the Election Code.
26    "Employee" means (i) any person employed full-time,

 

 

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1part-time, or pursuant to a contract and whose employment
2duties are subject to the direction and control of an employer
3with regard to the material details of how the work is to be
4performed or (ii) any appointed or elected commissioner,
5trustee, director, or board member of a board of a State
6agency, including any retirement system or investment board
7subject to the Illinois Pension Code or (iii) any other
8appointee.
9    "Employment benefits" include but are not limited to the
10following: modified compensation or benefit terms; compensated
11time off; or change of title, job duties, or location of office
12or employment. An employment benefit may also include
13favorable treatment in determining whether to bring any
14disciplinary or similar action or favorable treatment during
15the course of any disciplinary or similar action or other
16performance review.
17    "Executive branch constitutional officer" means the
18Governor, Lieutenant Governor, Attorney General, Secretary of
19State, Comptroller, and Treasurer.
20    "Gift" means any gratuity, discount, entertainment,
21hospitality, loan, forbearance, or other tangible or
22intangible item having monetary value including, but not
23limited to, cash, food and drink, and honoraria for speaking
24engagements related to or attributable to government
25employment or the official position of an employee, member, or
26officer. The value of a gift may be further defined by rules

 

 

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1adopted by the appropriate ethics commission or by the Auditor
2General for the Auditor General and for employees of the
3office of the Auditor General.
4    "Governmental entity" means a unit of local government
5(including a community college district) or a school district
6but not a State agency or a Regional Transit Board.
7    "Leave of absence" means any period during which a State
8employee does not receive (i) compensation for State
9employment, (ii) service credit towards State pension
10benefits, and (iii) health insurance benefits paid for by the
11State.
12    "Legislative branch constitutional officer" means a member
13of the General Assembly and the Auditor General.
14    "Legislative leader" means the President and Minority
15Leader of the Senate and the Speaker and Minority Leader of the
16House of Representatives.
17    "Member" means a member of the General Assembly.
18    "Lobbyist" means an individual who, by acting directly,
19does any of the following:
20        (1) Receives compensation to encourage the passage,
21    defeat, approval, veto, or modification of legislation, a
22    rule, or an executive order by the members of the General
23    Assembly, a State agency, or any statewide elected
24    official.
25        (2) Is a designated representative of an organization
26    which has as one of its purposes the encouragement of the

 

 

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1    passage, defeat, approval, veto, or modification of
2    legislation, a rule, or an executive order before the
3    General Assembly, a State agency, or any statewide elected
4    official.
5        (3) Represents the position of a federal, State, or
6    local government agency, in which the person serves or is
7    employed as the designated representative, for purposes of
8    encouraging the passage, defeat, approval, veto, or
9    modification of legislation, a rule, or an executive order
10    by members of the General Assembly, a State agency, or any
11    statewide elected official.
12    "Lobbyist" does not include:
13        (1) Officials and employees of a political party
14    organized in the State of Illinois representing more than
15    2% of the total votes cast for governor in the last
16    preceding general election, but only when representing the
17    political party in an official capacity.
18        (2) Representatives of the news media only when
19    engaged in the reporting and dissemination of news and
20    editorials.
21        (3) All federal, State, and local elected officials,
22    while performing the duties and responsibilities of
23    office.
24        (4) Persons whose activities are limited to
25    appearances to give testimony or provide information or
26    assistance at sessions of committees of the General

 

 

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1    Assembly or at public hearings of State agencies or who
2    are giving testimony or providing information or
3    assistance at the request of public officials or
4    employees.
5        (5) Members of the staff of the United States Congress
6    or the General Assembly.
7        (6) State agency officials and employees while they
8    are engaged in activities within the agency in which they
9    serve or are employed or with another agency with which
10    the official's or employee's agency is involved in a
11    collaborative project.
12        (7) An individual who is a member, director, trustee,
13    officer, or committee member of a business, trade, labor,
14    farm, professional, religious, education, or charitable
15    association, foundation, or organization who is not paid
16    compensation and is not otherwise specifically designated
17    as a lobbyist under this Act.
18    "Officer" means an executive branch constitutional officer
19or a legislative branch constitutional officer.
20    "Political" means any activity in support of or in
21connection with any campaign for elective office or any
22political organization, but does not include activities (i)
23relating to the support or opposition of any executive,
24legislative, or administrative action (as those terms are
25defined in Section 2 of the Lobbyist Registration Act), (ii)
26relating to collective bargaining, or (iii) that are otherwise

 

 

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1in furtherance of the person's official State duties or
2governmental and public service functions.
3    "Political organization" means a party, committee,
4association, fund, or other organization (whether or not
5incorporated) that is required to file a statement of
6organization with the State Board of Elections or a county
7clerk under Section 9-3 of the Election Code, but only with
8regard to those activities that require filing with the State
9Board of Elections or a county clerk.
10    "Prohibited political activity" means:
11        (1) Preparing for, organizing, or participating in any
12    political meeting, political rally, political
13    demonstration, or other political event.
14        (2) Soliciting contributions, including but not
15    limited to the purchase of, selling, distributing, or
16    receiving payment for tickets for any political
17    fundraiser, political meeting, or other political event.
18        (3) Soliciting, planning the solicitation of, or
19    preparing any document or report regarding any thing of
20    value intended as a campaign contribution.
21        (4) Planning, conducting, or participating in a public
22    opinion poll in connection with a campaign for elective
23    office or on behalf of a political organization for
24    political purposes or for or against any referendum
25    question.
26        (5) Surveying or gathering information from potential

 

 

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1    or actual voters in an election to determine probable vote
2    outcome in connection with a campaign for elective office
3    or on behalf of a political organization for political
4    purposes or for or against any referendum question.
5        (6) Assisting at the polls on election day on behalf
6    of any political organization or candidate for elective
7    office or for or against any referendum question.
8        (7) Soliciting votes on behalf of a candidate for
9    elective office or a political organization or for or
10    against any referendum question or helping in an effort to
11    get voters to the polls.
12        (8) Initiating for circulation, preparing,
13    circulating, reviewing, or filing any petition on behalf
14    of a candidate for elective office or for or against any
15    referendum question.
16        (9) Making contributions on behalf of any candidate
17    for elective office in that capacity or in connection with
18    a campaign for elective office.
19        (10) Preparing or reviewing responses to candidate
20    questionnaires in connection with a campaign for elective
21    office or on behalf of a political organization for
22    political purposes.
23        (11) Distributing, preparing for distribution, or
24    mailing campaign literature, campaign signs, or other
25    campaign material on behalf of any candidate for elective
26    office or for or against any referendum question.

 

 

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1        (12) Campaigning for any elective office or for or
2    against any referendum question.
3        (13) Managing or working on a campaign for elective
4    office or for or against any referendum question.
5        (14) Serving as a delegate, alternate, or proxy to a
6    political party convention.
7        (15) Participating in any recount or challenge to the
8    outcome of any election, except to the extent that under
9    subsection (d) of Section 6 of Article IV of the Illinois
10    Constitution each house of the General Assembly shall
11    judge the elections, returns, and qualifications of its
12    members.
13    "Prohibited source" means any person or entity who:
14        (1) is seeking official action (i) by the member or
15    officer or (ii) in the case of an employee, by the employee
16    or by the member, officer, State agency, or other employee
17    directing the employee;
18        (2) does business or seeks to do business (i) with the
19    member or officer or (ii) in the case of an employee, with
20    the employee or with the member, officer, State agency, or
21    other employee directing the employee;
22        (3) conducts activities regulated (i) by the member or
23    officer or (ii) in the case of an employee, by the employee
24    or by the member, officer, State agency, or other employee
25    directing the employee;
26        (4) has interests that may be substantially affected

 

 

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1    by the performance or non-performance of the official
2    duties of the member, officer, or employee;
3        (5) is registered or required to be registered with
4    the Secretary of State under the Lobbyist Registration
5    Act, except that an entity not otherwise a prohibited
6    source does not become a prohibited source merely because
7    a registered lobbyist is one of its members or serves on
8    its board of directors; or
9        (6) is an agent of, a spouse of, or an immediate family
10    member who is living with a "prohibited source".
11    "Regional Transit Boards" means (i) the Regional
12Transportation Authority created by the Regional
13Transportation Authority Act, (ii) the Suburban Bus Division
14created by the Regional Transportation Authority Act, (iii)
15the Commuter Rail Division created by the Regional
16Transportation Authority Act, and (iv) the Chicago Transit
17Authority created by the Metropolitan Transit Authority Act.
18    "State agency" includes all officers, boards, commissions
19and agencies created by the Constitution, whether in the
20executive or legislative branch; all officers, departments,
21boards, commissions, agencies, institutions, authorities,
22public institutions of higher learning as defined in Section 2
23of the Higher Education Cooperation Act (except community
24colleges), and bodies politic and corporate of the State; and
25administrative units or corporate outgrowths of the State
26government which are created by or pursuant to statute, other

 

 

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1than units of local government (including community college
2districts) and their officers, school districts, and boards of
3election commissioners; and all administrative units and
4corporate outgrowths of the above and as may be created by
5executive order of the Governor. "State agency" includes the
6General Assembly, the Senate, the House of Representatives,
7the President and Minority Leader of the Senate, the Speaker
8and Minority Leader of the House of Representatives, the
9Senate Operations Commission, and the legislative support
10services agencies. "State agency" includes the Office of the
11Auditor General. "State agency" does not include the judicial
12branch.
13    "State employee" means any employee of a State agency.
14    "Ultimate jurisdictional authority" means the following:
15        (1) For members, legislative partisan staff, and
16    legislative secretaries, the appropriate legislative
17    leader: President of the Senate, Minority Leader of the
18    Senate, Speaker of the House of Representatives, or
19    Minority Leader of the House of Representatives.
20        (2) For State employees who are professional staff or
21    employees of the Senate and not covered under item (1),
22    the Senate Operations Commission.
23        (3) For State employees who are professional staff or
24    employees of the House of Representatives and not covered
25    under item (1), the Speaker of the House of
26    Representatives.

 

 

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1        (4) For State employees who are employees of the
2    legislative support services agencies, the Joint Committee
3    on Legislative Support Services.
4        (5) For State employees of the Auditor General, the
5    Auditor General.
6        (6) For State employees of public institutions of
7    higher learning as defined in Section 2 of the Higher
8    Education Cooperation Act (except community colleges), the
9    board of trustees of the appropriate public institution of
10    higher learning.
11        (7) For State employees of an executive branch
12    constitutional officer other than those described in
13    paragraph (6), the appropriate executive branch
14    constitutional officer.
15        (8) For State employees not under the jurisdiction of
16    paragraph (1), (2), (3), (4), (5), (6), or (7), the
17    Governor.
18        (9) For employees of Regional Transit Boards, the
19    appropriate Regional Transit Board.
20        (10) For board members of Regional Transit Boards, the
21    Governor.
22(Source: P.A. 96-6, eff. 4-3-09; 96-555, eff. 8-18-09;
2396-1528, eff. 7-1-11; 96-1533, eff. 3-4-11; 97-813, eff.
247-13-12.)
 
25    (5 ILCS 430/5-45)

 

 

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1    Sec. 5-45. Procurement; revolving door prohibition.
2    (a) No former officer, member, or State employee, or
3spouse or immediate family member living with such person,
4shall, within a period of one year immediately after
5termination of State employment, knowingly accept employment
6or receive compensation or fees for services from a person or
7entity if the officer, member, or State employee, during the
8year immediately preceding termination of State employment,
9participated personally and substantially in the award of
10State contracts, or the issuance of State contract change
11orders, with a cumulative value of $25,000 or more to the
12person or entity, or its parent or subsidiary.
13    (a-5) No officer, member, or spouse or immediate family
14member living with such person shall, during the officer or
15member's term in office or within a period of 2 years
16immediately leaving office, hold an ownership interest, other
17than a passive interest in a publicly traded company, in any
18gaming license under the Illinois Gambling Act, the Video
19Gaming Act, the Illinois Horse Racing Act of 1975, or the
20Sports Wagering Act. Any member of the General Assembly or
21spouse or immediate family member living with such person who
22has an ownership interest, other than a passive interest in a
23publicly traded company, in any gaming license under the
24Illinois Gambling Act, the Illinois Horse Racing Act of 1975,
25the Video Gaming Act, or the Sports Wagering Act at the time of
26the effective date of this amendatory Act of the 101st General

 

 

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1Assembly shall divest himself or herself of such ownership
2within one year after the effective date of this amendatory
3Act of the 101st General Assembly. No State employee who works
4for the Illinois Gaming Board or Illinois Racing Board or
5spouse or immediate family member living with such person
6shall, during State employment or within a period of 2 years
7immediately after termination of State employment, hold an
8ownership interest, other than a passive interest in a
9publicly traded company, in any gaming license under the
10Illinois Gambling Act, the Video Gaming Act, the Illinois
11Horse Racing Act of 1975, or the Sports Wagering Act.
12    (a-10) This subsection (a-10) applies on and after June
1325, 2021. No officer, member, or spouse or immediate family
14member living with such person, shall, during the officer or
15member's term in office or within a period of 2 years
16immediately after leaving office, hold an ownership interest,
17other than a passive interest in a publicly traded company, in
18any cannabis business establishment which is licensed under
19the Cannabis Regulation and Tax Act. Any member of the General
20Assembly or spouse or immediate family member living with such
21person who has an ownership interest, other than a passive
22interest in a publicly traded company, in any cannabis
23business establishment which is licensed under the Cannabis
24Regulation and Tax Act at the time of the effective date of
25this amendatory Act of the 101st General Assembly shall divest
26himself or herself of such ownership within one year after the

 

 

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1effective date of this amendatory Act of the 101st General
2Assembly.
3    No State employee who works for any State agency that
4regulates cannabis business establishment license holders who
5participated personally and substantially in the award of
6licenses under the Cannabis Regulation and Tax Act or a spouse
7or immediate family member living with such person shall,
8during State employment or within a period of 2 years
9immediately after termination of State employment, hold an
10ownership interest, other than a passive interest in a
11publicly traded company, in any cannabis license under the
12Cannabis Regulation and Tax Act.
13    (a-15) No person who has served as a statewide elected
14official, the executive or administrative head of a State
15agency, the deputy executive or administrative head of a State
16agency, or a member of the General Assembly shall, within 2
17years after the termination of service or employment, become a
18lobbyist.
19    (b) No former officer of the executive branch or State
20employee of the executive branch with regulatory or licensing
21authority, or spouse or immediate family member living with
22such person, shall, within a period of one year immediately
23after termination of State employment, knowingly accept
24employment or receive compensation or fees for services from a
25person or entity if the officer or State employee, during the
26year immediately preceding termination of State employment,

 

 

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1participated personally and substantially in making a
2regulatory or licensing decision that directly applied to the
3person or entity, or its parent or subsidiary.
4    (c) Within 6 months after the effective date of this
5amendatory Act of the 96th General Assembly, each executive
6branch constitutional officer and legislative leader, the
7Auditor General, and the Joint Committee on Legislative
8Support Services shall adopt a policy delineating which State
9positions under his or her jurisdiction and control, by the
10nature of their duties, may have the authority to participate
11personally and substantially in the award of State contracts
12or in regulatory or licensing decisions. The Governor shall
13adopt such a policy for all State employees of the executive
14branch not under the jurisdiction and control of any other
15executive branch constitutional officer.
16    The policies required under subsection (c) of this Section
17shall be filed with the appropriate ethics commission
18established under this Act or, for the Auditor General, with
19the Office of the Auditor General.
20    (d) Each Inspector General shall have the authority to
21determine that additional State positions under his or her
22jurisdiction, not otherwise subject to the policies required
23by subsection (c) of this Section, are nonetheless subject to
24the notification requirement of subsection (f) below due to
25their involvement in the award of State contracts or in
26regulatory or licensing decisions.

 

 

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1    (e) The Joint Committee on Legislative Support Services,
2the Auditor General, and each of the executive branch
3constitutional officers and legislative leaders subject to
4subsection (c) of this Section shall provide written
5notification to all employees in positions subject to the
6policies required by subsection (c) or a determination made
7under subsection (d): (1) upon hiring, promotion, or transfer
8into the relevant position; and (2) at the time the employee's
9duties are changed in such a way as to qualify that employee.
10An employee receiving notification must certify in writing
11that the person was advised of the prohibition and the
12requirement to notify the appropriate Inspector General in
13subsection (f).
14    (f) Any State employee in a position subject to the
15policies required by subsection (c) or to a determination
16under subsection (d), but who does not fall within the
17prohibition of subsection (h) below, who is offered non-State
18employment during State employment or within a period of one
19year immediately after termination of State employment shall,
20prior to accepting such non-State employment, notify the
21appropriate Inspector General. Within 10 calendar days after
22receiving notification from an employee in a position subject
23to the policies required by subsection (c), such Inspector
24General shall make a determination as to whether the State
25employee is restricted from accepting such employment by
26subsection (a) or (b). In making a determination, in addition

 

 

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1to any other relevant information, an Inspector General shall
2assess the effect of the prospective employment or
3relationship upon decisions referred to in subsections (a) and
4(b), based on the totality of the participation by the former
5officer, member, or State employee in those decisions. A
6determination by an Inspector General must be in writing,
7signed and dated by the Inspector General, and delivered to
8the subject of the determination within 10 calendar days or
9the person is deemed eligible for the employment opportunity.
10For purposes of this subsection, "appropriate Inspector
11General" means (i) for members and employees of the
12legislative branch, the Legislative Inspector General; (ii)
13for the Auditor General and employees of the Office of the
14Auditor General, the Inspector General provided for in Section
1530-5 of this Act; and (iii) for executive branch officers and
16employees, the Inspector General having jurisdiction over the
17officer or employee. Notice of any determination of an
18Inspector General and of any such appeal shall be given to the
19ultimate jurisdictional authority, the Attorney General, and
20the Executive Ethics Commission.
21    (g) An Inspector General's determination regarding
22restrictions under subsection (a) or (b) may be appealed to
23the appropriate Ethics Commission by the person subject to the
24decision or the Attorney General no later than the 10th
25calendar day after the date of the determination.
26    On appeal, the Ethics Commission or Auditor General shall

 

 

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1seek, accept, and consider written public comments regarding a
2determination. In deciding whether to uphold an Inspector
3General's determination, the appropriate Ethics Commission or
4Auditor General shall assess, in addition to any other
5relevant information, the effect of the prospective employment
6or relationship upon the decisions referred to in subsections
7(a) and (b), based on the totality of the participation by the
8former officer, member, or State employee in those decisions.
9The Ethics Commission shall decide whether to uphold an
10Inspector General's determination within 10 calendar days or
11the person is deemed eligible for the employment opportunity.
12    (h) The following officers, members, or State employees
13shall not, within a period of one year immediately after
14termination of office or State employment, knowingly accept
15employment or receive compensation or fees for services from a
16person or entity if the person or entity or its parent or
17subsidiary, during the year immediately preceding termination
18of State employment, was a party to a State contract or
19contracts with a cumulative value of $25,000 or more involving
20the officer, member, or State employee's State agency, or was
21the subject of a regulatory or licensing decision involving
22the officer, member, or State employee's State agency,
23regardless of whether he or she participated personally and
24substantially in the award of the State contract or contracts
25or the making of the regulatory or licensing decision in
26question:

 

 

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1        (1) members or officers;
2        (2) members of a commission or board created by the
3    Illinois Constitution;
4        (3) persons whose appointment to office is subject to
5    the advice and consent of the Senate;
6        (4) the head of a department, commission, board,
7    division, bureau, authority, or other administrative unit
8    within the government of this State;
9        (5) chief procurement officers, State purchasing
10    officers, and their designees whose duties are directly
11    related to State procurement;
12        (6) chiefs of staff, deputy chiefs of staff, associate
13    chiefs of staff, assistant chiefs of staff, and deputy
14    governors;
15        (7) employees of the Illinois Racing Board; and
16        (8) employees of the Illinois Gaming Board.
17    (i) For the purposes of this Section, with respect to
18officers or employees of a regional transit board, as defined
19in this Act, the phrase "person or entity" does not include:
20(i) the United States government, (ii) the State, (iii)
21municipalities, as defined under Article VII, Section 1 of the
22Illinois Constitution, (iv) units of local government, as
23defined under Article VII, Section 1 of the Illinois
24Constitution, or (v) school districts.
25(Source: P.A. 101-31, eff. 6-28-19; 101-593, eff. 12-4-19.)