093_SB2001
SDS093 00006 DMG 00006 b
1 AN ACT concerning ethics.
2 Be it enacted by the People of the State of Illinois,
3 represented in the General Assembly:
4 Section 5. The Illinois Governmental Ethics Act is
5 amended by adding Section 4A-100 and changing Sections
6 4A-102, 4A-103, 4A-104, and 4A-106 as follows:
7 (5 ILCS 420/4A-100) (New)
8 420/4A-100. Definitions
9 Sec. 4A-100. As used in this Act:
10 (a) "Immediate family member" means a spouse, parent,
11 brother, sister, or child of the reporting individual.
12 (b) "Income" means income derived from any source,
13 including but not limited to the following: (i) compensation
14 for services, including fees, commissions, and similar items;
15 (ii) gross income derived from business (and net income if
16 the person elects to include it); (iii) gains received from
17 dealings in property; (iv) interest; (v) rents; (vi)
18 royalties; (vii) dividends; (viii) annuities; (ix) income
19 from life insurance and endowment contracts; (x) pensions;
20 (xi) income from discharge of indebtedness; (xii)
21 distributive share of partnership income; and (xiii) income
22 from an interest in an estate or trust.
23 (5 ILCS 420/4A-102) (from Ch. 127, par. 604A-102)
24 Sec. 4A-102. The statement of economic interests
25 required by this Article shall include the economic interests
26 of the person making the statement as provided in this
27 Section. The interest (if constructively controlled by the
28 person making the statement) of a spouse or any other
-2- SDS093 00006 DMG 00006 b
1 immediate family member party, shall be considered to be the
2 same as the interest of the person making the statement.
3 Campaign receipts shall not be included in this statement.
4 (a) The following interests shall be listed by all
5 persons required to file:
6 (1) The source, type, and amount or value of income
7 (other than income referred in subparagraph (2)) from any
8 source other than from current employment by the State of
9 Illinois.
10 (2) The source and type of income which consists of
11 income from dividends, rents, interest, trusts, and
12 capital gains, received during the preceding calendar
13 year which exceeds $200 in amount or value, and an
14 indication of which of the following categories the
15 amount or value of such item of income is within:
16 (i) not more than $1,000,
17 (ii) greater than $1,000 but not more than
18 $2,500,
19 (iii) greater than $2,500 but not more than
20 $5,000,
21 (iv) greater than $5,000 but not more than
22 $15,000,
23 (v) greater than $15,000 but not more than
24 $50,000,
25 (vi) greater than $50,000 but not more than
26 $100,000,
27 (vii) greater than $100,000 but not more than
28 $1,000,000,
29 (viii) greater than $1,000,000 but not more
30 than $5,000,000, or
31 (ix) greater than $5,000,000.
32 (3) The source, date, and amount of payments made
33 to charitable organizations in lieu of honoraria with a
34 corresponding list of recipients of all such payments,
-3- SDS093 00006 DMG 00006 b
1 together with the dates and amounts of such payments.
2 (4) The identity and category of value of any
3 interest in property held during the preceding calendar
4 year in a trade or business or for investment or
5 production of income, if the property has a fair market
6 value in excess of $1,000 at the close of the preceding
7 calendar year. This item does not include any personal
8 liability owed (i) to the person filing the statement by
9 his or her spouse, parent, brother, sister, or child or
10 (ii) to the spouse of the person filing the statement.
11 This item also does not include deposits aggregating
12 $5,000 or less in a personal savings account, including
13 certificates of deposit and any other form of deposit in
14 a bank, savings and loan association, credit union, or
15 similar financial institution.
16 (5) The identity and category of value of the total
17 liabilities in excess of $5,000 owed at any time during
18 the preceding calendar year to any creditor other than
19 (i) the spouse, parent, brother, sister, or child of the
20 person filing the statement or (ii) the parent, brother,
21 sister, or child of the spouse of the person filing the
22 statement. This item does not include:
23 (A) Any mortgage secured by real property that
24 is a personal residence of the person filing the
25 statement.
26 (B) Any loan secured by a personal motor
27 vehicle, household furniture, or appliances, if the
28 loan does not exceed the purchase price of the item
29 or items that secure it.
30 With regard to revolving charge accounts, the person
31 filing the statement need report only those outstanding
32 liabilities in excess of $10,000 at the close of the
33 preceding calendar year.
34 (6) A brief description, the date, and the category
-4- SDS093 00006 DMG 00006 b
1 of value of any purchase, sale, or exchange in excess of
2 $1,000 during the preceding calendar year of (i) real
3 property other than real property used solely for a
4 personal residence of the person filing the statement or
5 his or her spouse or (ii) stocks, bonds, commodity
6 futures, and other forms of securities. This item does
7 not apply to transactions solely by and between the
8 person filing the statement, his or her spouse, and his
9 or her dependent children.
10 (7) The identity of all positions held during the
11 preceding calendar year as an officer, director, trustee,
12 partner, proprietor, representative, employee, or
13 consultant of any corporation, company, firm,
14 partnership, other business enterprise, non-profit
15 organization, labor organization, or educational or other
16 institution of the State, a unit of government, a school
17 district, or the United states. This item does not apply
18 to positions in religious, social, fraternal, or
19 political organizations or positions of a solely honorary
20 nature.
21 (8) The date of, the parties to, and a description
22 of the terms of any agreement or arrangement with respect
23 to (i) future employment; (ii) a leave of absence from
24 the unit of government in relation to which the person is
25 required to file the statement; (iii) contributions or
26 payments by a former employer other than the unit of
27 government in relation to which the person is required
28 to file the statement; and (iv) continuing participation
29 in an employee welfare or benefit plan with a former
30 employer.
31 (9) The source, date, and amount of honoraria
32 aggregating $200 or more during the preceding calendar
33 year.
34 (10) The source, date, and amount or value of any
-5- SDS093 00006 DMG 00006 b
1 gift or gifts valued singularly or in the aggregate in
2 excess of $500 during the preceding calendar year to the
3 person filing the statement, his or her spouse, or an
4 immediate family member of the person filing the
5 statement if the gift:
6 (A) Is from a prohibited source as defined by
7 the State Gift Ban Act and is within any of the
8 following captioned items listed in Section 15 of
9 that Act, regardless of whether the person filing
10 the statement is otherwise subject to the State Gift
11 Ban Act: item purchased or disposed of; commercially
12 reasonable loan; defense fund contribution; pension;
13 competitive award; honorary degree; training;
14 educational material; golf; and tennis.
15 A gift that is listed under a different item of
16 interest in this subsection need not be listed as a gift.
17 The name, address and type of practice of any
18 professional organization or individual professional
19 practice in which the person making the statement was an
20 officer, director, associate, partner or proprietor, or
21 served in any advisory capacity, from which income in
22 excess of $1200 was derived during the preceding calendar
23 year;
24 (2) The nature of professional services (other than
25 services rendered to the unit or units of government in
26 relation to which the person is required to file) and the
27 nature of the entity to which they were rendered if fees
28 exceeding $5,000 were received during the preceding
29 calendar year from the entity for professional services
30 rendered by the person making the statement.
31 (3) The identity (including the address or legal
32 description of real estate) of any capital asset from
33 which a capital gain of $5,000 or more was realized in
34 the preceding calendar year.
-6- SDS093 00006 DMG 00006 b
1 (11) (4) The name of any unit of government which
2 has employed the person making the statement during the
3 preceding calendar year other than the unit or units of
4 government in relation to which the person is required to
5 file.
6 (5) The name of any entity from which a gift or
7 gifts, or honorarium or honoraria, valued singly or in
8 the aggregate in excess of $500, was received during the
9 preceding calendar year.
10 (b) The following interests shall also be listed by
11 persons listed in items (a) through (f) of Section 4A-101:
12 (1) The name and instrument of ownership in any
13 entity doing business in the State of Illinois, in which
14 an ownership interest held by the person at the date of
15 filing is in excess of $5,000 fair market value or from
16 which dividends of in excess of $1,200 were derived
17 during the preceding calendar year. (In the case of real
18 estate, location thereof shall be listed by street
19 address, or if none, then by legal description). No time
20 or demand deposit in a financial institution, nor any
21 debt instrument need be listed;
22 (2) Except for professional service entities, the
23 name of any entity and any position held therein from
24 which income of in excess of $1,200 was derived during
25 the preceding calendar year, if the entity does business
26 in the State of Illinois. No time or demand deposit in a
27 financial institution, nor any debt instrument need be
28 listed.
29 (3) The identity of any compensated lobbyist with
30 whom the person making the statement maintains a close
31 economic or personal relationship association, including
32 the name of the lobbyist and specifying the legislative
33 matter or matters which are the object of the lobbying
34 activity, and describing the general type of economic
-7- SDS093 00006 DMG 00006 b
1 activity of the client or principal on whose behalf that
2 person is lobbying.
3 (c) The following interests shall also be listed by
4 persons listed in items (g), (h), (i), and (l) of Section
5 4A-101:
6 (1) The name and instrument of ownership in any
7 entity doing business with a unit of local government in
8 relation to which the person is required to file if the
9 ownership interest of the person filing is greater than
10 $5,000 fair market value as of the date of filing or if
11 dividends in excess of $1,200 were received from the
12 entity during the preceding calendar year. (In the case
13 of real estate, location thereof shall be listed by
14 street address, or if none, then by legal description).
15 No time or demand deposit in a financial institution, nor
16 any debt instrument need be listed.
17 (2) Except for professional service entities, the
18 name of any entity and any position held therein from
19 which income in excess of $1,200 was derived during the
20 preceding calendar year if the entity does business with
21 a unit of local government in relation to which the
22 person is required to file. No time or demand deposit in
23 a financial institution, nor any debt instrument need be
24 listed.
25 (3) The name of any entity and the nature of the
26 governmental action requested by any entity which has
27 applied to a unit of local government in relation to
28 which the person must file for any license, franchise or
29 permit for annexation, zoning or rezoning of real estate
30 during the preceding calendar year if the ownership
31 interest of the person filing is in excess of $5,000 fair
32 market value at the time of filing or if income or
33 dividends in excess of $1,200 were received by the person
34 filing from the entity during the preceding calendar
-8- SDS093 00006 DMG 00006 b
1 year.
2 (Source: P.A. 92-101, eff. 1-1-02.)
3 (5 ILCS 420/4A-103) (from Ch. 127, par. 604A-103)
4 Sec. 4A-103. The statement of economic interests required
5 by this Article to be filed with the Secretary of State shall
6 be filled in by typewriting or hand printing, shall be
7 verified, dated, and signed by the person making the
8 statement on a form prescribed by the Secretary of State that
9 shall substantially replicate the design of the 2002 Public
10 Financial Disclosure Report forms employed by the United
11 States Congress for purposes of complying with the Ethics in
12 Government Act of 1978.
13 STATEMENT OF ECONOMIC INTEREST
14 (TYPE OR HAND PRINT)
15 .............................................................
16 (name)
17 .............................................................
18 (each office or position of employment for which this
19 statement is filed)
20 .............................................................
21 (full post office address to which notification of an
22 examination of this statement should be sent)
23 GENERAL DIRECTIONS:
24 The interest (if constructively controlled by the person
25 making the statement) of a spouse or any other party, shall
26 be considered to be the same as the interest of the person
27 making the statement.
28 Campaign receipts shall not be included in this
29 statement.
30 If additional space is needed, please attach supplemental
31 listing.
32 The name, address and type of practice of any
33 professional organization or individual professional practice
-9- SDS093 00006 DMG 00006 b
1 in which the person making the statement was an officer,
2 director, associate, partner or proprietor, or served in any
3 advisory capacity, from which income in excess of $1200 was
4 derived during the preceding calendar year; List the name and
5 instrument of ownership in any entity doing business in the
6 State of Illinois, in which the ownership interest held by
7 the person at the date of filing is in excess of $5,000 fair
8 market value or from which dividends in excess of $1,200 were
9 derived during the preceding calendar year. (In the case of
10 real estate, location thereof shall be listed by street
11 address, or if none, then by legal description.) No time or
12 demand deposit in a financial institution, nor any debt
13 instrument need be listed.
14 Business Entity Instrument of Ownership
15 .............................. ..............................
16 .............................. ..............................
17 .............................. ..............................
18 .............................. ..............................
19 2. List the name, address and type of practice of any
20 professional organization in which the person making the
21 statement was an officer, director, associate, partner or
22 proprietor or served in any advisory capacity, from which
23 income in excess of $1,200 was derived during the preceding
24 calendar year.
25 Name Address Type of Practice
26 ................... ................... ....................
27 ................... ................... ....................
28 ................... ................... ....................
29 3. List the nature of professional services rendered
30 (other than to the State of Illinois) to each entity from
31 which income exceeding $5,000 was received for professional
32 services rendered during the preceding calendar year by the
33 person making the statement.
34 .............................................................
-10- SDS093 00006 DMG 00006 b
1 .............................................................
2 4. List the identity (including the address or legal
3 description of real estate) of any capital asset from which a
4 capital gain of $5,000 or more was realized during the
5 preceding calendar year.
6 .............................................................
7 .............................................................
8 5. List the identity of any compensated lobbyist with
9 whom the person making the statement maintains a close
10 economic association, including the name of the lobbyist and
11 specifying the legislative matter or matters which are the
12 object of the lobbying activity, and describing the general
13 type of economic activity of the client or principal on whose
14 behalf that person is lobbying.
15 Lobbyist Legislative Matter Client or Principal
16 ................... ................... ....................
17 ................... ................... ....................
18 6. List the name of any entity doing business in the
19 State of Illinois from which income in excess of $1,200 was
20 derived during the preceding calendar year other than for
21 professional services and the title or description of any
22 position held in that entity. (In the case of real estate,
23 location thereof shall be listed by street address, or if
24 none, then by legal description). No time or demand deposit
25 in a financial institution nor any debt instrument need be
26 listed.
27 Entity Position Held
28 .............................. ..............................
29 .............................. ..............................
30 .............................. ..............................
31 7. List the name of any unit of government which
32 employed the person making the statement during the preceding
33 calendar year other than the unit or units of government in
34 relation to which the person is required to file.
-11- SDS093 00006 DMG 00006 b
1 .............................................................
2 .............................................................
3 8. List the name of any entity from which a gift or
4 gifts, or honorarium or honoraria, valued singly or in the
5 aggregate in excess of $500, was received during the
6 preceding calendar year.
7 .............................................................
8 VERIFICATION:
9 "I declare that this statement of economic interests
10 (including any accompanying schedules and statements) has
11 been examined by me and to the best of my knowledge and
12 belief is a true, correct and complete statement of my
13 economic interests as required by the Illinois Governmental
14 Ethics Act. I understand that the penalty for willfully
15 filing a false or incomplete statement shall be a fine not to
16 exceed $1,000 or imprisonment in a penal institution other
17 than the penitentiary not to exceed one year, or both fine
18 and imprisonment."
19 ................ ..........................................
20 (date of filing) (signature of person making the statement)
21 (Source: P.A. 92-101, eff. 1-1-02.)
22 (5 ILCS 420/4A-104) (from Ch. 127, par. 604A-104)
23 Sec. 4A-104. The statement of economic interests required
24 by this Article to be filed with the county clerk shall be
25 filled in by typewriting or hand printing, shall be verified,
26 dated, and signed by the person making the statement on a
27 form prescribed by the Secretary of State that shall and
28 shall contain substantially replicate the design of the 2002
29 Public Financial Disclosure Report forms employed by the
30 United States Congress for purposes of complying with the
31 Ethics in Government Act of 1978.the following:
32 STATEMENT OF ECONOMIC INTERESTS
33 (TYPE OR HAND PRINT)
-12- SDS093 00006 DMG 00006 b
1 .............................................................
2 (Name)
3 .............................................................
4 (each office or position of employment for which this
5 statement is filed) .........................................
6 (full post office address to which notification of an
7 examination of this statement should be sent)
8 GENERAL DIRECTIONS:
9 The interest (if constructively controlled by the person
10 making the statement) of a spouse or any other party, shall
11 be considered to be the same as the interest of the person
12 making the statement.
13 Campaign receipts shall not be included in this
14 statement.
15 If additional space is needed, please attach supplemental
16 listing.
17 1. List the name and instrument of ownership in any
18 entity doing business with a unit of local government in
19 relation to which the person is required to file, in which
20 the ownership interest held by the person at the date of
21 filing is in excess of $5,000 fair market value or from which
22 dividends in excess of $1,200 were received during the
23 preceding calendar year. (In the case of real estate,
24 location thereof shall be listed by street address, or if
25 none, then by legal description.) No time or demand deposit
26 in a financial institution, nor any debt instrument shall be
27 listed.
28 Business Instrument of Position of
29 Entity Ownership Management
30 ................... ................... ....................
31 ................... ................... ....................
32 ................... ................... ....................
33 List the name, address and type of practice of any
34 professional organization in which the person making the
-13- SDS093 00006 DMG 00006 b
1 statement was an officer, director, associate, partner or
2 proprietor, or served in any advisory capacity, from which
3 income in excess of $1,200 was derived during the preceding
4 calendar year.
5 Name Address Type of Practice
6 ................... ................... ....................
7 ................... ................... ....................
8 ................... ................... ....................
9 3. List the nature of professional services rendered
10 (other than to the unit or units of local government in
11 relation to which the person is required to file) to each
12 entity from which income exceeding $5,000 was received for
13 professional services rendered during the preceding calendar
14 year by the person making the statement.
15 .............................................................
16 .............................................................
17 4. List the identity (including the address or legal
18 description of real estate) of any capital asset from which a
19 capital gain of $5,000 or more was realized during the
20 preceding calendar year.
21 .............................................................
22 .............................................................
23 .............................................................
24 5. List the name of any entity and the nature of the
25 governmental action requested by any entity which has applied
26 to a unit of local government in relation to which the person
27 must file for any license, franchise or permit for
28 annexation, zoning or rezoning of real estate during the
29 preceding calendar year if the ownership interest of the
30 person filing is in excess of $5,000 fair market value at the
31 time of filing or if income or dividends in excess of $1200
32 were received by the person filing from the entity during the
33 preceding calendar year.
34 .............................................................
-14- SDS093 00006 DMG 00006 b
1 .............................................................
2 .............................................................
3 6. List the name of any entity doing business with a
4 unit of local government in relation to which the person is
5 required to file from which income in excess of $1,200 was
6 derived during the preceding calendar year other than for
7 professional services and the title or description of any
8 position held in that entity. No time or demand deposit in a
9 financial institution nor any debt instrument need be listed.
10 .............................................................
11 .............................................................
12 7. List the name of any unit of government which
13 employed the person making the statement during the preceding
14 calendar year other than the unit or units of government in
15 relation to which the person is required to file.
16 .............................................................
17 .............................................................
18 8. List the name of any entity from which a gift or
19 gifts, or honorarium or honoraria, valued singly or in the
20 aggregate in excess of $500, was received during the
21 preceding calendar year.
22 .............................................................
23 VERIFICATION:
24 "I declare that this statement of economic interests
25 (including any accompanying schedules and statements) has
26 been examined by me and to the best of my knowledge and
27 belief is a true, correct and complete statement of my
28 economic interests as required by the Illinois Governmental
29 Ethics Act. I understand that the penalty for willfully
30 filing a false or incomplete statement shall be a fine not to
31 exceed $1,000 or imprisonment in a penal institution other
32 than the penitentiary not to exceed one year, or both fine
33 and imprisonment."
34 ................ ..........................................
-15- SDS093 00006 DMG 00006 b
1 (date of filing) (signature of person making the statement)
2 (Source: P.A. 92-101, eff. 1-1-02.)
3 (5 ILCS 420/4A-106) (from Ch. 127, par. 604A-106)
4 Sec. 4A-106. The statements of economic interests
5 required of persons listed in items (a) through (f) and item
6 (j) of Section 4A-101 shall be filed with the Secretary of
7 State. The statements of economic interests required of
8 persons listed in items (g), (h), (i), (k), and (l) of
9 Section 4A-101 shall be filed with the county clerk of the
10 county in which the principal office of the unit of local
11 government with which the person is associated is located.
12 If it is not apparent which county the principal office of a
13 unit of local government is located, the chief administrative
14 officer, or his or her designee, has the authority, for
15 purposes of this Act, to determine the county in which the
16 principal office is located. On or before February 1
17 annually, (1) the chief administrative officer of any State
18 agency in the executive, legislative, or judicial branch
19 employing persons required to file under item (f) of Section
20 4A-101 shall certify to the Secretary of State the names and
21 mailing addresses of those persons, and (2) the chief
22 administrative officer, or his or her designee, of each unit
23 of local government with persons described in items (h), (i)
24 and (k) of Section 4A-101 shall certify to the appropriate
25 county clerk a list of names and addresses of persons
26 described in items (h), (i) and (k) of Section 4A-101 that
27 are required to file. In preparing the lists, each chief
28 administrative officer, or his or her designee, shall set out
29 the names in alphabetical order.
30 On or before February 1 annually, the secretary to the
31 board of education for local school councils established
32 pursuant to Section 34-2.1 of the School Code shall certify
33 to the county clerk the names and mailing addresses of those
-16- SDS093 00006 DMG 00006 b
1 persons described in item (l) of Section 4A-101.
2 On or before April 1 annually, the Secretary of State
3 shall notify (1) all persons whose names have been certified
4 to him under item (f) of Section 4A-101, and (2) all persons
5 described in items (a) through (e) and item (j) of Section
6 4A-101, other than candidates for office who have filed their
7 statements with their nominating petitions, of the
8 requirements for filing statements of economic interests. A
9 person required to file with the Secretary of State by virtue
10 of more than one item among items (a) through (f) and item
11 (j) shall be notified of and is required to file only one
12 statement of economic interests relating to all items under
13 which the person is required to file with the Secretary of
14 State.
15 On or before April 1 annually, the county clerk of each
16 county shall notify all persons whose names have been
17 certified to him under items (g), (h), (i), (k), and (l) of
18 Section 4A-101, other than candidates for office who have
19 filed their statements with their nominating petitions, of
20 the requirements for filing statements of economic interests.
21 A person required to file with a county clerk by virtue of
22 more than one item among items (g), (h), (i), (k), and (l)
23 shall be notified of and is required to file only one
24 statement of economic interests relating to all items under
25 which the person is required to file with that county clerk.
26 Except as provided in Section 4A-106.1, the notices
27 provided for in this Section shall be in writing and
28 deposited in the U.S. Mail, properly addressed, first class
29 postage prepaid, on or before the day required by this
30 Section for the sending of the notice. A certificate executed
31 by the Secretary of State or county clerk attesting that he
32 has mailed the notice constitutes prima facie evidence
33 thereof.
34 From the lists certified to him under this Section of
-17- SDS093 00006 DMG 00006 b
1 persons described in items (g), (h), (i), (k), and (l) of
2 Section 4A-101, the clerk of each county shall compile an
3 alphabetical listing of persons required to file statements
4 of economic interests in his office under any of those items.
5 As the statements are filed in his office, the county clerk
6 shall cause the fact of that filing to be indicated on the
7 alphabetical listing of persons who are required to file
8 statements. Within 30 days after the due dates, the county
9 clerk shall mail to the State Board of Elections a true copy
10 of that listing showing those who have filed statements.
11 The county clerk of each county shall note upon the
12 alphabetical listing the names of all persons required to
13 file a statement of economic interests who failed to file a
14 statement on or before May 1. It shall be the duty of the
15 several county clerks to give notice as provided in Section
16 4A-105 to any person who has failed to file his or her
17 statement with the clerk on or before May 1.
18 Any person who files or has filed a statement of economic
19 interest under this Act is entitled to receive from the
20 Secretary of State or county clerk, as the case may be, a
21 receipt indicating that the person has filed such a
22 statement, the date of such filing, and the identity of the
23 governmental unit or units in relation to which the filing is
24 required.
25 The Secretary of State may employ such employees and
26 consultants as he considers necessary to carry out his duties
27 hereunder, and may prescribe their duties, fix their
28 compensation, and provide for reimbursement of their
29 expenses.
30 All statements of economic interests filed under this
31 Section shall be converted into an electronic form by the
32 Secretary of State and shall be posted on the Secretary of
33 State's website available for examination and copying by the
34 public at all reasonable times. Each person examining a
-18- SDS093 00006 DMG 00006 b
1 statement must first fill out a form prepared by the
2 Secretary of State identifying the examiner by name,
3 occupation, address and telephone number, and listing the
4 date of examination and reason for such examination. The
5 Secretary of State shall supply such forms to the county
6 clerks annually and replenish such forms upon request.
7 The Secretary of State or county clerk, as the case may
8 be, shall promptly notify each person required to file a
9 statement under this Article of each instance of an
10 examination of his statement by sending him a duplicate
11 original of the identification form filled out by the person
12 examining his statement.
13 (Source: P.A. 92-101, eff. 1-1-02.)
14 Section 99. Effective date. This Act takes effect
15 January 1, 2004.