Sen. Susan Garrett
Filed: 5/31/2007
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1 | AMENDMENT TO HOUSE BILL 824
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2 | AMENDMENT NO. ______. Amend House Bill 824 by replacing | ||||||
3 | everything after the enacting clause with the following: | ||||||
4 | "Section 1. The Illinois Governmental Ethics Act is amended | ||||||
5 | by changing Sections 4A-101, 4A-102, 4A-103, 4A-105, 4A-106, | ||||||
6 | and 4A-107 as follows: | ||||||
7 | (5 ILCS 420/4A-101) (from Ch. 127, par. 604A-101) | ||||||
8 | Sec. 4A-101. Persons required to file. The following | ||||||
9 | persons shall file
verified written statements of economic | ||||||
10 | interests, as provided in this Article:
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11 | (a) Members of the General Assembly and candidates for | ||||||
12 | nomination or
election to the General Assembly.
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13 | (b) Persons holding an elected office in the Executive | ||||||
14 | Branch of this
State, and candidates for nomination or | ||||||
15 | election to these offices.
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16 | (c) Members of a Commission or Board created by the |
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1 | Illinois Constitution,
and candidates for nomination or | ||||||
2 | election to such Commission or Board.
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3 | (d) Persons whose appointment to office is subject to | ||||||
4 | confirmation by
the Senate.
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5 | (e) Holders of, and candidates for nomination or | ||||||
6 | election to, the office
of judge or associate judge of the | ||||||
7 | Circuit Court and the office of judge of
the Appellate or | ||||||
8 | Supreme Court.
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9 | (f) Persons who are employed by any branch, agency, | ||||||
10 | authority or board
of the government of this State, | ||||||
11 | including but not limited to, the Illinois
State Toll | ||||||
12 | Highway Authority, the Illinois Housing Development | ||||||
13 | Authority,
the Illinois Community College Board, and | ||||||
14 | institutions under the
jurisdiction of the Board of | ||||||
15 | Trustees
of the University of Illinois, Board of Trustees | ||||||
16 | of Southern Illinois
University, Board of Trustees of | ||||||
17 | Chicago State University,
Board of Trustees of Eastern | ||||||
18 | Illinois University, Board of Trustees of
Governor's State | ||||||
19 | University, Board of Trustees of Illinois State | ||||||
20 | University,
Board of Trustees of Northeastern Illinois | ||||||
21 | University, Board of Trustees of
Northern Illinois | ||||||
22 | University, Board of Trustees of Western Illinois
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23 | University, or Board of Trustees of the Illinois | ||||||
24 | Mathematics and Science
Academy, and are compensated for | ||||||
25 | services as employees and not as
independent contractors | ||||||
26 | and who:
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1 | (1) are, or function as, the head of a department, | ||||||
2 | commission, board,
division, bureau, authority or | ||||||
3 | other administrative unit within the
government of | ||||||
4 | this State, or who exercise similar authority within | ||||||
5 | the
government of this State;
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6 | (2) have direct supervisory authority over, or | ||||||
7 | direct responsibility for
the formulation, | ||||||
8 | negotiation, issuance or execution of contracts | ||||||
9 | entered into
by the State in the amount of $5,000 or | ||||||
10 | more;
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11 | (3) have authority for the issuance or | ||||||
12 | promulgation of rules and
regulations within areas | ||||||
13 | under the authority of the State;
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14 | (4) have authority for the approval of | ||||||
15 | professional licenses;
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16 | (5) have responsibility with respect to the | ||||||
17 | financial inspection
of regulated nongovernmental | ||||||
18 | entities;
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19 | (6) adjudicate, arbitrate, or decide any judicial | ||||||
20 | or administrative
proceeding, or review the | ||||||
21 | adjudication, arbitration or decision of any judicial
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22 | or administrative proceeding within the authority of | ||||||
23 | the State;
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24 | (7) have supervisory responsibility for 20 or more | ||||||
25 | employees of the
State; or
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26 | (8) negotiate, assign, authorize, or grant naming |
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1 | rights or sponsorship rights regarding any property or | ||||||
2 | asset of the State, whether real, personal, tangible, | ||||||
3 | or intangible.
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4 | (g) Persons who are elected to office in a unit of | ||||||
5 | local government,
and candidates for nomination or | ||||||
6 | election to that office, including regional
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7 | superintendents of school districts.
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8 | (h) Persons appointed to the governing board of a unit | ||||||
9 | of local
government, or of a special district, and persons | ||||||
10 | appointed to a zoning
board, or zoning board of appeals, or | ||||||
11 | to a regional, county, or municipal
plan commission, or to | ||||||
12 | a board of review of any county, and persons
appointed to | ||||||
13 | the Board of the Metropolitan Pier and Exposition Authority
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14 | and any Trustee appointed under Section 22 of the | ||||||
15 | Metropolitan Pier and
Exposition Authority Act, and | ||||||
16 | persons appointed to a board or commission of
a unit of | ||||||
17 | local government who have authority to authorize the | ||||||
18 | expenditure of
public funds. This subsection does not apply | ||||||
19 | to members of boards or
commissions who function in an | ||||||
20 | advisory capacity.
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21 | (i) Persons who are employed by a unit of local | ||||||
22 | government and are
compensated for services as employees | ||||||
23 | and not as independent contractors and
who:
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24 | (1) are, or function as, the head of a department, | ||||||
25 | division, bureau,
authority or other administrative | ||||||
26 | unit within the unit of local
government, or who |
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1 | exercise similar authority within the unit of local
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2 | government;
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3 | (2) have direct supervisory authority over, or | ||||||
4 | direct responsibility for
the formulation, | ||||||
5 | negotiation, issuance or execution of contracts | ||||||
6 | entered into
by the unit of local government in the | ||||||
7 | amount of $1,000 or greater;
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8 | (3) have authority to approve licenses
and permits | ||||||
9 | by the unit of local government; this item does not | ||||||
10 | include
employees who function in a ministerial | ||||||
11 | capacity;
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12 | (4) adjudicate, arbitrate, or decide any judicial | ||||||
13 | or administrative
proceeding, or review the | ||||||
14 | adjudication, arbitration or decision of any judicial
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15 | or administrative proceeding within the authority of | ||||||
16 | the unit of local
government;
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17 | (5) have authority to issue or promulgate rules and | ||||||
18 | regulations within
areas under the authority of the | ||||||
19 | unit of local government; or
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20 | (6) have supervisory responsibility for 20 or more | ||||||
21 | employees of the
unit of local government.
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22 | (j) Persons on the Board of Trustees of the Illinois | ||||||
23 | Mathematics and
Science Academy.
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24 | (k) Persons employed by a school district in positions | ||||||
25 | that
require that
person to hold an administrative or a | ||||||
26 | chief school business official
endorsement.
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1 | (l) Special government agents. A "special government | ||||||
2 | agent" is a
person who is directed, retained, designated, | ||||||
3 | appointed, or
employed, with or without compensation, by or | ||||||
4 | on behalf of a
statewide executive branch constitutional | ||||||
5 | officer to make an ex
parte communication under Section | ||||||
6 | 5-50 of the State Officials and
Employees Ethics Act or | ||||||
7 | Section 5-165 of the Illinois
Administrative Procedure | ||||||
8 | Act.
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9 | (m) Members of the board of any pension fund or | ||||||
10 | retirement system established under Article 2, 14, 15, 16, | ||||||
11 | or 18 of the Illinois Pension Code and members of the | ||||||
12 | Illinois State Board of Investment, if not required to file | ||||||
13 | under any other provision of this Section.
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14 | (n) Members of the board of any pension fund or | ||||||
15 | retirement system established under Article 3, 4, 5, 6, 7, | ||||||
16 | 8, 9, 10, 11, 12, 13, 17, 19, or 22 of the Illinois Pension | ||||||
17 | Code, if not required to file under any other provision of | ||||||
18 | this Section.
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19 | This Section shall not be construed to prevent any unit of | ||||||
20 | local government
from enacting financial disclosure | ||||||
21 | requirements that mandate
more information
than required by | ||||||
22 | this Act.
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23 | (Source: P.A. 93-617, eff. 12-9-03; 93-816, eff. 7-27-04.)
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24 | (5 ILCS 420/4A-102) (from Ch. 127, par. 604A-102)
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25 | Sec. 4A-102. The statement of economic interests required |
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1 | by this Article
shall include the economic interests of the | ||||||
2 | person making the statement as
provided in this Section. The | ||||||
3 | interest (if constructively controlled by the
person making the | ||||||
4 | statement) of a spouse or any other party, shall be
considered | ||||||
5 | to be the same as the interest of the person making the
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6 | statement. Campaign receipts shall not be included in this | ||||||
7 | statement.
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8 | (a) The following interests shall be listed by all persons | ||||||
9 | required to
file:
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10 | (1) The name, address and type of practice of any | ||||||
11 | professional
organization or individual professional | ||||||
12 | practice in which the person making
the statement was an | ||||||
13 | officer, director, associate, partner or proprietor,
or | ||||||
14 | served in any advisory capacity, from which income in | ||||||
15 | excess of $1200
was derived during the preceding calendar | ||||||
16 | year;
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17 | (2) The nature of professional services (other than | ||||||
18 | services rendered to
the unit or units of government in | ||||||
19 | relation to which the person is required
to file)
and the | ||||||
20 | nature of the entity to which they were rendered if fees | ||||||
21 | exceeding
$5,000 were received during the preceding | ||||||
22 | calendar year from the entity for
professional services | ||||||
23 | rendered by the person making the statement.
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24 | (3) The identity (including the address or legal | ||||||
25 | description of real
estate) of any capital asset from which | ||||||
26 | a capital gain of $5,000 or more
was realized in the |
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1 | preceding calendar year.
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2 | (4) The name of any unit of government which has | ||||||
3 | employed the person
making the statement during the | ||||||
4 | preceding calendar year other than the unit
or units of | ||||||
5 | government in relation to which the person is required to | ||||||
6 | file.
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7 | (5) The name of any entity from which a gift or gifts, | ||||||
8 | or honorarium or
honoraria, valued singly or in the | ||||||
9 | aggregate in excess of $500, was
received during the | ||||||
10 | preceding calendar year.
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11 | (b) The following interests shall also be listed by persons | ||||||
12 | listed in
items (a) through (f) ,
and item (l) , and item (m) of | ||||||
13 | Section 4A-101:
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14 | (1) The name and instrument of ownership in any entity | ||||||
15 | doing business in
the State of Illinois, in which an | ||||||
16 | ownership interest held by the person at
the date of filing | ||||||
17 | is in excess of $5,000 fair market value or from which
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18 | dividends of in excess of $1,200 were derived during the | ||||||
19 | preceding calendar
year. (In the case of real estate, | ||||||
20 | location thereof shall be listed by
street address, or if | ||||||
21 | none, then by legal description). No time or demand
deposit | ||||||
22 | in a financial institution, nor any debt instrument need be | ||||||
23 | listed;
| ||||||
24 | (2) Except for professional service entities, the name | ||||||
25 | of any entity and
any position held therein from which | ||||||
26 | income of in excess of $1,200 was
derived during the |
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1 | preceding calendar year, if the entity does business in
the | ||||||
2 | State of Illinois. No time or demand deposit in a financial
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3 | institution, nor any debt instrument need be listed.
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4 | (3) The identity of any compensated lobbyist with whom | ||||||
5 | the person making
the statement maintains a close economic | ||||||
6 | association, including the name of
the lobbyist and | ||||||
7 | specifying the legislative matter or matters which are the
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8 | object of the lobbying activity, and describing the general | ||||||
9 | type of
economic activity of the client or principal on | ||||||
10 | whose behalf that person is
lobbying.
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11 | (4) The name of any individual or entity the person | ||||||
12 | making the statement represented seeking action or | ||||||
13 | non-action by any State governmental agency, excluding | ||||||
14 | courts or judges, and the name of each such agency, for | ||||||
15 | which the person received total compensation during the | ||||||
16 | past 12 months in excess of $1,000, excluding compensation | ||||||
17 | for other services to such individual or entity and | ||||||
18 | representation consisting solely of the filing of | ||||||
19 | mandatory papers and subsequent representation regarding | ||||||
20 | the mandatory papers. | ||||||
21 | (5) The name of any person or entity, with whom the | ||||||
22 | person making the statement has a close economic | ||||||
23 | association (partners, associates, individuals, entities, | ||||||
24 | or others), that represented an individual or entity | ||||||
25 | seeking action or non-action by any State governmental | ||||||
26 | agency, excluding courts or judges, the name of that |
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1 | individual or entity represented, and the name of each such | ||||||
2 | agency, for which the person received total compensation | ||||||
3 | during the past 12 months in excess of $1,000, excluding | ||||||
4 | compensation for other services to such individual or | ||||||
5 | entity and representation consisting solely of the filing | ||||||
6 | of mandatory papers and subsequent representation | ||||||
7 | regarding the mandatory papers.
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8 | (c) The following interests shall also be listed by persons | ||||||
9 | listed in
items (g), (h), and (i) , and (n) of Section 4A-101:
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10 | (1) The name and instrument of ownership in any entity | ||||||
11 | doing business
with a unit of local government in relation | ||||||
12 | to which the person is
required to file if the ownership | ||||||
13 | interest of the person filing is greater
than $5,000 fair | ||||||
14 | market value as of the date of filing or if dividends in
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15 | excess of $1,200 were received from the entity during the | ||||||
16 | preceding
calendar year. (In the case of real estate, | ||||||
17 | location thereof shall be
listed by street address, or if | ||||||
18 | none, then by legal description). No time
or demand deposit | ||||||
19 | in a financial institution, nor any debt instrument need
be | ||||||
20 | listed.
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21 | (2) Except for professional service entities, the name | ||||||
22 | of any entity and
any position held therein from which | ||||||
23 | income in excess of $1,200 was derived
during the preceding | ||||||
24 | calendar year if the entity does business with a
unit of | ||||||
25 | local government in relation to which the person is | ||||||
26 | required to
file. No time or demand deposit in a financial |
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1 | institution, nor any debt
instrument need be listed.
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2 | (3) The name of any entity and the nature of the | ||||||
3 | governmental action
requested by any entity which has | ||||||
4 | applied to a unit of local
government
in relation to which | ||||||
5 | the person must file for any license, franchise or
permit | ||||||
6 | for annexation, zoning or rezoning of real estate during | ||||||
7 | the
preceding calendar year if the ownership interest of | ||||||
8 | the person filing is
in excess of $5,000 fair market value | ||||||
9 | at the time of filing or if income or
dividends in excess | ||||||
10 | of $1,200 were received by the person filing from the
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11 | entity during the preceding calendar year.
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12 | (Source: P.A. 92-101, eff. 1-1-02; 93-617, eff. 12-9-03.)
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13 | (5 ILCS 420/4A-103) (from Ch. 127, par. 604A-103)
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14 | Sec. 4A-103. The statement of economic interests required | ||||||
15 | by this Article to be filed
with the Secretary of State shall | ||||||
16 | be filled in by
typewriting or hand printing, shall be | ||||||
17 | verified, dated, and signed by the
person making the statement | ||||||
18 | and shall contain substantially the following:
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19 | STATEMENT OF ECONOMIC INTEREST
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20 | (TYPE OR HAND PRINT)
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21 | .............................................................
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22 | (name)
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23 | .............................................................
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24 | (each office or position of employment for which this
statement | ||||||
25 | is filed)
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1 | .............................................................
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2 | (full post office address to which notification of
an | |||||||||||||||||||||
3 | examination of this statement should be sent)
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4 | GENERAL DIRECTIONS:
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5 | The interest (if constructively controlled by the person | |||||||||||||||||||||
6 | making the
statement) of a spouse or any other party, shall be | |||||||||||||||||||||
7 | considered to be the
same as the interest of the person making | |||||||||||||||||||||
8 | the statement.
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9 | Campaign receipts shall not be included in this statement.
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10 | If additional space is needed, please attach supplemental | |||||||||||||||||||||
11 | listing.
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12 | 1. List the name and instrument of ownership in any entity | |||||||||||||||||||||
13 | doing
business in the State of Illinois, in which the ownership | |||||||||||||||||||||
14 | interest held by
the person at the date of filing is in excess | |||||||||||||||||||||
15 | of $5,000 fair market value
or from which dividends in excess | |||||||||||||||||||||
16 | of $1,200 were derived during the
preceding calendar year. (In | |||||||||||||||||||||
17 | the case of real estate, location thereof
shall be listed by | |||||||||||||||||||||
18 | street address, or if none, then by legal description.)
No time | |||||||||||||||||||||
19 | or demand deposit in a financial institution, nor any debt
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20 | instrument need be listed.
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26 | 2. List the name, address and type of practice of any |
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1 | professional
organization in which the person making the | |||||||||||||||||||||
2 | statement was an officer,
director, associate, partner or | |||||||||||||||||||||
3 | proprietor or served in any advisory
capacity, from which | |||||||||||||||||||||
4 | income in excess of $1,200 was derived during the
preceding | |||||||||||||||||||||
5 | calendar year.
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10 | 3. List the nature of professional services rendered (other | |||||||||||||||||||||
11 | than to the
State of Illinois) to each entity from which income | |||||||||||||||||||||
12 | exceeding $5,000 was
received for professional services | |||||||||||||||||||||
13 | rendered during the preceding calendar
year by the person | |||||||||||||||||||||
14 | making the statement.
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15 | .............................................................
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16 | ............................................................. | |||||||||||||||||||||
17 | 4. List the name of any individual or entity the person | |||||||||||||||||||||
18 | making the statement represented seeking action or non-action | |||||||||||||||||||||
19 | by any State governmental agency, excluding courts or judges, | |||||||||||||||||||||
20 | and the name of each such agency, for which the person received | |||||||||||||||||||||
21 | total compensation during the past 12 months in excess of | |||||||||||||||||||||
22 | $1,000, excluding compensation for other services to such | |||||||||||||||||||||
23 | individual or entity and representation consisting solely of | |||||||||||||||||||||
24 | the filing of mandatory papers and subsequent representation | |||||||||||||||||||||
25 | regarding the mandatory papers. | |||||||||||||||||||||
26 | .
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| |||||||
1 | ............................................................. | ||||||
2 | 5. List the name of any person or entity, with whom the | ||||||
3 | person making the statement has a close economic association | ||||||
4 | (partners, associates, individuals, entities, or others), that | ||||||
5 | represented an individual or entity seeking action or | ||||||
6 | non-action by any State governmental agency, excluding courts | ||||||
7 | or judges, the name of that individual or entity represented, | ||||||
8 | and the name of each such agency, for which the person received | ||||||
9 | total compensation during the past 12 months in excess of | ||||||
10 | $1,000, excluding compensation for other services to such | ||||||
11 | individual or entity and representation consisting solely of | ||||||
12 | the filing of mandatory papers and subsequent representation | ||||||
13 | regarding the mandatory papers.
| ||||||
14 | .
| ||||||
15 | .............................................................
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16 | 6.
4. List the identity (including the address or legal | ||||||
17 | description of real
estate) of any capital asset from which a | ||||||
18 | capital gain of $5,000 or more
was realized during the | ||||||
19 | preceding calendar year.
| ||||||
20 | .............................................................
| ||||||
21 | .............................................................
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22 | 7.
5. List the identity of any compensated lobbyist with | ||||||
23 | whom the person
making the statement maintains a close economic | ||||||
24 | association, including the
name of the lobbyist and specifying | ||||||
25 | the legislative matter or matters which
are the object of the | ||||||
26 | lobbying activity, and describing the general type of
economic |
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1 | activity of the client or principal on whose behalf that person | |||||||||||||||||
2 | is
lobbying.
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6 | 8.
6. List the name of any entity doing business in the | |||||||||||||||||
7 | State of Illinois
from which income in excess of $1,200 was | |||||||||||||||||
8 | derived during the preceding
calendar year other than for | |||||||||||||||||
9 | professional services and the title or
description of any | |||||||||||||||||
10 | position held in that entity. (In the case of real
estate, | |||||||||||||||||
11 | location thereof shall be listed by street address, or if none,
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12 | then by legal description). No time or demand deposit in a | |||||||||||||||||
13 | financial
institution nor any debt instrument need be listed.
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| ||||||||||||||||||
18 | 9.
7. List the name of any unit of government which | |||||||||||||||||
19 | employed the person
making the statement during the preceding | |||||||||||||||||
20 | calendar year other than the unit
or units
of government in | |||||||||||||||||
21 | relation to which the person is required to file.
| |||||||||||||||||
22 | .............................................................
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23 | .............................................................
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24 | 10.
8. List the name of any entity from which a gift or | |||||||||||||||||
25 | gifts, or honorarium
or honoraria, valued singly or in the | |||||||||||||||||
26 | aggregate in excess of $500, was
received during the preceding |
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1 | calendar year.
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2 | .............................................................
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3 | VERIFICATION:
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4 | "I declare that this statement of economic interests | ||||||
5 | (including any
accompanying schedules and statements) has been | ||||||
6 | examined by me and to the
best of my knowledge and belief is a | ||||||
7 | true, correct and complete statement
of my economic interests | ||||||
8 | as required by the Illinois Governmental Ethics
Act. I | ||||||
9 | understand that the penalty for willfully filing a false or
| ||||||
10 | incomplete statement shall be a fine not to exceed $1,000 or | ||||||
11 | imprisonment
in a penal institution other than the penitentiary | ||||||
12 | not to exceed one year,
or both fine and imprisonment."
| ||||||
13 | ................ ..........................................
| ||||||
14 | (date of filing) (signature of person making the statement)
| ||||||
15 | (Source: P.A. 92-101, eff. 1-1-02 .)
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16 | (5 ILCS 420/4A-105) (from Ch. 127, par. 604A-105)
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17 | Sec. 4A-105. Time for filing. Except as provided in | ||||||
18 | Section 4A-106.1, by
May 1 of each year a statement must be | ||||||
19 | filed by each person
whose position at that time subjects him | ||||||
20 | to the filing requirements of Section
4A-101 unless he has | ||||||
21 | already filed a statement in relation to the same unit of
| ||||||
22 | government in that calendar year.
| ||||||
23 | Statements must also be filed as follows:
| ||||||
24 | (a) A candidate for elective office shall file his | ||||||
25 | statement not later
than the end of the period during which |
| |||||||
| |||||||
1 | he can take the action necessary
under the laws of this | ||||||
2 | State to attempt to qualify for nomination, election, or
| ||||||
3 | retention to such office if he has not filed a statement in | ||||||
4 | relation to the
same unit of government within a year | ||||||
5 | preceding such action.
| ||||||
6 | (b) A person whose appointment to office is subject to | ||||||
7 | confirmation by
the Senate shall file his statement at the | ||||||
8 | time his name is submitted to
the Senate for confirmation.
| ||||||
9 | (b-5) A special government agent, as defined in
item | ||||||
10 | (1) of Section 4A-101 of this Act, shall file a statement | ||||||
11 | within 60 days after assuming responsibilities as a special | ||||||
12 | government agent
30 days
after
making the first ex parte | ||||||
13 | communication and each May 1 thereafter if he or she
has | ||||||
14 | made an ex parte communication within the previous 12 | ||||||
15 | months.
| ||||||
16 | (c) Any other person required by this Article to file | ||||||
17 | the statement
shall file a statement at the time of his or | ||||||
18 | her initial appointment or
employment in relation to that | ||||||
19 | unit of government if appointed or employed by
May 1.
| ||||||
20 | If any person who is required to file a statement of | ||||||
21 | economic interests
fails to file such statement by May 1 of any | ||||||
22 | year, the officer with whom
such statement is to be filed under | ||||||
23 | Section 4A-106 of this Act shall,
within 7 days after May 1, | ||||||
24 | notify such person by certified mail of his or
her failure to | ||||||
25 | file by the specified date. Except as may be prescribed by
rule | ||||||
26 | of the Secretary of State, such person shall file his or
her |
| |||||||
| |||||||
1 | statement of economic interests on or before May 15 with the
| ||||||
2 | appropriate officer, together with a $15 late filing fee. Any | ||||||
3 | such person
who fails to file by May 15 shall be subject to a | ||||||
4 | penalty of $100 for each
day from May 16 to the date of filing, | ||||||
5 | which shall be in addition to the $15
late filing fee specified | ||||||
6 | above. Failure to file by May 31 shall result in a
forfeiture | ||||||
7 | in accordance with Section 4A-107 of this Act.
| ||||||
8 | Any person who takes office or otherwise becomes required | ||||||
9 | to file a
statement of economic interests within 30 days prior | ||||||
10 | to May 1 of any year
may file his or her statement at any time | ||||||
11 | on or before May 31 without
penalty. If such person fails to | ||||||
12 | file such statement by May 31, the
officer with whom such | ||||||
13 | statement is to be filed under Section 4A-106 of
this Act | ||||||
14 | shall, within 7 days after May 31, notify such person by | ||||||
15 | certified
mail of his or her failure to file by the specified | ||||||
16 | date. Such person
shall file his or her statement of economic | ||||||
17 | interests on or before June 15 with
the appropriate officer, | ||||||
18 | together with a $15 late filing fee. Any such
person who fails | ||||||
19 | to file by June 15 shall be subject to a penalty of $100
per day | ||||||
20 | for each day from June 16 to the date of filing, which shall be | ||||||
21 | in
addition to the $15 late filing fee specified above. Failure | ||||||
22 | to file by June
30 shall result in a forfeiture in accordance | ||||||
23 | with Section 4A-107 of this Act.
| ||||||
24 | All late filing fees and penalties collected pursuant to | ||||||
25 | this Section
shall be paid into the General Revenue Fund in the | ||||||
26 | State treasury, if the
Secretary of State receives such |
| |||||||
| |||||||
1 | statement for filing, or into the general
fund in the county | ||||||
2 | treasury, if the county clerk receives such statement
for | ||||||
3 | filing. The Attorney General, with respect to the State, and | ||||||
4 | the
several State's Attorneys, with respect to counties, shall | ||||||
5 | take appropriate
action to collect the prescribed penalties.
| ||||||
6 | Failure to file a statement of economic interests within | ||||||
7 | the time
prescribed shall not result in a fine or ineligibility | ||||||
8 | for, or forfeiture of,
office or position of employment, as the | ||||||
9 | case may be; provided that the failure
to file results from not | ||||||
10 | being included for notification by the appropriate
agency, | ||||||
11 | clerk, secretary, officer or unit of government, as the case | ||||||
12 | may be,
and that a statement is filed within 30 days of actual | ||||||
13 | notice of the failure to
file.
| ||||||
14 | (Source: P.A. 93-617, eff. 12-9-03.)
| ||||||
15 | (5 ILCS 420/4A-106) (from Ch. 127, par. 604A-106) | ||||||
16 | Sec. 4A-106. The statements of economic interests required | ||||||
17 | of persons
listed in items (a) through (f), item (j), and item | ||||||
18 | (l) , and item (m) of
Section 4A-101 shall be
filed with the | ||||||
19 | Secretary of State. The statements of economic interests
| ||||||
20 | required of persons listed in items (g), (h), (i), and (k) , and | ||||||
21 | (n) of
Section
4A-101 shall be filed with the county clerk of | ||||||
22 | the county in which the
principal office of the unit of local | ||||||
23 | government with which the person is
associated is located. If | ||||||
24 | it is not apparent which county the principal office
of a unit | ||||||
25 | of local government is located, the chief administrative |
| |||||||
| |||||||
1 | officer, or
his or her designee, has the authority, for | ||||||
2 | purposes of this Act, to determine
the county in which the | ||||||
3 | principal office is located. On or before February 1
annually, | ||||||
4 | (1) the chief administrative officer of any State agency in the
| ||||||
5 | executive, legislative, or judicial branch employing persons | ||||||
6 | required to file
under item (f) or item (l) of Section
4A-101 | ||||||
7 | and the chief administrative officer of a board described in | ||||||
8 | item (m) of Section 4A-101 shall certify to the Secretary of | ||||||
9 | State the names and mailing addresses
of those persons required | ||||||
10 | to file under those items , and (2) the chief administrative | ||||||
11 | officer, or his or her
designee, of each unit of local | ||||||
12 | government with persons described in items (h),
(i) ,
and (k) , | ||||||
13 | and (n) of Section 4A-101 shall certify to the appropriate | ||||||
14 | county clerk a
list of names and addresses of persons described | ||||||
15 | in items (h), (i) ,
and (k) , and (n) of
Section 4A-101 that are | ||||||
16 | required to file. In preparing the lists, each chief
| ||||||
17 | administrative officer, or his or her designee, shall set out | ||||||
18 | the names in
alphabetical order.
| ||||||
19 | On or before April 1 annually, the Secretary of State shall | ||||||
20 | notify (1)
all persons whose names have been certified to him | ||||||
21 | under items (f) ,
and (l) , and (m) of
Section 4A-101, and (2) | ||||||
22 | all persons described in items (a) through (e) and
item (j) of | ||||||
23 | Section 4A-101, other than candidates for office who have filed
| ||||||
24 | their statements with their nominating petitions, of the | ||||||
25 | requirements for
filing statements of economic interests.
A | ||||||
26 | person required to file with the Secretary of State by virtue |
| |||||||
| |||||||
1 | of more than
one item among items (a) through (f) and items | ||||||
2 | (j) ,
and (l) , and (m)
shall be notified of and is
required
to | ||||||
3 | file only one statement of economic interests relating to all | ||||||
4 | items under
which the person is required to file with the | ||||||
5 | Secretary of State.
| ||||||
6 | On or before April 1 annually, the county clerk of each | ||||||
7 | county shall
notify all persons whose names have been certified | ||||||
8 | to him under items (g),
(h), (i), and (k) , and (n) of Section | ||||||
9 | 4A-101, other than candidates
for office who have filed their | ||||||
10 | statements with their nominating petitions, of
the | ||||||
11 | requirements for filing statements of economic interests.
A | ||||||
12 | person required to file with a county clerk by virtue of more | ||||||
13 | than one item
among items (g), (h), (i), and (k) , and (n) shall | ||||||
14 | be notified of and is
required to
file only one statement of | ||||||
15 | economic interests relating to all items under which
the person | ||||||
16 | is required to file with that county clerk.
| ||||||
17 | Except as provided in Section 4A-106.1, the notices | ||||||
18 | provided for in this
Section shall be in writing and deposited | ||||||
19 | in
the U.S. Mail, properly addressed, first class postage | ||||||
20 | prepaid, on or before
the day required by this Section for the | ||||||
21 | sending of the notice. A certificate
executed by the Secretary | ||||||
22 | of State or county clerk attesting that he has mailed
the | ||||||
23 | notice constitutes prima facie evidence thereof.
| ||||||
24 | From the lists certified to him under this Section of | ||||||
25 | persons described in
items (g), (h), (i), and (k) , and (n) of | ||||||
26 | Section 4A-101, the clerk
of each county shall
compile an |
| |||||||
| |||||||
1 | alphabetical listing of persons required to file statements of
| ||||||
2 | economic interests in his office under any of those items. As | ||||||
3 | the
statements are filed in his office, the county clerk shall | ||||||
4 | cause the fact
of that filing to be indicated on the | ||||||
5 | alphabetical listing of persons who
are required to file | ||||||
6 | statements. Within 30 days after the due dates, the county
| ||||||
7 | clerk shall mail to the State Board of Elections a true copy of | ||||||
8 | that listing
showing those who have filed statements.
| ||||||
9 | The county clerk of each county shall note upon the | ||||||
10 | alphabetical listing
the names of all persons required to file | ||||||
11 | a statement of economic interests
who failed to file a | ||||||
12 | statement on or before May 1. It shall be the duty of
the | ||||||
13 | several county clerks to give notice as provided in Section | ||||||
14 | 4A-105 to
any person who has failed to file his or her | ||||||
15 | statement with the clerk on or
before May 1.
| ||||||
16 | Any person who files or has filed a statement of economic | ||||||
17 | interest
under this Act is entitled to receive from the | ||||||
18 | Secretary of State or county
clerk, as the case may be, a | ||||||
19 | receipt indicating that the person has filed
such a statement, | ||||||
20 | the date of such filing, and the identity of the
governmental | ||||||
21 | unit or units in relation to which the filing is required.
| ||||||
22 | The Secretary of State may employ such employees and | ||||||
23 | consultants
as he considers necessary to carry out his duties | ||||||
24 | hereunder, and may
prescribe their duties, fix their | ||||||
25 | compensation, and provide for
reimbursement of their expenses.
| ||||||
26 | All statements of economic interests filed under this |
| |||||||
| |||||||
1 | Section shall be
available for examination and copying by the | ||||||
2 | public at all reasonable times.
Not later than 12 months after | ||||||
3 | the effective date of this amendatory Act of
the 93rd General | ||||||
4 | Assembly, beginning with statements filed in calendar year
| ||||||
5 | 2004, the Secretary of State shall make statements of economic | ||||||
6 | interests filed
with the Secretary available for inspection and | ||||||
7 | copying via the Secretary's
website.
| ||||||
8 | (Source: P.A. 93-617, eff. 12-9-03; 94-603, eff. 8-16-05.)
| ||||||
9 | (5 ILCS 420/4A-107) (from Ch. 127, par. 604A-107)
| ||||||
10 | Sec. 4A-107. Any person required to file a statement of | ||||||
11 | economic interests
under this Article who willfully files a | ||||||
12 | false or incomplete statement shall be
guilty of a Class A | ||||||
13 | misdemeanor.
| ||||||
14 | Failure to file a statement within the time prescribed | ||||||
15 | shall result in
ineligibility for, or forfeiture of, office or | ||||||
16 | position of employment, as
the case may be; provided, however, | ||||||
17 | that if the notice of failure to
file a statement of economic | ||||||
18 | interests provided in Section 4A-105 of this
Act is not given | ||||||
19 | by the Secretary of State or the county clerk, as the case
may | ||||||
20 | be, no forfeiture shall result if a statement is filed within | ||||||
21 | 30 days
of actual notice of the failure to file.
| ||||||
22 | The Attorney General, with respect to offices or positions | ||||||
23 | described in
items (a) through (f) and items (j) ,
and (l) , and | ||||||
24 | (m) of Section 4A-101 of this
Act, or the State's
Attorney of | ||||||
25 | the county of the entity for which the filing of statements of
|
| |||||||
| |||||||
1 | economic interests is required, with respect to offices or | ||||||
2 | positions
described in items (g) through (i) ,
and item (k) , and | ||||||
3 | item (n) of
Section
4A-101 of this Act,
shall bring an action | ||||||
4 | in quo warranto against any person who has failed to file
by | ||||||
5 | either May 31 or June 30 of any given year.
| ||||||
6 | (Source: P.A. 93-617, eff. 12-9-03.)
| ||||||
7 | Section 2. The State Officials and Employees Ethics Act is | ||||||
8 | amended by changing Sections 1-5, 5-10, 5-20, 5-45, 20-5, | ||||||
9 | 20-23, 20-40, 20-50, 25-5, 25-10, and 25-23 as follows: | ||||||
10 | (5 ILCS 430/1-5)
| ||||||
11 | Sec. 1-5. Definitions. As used in this Act:
| ||||||
12 | "Appointee" means a person appointed to a position in or | ||||||
13 | with a State
agency, regardless of whether the position is | ||||||
14 | compensated.
| ||||||
15 | "Campaign for elective office" means any activity in | ||||||
16 | furtherance of an
effort to influence the selection, | ||||||
17 | nomination, election, or appointment of any
individual to any | ||||||
18 | federal, State, or local public office or office in a
political | ||||||
19 | organization, or the selection, nomination, or election
of | ||||||
20 | Presidential or Vice-Presidential electors,
but does not | ||||||
21 | include
activities (i) relating to the support or opposition of | ||||||
22 | any executive,
legislative, or administrative action (as those | ||||||
23 | terms are defined in Section 2
of the Lobbyist Registration | ||||||
24 | Act), (ii) relating to collective bargaining, or
(iii) that are |
| |||||||
| |||||||
1 | otherwise in furtherance of the person's official State duties.
| ||||||
2 | "Candidate" means a person who has
filed nominating papers | ||||||
3 | or petitions for nomination or election to an elected
State | ||||||
4 | office, or who has been appointed to fill a vacancy in | ||||||
5 | nomination, and
who remains eligible for placement on the | ||||||
6 | ballot at either a
general primary election or general | ||||||
7 | election.
| ||||||
8 | "Collective bargaining" has the same meaning as that term | ||||||
9 | is defined in
Section 3 of the Illinois Public Labor Relations | ||||||
10 | Act.
| ||||||
11 | "Commission" means an ethics commission created by this | ||||||
12 | Act.
| ||||||
13 | "Compensated time" means any time worked by or credited to | ||||||
14 | a State employee
that counts
toward any minimum work time | ||||||
15 | requirement imposed as a condition of employment
with a State | ||||||
16 | agency, but does not include any designated State holidays or | ||||||
17 | any
period when the employee is on a
leave of absence.
| ||||||
18 | "Compensatory time off" means authorized time off earned by | ||||||
19 | or awarded to a
State employee to compensate in whole or in | ||||||
20 | part for time worked in excess of
the minimum work time | ||||||
21 | required
of that employee as a condition of employment with a | ||||||
22 | State agency.
| ||||||
23 | "Contribution" has the same meaning as that term is defined | ||||||
24 | in Section 9-1.4
of the Election Code.
| ||||||
25 | "Employee" means (i) any person employed full-time, | ||||||
26 | part-time, or
pursuant to a contract and whose employment |
| |||||||
| |||||||
1 | duties are subject to the direction
and
control of an employer | ||||||
2 | with regard to the material details of how the work is
to be | ||||||
3 | performed ,
or (ii) any appointed or elected commissioner, | ||||||
4 | trustee, director, or board member of a board of a State | ||||||
5 | agency, or (iii) any other appointee.
| ||||||
6 | "Executive branch constitutional officer" means the | ||||||
7 | Governor, Lieutenant
Governor, Attorney General, Secretary of | ||||||
8 | State, Comptroller, and Treasurer.
| ||||||
9 | "Gift" means any gratuity, discount, entertainment, | ||||||
10 | hospitality, loan,
forbearance, or other tangible or | ||||||
11 | intangible item having monetary value
including, but not
| ||||||
12 | limited to, cash, food and drink, and honoraria for speaking | ||||||
13 | engagements
related to or attributable to government | ||||||
14 | employment or the official position of
an
employee, member, or | ||||||
15 | officer.
"Gift", however, does not include anything of value | ||||||
16 | solicited from a prohibited source by an officer, member, or | ||||||
17 | employee and given by the prohibited source to a not-for-profit | ||||||
18 | organization organized under Section 501(c)(3) of the Internal | ||||||
19 | Revenue Code of 1986, as now or hereafter amended, renumbered, | ||||||
20 | or succeeded. The amendment to the definition of "gift" made by | ||||||
21 | this amendatory Act of the 95th General Assembly is declarative | ||||||
22 | of existing law.
| ||||||
23 | "Governmental entity" means a unit of local government or a | ||||||
24 | school
district but not a State
agency.
| ||||||
25 | "Leave of absence" means any period during which a State | ||||||
26 | employee does not
receive (i) compensation for State |
| |||||||
| |||||||
1 | employment, (ii) service credit towards
State pension | ||||||
2 | benefits, and (iii) health insurance benefits paid for by the
| ||||||
3 | State.
| ||||||
4 | "Legislative branch constitutional officer" means a member | ||||||
5 | of the General
Assembly and the Auditor General.
| ||||||
6 | "Legislative leader" means the President and Minority | ||||||
7 | Leader of the Senate
and the Speaker and Minority Leader of the | ||||||
8 | House of Representatives.
| ||||||
9 | "Member" means a member of the General Assembly.
| ||||||
10 | "Officer" means an executive branch constitutional officer
| ||||||
11 | or a
legislative branch constitutional officer.
| ||||||
12 | "Political" means any activity in support
of or in | ||||||
13 | connection with any campaign for elective office or any | ||||||
14 | political
organization, but does not include activities (i) | ||||||
15 | relating to the support or
opposition of any executive, | ||||||
16 | legislative, or administrative action (as those
terms are | ||||||
17 | defined in Section 2 of the Lobbyist Registration Act), (ii) | ||||||
18 | relating
to collective bargaining, or (iii) that are
otherwise
| ||||||
19 | in furtherance of the person's official
State duties or | ||||||
20 | governmental and public service functions.
| ||||||
21 | "Political organization" means a party, committee, | ||||||
22 | association, fund, or
other organization (whether or not | ||||||
23 | incorporated) that is required to file a
statement of | ||||||
24 | organization with the State Board of Elections or a county | ||||||
25 | clerk
under Section 9-3 of the Election Code, but only with | ||||||
26 | regard to those
activities that require filing with the State |
| |||||||
| |||||||
1 | Board of Elections or a county
clerk.
| ||||||
2 | "Prohibited political activity" means:
| ||||||
3 | (1) Preparing for, organizing, or participating in any
| ||||||
4 | political meeting, political rally, political | ||||||
5 | demonstration, or other political
event.
| ||||||
6 | (2) Soliciting contributions, including but not | ||||||
7 | limited to the purchase
of, selling, distributing, or | ||||||
8 | receiving
payment for tickets for any political | ||||||
9 | fundraiser,
political meeting, or other political event.
| ||||||
10 | (3) Soliciting, planning the solicitation of, or | ||||||
11 | preparing any document or
report regarding any thing of | ||||||
12 | value intended as a campaign contribution.
| ||||||
13 | (4) Planning, conducting, or participating in a public | ||||||
14 | opinion
poll in connection with a campaign for elective | ||||||
15 | office or on behalf of a
political organization for | ||||||
16 | political purposes or for or against any referendum
| ||||||
17 | question.
| ||||||
18 | (5) Surveying or gathering information from potential | ||||||
19 | or actual
voters in an election to determine probable vote | ||||||
20 | outcome in connection with a
campaign for elective office | ||||||
21 | or on behalf of a political organization for
political | ||||||
22 | purposes or for or against any referendum question.
| ||||||
23 | (6) Assisting at the polls on election day on behalf of | ||||||
24 | any
political organization or candidate for elective | ||||||
25 | office or for or against any
referendum
question.
| ||||||
26 | (7) Soliciting votes on behalf of a candidate for |
| |||||||
| |||||||
1 | elective office or a
political organization or for or | ||||||
2 | against any referendum question or helping in
an effort to | ||||||
3 | get voters
to the polls.
| ||||||
4 | (8) Initiating for circulation, preparing, | ||||||
5 | circulating, reviewing, or
filing any petition on
behalf of | ||||||
6 | a candidate for elective office or for or against any | ||||||
7 | referendum
question.
| ||||||
8 | (9) Making contributions on behalf
of any candidate for | ||||||
9 | elective office in that capacity or in connection with a
| ||||||
10 | campaign for elective office.
| ||||||
11 | (10) Preparing or reviewing responses to candidate | ||||||
12 | questionnaires in
connection with a campaign for elective | ||||||
13 | office or on behalf of a political
organization for | ||||||
14 | political purposes.
| ||||||
15 | (11) Distributing, preparing for distribution, or | ||||||
16 | mailing campaign
literature, campaign signs, or other | ||||||
17 | campaign material on behalf of any
candidate for elective | ||||||
18 | office or for or against any referendum question.
| ||||||
19 | (12) Campaigning for any elective
office or for or | ||||||
20 | against any referendum question.
| ||||||
21 | (13) Managing or working on a campaign for elective
| ||||||
22 | office or for or against any referendum question.
| ||||||
23 | (14) Serving as a delegate, alternate, or proxy to a | ||||||
24 | political
party convention.
| ||||||
25 | (15) Participating in any recount or challenge to the | ||||||
26 | outcome of
any election, except to the extent that under |
| |||||||
| |||||||
1 | subsection (d) of
Section 6 of Article IV of the Illinois | ||||||
2 | Constitution each house of the General
Assembly shall judge | ||||||
3 | the elections, returns, and qualifications of its members.
| ||||||
4 | "Prohibited source" means any person or entity who:
| ||||||
5 | (1) is seeking official action (i) by the
member or | ||||||
6 | officer or (ii) in the case of an employee, by
the employee
| ||||||
7 | or by the
member, officer, State agency, or other employee | ||||||
8 | directing the
employee;
| ||||||
9 | (2) does business or seeks to do business (i) with the
| ||||||
10 | member or officer or (ii) in the case of an employee,
with | ||||||
11 | the
employee or with the member, officer, State agency, or | ||||||
12 | other
employee directing the
employee;
| ||||||
13 | (3) conducts activities regulated (i) by the
member or | ||||||
14 | officer or (ii) in the case of an employee, by
the employee | ||||||
15 | or by the member, officer, State agency, or
other employee | ||||||
16 | directing the employee;
| ||||||
17 | (4) has interests that may be substantially affected by | ||||||
18 | the performance or
non-performance of the official duties | ||||||
19 | of the member, officer, or
employee; or
| ||||||
20 | (5) is registered or required to be registered with the | ||||||
21 | Secretary of State
under the Lobbyist Registration Act, | ||||||
22 | except that an entity not otherwise a
prohibited source | ||||||
23 | does not become a prohibited source merely because a
| ||||||
24 | registered lobbyist is one of its members or serves on its | ||||||
25 | board of
directors.
| ||||||
26 | "State agency" includes all officers, boards, commissions |
| |||||||
| |||||||
1 | and agencies
created by the Constitution, whether in the | ||||||
2 | executive or legislative
branch; all officers,
departments, | ||||||
3 | boards, commissions, agencies, institutions, authorities,
| ||||||
4 | public institutions of higher learning as defined in Section 2 | ||||||
5 | of the Higher
Education
Cooperation Act, and bodies politic and | ||||||
6 | corporate of the State; and
administrative
units or corporate | ||||||
7 | outgrowths of the State government which are created by
or | ||||||
8 | pursuant to statute, other than units of local government and | ||||||
9 | their
officers, school districts, and boards of election | ||||||
10 | commissioners; and all
administrative units and corporate | ||||||
11 | outgrowths of the above and as may be
created by executive | ||||||
12 | order of the Governor. "State agency" includes the General
| ||||||
13 | Assembly, the Senate, the House of Representatives, the | ||||||
14 | President and Minority
Leader of the Senate, the Speaker and | ||||||
15 | Minority Leader of the House of
Representatives, the Senate | ||||||
16 | Operations Commission, and the legislative support
services | ||||||
17 | agencies. "State agency" includes the Office
of the Auditor | ||||||
18 | General. "State agency" does not include the judicial branch.
| ||||||
19 | "State employee" means any employee of a State agency.
| ||||||
20 | "Ultimate jurisdictional
authority" means the following:
| ||||||
21 | (1) For members, legislative partisan staff, and | ||||||
22 | legislative secretaries,
the appropriate
legislative | ||||||
23 | leader: President of the
Senate, Minority Leader of the | ||||||
24 | Senate, Speaker of the House of Representatives,
or | ||||||
25 | Minority Leader of the House of Representatives.
| ||||||
26 | (2) For State employees who are professional staff or |
| |||||||
| |||||||
1 | employees of the
Senate and not covered under item (1), the | ||||||
2 | Senate Operations Commission.
| ||||||
3 | (3) For State employees who are professional staff or | ||||||
4 | employees of the
House of Representatives and not covered | ||||||
5 | under item (1), the Speaker of the
House of | ||||||
6 | Representatives.
| ||||||
7 | (4) For State employees who are employees of the | ||||||
8 | legislative support
services agencies, the Joint Committee | ||||||
9 | on Legislative Support Services.
| ||||||
10 | (5) For State employees of the Auditor General, the | ||||||
11 | Auditor General.
| ||||||
12 | (6) For State employees of public institutions of | ||||||
13 | higher learning as
defined in Section 2 of the Higher | ||||||
14 | Education Cooperation Act, the board of
trustees of the | ||||||
15 | appropriate public institution of higher learning.
| ||||||
16 | (7) For State employees of an executive branch | ||||||
17 | constitutional officer
other than those described in | ||||||
18 | paragraph (6), the
appropriate executive branch | ||||||
19 | constitutional officer.
| ||||||
20 | (8) For State employees not under the jurisdiction of | ||||||
21 | paragraph (1), (2),
(3), (4), (5), (6), or (7), or (9), the | ||||||
22 | Governor.
| ||||||
23 | (9) For the Legislative Inspector General, State | ||||||
24 | employees of the Office of the Legislative Inspector | ||||||
25 | General, commissioners of the Legislative Ethics | ||||||
26 | Commission, and State employees of the Legislative Ethics |
| |||||||
| |||||||
1 | Commission, the Legislative Ethics Commission.
| ||||||
2 | (Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03; | ||||||
3 | 93-685, eff. 7-8-04.) | ||||||
4 | (5 ILCS 430/5-10)
| ||||||
5 | Sec. 5-10. Ethics training. Each officer, member, and | ||||||
6 | employee
must complete, at least
annually beginning in 2004, an | ||||||
7 | ethics training program conducted by the
appropriate
State | ||||||
8 | agency. Each ultimate jurisdictional authority
must implement | ||||||
9 | an ethics training program for its officers, members, and
| ||||||
10 | employees.
These ethics training programs shall be overseen by | ||||||
11 | the appropriate Ethics
Commission and Inspector
General | ||||||
12 | appointed pursuant to this Act in consultation with the Office | ||||||
13 | of the
Attorney
General.
| ||||||
14 | Each Executive Inspector General
and each ultimate | ||||||
15 | jurisdictional authority for the legislative branch shall set | ||||||
16 | standards and
determine the hours and frequency of training | ||||||
17 | necessary for each
position or category of positions. A person | ||||||
18 | who fills a vacancy in an
elective or appointed position that | ||||||
19 | requires training and a person
employed in a position that | ||||||
20 | requires training must complete his or her
initial ethics | ||||||
21 | training within 6 months after commencement of his or
her | ||||||
22 | office or employment.
| ||||||
23 | (Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03.) | ||||||
24 | (5 ILCS 430/5-20)
|
| |||||||
| |||||||
1 | Sec. 5-20. Public service announcements; other promotional | ||||||
2 | material.
| ||||||
3 | (a) No
Beginning January 1, 2004, no public service | ||||||
4 | announcement or
advertisement that identifies any specific | ||||||
5 | program administered by a State agency
is on behalf of
any | ||||||
6 | State administered program and contains the
proper name, image, | ||||||
7 | or voice of any executive branch constitutional officer
or | ||||||
8 | member of the General Assembly shall be broadcast or aired on | ||||||
9 | radio or
television or printed in a commercial newspaper or a | ||||||
10 | commercial magazine at any
time.
| ||||||
11 | (b) The proper name or image of any executive branch | ||||||
12 | constitutional officer
or member of the General Assembly may | ||||||
13 | not appear on any (i)
bumper stickers,
(ii) commercial | ||||||
14 | billboards, (iii) lapel pins or buttons, (iv) magnets, (v)
| ||||||
15 | stickers, and
(vi) other similar promotional items, that are | ||||||
16 | not in furtherance of the person's official State duties or | ||||||
17 | governmental and public service functions, if
designed,
paid | ||||||
18 | for, prepared, or distributed using public dollars. This | ||||||
19 | subsection does
not apply to stocks of items existing on the | ||||||
20 | effective date of this amendatory
Act of the 93rd General | ||||||
21 | Assembly.
| ||||||
22 | (c) This Section does not apply to
communications
funded | ||||||
23 | through expenditures required to be reported under Article 9 of | ||||||
24 | the
Election Code.
| ||||||
25 | (Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03; | ||||||
26 | 93-685, eff. 7-8-04.) |
| |||||||
| |||||||
1 | (5 ILCS 430/5-45)
| ||||||
2 | Sec. 5-45. Procurement; revolving door prohibition.
| ||||||
3 | (a) No current or former officer, member, or State | ||||||
4 | employee, or spouse or
immediate family member living with such | ||||||
5 | person, shall, during the period of State employment or within | ||||||
6 | a period of one
year immediately after termination of State | ||||||
7 | employment, knowingly accept
employment or receive | ||||||
8 | compensation or fees for services from a person or entity
if | ||||||
9 | the officer, member, or State employee, during the immediately | ||||||
10 | preceding 2 years of State employment with respect to a current | ||||||
11 | officer, member, or State employee, or during the year | ||||||
12 | immediately
preceding termination of State employment with | ||||||
13 | respect to a former officer, member, or State employee , | ||||||
14 | participated personally and
substantially in the decision to | ||||||
15 | award State contracts with a cumulative value
of over $25,000
| ||||||
16 | to the person or entity, or its parent or subsidiary.
| ||||||
17 | (b) No current or former officer of the executive branch or | ||||||
18 | State employee of the
executive branch with regulatory or
| ||||||
19 | licensing authority, or spouse or immediate family member | ||||||
20 | living with such
person, shall, during the period of State | ||||||
21 | employment or within a period of one year immediately after | ||||||
22 | termination of
State employment, knowingly accept employment | ||||||
23 | or receive compensation of fees
for services from a person or | ||||||
24 | entity if the officer
or State
employee, during the immediately | ||||||
25 | preceding 2 years of State employment with respect to a current |
| |||||||
| |||||||
1 | officer, member, or State employee, or during the year | ||||||
2 | immediately preceding
termination of State employment with | ||||||
3 | respect to a former officer, member, or State employee , made a | ||||||
4 | regulatory or licensing decision that
directly applied to the | ||||||
5 | person or entity, or its parent or subsidiary.
| ||||||
6 | (c) The requirements of this Section may be waived
(i) for | ||||||
7 | the executive
branch, in writing by
the Executive Ethics | ||||||
8 | Commission, (ii) for the
legislative branch, in writing by
the | ||||||
9 | Legislative Ethics Commission, and (iii) for the
Auditor | ||||||
10 | General, in writing by the Auditor General.
During the time | ||||||
11 | period from the effective date of this amendatory Act of the
| ||||||
12 | 93rd General Assembly until the Executive Ethics Commission | ||||||
13 | first meets, the
requirements of this Section may be waived in | ||||||
14 | writing by the appropriate
ultimate jurisdictional authority. | ||||||
15 | During the time period from the
effective date of this | ||||||
16 | amendatory Act of the 93rd General Assembly until the
| ||||||
17 | Legislative Ethics Commission first meets, the requirements of | ||||||
18 | this Section may
be waived in writing by the appropriate | ||||||
19 | ultimate jurisdictional authority.
The waiver shall be granted
| ||||||
20 | upon the person seeking the waiver proving by clear and | ||||||
21 | convincing evidence
a showing that the
prospective
employment | ||||||
22 | or relationship did not affect the decisions referred to in | ||||||
23 | sections
(a) and (b).
| ||||||
24 | (d) With respect to former officers, members, State | ||||||
25 | employees, spouses, and family members, this
This Section | ||||||
26 | applies only with respect to persons who terminate an affected |
| |||||||
| |||||||
1 | position
on or after December 19, 2003 ( the effective date of | ||||||
2 | Public
this amendatory Act 93-617)
of the 93rd General
| ||||||
3 | Assembly .
| ||||||
4 | (Source: P.A. 93-615, eff. 11-19-03; 93-617, eff. 12-9-03.) | ||||||
5 | (5 ILCS 430/20-5)
| ||||||
6 | Sec. 20-5. Executive Ethics Commission.
| ||||||
7 | (a) The Executive Ethics Commission is created.
| ||||||
8 | (b) The Executive Ethics Commission shall consist of 9
| ||||||
9 | commissioners.
The Governor shall appoint 5 commissioners, and | ||||||
10 | the Attorney General, Secretary
of State, Comptroller, and | ||||||
11 | Treasurer shall each appoint one commissioner.
Appointments | ||||||
12 | shall be made by and with the advice and consent of the
Senate | ||||||
13 | by three-fifths of the elected members concurring by record | ||||||
14 | vote.
Any nomination not acted upon by the Senate within 60 | ||||||
15 | session days of the
receipt thereof shall be deemed to have | ||||||
16 | received the advice and consent of
the Senate. If, during a | ||||||
17 | recess of the Senate, there is a vacancy in an office
of | ||||||
18 | commissioner, the appointing authority shall make a temporary
| ||||||
19 | appointment until the next meeting of the Senate when the | ||||||
20 | appointing
authority shall make a nomination to fill that | ||||||
21 | office. No person rejected for
an office of commissioner shall, | ||||||
22 | except by the Senate's request, be
nominated again for that | ||||||
23 | office at the same session of the Senate or be
appointed to | ||||||
24 | that office during a recess of that Senate.
No more than 5
| ||||||
25 | commissioners may be of the same
political party.
|
| |||||||
| |||||||
1 | The terms of the initial commissioners shall commence upon | ||||||
2 | qualification.
Four initial appointees of the Governor, as | ||||||
3 | designated by the Governor, shall
serve terms running through | ||||||
4 | June 30, 2007. One initial appointee of the
Governor, as | ||||||
5 | designated by the Governor, and the initial appointees of the
| ||||||
6 | Attorney General, Secretary of State, Comptroller, and | ||||||
7 | Treasurer shall serve
terms running through June 30, 2008.
The | ||||||
8 | initial appointments shall be made within 60 days
after the | ||||||
9 | effective date of this Act.
| ||||||
10 | After the initial terms, commissioners shall serve for | ||||||
11 | 4-year terms
commencing on July 1 of the year of appointment | ||||||
12 | and running
through June 30 of the fourth following year. | ||||||
13 | Commissioners may be
reappointed to one or more subsequent | ||||||
14 | terms.
| ||||||
15 | Vacancies occurring other than at the end of a term shall | ||||||
16 | be filled
by the appointing authority only for the balance of | ||||||
17 | the
term of the commissioner whose office is vacant.
| ||||||
18 | Terms shall run regardless of whether the position is | ||||||
19 | filled.
| ||||||
20 | (c) The appointing authorities shall appoint commissioners | ||||||
21 | who
have experience holding governmental office or employment | ||||||
22 | and shall
appoint commissioners from the general public.
A | ||||||
23 | person is not eligible to
serve as a commissioner if that | ||||||
24 | person (i) has been convicted of a
felony or a crime of | ||||||
25 | dishonesty or moral turpitude, (ii) is, or was
within the | ||||||
26 | preceding 12 months, engaged in activities that
require |
| |||||||
| |||||||
1 | registration under the Lobbyist Registration Act, (iii) is | ||||||
2 | related
to the appointing authority, or (iv) is a State officer | ||||||
3 | or employee.
| ||||||
4 | (d) The Executive Ethics Commission shall have
| ||||||
5 | jurisdiction over all officers and employees of State agencies | ||||||
6 | other
than the General Assembly, the Senate, the House of | ||||||
7 | Representatives,
the President and Minority Leader of the | ||||||
8 | Senate, the Speaker and
Minority Leader of the House of | ||||||
9 | Representatives, the Senate
Operations Commission, the | ||||||
10 | legislative support services agencies, the Legislative Ethics | ||||||
11 | Commission, the Office of the Legislative Inspector General,
| ||||||
12 | and
the Office of the Auditor General.
The jurisdiction of the
| ||||||
13 | Commission is limited to matters arising under this Act.
| ||||||
14 | (e) The Executive Ethics Commission must meet, either
in | ||||||
15 | person or by other technological means, at least monthly and as
| ||||||
16 | often as necessary. At the first meeting of the Executive
| ||||||
17 | Ethics Commission, the commissioners shall choose from their
| ||||||
18 | number a chairperson and other officers that they deem | ||||||
19 | appropriate.
The terms of officers shall be for 2 years | ||||||
20 | commencing July 1 and
running through June 30 of the second | ||||||
21 | following year. Meetings shall be held at
the call
of the | ||||||
22 | chairperson or any 3 commissioners. Official action by the
| ||||||
23 | Commission shall require the affirmative vote of 5 | ||||||
24 | commissioners, and
a quorum shall consist of 5 commissioners. | ||||||
25 | Commissioners shall receive
compensation in an amount equal to | ||||||
26 | the compensation of members of the State
Board of Elections and |
| |||||||
| |||||||
1 | may be
reimbursed for their reasonable expenses actually | ||||||
2 | incurred in the
performance of their duties.
| ||||||
3 | (f) No commissioner or employee of the Executive
Ethics | ||||||
4 | Commission may during his or her term of appointment or | ||||||
5 | employment:
| ||||||
6 | (1) become a candidate for any elective office;
| ||||||
7 | (2) hold any other elected or appointed public office | ||||||
8 | except for
appointments on governmental advisory boards or | ||||||
9 | study commissions or as
otherwise expressly authorized by | ||||||
10 | law;
| ||||||
11 | (3) be actively involved in the affairs of any | ||||||
12 | political party or
political
organization; or
| ||||||
13 | (4) actively participate in any campaign for any | ||||||
14 | elective office.
| ||||||
15 | (g) An appointing authority may remove a commissioner only | ||||||
16 | for cause.
| ||||||
17 | (h) The Executive Ethics Commission shall appoint an | ||||||
18 | Executive Director. The
compensation of the Executive Director | ||||||
19 | shall be as determined by the Commission
or by the Compensation | ||||||
20 | Review Board, whichever amount is higher. The Executive
| ||||||
21 | Director of the Executive Ethics Commission may employ and | ||||||
22 | determine the
compensation of staff, as appropriations permit.
| ||||||
23 | (Source: P.A. 93-617, eff. 12-9-03.) | ||||||
24 | (5 ILCS 430/20-23)
| ||||||
25 | Sec. 20-23. Ethics Officers.
Each officer and the head of |
| |||||||
| |||||||
1 | each State agency
under the jurisdiction of the
Executive | ||||||
2 | Ethics Commission , including without limitation the Executive | ||||||
3 | Ethics Commission and each Executive Inspector General, shall | ||||||
4 | designate an Ethics
Officer for the office or State agency.
| ||||||
5 | Ethics Officers shall:
| ||||||
6 | (1) act as liaisons between the State agency and the | ||||||
7 | appropriate Executive
Inspector General and between the | ||||||
8 | State agency and the Executive Ethics
Commission;
| ||||||
9 | (2) review statements of economic interest and | ||||||
10 | disclosure forms of
officers, senior employees, and | ||||||
11 | contract monitors before they are filed with
the Secretary | ||||||
12 | of State; and
| ||||||
13 | (3) provide guidance to officers and employees in the | ||||||
14 | interpretation and
implementation of this Act, which the | ||||||
15 | officer or employee may in good faith
rely upon. Such | ||||||
16 | guidance shall be based, wherever possible,
upon legal | ||||||
17 | precedent in court decisions, opinions of the Attorney | ||||||
18 | General, and
the findings and opinions of the Executive | ||||||
19 | Ethics Commission.
| ||||||
20 | (Source: P.A. 93-617, eff. 12-9-03.)
| ||||||
21 | (5 ILCS 430/20-40)
| ||||||
22 | Sec. 20-40. Collective bargaining agreements.
Any | ||||||
23 | investigation or inquiry by an Executive Inspector General or | ||||||
24 | any agent
or
representative of an Executive Inspector General | ||||||
25 | must be conducted
with awareness of the
provisions of a |
| |||||||
| |||||||
1 | collective bargaining agreement that applies to the
employees | ||||||
2 | of the relevant State agency and with an awareness of the | ||||||
3 | rights of
the
employees as set forth by State and federal law | ||||||
4 | and applicable judicial
decisions. In implementing any
Any
| ||||||
5 | recommendation for discipline or in taking any action taken
| ||||||
6 | against any
State employee pursuant to this Act , the ultimate | ||||||
7 | jurisdictional authority
must comply with the provisions of the | ||||||
8 | collective bargaining
agreement that applies to the State | ||||||
9 | employee.
| ||||||
10 | (Source: P.A. 93-617, eff. 12-9-03.) | ||||||
11 | (5 ILCS 430/20-50)
| ||||||
12 | Sec. 20-50. Investigation reports; complaint procedure.
| ||||||
13 | (a) If an Executive Inspector General, upon the conclusion | ||||||
14 | of an
investigation, determines that reasonable cause exists to | ||||||
15 | believe that a
violation
has occurred, then
the Executive | ||||||
16 | Inspector General shall issue a summary report of the
| ||||||
17 | investigation. The report shall be delivered to the
appropriate | ||||||
18 | ultimate jurisdictional
authority and to the head of each State
| ||||||
19 | agency
affected by or involved in the investigation, if | ||||||
20 | appropriate. In the event that the head of the State agency or | ||||||
21 | the ultimate jurisdictional authority agrees with the | ||||||
22 | Executive Inspector General, on the basis of the investigation, | ||||||
23 | to impose discipline on a State employee, then within 30 days | ||||||
24 | after that agreement the Executive Inspector General shall | ||||||
25 | deliver to the Executive Ethics Commission the summary report |
| |||||||
| |||||||
1 | of the investigation, provided that all confidential | ||||||
2 | information has been redacted. Discipline means discharge, | ||||||
3 | suspension, demotion, change in duties or job description, or | ||||||
4 | denial of promotion or transfer. A redacted report must not | ||||||
5 | contain the names of, or other identifying information about, | ||||||
6 | the employing State agency and any person. A redacted report | ||||||
7 | may contain only factual information, the provision, if any, of | ||||||
8 | Article 5, 10, or 15 or Section 20-70 or 20-90 of this Act | ||||||
9 | allegedly violated, the history or background of the alleged | ||||||
10 | violation, and the discipline recommended, if any. Within 5 | ||||||
11 | days, the Commission shall provide the State employee subject | ||||||
12 | to the agreed discipline with the redacted report and allow the | ||||||
13 | State employee 30 days in which to provide in writing any | ||||||
14 | reason why the redacted report should not be released to the | ||||||
15 | public. Within the same period, the Executive Inspector General | ||||||
16 | who issued the report may also provide in writing a | ||||||
17 | recommendation to the Commission about whether or not the | ||||||
18 | redacted report should be released to the public. Within 21 | ||||||
19 | days after the expiration of the 30-day period for response by | ||||||
20 | the State employee and Executive Inspector General, the | ||||||
21 | Commission shall either: (1) make a written finding that | ||||||
22 | release of the redacted report is fair and in the public | ||||||
23 | interest and release the report; or (2) make a written finding | ||||||
24 | that release of the report is not fair, or not in the public | ||||||
25 | interest, and return the redacted report to the Executive | ||||||
26 | Inspector General. The Commission may also require further |
| |||||||
| |||||||
1 | redactions prior to the release of the report or may delay its | ||||||
2 | finding pending the conclusion of related judicial or | ||||||
3 | administrative proceedings.
| ||||||
4 | (b) The summary report of the investigation shall include | ||||||
5 | the following:
| ||||||
6 | (1) A description of any allegations or other | ||||||
7 | information
received by the Executive Inspector General | ||||||
8 | pertinent to the
investigation.
| ||||||
9 | (2) A description of any alleged misconduct discovered | ||||||
10 | in the
course of the investigation.
| ||||||
11 | (3) Recommendations for any corrective or disciplinary
| ||||||
12 | action to be taken in response to any alleged misconduct | ||||||
13 | described in the
report, including but not limited to | ||||||
14 | discharge.
| ||||||
15 | (4) Other information the Executive Inspector General
| ||||||
16 | deems relevant to the investigation or resulting | ||||||
17 | recommendations.
| ||||||
18 | (c) Not less than 30 days after delivery of the summary | ||||||
19 | report of
an
investigation under subsection (a),
if the | ||||||
20 | Executive Inspector General desires to file a petition for | ||||||
21 | leave to file
a
complaint, the Executive Inspector General | ||||||
22 | shall notify the Commission and the
Attorney General.
If the | ||||||
23 | Attorney General determines
that reasonable cause exists to | ||||||
24 | believe that a violation has occurred, then the
Executive | ||||||
25 | Inspector
General, represented by the Attorney
General, may | ||||||
26 | file with the Executive Ethics Commission a petition for
leave |
| |||||||
| |||||||
1 | to file a complaint.
The petition shall set
forth the alleged | ||||||
2 | violation and the
grounds that exist to support the petition. | ||||||
3 | The petition for leave to
file a complaint must be filed with | ||||||
4 | the Commission within 18 months
after the most recent act of | ||||||
5 | the
alleged violation or of a series of alleged violations
| ||||||
6 | except where there is reasonable cause to believe
that | ||||||
7 | fraudulent concealment has occurred. To constitute fraudulent | ||||||
8 | concealment
sufficient to toll this limitations period, there | ||||||
9 | must be an affirmative act or
representation calculated to | ||||||
10 | prevent discovery of the fact that a violation has
occurred.
If | ||||||
11 | a petition for leave to file a complaint is not filed with the | ||||||
12 | Commission
within 6 months after notice by the Inspector | ||||||
13 | General to the Commission and the
Attorney General, then the | ||||||
14 | Commission may set a meeting of the Commission at
which the | ||||||
15 | Attorney General shall appear and provide a status
report to | ||||||
16 | the Commission.
| ||||||
17 | (d) A copy of the petition must be served on all | ||||||
18 | respondents named in the
complaint and on each respondent's | ||||||
19 | ultimate jurisdictional authority in
the same manner as process | ||||||
20 | is served under the Code of Civil
Procedure.
| ||||||
21 | (e) A respondent may file objections to the petition for | ||||||
22 | leave to
file a complaint within 30 days after notice of the | ||||||
23 | petition has been
served on the respondent.
| ||||||
24 | (f) The Commission shall meet, either in person or by | ||||||
25 | telephone,
in a closed session to review the sufficiency of the | ||||||
26 | complaint.
If the Commission finds that complaint is |
| |||||||
| |||||||
1 | sufficient, the Commission shall
grant the petition for leave | ||||||
2 | to file the
complaint.
The Commission shall
issue notice to the | ||||||
3 | Executive Inspector General and all respondents of
the | ||||||
4 | Commission's ruling on the sufficiency of the complaint. If the | ||||||
5 | complaint
is deemed to
sufficiently allege a violation of this | ||||||
6 | Act, then the Commission shall notify
the parties and shall
| ||||||
7 | include a hearing date scheduled within 4 weeks after the date | ||||||
8 | of the notice,
unless all of the parties consent to a later | ||||||
9 | date.
If the complaint is deemed not to sufficiently allege a
| ||||||
10 | violation, then
the Commission shall send by certified mail, | ||||||
11 | return receipt requested,
a notice to the parties of the | ||||||
12 | decision to dismiss the complaint.
| ||||||
13 | (g) On the scheduled date
the Commission shall conduct a | ||||||
14 | closed meeting,
either in person or, if the parties consent, by | ||||||
15 | telephone, on the complaint and
allow all
parties the | ||||||
16 | opportunity to present testimony and evidence.
All such | ||||||
17 | proceedings shall be transcribed.
| ||||||
18 | (h) Within an appropriate time limit set by rules of the | ||||||
19 | Executive
Ethics Commission, the Commission shall (i) dismiss | ||||||
20 | the
complaint or (ii) issue a recommendation of discipline to | ||||||
21 | the
respondent and the respondent's ultimate jurisdictional | ||||||
22 | authority or
impose an administrative fine upon the respondent, | ||||||
23 | or both.
| ||||||
24 | (i) The proceedings on any complaint filed with the | ||||||
25 | Commission
shall be conducted pursuant to rules promulgated by | ||||||
26 | the Commission.
|
| |||||||
| |||||||
1 | (j) The Commission may designate hearing officers
to | ||||||
2 | conduct proceedings as determined by rule of the Commission.
| ||||||
3 | (k) In all proceedings before the Commission, the standard | ||||||
4 | of
proof is by a preponderance of the evidence.
| ||||||
5 | (l) When the Inspector General concludes that there is | ||||||
6 | insufficient
evidence that a violation has occurred, the | ||||||
7 | Inspector General shall close the
investigation. At the request | ||||||
8 | of the subject of the investigation, the
Inspector
General | ||||||
9 | shall provide a written statement to the subject of the | ||||||
10 | investigation
and to the Commission of
the Inspector General's | ||||||
11 | decision to close the investigation. Closure by the
Inspector | ||||||
12 | General does not bar the Inspector General from resuming the
| ||||||
13 | investigation if circumstances warrant.
| ||||||
14 | (Source: P.A. 93-617, eff. 12-9-03.) | ||||||
15 | (5 ILCS 430/25-5)
| ||||||
16 | Sec. 25-5. Legislative Ethics Commission.
| ||||||
17 | (a) The Legislative Ethics Commission is created.
| ||||||
18 | (b) The Legislative Ethics Commission shall consist of 8
| ||||||
19 | commissioners appointed 2 each by the
President and Minority | ||||||
20 | Leader of the Senate and the Speaker and Minority Leader
of the | ||||||
21 | House of Representatives.
| ||||||
22 | The terms of the initial commissioners shall commence upon | ||||||
23 | qualification.
Each appointing authority shall designate one | ||||||
24 | appointee who
shall serve for a 2-year term running through
| ||||||
25 | June 30, 2005.
Each appointing authority shall designate one |
| |||||||
| |||||||
1 | appointee who
shall serve for a
4-year term running through | ||||||
2 | June 30, 2007.
The initial appointments shall be made within 60 | ||||||
3 | days
after the effective date of this Act.
| ||||||
4 | After the initial terms, commissioners shall serve for | ||||||
5 | 4-year terms
commencing on July 1 of the year of appointment | ||||||
6 | and running
through June 30 of the fourth following year. | ||||||
7 | Commissioners may be
reappointed to one or more subsequent | ||||||
8 | terms.
| ||||||
9 | Vacancies occurring other than at the end of a term shall | ||||||
10 | be filled
by the appointing authority only for the balance of | ||||||
11 | the
term of the commissioner whose office is vacant.
| ||||||
12 | Terms shall run regardless of whether the position is | ||||||
13 | filled.
| ||||||
14 | (c) The appointing authorities shall appoint commissioners | ||||||
15 | who
have experience holding governmental office or employment | ||||||
16 | and may
appoint commissioners who are members of the General | ||||||
17 | Assembly as well as
commissioners from the general public.
A | ||||||
18 | commissioner who is a member of the General Assembly must | ||||||
19 | recuse himself or
herself from participating in any matter | ||||||
20 | relating to any investigation or
proceeding in which he or she | ||||||
21 | is the subject.
A person is not eligible to
serve as a | ||||||
22 | commissioner if that person (i) has been convicted of a
felony | ||||||
23 | or a crime of dishonesty or moral turpitude, (ii) is, or was
| ||||||
24 | within the preceding 12 months, engaged in activities that
| ||||||
25 | require registration under the Lobbyist Registration Act, | ||||||
26 | (iii) is a
relative of the appointing authority, or (iv) is a |
| |||||||
| |||||||
1 | State officer or employee
other than a member of the General | ||||||
2 | Assembly.
| ||||||
3 | (d) The Legislative Ethics Commission shall have
| ||||||
4 | jurisdiction over members of the General Assembly and
all State
| ||||||
5 | employees whose ultimate jurisdictional authority is
(i) a | ||||||
6 | legislative leader, (ii) the Senate Operations Commission, or
| ||||||
7 | (iii) the
Joint Committee on Legislative Support Services , or | ||||||
8 | (iv) the Legislative Ethics Commission .
The jurisdiction of the
| ||||||
9 | Commission is limited to matters arising under this Act.
| ||||||
10 | (e) The Legislative Ethics Commission must meet, either
in | ||||||
11 | person or by other technological means, monthly or as
often as | ||||||
12 | necessary. At the first meeting of the Legislative
Ethics | ||||||
13 | Commission, the commissioners shall choose from their
number a | ||||||
14 | chairperson and other officers that they deem appropriate.
The | ||||||
15 | terms of officers shall be for 2 years commencing July 1 and
| ||||||
16 | running through June 30 of the second following year. Meetings | ||||||
17 | shall be held at
the call
of the chairperson or any 3 | ||||||
18 | commissioners. Official action by the
Commission shall require | ||||||
19 | the affirmative vote of 5 commissioners, and
a quorum shall | ||||||
20 | consist of 5 commissioners. Commissioners shall receive
no | ||||||
21 | compensation but
may be
reimbursed for their reasonable | ||||||
22 | expenses actually incurred in the
performance of their duties.
| ||||||
23 | (f) No commissioner, other than a commissioner who is a | ||||||
24 | member of the
General
Assembly, or employee of the Legislative
| ||||||
25 | Ethics Commission may during his or her term of appointment or | ||||||
26 | employment:
|
| |||||||
| |||||||
1 | (1) become a candidate for any elective office;
| ||||||
2 | (2) hold any other elected or appointed public office
| ||||||
3 | except for appointments on governmental advisory boards
or | ||||||
4 | study commissions or as otherwise expressly authorized by | ||||||
5 | law;
| ||||||
6 | (3) be actively involved in the affairs of any | ||||||
7 | political party or political
organization; or
| ||||||
8 | (4) actively participate in any campaign for any
| ||||||
9 | elective office.
| ||||||
10 | (g) An appointing authority may remove a
commissioner only | ||||||
11 | for cause.
| ||||||
12 | (h) The Legislative Ethics Commission shall appoint an
| ||||||
13 | Executive Director subject to the approval of at least 3 of the | ||||||
14 | 4 legislative leaders. The compensation of the Executive | ||||||
15 | Director shall
be as determined by the Commission or by the | ||||||
16 | Compensation Review
Board, whichever amount is higher. The | ||||||
17 | Executive Director of the Legislative
Ethics Commission may | ||||||
18 | employ, subject to the approval of at least 3 of the 4 | ||||||
19 | legislative leaders, and determine the
compensation of staff, | ||||||
20 | as appropriations permit.
| ||||||
21 | (Source: P.A. 93-617, eff. 12-9-03; 93-685, eff. 7-8-04.) | ||||||
22 | (5 ILCS 430/25-10)
| ||||||
23 | Sec. 25-10. Office of Legislative Inspector General.
| ||||||
24 | (a) The independent Office of the Legislative Inspector | ||||||
25 | General is created.
The Office shall be under the direction and |
| |||||||
| |||||||
1 | supervision of the
Legislative Inspector General and shall be a | ||||||
2 | fully independent office with its
own appropriation.
| ||||||
3 | (b) The Legislative Inspector General shall be appointed | ||||||
4 | without regard to
political
affiliation and solely on the basis | ||||||
5 | of integrity and
demonstrated ability.
The Legislative Ethics
| ||||||
6 | Commission shall diligently search out qualified candidates | ||||||
7 | for Legislative
Inspector General
and shall make | ||||||
8 | recommendations to the General Assembly.
| ||||||
9 | The Legislative Inspector General shall be appointed by a | ||||||
10 | joint resolution of
the
Senate and the House of | ||||||
11 | Representatives, which may specify the date on
which the | ||||||
12 | appointment takes effect.
A joint resolution, or other document | ||||||
13 | as may be specified by the
Joint Rules of the General Assembly, | ||||||
14 | appointing the Legislative Inspector
General must be certified | ||||||
15 | by
the Speaker
of the House of Representatives and the | ||||||
16 | President of the Senate as having been
adopted by the
| ||||||
17 | affirmative vote of three-fifths of the members elected to each | ||||||
18 | house,
respectively,
and be filed with the Secretary of State.
| ||||||
19 | The appointment of the Legislative Inspector General takes | ||||||
20 | effect on the day
the
appointment is completed by the General | ||||||
21 | Assembly, unless the appointment
specifies a later date on | ||||||
22 | which it is to become effective.
| ||||||
23 | The Legislative Inspector General shall have the following | ||||||
24 | qualifications:
| ||||||
25 | (1) has not been convicted of any felony under the laws | ||||||
26 | of this State,
another state, or the United States;
|
| |||||||
| |||||||
1 | (2) has earned a baccalaureate degree from an | ||||||
2 | institution of higher
education; and
| ||||||
3 | (3) has 5 or more years of cumulative service (A) with | ||||||
4 | a federal,
State, or
local law enforcement agency, at least | ||||||
5 | 2 years of which have been in a
progressive investigatory | ||||||
6 | capacity; (B)
as a
federal, State, or local prosecutor; (C)
| ||||||
7 | as a
senior manager or executive of a federal, State, or | ||||||
8 | local
agency; (D) as a member, an officer,
or a State
or | ||||||
9 | federal judge; or (E) representing any combination of (A) | ||||||
10 | through (D).
| ||||||
11 | The Legislative Inspector General may not be a relative of | ||||||
12 | a commissioner.
| ||||||
13 | The term of the initial Legislative Inspector General shall
| ||||||
14 | commence upon qualification and shall run through June 30, | ||||||
15 | 2008.
| ||||||
16 | After the initial term, the Legislative Inspector General | ||||||
17 | shall serve
for 5-year terms commencing on July 1 of the year | ||||||
18 | of appointment
and running through June 30 of the fifth | ||||||
19 | following year. The
Legislative Inspector General may be | ||||||
20 | reappointed to one or more
subsequent terms.
| ||||||
21 | A vacancy occurring other than at the end of a term shall | ||||||
22 | be filled in the
same manner as an appointment only for the | ||||||
23 | balance of the term of the
Legislative
Inspector General whose | ||||||
24 | office is vacant.
| ||||||
25 | Terms shall run regardless of whether the position is | ||||||
26 | filled.
|
| |||||||
| |||||||
1 | (c) The Legislative Inspector General
shall have | ||||||
2 | jurisdiction over the members of the General Assembly and
all | ||||||
3 | State employees whose ultimate jurisdictional authority is
(i) | ||||||
4 | a legislative leader, (ii) the Senate Operations Commission, or
| ||||||
5 | (iii) the
Joint Committee on Legislative Support Services , or | ||||||
6 | (iv) the Legislative Ethics Commission .
| ||||||
7 | The jurisdiction of each Legislative Inspector General is | ||||||
8 | to investigate
allegations of fraud, waste, abuse, | ||||||
9 | mismanagement, misconduct, nonfeasance,
misfeasance,
| ||||||
10 | malfeasance, or violations of this Act or violations of other | ||||||
11 | related
laws and rules.
| ||||||
12 | (d) The compensation of the Legislative Inspector General | ||||||
13 | shall
be the greater of an amount (i) determined by the | ||||||
14 | Commission or (ii) by joint
resolution of the General Assembly | ||||||
15 | passed by a majority of members elected in
each chamber.
| ||||||
16 | Subject to Section 25-45 of this Act, the Legislative Inspector | ||||||
17 | General has
full
authority to organize the Office of the | ||||||
18 | Legislative Inspector General,
including the employment and | ||||||
19 | determination of the compensation of
staff, such as deputies, | ||||||
20 | assistants, and other employees, as
appropriations permit. | ||||||
21 | Employment of staff is subject to the approval of at least 3 of | ||||||
22 | the 4 legislative leaders.
| ||||||
23 | (e) No Legislative Inspector General or employee of the | ||||||
24 | Office of
the Legislative Inspector General may, during his or | ||||||
25 | her term of appointment or
employment:
| ||||||
26 | (1) become a candidate for any elective office;
|
| |||||||
| |||||||
1 | (2) hold any other elected or appointed public office
| ||||||
2 | except for appointments on governmental advisory boards
or | ||||||
3 | study commissions or as otherwise expressly authorized by | ||||||
4 | law;
| ||||||
5 | (3) be actively involved in the affairs of any | ||||||
6 | political party or
political organization; or
| ||||||
7 | (4) actively participate in any campaign for any
| ||||||
8 | elective office.
| ||||||
9 | In this subsection an appointed public office means a | ||||||
10 | position authorized by
law that is filled by an appointing | ||||||
11 | authority as provided by law and does not
include employment by | ||||||
12 | hiring in the ordinary course of business.
| ||||||
13 | (e-1) No Legislative Inspector General or employee of the | ||||||
14 | Office of the
Legislative Inspector General may, for one year | ||||||
15 | after the termination of his or
her appointment or employment:
| ||||||
16 | (1) become a candidate for any elective office;
| ||||||
17 | (2) hold any elected public office; or
| ||||||
18 | (3) hold any appointed State, county, or local judicial | ||||||
19 | office.
| ||||||
20 | (e-2) The requirements of item (3) of subsection (e-1) may | ||||||
21 | be waived by the
Legislative Ethics Commission.
| ||||||
22 | (f) The Commission may remove the Legislative Inspector | ||||||
23 | General only for
cause. At the time of the removal, the | ||||||
24 | Commission must report to the General
Assembly the | ||||||
25 | justification for the removal.
| ||||||
26 | (Source: P.A. 93-617, eff. 12-9-03; 93-685, eff. 7-8-04.) |
| |||||||
| |||||||
1 | (5 ILCS 430/25-23)
| ||||||
2 | Sec. 25-23. Ethics Officers.
The President and Minority | ||||||
3 | Leader of the Senate
and
the Speaker and Minority Leader of the | ||||||
4 | House of Representatives shall each
appoint an ethics officer | ||||||
5 | for the members and employees of his or her
legislative
caucus.
| ||||||
6 | The commissioners of the Legislative Ethics Commission shall | ||||||
7 | designate an ethics officer for the Legislative Ethics | ||||||
8 | Commission. The Legislative Inspector General shall designate | ||||||
9 | an ethics officer for the Office of the Legislative Inspector | ||||||
10 | General. No later than January 1, 2004, the head of each other
| ||||||
11 | State agency under the
jurisdiction of the
Legislative Ethics | ||||||
12 | Commission, other than the General Assembly, shall
designate an | ||||||
13 | ethics
officer for the State agency.
Ethics Officers shall:
| ||||||
14 | (1) act as liaisons between the State agency and the | ||||||
15 | Legislative
Inspector
General and between the State agency | ||||||
16 | and the Legislative Ethics
Commission;
| ||||||
17 | (2) review statements of economic interest and | ||||||
18 | disclosure forms of
officers, senior employees, and | ||||||
19 | contract
monitors
before they are filed with the
Secretary | ||||||
20 | of State; and
| ||||||
21 | (3) provide guidance to officers and employees
in the | ||||||
22 | interpretation and implementation of this Act, which the | ||||||
23 | officer or
employee may in good faith rely upon. Such | ||||||
24 | guidance
shall be based, wherever possible, upon legal | ||||||
25 | precedent in court decisions,
opinions of the Attorney |
| |||||||
| |||||||
1 | General, and the findings and opinions of the
Legislative | ||||||
2 | Ethics Commission.
| ||||||
3 | (Source: P.A. 93-617, eff. 12-9-03.) | ||||||
4 | Section 5. The Election Code is amended by changing | ||||||
5 | Sections 9-15 and 9-28 as follows:
| ||||||
6 | (10 ILCS 5/9-15) (from Ch. 46, par. 9-15)
| ||||||
7 | Sec. 9-15. It shall be the duty of the Board-
| ||||||
8 | (1) to develop prescribed forms for notice to political | ||||||
9 | committees of
their obligations under this Article and for | ||||||
10 | identification of persons
examining statements or reports | ||||||
11 | filed under this Article, and to supply
such forms, and the | ||||||
12 | forms for filing statements of organization, reports of
| ||||||
13 | campaign contributions, and annual reports of campaign | ||||||
14 | contributions and
expenditures to the appropriate persons and | ||||||
15 | election authorities;
| ||||||
16 | (2) to prepare, publish, and furnish to the appropriate | ||||||
17 | persons and
election authorities a manual of instructions | ||||||
18 | setting forth recommended
uniform methods of bookkeeping and | ||||||
19 | reporting under this Article;
| ||||||
20 | (3) to prescribe suitable rules and regulations to carry | ||||||
21 | out the
provisions of this Article. Such rules and regulations | ||||||
22 | shall be published
and made available to the public at | ||||||
23 | reasonable cost. The Board may
determine which of its | ||||||
24 | prescribed rules and regulations shall be binding on
the county |
| |||||||
| |||||||
1 | clerks in carrying out their duties under this Article;
| ||||||
2 | (4) to send by first class mail, after the general primary | ||||||
3 | election in
even numbered years, to the chairman of each | ||||||
4 | regularly constituted
State central committee, county central | ||||||
5 | committee and, in counties with a
population of more than | ||||||
6 | 3,000,000, to the committeemen of each township and
ward | ||||||
7 | organization of each political party notice of their | ||||||
8 | obligations under
this Article, along with a form for filing | ||||||
9 | the statement of organization ;
.
| ||||||
10 | (5) to accept any disclosure of political contributions | ||||||
11 | report filed with the Board, pursuant to Section 50-37 of the | ||||||
12 | Illinois Procurement Code, and to provide a notification of | ||||||
13 | receipt of such report to each responsive bidder or offeror | ||||||
14 | filing a report; and
| ||||||
15 | (6) to submit to the appropriate chief procurement officer | ||||||
16 | the disclosure of political contributions report for any | ||||||
17 | successful bidder or offeror after receiving notification of an | ||||||
18 | award by the chief procurement officer.
| ||||||
19 | (Source: P.A. 86-873.)
| ||||||
20 | (10 ILCS 5/9-28)
| ||||||
21 | Sec. 9-28. Electronic filing and availability. The Board | ||||||
22 | shall
by rule
provide for the electronic filing of expenditure | ||||||
23 | and contribution
reports as follows:
| ||||||
24 | Beginning July 1, 1999, or as soon thereafter as the Board | ||||||
25 | has provided
adequate software to the political committee, |
| |||||||
| |||||||
1 | electronic filing is required for
all
political
committees that | ||||||
2 | during the
reporting period (i) had at any time a balance or an | ||||||
3 | accumulation of
contributions
of $25,000 or more, (ii) made | ||||||
4 | aggregate expenditures of $25,000 or more, or
(iii) received | ||||||
5 | loans of an aggregate of $25,000 or more.
| ||||||
6 | Beginning July 1, 2003, electronic filing is required for | ||||||
7 | all political
committees that during the reporting period (i)
| ||||||
8 | had at any time a balance or
an accumulation of contributions | ||||||
9 | of $10,000 or more, (ii) made aggregate
expenditures of $10,000 | ||||||
10 | or more, or (iii) received loans of an aggregate of
$10,000
or | ||||||
11 | more.
| ||||||
12 | The Board may provide by rule for the optional
electronic | ||||||
13 | filing of
expenditure and contribution reports for all other | ||||||
14 | political committees.
The Board shall promptly
make all reports | ||||||
15 | filed under this Article by
all political committees and all | ||||||
16 | disclosure of political contribution reports submitted under | ||||||
17 | item (6) of Section 9-15 publicly
available by means of a | ||||||
18 | searchable database that is accessible through
the World Wide | ||||||
19 | Web.
| ||||||
20 | The Board shall provide all software necessary to comply | ||||||
21 | with this
Section to candidates, public officials, political | ||||||
22 | committees, and election
authorities.
| ||||||
23 | The Board shall implement a plan to provide computer access | ||||||
24 | and assistance
to candidates, public officials, political | ||||||
25 | committees, and election authorities
with respect to | ||||||
26 | electronic filings required under this Article.
|
| |||||||
| |||||||
1 | For the purposes of this Section, "political committees" | ||||||
2 | includes entities
required to report to the Board under Section | ||||||
3 | 9-7.5.
| ||||||
4 | (Source: P.A. 90-495, eff. 8-18-97; 90-737, eff. 1-1-99.)
| ||||||
5 | Section 10. The Lobbyist Registration Act is amended by | ||||||
6 | changing Section 2 as follows:
| ||||||
7 | (25 ILCS 170/2) (from Ch. 63, par. 172)
| ||||||
8 | Sec. 2. Definitions. As used in this Act, unless the | ||||||
9 | context otherwise
requires:
| ||||||
10 | (a) "Person" means any individual, firm, partnership, | ||||||
11 | committee,
association, corporation, or any other organization | ||||||
12 | or group of persons.
| ||||||
13 | (b) "Expenditure" means a payment, distribution, loan, | ||||||
14 | advance, deposit,
or gift of money or anything of value, and | ||||||
15 | includes a contract, promise, or
agreement, whether or not | ||||||
16 | legally enforceable, to make an expenditure, for
the ultimate | ||||||
17 | purpose of influencing executive, legislative, or | ||||||
18 | administrative
action, other than compensation as defined in | ||||||
19 | subsection (d).
| ||||||
20 | (c) "Official" means:
| ||||||
21 | (1) the Governor, Lieutenant Governor, Secretary of | ||||||
22 | State, Attorney
General, State Treasurer, and State | ||||||
23 | Comptroller;
| ||||||
24 | (2) Chiefs of Staff for officials described in item |
| |||||||
| |||||||
1 | (1);
| ||||||
2 | (3) Cabinet members of any elected constitutional | ||||||
3 | officer, including
Directors, Assistant Directors and | ||||||
4 | Chief Legal Counsel or General Counsel;
| ||||||
5 | (4) Members of the General Assembly.
| ||||||
6 | (d) "Compensation" means any money, thing of value or | ||||||
7 | financial benefits
received or to be received in return for | ||||||
8 | services rendered or to be
rendered, for lobbying as defined in | ||||||
9 | subsection (e).
| ||||||
10 | Monies paid to members of the General Assembly by the State | ||||||
11 | as
remuneration for performance of their Constitutional and | ||||||
12 | statutory duties
as members of the General Assembly shall not | ||||||
13 | constitute compensation as
defined by this Act.
| ||||||
14 | (e) "Lobbying" means any communication with (i) an official | ||||||
15 | of the
executive or legislative branch of State government as | ||||||
16 | defined in subsection
(c) or (ii) a State employee as defined | ||||||
17 | in this Section, for the ultimate purpose of influencing | ||||||
18 | executive, legislative, or
administrative action.
| ||||||
19 | (f) "Influencing" means any communication, action, | ||||||
20 | reportable
expenditure as prescribed in Section 6 or other | ||||||
21 | means used to promote,
support, affect, modify, oppose or delay | ||||||
22 | any executive, legislative or
administrative action or to | ||||||
23 | promote goodwill with officials as defined in
subsection (c).
| ||||||
24 | (g) "Executive action" means the proposal, drafting, | ||||||
25 | development,
consideration, amendment, adoption, approval, | ||||||
26 | promulgation, issuance,
modification, rejection or |
| |||||||
| |||||||
1 | postponement by a State entity of a rule,
regulation, order, | ||||||
2 | decision, determination, contractual arrangement, purchasing
| ||||||
3 | agreement or other quasi-legislative or quasi-judicial action | ||||||
4 | or proceeding.
| ||||||
5 | (h) "Legislative action" means the development, drafting, | ||||||
6 | introduction,
consideration, modification, adoption, | ||||||
7 | rejection, review, enactment, or passage
or defeat of any bill, | ||||||
8 | amendment, resolution, report, nomination,
administrative rule | ||||||
9 | or other matter by either house of the General Assembly or
a | ||||||
10 | committee thereof, or by a legislator. Legislative action also | ||||||
11 | means the
action of the Governor in approving or vetoing any | ||||||
12 | bill or portion thereof, and
the action of the Governor or any | ||||||
13 | agency in the development of a proposal for
introduction in the | ||||||
14 | legislature.
| ||||||
15 | (i) "Administrative action" means the execution or | ||||||
16 | rejection of any rule,
regulation, legislative rule, standard, | ||||||
17 | fee, rate, contractual arrangement,
purchasing agreement or | ||||||
18 | other delegated legislative or quasi-legislative action
to be | ||||||
19 | taken or withheld by any executive agency, department, board or
| ||||||
20 | commission of the State.
| ||||||
21 | (j) "Lobbyist" means any person who undertakes to lobby | ||||||
22 | State government
as provided in subsection (e).
| ||||||
23 | (k) "State employee" is defined as that term is defined in | ||||||
24 | Section 1-5 of the State Officials and Employees Ethics Act. | ||||||
25 | (l) "Employee", with respect to a State employee, is | ||||||
26 | defined as that term is defined in Section 1-5 of the State |
| |||||||
| |||||||
1 | Officials and Employees Ethics Act.
| ||||||
2 | (m) "State agency" is defined as that term is defined in | ||||||
3 | Section 1-5 of the State Officials and Employees Ethics Act.
| ||||||
4 | (Source: P.A. 88-187.)
| ||||||
5 | Section 25. The Illinois Procurement Code is amended by | ||||||
6 | changing Sections 1-15.15, 1-15.100, 15-25, 20-10, 20-30, | ||||||
7 | 35-15, 35-20, 35-25, 35-30, 35-35, 35-40, 40-15, 40-25, 50-13, | ||||||
8 | and 50-20 and by adding Sections 20-43, 50-21, 50-37, and 50-38 | ||||||
9 | as follows:
| ||||||
10 | (30 ILCS 500/1-15.15)
| ||||||
11 | Sec. 1-15.15. Chief Procurement Officer. "Chief
| ||||||
12 | Procurement Officer" means:
| ||||||
13 | (1) for procurements for construction and | ||||||
14 | construction-related services
committed by law to the | ||||||
15 | jurisdiction or responsibility of the Capital
Development | ||||||
16 | Board, the executive director of the Capital Development Board.
| ||||||
17 | (2) for procurements for all construction, | ||||||
18 | construction-related services,
operation of any facility, and | ||||||
19 | the provision of any service or activity
committed by law to | ||||||
20 | the jurisdiction or responsibility of the Illinois
Department | ||||||
21 | of Transportation, including the direct or reimbursable | ||||||
22 | expenditure
of all federal funds for which the Department of | ||||||
23 | Transportation is responsible
or accountable for the use | ||||||
24 | thereof in accordance with federal law, regulation,
or |
| |||||||
| |||||||
1 | procedure, the Secretary of Transportation.
| ||||||
2 | (3) for all procurements made by a public institution of | ||||||
3 | higher education, (i) a
representative designated by the | ||||||
4 | Governor for procurements made before July 1, 2007, and (ii) | ||||||
5 | for procurements made on or after July 1, 2007, an employee of | ||||||
6 | the Board of Higher Education designated by the Board of Higher | ||||||
7 | Education . The higher education chief procurement officer | ||||||
8 | designated by the Board of Higher Education shall not be a | ||||||
9 | trustee, officer, or employee of a public institution of higher | ||||||
10 | education.
| ||||||
11 | (4) for the selection and appointment of consultants by a | ||||||
12 | pension fund or retirement system created under Article 2, 14, | ||||||
13 | 15, 16, or 18 of the Illinois Pension Code or an investment | ||||||
14 | board created under Article 22A of the Illinois Pension Code, | ||||||
15 | as the term "consultant" is defined in subsection (a-5) of | ||||||
16 | Section 1-113.5 or subsection (e) of Section 22A-111, | ||||||
17 | respectively, of the Illinois Pension Code, a representative | ||||||
18 | designated by the board of trustees of that pension fund or | ||||||
19 | retirement system or by the Illinois State Board of Investment, | ||||||
20 | as the case may be, for a total of 6 pension chiefs of | ||||||
21 | procurement.
| ||||||
22 | (5)
(4) for all other procurements, the Director of the | ||||||
23 | Department of Central
Management Services.
| ||||||
24 | (Source: P.A. 90-572, eff. 2-6-98.)
| ||||||
25 | (30 ILCS 500/1-15.100)
|
| |||||||
| |||||||
1 | Sec. 1-15.100. State agency. "State agency" means and | ||||||
2 | includes all
boards, commissions, agencies, institutions, | ||||||
3 | authorities, and bodies politic
and corporate of the State, | ||||||
4 | created by or in accordance with the constitution
or statute, | ||||||
5 | of the executive branch of State government and does include
| ||||||
6 | colleges, universities, and institutions under the | ||||||
7 | jurisdiction of the
governing boards of the University of | ||||||
8 | Illinois, Southern Illinois University,
Illinois State | ||||||
9 | University, Eastern Illinois University, Northern Illinois
| ||||||
10 | University, Western Illinois University, Chicago State | ||||||
11 | University, Governor
State University, Northeastern Illinois | ||||||
12 | University, and the Board of Higher
Education. However, this | ||||||
13 | term applies
does
not apply to public employee pension funds,
| ||||||
14 | retirement systems , or investment boards that are
subject to | ||||||
15 | fiduciary duties imposed by the Illinois Pension Code only to | ||||||
16 | the extent and for the purpose of procurements required under | ||||||
17 | Sections 1-113.5 and 22A-111 of the Illinois Pension Code to be | ||||||
18 | made in accordance with Article 35 of this Code. The term | ||||||
19 | "State agency" does not apply
or to the
University of Illinois | ||||||
20 | Foundation. "State agency" does not include units of
local | ||||||
21 | government, school districts, community colleges under the | ||||||
22 | Public
Community College Act, and the Illinois Comprehensive | ||||||
23 | Health Insurance Board.
| ||||||
24 | (Source: P.A. 90-572, eff. 2-6-98.)
| ||||||
25 | (30 ILCS 500/15-25)
|
| |||||||
| |||||||
1 | Sec. 15-25. Bulletin content.
| ||||||
2 | (a) Invitations for bids. Notice of each and every contract | ||||||
3 | that is
offered, including renegotiated contracts and change | ||||||
4 | orders,
shall be published in the Bulletin. The applicable | ||||||
5 | chief procurement officer
may provide by rule an organized | ||||||
6 | format for the publication of this
information, but in any case | ||||||
7 | it must include at least the date first offered,
the date | ||||||
8 | submission of offers is due, the location that offers are to be
| ||||||
9 | submitted to, the purchasing State agency, the responsible | ||||||
10 | State purchasing
officer, a brief purchase description, the | ||||||
11 | method of source selection,
information of how to obtain a | ||||||
12 | comprehensive purchase description and any
disclosure and | ||||||
13 | contract forms, and encouragement to prospective vendors to | ||||||
14 | hire qualified veterans, as defined by Section 45-67 of this | ||||||
15 | Code, and Illinois residents discharged from any Illinois adult | ||||||
16 | correctional center.
| ||||||
17 | (b) Contracts let or awarded. Notice of each and every | ||||||
18 | contract that is let
or awarded, including renegotiated | ||||||
19 | contracts and change orders, shall be
published in the next | ||||||
20 | available subsequent Bulletin, and
the applicable chief | ||||||
21 | procurement officer may provide by rule an organized
format for | ||||||
22 | the publication
of
this information, but in any case it must | ||||||
23 | include at least all of the
information specified in subsection | ||||||
24 | (a) as well as the name of the successful
responsible bidder or | ||||||
25 | offeror, the contract price, the number of unsuccessful
| ||||||
26 | responsive bidders, and any other disclosure specified in any |
| |||||||
| |||||||
1 | Section of this
Code. This notice shall include the disclosures | ||||||
2 | under Section 50-37, if those disclosures are required. In | ||||||
3 | addition, the notice shall summarize the outreach efforts | ||||||
4 | undertaken by the agency to make potential bidders or offerors | ||||||
5 | aware of any contract offer other than publication in the | ||||||
6 | Bulletin. This notice must be posted in the online electronic | ||||||
7 | Bulletin no later than 10 business days after services or goods | ||||||
8 | are first provided.
| ||||||
9 | (c) Emergency purchase disclosure. Any chief procurement | ||||||
10 | officer, State
purchasing officer, or designee exercising | ||||||
11 | emergency purchase authority under
this Code shall publish a | ||||||
12 | written description and reasons and the total cost,
if known, | ||||||
13 | or an estimate if unknown and the name of the responsible chief
| ||||||
14 | procurement officer and State purchasing officer, and the | ||||||
15 | business or person
contracted with for all emergency purchases | ||||||
16 | in
the next timely, practicable Bulletin. This notice must be | ||||||
17 | posted in the online electronic Bulletin within 10 business | ||||||
18 | days after the earlier of (i) execution of the contract or (ii) | ||||||
19 | whenever services or goods begin to be provided under the | ||||||
20 | contract and, in any event, prior to any payment by the State | ||||||
21 | under the contract.
| ||||||
22 | (c-5) Each State agency shall post in the online electronic | ||||||
23 | Bulletin a copy of its annual report of utilization of | ||||||
24 | businesses owned by minorities, females, and persons with | ||||||
25 | disabilities as submitted to the Business Enterprise Council | ||||||
26 | for Minorities, Females, and Persons with Disabilities |
| |||||||
| |||||||
1 | pursuant to Section 6(c) of the Business Enterprise for | ||||||
2 | Minorities, Females, and Persons with Disabilities Act within | ||||||
3 | 10 business days of its submission of its report to the | ||||||
4 | Council.
| ||||||
5 | (c-10) Renewals. Notice of each contract renewal shall be | ||||||
6 | posted online on the Procurement Bulletin. The Procurement | ||||||
7 | Policy Board by rule shall specify the information to be | ||||||
8 | included in the notice, and the applicable chief procurement | ||||||
9 | officer by rule may provide a format for the information.
| ||||||
10 | (d) Other required disclosure. The applicable chief | ||||||
11 | procurement officer
shall provide by rule for the organized | ||||||
12 | publication of all other disclosure
required in other Sections | ||||||
13 | of this Code in a timely manner.
| ||||||
14 | (e) The changes to subsections (b), (c), and (c-5) of this | ||||||
15 | Section made by this amendatory Act of the 95th General | ||||||
16 | Assembly apply to reports submitted, offers made, and notices | ||||||
17 | on contracts executed on or after its effective date.
| ||||||
18 | (Source: P.A. 94-1067, eff. 8-1-06.)
| ||||||
19 | (30 ILCS 500/20-10)
| ||||||
20 | Sec. 20-10. Competitive sealed bidding.
| ||||||
21 | (a) Conditions for use. All contracts shall be awarded by
| ||||||
22 | competitive sealed bidding
except as otherwise provided in | ||||||
23 | Section 20-5.
| ||||||
24 | (b) Invitation for bids. An invitation for bids shall be
| ||||||
25 | issued and shall include a
purchase description and the |
| |||||||
| |||||||
1 | material contractual terms and
conditions applicable to the
| ||||||
2 | procurement.
| ||||||
3 | (c) Public notice. Public notice of the invitation for bids | ||||||
4 | shall be
published in the Illinois Procurement Bulletin at | ||||||
5 | least 14 days before the date
set in the invitation for the | ||||||
6 | opening of bids.
| ||||||
7 | (d) Bid opening. Bids shall be opened publicly in the
| ||||||
8 | presence of one or more witnesses
at the time and place | ||||||
9 | designated in the invitation for bids. The
name of each bidder, | ||||||
10 | the amount
of each bid, and other relevant information as may | ||||||
11 | be specified by
rule shall be
recorded. After the award of the | ||||||
12 | contract, the winning bid and the
record of each unsuccessful | ||||||
13 | bid shall be open to
public inspection.
| ||||||
14 | (e) Bid acceptance and bid evaluation. Bids shall be
| ||||||
15 | unconditionally accepted without
alteration or correction, | ||||||
16 | except as authorized in this Code. Bids
shall be evaluated | ||||||
17 | based on the
requirements set forth in the invitation for bids, | ||||||
18 | which may
include criteria to determine
acceptability such as | ||||||
19 | inspection, testing, quality, workmanship,
delivery, and | ||||||
20 | suitability for a
particular purpose. Those criteria that will | ||||||
21 | affect the bid price
and be considered in evaluation
for award, | ||||||
22 | such as discounts, transportation costs, and total or
life | ||||||
23 | cycle costs, shall be
objectively measurable. The invitation | ||||||
24 | for bids shall set forth
the evaluation criteria to be used.
| ||||||
25 | (f) Correction or withdrawal of bids. Correction or
| ||||||
26 | withdrawal of inadvertently
erroneous bids before or after |
| |||||||
| |||||||
1 | award, or cancellation of awards of
contracts based on bid
| ||||||
2 | mistakes, shall be permitted in accordance with rules.
After | ||||||
3 | bid opening, no
changes in bid prices or other provisions of | ||||||
4 | bids prejudicial to
the interest of the State or fair
| ||||||
5 | competition shall be permitted. All decisions to permit the
| ||||||
6 | correction or withdrawal of bids
based on bid mistakes shall be | ||||||
7 | supported by written determination
made by a State purchasing | ||||||
8 | officer.
| ||||||
9 | (g) Award. The contract shall be awarded with reasonable
| ||||||
10 | promptness by written notice
to the lowest responsible and | ||||||
11 | responsive bidder whose bid meets
the requirements and criteria
| ||||||
12 | set forth in the invitation for bids, except when a State | ||||||
13 | purchasing officer
determines it is not in the best interest of | ||||||
14 | the State and by written
explanation determines another bidder | ||||||
15 | shall receive the award. The explanation
shall appear in the | ||||||
16 | appropriate volume of the Illinois Procurement Bulletin. The | ||||||
17 | written explanation must include: | ||||||
18 | (1) a description of the agency's needs; | ||||||
19 | (2) a determination that the anticipated cost will be | ||||||
20 | fair and reasonable; | ||||||
21 | (3) a listing of all responsible and responsive | ||||||
22 | bidders; and | ||||||
23 | (4) the name of the bidder selected, pricing, and the | ||||||
24 | reasons for selecting that bidder instead of the lowest | ||||||
25 | responsible and responsive bidder. | ||||||
26 | Each agency may adopt rules to implement the requirements |
| |||||||
| |||||||
1 | of this subsection (g). | ||||||
2 | The written explanation shall be filed with the Legislative | ||||||
3 | Audit Commission and the Procurement Policy Board and be made | ||||||
4 | available for inspection by the public within 30 days after the | ||||||
5 | agency's decision to award the contract.
| ||||||
6 | (h) Multi-step sealed bidding. When it is considered
| ||||||
7 | impracticable to initially prepare
a purchase description to | ||||||
8 | support an award based on price, an
invitation for bids may be | ||||||
9 | issued
requesting the submission of unpriced offers to be | ||||||
10 | followed by an
invitation for bids limited to
those bidders | ||||||
11 | whose offers have been qualified under the criteria
set forth | ||||||
12 | in the first solicitation.
| ||||||
13 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
14 | (30 ILCS 500/20-30)
| ||||||
15 | Sec. 20-30. Emergency purchases.
| ||||||
16 | (a) Conditions for use. In accordance with standards set by
| ||||||
17 | rule, a purchasing
agency may make emergency procurements | ||||||
18 | without competitive sealed
bidding or prior notice
when there | ||||||
19 | exists a threat to public health or public safety, or
when | ||||||
20 | immediate expenditure is
necessary for repairs to State | ||||||
21 | property in order to protect
against further loss of or damage | ||||||
22 | to
State property, to prevent or minimize serious disruption in | ||||||
23 | critical State
services that affect health, safety, or | ||||||
24 | collections of substantial State revenue , or to ensure the
| ||||||
25 | integrity of State records ; provided, however, that the term of |
| |||||||
| |||||||
1 | the emergency purchase shall be limited to the time reasonably | ||||||
2 | needed for a competitive procurement, not to exceed 6 months . | ||||||
3 | Emergency procurements shall be made
with as much competition
| ||||||
4 | as is practicable under the circumstances.
A written
| ||||||
5 | description of the basis for the emergency and reasons for the
| ||||||
6 | selection of the particular
contractor shall be included in the | ||||||
7 | contract file.
| ||||||
8 | (b) Notice. Before the next appropriate volume of the | ||||||
9 | Illinois Procurement
Bulletin, the purchasing agency shall | ||||||
10 | publish in the
Illinois Procurement Bulletin a copy of each | ||||||
11 | written description
and reasons and the total cost
of each | ||||||
12 | emergency procurement made during the previous month.
When only | ||||||
13 | an estimate of the
total cost is known at the time of | ||||||
14 | publication, the estimate shall
be identified as an estimate | ||||||
15 | and
published. When the actual total cost is determined, it | ||||||
16 | shall
also be published in like manner
before the 10th day of | ||||||
17 | the next succeeding month.
| ||||||
18 | (c) Affidavits. A purchasing agency making a procurement
| ||||||
19 | under this Section shall file
affidavits with the chief | ||||||
20 | procurement officer and the Auditor General within
10 days
| ||||||
21 | after the procurement setting
forth the amount expended, the | ||||||
22 | name of the contractor involved,
and the conditions and
| ||||||
23 | circumstances requiring the emergency procurement. When only | ||||||
24 | an
estimate of the cost is
available within 10 days after the | ||||||
25 | procurement, the actual cost
shall be reported immediately
| ||||||
26 | after it is determined. At the end of each fiscal quarter, the
|
| |||||||
| |||||||
1 | Auditor General shall file with the
Legislative Audit | ||||||
2 | Commission and the Governor a complete listing
of all emergency
| ||||||
3 | procurements reported during that fiscal quarter. The | ||||||
4 | Legislative
Audit Commission shall
review the emergency | ||||||
5 | procurements so reported and, in its annual
reports, advise the | ||||||
6 | General
Assembly of procurements that appear to constitute an | ||||||
7 | abuse of
this Section.
| ||||||
8 | (d) Quick purchases. The chief procurement officer may | ||||||
9 | promulgate rules
extending the circumstances by which a | ||||||
10 | purchasing agency may make purchases
under this Section, | ||||||
11 | including but not limited to the procurement of items
available | ||||||
12 | at a discount for a limited period of time.
| ||||||
13 | (e) The changes to this Section made by this amendatory Act | ||||||
14 | of the 95th General Assembly apply to procurements executed on | ||||||
15 | or after its effective date.
| ||||||
16 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
17 | (30 ILCS 500/20-43 new)
| ||||||
18 | Sec. 20-43. Bidder or offeror authorized to do business in | ||||||
19 | Illinois. In addition to meeting any other requirement of law | ||||||
20 | or rule, a person (other than an individual acting as a sole | ||||||
21 | proprietor) may qualify as a bidder or offeror under this Code | ||||||
22 | only if the person is a legal entity authorized to do business | ||||||
23 | in Illinois prior to submitting the bid, offer, or proposal.
| ||||||
24 | (30 ILCS 500/35-15)
|
| |||||||
| |||||||
1 | Sec. 35-15. Prequalification.
| ||||||
2 | (a) The Director of Central Management Services , the | ||||||
3 | pension chief procurement officers, and the higher education
| ||||||
4 | chief procurement officer shall each develop appropriate
and | ||||||
5 | reasonable prequalification standards and categories of | ||||||
6 | professional and
artistic services.
| ||||||
7 | (b) The prequalifications and categorizations shall be | ||||||
8 | submitted to the
Procurement Policy Board and published for | ||||||
9 | public comment prior to their
submission to the Joint Committee | ||||||
10 | on Administrative Rules for approval.
| ||||||
11 | (c) The Director of Central Management Services , the | ||||||
12 | pension chief procurement officers, and the higher education
| ||||||
13 | chief procurement officer shall each also assemble and
maintain | ||||||
14 | a comprehensive list of prequalified and categorized | ||||||
15 | businesses and
persons.
| ||||||
16 | (d) Prequalification shall not be used to bar or prevent | ||||||
17 | any qualified
business or person for bidding or responding to | ||||||
18 | invitations for bid or
proposal.
| ||||||
19 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
20 | (30 ILCS 500/35-20)
| ||||||
21 | Sec. 35-20. Uniformity in procurement.
| ||||||
22 | (a) The Director of Central Management Services , the | ||||||
23 | pension chief procurement officers, and the higher education
| ||||||
24 | chief procurement officer shall each develop, cause to be
| ||||||
25 | printed, and distribute uniform documents for the |
| |||||||
| |||||||
1 | solicitation, review, and
acceptance of all professional and | ||||||
2 | artistic services.
| ||||||
3 | (b) All chief procurement officers, State purchasing | ||||||
4 | officers, and their
designees shall use the appropriate uniform | ||||||
5 | procedures and forms specified in
this Code for
all | ||||||
6 | professional and artistic services.
| ||||||
7 | (c) These forms shall include in detail, in writing, at | ||||||
8 | least:
| ||||||
9 | (1) a description of the goal to be achieved;
| ||||||
10 | (2) the services to be performed;
| ||||||
11 | (3) the need for the service;
| ||||||
12 | (4) the qualifications that are necessary; and
| ||||||
13 | (5) a plan for post-performance review.
| ||||||
14 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
15 | (30 ILCS 500/35-25)
| ||||||
16 | Sec. 35-25. Uniformity in contract.
| ||||||
17 | (a) The Director of Central Management Services , the | ||||||
18 | pension chief procurement officers, and the higher education
| ||||||
19 | chief procurement officer shall each develop, cause to be
| ||||||
20 | printed, and distribute uniform documents for the contracting | ||||||
21 | of professional
and artistic services.
| ||||||
22 | (b) All chief procurement officers, State purchasing | ||||||
23 | officers, and their
designees shall use the appropriate uniform | ||||||
24 | contracts and forms in
contracting for all professional and | ||||||
25 | artistic services.
|
| |||||||
| |||||||
1 | (c) These contracts and forms shall include in detail, in | ||||||
2 | writing, at least:
| ||||||
3 | (1) the detail listed in subsection (c) of Section | ||||||
4 | 35-20;
| ||||||
5 | (2) the duration of the contract, with a schedule of | ||||||
6 | delivery, when
applicable;
| ||||||
7 | (3) the method for charging and measuring cost (hourly, | ||||||
8 | per day, etc.);
| ||||||
9 | (4) the rate of remuneration; and
| ||||||
10 | (5) the maximum price.
| ||||||
11 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
12 | (30 ILCS 500/35-30)
| ||||||
13 | Sec. 35-30. Awards.
| ||||||
14 | (a) All State contracts for professional and artistic | ||||||
15 | services, except as
provided in this Section, shall be awarded | ||||||
16 | using the
competitive request for proposal process outlined in | ||||||
17 | this Section.
| ||||||
18 | (b) For each contract offered, the chief procurement | ||||||
19 | officer, State
purchasing officer, or his or her designee shall | ||||||
20 | use the appropriate standard
solicitation
forms
available from | ||||||
21 | the Department of Central Management Services , the appropriate | ||||||
22 | pension chief procurement officer, or the higher
education | ||||||
23 | chief procurement officer.
| ||||||
24 | (c) Prepared forms shall be submitted to the Department of | ||||||
25 | Central
Management Services , a pension chief procurement |
| |||||||
| |||||||
1 | officer, or the higher education chief procurement officer,
| ||||||
2 | whichever is appropriate, for
publication in its Illinois | ||||||
3 | Procurement Bulletin and circulation to the
Department of | ||||||
4 | Central Management
Services' , the pension chief procurement | ||||||
5 | officer's, or the higher education chief procurement officer's | ||||||
6 | list of
prequalified vendors. Notice of the offer or request | ||||||
7 | for
proposal shall appear at least 14 days before the response | ||||||
8 | to the offer is due.
| ||||||
9 | (d) All interested respondents shall return their | ||||||
10 | responses to the
Department of Central
Management Services , the | ||||||
11 | pension chief procurement officer, or the higher education | ||||||
12 | chief procurement officer,
whichever is appropriate, which | ||||||
13 | shall open
and record them. The Department , the pension chief | ||||||
14 | procurement officer, or higher education chief procurement | ||||||
15 | officer
then shall forward the responses, together
with any
| ||||||
16 | information it has available about the qualifications and other | ||||||
17 | State work
of the respondents.
| ||||||
18 | (e) After evaluation, ranking, and selection, the | ||||||
19 | responsible chief
procurement officer, State purchasing | ||||||
20 | officer, or
his or her designee shall notify the Department of | ||||||
21 | Central Management Services , the pension chief procurement | ||||||
22 | officer,
or the higher education chief procurement officer, | ||||||
23 | whichever is appropriate,
of the successful respondent and | ||||||
24 | shall forward
a copy of the signed contract for the | ||||||
25 | Department's , pension chief procurement officer's, or higher | ||||||
26 | education chief
procurement officer's file. The Department , |
| |||||||
| |||||||
1 | the pension chief procurement officer, or higher education | ||||||
2 | chief
procurement officer shall
publish the names of the
| ||||||
3 | responsible procurement decision-maker,
the agency letting the | ||||||
4 | contract, the
successful respondent, a contract reference, and | ||||||
5 | value of the let contract
in the next appropriate volume of the | ||||||
6 | Illinois Procurement Bulletin.
| ||||||
7 | (f) For all professional and artistic contracts with | ||||||
8 | annualized value
that exceeds $25,000, evaluation and ranking | ||||||
9 | by price are required. Any chief
procurement officer or State | ||||||
10 | purchasing officer,
but not their designees, may select an | ||||||
11 | offeror other than the lowest bidder by
price. In any case, | ||||||
12 | when the contract exceeds the $25,000 threshold
threshhold and
| ||||||
13 | the lowest bidder is not selected, the chief procurement | ||||||
14 | officer or the State
purchasing officer shall forward together
| ||||||
15 | with the contract notice of who the low bidder was and a | ||||||
16 | written decision as
to why another was selected to the | ||||||
17 | Department of Central Management Services , the pension chief | ||||||
18 | procurement officer, or
the higher education chief procurement | ||||||
19 | officer, whichever is appropriate.
The Department , the pension | ||||||
20 | chief procurement officer, or higher education chief | ||||||
21 | procurement officer shall publish as
provided in subsection (e) | ||||||
22 | of Section 35-30,
but
shall include notice of the chief | ||||||
23 | procurement officer's or State purchasing
officer's written | ||||||
24 | decision.
| ||||||
25 | (g) The Department of Central Management Services , the | ||||||
26 | pension chief procurement officers, and higher education chief
|
| |||||||
| |||||||
1 | procurement officer may each refine, but not
contradict, this | ||||||
2 | Section by promulgating rules
for submission to the Procurement | ||||||
3 | Policy Board and then to the Joint Committee
on Administrative | ||||||
4 | Rules. Any
refinement shall be based on the principles and | ||||||
5 | procedures of the federal
Architect-Engineer Selection Law, | ||||||
6 | Public Law 92-582 Brooks Act, and the
Architectural, | ||||||
7 | Engineering, and Land Surveying Qualifications Based Selection
| ||||||
8 | Act; except that pricing shall be an integral part of the | ||||||
9 | selection process.
| ||||||
10 | (Source: P.A. 90-572, eff. date - See Sec. 99-5; revised | ||||||
11 | 10-19-05.)
| ||||||
12 | (30 ILCS 500/35-35)
| ||||||
13 | Sec. 35-35. Exceptions.
| ||||||
14 | (a) Exceptions to Section 35-30 are allowed for sole source | ||||||
15 | procurements,
emergency procurements, and at the discretion of | ||||||
16 | the chief procurement officer
or the State purchasing officer, | ||||||
17 | but not
their designees, for professional and artistic | ||||||
18 | contracts that are nonrenewable,
one year or less in duration, | ||||||
19 | and have a value of less than $20,000.
| ||||||
20 | (b) All exceptions granted under this Article must still be | ||||||
21 | submitted to the
Department of Central Management Services , the | ||||||
22 | appropriate pension chief procurement officer,
or the higher | ||||||
23 | education chief procurement officer, whichever is appropriate,
| ||||||
24 | and published as provided for in subsection (f) of Section | ||||||
25 | 35-30, shall name
the authorizing
chief procurement officer or |
| |||||||
| |||||||
1 | State purchasing officer, and shall include a
brief explanation | ||||||
2 | of the reason for the exception.
| ||||||
3 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
4 | (30 ILCS 500/35-40)
| ||||||
5 | Sec. 35-40. Subcontractors.
| ||||||
6 | (a) Any contract granted under this Article shall state | ||||||
7 | whether the services
of a subcontractor will be used. The | ||||||
8 | contract shall include the names and
addresses of all | ||||||
9 | subcontractors and the expected amount of money each will
| ||||||
10 | receive under the contract.
| ||||||
11 | (b) If at any time during the term of a contract, a | ||||||
12 | contractor adds or
changes any subcontractors, he or she shall | ||||||
13 | promptly notify, in writing, the
Department of Central | ||||||
14 | Management Services , the appropriate pension chief procurement | ||||||
15 | officer, or the higher education chief
procurement officer, | ||||||
16 | whichever is appropriate, and the
responsible chief | ||||||
17 | procurement officer, State purchasing officer, or their
| ||||||
18 | designee of the names and addresses and the
expected amount of | ||||||
19 | money each new or replaced subcontractor will receive.
| ||||||
20 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
21 | (30 ILCS 500/40-15)
| ||||||
22 | Sec. 40-15. Method of source selection.
| ||||||
23 | (a) Request for information. Except as provided in
| ||||||
24 | subsections (b) and (c), all State
contracts for leases of real |
| |||||||
| |||||||
1 | property or capital improvements
shall be awarded by a request | ||||||
2 | for
information process in accordance with Section 40-20.
| ||||||
3 | (b) Other methods. A request for information process need
| ||||||
4 | not be used in procuring any
of the following leases:
| ||||||
5 | (1) Property of less than 10,000 square feet.
| ||||||
6 | (2) Rent of less than $100,000 per year.
| ||||||
7 | (3) Duration of less than one year that cannot be
| ||||||
8 | renewed.
| ||||||
9 | (4) Specialized space available at only one location.
| ||||||
10 | (5) Renewal or extension of a lease
in effect before | ||||||
11 | July 1, 2002 ;
provided that: (i) the chief procurement | ||||||
12 | officer determines in writing that the
renewal or extension | ||||||
13 | is in the best interest of the State; (ii) the chief
| ||||||
14 | procurement officer submits his or her written | ||||||
15 | determination and the renewal or
extension to the Board; | ||||||
16 | (iii) the Board does not object in writing to the
renewal | ||||||
17 | or extension within 30 days after its submission; and (iv) | ||||||
18 | the chief
procurement officer publishes the renewal or | ||||||
19 | extension in the appropriate
volume of the Procurement | ||||||
20 | Bulletin.
| ||||||
21 | (c) Leases with governmental units. Leases with other
| ||||||
22 | governmental units may be
negotiated without using the request | ||||||
23 | for information process when
deemed by the chief procurement | ||||||
24 | officer to be
in the best interest of the State.
| ||||||
25 | (Source: P.A. 93-133, eff. 1-1-04; 93-839, eff. 7-30-04.)
|
| |||||||
| |||||||
1 | (30 ILCS 500/40-25)
| ||||||
2 | Sec. 40-25. Length of leases.
| ||||||
3 | (a) Maximum term. Leases shall be for a term not to exceed
| ||||||
4 | 10 years and shall include
a termination option in favor of the | ||||||
5 | State after 5 years.
| ||||||
6 | (b) Renewal. Leases may include a renewal option. An
option | ||||||
7 | to renew may be
exercised only when a State purchasing officer | ||||||
8 | determines in
writing that renewal is in the best
interest of | ||||||
9 | the State and notice of the exercise of the option is published | ||||||
10 | in
the appropriate volume of the Procurement Bulletin at least | ||||||
11 | 60 days prior to
the exercise of the option.
| ||||||
12 | (c) Subject to appropriation. All leases shall recite that
| ||||||
13 | they are subject to termination
and cancellation in any year | ||||||
14 | for which the General Assembly fails
to make an appropriation | ||||||
15 | to
make payments under the terms of the lease.
| ||||||
16 | (d) Holdover. No lease may continue on a month-to-month or | ||||||
17 | other holdover basis for a total of more than 6 months.
| ||||||
18 | (Source: P.A. 90-572, eff. date - See Sec. 99-5.)
| ||||||
19 | (30 ILCS 500/50-13)
| ||||||
20 | Sec. 50-13. Conflicts of interest.
| ||||||
21 | (a) Prohibition. It is unlawful for any person holding an
| ||||||
22 | elective office in this State,
holding a seat in the General | ||||||
23 | Assembly, or appointed to or
employed in any of the offices or
| ||||||
24 | agencies of State government and who receives compensation for | ||||||
25 | such employment
in excess of 60% of the salary of the Governor |
| |||||||
| |||||||
1 | of the State of Illinois , or who
is an officer or employee of
| ||||||
2 | the Capital Development
Board or the Illinois Toll Highway | ||||||
3 | Authority, or who is the spouse
or minor child of any such
| ||||||
4 | person to have or acquire any contract, or any direct pecuniary
| ||||||
5 | interest in any contract therein,
whether for stationery, | ||||||
6 | printing, paper, or any services,
materials, or supplies, that | ||||||
7 | will be
wholly or partially satisfied by the payment of funds | ||||||
8 | appropriated
by the General Assembly of
the State of Illinois | ||||||
9 | or in any contract of the Capital
Development Board or the | ||||||
10 | Illinois Toll
Highway Authority.
| ||||||
11 | (b) Interests. It is unlawful for any firm, partnership,
| ||||||
12 | association, or corporation, in
which any person listed in | ||||||
13 | subsection (a) is entitled to receive (i) more than
7 1/2% of | ||||||
14 | the total
distributable income or (ii) an amount in excess of | ||||||
15 | the salary of the Governor,
to have or acquire any
such | ||||||
16 | contract or direct pecuniary interest therein.
| ||||||
17 | (b-5) Notwithstanding any other provision of law, no person | ||||||
18 | listed in subsection (a) may receive a legal, banking, | ||||||
19 | consulting, or other fee, or any compensation for services | ||||||
20 | provided in relation to the award of a contract, including | ||||||
21 | contracts related to the issuance of bonds, by the State or by | ||||||
22 | any agency or other entity of State government if the person, | ||||||
23 | by using his or her official position, could have influenced | ||||||
24 | the State or such agency or entity in any way. This subsection | ||||||
25 | (b-5) does not apply to any contract awarded pursuant to a | ||||||
26 | competitive selection process.
|
| |||||||
| |||||||
1 | (c) Combined interests. It is unlawful for any firm, | ||||||
2 | partnership,
association, or corporation, in which any person | ||||||
3 | listed in subsection (a)
together with his or her spouse or | ||||||
4 | minor children is entitled to receive (i)
more than 15%, in the | ||||||
5 | aggregate, of the total distributable income or (ii) an
amount | ||||||
6 | in excess of 2 times the salary of the Governor, to have or | ||||||
7 | acquire any
such contract or direct pecuniary interest therein.
| ||||||
8 | (c-5) Appointees and firms. In addition to any provisions | ||||||
9 | of this Code,
the interests of certain
appointees and their | ||||||
10 | firms are subject to Section 3A-35 of the Illinois
Governmental | ||||||
11 | Ethics Act.
| ||||||
12 | (d) Securities. Nothing in this Section invalidates the
| ||||||
13 | provisions of any bond or other
security previously offered or | ||||||
14 | to be offered for sale or sold by
or for the State of Illinois.
| ||||||
15 | (e) Prior interests. This Section does not affect the
| ||||||
16 | validity of any contract made
between the State and an officer | ||||||
17 | or employee of the State or
member of the General Assembly,
his | ||||||
18 | or her spouse, minor child, or other immediate family member | ||||||
19 | living in
his or her residence or any
combination of those | ||||||
20 | persons
if that contract was in
existence before his or her | ||||||
21 | election or employment as an officer,
member, or employee. The
| ||||||
22 | contract is voidable, however, if it cannot be completed within | ||||||
23 | 365
days after the officer, member,
or employee takes office or | ||||||
24 | is employed.
| ||||||
25 | (f) Exceptions.
| ||||||
26 | (1) Public aid payments. This Section does not apply
to |
| |||||||
| |||||||
1 | payments made for a
public aid recipient.
| ||||||
2 | (2) Teaching. This Section does not apply to a
contract | ||||||
3 | for personal services as
a teacher or school administrator | ||||||
4 | between a member of the General
Assembly or his or her
| ||||||
5 | spouse, or a State officer or employee or his or her | ||||||
6 | spouse, and
any school district, public community college | ||||||
7 | district, the University of
Illinois, Southern Illinois | ||||||
8 | University, Illinois State University, Eastern
Illinois | ||||||
9 | University, Northern Illinois University, Western Illinois | ||||||
10 | University,
Chicago State University, Governor State | ||||||
11 | University, or Northeastern Illinois
University.
| ||||||
12 | (3) Ministerial duties. This Section does not apply to
| ||||||
13 | a contract for personal
services of a wholly ministerial | ||||||
14 | character, including but not
limited to services as a | ||||||
15 | laborer, clerk,
typist, stenographer, page, bookkeeper, | ||||||
16 | receptionist, or telephone
switchboard operator, made
by a | ||||||
17 | spouse or minor child of an elective or appointive State
| ||||||
18 | officer or employee or of a member
of the General Assembly.
| ||||||
19 | (4) Child and family services. This Section does not
| ||||||
20 | apply to payments made
to a member of the General Assembly, | ||||||
21 | a State officer or employee,
his or her spouse or minor
| ||||||
22 | child acting as a foster parent, homemaker, advocate, or | ||||||
23 | volunteer
for or in behalf of a child or
family served by | ||||||
24 | the Department of Children and Family Services.
| ||||||
25 | (5) Licensed professionals. Contracts with licensed | ||||||
26 | professionals,
provided they are competitively bid or part |
| |||||||
| |||||||
1 | of a reimbursement program for
specific, customary goods | ||||||
2 | and services through the Department of Children and
Family | ||||||
3 | Services, the Department of Human Services,
the Department | ||||||
4 | of Healthcare and Family Services
Public Aid , the | ||||||
5 | Department of Public Health, or
the Department on Aging.
| ||||||
6 | (g) Penalty. A person convicted of a violation of this | ||||||
7 | Section is guilty of
a business offense and shall be fined not | ||||||
8 | less than $1,000 nor more than
$5,000.
| ||||||
9 | (Source: P.A. 93-615, eff. 11-19-03; revised 12-15-05.)
| ||||||
10 | (30 ILCS 500/50-20)
| ||||||
11 | Sec. 50-20. Exemptions. With the approval of the | ||||||
12 | appropriate chief
procurement officer involved, the Governor, | ||||||
13 | or an executive ethics board or
commission he or she | ||||||
14 | designates, may exempt named individuals from the
prohibitions | ||||||
15 | of
Section 50-13 , except the prohibitions set forth in | ||||||
16 | subsection (b-5) of Section 50-13, when, in his, her, or its | ||||||
17 | judgment, the public interest in
having
the
individual in the | ||||||
18 | service of the State outweighs the public policy evidenced in
| ||||||
19 | that Section. An exemption is effective only when it is filed | ||||||
20 | with the
Secretary of State and the Comptroller within 60 days | ||||||
21 | after its issuance or when performance of the contract begins, | ||||||
22 | whichever is earlier, and includes a statement setting forth
| ||||||
23 | the name of the individual and all the pertinent facts that | ||||||
24 | would make that
Section applicable, setting forth the reason | ||||||
25 | for the exemption, and declaring
the individual exempted from |
| |||||||
| |||||||
1 | that Section. Exemptions must be filed with the Secretary of | ||||||
2 | State and Comptroller prior to execution of any contracts. A | ||||||
3 | copy of
Notice of each exemption shall be published in the | ||||||
4 | Illinois Procurement
Bulletin in its electronic form prior to | ||||||
5 | execution of the contract . The changes to this Section made by | ||||||
6 | this amendatory Act of the 95th General Assembly apply to | ||||||
7 | exemptions granted on or after its effective date.
| ||||||
8 | A contract for which a waiver has been issued but has not | ||||||
9 | been filed in accordance with this Section is voidable.
| ||||||
10 | (Source: P.A. 90-572, eff. 2-6-98.)
| ||||||
11 | (30 ILCS 500/50-21 new) | ||||||
12 | Sec. 50-21. Bond issuances. | ||||||
13 | (a) A State agency shall not enter into a contract with | ||||||
14 | respect to the issuance of bonds or other securities by the | ||||||
15 | State or a State agency with any entity that uses an | ||||||
16 | independent consultant. | ||||||
17 | As used in this subsection, "independent consultant" means | ||||||
18 | a person used by the entity to obtain or retain securities | ||||||
19 | business through direct or indirect communication by the person | ||||||
20 | with a State official or employee on behalf of the entity when | ||||||
21 | the communication is undertaken by the person in exchange for | ||||||
22 | or with the understanding of receiving payment from the entity | ||||||
23 | or another person. "Independent consultant" does not include | ||||||
24 | (i) a finance professional employed by the entity or (ii) a | ||||||
25 | person whose sole basis of compensation from the entity is the |
| |||||||
| |||||||
1 | actual provision of legal, accounting, or engineering advice, | ||||||
2 | services, or assistance in connection with the securities | ||||||
3 | business that the entity seeks to obtain or retain. | ||||||
4 | (b) Each contract entered into by a State agency with | ||||||
5 | respect to the issuance of bonds or other securities by the | ||||||
6 | State or a State agency shall include a certification by any | ||||||
7 | contracting party subject to the Municipal Securities | ||||||
8 | Rulemaking Board's Rule G-38, or a successor rule, that the | ||||||
9 | contracting entity is and shall remain for the duration of the | ||||||
10 | contract in compliance with the Rule's requirements for | ||||||
11 | reporting political contributions. Violation of the | ||||||
12 | certification makes the contract voidable by the State and | ||||||
13 | shall bar the awarding of a State agency contract with respect | ||||||
14 | to the issuance of bonds or other securities to the violator | ||||||
15 | for a period of 10 years after the determination of the | ||||||
16 | violation. | ||||||
17 | (c) Any entity convicted of violating the Municipal | ||||||
18 | Securities Rulemaking Board's Rule G-37 or Rule G-38, or any | ||||||
19 | successor rules, with respect to the prohibitions of those | ||||||
20 | rules against obtaining or retaining municipal securities | ||||||
21 | business and the making of political contributions or payments | ||||||
22 | is permanently barred from participating in any State agency | ||||||
23 | contract with respect to the issuance of bonds or other | ||||||
24 | securities.
| ||||||
25 | (30 ILCS 500/50-37 new) |
| |||||||
| |||||||
1 | Sec. 50-37. Contract award disclosure. | ||||||
2 | (a) For the purposes of this Section: | ||||||
3 | "Contracting entity" means an entity that would execute any | ||||||
4 | contract with a State agency. | ||||||
5 | "Key persons" means any persons who (i) have an ownership | ||||||
6 | or distributive income share in the contracting entity that is | ||||||
7 | in excess of 5%, or an amount greater than 60% of the annual | ||||||
8 | salary of the Governor, or (ii) serve as executive officers of | ||||||
9 | the contracting entity. | ||||||
10 | (b) For contracts with an annual value of $50,000 or more, | ||||||
11 | all offers from responsive bidders or offerors shall be | ||||||
12 | accompanied by disclosure of the names and addresses of the | ||||||
13 | following: | ||||||
14 | (1) The contracting entity. | ||||||
15 | (2) Any entity that is a parent of, or owns a | ||||||
16 | controlling interest in, the contracting entity. | ||||||
17 | (3) Any entity that is a subsidiary of, or in which a | ||||||
18 | controlling interest is owned by, the contracting entity. | ||||||
19 | (4) The contracting entity's key persons. | ||||||
20 | (c) Notices of contracts let or awarded published in the | ||||||
21 | Procurement Bulletin pursuant to Section 15-25 shall include as | ||||||
22 | part of the notice posted online the names disclosed by the | ||||||
23 | winning bidder or offeror pursuant to subsection (b). | ||||||
24 | (d) The changes made to this Section made by this | ||||||
25 | amendatory Act of the 95th General Assembly apply to contracts | ||||||
26 | first offered on or after its effective date. |
| |||||||
| |||||||
1 | (30 ILCS 500/50-38 new) | ||||||
2 | Sec. 50-38. Disclosure of political contributions. | ||||||
3 | (a) All offers from responsive bidders or offerors with an | ||||||
4 | annual value of more than $10,000 shall be accompanied by a | ||||||
5 | notification of receipt of the disclosure of political | ||||||
6 | contributions report, as identified in Section 9-15 of the | ||||||
7 | Election Code, of the contractor, bidder, or proposer as | ||||||
8 | provided in this Section. The appropriate chief procurement | ||||||
9 | officer shall notify the State Board of Elections after an | ||||||
10 | award has been made and request a copy of the disclosure of | ||||||
11 | political contributions report for each successful bidder or | ||||||
12 | offeror. The disclosure of political contributions report of | ||||||
13 | each successful bidder or offeror shall become part of the | ||||||
14 | publicly available contract or procurement file maintained by | ||||||
15 | the appropriate chief procurement officer and shall also be | ||||||
16 | filed with the Comptroller as part of the filing required | ||||||
17 | pursuant to Section 20-80 of this Code. | ||||||
18 | (b) The disclosure of political contributions report by the | ||||||
19 | responsive bidders or offerors shall include at least the names | ||||||
20 | and addresses of the contributors and the dollar amounts of any | ||||||
21 | contributions to the officeholder or candidate for the office | ||||||
22 | responsible for awarding the contract or to any political | ||||||
23 | committees established to promote the candidacy of such | ||||||
24 | officeholder or candidate for that office made within the | ||||||
25 | previous 2 years by the responsive bidders or offerors and any |
| |||||||
| |||||||
1 | affiliated persons or entities. | ||||||
2 | (c) As used in this Section: | ||||||
3 | "Contribution" means contribution as defined in Section | ||||||
4 | 9-1.4 of the Election Code. | ||||||
5 | "Officeholder" means the Governor, Lieutenant Governor, | ||||||
6 | Attorney General, Secretary of State, Comptroller, or | ||||||
7 | Treasurer. The Governor shall be considered the officeholder | ||||||
8 | responsible for awarding all contracts by all officers and | ||||||
9 | employees of, and vendors and others doing business with, | ||||||
10 | executive branch State agencies under the jurisdiction of the | ||||||
11 | Executive Ethics Commission and not within the jurisdiction of | ||||||
12 | the Attorney General, the Secretary of State, the Comptroller, | ||||||
13 | or the Treasurer. | ||||||
14 | "Sponsoring entity" means sponsoring entity as defined in | ||||||
15 | Section 9-3 of the Election Code. | ||||||
16 | "Affiliated person" means (i) any person with any ownership | ||||||
17 | interest or distributive share of the bidding or contracting | ||||||
18 | entity in excess of 5%, or any person with any ownership | ||||||
19 | interest or distributive share in excess of 5% in any entity | ||||||
20 | that provides legal, professional, consulting, or other | ||||||
21 | services, or subcontracts with the bidding or contracting | ||||||
22 | entity and has or will receive a fee or payment from the | ||||||
23 | bidding or contracting entity related to the award to, or | ||||||
24 | performance of the contract by, the bidding or contracting | ||||||
25 | entity; (ii) executive employees of the bidding or contracting | ||||||
26 | entity, or executive employees of any entity that provides |
| |||||||
| |||||||
1 | legal, professional, consulting, or other services, or | ||||||
2 | subcontracts with the bidding or contracting entity that has or | ||||||
3 | will receive a fee or payment from the bidding or contracting | ||||||
4 | entity related to the award to, or performance of the contract | ||||||
5 | by, the bidding or contracting entity; and (iii) the spouse and | ||||||
6 | minor children of any such persons. | ||||||
7 | "Affiliated entity" means (i) any subsidiary of the bidding | ||||||
8 | or contracting entity; (ii) any member of the same unitary | ||||||
9 | business group; (iii) any entity that provides legal, | ||||||
10 | professional, consulting, or other services, or subcontracts | ||||||
11 | with the bidding or contracting entity that has or will receive | ||||||
12 | a fee or payment from the bidding or contracting entity related | ||||||
13 | to the award to, or the performance of the contract by, the | ||||||
14 | bidding or contracting entity; (iv) any political committee for | ||||||
15 | which the bidding or contracting entity is the sponsoring | ||||||
16 | entity. | ||||||
17 | "Executive employee" means the chairman of the board, | ||||||
18 | president, vice president, secretary, treasurer, or other | ||||||
19 | person holding an executive office.
| ||||||
20 | (d) Pursuant to Section 9 of the State Comptroller Act, the | ||||||
21 | Comptroller may refuse to draw a warrant for payment on any | ||||||
22 | voucher based on the obligation of any contract if the | ||||||
23 | disclosures required by this Section are not filed with the | ||||||
24 | Comptroller. | ||||||
25 | (e) Notwithstanding subsection (b), contributions to any | ||||||
26 | candidate that in the aggregate do not exceed $500 within the |
| |||||||
| |||||||
1 | previous 2 years do not need to be disclosed. | ||||||
2 | (f) Any business whose contracts with State agencies, in | ||||||
3 | the aggregate, annually total more than $25,000 is prohibited | ||||||
4 | from making any contributions to the officeholder or candidate | ||||||
5 | for the office responsible for awarding the contracts or to any | ||||||
6 | political committees established to promote the candidacy of | ||||||
7 | that officeholder or candidate for that office. This | ||||||
8 | prohibition shall be effective for the current term of office | ||||||
9 | of the incumbent awarding the contracts or for a period of 2 | ||||||
10 | years following the conclusion of the contracts, whichever is | ||||||
11 | longer. This prohibition shall also apply to contributions from | ||||||
12 | any affiliated persons or entities. | ||||||
13 | (f-5) During the period beginning on the date the | ||||||
14 | invitation for bids or request for proposals is issued and | ||||||
15 | ending on the day after the date the contract is awarded, any | ||||||
16 | business whose aggregate pending bids and proposals on State | ||||||
17 | contracts total more than $25,000, or whose aggregate pending | ||||||
18 | bids and proposals on State contracts combined with the | ||||||
19 | business' aggregate annual total value of State contracts | ||||||
20 | exceed $25,000, is prohibited from making any contributions to | ||||||
21 | the officeholder or candidate for the office responsible for | ||||||
22 | awarding the contract on which the business has submitted a bid | ||||||
23 | or proposal, or to any political committee established to | ||||||
24 | promote the candidacy of that officeholder or candidate for | ||||||
25 | that office. This prohibition shall also apply to contributions | ||||||
26 | from any affiliated persons or entities. |
| |||||||
| |||||||
1 | (g) All contracts between State agencies and a business | ||||||
2 | that violates subsection (f) or (f-5) shall be voidable under | ||||||
3 | Section 50-60.
| ||||||
4 | If a business violates subsection (f) 3 or more times | ||||||
5 | within a 36-month period, then all contracts between State | ||||||
6 | agencies and that business shall be void, and that business | ||||||
7 | shall not bid or respond to any invitation to bid or request | ||||||
8 | for proposals from any State agency or otherwise enter into any | ||||||
9 | contract with any State agency for 3 years from the date of the | ||||||
10 | last violation. | ||||||
11 | A notice of each violation and the penalty imposed shall be | ||||||
12 | published in both the Procurement Bulletin and the Illinois | ||||||
13 | Register. | ||||||
14 | (h) Any political committee that has received a | ||||||
15 | contribution in violation of subsection (f) or (f-5) shall pay | ||||||
16 | an amount equal to the value of the contribution to the State | ||||||
17 | no more than 30 days after notice of the violation concerning | ||||||
18 | the contribution appears in the Illinois Register. Payments | ||||||
19 | received by the State pursuant to this subsection shall be | ||||||
20 | deposited into the general revenue fund.
| ||||||
21 | Section 35. The Illinois Pension Code is amended by | ||||||
22 | changing Sections 1-101.2, 1-101.4, 1-109.1, 1-110, 1-113.5, | ||||||
23 | 1-113.12, 1A-113, 22A-108.1, and 22A-111 and by adding Sections | ||||||
24 | 1-125, 1-130, 1-135, and 1-140 as follows:
|
| |||||||
| |||||||
1 | (40 ILCS 5/1-101.2)
| ||||||
2 | Sec. 1-101.2. Fiduciary. A person is a "fiduciary" with | ||||||
3 | respect to a
pension fund or retirement system established | ||||||
4 | under this Code to
the extent
that the person:
| ||||||
5 | (1) exercises any discretionary authority or | ||||||
6 | discretionary control
respecting management of the pension | ||||||
7 | fund or retirement system, or exercises
any authority or | ||||||
8 | control respecting management or disposition of its | ||||||
9 | assets;
| ||||||
10 | (2) renders investment advice , or advice with respect | ||||||
11 | to the selection of other fiduciaries, for a fee or other | ||||||
12 | compensation, direct or
indirect, with respect to any | ||||||
13 | moneys or other property of the pension fund or
retirement | ||||||
14 | system, or has any authority or responsibility to do so; or
| ||||||
15 | (3) has any discretionary authority or discretionary | ||||||
16 | responsibility in the
administration of the pension fund or | ||||||
17 | retirement system.
| ||||||
18 | (Source: P.A. 90-507, eff. 8-22-97 .)
| ||||||
19 | (40 ILCS 5/1-101.4)
| ||||||
20 | Sec. 1-101.4. Investment adviser. A person is an | ||||||
21 | "investment adviser",
"investment advisor", or "investment | ||||||
22 | manager" with respect to a pension fund or
retirement system | ||||||
23 | established under this Code if the
the person:
| ||||||
24 | (1) is a fiduciary appointed by the board of trustees | ||||||
25 | of the pension fund
or retirement system in accordance with |
| |||||||
| |||||||
1 | Section 1-109.1;
| ||||||
2 | (2) has the power to manage, acquire, or dispose of any | ||||||
3 | asset of the
retirement system or pension fund;
| ||||||
4 | (3) has acknowledged in writing that he or she is a | ||||||
5 | fiduciary with respect
to the pension fund or retirement | ||||||
6 | system; and
| ||||||
7 | (4) is at least one of the following: (i) registered as | ||||||
8 | an investment
adviser under the federal Investment | ||||||
9 | Advisers Act of 1940 (15 U.S.C. 80b-1, et
seq.); (ii) | ||||||
10 | registered as an investment adviser under the Illinois | ||||||
11 | Securities
Law of 1953; (iii) a bank, as defined in the | ||||||
12 | Investment Advisers Act of 1940;
or (iv) an insurance | ||||||
13 | company authorized to transact business in this State.
| ||||||
14 | (Source: P.A. 90-507, eff. 8-22-97.)
| ||||||
15 | (40 ILCS 5/1-109.1) (from Ch. 108 1/2, par. 1-109.1)
| ||||||
16 | Sec. 1-109.1. Allocation and Delegation of Fiduciary | ||||||
17 | Duties.
| ||||||
18 | (1) Subject to the provisions of Section 22A-113 of this | ||||||
19 | Code and
subsections (2) and (3) of this Section, the board of | ||||||
20 | trustees of a
retirement system or pension fund established | ||||||
21 | under this Code may:
| ||||||
22 | (a) Appoint one or more investment managers as | ||||||
23 | fiduciaries to manage
(including the power to acquire and | ||||||
24 | dispose of) any assets of the
retirement system or pension | ||||||
25 | fund; and
|
| |||||||
| |||||||
1 | (b) Allocate duties among themselves and designate | ||||||
2 | others as fiduciaries
to carry out specific fiduciary | ||||||
3 | activities other than the management of the
assets of the | ||||||
4 | retirement system or pension fund.
| ||||||
5 | (2) The board of trustees of a pension fund established | ||||||
6 | under Article 5, 6,
8, 9, 10, 11, 12 or 17 of this Code may not | ||||||
7 | transfer its investment authority,
nor transfer the assets of | ||||||
8 | the fund to any other person or entity for the
purpose of | ||||||
9 | consolidating or merging its assets and management with any | ||||||
10 | other
pension fund or public investment authority, unless the | ||||||
11 | board resolution
authorizing such transfer is submitted for | ||||||
12 | approval to the contributors and
pensioners of the fund at | ||||||
13 | elections held not less than 30 days after the
adoption of such | ||||||
14 | resolution by the board, and such resolution is approved by a
| ||||||
15 | majority of the votes cast on the question in both the | ||||||
16 | contributors election
and the pensioners election. The | ||||||
17 | election procedures and qualifications
governing the election | ||||||
18 | of trustees shall govern the submission of resolutions
for | ||||||
19 | approval under this paragraph, insofar as they may be made | ||||||
20 | applicable.
| ||||||
21 | (3) Pursuant to subsections (h) and (i) of Section 6 of | ||||||
22 | Article VII of
the Illinois Constitution, the investment | ||||||
23 | authority of boards of trustees
of retirement systems and | ||||||
24 | pension funds established under this Code is declared
to be a | ||||||
25 | subject of exclusive State jurisdiction, and the concurrent | ||||||
26 | exercise
by a home rule unit of any power affecting such |
| |||||||
| |||||||
1 | investment authority is
hereby specifically denied and | ||||||
2 | preempted.
| ||||||
3 | (4) For the purposes of this Code, "emerging investment | ||||||
4 | manager" means a
qualified investment adviser that manages an | ||||||
5 | investment portfolio of at
least $10,000,000 but less than | ||||||
6 | $2,000,000,000 and is a
"minority owned business" or "female | ||||||
7 | owned business" as those terms are
defined in the Business | ||||||
8 | Enterprise for Minorities,
Females, and Persons with | ||||||
9 | Disabilities Act.
| ||||||
10 | It is hereby declared to be the public policy of the State | ||||||
11 | of Illinois to
encourage the trustees of public employee | ||||||
12 | retirement systems
to use emerging investment managers in | ||||||
13 | managing their system's assets to the
greatest extent feasible | ||||||
14 | within the bounds of financial and fiduciary
prudence, and to | ||||||
15 | take affirmative steps to remove any barriers to the full
| ||||||
16 | participation of emerging investment managers in investment | ||||||
17 | opportunities
afforded by those retirement systems.
| ||||||
18 | On or before July 1, 2007 each system or fund subject to | ||||||
19 | Article 2, 5, 6, 7, 8, 9, 10, 11, 12, 14, 15, 16, 17, or 18 of | ||||||
20 | this Code and the Illinois State Board of Investment shall | ||||||
21 | adopt a policy including quantifiable goals for the utilization | ||||||
22 | of emerging investment managers. This policy shall also include | ||||||
23 | quantifiable goals for the management of assets in specific | ||||||
24 | classes by emerging investment managers, including but not | ||||||
25 | limited to: large cap domestic equity, small and medium cap | ||||||
26 | domestic equity, international equity, fixed income |
| |||||||
| |||||||
1 | investments, and private equity.
| ||||||
2 | Each retirement system subject to this Code shall prepare a
| ||||||
3 | report to be submitted to the Governor and the General Assembly | ||||||
4 | by
September 1 of each year. The report shall identify the | ||||||
5 | emerging
investment managers used by the system, the percentage | ||||||
6 | of the system's
assets under the investment control of emerging | ||||||
7 | investment managers, and
the actions it has undertaken to | ||||||
8 | increase the use of emerging investment
managers, including | ||||||
9 | encouraging other investment managers to use emerging
| ||||||
10 | investment managers as subcontractors when the opportunity | ||||||
11 | arises.
| ||||||
12 | The use of an emerging investment manager does not | ||||||
13 | constitute a transfer
of investment authority for the purposes | ||||||
14 | of subsection (2) of this Section.
| ||||||
15 | (Source: P.A. 94-471, eff. 8-4-05.)
| ||||||
16 | (40 ILCS 5/1-110) (from Ch. 108 1/2, par. 1-110)
| ||||||
17 | Sec. 1-110. Prohibited Transactions.
| ||||||
18 | (a) A fiduciary with respect to a retirement system or | ||||||
19 | pension fund shall
not cause the retirement system or pension | ||||||
20 | fund to engage in a transaction if
he or she knows or should | ||||||
21 | know that such transaction constitutes a direct or
indirect:
| ||||||
22 | (1) Sale or exchange, or leasing of any property from | ||||||
23 | the retirement
system
or pension fund to a party in | ||||||
24 | interest for less than adequate consideration,
or from a | ||||||
25 | party in interest to a retirement system or pension fund |
| |||||||
| |||||||
1 | for more
than adequate consideration.
| ||||||
2 | (2) Lending of money or other extension of credit from | ||||||
3 | the retirement
system or pension fund to a party in | ||||||
4 | interest without the receipt of adequate
security and a | ||||||
5 | reasonable rate of interest, or from a party in interest to
| ||||||
6 | a retirement system or pension fund with the provision of | ||||||
7 | excessive security
or an unreasonably high rate of | ||||||
8 | interest.
| ||||||
9 | (3) Furnishing of goods, services or facilities from | ||||||
10 | the retirement
system or pension fund to a party in | ||||||
11 | interest for less than adequate
consideration, or from a | ||||||
12 | party in interest to a retirement system or
pension fund | ||||||
13 | for more than adequate consideration.
| ||||||
14 | (4) Transfer to, or use by or for the benefit of, a | ||||||
15 | party in interest
of any assets of a retirement system or | ||||||
16 | pension fund for less than adequate
consideration.
| ||||||
17 | (b) A fiduciary with respect to a retirement system or | ||||||
18 | pension fund
established under this Code shall not:
| ||||||
19 | (1) Deal with the assets of the retirement system or | ||||||
20 | pension fund in his
own interest or for his own account;
| ||||||
21 | (2) In his individual or any other capacity act in any | ||||||
22 | transaction
involving the retirement system or pension | ||||||
23 | fund on behalf of a party whose
interests are adverse to | ||||||
24 | the interests of the retirement system or pension fund
or | ||||||
25 | the interests of its participants or beneficiaries; or
| ||||||
26 | (3) Receive any consideration for his own personal |
| |||||||
| |||||||
1 | account from any party
dealing with the retirement system | ||||||
2 | or pension fund in connection with a
transaction involving | ||||||
3 | the assets of the retirement system or pension
fund.
| ||||||
4 | (c) Nothing in this Section shall be construed to prohibit | ||||||
5 | any trustee from:
| ||||||
6 | (1) Receiving any benefit to which he may be entitled | ||||||
7 | as a participant
or beneficiary in the retirement system or | ||||||
8 | pension fund.
| ||||||
9 | (2) Receiving any reimbursement of expenses properly | ||||||
10 | and actually incurred
in the performance of his duties with | ||||||
11 | the retirement system or pension fund.
| ||||||
12 | (3) Serving as a trustee in addition to being an | ||||||
13 | officer, employee, agent
or other representative of a party | ||||||
14 | in interest.
| ||||||
15 | (d) A fiduciary with respect to a retirement system or | ||||||
16 | pension fund shall
not knowingly cause or advise the retirement | ||||||
17 | system or pension fund to engage in an investment transaction | ||||||
18 | when the fiduciary (i) has any direct interest in
the income, | ||||||
19 | gains, or profits of the investment advisor through which the | ||||||
20 | investment transaction is made or (ii) has a business | ||||||
21 | relationship with that investment advisor that would result in | ||||||
22 | a pecuniary benefit to the fiduciary as a result of the | ||||||
23 | investment transaction. | ||||||
24 | Whoever violates the provisions of this
subsection (d) is | ||||||
25 | guilty of a Class 3 felony.
| ||||||
26 | (Source: P.A. 88-535.)
|
| |||||||
| |||||||
1 | (40 ILCS 5/1-113.5)
| ||||||
2 | Sec. 1-113.5. Investment advisers ; consultants; and | ||||||
3 | investment services.
| ||||||
4 | (a) The board of trustees of a pension fund or retirement | ||||||
5 | system may appoint investment advisers
as defined in Section | ||||||
6 | 1-101.4. The board of any pension fund investing in
common or | ||||||
7 | preferred stock under Section 1-113.4 shall appoint an | ||||||
8 | investment
adviser before making such investments.
| ||||||
9 | The investment adviser shall be a fiduciary, as defined in | ||||||
10 | Section 1-101.2,
with respect to the pension fund or retirement | ||||||
11 | system and shall be one of the following:
| ||||||
12 | (1) an investment adviser registered under the federal | ||||||
13 | Investment Advisers
Act of 1940 and the Illinois Securities | ||||||
14 | Law of 1953;
| ||||||
15 | (2) a bank or trust company authorized to conduct a | ||||||
16 | trust business in
Illinois;
| ||||||
17 | (3) a life insurance company authorized to transact | ||||||
18 | business in Illinois;
or
| ||||||
19 | (4) an investment company as defined and registered | ||||||
20 | under the federal
Investment Company Act of 1940 and | ||||||
21 | registered under the Illinois Securities Law
of 1953.
| ||||||
22 | (a-5) Notwithstanding any other provision of law, a person | ||||||
23 | or entity that provides consulting services (referred to as a | ||||||
24 | "consultant" in this Section) to a pension fund or retirement | ||||||
25 | system with respect to the selection of fiduciaries may not be |
| |||||||
| |||||||
1 | awarded a contract to provide those consulting services that is | ||||||
2 | more than 5 years in duration. No contract to provide such | ||||||
3 | consulting services may be renewed or extended. At the end of | ||||||
4 | the term of a contract, however, the contractor is eligible to | ||||||
5 | compete for a new contract as provided in subsection (a-10). No | ||||||
6 | pension fund, retirement system, or consultant shall attempt to | ||||||
7 | avoid or contravene the restrictions of this subsection by any | ||||||
8 | means.
| ||||||
9 | (a-10) For the board of trustees of a pension fund or | ||||||
10 | retirement system created under Article 2, 14, 15, 16, or 18, | ||||||
11 | the selection and appointment of a consultant, and the | ||||||
12 | contracting for investment services from a consultant, | ||||||
13 | constitute procurements of professional and artistic services | ||||||
14 | under the Illinois Procurement Code that must be made and | ||||||
15 | awarded in accordance with and through the use of the method of | ||||||
16 | selection required by Article 35 of that Code. For the board of | ||||||
17 | trustees of a pension fund or retirement system created under | ||||||
18 | any other Article of this Code, the selection and appointment | ||||||
19 | of a consultant, and the contracting for investment services by | ||||||
20 | a consultant, constitute procurements that must be made and | ||||||
21 | awarded in a manner substantially similar to the method of | ||||||
22 | selection required for the procurement of professional and | ||||||
23 | artistic services under Article 35 of the Illinois Procurement | ||||||
24 | Code. All offers from responsive offerors shall be accompanied | ||||||
25 | by disclosure of the names and addresses of the following:
| ||||||
26 | (1) The offeror. |
| |||||||
| |||||||
1 | (2) Any entity that is a parent of, or owns a | ||||||
2 | controlling interest in, the offeror. | ||||||
3 | (3) Any entity that is a subsidiary of, or in which a | ||||||
4 | controlling interest is owned by, the offeror. | ||||||
5 | (4) The offeror's key persons. | ||||||
6 | "Key persons" means any persons who (i) have an ownership | ||||||
7 | or distributive income share in the offeror that is in excess | ||||||
8 | of 5%, or an amount greater than 60% of the annual salary of | ||||||
9 | the Governor, or (ii) serve as executive officers of the | ||||||
10 | offeror. | ||||||
11 | Beginning on July 1, 2007, a person, other than a trustee | ||||||
12 | or an employee of a pension fund or retirement system, may not | ||||||
13 | act as a consultant under this Section unless that person is at | ||||||
14 | least one of the following: (i) registered as an investment | ||||||
15 | adviser under the federal Investment Advisers Act of 1940 (15 | ||||||
16 | U.S.C. 80b-1, et seq.); (ii) registered as an investment | ||||||
17 | adviser under the Illinois Securities Law of 1953; (iii) a | ||||||
18 | bank, as defined in the Investment Advisers Act of 1940; or | ||||||
19 | (iv) an insurance company authorized to transact business in | ||||||
20 | this State.
| ||||||
21 | (b) All investment advice and services provided by an | ||||||
22 | investment adviser
or a consultant appointed under this Section | ||||||
23 | shall be (i) rendered pursuant to a written contract
between | ||||||
24 | the investment adviser or consultant and the board , awarded as | ||||||
25 | provided in subsection (a-10) , and (ii) in accordance with the
| ||||||
26 | board's investment policy.
|
| |||||||
| |||||||
1 | The contract shall include all of the following:
| ||||||
2 | (1) acknowledgement in writing by the investment | ||||||
3 | adviser or consultant that he or she
is a fiduciary with | ||||||
4 | respect to the pension fund or retirement system ;
| ||||||
5 | (2) the board's investment policy;
| ||||||
6 | (3) full disclosure of direct and indirect fees, | ||||||
7 | commissions, penalties,
and any other compensation that | ||||||
8 | may be received by the investment adviser or consultant ,
| ||||||
9 | including reimbursement for expenses; and
| ||||||
10 | (4) a requirement that the investment adviser or | ||||||
11 | consultant submit periodic written
reports, on at least a | ||||||
12 | quarterly basis, for the board's review at its regularly
| ||||||
13 | scheduled meetings. All returns on investment shall be | ||||||
14 | reported as net returns
after payment of all fees, | ||||||
15 | commissions, and any other compensation.
| ||||||
16 | (b-5) Each contract described in subsection (b) shall also | ||||||
17 | include (i) full disclosure of direct and indirect fees, | ||||||
18 | commissions, penalties, and other compensation, including | ||||||
19 | reimbursement for expenses, that may be paid by or on behalf of | ||||||
20 | the investment adviser or consultant in connection with the | ||||||
21 | provision of services to the pension fund or retirement system | ||||||
22 | and (ii) a requirement that the investment adviser or | ||||||
23 | consultant update the disclosure promptly after a modification | ||||||
24 | of those payments or an additional payment. | ||||||
25 | Within 30 days after the effective date of this amendatory | ||||||
26 | Act of the 95th General Assembly, each investment adviser and |
| |||||||
| |||||||
1 | consultant currently providing services or subject to an | ||||||
2 | existing contract for the provision of services must disclose | ||||||
3 | to the board of trustees all direct and indirect fees, | ||||||
4 | commissions, penalties, and other compensation paid by or on | ||||||
5 | behalf of the investment adviser or consultant in connection | ||||||
6 | with the provision of those services and shall update that | ||||||
7 | disclosure promptly after a modification of those payments or | ||||||
8 | an additional payment.
| ||||||
9 | A person required to make a disclosure under subsection (d) | ||||||
10 | is also required to disclose direct and indirect fees, | ||||||
11 | commissions, penalties, or other compensation that shall or may | ||||||
12 | be paid by or on behalf of the person in connection with the | ||||||
13 | rendering of those services. The person shall update the | ||||||
14 | disclosure promptly after a modification of those payments or | ||||||
15 | an additional payment. | ||||||
16 | The disclosures required by this subsection shall be in | ||||||
17 | writing and shall include the date and amount of each payment | ||||||
18 | and the name and address of each recipient of a payment.
| ||||||
19 | (c) Within 30 days after appointing an investment adviser | ||||||
20 | or consultant , the board shall
submit a copy of the contract to | ||||||
21 | the Division
Department of Insurance of the Department of | ||||||
22 | Financial and Professional Regulation .
| ||||||
23 | (d) Investment services provided by a person other than an | ||||||
24 | investment
adviser appointed under this Section, including but | ||||||
25 | not limited to services
provided by the kinds of persons listed | ||||||
26 | in items (1) through (4) of subsection
(a), shall be rendered |
| |||||||
| |||||||
1 | only after full written disclosure of direct and
indirect fees, | ||||||
2 | commissions, penalties, and any other compensation that shall | ||||||
3 | or
may be received by the person rendering those services.
| ||||||
4 | (e) The board of trustees of each pension fund or | ||||||
5 | retirement system shall retain records of
investment | ||||||
6 | transactions in accordance with the rules of the Department of
| ||||||
7 | Financial and Professional Regulation
Insurance .
| ||||||
8 | (f) This subsection applies to the board of trustees of a | ||||||
9 | pension fund or retirement system created under Article 2, 14, | ||||||
10 | 15, 16, or 18. Notwithstanding any other provision of law, a | ||||||
11 | board of trustees shall comply with the Business Enterprise for | ||||||
12 | Minorities, Females, and Persons with Disabilities Act. The | ||||||
13 | board of trustees shall post upon its website the percentage of | ||||||
14 | its contracts awarded under this Section currently and during | ||||||
15 | the preceding 5 fiscal years that were awarded to "minority | ||||||
16 | owned businesses", "female owned businesses", and "businesses | ||||||
17 | owned by a person with a disability", as those terms are | ||||||
18 | defined in the Business Enterprise for Minorities, Females, and | ||||||
19 | Persons with Disabilities Act.
| ||||||
20 | (g) This Section is a denial and limitation of home rule | ||||||
21 | powers and functions in accordance with subsection (i) of | ||||||
22 | Section 6 of Article VII of the Illinois Constitution. A home | ||||||
23 | rule unit may not regulate investment adviser and consultant | ||||||
24 | contracts in a manner that is less restrictive than the | ||||||
25 | provisions of this Section.
| ||||||
26 | (Source: P.A. 90-507, eff. 8-22-97.)
|
| |||||||
| |||||||
1 | (40 ILCS 5/1-113.12)
| ||||||
2 | Sec. 1-113.12. Application. Sections 1-113.1 through | ||||||
3 | 1-113.10 apply only
to pension funds established under Article | ||||||
4 | 3 or 4 of this Code , except that Section 1-113.5 applies to all | ||||||
5 | pension funds and retirement systems established under this | ||||||
6 | Code .
| ||||||
7 | (Source: P.A. 90-507, eff. 8-22-97.)
| ||||||
8 | (40 ILCS 5/1-125 new) | ||||||
9 | Sec. 1-125. No monetary gain on investments. No trustee or | ||||||
10 | employee of the board of any retirement system or pension fund | ||||||
11 | or of the Illinois State Board of Investment shall have any | ||||||
12 | direct interest in
the income, gains, or profits of any | ||||||
13 | investments made in behalf of the
retirement system or pension | ||||||
14 | fund or of the Illinois State Board of Investment, nor receive | ||||||
15 | any pay
or emolument for services in
connection with any | ||||||
16 | investment. No trustee or employee of the board of any | ||||||
17 | retirement system or pension fund or the Illinois State Board | ||||||
18 | of Investment shall
become an endorser or surety, or in any | ||||||
19 | manner an obligor for money loaned
or borrowed from the | ||||||
20 | retirement system or pension fund or the Illinois State Board | ||||||
21 | of Investment. Whoever violates any of the provisions of this
| ||||||
22 | Section is guilty of a Class 3 felony. | ||||||
23 | (40 ILCS 5/1-130 new) |
| |||||||
| |||||||
1 | Sec. 1-130. Fraud. Any person who knowingly makes any false | ||||||
2 | statement, or falsifies or
permits to be falsified any record | ||||||
3 | of a retirement system or pension fund or of the Illinois State | ||||||
4 | Board of Investment, in an attempt to
defraud the retirement | ||||||
5 | system or pension fund or the Illinois State Board of | ||||||
6 | Investment, is guilty of a Class 3 felony. | ||||||
7 | (40 ILCS 5/1-135 new) | ||||||
8 | Sec. 1-135. Prohibition on gifts. | ||||||
9 | (a) For the purposes of this Section: | ||||||
10 | (1) "Board" means (i) the board of trustees of a | ||||||
11 | pension fund or retirement system created under this Code | ||||||
12 | or (ii) the Illinois State Board of Investment created | ||||||
13 | under Article 22A of this Code. | ||||||
14 | (2) "Gift" means a gift as defined in Section 1-5 of | ||||||
15 | the State Officials and Employees Ethics Act. | ||||||
16 | (3) "Prohibited source" is a person or entity who: | ||||||
17 | (i) is seeking official action (A) by the board, | ||||||
18 | (B) by a board member, or (C) in the case of a board | ||||||
19 | employee, by the employee, the board, a board member, | ||||||
20 | or another employee directing the employee; | ||||||
21 | (ii) does business or seeks to do business (A) with | ||||||
22 | the board, (B) with a board member, or (C) in the case | ||||||
23 | of a board employee, with the employee, the board, a | ||||||
24 | board member, or another employee directing the | ||||||
25 | employee; |
| |||||||
| |||||||
1 | (iii) has interests that may be substantially | ||||||
2 | affected by the performance or non-performance of the | ||||||
3 | official duties of the board member or employee; or | ||||||
4 | (iv) is registered or required to be registered | ||||||
5 | with the Secretary of State under the Lobbyist | ||||||
6 | Registration Act, except that an entity not otherwise a | ||||||
7 | prohibited source does not become a prohibited source | ||||||
8 | merely because a registered lobbyist is one of its | ||||||
9 | members or serves on its board of directors.
| ||||||
10 | (b) No board member or employee shall solicit or accept any | ||||||
11 | gift from a prohibited source or from an officer, agent, or | ||||||
12 | employee of a prohibited source. No prohibited source or | ||||||
13 | officer, agent, or employee of a prohibited source shall offer | ||||||
14 | to a board member or employee any gift. | ||||||
15 | (c) Violation of this Section is a Class A misdemeanor. | ||||||
16 | (40 ILCS 5/1-140 new)
| ||||||
17 | Sec. 1-140. Contingent fees. No person shall retain or | ||||||
18 | employ another to attempt to influence the outcome of an | ||||||
19 | investment decision of or the procurement of investment advice | ||||||
20 | or services by a board of a pension fund or retirement system | ||||||
21 | or the Illinois State Board of Investment for compensation | ||||||
22 | contingent in whole or in part upon the decision or | ||||||
23 | procurement, and no person shall accept any such retainer or | ||||||
24 | employment for compensation contingent in whole or in part upon | ||||||
25 | the decision or procurement. Any person who violates this |
| |||||||
| |||||||
1 | Section is guilty of a business offense and shall be fined not | ||||||
2 | more than $10,000. In addition, any person convicted of a | ||||||
3 | violation of this Section is prohibited for a period of 3 years | ||||||
4 | from conducting such activities.
| ||||||
5 | (40 ILCS 5/1A-113)
| ||||||
6 | Sec. 1A-113. Penalties.
| ||||||
7 | (a) A pension fund that fails, without just cause, to file | ||||||
8 | its annual
statement within the time prescribed under Section | ||||||
9 | 1A-109 shall pay to the
Department a penalty to be determined | ||||||
10 | by the Department, which shall not exceed
$100 for each day's | ||||||
11 | delay.
| ||||||
12 | (b) A pension fund that fails, without just cause, to file | ||||||
13 | its actuarial
statement within the time prescribed under | ||||||
14 | Section 1A-110 or 1A-111 shall pay
to the Department a penalty | ||||||
15 | to be determined by the Department, which shall not
exceed $100 | ||||||
16 | for each day's delay.
| ||||||
17 | (c) A pension fund that fails to pay a fee within the time | ||||||
18 | prescribed under
Section 1A-112 shall pay to the Department a | ||||||
19 | penalty of 5% of the amount of the
fee for each month or part of | ||||||
20 | a month that the fee is late. The entire penalty
shall not | ||||||
21 | exceed 25% of the fee due.
| ||||||
22 | (d) This subsection applies to any governmental unit, as | ||||||
23 | defined in Section
1A-102, that is subject to any law | ||||||
24 | establishing a pension fund or retirement
system for the | ||||||
25 | benefit of employees of the governmental unit.
|
| |||||||
| |||||||
1 | Whenever the Division determines by examination, | ||||||
2 | investigation, or in any
other manner that the governing body | ||||||
3 | or any elected or appointed officer or
official of a | ||||||
4 | governmental unit has failed to comply with any provision of | ||||||
5 | that
law:
| ||||||
6 | (1) The Director shall notify in writing the governing | ||||||
7 | body, officer, or
official of the specific provision or | ||||||
8 | provisions of the law with which the
person has failed to | ||||||
9 | comply.
| ||||||
10 | (2) Upon receipt of the notice, the person notified | ||||||
11 | shall take immediate
steps to comply with the provisions of | ||||||
12 | law specified in the notice.
| ||||||
13 | (3) If the person notified fails to comply within a | ||||||
14 | reasonable time after
receiving the notice, the Director | ||||||
15 | may hold a hearing at which the person
notified may show | ||||||
16 | cause for noncompliance with the law.
| ||||||
17 | (4) If upon hearing the Director determines that good | ||||||
18 | and sufficient cause
for noncompliance has not been shown, | ||||||
19 | the Director may order the person to
submit evidence of | ||||||
20 | compliance within a specified period of not less than 30
| ||||||
21 | days.
| ||||||
22 | (5) If evidence of compliance has not been submitted to | ||||||
23 | the Director
within the period of time prescribed in the | ||||||
24 | order and no administrative appeal
from the order has been | ||||||
25 | initiated, the Director may assess a civil penalty of
up to | ||||||
26 | $2,000 against the governing body, officer, or
official for |
| |||||||
| |||||||
1 | each noncompliance with an order of the Director.
| ||||||
2 | The Director shall develop by rule, with as much | ||||||
3 | specificity as
practicable, the standards and criteria to be | ||||||
4 | used in assessing penalties and
their amounts. The standards | ||||||
5 | and criteria shall include, but need not be
limited to, | ||||||
6 | consideration of evidence of efforts made in good faith to | ||||||
7 | comply
with applicable legal requirements. This rulemaking is | ||||||
8 | subject to the
provisions of the Illinois Administrative | ||||||
9 | Procedure Act.
| ||||||
10 | If a penalty is not paid within 30 days of the date of | ||||||
11 | assessment, the
Director without further notice shall report | ||||||
12 | the act of noncompliance to the
Attorney General of this State. | ||||||
13 | It shall be the duty of the Attorney General
or, if the | ||||||
14 | Attorney General so designates, the State's Attorney of the | ||||||
15 | county
in which the governmental unit is located to apply | ||||||
16 | promptly by complaint on
relation of the Director of Insurance | ||||||
17 | in the name of the people of the State of
Illinois, as | ||||||
18 | plaintiff, to the circuit court of the county in which the
| ||||||
19 | governmental unit is located for enforcement of the penalty | ||||||
20 | prescribed in this
subsection or for such additional relief as | ||||||
21 | the nature of the case and the
interest of the employees of the | ||||||
22 | governmental unit or the public may require.
| ||||||
23 | (e)
Whoever knowingly makes a false certificate, entry, or | ||||||
24 | memorandum upon
any of the books or papers pertaining to any | ||||||
25 | pension fund or upon any
statement, report, or exhibit filed or | ||||||
26 | offered for file with the Division or
the Director of Insurance |
| |||||||
| |||||||
1 | in the course of any examination, inquiry, or
investigation, | ||||||
2 | with intent to deceive the Director, the Division, or any of | ||||||
3 | its
employees is guilty of a Class 3 felony
A misdemeanor .
| ||||||
4 | (Source: P.A. 90-507, eff. 8-22-97.)
| ||||||
5 | (40 ILCS 5/22A-108.1) (from Ch. 108 1/2, par. 22A-108.1)
| ||||||
6 | Sec. 22A-108.1. Investment Advisor: Any person or business | ||||||
7 | entity
which provides investment advice to the
the Board on a | ||||||
8 | personalized basis and with an
understanding of the policies | ||||||
9 | and goals of the Board. "Investment Advisor" shall
not include | ||||||
10 | any person or business entity which provides statistical or | ||||||
11 | general
market research data available for purchase or use by | ||||||
12 | others.
| ||||||
13 | (Source: P.A. 79-1171.)
| ||||||
14 | (40 ILCS 5/22A-111) (from Ch. 108 1/2, par. 22A-111)
| ||||||
15 | Sec. 22A-111. Duties and responsibilities.
| ||||||
16 | (a) The Board shall manage the investments of any pension
| ||||||
17 | fund, retirement system or education fund for the purpose
of | ||||||
18 | obtaining a total return on
investments for the long term. It | ||||||
19 | also shall perform such other functions as
may be assigned or | ||||||
20 | directed by the General Assembly.
| ||||||
21 | (b) The authority of the board to manage pension fund | ||||||
22 | investments and the
liability shall begin when there has been a | ||||||
23 | physical transfer of the pension
fund investments to the board | ||||||
24 | and placed in the custody of the State Treasurer.
|
| |||||||
| |||||||
1 | (c) The authority of the board to manage monies from the | ||||||
2 | education fund for
investment and the liability of the board | ||||||
3 | shall begin when there has been a
physical transfer of | ||||||
4 | education fund investments to the board and placed in
the | ||||||
5 | custody of the State Treasurer.
| ||||||
6 | (d) The board may not delegate its management functions but | ||||||
7 | it may arrange
to compensate for personalized investment | ||||||
8 | advisory service
for any or all investments under its control, | ||||||
9 | with any national or state bank
or trust company authorized to | ||||||
10 | do a trust business and domiciled in Illinois,
or other | ||||||
11 | financial institution organized under the laws of Illinois, or | ||||||
12 | an
investment advisor who is qualified under Federal Investment | ||||||
13 | Advisors Act of 1940
and is registered under the Illinois | ||||||
14 | Securities Law of 1953. Nothing contained
herein shall prevent | ||||||
15 | the Board from subscribing to general investment research
| ||||||
16 | services available for purchase or use by others. The Board | ||||||
17 | shall also have
the authority to compensate for accounting | ||||||
18 | services.
| ||||||
19 | (e) Notwithstanding any other provision of law, a person or | ||||||
20 | entity that provides consulting services (referred to as a | ||||||
21 | "consultant" in this Section) to the board with respect to the | ||||||
22 | selection of fiduciaries may not be awarded a contract to | ||||||
23 | provide those consulting services that is more than 5 years in | ||||||
24 | duration. No contract to provide such consulting services may | ||||||
25 | be renewed or extended. At the end of the term of a contract, | ||||||
26 | however, the contractor is eligible to compete for a new |
| |||||||
| |||||||
1 | contract as provided in subsection (f). Neither the board nor a | ||||||
2 | consultant shall attempt to avoid or contravene the | ||||||
3 | restrictions of this subsection by any means.
| ||||||
4 | (f) The selection of a consultant, and the contracting for | ||||||
5 | investment services from a consultant, constitute procurements | ||||||
6 | of professional and artistic services under the Illinois | ||||||
7 | Procurement Code that must be made and awarded in accordance | ||||||
8 | with and through the use of the method of selection required by | ||||||
9 | Article 35 of that Code. All offers from responsive offerors | ||||||
10 | shall be accompanied by disclosure of the names and addresses | ||||||
11 | of the following: | ||||||
12 | (1) The offeror. | ||||||
13 | (2) Any entity that is a parent of, or owns a | ||||||
14 | controlling interest in, the offeror. | ||||||
15 | (3) Any entity that is a subsidiary of, or in which a | ||||||
16 | controlling interest is owned by, the offeror. | ||||||
17 | (4) The offeror's key persons. | ||||||
18 | "Key persons" means any persons who (i) have an ownership | ||||||
19 | or distributive income share in the offeror that is in excess | ||||||
20 | of 5%, or an amount greater than 60% of the annual salary of | ||||||
21 | the Governor, or (ii) serve as executive officers of the | ||||||
22 | offeror. | ||||||
23 | Beginning on July 1, 2007, a person, other than a trustee | ||||||
24 | or an employee of the board, may not act as a consultant under | ||||||
25 | this Section unless that person is at least one of the | ||||||
26 | following: (i) registered as an investment adviser under the |
| |||||||
| |||||||
1 | federal Investment Advisers Act of 1940 (15 U.S.C. 80b-1, et | ||||||
2 | seq.); (ii) registered as an investment adviser under the | ||||||
3 | Illinois Securities Law of 1953; (iii) a bank, as defined in | ||||||
4 | the Investment Advisers Act of 1940; or (iv) an insurance | ||||||
5 | company authorized to transact business in this State.
| ||||||
6 | In addition to any other requirement, each contract between | ||||||
7 | the Board and an investment advisor or consultant shall include | ||||||
8 | (i) full disclosure of direct and indirect fees, commissions, | ||||||
9 | penalties, and other compensation, including reimbursement for | ||||||
10 | expenses, that may be paid by or on behalf of the investment | ||||||
11 | advisor or consultant in connection with the provision of | ||||||
12 | services to the pension fund or retirement system and (ii) a | ||||||
13 | requirement that the investment advisor or consultant update | ||||||
14 | the disclosure promptly after a modification of those payments | ||||||
15 | or an additional payment. | ||||||
16 | Within 30 days after the effective date of this amendatory | ||||||
17 | Act of the 95th General Assembly, each investment advisor and | ||||||
18 | consultant currently providing services or subject to an | ||||||
19 | existing contract for the provision of services must disclose | ||||||
20 | to the Board all direct and indirect fees, commissions, | ||||||
21 | penalties, and other compensation paid by or on behalf of the | ||||||
22 | investment advisor or consultant in connection with the | ||||||
23 | provision of those services and shall update that disclosure | ||||||
24 | promptly after a modification of those payments or an | ||||||
25 | additional payment. | ||||||
26 | The disclosures required by this subsection shall be in |
| |||||||
| |||||||
1 | writing and shall include the date and amount of each payment | ||||||
2 | and the name and address of each recipient of a payment. | ||||||
3 | Notwithstanding any other provision of law, the Board shall | ||||||
4 | comply with the Business Enterprise for Minorities, Females, | ||||||
5 | and Persons with Disabilities Act. The Board shall post upon | ||||||
6 | its website the percentage of its contracts awarded under this | ||||||
7 | subsection currently and during the preceding 5 fiscal years | ||||||
8 | that were awarded to "minority owned businesses", "female owned | ||||||
9 | businesses", and "businesses owned by a person with a | ||||||
10 | disability", as those terms are defined in the Business | ||||||
11 | Enterprise for Minorities, Females, and Persons with | ||||||
12 | Disabilities Act.
| ||||||
13 | (Source: P.A. 84-1127.)
| ||||||
14 | (40 ILCS 5/2-152 rep.)
| ||||||
15 | (40 ILCS 5/2-155 rep.)
| ||||||
16 | (40 ILCS 5/12-190.3 rep.)
| ||||||
17 | (40 ILCS 5/13-806 rep.)
| ||||||
18 | (40 ILCS 5/14-148 rep.)
| ||||||
19 | (40 ILCS 5/15-186 rep.)
| ||||||
20 | (40 ILCS 5/15-189 rep.)
| ||||||
21 | (40 ILCS 5/16-191 rep.)
| ||||||
22 | (40 ILCS 5/16-198 rep.)
| ||||||
23 | (40 ILCS 5/18-159 rep.)
| ||||||
24 | (40 ILCS 5/18-162 rep.)
| ||||||
25 | Section 40. The Illinois Pension Code is amended by |
| |||||||
| |||||||
1 | repealing Sections 2-152, 2-155, 12-190.3, 13-806, 14-148, | ||||||
2 | 15-186, 15-189, 16-191, 16-198, 18-159, and 18-162. | ||||||
3 | Section 90. The State Mandates Act is amended by adding | ||||||
4 | Section 8.31 as follows: | ||||||
5 | (30 ILCS 805/8.31 new) | ||||||
6 | Sec. 8.31. Exempt mandate. Notwithstanding Sections 6 and 8 | ||||||
7 | of this Act, no reimbursement by the State is required for the | ||||||
8 | implementation of any mandate created by this amendatory Act of | ||||||
9 | the 95th General Assembly. | ||||||
10 | Section 98. Severability. The provisions of this Act are | ||||||
11 | severable under Section 1.31 of the Statute on Statutes.
| ||||||
12 | Section 99. Effective date. This Act takes effect upon | ||||||
13 | becoming law.".
|