[ Search ] [ Legislation ] [ Bill Summary ]
[ Home ] [ Back ] [ Bottom ]
90_HB3354
New Act
5 ILCS 420/4A-101 from Ch. 127, par. 604A-101
5 ILCS 420/4A-102 from Ch. 127, par. 604A-102
5 ILCS 420/4A-103 from Ch. 127, par. 604A-103
5 ILCS 420/4A-106 from Ch. 127, par. 604A-106
5 ILCS 420/4A-107 from Ch. 127, par. 604A-107
Creates the State Employee Gift Ban Act and amends the
Illinois Governmental Ethics Act. Prohibits officers and
employees of the State executive branch from accepting or
soliciting gifts from lobbyists, State contractors,
State-regulated entities, entities with interests affected by
a State agency's activities, and the spouse or children of
those persons. Provides that a violating State officer or
employee forfeits his or her office or employment and a
violating donor commits a business offense with a fine up to
$10,000. Requires executive branch officers and employees
not already required to file statements of economic interests
to do so. Effective immediately.
LRB9010686JMdvA
LRB9010686JMdvA
1 AN ACT concerning governmental ethics.
2 Be it enacted by the People of the State of Illinois,
3 represented in the General Assembly:
4 Section 1. Short title. This Act may be cited as the
5 State Employee Gift Ban Act.
6 Section 5. Definitions. The words and phrases used in
7 this Act have the meanings ascribed to them in the following
8 Sections.
9 Section 5.5. State agency. "State agency" means any
10 agency, department, officer, office, commission, board, or
11 authority within the executive branch of State government,
12 whether created by the Illinois Constitution, by or in
13 accordance with statute, or by executive order of the
14 Governor.
15 Section 5.10. State employee. "State employee" means
16 any director or secretary, officer, or employee of a State
17 agency.
18 Section 5.15. Gift.
19 (a) Except as excluded by subsection (b), "gift" means
20 any tangible or intangible thing of value.
21 (b) "Gift" does not include the following:
22 (1) certificates, plaques, and trophies given as
23 mementos if the aggregate value of such items from one
24 source is less than $25 per calendar year; or
25 (2) attendance by a State employee at widely
26 attended gatherings, including, but not limited to,
27 luncheons and speaking engagements, when attendance is
28 required or requested and is beneficial to his or her
-2- LRB9010686JMdvA
1 State agency or a customary and necessary aspect of his
2 or her duties.
3 Section 5.20. Prohibited source. "Prohibited source"
4 means any person or entity who:
5 (1) is required to register under the Lobbyist
6 Registration Act;
7 (2) is seeking official action by any State agency;
8 (3) does business or seeks to do business with any
9 State agency;
10 (4) conducts activities regulated by any State
11 agency;
12 (5) has interests that may be substantially
13 affected by the performance or non-performance of the
14 official duties of an employee of any State agency; or
15 (6) is a spouse or child of, or a member of the
16 immediate family living with, an individual described in
17 this Section.
18 Section 10. Gifts prohibited. Except as otherwise
19 provided in this Act, no State employee shall, directly or
20 indirectly, solicit or accept any gift from any prohibited
21 source or in violation of any federal or State statute, rule,
22 or regulation. No prohibited source shall offer or make a
23 gift that violates this Act.
24 Section 15. Violations.
25 (a) A State employee who knowingly violates this Act
26 shall forfeit his or her employment or office.
27 (b) A prohibited source who knowingly violates this Act
28 shall be guilty of a business offense and fined not more than
29 $10,000.
30 Section 90. The Illinois Governmental Ethics Act is
-3- LRB9010686JMdvA
1 amended by changing Sections 4A-101, 4A-102, 4A-103, 4A-106,
2 and 4A-107 as follows:
3 (5 ILCS 420/4A-101) (from Ch. 127, par. 604A-101)
4 Sec. 4A-101. Persons required to file. The following
5 persons shall file verified written statements of economic
6 interests, as provided in this Article:
7 (a) Members of the General Assembly and candidates
8 for nomination or election to the General Assembly.
9 (b) Persons holding an elected office in the
10 Executive Branch of this State, and candidates for
11 nomination or election to these offices.
12 (c) Members of a Commission or Board created by the
13 Illinois Constitution, and candidates for nomination or
14 election to such Commission or Board.
15 (d) Persons whose appointment to office is subject
16 to confirmation by the Senate.
17 (e) Holders of, and candidates for nomination or
18 election to, the office of judge or associate judge of
19 the Circuit Court and the office of judge of the
20 Appellate or Supreme Court.
21 (f) Persons who are employed by any branch, agency,
22 authority or board of the government of this State,
23 including but not limited to, the Illinois State Toll
24 Highway Authority, the Illinois Housing Development
25 Authority, the Illinois Community College Board, and
26 institutions under the jurisdiction of the Board of
27 Trustees of the University of Illinois, Board of Trustees
28 of Southern Illinois University, Board of Trustees of
29 Chicago State University, Board of Trustees of Eastern
30 Illinois University, Board of Trustees of Governor's
31 State University, Board of Trustees of Illinois State
32 University, Board of Trustees of Northeastern Illinois
33 University, Board of Trustees of Northern Illinois
-4- LRB9010686JMdvA
1 University, Board of Trustees of Western Illinois
2 University, or Board of Trustees of the Illinois
3 Mathematics and Science Academy, and are compensated for
4 services as employees and not as independent contractors
5 and who:
6 (1) are, or function as, the head of a
7 department, commission, board, division, bureau,
8 authority or other administrative unit within the
9 government of this State, or who exercise similar
10 authority within the government of this State;
11 (2) have direct supervisory authority over, or
12 direct responsibility for the formulation,
13 negotiation, issuance or execution of contracts
14 entered into by the State in the amount of $5,000 or
15 more;
16 (3) have authority for the issuance or
17 promulgation of rules and regulations within areas
18 under the authority of the State;
19 (4) have authority for the approval of
20 professional licenses;
21 (5) have responsibility with respect to the
22 financial inspection of regulated nongovernmental
23 entities;
24 (6) adjudicate, arbitrate, or decide any
25 judicial or administrative proceeding, or review the
26 adjudication, arbitration or decision of any
27 judicial or administrative proceeding within the
28 authority of the State; or
29 (7) have supervisory responsibility for 20 or
30 more employees of the State.
31 (g) Persons who are elected to office in a unit of
32 local government, and candidates for nomination or
33 election to that office, including regional
34 superintendents of school districts.
-5- LRB9010686JMdvA
1 (h) Persons appointed to the governing board of a
2 unit of local government, or of a special district, and
3 persons appointed to a zoning board, or zoning board of
4 appeals, or to a regional, county, or municipal plan
5 commission, or to a board of review of any county, and
6 persons appointed to the Board of the Metropolitan Pier
7 and Exposition Authority and any Trustee appointed under
8 Section 22 of the Metropolitan Pier and Exposition
9 Authority Act, and persons appointed to a board or
10 commission of a unit of local government who have
11 authority to authorize the expenditure of public funds.
12 This subsection does not apply to members of boards or
13 commissions who function in an advisory capacity.
14 (i) Persons who are employed by a unit of local
15 government and are compensated for services as employees
16 and not as independent contractors and who:
17 (1) are, or function as, the head of a
18 department, division, bureau, authority or other
19 administrative unit within the unit of local
20 government, or who exercise similar authority within
21 the unit of local government;
22 (2) have direct supervisory authority over, or
23 direct responsibility for the formulation,
24 negotiation, issuance or execution of contracts
25 entered into by the unit of local government in the
26 amount of $1,000 or greater;
27 (3) have authority to approve licenses and
28 permits by the unit of local government; this item
29 does not include employees who function in a
30 ministerial capacity;
31 (4) adjudicate, arbitrate, or decide any
32 judicial or administrative proceeding, or review the
33 adjudication, arbitration or decision of any
34 judicial or administrative proceeding within the
-6- LRB9010686JMdvA
1 authority of the unit of local government;
2 (5) have authority to issue or promulgate
3 rules and regulations within areas under the
4 authority of the unit of local government; or
5 (6) have supervisory responsibility for 20 or
6 more employees of the unit of local government.
7 (j) Persons on the Board of Trustees of the
8 Illinois Mathematics and Science Academy.
9 (k) Persons employed by a school district in
10 positions that require that person to hold an
11 administrative or a chief school business official
12 endorsement.
13 (l) Persons appointed or elected to a local school
14 council established pursuant to Section 34-2.1 of the
15 School Code.
16 (m) Persons subject to the provisions of the State
17 Employee Gift Ban Act who are not otherwise required by
18 this Section to file.
19 This Section shall not be construed to prevent any unit
20 of local government from enacting financial disclosure
21 requirements that require more information than required by
22 this Act.
23 (Source: P.A. 88-187; 88-511; 88-605, eff. 9-1-94; 89-4, eff.
24 1-1-96; 89-5, eff. 1-1-96; 89-106, eff. 7-7-95; 89-433, eff.
25 12-15-95.)
26 (5 ILCS 420/4A-102) (from Ch. 127, par. 604A-102)
27 Sec. 4A-102. The statement of economic interests
28 required by this Article shall include the economic interests
29 of the person making the statement as provided in this
30 Section. The interest (if constructively controlled by the
31 person making the statement) of a spouse or any other party,
32 shall be considered to be the same as the interest of the
33 person making the statement. Campaign receipts shall not be
-7- LRB9010686JMdvA
1 included in this statement.
2 (a) The following interests shall be listed by all
3 persons required to file:
4 (1) The name, address and type of practice of any
5 professional organization or individual professional
6 practice in which the person making the statement was an
7 officer, director, associate, partner or proprietor, or
8 served in any advisory capacity, from which income in
9 excess of $1200 was derived during the preceding calendar
10 year;
11 (2) The nature of professional services (other than
12 services rendered to the unit of government in relation
13 to which the person is required to file) and the nature
14 of the entity to which they were rendered if fees
15 exceeding $5,000 were received during the preceding
16 calendar year from the entity for professional services
17 rendered by the person making the statement.
18 (3) The identity (including the address or legal
19 description of real estate) of any capital asset from
20 which a capital gain of $5,000 or more was realized in
21 the preceding calendar year.
22 (4) The name of any unit of government which has
23 employed the person making the statement during the
24 preceding calendar year other than the unit of government
25 in relation to which the person is required to file.
26 (5) The name of any entity from which a gift or
27 gifts, or honorarium or honoraria, valued singly or in
28 the aggregate in excess of $500, was received during the
29 preceding calendar year or, for persons subject to the
30 provisions of the State Employee Gift Ban Act, the name
31 of the donor and the amount of any gifts received during
32 the preceding calendar year.
33 (b) The following interests shall also be listed by
34 persons listed in items (a) through (f) of Section 4A-101:
-8- LRB9010686JMdvA
1 (1) The name and instrument of ownership in any
2 entity doing business in the State of Illinois, in which
3 an ownership interest held by the person at the date of
4 filing is in excess of $5,000 fair market value or from
5 which dividends of in excess of $1,200 were derived
6 during the preceding calendar year. (In the case of real
7 estate, location thereof shall be listed by street
8 address, or if none, then by legal description). No time
9 or demand deposit in a financial institution, nor any
10 debt instrument need be listed;
11 (2) Except for professional service entities, the
12 name of any entity and any position held therein from
13 which income of in excess of $1,200 was derived during
14 the preceding calendar year, if the entity does business
15 in the State of Illinois. No time or demand deposit in a
16 financial institution, nor any debt instrument need be
17 listed.
18 (3) The identity of any compensated lobbyist with
19 whom the person making the statement maintains a close
20 economic association, including the name of the lobbyist
21 and specifying the legislative matter or matters which
22 are the object of the lobbying activity, and describing
23 the general type of economic activity of the client or
24 principal on whose behalf that person is lobbying.
25 (c) The following interests shall also be listed by
26 persons listed in items (g), (h), (i), and (l) of Section
27 4A-101:
28 (1) The name and instrument of ownership in any
29 entity doing business with the unit of local government
30 in relation to which the person is required to file if
31 the ownership interest of the person filing is greater
32 than $5,000 fair market value as of the date of filing or
33 if dividends in excess of $1,200 were received from the
34 entity during the preceding calendar year. (In the case
-9- LRB9010686JMdvA
1 of real estate, location thereof shall be listed by
2 street address, or if none, then by legal description).
3 No time or demand deposit in a financial institution, nor
4 any debt instrument need be listed.
5 (2) Except for professional service entities, the
6 name of any entity and any position held therein from
7 which income in excess of $1,200 was derived during the
8 preceding calendar year if the entity does business with
9 the unit of local government in relation to which the
10 person is required to file. No time or demand deposit in
11 a financial institution, nor any debt instrument need be
12 listed.
13 (3) The name of any entity and the nature of the
14 governmental action requested by any entity which has
15 applied to the unit of local government in relation to
16 which the person must file for any license, franchise or
17 permit for annexation, zoning or rezoning of real estate
18 during the preceding calendar year if the ownership
19 interest of the person filing is in excess of $5,000 fair
20 market value at the time of filing or if income or
21 dividends in excess of $1,200 were received by the person
22 filing from the entity during the preceding calendar
23 year.
24 (Source: P.A. 88-511.)
25 (5 ILCS 420/4A-103) (from Ch. 127, par. 604A-103)
26 Sec. 4A-103. The statement of economic interests required
27 by this Article to be filed with the Secretary of State shall
28 be filled in by typewriting or hand printing, shall be
29 verified, dated, and signed by the person making the
30 statement and shall contain substantially the following:
31 STATEMENT OF ECONOMIC INTEREST
32 (TYPE OR HAND PRINT)
33 .............................................................
-10- LRB9010686JMdvA
1 (name)
2 .............................................................
3 (office or position of employment for which this statement is
4 filed)
5 .............................................................
6 (full post office address to which notification of an
7 examination of this statement should be sent)
8 GENERAL DIRECTIONS:
9 The interest (if constructively controlled by the person
10 making the statement) of a spouse or any other party, shall
11 be considered to be the same as the interest of the person
12 making the statement.
13 Campaign receipts shall not be included in this
14 statement.
15 If additional space is needed, please attach supplemental
16 listing.
17 1. List the name and instrument of ownership in any
18 entity doing business in the State of Illinois, in which the
19 ownership interest held by the person at the date of filing
20 is in excess of $5,000 fair market value or from which
21 dividends in excess of $1,200 were derived during the
22 preceding calendar year. (In the case of real estate,
23 location thereof shall be listed by street address, or if
24 none, then by legal description.) No time or demand deposit
25 in a financial institution, nor any debt instrument need be
26 listed.
27 Business Entity Instrument of Ownership
28 .............................. ..............................
29 .............................. ..............................
30 .............................. ..............................
31 .............................. ..............................
32 2. List the name, address and type of practice of any
33 professional organization in which the person making the
34 statement was an officer, director, associate, partner or
-11- LRB9010686JMdvA
1 proprietor or served in any advisory capacity, from which
2 income in excess of $1,200 was derived during the preceding
3 calendar year.
4 Name Address Type of Practice
5 ................... ................... ....................
6 ................... ................... ....................
7 ................... ................... ....................
8 3. List the nature of professional services rendered
9 (other than to the State of Illinois) to each entity from
10 which income exceeding $5,000 was received for professional
11 services rendered during the preceding calendar year by the
12 person making the statement.
13 .............................................................
14 .............................................................
15 4. List the identity (including the address or legal
16 description of real estate) of any capital asset from which a
17 capital gain of $5,000 or more was realized during the
18 preceding calendar year.
19 .............................................................
20 .............................................................
21 5. List the identity of any compensated lobbyist with
22 whom the person making the statement maintains a close
23 economic association, including the name of the lobbyist and
24 specifying the legislative matter or matters which are the
25 object of the lobbying activity, and describing the general
26 type of economic activity of the client or principal on whose
27 behalf that person is lobbying.
28 Lobbyist Legislative Matter Client or Principal
29 ................... ................... ....................
30 ................... ................... ....................
31 6. List the name of any entity doing business in the
32 State of Illinois from which income in excess of $1,200 was
33 derived during the preceding calendar year other than for
34 professional services and the title or description of any
-12- LRB9010686JMdvA
1 position held in that entity. (In the case of real estate,
2 location thereof shall be listed by street address, or if
3 none, then by legal description). No time or demand deposit
4 in a financial institution nor any debt instrument need be
5 listed.
6 Entity Position Held
7 .............................. ..............................
8 .............................. ..............................
9 .............................. ..............................
10 7. List the name of any unit of government which
11 employed the person making the statement during the preceding
12 calendar year other than the unit of government in relation
13 to which the person is required to file.
14 .............................................................
15 .............................................................
16 8. List the name of any entity from which a gift or
17 gifts, or honorarium or honoraria, valued singly or in the
18 aggregate in excess of $500, was received during the
19 preceding calendar year or, for persons subject to the
20 provisions of the State Employee Gift Ban Act, the name of
21 the donor and the amount of any gifts received during the
22 preceding calendar year.
23 .............................................................
24 VERIFICATION:
25 "I declare that this statement of economic interests
26 (including any accompanying schedules and statements) has
27 been examined by me and to the best of my knowledge and
28 belief is a true, correct and complete statement of my
29 economic interests as required by the Illinois Governmental
30 Ethics Act. I understand that the penalty for willfully
31 filing a false or incomplete statement shall be a fine not to
32 exceed $1,000 or imprisonment in a penal institution other
33 than the penitentiary not to exceed one year, or both fine
34 and imprisonment."
-13- LRB9010686JMdvA
1 ................ ..........................................
2 (date of filing) (signature of person making the statement)
3 If subject to the State Employee Gift Ban Act, the
4 following verification must be completed:
5 VERIFICATION:
6 "I declare that, to the best of my knowledge and belief,
7 I have complied with the requirements of the State Employee
8 Gift Ban Act. I understand that the penalty for knowingly
9 violating the State Employee Gift Ban Act is forfeiture of
10 employment or office."
11 ................ ..........................................
12 (date of filing) (signature of person making the statement)
13 (Source: P.A. 79-508.)
14 (5 ILCS 420/4A-106) (from Ch. 127, par. 604A-106)
15 Sec. 4A-106. The statements of economic interests
16 required of persons listed in items (a) through (f) and items
17 item (j) and (m) of Section 4A-101 shall be filed with the
18 Secretary of State. The statements of economic interests
19 required of persons listed in items (g), (h), (i), (k), and
20 (l) of Section 4A-101 shall be filed with the county clerk of
21 the county in which the principal office of the unit of local
22 government with which the person is associated is located.
23 If it is not apparent which county the principal office of a
24 unit of local government is located, the chief administrative
25 officer, or his or her designee, has the authority, for
26 purposes of this Act, to determine the county in which the
27 principal office is located. On or before February 1
28 annually, (1) the chief administrative officer of any State
29 agency in the executive, legislative, or judicial branch
30 employing persons required to file under item (f) of Section
31 4A-101 shall certify to the Secretary of State the names and
32 mailing addresses of those persons, (2) the chief
33 administrative officer of any State agency in the executive
-14- LRB9010686JMdvA
1 branch employing persons required to file under item (m) of
2 Section 4A-101 shall certify to the Secretary of State the
3 names and mailing addresses of those persons; and (3) (2) the
4 chief administrative officer, or his or her designee, of each
5 unit of local government with persons described in items (h),
6 (i) and (k) of Section 4A-101 shall certify to the
7 appropriate county clerk a list of names and addresses of
8 persons described in items (h), (i) and (k) of Section 4A-101
9 that are required to file. In preparing the lists, each
10 chief administrative officer, or his or her designee, shall
11 set out the names in alphabetical order.
12 On or before February 1 annually, the secretary to the
13 board of education for local school councils established
14 pursuant to Section 34-2.1 of the School Code shall certify
15 to the county clerk the names and mailing addresses of those
16 persons described in item (l) of Section 4A-101.
17 On or before April 1 annually, the Secretary of State
18 shall notify (1) all persons whose names have been certified
19 to him under item (f) of Section 4A-101, and (2) all persons
20 described in items (a) through (e) and items item (j) and (m)
21 of Section 4A-101, other than candidates for office who have
22 filed their statements with their nominating petitions, of
23 the requirements for filing statements of economic interests.
24 On or before April 1 annually, the county clerk of each
25 county shall notify all persons whose names have been
26 certified to him under items (g), (h), (i), (k), and (l) of
27 Section 4A-101, other than candidates for office who have
28 filed their statements with their nominating petitions, of
29 the requirements for filing statements of economic interests.
30 Except as provided in Section 4A-106.1, the notices
31 provided for in this Section shall be in writing and
32 deposited in the U.S. Mail, properly addressed, first class
33 postage prepaid, on or before the day required by this
34 Section for the sending of the notice. A certificate executed
-15- LRB9010686JMdvA
1 by the Secretary of State or county clerk attesting that he
2 has mailed the notice constitutes prima facie evidence
3 thereof.
4 From the lists certified to him under this Section of
5 persons described in items (g), (h), (i), (k), and (l) of
6 Section 4A-101, the clerk of each county shall compile an
7 alphabetical listing of persons required to file statements
8 of economic interests in his office under any of those items.
9 As the statements are filed in his office, the county clerk
10 shall cause the fact of that filing to be indicated on the
11 alphabetical listing of persons who are required to file
12 statements. Within 30 days after the due dates, the county
13 clerk shall mail to the State Board of Elections a true copy
14 of that listing showing those who have filed statements.
15 The county clerk of each county shall note upon the
16 alphabetical listing the names of all persons required to
17 file a statement of economic interests who failed to file a
18 statement on or before May 1. It shall be the duty of the
19 several county clerks to give notice as provided in Section
20 4A-105 to any person who has failed to file his or her
21 statement with the clerk on or before May 1.
22 Any person who files or has filed a statement of economic
23 interest under this Act is entitled to receive from the
24 Secretary of State or county clerk, as the case may be, a
25 receipt indicating that the person has filed such a
26 statement, the date of such filing, and the identity of the
27 governmental unit in relation to which the filing is
28 required.
29 The Secretary of State may employ such employees and
30 consultants as he considers necessary to carry out his duties
31 hereunder, and may prescribe their duties, fix their
32 compensation, and provide for reimbursement of their
33 expenses.
34 All statements of economic interests filed under this
-16- LRB9010686JMdvA
1 Section shall be available for examination and copying by the
2 public at all reasonable times. Each person examining a
3 statement must first fill out a form prepared by the
4 Secretary of State identifying the examiner by name,
5 occupation, address and telephone number, and listing the
6 date of examination and reason for such examination. The
7 Secretary of State shall supply such forms to the county
8 clerks annually and replenish such forms upon request.
9 The Secretary of State or county clerk, as the case may
10 be, shall promptly notify each person required to file a
11 statement under this Article of each instance of an
12 examination of his statement by sending him a duplicate
13 original of the identification form filled out by the person
14 examining his statement.
15 (Source: P.A. 88-187; 88-511; 88-605, eff. 9-1-94; 89-433,
16 eff. 12-15-95.)
17 (5 ILCS 420/4A-107) (from Ch. 127, par. 604A-107)
18 Sec. 4A-107. Any person required to file a statement of
19 economic interests under this Article who willfully files a
20 false or incomplete statement shall be guilty of a Class A
21 misdemeanor.
22 Failure to file a statement within the time prescribed
23 shall result in ineligibility for, or forfeiture of, office
24 or position of employment, as the case may be; provided,
25 however, that if the notice of failure to file a statement of
26 economic interests provided in Section 4A-105 of this Act is
27 not given by the Secretary of State or the county clerk, as
28 the case may be, no forfeiture shall result if a statement is
29 filed within 30 days of actual notice of the failure to file.
30 The Attorney General, with respect to offices or
31 positions described in items (a) through (f) and items (j)
32 and (m) of Section 4A-101 of this Act, or the State's
33 Attorney of the county of the entity for which the filing of
-17- LRB9010686JMdvA
1 statements of economic interests is required, with respect to
2 offices or positions described in items (g) through (i), (k),
3 and (l) 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. 88-187; 88-511.)
7 Section 99. Effective date. This Act takes effect upon
8 becoming law.