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92_HB0289eng HB0289 Engrossed LRB9203789JMmb 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 5. The Illinois Governmental Ethics Act is 5 amended by changing Sections 4A-102, 4A-103, 4A-104, and 6 4A-106 as follows: 7 (5 ILCS 420/4A-102) (from Ch. 127, par. 604A-102) 8 Sec. 4A-102. The statement of economic interests 9 required by this Article shall include the economic interests 10 of the person making the statement as provided in this 11 Section. The interest (if constructively controlled by the 12 person making the statement) of a spouse or any other party, 13 shall be considered to be the same as the interest of the 14 person making the statement. Campaign receipts shall not be 15 included in this statement. 16 (a) The following interests shall be listed by all 17 persons required to file: 18 (1) The name, address and type of practice of any 19 professional organization or individual professional 20 practice in which the person making the statement was an 21 officer, director, associate, partner or proprietor, or 22 served in any advisory capacity, from which income in 23 excess of $1200 was derived during the preceding calendar 24 year; 25 (2) The nature of professional services (other than 26 services rendered to the unit or units of government in 27 relation to which the person is required to file) and the 28 nature of the entity to which they were rendered if fees 29 exceeding $5,000 were received during the preceding 30 calendar year from the entity for professional services 31 rendered by the person making the statement. HB0289 Engrossed -2- LRB9203789JMmb 1 (3) The identity (including the address or legal 2 description of real estate) of any capital asset from 3 which a capital gain of $5,000 or more was realized in 4 the preceding calendar year. 5 (4) The name of any unit of government which has 6 employed the person making the statement during the 7 preceding calendar year other than the unit or units of 8 government in relation to which the person is required to 9 file. 10 (5) The name of any entity from which a gift or 11 gifts, or honorarium or honoraria, valued singly or in 12 the aggregate in excess of $500, was received during the 13 preceding calendar year. 14 (b) The following interests shall also be listed by 15 persons listed in items (a) through (f) of Section 4A-101: 16 (1) The name and instrument of ownership in any 17 entity doing business in the State of Illinois, in which 18 an ownership interest held by the person at the date of 19 filing is in excess of $5,000 fair market value or from 20 which dividends of in excess of $1,200 were derived 21 during the preceding calendar year. (In the case of real 22 estate, location thereof shall be listed by street 23 address, or if none, then by legal description). No time 24 or demand deposit in a financial institution, nor any 25 debt instrument need be listed; 26 (2) Except for professional service entities, the 27 name of any entity and any position held therein from 28 which income of in excess of $1,200 was derived during 29 the preceding calendar year, if the entity does business 30 in the State of Illinois. No time or demand deposit in a 31 financial institution, nor any debt instrument need be 32 listed. 33 (3) The identity of any compensated lobbyist with 34 whom the person making the statement maintains a close HB0289 Engrossed -3- LRB9203789JMmb 1 economic association, including the name of the lobbyist 2 and specifying the legislative matter or matters which 3 are the object of the lobbying activity, and describing 4 the general type of economic activity of the client or 5 principal on whose behalf that person is lobbying. 6 (c) The following interests shall also be listed by 7 persons listed in items (g), (h), (i), and (l) of Section 8 4A-101: 9 (1) The name and instrument of ownership in any 10 entity doing business with atheunit of local government 11 in relation to which the person is required to file if 12 the ownership interest of the person filing is greater 13 than $5,000 fair market value as of the date of filing or 14 if dividends in excess of $1,200 were received from the 15 entity during the preceding calendar year. (In the case 16 of real estate, location thereof shall be listed by 17 street address, or if none, then by legal description). 18 No time or demand deposit in a financial institution, nor 19 any debt instrument need be listed. 20 (2) Except for professional service entities, the 21 name of any entity and any position held therein from 22 which income in excess of $1,200 was derived during the 23 preceding calendar year if the entity does business with 24 atheunit of local government in relation to which the 25 person is required to file. No time or demand deposit in 26 a financial institution, nor any debt instrument need be 27 listed. 28 (3) The name of any entity and the nature of the 29 governmental action requested by any entity which has 30 applied to atheunit of local government in relation to 31 which the person must file for any license, franchise or 32 permit for annexation, zoning or rezoning of real estate 33 during the preceding calendar year if the ownership 34 interest of the person filing is in excess of $5,000 fair HB0289 Engrossed -4- LRB9203789JMmb 1 market value at the time of filing or if income or 2 dividends in excess of $1,200 were received by the person 3 filing from the entity during the preceding calendar 4 year. 5 (Source: P.A. 88-511.) 6 (5 ILCS 420/4A-103) (from Ch. 127, par. 604A-103) 7 Sec. 4A-103. The statement of economic interests required 8 by this Article to be filed with the Secretary of State shall 9 be filled in by typewriting or hand printing, shall be 10 verified, dated, and signed by the person making the 11 statement and shall contain substantially the following: 12 STATEMENT OF ECONOMIC INTEREST 13 (TYPE OR HAND PRINT) 14 ............................................................. 15 (name) 16 ............................................................. 17 (each office or position of employment for which this 18 statement is filed) 19 ............................................................. 20 (full post office address to which notification of an 21 examination of this statement should be sent) 22 GENERAL DIRECTIONS: 23 The interest (if constructively controlled by the person 24 making the statement) of a spouse or any other party, shall 25 be considered to be the same as the interest of the person 26 making the statement. 27 Campaign receipts shall not be included in this 28 statement. 29 If additional space is needed, please attach supplemental 30 listing. 31 1. List the name and instrument of ownership in any 32 entity doing business in the State of Illinois, in which the 33 ownership interest held by the person at the date of filing HB0289 Engrossed -5- LRB9203789JMmb 1 is in excess of $5,000 fair market value or from which 2 dividends in excess of $1,200 were derived during the 3 preceding calendar year. (In the case of real estate, 4 location thereof shall be listed by street address, or if 5 none, then by legal description.) No time or demand deposit 6 in a financial institution, nor any debt instrument need be 7 listed. 8 Business Entity Instrument of Ownership 9 .............................. .............................. 10 .............................. .............................. 11 .............................. .............................. 12 .............................. .............................. 13 2. List the name, address and type of practice of any 14 professional organization in which the person making the 15 statement was an officer, director, associate, partner or 16 proprietor or served in any advisory capacity, from which 17 income in excess of $1,200 was derived during the preceding 18 calendar year. 19 Name Address Type of Practice 20 ................... ................... .................... 21 ................... ................... .................... 22 ................... ................... .................... 23 3. List the nature of professional services rendered 24 (other than to the State of Illinois) to each entity from 25 which income exceeding $5,000 was received for professional 26 services rendered during the preceding calendar year by the 27 person making the statement. 28 ............................................................. 29 ............................................................. 30 4. List the identity (including the address or legal 31 description of real estate) of any capital asset from which a 32 capital gain of $5,000 or more was realized during the 33 preceding calendar year. 34 ............................................................. HB0289 Engrossed -6- LRB9203789JMmb 1 ............................................................. 2 5. List the identity of any compensated lobbyist with 3 whom the person making the statement maintains a close 4 economic association, including the name of the lobbyist and 5 specifying the legislative matter or matters which are the 6 object of the lobbying activity, and describing the general 7 type of economic activity of the client or principal on whose 8 behalf that person is lobbying. 9 Lobbyist Legislative Matter Client or Principal 10 ................... ................... .................... 11 ................... ................... .................... 12 6. List the name of any entity doing business in the 13 State of Illinois from which income in excess of $1,200 was 14 derived during the preceding calendar year other than for 15 professional services and the title or description of any 16 position held in that entity. (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. 21 Entity Position Held 22 .............................. .............................. 23 .............................. .............................. 24 .............................. .............................. 25 7. List the name of any unit of government which 26 employed the person making the statement during the preceding 27 calendar year other than the unit or units of government in 28 relation to which the person is required to file. 29 ............................................................. 30 ............................................................. 31 8. List the name of any entity from which a gift or 32 gifts, or honorarium or honoraria, valued singly or in the 33 aggregate in excess of $500, was received during the 34 preceding calendar year. HB0289 Engrossed -7- LRB9203789JMmb 1 ............................................................. 2 VERIFICATION: 3 "I declare that this statement of economic interests 4 (including any accompanying schedules and statements) has 5 been examined by me and to the best of my knowledge and 6 belief is a true, correct and complete statement of my 7 economic interests as required by the Illinois Governmental 8 Ethics Act. I understand that the penalty for willfully 9 filing a false or incomplete statement shall be a fine not to 10 exceed $1,000 or imprisonment in a penal institution other 11 than the penitentiary not to exceed one year, or both fine 12 and imprisonment." 13 ................ .......................................... 14 (date of filing) (signature of person making the statement) 15 (Source: P.A. 79-508.) 16 (5 ILCS 420/4A-104) (from Ch. 127, par. 604A-104) 17 Sec. 4A-104. The statement of economic interests required 18 by this Article to be filed with the county clerk shall be 19 filled in by typewriting or hand printing, shall be verified, 20 dated, and signed by the person making the statement and 21 shall contain substantially the following: 22 STATEMENT OF ECONOMIC INTERESTS 23 (TYPE OR HAND PRINT) 24 ............................................................. 25 (Name) 26 ............................................................. 27 (each office or position of employment for which this 28 statement is filed) ......................................... 29 (full post office address to which notification of an 30 examination of this statement should be sent) 31 GENERAL DIRECTIONS: 32 The interest (if constructively controlled by the person 33 making the statement) of a spouse or any other party, shall HB0289 Engrossed -8- LRB9203789JMmb 1 be considered to be the same as the interest of the person 2 making the statement. 3 Campaign receipts shall not be included in this 4 statement. 5 If additional space is needed, please attach supplemental 6 listing. 7 1. List the name and instrument of ownership in any 8 entity doing business with atheunit of local government in 9 relation to which the person is required to file, in which 10 the ownership interest held by the person at the date of 11 filing is in excess of $5,000 fair market value or from which 12 dividends in excess of $1,200 were received during the 13 preceding calendar year. (In the case of real estate, 14 location thereof shall be listed by street address, or if 15 none, then by legal description.) No time or demand deposit 16 in a financial institution, nor any debt instrument shall be 17 listed. 18 Business Instrument of Position of 19 Entity Ownership Management 20 ................... ................... .................... 21 ................... ................... .................... 22 ................... ................... .................... 23 2. List the name, address and type of practice of any 24 professional organization in which the person making the 25 statement was an officer, director, associate, partner or 26 proprietor, or served in any advisory capacity, from which 27 income in excess of $1,200 was derived during the preceding 28 calendar year. 29 Name Address Type of Practice 30 ................... ................... .................... 31 ................... ................... .................... 32 ................... ................... .................... 33 3. List the nature of professional services rendered 34 (other than to the unit or units of local government in HB0289 Engrossed -9- LRB9203789JMmb 1 relation to which the person is required to file) to each 2 entity from which income exceeding $5,000 was received for 3 professional services rendered during the preceding calendar 4 year by the person making the statement. 5 ............................................................. 6 ............................................................. 7 4. List the identity (including the address or legal 8 description of real estate) of any capital asset from which a 9 capital gain of $5,000 or more was realized during the 10 preceding calendar year. 11 ............................................................. 12 ............................................................. 13 ............................................................. 14 5. List the name of any entity and the nature of the 15 governmental action requested by any entity which has applied 16 to atheunit of local government in relation to which the 17 person must file for any license, franchise or permit for 18 annexation, zoning or rezoning of real estate during the 19 preceding calendar year if the ownership interest of the 20 person filing is in excess of $5,000 fair market value at the 21 time of filing or if income or dividends in excess of $1200 22 were received by the person filing from the entity during the 23 preceding calendar year. 24 ............................................................. 25 ............................................................. 26 ............................................................. 27 6. List the name of any entity doing business with athe28 unit of local government in relation to which the person is 29 required to file from which income in excess of $1,200 was 30 derived during the preceding calendar year other than for 31 professional services and the title or description of any 32 position held in that entity. No time or demand deposit in a 33 financial institution nor any debt instrument need be listed. 34 ............................................................. HB0289 Engrossed -10- LRB9203789JMmb 1 ............................................................. 2 7. List the name of any unit of government which 3 employed the person making the statement during the preceding 4 calendar year other than the unit or units of government in 5 relation to which the person is required to file. 6 ............................................................. 7 ............................................................. 8 8. List the name of any entity from which a gift or 9 gifts, or honorarium or honoraria, valued singly or in the 10 aggregate in excess of $500, was received during the 11 preceding calendar year. 12 ............................................................. 13 VERIFICATION: 14 "I declare that this statement of economic interests 15 (including any accompanying schedules and statements) has 16 been examined by me and to the best of my knowledge and 17 belief is a true, correct and complete statement of my 18 economic interests as required by the Illinois Governmental 19 Ethics Act. I understand that the penalty for willfully 20 filing a false or incomplete statement shall be a fine not to 21 exceed $1,000 or imprisonment in a penal institution other 22 than the penitentiary not to exceed one year, or both fine 23 and imprisonment." 24 ................ .......................................... 25 (date of filing) (signature of person making the statement) 26 (Source: P.A. 79-508.) 27 (5 ILCS 420/4A-106) (from Ch. 127, par. 604A-106) 28 Sec. 4A-106. The statements of economic interests 29 required of persons listed in items (a) through (f) and item 30 (j) of Section 4A-101 shall be filed with the Secretary of 31 State. The statements of economic interests required of 32 persons listed in items (g), (h), (i), (k), and (l) of 33 Section 4A-101 shall be filed with the county clerk of the HB0289 Engrossed -11- LRB9203789JMmb 1 county in which the principal office of the unit of local 2 government with which the person is associated is located. 3 If it is not apparent which county the principal office of a 4 unit of local government is located, the chief administrative 5 officer, or his or her designee, has the authority, for 6 purposes of this Act, to determine the county in which the 7 principal office is located. On or before February 1 8 annually, (1) the chief administrative officer of any State 9 agency in the executive, legislative, or judicial branch 10 employing persons required to file under item (f) of Section 11 4A-101 shall certify to the Secretary of State the names and 12 mailing addresses of those persons, and (2) the chief 13 administrative officer, or his or her designee, of each unit 14 of local government with persons described in items (h), (i) 15 and (k) of Section 4A-101 shall certify to the appropriate 16 county clerk a list of names and addresses of persons 17 described in items (h), (i) and (k) of Section 4A-101 that 18 are required to file. In preparing the lists, each chief 19 administrative officer, or his or her designee, shall set out 20 the names in alphabetical order. 21 On or before February 1 annually, the secretary to the 22 board of education for local school councils established 23 pursuant to Section 34-2.1 of the School Code shall certify 24 to the county clerk the names and mailing addresses of those 25 persons described in item (l) of Section 4A-101. 26 On or before April 1 annually, the Secretary of State 27 shall notify (1) all persons whose names have been certified 28 to him under item (f) of Section 4A-101, and (2) all persons 29 described in items (a) through (e) and item (j) of Section 30 4A-101, other than candidates for office who have filed their 31 statements with their nominating petitions, of the 32 requirements for filing statements of economic interests. A 33 person required to file with the Secretary of State by virtue 34 of more than one item among items (a) through (f) and item HB0289 Engrossed -12- LRB9203789JMmb 1 (j) shall be notified of and is required to file only one 2 statement of economic interests relating to all items under 3 which the person is required to file with the Secretary of 4 State. 5 On or before April 1 annually, the county clerk of each 6 county shall notify all persons whose names have been 7 certified to him under items (g), (h), (i), (k), and (l) of 8 Section 4A-101, other than candidates for office who have 9 filed their statements with their nominating petitions, of 10 the requirements for filing statements of economic interests. 11 A person required to file with a county clerk by virtue of 12 more than one item among items (g), (h), (i), (k), and (l) 13 shall be notified of and is required to file only one 14 statement of economic interests relating to all items under 15 which the person is required to file with that county clerk. 16 Except as provided in Section 4A-106.1, the notices 17 provided for in this Section shall be in writing and 18 deposited in the U.S. Mail, properly addressed, first class 19 postage prepaid, on or before the day required by this 20 Section for the sending of the notice. A certificate executed 21 by the Secretary of State or county clerk attesting that he 22 has mailed the notice constitutes prima facie evidence 23 thereof. 24 From the lists certified to him under this Section of 25 persons described in items (g), (h), (i), (k), and (l) of 26 Section 4A-101, the clerk of each county shall compile an 27 alphabetical listing of persons required to file statements 28 of economic interests in his office under any of those items. 29 As the statements are filed in his office, the county clerk 30 shall cause the fact of that filing to be indicated on the 31 alphabetical listing of persons who are required to file 32 statements. Within 30 days after the due dates, the county 33 clerk shall mail to the State Board of Elections a true copy 34 of that listing showing those who have filed statements. HB0289 Engrossed -13- LRB9203789JMmb 1 The county clerk of each county shall note upon the 2 alphabetical listing the names of all persons required to 3 file a statement of economic interests who failed to file a 4 statement on or before May 1. It shall be the duty of the 5 several county clerks to give notice as provided in Section 6 4A-105 to any person who has failed to file his or her 7 statement with the clerk on or before May 1. 8 Any person who files or has filed a statement of economic 9 interest under this Act is entitled to receive from the 10 Secretary of State or county clerk, as the case may be, a 11 receipt indicating that the person has filed such a 12 statement, the date of such filing, and the identity of the 13 governmental unit or units in relation to which the filing is 14 required. 15 The Secretary of State may employ such employees and 16 consultants as he considers necessary to carry out his duties 17 hereunder, and may prescribe their duties, fix their 18 compensation, and provide for reimbursement of their 19 expenses. 20 All statements of economic interests filed under this 21 Section shall be available for examination and copying by the 22 public at all reasonable times. Each person examining a 23 statement must first fill out a form prepared by the 24 Secretary of State identifying the examiner by name, 25 occupation, address and telephone number, and listing the 26 date of examination and reason for such examination. The 27 Secretary of State shall supply such forms to the county 28 clerks annually and replenish such forms upon request. 29 The Secretary of State or county clerk, as the case may 30 be, shall promptly notify each person required to file a 31 statement under this Article of each instance of an 32 examination of his statement by sending him a duplicate 33 original of the identification form filled out by the person 34 examining his statement. HB0289 Engrossed -14- LRB9203789JMmb 1 (Source: P.A. 88-187; 88-511; 88-605, eff. 9-1-94; 89-433, 2 eff. 12-15-95.)