Bill Text: IL HB4002 | 2019-2020 | 101st General Assembly | Introduced

---

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

Spectrum: Moderate Partisan Bill (Republican 5-1)

Status: (Introduced - Dead) 2020-06-23 - Rule 19(b) / Re-referred to Rules Committee [HB4002 Detail]

Download: Illinois-2019-HB4002-Introduced.html

---

101ST GENERAL ASSEMBLY State of Illinois 2019 and 2020 HB4002 Introduced , by Rep. Amy Grant SYNOPSIS AS INTRODUCED:
5 ILCS 430/1-5
5 ILCS 430/5-45
Amends the State Officials and Employees Ethics Act. Provides that no person who has served as a statewide elected official, the executive or administrative head of a State agency, the deputy executive or administrative head of a State agency, or a member of the General Assembly shall, within 2 years after the termination of service or employment, become a lobbyist. Defines "lobbyist".
LRB101 15836 RJF 65193 b
A BILL FOR
HB4002 LRB101 15836 RJF 65193 b
AN ACT concerning government.
Be it enacted by the People of the State of Illinois,
represented in the General Assembly:
Section 5. The State Officials and Employees Ethics Act is
amended by changing Sections 1-5 and 5-45 as follows:
(5 ILCS 430/1-5)
Sec. 1-5. Definitions. As used in this Act:
"Appointee" means a person appointed to a position in or
with a State agency, regardless of whether the position is
compensated.
"Board members of Regional Transit Boards" means any person
appointed to serve on the governing board of a Regional Transit
Board.
"Campaign for elective office" means any activity in
furtherance of an effort to influence the selection,
nomination, election, or appointment of any individual to any
federal, State, or local public office or office in a political
organization, or the selection, nomination, or election of
Presidential or Vice-Presidential electors, but does not
include activities (i) relating to the support or opposition of
any executive, legislative, or administrative action (as those
terms are defined in Section 2 of the Lobbyist Registration
Act), (ii) relating to collective bargaining, or (iii) that are

HB4002 - 2 - LRB101 15836 RJF 65193 b
otherwise in furtherance of the person's official State duties.
"Candidate" means a person who has filed nominating papers
or petitions for nomination or election to an elected State
office, or who has been appointed to fill a vacancy in
nomination, and who remains eligible for placement on the
ballot at either a general primary election or general
election.
"Collective bargaining" has the same meaning as that term
is defined in Section 3 of the Illinois Public Labor Relations
Act.
"Commission" means an ethics commission created by this
Act.
"Compensated time" means any time worked by or credited to
a State employee that counts toward any minimum work time
requirement imposed as a condition of employment with a State
agency, but does not include any designated State holidays or
any period when the employee is on a leave of absence.
"Compensatory time off" means authorized time off earned by
or awarded to a State employee to compensate in whole or in
part for time worked in excess of the minimum work time
required of that employee as a condition of employment with a
State agency.
"Contribution" has the same meaning as that term is defined
in Section 9-1.4 of the Election Code.
"Employee" means (i) any person employed full-time,
part-time, or pursuant to a contract and whose employment

HB4002 - 3 - LRB101 15836 RJF 65193 b
duties are subject to the direction and control of an employer
with regard to the material details of how the work is to be
performed or (ii) any appointed or elected commissioner,
trustee, director, or board member of a board of a State
agency, including any retirement system or investment board
subject to the Illinois Pension Code or (iii) any other
appointee.
"Employment benefits" include but are not limited to the
following: modified compensation or benefit terms; compensated
time off; or change of title, job duties, or location of office
or employment. An employment benefit may also include favorable
treatment in determining whether to bring any disciplinary or
similar action or favorable treatment during the course of any
disciplinary or similar action or other performance review.
"Executive branch constitutional officer" means the
Governor, Lieutenant Governor, Attorney General, Secretary of
State, Comptroller, and Treasurer.
"Gift" means any gratuity, discount, entertainment,
hospitality, loan, forbearance, or other tangible or
intangible item having monetary value including, but not
limited to, cash, food and drink, and honoraria for speaking
engagements related to or attributable to government
employment or the official position of an employee, member, or
officer. The value of a gift may be further defined by rules
adopted by the appropriate ethics commission or by the Auditor
General for the Auditor General and for employees of the office

HB4002 - 4 - LRB101 15836 RJF 65193 b
of the Auditor General.
"Governmental entity" means a unit of local government
(including a community college district) or a school district
but not a State agency or a Regional Transit Board.
"Leave of absence" means any period during which a State
employee does not receive (i) compensation for State
employment, (ii) service credit towards State pension
benefits, and (iii) health insurance benefits paid for by the
State.
"Legislative branch constitutional officer" means a member
of the General Assembly and the Auditor General.
"Legislative leader" means the President and Minority
Leader of the Senate and the Speaker and Minority Leader of the
House of Representatives.
"Member" means a member of the General Assembly.
"Lobbyist" means an individual who, by acting directly,
does any of the following:
(1) Receives compensation to encourage the passage,
defeat, approval, veto, or modification of legislation, a
rule, or an executive order by the members of the General
Assembly, a State agency, or any statewide elected
official.
(2) Is a designated representative of an organization
which has as one of its purposes the encouragement of the
passage, defeat, approval, veto, or modification of
legislation, a rule, or an executive order before the

HB4002 - 5 - LRB101 15836 RJF 65193 b
General Assembly, a State agency, or any statewide elected
official.
(3) Represents the position of a federal, State, or
local government agency, in which the person serves or is
employed as the designated representative, for purposes of
encouraging the passage, defeat, approval, veto, or
modification of legislation, a rule, or an executive order
by members of the General Assembly, a State agency, or any
statewide elected official.
"Lobbyist" does not include:
(1) Officials and employees of a political party
organized in the State of Illinois representing more than
2% of the total votes cast for governor in the last
preceding general election, but only when representing the
political party in an official capacity.
(2) Representatives of the news media only when engaged
in the reporting and dissemination of news and editorials.
(3) All federal, State, and local elected officials,
while performing the duties and responsibilities of
office.
(4) Persons whose activities are limited to
appearances to give testimony or provide information or
assistance at sessions of committees of the General
Assembly or at public hearings of State agencies or who are
giving testimony or providing information or assistance at
the request of public officials or employees.

HB4002 - 6 - LRB101 15836 RJF 65193 b
(5) Members of the staff of the United States Congress
or the General Assembly.
(6) State agency officials and employees while they are
engaged in activities within the agency in which they serve
or are employed or with another agency with which the
official's or employee's agency is involved in a
collaborative project.
(7) An individual who is a member, director, trustee,
officer, or committee member of a business, trade, labor,
farm, professional, religious, education, or charitable
association, foundation, or organization who is not paid
compensation and is not otherwise specifically designated
as a lobbyist under this Act.
"Officer" means an executive branch constitutional officer
or a legislative branch constitutional officer.
"Political" means any activity in support of or in
connection with any campaign for elective office or any
political organization, but does not include activities (i)
relating to the support or opposition of any executive,
legislative, or administrative action (as those terms are
defined in Section 2 of the Lobbyist Registration Act), (ii)
relating to collective bargaining, or (iii) that are otherwise
in furtherance of the person's official State duties or
governmental and public service functions.
"Political organization" means a party, committee,
association, fund, or other organization (whether or not

HB4002 - 7 - LRB101 15836 RJF 65193 b
incorporated) that is required to file a statement of
organization with the State Board of Elections or a county
clerk under Section 9-3 of the Election Code, but only with
regard to those activities that require filing with the State
Board of Elections or a county clerk.
"Prohibited political activity" means:
(1) Preparing for, organizing, or participating in any
political meeting, political rally, political
demonstration, or other political event.
(2) Soliciting contributions, including but not
limited to the purchase of, selling, distributing, or
receiving payment for tickets for any political
fundraiser, political meeting, or other political event.
(3) Soliciting, planning the solicitation of, or
preparing any document or report regarding any thing of
value intended as a campaign contribution.
(4) Planning, conducting, or participating in a public
opinion poll in connection with a campaign for elective
office or on behalf of a political organization for
political purposes or for or against any referendum
question.
(5) Surveying or gathering information from potential
or actual voters in an election to determine probable vote
outcome in connection with a campaign for elective office
or on behalf of a political organization for political
purposes or for or against any referendum question.

HB4002 - 8 - LRB101 15836 RJF 65193 b
(6) Assisting at the polls on election day on behalf of
any political organization or candidate for elective
office or for or against any referendum question.
(7) Soliciting votes on behalf of a candidate for
elective office or a political organization or for or
against any referendum question or helping in an effort to
get voters to the polls.
(8) Initiating for circulation, preparing,
circulating, reviewing, or filing any petition on behalf of
a candidate for elective office or for or against any
referendum question.
(9) Making contributions on behalf of any candidate for
elective office in that capacity or in connection with a
campaign for elective office.
(10) Preparing or reviewing responses to candidate
questionnaires in connection with a campaign for elective
office or on behalf of a political organization for
political purposes.
(11) Distributing, preparing for distribution, or
mailing campaign literature, campaign signs, or other
campaign material on behalf of any candidate for elective
office or for or against any referendum question.
(12) Campaigning for any elective office or for or
against any referendum question.
(13) Managing or working on a campaign for elective
office or for or against any referendum question.

HB4002 - 9 - LRB101 15836 RJF 65193 b
(14) Serving as a delegate, alternate, or proxy to a
political party convention.
(15) Participating in any recount or challenge to the
outcome of any election, except to the extent that under
subsection (d) of Section 6 of Article IV of the Illinois
Constitution each house of the General Assembly shall judge
the elections, returns, and qualifications of its members.
"Prohibited source" means any person or entity who:
(1) is seeking official action (i) by the member or
officer or (ii) in the case of an employee, by the employee
or by the member, officer, State agency, or other employee
directing the employee;
(2) does business or seeks to do business (i) with the
member or officer or (ii) in the case of an employee, with
the employee or with the member, officer, State agency, or
other employee directing the employee;
(3) conducts activities regulated (i) by the member or
officer or (ii) in the case of an employee, by the employee
or by the member, officer, State agency, or other employee
directing the employee;
(4) has interests that may be substantially affected by
the performance or non-performance of the official duties
of the member, officer, or employee;
(5) is registered or required to be registered with the
Secretary of State under the Lobbyist Registration Act,
except that an entity not otherwise a prohibited source

HB4002 - 10 - LRB101 15836 RJF 65193 b
does not become a prohibited source merely because a
registered lobbyist is one of its members or serves on its
board of directors; or
(6) is an agent of, a spouse of, or an immediate family
member who is living with a "prohibited source".
"Regional Transit Boards" means (i) the Regional
Transportation Authority created by the Regional
Transportation Authority Act, (ii) the Suburban Bus Division
created by the Regional Transportation Authority Act, (iii) the
Commuter Rail Division created by the Regional Transportation
Authority Act, and (iv) the Chicago Transit Authority created
by the Metropolitan Transit Authority Act.
"State agency" includes all officers, boards, commissions
and agencies created by the Constitution, whether in the
executive or legislative branch; all officers, departments,
boards, commissions, agencies, institutions, authorities,
public institutions of higher learning as defined in Section 2
of the Higher Education Cooperation Act (except community
colleges), and bodies politic and corporate of the State; and
administrative units or corporate outgrowths of the State
government which are created by or pursuant to statute, other
than units of local government (including community college
districts) and their officers, school districts, and boards of
election commissioners; and all administrative units and
corporate outgrowths of the above and as may be created by
executive order of the Governor. "State agency" includes the

HB4002 - 11 - LRB101 15836 RJF 65193 b
General Assembly, the Senate, the House of Representatives, the
President and Minority Leader of the Senate, the Speaker and
Minority Leader of the House of Representatives, the Senate
Operations Commission, and the legislative support services
agencies. "State agency" includes the Office of the Auditor
General. "State agency" does not include the judicial branch.
"State employee" means any employee of a State agency.
"Ultimate jurisdictional authority" means the following:
(1) For members, legislative partisan staff, and
legislative secretaries, the appropriate legislative
leader: President of the Senate, Minority Leader of the
Senate, Speaker of the House of Representatives, or
Minority Leader of the House of Representatives.
(2) For State employees who are professional staff or
employees of the Senate and not covered under item (1), the
Senate Operations Commission.
(3) For State employees who are professional staff or
employees of the House of Representatives and not covered
under item (1), the Speaker of the House of
Representatives.
(4) For State employees who are employees of the
legislative support services agencies, the Joint Committee
on Legislative Support Services.
(5) For State employees of the Auditor General, the
Auditor General.
(6) For State employees of public institutions of

HB4002 - 12 - LRB101 15836 RJF 65193 b
higher learning as defined in Section 2 of the Higher
Education Cooperation Act (except community colleges), the
board of trustees of the appropriate public institution of
higher learning.
(7) For State employees of an executive branch
constitutional officer other than those described in
paragraph (6), the appropriate executive branch
constitutional officer.
(8) For State employees not under the jurisdiction of
paragraph (1), (2), (3), (4), (5), (6), or (7), the
Governor.
(9) For employees of Regional Transit Boards, the
appropriate Regional Transit Board.
(10) For board members of Regional Transit Boards, the
Governor.
(Source: P.A. 96-6, eff. 4-3-09; 96-555, eff. 8-18-09; 96-1528,
eff. 7-1-11; 96-1533, eff. 3-4-11; 97-813, eff. 7-13-12.)
(5 ILCS 430/5-45)
Sec. 5-45. Procurement; revolving door prohibition.
(a) No former officer, member, or State employee, or spouse
or immediate family member living with such person, shall,
within a period of one year immediately after termination of
State employment, knowingly accept employment or receive
compensation or fees for services from a person or entity if
the officer, member, or State employee, during the year

HB4002 - 13 - LRB101 15836 RJF 65193 b
immediately preceding termination of State employment,
participated personally and substantially in the award of State
contracts, or the issuance of State contract change orders,
with a cumulative value of $25,000 or more to the person or
entity, or its parent or subsidiary.
(a-5) No officer, member, or spouse or immediate family
member living with such person shall, during the officer or
member's term in office or within a period of 2 years
immediately leaving office, hold an ownership interest, other
than a passive interest in a publicly traded company, in any
gaming license under the Illinois Gambling Act, the Video
Gaming Act, the Illinois Horse Racing Act of 1975, or the
Sports Wagering Act. Any member of the General Assembly or
spouse or immediate family member living with such person who
has an ownership interest, other than a passive interest in a
publicly traded company, in any gaming license under the
Illinois Gambling Act, the Illinois Horse Racing Act of 1975,
the Video Gaming Act, or the Sports Wagering Act at the time of
the effective date of this amendatory Act of the 101st General
Assembly shall divest himself or herself of such ownership
within one year after the effective date of this amendatory Act
of the 101st General Assembly. No State employee who works for
the Illinois Gaming Board or Illinois Racing Board or spouse or
immediate family member living with such person shall, during
State employment or within a period of 2 years immediately
after termination of State employment, hold an ownership

HB4002 - 14 - LRB101 15836 RJF 65193 b
interest, other than a passive interest in a publicly traded
company, in any gaming license under the Illinois Gambling Act,
the Video Gaming Act, the Illinois Horse Racing Act of 1975, or
the Sports Wagering Act.
(a-10) No person who has served as a statewide elected
official, the executive or administrative head of a State
agency, the deputy executive or administrative head of a State
agency, or a member of the General Assembly shall, within 2
years after the termination of service or employment, become a
lobbyist.
(b) No former officer of the executive branch or State
employee of the executive branch with regulatory or licensing
authority, or spouse or immediate family member living with
such person, shall, within a period of one year immediately
after termination of State employment, knowingly accept
employment or receive compensation or fees for services from a
person or entity if the officer or State employee, during the
year immediately preceding termination of State employment,
participated personally and substantially in making a
regulatory or licensing decision that directly applied to the
person or entity, or its parent or subsidiary.
(c) Within 6 months after the effective date of this
amendatory Act of the 96th General Assembly, each executive
branch constitutional officer and legislative leader, the
Auditor General, and the Joint Committee on Legislative Support
Services shall adopt a policy delineating which State positions

HB4002 - 15 - LRB101 15836 RJF 65193 b
under his or her jurisdiction and control, by the nature of
their duties, may have the authority to participate personally
and substantially in the award of State contracts or in
regulatory or licensing decisions. The Governor shall adopt
such a policy for all State employees of the executive branch
not under the jurisdiction and control of any other executive
branch constitutional officer.
The policies required under subsection (c) of this Section
shall be filed with the appropriate ethics commission
established under this Act or, for the Auditor General, with
the Office of the Auditor General.
(d) Each Inspector General shall have the authority to
determine that additional State positions under his or her
jurisdiction, not otherwise subject to the policies required by
subsection (c) of this Section, are nonetheless subject to the
notification requirement of subsection (f) below due to their
involvement in the award of State contracts or in regulatory or
licensing decisions.
(e) The Joint Committee on Legislative Support Services,
the Auditor General, and each of the executive branch
constitutional officers and legislative leaders subject to
subsection (c) of this Section shall provide written
notification to all employees in positions subject to the
policies required by subsection (c) or a determination made
under subsection (d): (1) upon hiring, promotion, or transfer
into the relevant position; and (2) at the time the employee's

HB4002 - 16 - LRB101 15836 RJF 65193 b
duties are changed in such a way as to qualify that employee.
An employee receiving notification must certify in writing that
the person was advised of the prohibition and the requirement
to notify the appropriate Inspector General in subsection (f).
(f) Any State employee in a position subject to the
policies required by subsection (c) or to a determination under
subsection (d), but who does not fall within the prohibition of
subsection (h) below, who is offered non-State employment
during State employment or within a period of one year
immediately after termination of State employment shall, prior
to accepting such non-State employment, notify the appropriate
Inspector General. Within 10 calendar days after receiving
notification from an employee in a position subject to the
policies required by subsection (c), such Inspector General
shall make a determination as to whether the State employee is
restricted from accepting such employment by subsection (a) or
(b). In making a determination, in addition to any other
relevant information, an Inspector General shall assess the
effect of the prospective employment or relationship upon
decisions referred to in subsections (a) and (b), based on the
totality of the participation by the former officer, member, or
State employee in those decisions. A determination by an
Inspector General must be in writing, signed and dated by the
Inspector General, and delivered to the subject of the
determination within 10 calendar days or the person is deemed
eligible for the employment opportunity. For purposes of this

HB4002 - 17 - LRB101 15836 RJF 65193 b
subsection, "appropriate Inspector General" means (i) for
members and employees of the legislative branch, the
Legislative Inspector General; (ii) for the Auditor General and
employees of the Office of the Auditor General, the Inspector
General provided for in Section 30-5 of this Act; and (iii) for
executive branch officers and employees, the Inspector General
having jurisdiction over the officer or employee. Notice of any
determination of an Inspector General and of any such appeal
shall be given to the ultimate jurisdictional authority, the
Attorney General, and the Executive Ethics Commission.
(g) An Inspector General's determination regarding
restrictions under subsection (a) or (b) may be appealed to the
appropriate Ethics Commission by the person subject to the
decision or the Attorney General no later than the 10th
calendar day after the date of the determination.
On appeal, the Ethics Commission or Auditor General shall
seek, accept, and consider written public comments regarding a
determination. In deciding whether to uphold an Inspector
General's determination, the appropriate Ethics Commission or
Auditor General shall assess, in addition to any other relevant
information, the effect of the prospective employment or
relationship upon the decisions referred to in subsections (a)
and (b), based on the totality of the participation by the
former officer, member, or State employee in those decisions.
The Ethics Commission shall decide whether to uphold an
Inspector General's determination within 10 calendar days or

HB4002 - 18 - LRB101 15836 RJF 65193 b
the person is deemed eligible for the employment opportunity.
(h) The following officers, members, or State employees
shall not, within a period of one year immediately after
termination of office or State employment, knowingly accept
employment or receive compensation or fees for services from a
person or entity if the person or entity or its parent or
subsidiary, during the year immediately preceding termination
of State employment, was a party to a State contract or
contracts with a cumulative value of $25,000 or more involving
the officer, member, or State employee's State agency, or was
the subject of a regulatory or licensing decision involving the
officer, member, or State employee's State agency, regardless
of whether he or she participated personally and substantially
in the award of the State contract or contracts or the making
of the regulatory or licensing decision in question:
(1) members or officers;
(2) members of a commission or board created by the
Illinois Constitution;
(3) persons whose appointment to office is subject to
the advice and consent of the Senate;
(4) the head of a department, commission, board,
division, bureau, authority, or other administrative unit
within the government of this State;
(5) chief procurement officers, State purchasing
officers, and their designees whose duties are directly
related to State procurement;

HB4002 - 19 - LRB101 15836 RJF 65193 b
(6) chiefs of staff, deputy chiefs of staff, associate
chiefs of staff, assistant chiefs of staff, and deputy
governors;
(7) employees of the Illinois Racing Board; and
(8) employees of the Illinois Gaming Board.
(i) For the purposes of this Section, with respect to
officers or employees of a regional transit board, as defined
in this Act, the phrase "person or entity" does not include:
(i) the United States government, (ii) the State, (iii)
municipalities, as defined under Article VII, Section 1 of the
Illinois Constitution, (iv) units of local government, as
defined under Article VII, Section 1 of the Illinois
Constitution, or (v) school districts.
(Source: P.A. 101-31, eff. 6-28-19.)