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CHAPTER
7 ETHICS
The
Illinois General Assembly enacted the State Officials and Employees Ethics
Act (Public Act 93-615 effective November 19, 2003, as amended by Public
Act 93-617 effective December 9, 2003), which is a comprehensive revision
of state statutes regulating ethical conduct, political activities and the
solicitation and acceptance of gifts by Illinois State officials and
employees. The Act requires
all units of local government and school districts to adopt ordinances or
resolutions regulating the political activities of, and the solicitation
and acceptance of gifts by, the officers and employees of such units “in
a manner no less restrictive” than the provisions of the Act.
It is the clear intention of the Act to require units of local
government and school districts to implement regulations that are at least
as restrictive as those contained in the Act and to impose penalties for
violations of those regulations that are equivalent to those imposed by
the Act. Accordingly, the
DuPage Airport Authority, in compliance with the Act, enacts the following
rules regulating its Commissioners, Officers and Employees.
Sec.
7-1
DEFINITIONS
7-1-1 Business
shall mean the actual business entity to which an Authority contract is to
be awarded as well as any of the business's principals, their immediate
families and any other legal entities in which those principals have a
controlling interest or otherwise have control over the disbursement of
funds.
7-1-2 Chairman
shall mean the Chairman of the DuPage Airport Authority.
7-1-3 Commissioners
shall mean the Commissioners of the DuPage Airport Authority, both
individually and as a group, including its Chairman.
7-1-4 Committee
shall mean an Ethics Committee created by the Chairman pursuant to this
chapter.
7-1-5 Compensated
Time for Employees shall mean any time worked by or credited to an
Employee that counts toward any minimum work time requirement imposed as a
condition of employment with the DuPage Airport Authority, but does not
include any designated DuPage Airport Authority holidays or any period
when the Employee is on a Leave of Absence.
The term Compensated Time
for Commissioners shall mean any time spent performing DuPage Airport
Authority duties.
7-1-6 Compensatory
Time Off shall mean authorized time off earned by or awarded to an
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 the DuPage Airport Authority.
7-1-7 Contribution
has the same meaning as that term is defined in Section 9-1.4 of the
Election Code.
7-1-8 Employee
shall mean all full-time, part-time and contractual employees of the
DuPage Airport Authority or any appointee, including the Executive
Director
7-1-9 Executive
Director shall mean the Executive Director of the DuPage Airport
Authority.
7-1-10 Gift
shall mean 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.
7-1-11 Leave
of Absence shall mean any period during which an Employee does not
receive (i) compensation for DuPage Airport Authority employment, (ii)
service credit towards DuPage Airport Authority pension benefits, and
(iii) health insurance benefits paid for by the DuPage Airport Authority.
7-1-12 Market
Value shall mean the price that the Gift would bring for assets of
like type, quality and quantity in the local market at the time of
acquisition
7-1-13 Nominal
Value shall mean a Gift to any one Employee worth less than One
Hundred Dollars ($100.00) as an annual aggregate from a particular donor.
7-1-14 Political
shall mean 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 DuPage Airport Authority duties.
7-1-15 Political
Organization shall mean a party, committee, association, fund or other
organization (whether or not 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.
7-1-16 Prohibited
Political Activity shall mean any activity proscribed by Section 7-2
herein.
7-1-17 Prohibited
Source shall mean any source defined in section 7-5 herein.
7-1-18 Retaliatory
Action shall mean the reprimand, discharge, suspension, demotion or
denial of promotion or transfer of any Employee in the terms and
conditions of employment that is taken in retaliation for an Employee's
involvement in protected activity.
7-1-19 Ultimate
Jurisdictional Authority shall mean the following:
for all Employees, the Executive Director; for the Commissioners
and the Executive Director, the Chairman; and for the Chairman, the
Vice-Chairman.
7-1-20 Vice-Chairman
shall mean the Vice-Chairman of the DuPage Airport Authority.
7-2
PROHIBITED POLITICAL ACTIVITIES
7-2-1
"Prohibited Political Activity" shall mean:
(a)
preparing for, organizing or participating in any Political
meeting, Political rally, Political demonstration or other Political
event;
(b)
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;
(c)
soliciting, planning the solicitation of, or preparing any document
or report regarding any thing of value intended as a campaign
Contribution;
(d)
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;
(e)
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;
(f)
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;
(g)
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;
(h)
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;
(i)
making Contributions on behalf of any candidate for elective office
in that capacity or in connection with a campaign for elective office;
(j)
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;
(k)
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;
(l)
campaigning for any elective office or for or against any
referendum question;
(m)
managing or working on a campaign for elective office or for or
against any referendum question
(n)
serving as a delegate, alternate, or proxy to a Political party
convention; and
(o)
participating in any recount or challenge to the outcome of any
election.
7-2-2
Prohibition. Commissioners
and Employees shall not intentionally perform any Prohibited Political
Activity during any Compensated Time (other than vacation, personal or
Compensatory Time Off). Commissioners
and Employees shall not intentionally misappropriate any DuPage Airport
Authority property or resources by engaging in any Prohibited Political
Activity for the benefit of any campaign for elective office of any
Political Organization.
7-2-3
Misappropriation of Employees Prohibited.
At no time shall any Commissioner or Employee intentionally
misappropriate the services of any Employee by requiring that Employee to
perform any Political activity (i) as part of that Employee's DuPage
Airport Authority duties, (ii) as a condition of employment, or (iii)
during any time off that is compensated by the DuPage Airport Authority
(such as vacation, personal or Compensatory Time Off).
7-2-4
Required Participation
Prohibited. An Employee
shall not be required at any time to participate in any Prohibited
Political Activity in consideration for that Employee being awarded any
additional compensation or employee benefit, in the form of a salary
adjustment, bonus, Compensatory Time Off, continued employment or
otherwise.
7-2-5
Additional Compensation
Prohibited. An Employee
shall not be awarded any additional compensation or employee benefit, in
the form of a salary adjustment, bonus, Compensatory Time Off, continued
employment or otherwise, in consideration for the Employee's participation
in any Prohibited Political Activity.
7-2-6
Excepted Activities.
Nothing in this Section prohibits activities that are otherwise
appropriate for a Commissioner or Employee to engage in as part of his or
her official employment duties or activities that are undertaken by a
Commissioner or Employee on a voluntary basis as permitted by law.
7-2-7
Political Affiliation.
No person either (i) in a position that is subject to recognized
merit principles of public employment or (ii) in a position the salary for
which is paid in whole or in part by federal funds and that is subject to
the Federal Standards for a Merit System of Personnel Administration
applicable to grant-in-aid programs, shall be denied or deprived of
employment or tenure solely because he or she is a member or an officer of
a Political committee, of a Political party, or of a Political
Organization or club.
7-3
PROHIBITED OFFER OR PROMISE.
A Commissioner or Employee may not promise anything of value
related to the DuPage Airport Authority, including but not limited to
positions with the DuPage Airport Authority, promotions or salary
increases, in consideration for a Contribution to a Political committee,
Political party or other entity that has as one of its purposes the
financial support of a candidate for elective office.
Nothing in this Section prevents the making or accepting of
voluntary Contributions otherwise in accordance with law.
7-4
CONTRIBUTIONS ON DUPAGE AIRPORT AUTHORITY PROPERTY.
Contributions shall not be intentionally solicited, accepted,
offered or made on DuPage Airport Authority Property by public officials,
by Employees, by candidates for elective office, by persons required to be
registered under the Lobbyist Registration Act, or by any officers,
employees or agents of any Political organization, except as provided in
this chapter. For purposes of
this Section, "DuPage Airport Authority Property" means any
building or portion thereof owned or exclusively leased by the DuPage
Airport Authority at the time the Contribution is solicited, offered,
accepted or made. "DuPage
Airport Authority Property" does not, however, include any portion of
a building that is rented or leased from the DuPage Airport Authority by a
private person or entity.
An inadvertent solicitation, acceptance, offer or making of a
Contribution is not a violation of this Section so long as reasonable and
timely action is taken to return the Contribution to its source.
The provisions of this Section do not apply to the residences of
the DuPage Airport Authority Commissioners or its Employees, except that
no fundraising events shall be held at residences owned by the DuPage
Airport Authority or paid for, in whole or in part, with DuPage Airport
Authority funds.
7-5
GIFT BAN
7-5-1 "Prohibited
Source" includes any
person or entity who:
(a)
is seeking official action from, does business or seeks to do
business with, or conducts activities regulated by (i) a Commissioner or
(ii) in the case of an Employee, the Employee or a Commissioner or other
Employee directing the Employee;
(b)
has interests that may be substantially affected by the performance
or non-performance of the official duties of the Commissioners or
Employee; or
(c)
is registered or required to be registered with the Secretary of
State under the Lobbyist Registration Act, 25 ILCS 170/1 et
seq., except that an entity not otherwise a Prohibited Source does not
become a Prohibited Source merely because a registered lobbyist is one of
its members or serves on its board of directors.
Except
as otherwise provided in this chapter, no Commissioner or Employee shall
intentionally solicit or accept any Gift from any Prohibited Source or in
violation of any federal or state statute, rule, regulation or DuPage
Airport Authority Ordinance. This
ban applies to and includes spouses and immediate family living with a
Commissioner or Employee. No
Prohibited Source shall intentionally offer or make a Gift that violates
this chapter.
7-6
EXCEPTIONS. The
restrictions in Section 7-5 of this chapter shall not apply to the
following:
7-6-1
General Public.
Opportunities, benefits, and services that are available on the
same conditions as for the general public.
7-6-2
Market Value Paid.
Anything for which a Commissioner or Employee pays the Market
Value.
7-6-3
Permitted Activities.
Any (i) contribution as defined in Article 9 of the Election Code,
10 ILCS 5/9-1 et seq., that is lawfully made under that Act or under this chapter
or (ii) activities associated with a fundraising event in support of a
Political Organization or candidate.
7-6-4
Travel Expenses.
Travel expenses for a meeting to discuss DuPage Airport Authority
business.
7-6-5
Gifts From Relatives.
A gift from a relative, meaning those people related to the
individual as father, mother, son, daughter, brother, sister, uncle, aunt,
great uncle, great aunt, first cousin, nephew, niece, husband, wife,
grandfather, grandmother, grandson, granddaughter, father-in-law,
mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law,
stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister,
half brother, half sister, and including the father, mother, grandfather
or grandmother of the individual's spouse and the individual's fiancé or
fiancée.
7-6-6
Items Provided Through
Personal Friendship. Anything
provided by an individual on the basis of a personal friendship, unless a
Commissioner or Employee has reason to believe that, under the
circumstances, the gift was provided due to the official position or
employment of the recipient rather than due to the personal friendship.
In
determining whether a Gift has been provided on the basis of a personal
friendship, a Commissioner or Employee shall consider the circumstances
under which the Gift was offered, such as:
(a) the
history of the relationship between the individual giving the Gift and the
recipient of the Gift, including any previous exchange of Gifts between
those individuals;
(b) whether
to the actual knowledge of a Commissioner or Employee the individual who
gave the Gift personally paid for the Gift or sought a tax deduction or
business reimbursement for the Gift; and
(c) whether
to the actual knowledge of a Commissioner or Employee the individual who
gave the Gift also at the same time gave the same or similar Gift to
another Commissioner or Employee.
7-6-7 Intra-Governmental And Inter-Governmental Gifts.
For the purpose of this chapter, "intra-governmental
gift" means any Gift given to a Commissioner or Employee of the
DuPage Airport Authority from another Commissioner or Employee of the
DuPage Airport Authority; and "inter-governmental gift" means
any Gift given to a Commissioner or Employee of the DuPage Airport
Authority from any member, officer or employee of any other governmental
entity.
7-6-8 Food Or Refreshments. Food
or refreshments not exceeding $75 per person in value on a single calendar
day, provided that the food or refreshments are (i) consumed on the
premises from which they were purchased or prepared or (ii) catered.
For the purpose of this Section, "catered" means food or
refreshments that are purchased ready to eat and delivered by any means.
7-6-9 Benefits Outside of Business. Food,
lodging, refreshments, transportation and other benefits resulting from
the outside business or employment activities (or outside activities not
connected to the duties of a Commissioner or Employee as an officeholder
or employee) of a Commissioner or Employee, or the spouse of a
Commissioner or Employee, if the benefits have not been offered or
enhanced because of the official position or employment of a Commissioner
or Employee and are customarily provided to others in similar
circumstances.
7-6-10 Public Policy Training/Seminars.
Educational materials and missions, including meetings with
government officials, either foreign or domestic, intended to educate
public officials on matters of public policy to which a Commissioner or
Employee may be invited to participate alone or with other federal, state
or local public officials and community leaders.
7-6-11 Inheritance. Bequests,
inheritances and other transfers at death.
7-6-12 Nominal Value Item. Any
item or items from any one Prohibited Source during any calendar year
having a Nominal Value.
Each
of the exceptions listed in this Section 7-6 is mutually exclusive and
independent of one another.
7-7
DISPOSITION OF GIFTS. The
recipient of a Gift that is given in violation of this chapter does not
violate this chapter if the recipient promptly takes reasonable action to
return the item to its source or give the item or an amount equal to its
value to an appropriate charity that is exempt from income taxation under
Section 501(c)(3) of the Internal Revenue Code of 1986, as now or
hereafter amended, renumbered, or succeeded.
7-8
PROTECTED ACTIVITY (WHISTLE-BLOWER PROTECTION).
7-8-1
Retaliation Prohibited.
Commissioners or Employees shall not take any Retaliatory Action
against an Employee or Commissioner because the Employee or Commissioner
does any of the following:
(a)
discloses or threatens to disclose to a supervisor or to a public
body an activity, policy or practice of any Commissioner or other Employee
that the Employee reasonably believes is in violation of a law, rule,
regulation or ordinance;
(b)
provides information to or testifies before any public body
conducting an investigation, hearing or inquiry into any violation of a
law, rule, regulation or ordinance by any Commissioner or other Employee;
and
(c)
assists or participates in a proceeding to enforce the provisions
of this chapter.
7-8-2 Notice. The
DuPage Airport Authority and its Commissioners shall conspicuously display
notices of Employee protection under this Ordinance.
7-9
ETHICS COMMITTEE
7-9-1
Ethics Committee.
When a complaint is received, the Chairman
shall create an Ethics Committee with a minimum of three (3)
Commissioners to conduct proceedings relating solely to that complaint.
Should the complaint be against the Chairman, the Vice-Chairman
shall create an Ethics Committee with a minimum of three (3) Commissioners
and shall then also have all powers of the Chairman under this chapter.
7-9-2 Composition. The
Committee may be composed of as many Commissioners as the Chairman
determines are necessary.
7-9-3 Meetings. The Committee
shall meet as often as necessary to perform its duties.
7-9-4 Committee to Disband. Upon
a final resolution of the complaint, the Committee shall be disbanded.
7-9-5 Use of Staff. The
Committee shall utilize existing staff, as necessary, and may contract for
services that cannot be satisfactorily performed by the staff.
7-9-6 Powers and Duties. The
Committee shall have the following powers and duties:
(a)
To promulgate procedures and rules governing the performance of its
duties and the exercise of its powers.
(b)
To investigate, conduct research, conduct closed hearings and
deliberations, issue recommendations and impose a penalty or fine.
(c)
To receive information from the public pertaining to its
investigations and to require additional information and documents from
persons who may have violated this chapter.
(d)
To subpoena witnesses and compel the production of books and papers
pertinent to an investigation authorized by this chapter.
(e)
To request that the Attorney General provide legal advice without
charge.
7-9-7 Limitation on Powers and Duties.
The powers and duties of the Committee are limited to matters
clearly within the purview of this Section 7-9.
7-10
COMPLAINT PROCEDURE
7-10-1
Filing.
Complaints alleging a violation of this chapter shall be filed with
the Executive Director. Such complaints shall be written and shall contain the
complainant's address.
7-10-2
Appointment of Committee.
Upon receipt of a written complaint, the Executive Director shall
forward same to the Chairman, who shall then appoint an Ethics Committee
within a reasonable time period.
7-10-3
Notice.
Within seven (7) business days after the creation of the Ethics
Committee, the Committee shall send by certified mail, return receipt
requested, a notice to the respondent that a complaint has been filed
against him or her and a copy of the complaint. The Committee shall send by certified mail, return receipt
requested, a confirmation of the receipt of the complaint to the
complainant within seven (7) business days after the creation of the
Committee. The notices to the
respondent and the complainant shall also advise them of the date, time
and place of the meeting on the sufficiency of the complaint and probable
cause.
7-10-4
Committee Meeting.
Upon at least forty-eight (48) hours' public notice of the session,
the Committee shall meet in closed session to review the sufficiency of
the complaint and, if the complaint is deemed to sufficiently allege a
violation of this chapter, to determine if there is probable cause to
proceed based on evidence presented by the complainant.
The Committee shall issue notice to the complainant and the
respondent of the Committee's ruling on the sufficiency of the complaint
and, if necessary, on probable cause within fourteen (14)
business days after the closed session meeting.
If the complaint is deemed to sufficiently allege a violation of
this chapter and there is a determination of probable cause, then the
Committee's notice to the parties shall include a hearing date scheduled
within four (4) weeks after the closed session meeting.
If the complaint is deemed not to sufficiently allege a violation,
or if there is no determination of probable cause, then the Committee
shall send by certified mail, return receipt requested, a notice to the
parties of the decision to dismiss the complaint and that notice shall be
made public.
7-10-5
Private Hearing.
On the scheduled date and upon at least forty-eight (48) hours'
public notice of the meeting, the Committee shall conduct a closed meeting
on the complaint and allow both parties the opportunity to present
testimony and evidence.
7-10-6
Preliminary Action.
Within eight (8) weeks after the creation of the Committee, the
Committee shall (i) dismiss the complaint or (ii) issue a preliminary
recommendation to the alleged violator and to the violator's Ultimate
Jurisdictional Authority or impose a fine upon the violator, or both. The
particular findings in the instant case, the preliminary recommendation
and any fine shall be made public.
7-10-7
Demand For Public Hearing.
Within seven (7) business days after the issuance of the
preliminary recommendation or imposition of a fine, or both, the
respondent may file a written demand for a public hearing on the
complaint. The filing of the
demand shall stay the enforcement of the preliminary recommendation or
fine. Within two (2) weeks
after receiving the demand, the Committee shall conduct a public hearing
on the complaint after at least forty-eight (48) hours' public notice of
the hearing and allow both parties the opportunity to present testimony
and evidence. Within five (5)
business days, the Committee shall publicly issue a final recommendation
to the alleged violator and to the violator's Ultimate Jurisdictional
Authority or impose a fine upon the violator, or both.
7-10-8
Expedited Decision.
If a complaint is filed during the sixty (60) days preceding the
date of any election at which the respondent is a candidate, the Committee
shall render its decision as required under subsection (5) within fourteen
(14) days after the Committee is created, and during the fourteen (14)
days preceding that election, the Committee shall render such decision
before the date of that election, if possible
7-10-9
Penalties.
The Committee may levy a fine of up to $5,000 against any person
who knowingly files a frivolous complaint alleging a violation of this
chapter.
7-10-10
Limitations.
A complaint alleging the violation of this chapter must be filed
within one (1) year after the alleged violation.
7-11
ENFORCEMENT
7-11-1 Recommendation. The
Committee may recommend to a person's Ultimate Jurisdictional Authority
disciplinary action against the person it determines to be in violation of
this chapter. The recommendation may prescribe the following courses
-
-
reprimand:
-
- to cease and desist the offensive action;
-
-
a return or refund of money or other items, or an amount of
restitution for services received in violation of this chapter;
-
-
-
donation to a charity of an amount equal to the Gift;
-
-
- dismissal, removal from office, impeachment
or expulsion.
7-11-2 Fines. The Committee
may impose a fine of up to $5,000 per violation to be deposited into the
General Revenue Fund.
7-11-3 Disciplinary Action. The
Ultimate Jurisdictional Authority of a person who violates an ethics
provision may take disciplinary action against the person as recommended
by the Committee or as it deems appropriate, to the extent it is
constitutionally permissible for the Ultimate Jurisdictional Authority to
take that action. The
Ultimate Jurisdictional Authority shall make its action, or determination
to take no action, available to the public.
7-11-4 Dismissal. If after a
hearing the Committee finds no violation of this chapter, the Committee
shall dismiss the complaint.
7-12
PENALTY
7-12-1 Misdemeanor. An
individual who intentionally violates subsection 7-2 or 7-3 of this
chapter is guilty of a Class A misdemeanor, as that offense is defined in
the Illinois Criminal Code, 720 ILCS 5/1-1, et.
seq.
7-12-2 Business Offense. An
individual who intentionally violates subsection 7-4 or 7-5 of this
chapter is guilty of a business offense, as that offense is defined in the
Illinois Criminal Code, 720 ILCS 5/1-1, et.
seq., and is subject to a fine of at least $1,001 and up to $5,000.
7-13
REVIEW. The
Committee's decision to dismiss a complaint or its recommendation is not a
final administrative decision, but its imposition of a fine is a final
administrative decision subject to judicial review under the
Administrative Review Law of the Code of Civil Procedure.
7-14
SEVERANCE
7-14-1 Severability.
It is hereby declared to be the intention of the Authority that the
several provisions of this chapter are severable.
7-14-2 Invalidity of Act. If
any court of competent jurisdiction shall adjudge any provisions, or part
thereof, of the State Officials and Employees Ethics Act to be invalid,
the corresponding provisions, or part thereof, of this chapter shall also
be deemed null and void without any further action of the Board.
Such judgment shall not affect any other provision or part thereof
of this chapter declared invalid which are not declared to be invalid in
said judgment.
7-14-3 Survival. If any court
of competent jurisdiction shall adjudge any provision, or part thereof, of
this chapter to be invalid, such judgment shall not affect any other
provision, or part thereof, of this chapter which is not declared to be
invalid in said judgment
7-14-4 Effect of Invalidity on Others.
If any court of competent jurisdiction shall adjudge invalid the
application of any provision, or part thereof, of this chapter to a
particular person, such judgment shall not affect the application of said
provision, or part thereof, to any other person not specifically included
in said judgment.
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