2-156-370 Compensation.

   Board members shall receive no compensation for their services, but each board member may be reimbursed for expenses reasonably incurred in the performance of board duties.

(Prior code § 26.2-37; Added Coun. J. 5-16-90, p. 16204)

2-156-380 Powers and duties.

   In addition to other powers and duties specifically mentioned in this chapter, the board of ethics shall have the following powers and duties:

   (a)   to receive and refer complaints of violations of any of the provisions of this chapter to the inspector general and to refer complaints of violations of the governmental ethics ordinance of a sister agency to the sister agency;

   (a-1)   pursuant to Section 2-156-385, to issue a finding as to whether evidence shows that there is probable cause to believe that there has been a violation of this chapter;

   (b)   pursuant to Section 2-156-392, to issue a written opinion as to whether there has been a violation of this chapter and to impose a fine for such violation;

   (c)   to issue subpoenas upon a showing of good cause, at the request of the subject of an investigation or hearing, or on its own motion, when conducting a probable cause finding or hearing on the merits authorized in accordance with this chapter, if (i) the board has a reasonable belief that a violation of this chapter has occurred and the party to whom the subpoena is to be issued has previously failed to respond to a written request for the production of documents and/or testimony within seven days of the receipt of said written request; and (ii) the testimony of the witness or the documents or items sought by the subpoena are relevant to the probable cause finding or hearing on the merits.

   (1)   A subpoena shall be served in the same manner as subpoenas issued under the Rules of the Illinois Supreme Court to compel appearance of a deponent, and subject to the same witness and mileage fees fixed by law for such subpoenas.

   (2)   A subpoena issued under this section shall identify the person to whom it is directed and the documents or other items sought thereby, if any, and the date, time and place for the appearance of the witness and production of the documents or other items described in the subpoena. In no event shall the date for examination or production be less than seven days after service of the subpoena.

   (3)   No later than the time for appearance or production required by the subpoena, the person to whom the subpoena is directed may object to the subpoena, in whole or in part. The objection shall be in writing, delivered to the board of ethics, and shall specify the grounds for the objection. For seven days after receipt of a timely objection to a subpoena, the board of ethics shall take no action to enforce the subpoena or to initiate prosecution of the person to whom the subpoena is directed. During this seven day period, the board of ethics shall consider the grounds for the objection and may attempt to resolve the objection through negotiation with the person to whom the subpoena is directed. The seven day period may be extended by the board of ethics in order to allow completion of any negotiations. The extension shall be in writing addressed to the person to whom the subpoena is directed, and shall specify the date on which the negotiation period will end. Negotiations may include such matters as the scope of the subpoena and the time, place and manner of response thereto. The filing of an objection to a subpoena, and negotiations pursuant to an objection, shall not constitute refusal to comply with the subpoena, or interference with or obstruction of an investigation;

   (d)   to require the cooperation of city agencies, officials, employees and other persons whose conduct is regulated by this chapter, in implementing its duties pursuant to this chapter;

   (d-1)   to adopt, in consultation with the inspector general, and disseminate a summary of all rules and laws setting forth the rights of officials and employees as provided in Chapters 2-56 and 2-156;

   (e)   to consult with city agencies, officials and employees on matters involving ethical conduct;

   (f)   to recommend such legislative action as it may deem appropriate to effect the policy of this chapter;

   (g)   to conduct research in the field of governmental ethics and to carry out such educational programs as it deems necessary to effect the policy and purpose of this chapter;

   (h)   to promulgate rules for the conduct of board activities and hearings conducted pursuant to Section 2-156-392, including procedural rules consistent with the requirements of due process of law; rules related to: (i) administering waivers; (ii) contesting fines imposed for training and filing violations; (iii) the manner of making settlements, or the board's opinions, determinations and findings, available to the public; and (v) in consultation with the inspector general, the criteria to determine whether a potential violation of this chapter is minor. Provided, however, no such rules and regulations shall become effective until 45 days after their submission to the city council. And, provided further, no such rules and regulations shall become effective if, during said 45-day period, the city council, by majority vote of aldermen entitled to be elected, acts to disapprove said rules and regulations. The applicable administrative hearings procedures set forth in Chapter 2-14 and the applicable rules and regulations promulgated pursuant thereto shall apply to the procedural aspects of matters handled by hearing officers or presented to the board to the extent such procedural aspects are not covered by this chapter or the rules and regulations promulgated by the board;

   (h-1)   To return to the inspector general investigative reports submitted to it for a finding of probable cause pursuant to Section 2-156-385 for additional investigation or clarification;

   (i)   to prescribe forms for the disclosure and registration of information as provided in this chapter;

   (j)   to hire such staff as the city council shall provide in the annual appropriation ordinance;

   (k)   to prepare and publish, from time to time but at least semi-annually, reports summarizing the board's activities and to present such reports to the mayor and the city council. Each such report shall include, for the reporting period, the compliance of employees, lobbyists, and officials with the training, disclosure and registration requirements of this chapter, the number, substance and precedential value of the formal and informal advisory opinions that the board has issued, as well as the number, type and resolution of ethics complaints brought to the board, and the trends and emerging issues the board has assessed based on advisory requests and the role ethics training may play in addressing such developing ethics issues. The board shall also prepare and publish periodic electronic newsletters as frequently as the board may deem appropriate to inform employees, officials, the public and the media of the advisory opinions it has issued and current ethical problems in the workplace;

   (l)   to render advisory opinions with respect to the provisions of this chapter based upon a real or hypothetical set of circumstances, when requested by an official or employee, or by a person who is personally and directly involved. Advisory opinions shall be made available to the public, but the identity of the person requesting the opinion and of any person whose conduct is involved in the set of circumstances described in the request for the opinion shall be confidential. The board shall indicate, in writing, those advisory opinions that have precedential value, and organize such opinions in a searchable database that is accessible from the board's website. This subsection shall not be construed to prohibit the executive director from issuing informal advisory opinions in accordance with rules promulgated by the board;

   (m)   to create, operate and maintain an on-line system that allows lobbyists to register on-line and the public to view and search on-line any report of lobbying activities submitted under Section 2-156-250;

   (n)   to receive conflict of interest disclosures from any city employee or official, including aldermen;

   (n-1)   to review campaign finance or lobbyist filings for compliance with Article VI of this Chapter, and to refer potential violations discovered by such review to the inspector general as a complaint;

   (o)   to recommend policies, procedures and practices designed to ensure compliance with any federal, state or local law or regulation or any of the city's compliance-related polices and internal controls.

(Prior code § 26.2-37; Added Coun. J. 5-16-90, p. 16204; Amend Coun. J. 7-30-97, p. 50892; Amend Coun. J. 7-28-11, p. 4941, § 9; Amend Coun. J. 11-16-11, p. 13798, Art. IV, § 2; Amend Coun. J. 7-25-12, p. 31123, § 1; Amend Coun. J. 11-8-12, p. 38872, § 22; Amend Coun. J. 2-13-13, p. 46730, § 1; Amend Coun. J. 7-30-14, p. 85537, § 1; Amend Coun. J. 7-29-15, p. 3567, § 1; Amend Coun. J. 2-10-16, p. 19348, §§ 3, 5)

2-156-385 Probable cause finding.

   The inspector general may request the board to issue a finding as to whether evidence shows that there is probable cause to believe that the subject of an investigation (for purposes of this section, "subject") has violated this chapter, as follows:

   (1)   The inspector general may request the board to make a probable cause finding only after notifying the subject in writing. Such notice shall specify all the charges to be brought against the subject, including a summary of the facts alleged to support such finding, and shall state that the inspector general intends to request a probable cause finding by the board. Such notice must be served upon the subject at least 30 days before the request is made to the board.

   (2)   When requesting a probable cause finding, the inspector general shall provide to the board a final investigative report summarizing its investigation, which shall include all evidence supporting its findings and recommendation, and include an index describing the evidence gathered during the investigation.

   (3)   The board or its designee shall review the report, recommendation and evidence provided by the inspector general. If the board or its designee finds that the evidence does not show that there is probable cause to believe that the subject has violated this chapter, the board shall close the matter and so notify the inspector general and the subject. If the board or its designee finds that the evidence shows that there is probable cause to believe that the subject has violated this chapter, the board or its designee shall serve notice of the allegations upon the subject. Such notice shall inform the subject of his right to provide a written response, written submissions and a summary of the evidence supporting his position. The notice also shall set a meeting date with the board or its designee to discuss the allegations and the evidence. The subject must submit all written material and documents supporting his position at least 10 days before the date of the meeting. At the meeting, evidence presented in the matter shall be discussed and the subject shall be given an opportunity to respond to the evidence presented against him. The subject may be represented by counsel at the meeting. The entire meeting shall be reliably recorded or, alternatively, transcribed by a certified court reporter. All records of the meeting shall be kept confidential to the extent allowable under applicable law.

   (4)   After reviewing all the documents and evidence submitted by the parties, including oral and written responses, the board may: (i) seek to settle the matter by fine, discipline, or in such other manner as it deems appropriate; (ii) pursue an action for discipline; (iii) pursue an action for a fine; or (iv) take no action. If a settlement agreement involves the imposition of discipline and the subject is a current employee, such settlement agreement must be approved by the head of the city department, agency or office in which the employee works. If a settlement is reached, the full final settlement agreement, including the name of the subject of the investigation and the disciplinary measure imposed on him, shall be made publicly available to the extent allowable under applicable law. Except that in matters involving a violation of 2-156-149, the board may only pursue option (i), (iii), or (iv) and may also require attendance at such sexual harassment training as is designated by the Department of Human Resources.

   (5)   If the board determines to pursue an action for a fine, the matter shall proceed to a hearing on the merits as provided in Section 2-156-392.

   (6)   If the subject is a current employee and the board determines to pursue an action for discipline instead of a fine, within 40 days of such determination, the board shall submit a written recommendation, with all the evidence and documents supporting the board's recommendation: (i) to the mayor, if the employee is a department head or an appointed official; (ii) to the chairman of the city council committee or to the alderman for whom the employee works, if the employee is a city council employee; or (iii) to the head of the department or agency in which the employee works, if the employee is neither a department head, appointed official or a city council employee. A person to whom the board has transmitted its recommendation for action shall, within 30 days of receipt of the recommendation, report to the board in writing the actions taken on the recommendation and, to the extent that the person declines to take any recommended action, provide a written statement of reasons for his decision.

(Added Coun. J. 2-13-13, p. 46730, § 1; Amend Coun. J. 7-29-15, p. 3567, § 1; Amend Coun. J. 2-10-16, p. 19348, § 3; Amend Coun. J. 11-8-17, p. 58447, § 4)

2-156-390 Independent Board findings of probable cause – Prerequisites.

   In any circumstance in which this Chapter authorizes the Board to find, independently of an Inspector General request or referral, that there is probable cause to conclude that a person (for purposes of this section, the "subject") may have violated this Chapter, the Board may proceed with fact-finding or other information-gathering related to the matter only after notifying the subject in writing. The Board shall send such notice by certified mail addressed to the subject at their last known business or residential address. The Board shall also send the notice to the subject by email if a reliable email address is available to the Board. The notice, which shall not name or otherwise identify any involved complainant, shall specify the nature of the suspected violation and the underlying facts, and shall provide the subject with 10 business days from the hard-copy mailing date to respond to the Board in writing via either certified mail or to an email address provided by the Board. The Board shall not make a probable cause finding on the matter until after receiving the subject's timely response postmarked or emailed within the 10-day period, or the expiration of the subject's time to respond.

(Added Coun. J. 7-20-22, p. 50671, § 1)

Editor's note – Coun. J. 2-13-13, p. 46730, § 5, repealed former § 2-156-390, which pertained to actions on complaints or investigations.

2-156-392 Hearing on the merits – Fines.

   (a)   If the board determines pursuant to Section 2-156-385 to pursue an action for a fine, a hearing on the merits shall be held on the matter no less than 60 days after that determination, as follows:

      (1)   A hearing on the merits shall be held in a closed session, to the extent allowable under applicable law, before a hearing officer.

      (2)   The corporation counsel or his designee shall be the prosecutor in proceedings conducted pursuant to this section or any hearing reopened pursuant to Section 2-156-396. The prosecutor shall prepare a statement of charges, which shall be served upon the subject of the hearing (for purposes of this section and Section 2-156-396, "respondent") within 30 days of the board's determination to pursue an action for a fine with: (i) a list of all witnesses the city may call at the hearing; (ii) a copy of all documents the city intends to introduce at the hearing; (iii) any potentially exculpatory material in the city's possession from the inspector general's investigation; and (iv) a notice of the hearing setting the date of the hearing. The prosecutor may request, as a matter of right, a one-time extension of up to 30 days of the date of serving the statement of charges. The hearing officer may grant any subsequent request for extension by the prosecutor only upon a showing of good cause. Nothing in this subsection shall be construed to limit or divest the prosecutor of the discretion not to file charges, if in the prosecutor's judgment, the evidence in the record does not support the charges.

      (3)   The respondent shall be given an opportunity to submit a written answer to the charges within 21 days after the statement of charges is served upon him. The respondent may request, as a matter of right, a one-time extension of up to 30 days of the date of submitting his written answer. The hearing officer may grant any subsequent request for extension by the respondent only upon a showing of good cause. The respondent or the prosecutor may request, as a matter of right, a one-time extension of the date of the hearing for up to 30 days. If the respondent or the prosecutor requests subsequent extensions of the date of the hearing, the hearing officer may grant such extensions only upon a showing of good cause by the requesting party. No later than 10 days before the date of the hearing, the respondent shall provide to the prosecutor: (i) a list of all witnesses the respondent may call at the hearing, and (ii) a copy of all documents the respondent intends to introduce at the hearing.

      (4)   The hearing officer may receive written submissions, witness testimony, argument and documents regarding the charge. The hearing officer shall present his report and recommendation on the charges to the board.

      (5)   The entire hearing on the merits, including any testimony presented to the hearing officer and argument by the parties, shall be reliably recorded or, alternatively, transcribed by a certified court reporter. All records of the hearing on the merits shall be kept confidential to the extent allowable under applicable law.

      (6)   Within 40 days after the hearing on the merits, the board shall vote on the hearing officer's recommendation, and shall issue a written opinion imposing a fine or stating that no violation has occurred.

      (7)   If the board imposes a fine, the board's written opinion shall include the name and, if the respondent is a city official or employee, position of the respondent found to have violated this chapter, and an analysis of the evidence and the provision of this chapter at issue. If the board finds that no violation has occurred, it shall so state in its written opinion that includes an analysis of the evidence and the provision of this chapter at issue, and which opinion shall not, unless the respondent requests otherwise, include his name or position. The opinion of the board shall be made publicly available.

   (b)   Upon the board's imposition of a fine, the respondent shall either: (1) pay the fine or (2) petition the board to reconsider its opinion as provided in section 2-156-396.

   (c)   Upon a final determination by the board that the respondent did not commit a violation of this chapter, the respondent may submit a request to the board seeking reimbursement of reasonable legal expenses and costs incurred in defending the alleged violation. The request for reimbursement shall be granted if the board determines, using established legal principles, that the statement of charges was submitted and pursued in bad faith. If the board determines that the statement of charges was submitted and pursued in bad faith as provided in this section, such finding shall be made publicly available.

(Added Coun. J. 2-13-13, p. 46730, § 1; Amend Coun. J. 7-29-15, p. 3567, § 1; Amend Coun. J. 2-10-16, p. 19348, § 5)

2-156-395 Reserved.

Editor's note – Coun. J. 2-13-13, p. 46730, § 5, repealed § 2-156-395, which pertained to complaints against aldermen.