A. Gift Ban And Prohibited Political Activities:
1. Definitions: Whenever the following words or terms are used in this subsection A, they shall have the meanings ascribed to them below:
CAMPAIGN FOR ELECTIVE OFFICE: 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: a) relating to the support or opposition of any executive, legislative, or administrative action 1 , b) relating to collective bargaining 2 , or c) that are otherwise in furtherance of the person's official duties.
CANDIDATE: Any person who has filed nominating papers or petitions for nomination or election to an elected 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.
COMPENSATED TIME: With respect to an employee, any time worked by or credited to an employee that counts toward any minimum work time requirement imposed as a condition of his or her employment but, for purposes of this subsection A, does not include any designated holidays, vacation periods, personal time, compensatory time off, or any period when the employee is on a leave of absence. With respect to officers or employees whose hours are not fixed, compensated time includes any period of time when the officer or employee is on the premises under the control of the employer and any other time when the officer or employee is executing his or her official duties, regardless of location.
COMPENSATORY TIME OFF: Any 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 her or his employment.
EMPLOYEE: All full time, part time, and contractual employee of the village.
GIFT: 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 officer or employee.
INTEROFFICE GIFT: Any gift given to an officer or employee of the village from a member of the Illinois general assembly; or from the governor, the lieutenant governor, the attorney general, the secretary of state, the controller, the treasurer or the auditor general of the state of Illinois; or from a member, officer, appointee, or employee of any state agency as defined in the state officials and employees ethics act 3 , or of any federal agency, or of any unit of local government or school district.
INTRAOFFICE GIFT: Any gift given to an officer or employee of the village from another officer or employee of the village.
LEAVE OF ABSENCE: Any period during which an employee does not receive: a) compensation for employment, b) service credit towards pension benefits, and c) health insurance benefits paid for by the village.
OFFICER: All appointed and elected officials of the village, regardless of whether the official is compensated.
POLITICAL: Any activity in support of or in connection with any campaign for elective office or any political organization, but does not include activities: a) relating to the support or opposition of any executive, legislative, or administrative action, b) relating to collective bargaining, or c) that are otherwise in furtherance of the person's official duties.
POLITICAL ORGANIZATION: 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 4 , but only with regard to those activities that require filing with the state board of elections or a county clerk.
PROHIBITED POLITICAL ACTIVITY: 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 anything 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.
o. Participating in any recount or challenge to the outcome of any election.
PROHIBITED SOURCE: Any person or entity who:
a. Is seeking official action by the village or by an officer or employee of the village;
b. Does business or seeks to do business with the village or with an officer or employee of the village;
c. Conducts activities regulated by the village or by an officer or employee of the village;
d. Has interests that may be substantially affected by the performance or nonperformance of the official duties of the village or an officer or employee of the village; or
e. Is registered or required to be registered with the secretary of state under the lobbyist registration act, except that an entity does not become a prohibited source merely because a registered lobbyist is one of its members or serves on its board of directors.
RELATIVE: Those people related to the officer or employee as father, mother, son, daughter, brother, sister, uncle, aunt, great aunt, great uncle, 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 officer's or employee's spouse and the officer's or employee's fiance or fiancee.
2. Gifts:
a. Gifts Prohibited: Except as otherwise provided in subsection A2b of this section, no officer or employee, spouse of an officer or employee, or immediate family member living with an officer or employee, shall intentionally solicit or accept any gift from any prohibited source or in violation of any federal or state statute, rule, or regulation. No prohibited source shall intentionally offer or make a gift that violates this subsection.
b. Exceptions: The restrictions set forth in subsection A2a of this section shall not apply to the following:
(1) Opportunities, benefits, and services that are available on the same conditions as for the general public.
(2) Anything for which the officer or employee pays the market value or anything not used and promptly disposed of as provided in subsection A2c of this section.
(3) A contribution, as defined in article 9 of the Illinois election code 5 , that is lawfully made under that code or under the state officials and employees ethics act, or activities associated with a fundraising event in support of a political organization or candidate.
(4) Educational materials and missions.
(5) Travel expenses for a meeting to discuss village business.
(6) A gift from a relative of an officer or employee.
(7) Anything provided by an individual on the basis of a personal friendship unless the officer or employee has reason to believe that, under the circumstances, the gift was provided because of the official position or employment of the officer or employee and not because of the personal friendship. In determining whether a gift is provided on the basis of personal friendship, the officer 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 the officer 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 the officer or employee the individual who gave the gift also at the same time gave the same or similar gifts to other officers or employees.
(8) Food or refreshments not exceeding seventy five dollars ($75.00) per person in value on a single calendar day; provided that the food or refreshments are:
(A) Consumed on the premises from which they were purchased or prepared; or
(B) Purchased ready to eat and delivered by any means.
(9) Food, refreshments, lodging, transportation, and other benefits resulting from the outside business or employment activities (or outside activities that are not connected to the duties of the officer or employee as an office holder or employee) of the officer or employee, or the spouse of the officer or employee, if the benefits have not been offered or enhanced because of the official position or employment of the officer or employee and are customarily provided to others in similar circumstances.
(10) Intraoffice and interoffice gifts.
(11) Bequests, inheritances, and other transfers at death.
(12) Any item or items from any one prohibited source during any calendar year having a cumulative total value of less than one hundred dollars ($100.00).
c. Disposition Of Gifts: An officer or employee that is a recipient of a gift that is given in violation of this subsection A may, at his or her discretion, return the item to the donor 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.
3. Prohibited Political Activities:
a. No officer or employee shall intentionally perform any prohibited political activity during any compensated time. No officer or employee shall intentionally use any property or resources of the village in connection with any prohibited political activity.
b. At no time shall any officer or employee intentionally require any other officer or employee to perform any prohibited political activity: 1) as part of that employee's duties, 2) as a condition of employment, or 3) during any compensated time off.
c. No officer or employee shall be required at any time to participate in any prohibited political activity in consideration for that officer or employee being awarded any additional compensation or any benefit, whether in the form of a salary adjustment, bonus, compensatory time off, continued employment, or otherwise, nor shall any officer or employee be awarded additional compensation or any benefit in consideration for the officer's or employee's participation in any prohibited political activity.
d. Nothing in this subsection A3 prohibits activities that are otherwise permissible for an officer or employee to engage in as a part of his or her official or employment duties or activities that are undertaken by an officer or employee on a voluntary basis as permitted by law.
e. No person either: 1) in a position that is subject to recognized merit principles of public employment or 2) 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. (Ord. 2004-06-295, 6-7-2004)
4. Ethics Officer: The village manager, or her or his designee, shall be designated the ethics officer for the village. The ethics officer's duties and responsibilities shall include: (Ord. 2004-06-295, 6-7-2004; amd. Ord. 2012-10-861, 10-1-2012)
a. Providing guidance to officers and employees in completing statements of economic interest before they are filed with the appropriate office; and
b. Providing guidance to officers and employees in the interpretation and implementation of this subsection A and the requirements of section 5-15 and article 10 of the state officials and employees ethics act; and
c. Providing guidance to officers and employees in the interpretation and implementation of other applicable statutes, ordinances, rules, or regulations of the village, the state of Illinois, or the federal government dealing with ethics, conflicts of interest, interests in contracts, jobs, work, or materials, or the profits thereof, or services to be performed for or by the village.
5. Interpretation: It is the intent of the village that the provisions of this subsection A shall be substantially in accordance with the requirements of section 5-15 and article 10 of the state officials and employees ethics act. To the extent that section 5-15 or article 10 of the state officials and employees ethics act may be more restrictive than the requirements of this subsection A, the provisions of section 5-15 and article 10 of the state officials and employees ethics act shall apply and control. This subsection A does not repeal or otherwise modify the "Village Of Lake Zurich Personnel Policy And Procedure Manual" ("existing regulations"). To the extent that the existing regulations are less restrictive than section 5-15 or article 10 of the state officials and employees ethics act and this subsection A, the provisions of section 5-15 and article 10 of the state officials and employees ethics act and this subsection A shall apply and control. (Ord. 2004-06-295, 6-7-2004)
B. Conflict Of Interest:
1. No officer, appointee or employee of the village shall be interested, directly or indirectly, in his own name or in the name of any other person, association, trust or corporation, in any contract, work or business of the village, or in the sale of any article, whenever the expense, price or consideration of the contract, work, business or sale is paid either from the treasury or by any assessment levied by any statute or ordinance. No officer, appointee or employee shall be interested, directly or indirectly, in the purchase of any property which: a) belongs to the village, or b) is sold for taxes or assessments, or c) is sold by virtue of legal process at the suit of the village.
2. However, any elected or appointed village board member may provide materials, merchandise, property, services or labor, if:
a. The contract is with a person, firm, partnership, association, corporation or cooperative association in which such interested member has less than a seven and one-half percent (71/2%) share in the ownership; and
b. Such interested member publicly discloses the nature and extent of his interest prior to or during deliberations concerning the proposed award of the contract; and
c. Such interested member abstains from voting on the award of the contract, though he shall be considered present for the purposes of establishing a quorum; and
d. Such contract is approved by a majority vote of those members presently holding office; and
e. The contract is awarded after sealed bids to the lowest responsible bidder if the amount of the contract exceeds one thousand five hundred dollars ($1,500.00), but the contract may be awarded without bidding if the amount is less than one thousand five hundred dollars ($1,500.00); and
f. The award of the contract would not cause the aggregate amount of all such contracts so awarded to the same person, firm, association, partnership, corporation, or cooperative association in the same fiscal year to exceed twenty five thousand dollars ($25,000.00).
3. In addition to the above exemption, any elected or appointed village board member may provide materials, merchandise, property, services or labor if:
a. The award of the contract is approved by a majority vote of the village board, provided that any such interested member shall abstain from voting; and
b. The amount of the contract does not exceed one thousand dollars ($1,000.00); and
c. The award of the contract would not cause the aggregate amount of all such contracts so awarded to the same person, firm, association, partnership, corporation, or cooperative association in the same fiscal year to exceed two thousand dollars ($2,000.00); and
d. Such interested member publicly discloses the nature and extent of his interest prior to or during deliberations concerning the proposed award of the contract; and
e. Such interested member abstains from voting on the award of the contract, though he shall be considered present for the purposes of establishing a quorum.
4. Nothing contained in this subsection B, including the restrictions set forth in subsections B2 and B3 of this section, shall preclude a contract of deposit of monies, loans or other financial services by the Village with a local bank or local savings and loan association, regardless of whether a member or members of the Village Board are interested in such bank or savings and loan association as an officer or employee or as a holder of less than seven and one-half percent (71/2%) of the total ownership interest. A member or members holding such an interest in such a contract shall not be deemed to be holding a prohibited interest for purposes of this subsection B. Such interested member or members must publicly state the nature and extent of their interest during deliberations concerning the proposed award of such a contract, but shall not participate in any further deliberations, concerning the proposed award. Such interested member or members shall not vote on such a proposed award. Any member or members abstaining from participation in deliberations and voting under this subsection B may be considered present for purposes of establishing a quorum. Award of such a contract shall require approval by a majority vote of those members presently holding office. Consideration and award of any such contract in which a member or members are interested may only be made at a regularly scheduled public meeting of the Village Board. (Ord. 88-01-251, 1-18-1988)
C. Financial Disclosure: (Rep. by Ord. 2017-6-200, 6-5-2017)
D. Miscellaneous:
1. Financial Interest: Any official, appointee, employee or attorney of the village having a direct or indirect financial interest in any matter pending before the village board or any committee thereof or before the plan commission or zoning board of appeals shall disclose in writing to the manager the nature of such interest, providing full details, and shall refrain from taking any action or voting on such matter.
2. Representation Of Others: No official, appointee, employee or attorney representing the village in any manner may represent or have an economic interest in the representation of any person or entity in any proceeding or transaction in which the village, its boards, committees or commissions may be called upon to take discretionary action, unless such representation or interest does not violate any existing law, rule or regulation, and a full disclosure of such representation or interest is provided in writing to each member of each board or commission before whom any such matter may be presented, with copy to the village manager, prior to any hearing or meeting of such board or commission at which such matter is first reviewed or considered.
3. Posttermination Representation: No official, appointee, employee or attorney shall, for a period of one year after termination of his term or employment by the village, represent any person or entity in any transaction before the village, its boards, committees or commissions if the official, appointee, employee or attorney participated personally and substantially in the subject matter of the transaction during his term of office or employment, unless such representation or interest does not violate any existing law, rule or regulation, and a full disclosure of such representation or interest is provided in writing to each member of each board or commission before whom any such matter may be presented, with copy to the village manager, prior to any hearing or meeting of such board or commission at which such matter is first reviewed or considered.
4. Related Parties: No official, appointee or employee of the village shall use or permit the use of his position to assist any relative in securing employment or contracts with the village, or to assist any relative in any manner to achieve promotions or salary increases, or to achieve any position of priority or advantage over any other employee of the village, or to assist any relative in any disciplinary or other hearing before the village, its boards, committees or commissions. For purposes of this subsection D4, a "relative" is defined as a spouse or as any of the following, whether by blood or by adoption: parent, child, brother, sister, aunt, uncle, niece, nephew, grandparent, grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half-brother or half-sister; provided, however, nothing in this subsection D4 shall prevent the employment of any related party where the supervisor of the department seeking the employee, or the manager, where supervisory or other managerial employees are sought, determines that the related party is the best qualified individual for the position. (Ord. 88-01-251, 1-18-1988; amd. Ord. 2012-10-861, 10-1-2012)
5. Confidentiality: Except upon authorization by the corporate authorities of the village, no official, appointee, employee or attorney representing the village shall disclose to any person information obtained or discussed during any session of the village board or any committee, board or commission thereof where such session was closed to the public in compliance with 5 Illinois Compiled Statutes 120/1 et seq., of the open meetings act (and as from time to time amended). (Ord. 88-01-251, 1-18-1988)
6. Interest In Real Estate: Each official, appointee, attorney and employee of the village shall, within thirty (30) days of the effective date of this section, advise the village manager in writing of each and every parcel of real estate within the village in which such individual: (Ord. 88-01-251, 1-18-1988; amd. Ord. 2012-10-861, 10-1-2012)
a. Holds an ownership interest, whether directly or in the name of any other person or entity;
b. Holds a power of appointment or beneficial interest in any land trust, whether directly or in the name of any other person or entity;
c. Has a pecuniary interest in any such real estate or land trust; and
d. Holds a mortgage, lien or other form of security in any such parcel of real estate or land trust, whether directly or in the name of any other person or entity,
providing in each instance full particulars as to the real estate titleholder and any action or request pending before the village, its boards, committees or commissions. (Ord. 88-01-251, 1-18-1988)
Prior to, or simultaneously with, any annexation petition being filed with the village, each official, appointee, attorney and employee of the village having an interest in such real estate shall advise the village manager in writing of such interest by providing the information required by subsections D6a, D6b, D6c and D6d of this section, with full particulars.
Within thirty (30) days of acquiring an interest in real estate within the village, and prior to seeking any permit, variance, zoning or other action by the village, its agencies, departments, committees, commissions and boards, each official, appointee, attorney and employee of the village shall advise the manager in writing of such interest by providing the information required by subsections D6a, D6b, D6c and D6d of this section with full particulars. Provided, however, and except as otherwise required by law, no official, appointee, attorney or employee shall be required to disclose information pertaining to the parcel of real estate occupied by such individual as his principal place of residence.
7. Forms: Forms for use in complying with the requirements of this subsection D shall be prepared by the village attorney and deposited with the village manager. Such forms may be modified from time to time as may be required to ensure compliance with the disclosure provisions of this subsection D.
8. Public Disclosure: All disclosures required to be filed with the village manager shall be under oath and available for public inspection during normal business hours. Each person examining a statement must first provide the manager a written statement identifying the examiner by name, occupation, address and telephone number, and stating the date of examination and reason for such examination. The manager shall promptly notify each person filing a disclosure statement pursuant to this subsection D of each instance of an examination of his disclosure statement by sending him a duplicate original of the identification statement required herein.
The manager shall forward a copy of the written disclosure required by subsection D1 of this section to each board, committee, or commission affected thereby. Each official, appointee, attorney or employee shall provide a copy of any other disclosure required by this subsection D to each member of any commission, committee or board prior to requesting any action from such entity pertaining to any matter for which disclosure is required pursuant to this subsection D. (Ord. 88-01-251, 1-18-1988; amd. Ord. 2012-10-861, 10-1-2012)
E. Hearings And Penalties:
1. All complaints against appointees (other than appointees to the positions of village clerk, trustee or president), employees and attorneys alleging violations of this code of conduct shall be heard by the corporate authorities of the village as follows:
a. At least ten (10) days prior to the date of hearing the person against whom a violation is alleged shall be provided a written statement of the violation alleged, including particulars thereof sufficient to inform of the nature and extent of the violation, the time, date and location of the hearing, and that the alleged violator may have an attorney present, and shall have the right to call witnesses, present evidence, and cross examine all witnesses presented against him; a court reporter or other method for preserving the hearing proceedings shall be permitted, consistent with 5 Illinois Compiled Statutes 275/2 of the open meetings act.
b. Unless otherwise determined by agreement, the hearing on complaint shall be held in executive session pursuant to 5 Illinois Compiled Statutes 120/2 of the open meetings act, but all final determinations shall be made in open session.
c. At the hearing the prosecuting attorney representing the complainant shall be permitted a five (5) minute opening statement, followed by a five (5) minute opening statement by the alleged violator or representative. The proceedings shall generally be conducted informally with general adherence to court procedures and rules of evidence. Upon completion of all testimony and evidence, the prosecuting attorney shall be allotted four (4) minutes for closing argument, followed by six (6) minutes for closing argument by the alleged violator or representative, and two (2) minutes of rebuttal by the prosecuting attorney.
d. The corporate authorities may grant such continuances and adjourn the hearing from time to time as the corporate authorities shall determine; provided, however, the alleged violator shall be permitted one continuance of the initial hearing date as of right, to a date no longer than thirty (30) days from the original hearing date.
e. Upon conclusion of the hearing, and within ten (10) days thereafter, the corporate authorities shall issue a written disposition of the complaint, which disposition shall dismiss the complaint without further action, or, reprimand, demote or discharge the alleged violator, as the corporate authorities shall determine based upon the evidence presented. Such written disposition shall be delivered to the alleged violator within five (5) days of issuance.
f. Where circumstances warrant, the Corporate Authorities may refer any violation of this Code of Conduct to the State's Attorney of Lake County for such criminal or other prosecution as the State's Attorney may determine. (Ord. 88-01-251, 1-18-1988)
2. All complaints against elected officials of the Village, and appointees to the positions of Village Clerk, Trustee and President, shall be prosecuted in the appropriate judicial forum. Upon conviction the official shall be fined as shown in title 13, chapter 1, "Fee Schedule", of this Code. Where circumstances warrant, the Corporate Authorities may refer any violation of this Code of Conduct to the State's Attorney of Lake County for such criminal or other prosecution as the State's Attorney may determine.
(Ord. 88-01-251, 1-18-1988; amd. Ord. 2018-12-279, 12-3-2018)
Notes
| 1 | 1. As those terms are defined in section 2 of the lobbyist registration act, 25 ILCS 170/2. |
| 2 | 2. As defined in section 3 of the Illinois public labor relations act, 5 ILCS 315/3. |
| 3 | 1. 5 ILCS 430/1-1 et seq. |
| 4 | 1. 10 ILCS 5/9-3. |
| 5 | 1. 10 ILCS 5/9-1 et seq. |