G-862 - 06/10/2008 - BOARD - OrdinancesORDINANCE 2008- BD -BOT- ETHICS -G -862
AN ORDINANCE AMENDING TITLE I (ADMINISTRATION)
CHAPTER 10 OF THE VILLAGE CODE OF THE VILLAGE OF OAK BROOK
BE IT ORDAINED BY THE PRESIDENT AND BOARD OF TRUSTEES OF THE VILLAGE OF
OAK BROOK, DU PAGE AND COOK COUNTIES, ILLINOIS, as follows:
Section 1: Title 1, Chapter 10 of the Village Code is amended by deleting the existing language
and substituting the following in lieu thereof:
Section 1 -10 -1: Applicability and Purpose.
A. This Ethics Ordinance applies to all full -time and part -time Employees, and to all elected and
appointed Officers of the Village, including appointed members of Village boards,
commissions and committees established by Illinois Statutes or Village Code.
B. It is essential to effective democratic government that public officials and employees be
independent, honest, and impartial in the conduct of their duties, that all governmental
decisions be made on the merits following fair and open processes and in compliance with
State statutes and Village Code, that public office and employment not be used for private
gain or favoritism, and that citizens have confidence in the integrity of their government. To
that end, all Village officials and employees must serve the Village in a fiduciary capacity,
must not use their office or position for personal gain and must not bestow special
consideration upon any person merely because of that person's relationship to the Official or
Employee.
C. It is the policy and purpose of this Chapter to protect the public interest and the integrity of
the Village by establishing appropriate ethical standards for the conduct of Village Officers
and Employees in foreseeable circumstances and situations. However, it is recognized that
no code of conduct can address all ethical issues that may arise. Accordingly, in case of
doubt, all Village Officers and Employees are to seek the advice of the Village's Ethics
Advisor and to apply inherent standards of morality, honesty and integrity.
Section 1 -10 -2: Definitions. For purposes of this Chapter, the following terms shall be given these
definitions:
A. "Candidate" means a 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 a regular election, as defined in Section 1-
3 of the Election Code (10 ILCS 5/1 -3).
B. "Contribution" has the same meaning as that term is defined in Section 9 -1.4 of the Election
Code (10 ILCS 5/9 -1.4).
C. "Employee" means a person employed by the Village, whether on a full -time or part -time
basis or pursuant to a contract, whose duties are subject to the direction and control of the
Village with regard to the material details of how the work is to be performed, but does not
include an independent contractor.
D. "Officer" means a person who holds, by election or appointment, an office created by statute
or ordinance, regardless of whether the Officer is compensated for service in his or her
official capacity, and includes members of Village boards and commissions appointed by the
corporate authorities of the Village.
7. "Prohibited political activity" means:
a. Preparing for, organizing or participating in any political meeting, political rally,
political demonstration or other political event.
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b. Soliciting contributions, including but not limited to the purchase of, selling,
distributing or receiving payment for any candidate or political organization 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.
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.
Making contributions on behalf of any candidate for elective office in that capacity or
in connection with a campaign for elective office.
Preparing or reviewing responses to candidate questionnaires.
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.
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.
B. No Officer or Employee shall intentionally perform any prohibited political activity during any
compensated time, as defined herein. No Officer or Employee shall intentionally use any
property or resources of the Village in connection with any prohibited political activity.
C. No Officer or Employee shall intentionally require any other Officer or Employee to perform
any prohibited political activity (i) as part of that Officer or Employee's duties, (ii) as a
condition of employment, promotion or job assignment, or (iii) during any compensated time
off (such as holidays, vacation or personal time off).
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D. No Officer or Employee shall be required to participate in any prohibited political activity in
consideration for that Officer or Employee being awarded additional compensation or any
benefit, whether in the form of a promotion, job assignment, 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 his or her
participation in any prohibited political activity.
E. Nothing in this Section prohibits activities that are permissible for an Officer or Employee to
engage in as part of his or her official duties or activities that are undertaken by an Officer or
an Employee on a voluntary basis which are not prohibited by this Chapter.
F. 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, promotion, job assignment, 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.
Section 1 -10 -4: Prohibited Gifts,
A. Definitions. For purposes of this Section 1 -10 -4 and Section 1 -10 -5, the following terms shall
be given these definitions:
1. "Gift" means any gratuity, discount, entertainment, recreation opportunity, 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.
2. "Prohibited source" means any person or entity who:
a. Is seeking official action (i) by an Officer; or (ii) by an Employee, or by the Officer or
another Employee directing that Employee;
b. Does business or seeks to do business (i) with the Village or the Officer; or (ii) with
an Employee or with the Officer or another Employee directing that Employee;
c. Conducts activities regulated (i) by the Officer; or (ii) by an Employee or by the
Officer or another Employee directing that Employee;
d. Has interests that may be substantially affected by the performance or non-
performance of the official duties of the Officer or Employee; or
e. Has a contractual relationship with the Village of any nature whatsoever.
B. Except as permitted by Section 1 -10 -5, no Officer or Employee and no spouse of or
immediate family member living with any Officer or Employee (collectively referred to herein
as "Recipients ") shall intentionally solicit or accept any gift from any prohibited source, as
defined herein, or which is otherwise prohibited by law or this Section. No prohibited source
shall intentionally offer or make a gift that violates this Section.
C. Not withstanding the exceptions permitted by Section 1 -10 -5, no Employee shall solicit a gift
or any kind, amount or value from any resident, vendor, business or any person with whom
the Employee deals in the course of his or her Village duties.
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Section 1 -10 -5: Exceptions. Section 1 -1046 is not applicable to the following:
A. Opportunities, benefits and services that are available on the same conditions as for the
general public.
B. Anything for which the Officer or Employee or his or her spouse or immediate family member
pays the fair market value.
C. Any (i) contribution that is lawfully made under the Election Code; or (ii) activities associated
with a fundraising event in support of a political organization or candidate.
D. Educational materials and missions.
E. Travel expenses for a meeting to discuss business.
F. A gift from a relative, meaning those people related to the individual 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 individual's spouse and the individual's
fiance or financee.
G. Anything provided by an individual on the basis of a personal friendship unless the recipient
has reason to believe that, under the circumstances, the gift was provided because of the
official position or employment of the recipient or his or her spouse or immediate family
member and not because of the personal friendship. In determining whether a gift is
provided on the basis of personal friendship, the recipient shall consider the circumstances
under which the gift was offered, such as: (i) 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; (ii) whether to the actual knowledge of the recipient the individual
who gave the gift personally paid for the gift or sought a tax deduction or business
reimbursement for the gift; and (iii) whether to the actual knowledge of the recipient the
individual who gave the gift also at the same time gave the same or similar gifts to other
Officers or Employees or their spouses or immediate family members.
H. Food, refreshments, lodging, transportation and other benefits resulting from outside
business or employment activities (or outside activities that are not connected to the official
duties of an 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.
I. Intra - governmental and inter - governmental gifts. For the purpose of this Act, "intra-
governmental gift" means any gift given to an Officer or Employee from another Officer or
Employee and inter - governmental gift" means any gift given to an Officer or Employee by an
Officer or Employee of another governmental entity.
J. Bequests, inheritances and other transfers at death.
K. Any item or items from all Prohibited Sources during any calendar year having a cumulative
total value of less than $100.00 and, with respect to food or refreshments, not to exceed
$75.00 in any single 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 purposes of
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this Section, "catered" means food or refreshments that are purchased ready to consume
which are delivered by any means.
L. Food or refreshments served in conjunction with ground breakings, open houses, grand
openings and other similar events hosted by businesses or organizations to which invitations
have been extended to a majority of the Corporate Authorities in which event this exemption
shall extend to all Officers and Employees who are also invited.
M. Food or refreshments served in conjunction with governmental, professional or training
seminars.
N. Food or refreshments served in conjunction with Chamber of Commerce meetings, Village
Homeowner Association meetings or other civic events at which the Officer or Employee has
been invited to participate or speak.
Each of the exceptions listed in this Section is mutually exclusive and independent of each other.
Section 1 -10 -6: Disposition of Gifts. An Officer or Employee, his or her spouse or an immediate family
member living with the Officer or Employee, does not violate this Chapter if the Recipient promptly takes
reasonable action to return a gift from a prohibited source to its source or gives the gift or an amount
equal to its value to an appropriate charity that it exempt from income taxation under Section 501(c)(3) of
the Internal Revenue Code of 1986, as now or hereafter amended, renumbered or succeeded.
Section 1 -10 -7: Conflicts of Interest.
A. Definitions. For purposes of this Section 1 -10 -7, the following terms shall be given these
definitions:
1. "Family relationship" means any relationship of spouse, parent, child or sibling or any
personal relationship that would prevent an Officer or Employee from acting with
impartiality.
2. "Interest' means any economic interest or relationship, whether by ownership, trust,
purchase, sale, lease, contract, option, investment, employment, gift, fee or otherwise;
whether present, promised or reasonably expected; whether direct or indirect, including
interests as consultant, representative or other person receiving (or who may be
receiving) remuneration, either directly or indirectly, as a result of a transaction; whether
in the person itself or in a parent or subsidiary corporation, or in another subsidiary of the
same parent; whether such interest is held directly or indirectly by the Officer or
Employee, the spouse or minor child of such Officer or Employee, or any other person
with a family relationship with such Officer or Employee owning or sharing the same
household as the Officer or Employee. Interest shall not include (i) interest in a mutual
fund or managed account; (ii) an ownership interest of less than 5% in any business
entity; or (iii) an interest of general applicability affecting others in similar situations.
3. "Recuse" means to refrain from participation in any official discussion or deliberation
regarding a transaction and abstain from any vote on such transaction.
4. "Transaction" means any matter, including without limitation contracts, work or business
with the Village, the sale or purchase of real estate by the Village and any requests for
zoning, development or subdivision approvals, including without limitation rezonings,
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variations and special use permits, pending before the Village, with respect to which an
Officer or Employee performs an official act or action.
B. No Officer or Employee shall participate in any official action with respect to a transaction: (i)
in which the Officer or Employee has an interest, or a family relationship with a person having
an interest, or (ii) where such participation would constitute a conflict of interest under the
statutes or common law of the State of Illinois.
C. Any Officer or Employee shall recuse himself or herself in connection with any transaction
that comes before such Officer or Employee in the course of his or her official duties,
whenever such Officer or Employee has actual knowledge that he or she has (i) any interest
in the transaction; (ii) any family relationship with a person having an interest in such
transaction; or (iii) any interest in an applicant appearing before the Officer or Employee in an
official capacity, even if the Officer or Employee does not have an interest in the transaction
itself.
D. Upon becoming aware of any conflict of interest as described in Subsections B or C, any
Officer or Employee shall promptly notify the appropriate authority of such conflict and the
Officer's or Employee's recusal from any official action with respect to the transaction, as
follows:
1. Employees shall notify the Director of the Department and the Village Manager;
2. Village Manager shall notify the Village President and the Board of Trustees;
3. Members of boards and commissions shall notify the chairperson of such board or
commission;
4. Chairpersons of boards and commissions shall notify the Village Manager, Village
President and the Board of Trustees;
5. The Village President shall notify the Village Manager and the Board of Trustees.
6. Any Village Trustee shall notify the Village President, Village Manager and the other
members of the Board of Trustees.
E. No Officer required to recuse himself or herself in connection with a transaction shall appear
before the board or commission of which he or she is a member with respect to such
transaction.
F. Any Officer who has actual knowledge that he or she, individually or through a family
relationship, has an interest in a transaction pending before a board or commission other
than the board or commission on which the Officer serves as a member either (i) shall not
appear or participate in any way or manner in any Village proceeding relating to such
transaction; or (ii) shall disclose such interest on the record prior to participating in any
proceeding before a Village board or commission.
Section 10 -1 -8: Statement of Economic Interest. All Officers and Employees required to file a
statement of economic interest pursuant to 5 ILCS 420/4A -101 shall file a copy of that statement with the
Ethics Advisor by May 1 of each year. Every Officer and Employee not required to file a statement of
economic interest shall, by May 1 of each year, file a statement of economic interest with the Ethics
Advisor on a form to be provided by the Village.
Section 10 -1 -9: Other Prohibited Activities.
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A. In addition to the other activities prohibited by this Chapter, all Officers and Employees are
prohibited from violating any of the following sections of the Village's personnel policy manual
which are incorporated herein by reference as though fully set forth herein:
1. Sexual Harassment — Section 7.01
2. Anti - retaliation — Section 7.01A
3. Outside Employment — Section 7.09A
4. Anti - nepotism. — Section 7.09B
B. No Employee shall knowingly participate in the decision to award any Village contract to a
person or entity, or its parent or subsidiary, that currently employs or compensates, or that
employed, or compensated for services, the Employee, or spouse or immediate family
member living with such Employee, during the year immediately preceding the Employee's
commencement of employment with the Village.
C. No former Employee shall, for the one year period immediately following the termination of
office or employment with the Village, represent any person or entity in connection with any
contract or other engagement of any kind with the Village, without the written approval of the
Board of Trustees.
D. No Officer or Employee shall disclose any confidential information to any person other than
another Officer or Employee. The for purposes of this Section "Confidential Information"
means any non public information including information exempt from disclosure pursuant to
the Open Meetings Act, 5 ILCS 120/1 et seq., the Freedom of Information Act, 5 ILCS 140/1
et seq. or any other similar federal law or information exempt from disclosure pursuant to a
court order.
Section 1- 10 -10: Ethics Advisor.
A. The Village Manager or the Village Manager's designee shall serve as the Ethics Advisor. In
situations involving questions or complaints about the Village Manager or Assistant Village
Manager, the Village Attorney shall serve as the Ethics Advisor.
B. The Ethics Advisor shall perform the following duties:
1. Provide guidance to Officers and Employees concerning the interpretation of and
compliance with the provisions of this Chapter and State ethics laws.
2. Investigate complaints about possible violations of this Chapter.
3. Refer any violations that cannot be resolved at the Village level to the DuPage County
State's Attorney for appropriate action.
4. Such other duties as may be delegated by the Board of Trustees.
C. All complaints regarding a violation of this Chapter shall be submitted to the Ethics Advisor in
writing. Within thirty (30) days of receiving a complaint the Ethics Advisor shall provide a
written response to the complainant, provided that the Ethics Advisor shall not disclose any
information exempt or prohibited from disclosure by state or federal law.
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Section 1- 10 -11: Penalties.
A. Any Employee who violates any provision of this Chapter may be subject to disciplinary
action, including termination.
B. Any appointed Officer who violates any provision of this Chapter may be subject to removal
from office.
C. Any person who violates any provision of this Chapter may be fined in an amount not to
exceed $1,000.00. Each and every violation shall be considered to be a separate and
distinct event.
D. All prosecutions for violation of this Chapter shall be in the Circuit Court for the 18th Judicial
Circuit.
Section 3: If any section, paragraph, clause or provision of this ordinance shall be held invalid,
the invalidity thereof shall not affect any of the other provisions of this ordinance.
Section 4: All ordinances in conflict herewith are hereby repealed to the extent of such conflict.
Section 5. This ordinance shall be in full force and effect from and after its passage, approval
and publication as required by law.
APPROVED THIS 10th day of June, 2008.
John W. Craig
Village President
PASSED THIS 10th day of June, 2008.
Ayes: Trustees Carson Kennedy Saiyed, Sanford and Wolin (Trustee Manofsky- Temporary Chairman)
Nays:
None
Absent: President Craig
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ATTEST:
Charlotte K. Pruss
Village Clerk