G-862 - 06/10/2008 - BOARD - Ordinances Supporting Documentsco
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COUN'i'
AGENDA ITEM
Regular Board of Trustees Meeting
of
January 22, 2008
SUBJECT: Ethics Policy Discussion
FROM: Blaine Wing, Assistant Village Manager
BUDGET SOURCE /BUDGET IMPACT: N/A
RECOMMENDED MOTION:
IT17J 110.1).
,, 'W
Background /History:
The Village of Oak Brook's current Ethics Ordinance was adopted in 2004. The Village's policy
contains prohibited acts, penalty for violations and an Ethics Advisor. However since the
Village's ordinance was adopted, the Illinois Attorney General's has provided additional
guidance and recommendations on how to help ensure open and honest government. At this
time, the Village of Oak Brook's ethics ordinance could be updated to strengthen the Village's
policy and ethical standards of conduct for all officials and employees of the Village.
After reviewing the Illinois Attorney General's guide and several other municipalities' ethics
policies, I've highlighted several items that the Village Board may want to consider:
• Requiring disclosures by all officials and employees of private, financial or other
interests in matters that may affect the Village.
• Adding part-time and/or additional employment as well as post - employment restrictions
for employees. Examples of such restrictions could include: a process to request outside
employment, an annual employment notification requirement, and/or a one -year waiting
period before participating in decision making or awarding process for former officials
and employees.
• Banning the disclosure of and /or use of proprietary or confidential information for
personal benefit as well as protecting whistleblowers.
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• Appointing an Ethics Advisor to better ensure effective administration of the Ethics
Ordinance's provisions. (Per the current ordinance, the Village President, with the advice
and consent of the Board of Trustees, shall designate an Ethics Advisor for the Village.)
• Creating a small three- person neutral Ethics Commission to aid in the enforcement of the
Ordinance. Although the creation of an Ethics Commission is not required the State of
Illinois, it could help provide an effective procedure for addressing certain ethics
complaints without the need for judicial proceedings.
• Provide officials and employees with training on how the revised policy will affect them.
I've attached the Illinois Attorney General's "Model Ethics Ordinance" and "Guide to the
Implementation of the Model Ethics Ordinance." Additionally, the Village's current Ethics
Ordinance is attached.
Recommendation:
If the Board decides it wants to strengthen the Village's ethics policy, I recommend that the
Board of Trustees create a small Ad -hoc Ethics Policy Committee to review the current policy
and recommend any revisions to the Village Board. I further recommend that the composition of
the Ad -hoc Committee include the Village President, a Village Trustee, the Village's Attorney,
the Village Manager and/or Assistant Village Manager and a resident or residents.
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P
ORDINANCE 2004- GL -ST- ETHICS -G -748
AN ORDINANCE AMENDING TITLE I (ADMINISTRATION); CHAPTER 10
(STATE GIFT BAN ACT), OF THE VILLAGE CODE OF THE VILLAGE OF
OAK BROOK TO IMPLEMENT THE PROVISIONS OF THE STATE
OFFICIALS AND EMPLOYEES ETHICS ACT (5 ILCS 430/1 -1, ET SEQ.)
WHEREAS, the Illinois General Assembly has enacted the State Officials and Employees Ethics
Act, 5 ILCS 430/1 -1, et seq , ( "Act ") which is a comprehensive revision of the State statutes regulating
ethical conduct, political activities and the solicitation and acceptance of gifts by State officials and
employees; and
WHEREAS, pursuant to Section 70 -5 of the Act (5 ILCS 430/70 -5), all units of local government
and school districts are required to adopt an ordinance or resolution regulating the political activities of,
and the solicitation and acceptance of gifts by, their respective officers and employees, "in a manner no
less restrictive" than the provisions of the Act, on or before May 19, 2004; and
WHEREAS, the President and Board of Trustees of the Village of Oak Brook deems it necessary
and advisable to amend the Village Code of the Village of Oak Brook to come into compliance with the
provisions of the Act,
NOW, THEREFORE, 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 hereby amended by deleting the same in its
entirety and replacing Chapter 10 as follows:
CHAPTER 10
STATE OFFICIALS AND EMPLOYEES ETHICS ACT
SECTION.
1 -10 -1 •
ADOPTION OF ACT
1 -10 -2.
ETHICS ADVISOR
1 -10 -3-
PROHIBITED ACTS
1 -10 -4
PENALTY FOR VIOLATIONS
1 -10 -5
GENERAL EFFECTIVENESS
1 -10 -1 ADOPTION OF ACT:
The regulations of Sections 5 -15 (5 ILCS 430/5 -15) and Article 10 (5 ILCS 430/10 -10
through 10 -40) of the State Officials and Employees Ethics Act, 5 ILCS 430/1 -1, et seq , (referred
to in this chapter as the "Act ") are hereby adopted by reference and made applicable to the
officers and employees of the village to the extent required by 5 ILCS 430/70 -5.
1 -10 -2 ETHICS ADVISOR:
(A) The Village President, with the advice and consent of the Board of Trustees,
` shall designate an Ethics Advisor for the Village of Oak Brook The duties of the Ethics Advisor
may be delegated to an officer or employee of the Village of Oak Brook unless the position has
been created as an office by the Village of Oak Brook
}
Ordinance 2004- GL -ST- ETHICS -G -748
Amndng Title 1, Chap 10, Gift Ban
Page 2 of 3
(B) The Ethics Advisor shall provide guidance to the officers and employees of the
Village of Oak Brook concerning the interpretation of and compliance with the provisions of this
Ordinance and State ethics laws. The Ethics Advisor shall perform such other duties as may be
delegated by the Board of Trustees.
1 -10 -3 PROHIBITED ACTS:
(A) The solicitation or acceptance of gifts prohibited to be solicited or accepted under
the Act, by any officer or employee of the village, is hereby prohibited.
(B) The offering or making of gifts prohibited to be offered or made to any officer or
employee of the village under the Act is hereby prohibited
(C) The participation in political activities prohibited for any officer or employee of the
village under the Act is hereby prohibited
(D) For purposes of this section, the terms "officer' and "employee" shall be defined
as set forth in 5 ILCS 430/70 -5(c)
1 -10 -4 PENALTY FOR VIOLATIONS:
The penalties for violations of section 1 -10 -2 of this chapter shall be the same as those
penalties set forth in 5 ILCS 430/50 -5 for similar violations of the Act.
1 -10 -5 GENERAL EFFECTIVENESS:
(A) This chapter does not repeal or otherwise amend or modify any existing
ordinances or policies which regulate the conduct of village officers and employees, provided that
to the extent that any such existing ordinances or policies are less restrictive than the Act, the
provisions of the Act shall prevail in accordance with the provisions of 5 ILCS 430/70 -5(a).
(B) Any amendment to the Act that becomes effective after the effective date of this
chapter shall, without formal action by the village board, be incorporated into this chapter by
reference and shall be applicable to the solicitation, acceptance, offering and making of gifts and
to prohibited political activities, provided, however, that any amendment that makes its provisions
optional for adoption by municipalities shall not be incorporated into this chapter by reference
without formal action by the village board
(C) If the Illinois Supreme Court declares the Act unconstitutional in its entirety, then
this chapter shall be deemed repealed, without further action by the village board, as of the date
that the Illinois Supreme Court's decision becomes final and not subject to any further appeals or
rehearings If the Illinois Supreme Court declares part of the Act unconstitutional but upholds the
constitutionality of the remainder of the Act, or does not address the remainder of the Act, then
the remainder of the Act as adopted by this chapter shall remain in full force and effect, and only
that part of this chapter relating to the part of the Act found unconstitutional shall be deemed
repealed without further action by the village board
Section 2. This Ordinance shall be in full force and effect from and after its passage,
approval and publication as required by law
Section 3: All ordinances or parts thereof in conflict with the provisions of this ordinance are
hereby repealed to the extent of such conflict
APPROVED THIS 11th day of May, 2004.
b
• Ordinance 2004- GL -ST- ETHICS -G -748
Amndng Title 1, Chap 10, Gift Ban
Page 3 of 3
PASSED THIS 11th day of May, 2004
Ayes
Nays:
Absent:
ATTEST.
Village Clerk
Village President
ITEM 9.1).
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delson
F 7 ATTORNEYS AT LAW 4 3318 WEST 95TH STREET
EVERGREEN PARK, IL 60805
..� terk Ltd.
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Fy MEMORANDUM (708) 424 -5678
FAX (708) 425 -1898
www odelsonsterk com
To President an d. Board of Trustees
Village of�Oak Brook
cc* Dave Niemeyer
From Mark H. Sterk
Date: February 7, 2008
Re. Ethics Ordinance
On February 5, 2008 a working group consisting of Trustee Manofsky, Trustee Wolin,
Dave Niemeyer, Blaine Wing and I ' met to discuss the creation" of a comprehensive ethics
ordinance.
The issue is not as simple •as it might appear on the surface. -For ,a variety of reasons
elected officials, appointed officials -and er iployees 'may all' be 'subject to regulations that differ in
certain respects Employees may , be '- divided into subgroups; 'union and non -union The
Village's ability to regulate and-,discipline' the former group may be limited by collective
bargaining agreements.
Another overriding consideration ; is that we`dg t the', ordinance, r�iqhlt1he first time so that
there is no ,confusion concerning its - interpretation and 'ir�nplementation., The working group
proposes to include the following;categories -Jn, the draft rordmanc'e to, be, presented to you.
i
• Establishing the position of ethics advisor(most likely the assistant Village Manger) who
will serve as the initial contact for complaints and questions;
• Gift Ban. The Illinois Attorney General ,has created a model ordinance, which has not
been well received, we are looking at the model and -for other models.
• Prohibited Political Activities. The Attorney General has a model ordinance on this as
well which we are reviewing along with samples from the Communities
• Pre and post employment restrictions on doing business with the Village
• Restrictions on outside employment.
• Financial disclosure requirements similar to state and county disclosure rules
• Conflict of interest.
I am preparing the first draft of the ordinance for distribution the first week of March. I
welcome your individual comments at any time.
®law 445
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ITEM 9.11. 1)
AGENDA ITEM
Regular Board of Trustees Meeting
of
March 25, 2008
SUBJECT: Ethics Ordinance Discussion
FROM: David Niemeyer, Village Manager
BUDGET SOURCE/BUDGET IMPACT: N/A
RECOMMENDED MOTION: N/A
Backiround /History:
The Village Attorney has been working with the elected officials and staff on an updated Ethics
Ordinance.
Recommendation:
Trustee Manofsky and Attorney Sterk will bring the Board up -to -date on the progress of
updating the Ethics Ordinance.
ff�a It,,
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MIRMAM
AGENDA ITEM
Committee of the Whole of the Board of Trustees
of
May 1, 2008
SUBJECT: Ehtics Ordinance Discussion
FROM: David Niemeyer, Village Manager
BUDGET SOURCE/BUDGET IMPACT: N/A
RECOMMENDED MOTION: N/A
Background/History:
The Village Board has requested to have another discussion of the draft ethics ordinance. I have
included the draft ordinance, a draft memo to be sent to all village officials once the ordinance is
passed, and a draft question and answer sheet on the new ethics ordinance
Recommendation:
I would recommend the following changes to the ordinance:
Section 1- 10-4A1- Village residents should not be a prohibited source. In my opinion, this is
arbitrary. Why residents but not businesses? This is not one of the prohibited sources listed in the
state gift ban act. An official could accept gifts from a resident under the proposed code but
would have to make an assessment whether the gift was based on personal friendship or the
position of the official for each and every gift(except for relatives, which are completely
exempted).
Section 1- 10 -9A3 - Outside employment should be stricken. Outside employment restrictions
would still apply to employees in the personnel code. It is not practical to put restrictions on
outside employment of elected officials and commission members.
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Section 1 -10 -9C This section prohibits employees from representing any person or entity in
connection with any engagement for a period of one year after employment ends. This should be
amended to allow the manager to ask the village board for a waiver of this restriction in certain
circumstances. For example, we may to hire back a long -term employee for a period of time to
work on projects he /she developed some expertise in or to transition in a new employee.
Section 1 -10 -9E Banning employees from playing at private country clubs in the village seems
arbitrary. This issue has been the subject of some discussion. Essentially, the way this is
currently written, employees would be prohibited from playing at one club in town(Butler
National). However, it should be pointed out that for some employees, the code could still
prohibit them from playing at Butler National even if this section was stricken. If the gift is from
one of the prohibited sources,(including Butler National itself, which has an agreement with the
village for use of our open fields) employees could not accept it unless it falls under one of the
exceptions in the code as its value exceeds $100.
Section 1 -10 -11 Consideration should be given to increasing penalties for violations.
In addition, there is a contradiction between the proposed ethics code and the village personnel
ordinance that needs to be resolved. The village personnel code prohibits solicitation of any gift
of any kind or value in any amount. The proposed ethics code prohibits solicitation of gifts but
lists 12 exceptions in Section 1 -10 -5. My recommendation is to change the ethics code to reflect
the personnel code. While I believe it is proper to allow receipt of a gift from a prohibited source
under the restrictions of the proposed code, I can't envision any circumstance where solicitation
of a personal gift attributable to the official position of an employee or officer is appropriate.
I would like to get any feedback on the draft memo to all officials and employees and question
and answer sheet that I have prepared and reviewed with senior staff.
I would also recommend that the board listen to the ICMA audioconference on building ethical
habits. We will set up a specific time for this and /or give the board copies of the audiotape
depending on your preference.
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11111;1 9.11.9)
AGENDA ITEM
Regular Board of Trustees Meeting
of
April 8, 2008
SUBJECT: Ethics Ordinance Discussion
FROM: Blaine Wing, Assistant Village Manager
BUDGET SOURCE /BUDGET IMPACT: N/A
RECOMMENDED MOTION: N/A
Background /History:
The Village Attorney has been working with the elected officials and staff on an updated Ethics
Ordinance.
Recommendation:
Trustee Manofsky and Attorney Sterk will bring the Board up -to -date on the progress of
updating the Ethics Ordinance.
Lv
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ORDINANCE 2008 -
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 afflclals and employees must serve the Village in ,a fiduciary'capaclty 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- ,ethlcaI--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" per_�n_m � - y4in
r as deflRed in Sertlen4-
B. u n at
C-A "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.
O:B. "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.
Ordinance 2008-
Page 2
E-1 ►'
3), bUt GRlY With Fe@aFd to these artivitles that require filing with the State 13eaFd of EleratleRs
er the -Geu ieFk.
.C. "Village" means the Village of Oak Brook.
Section 1 -10 -3: Prohibited Political Activities.
A. Definitions. For purposes of this Section 1 -10 -3, the following terms shall be given these
definitions:
1. "Campaign for elective office" means any activity In furtherance of an'effort to Influence
the selection, nomination, election or appointment of any Individual to any federal, state
or local public office or office In a political organization or the selection, nomination or
election of Presidential or Vice - Presidential electors, but does not Include activities: (i)
relating to the support or opposition of any executive, legislative or administration action;
(ii) relating to collective bargaining; or (Iii) that are otherwise in furtherance of the
person's official duties.
2. "Candidate" means a person who has filed nominatloo 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 511 -3).
20. "Collective Bargaining" has the same meaning as that term Is defined In Section 3 of the
Illinois Public Labor Relations Act (51L(jS 315/3).
- -3:4. "Compensated - time ",=means; with -respect to an- Employee, any;-time worked by= or'-=
credited to the Employee that counts toward any minimum work time - requirement
Imposed as a condition of his or her employment' but_ for purposes of this Chapter, 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 premises under the control of the Village and any
other time when the Officer or Employee is executing,his or her official duties, regardless
of location.
4.5: "Compensatory time off' means 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 his or her employment.`
fi. "Contribution" has the same meaning as that term_ is defined in Section 9 -1.4 of the
Election Code (10 ILCS 519 -1.4).
5J. "Leave of absence" means any period during which an Employee does not receive (1) 1
compensation for employment; (I[) service credits towards pension benefits; and (iii)
health Insurance benefits paid for by the Village.
6-.8. "Political activity" means any activity in support of or in connection with any campaign,for
elective office or any political organization, but does not "Include activities (1) relating to tire'
support or opposition of_any executive, legislative_ or administration action; -(11) 'relating to
collective bargaining; -or (Iii) that are otherwise In - furtherance --of the person's official
duties. - -
Ordinance 2008-
Page 3
9. "Political Organization" means 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 the County Clerk under Section 9 -3 of the Election Code (10
ILCS 5/9-3), but only with regard to those activities that require filing with the State Board
of Election or the County Clerk.
X10. "Prohibited political activity" means:
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 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.
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.
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,
I. Campaigning for any'elecUve 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 16 any recount or challenge to the outcome of any efectiori.
Ordinance 2008 -
Page 4
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 (1) 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).
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 (1) 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 (1) by an Officer; or (li) by an Employee, or by the Officer or
another Employee directing that Employee;
b. Does business or seeks to do business (1) 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 (1) by the Offcer; 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; er
e. Has a contractual relationship with the Village "of any nature whatsoever; or, ,
f. is a Village resident.
Ordinance 2008-
Page 5 1
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.
Section 1 -10 -5: Exceptions. Section 1 -10-4 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 (1) contribution that is lawfully made under the Election Code; or (ii) activities associated
with a fundraising event in support of a political organizatlon 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, r
C. 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: (1) 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; (il) 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 lmmedlate family members. ,
H. Food or refreshments not exceeding $50.00 $75.99 per person In value in en a sin_ gle
calendar week day; provided that the food or refreshments are (1) are consumed on the
premises from which they were purchased or prepared;_ or (ii) catered. For the purposes of
this Section, "catered" means food or refreshments that are'purchased ready,to consume "
which are delivered by any means. '
1. Food, refreshments, lodging, transportation and' other benefits resulting from outside
business or employment activities, (or outside, activltles that are' not connected to the, official "
duties of an Officer or Employee), if the benefits,have not -been offered or enhanced'l ecaus'e
Ordinance 2008-
Page 6
of the official position or employment of the Officer or Employee, and are customarily
provided to others in similar circumstances.
J. Intra- governmental and inter - governmental gifts. For the purpose, of this Act, "intra-
governmental gift" means any gift given to an Offlcer 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.
K. Bequests, inheritances and other transfers at death.
L. Any item or items from any one prohibited source during any calendar year having a
cumulative total value of less than $100.00.
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.
&g. ._ 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 - celatlonship 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,lndirect, 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 (1) Interest In a - mutual
fund or managed account; (11) an ownership interest of less than 5% In any business
entity; or'(111) 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,
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: (1)
in which the Officer or Employee has an Interest; or,a family "relationship with a person having
Ordinance 2008-
Page 7
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 (1) 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 6 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. Chair ' ersons of boards and commissions shall notify the Village Manager, Villa e
P fY g g �_
President and the Board of Trustees;
5. The Village President shall notify the Village Manager and the Board of Trustees, 'Village
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 Offcer, serves as a member either (1) 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 fife 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 Activitles. '
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: _
Ordinance 2008-
Page 8
1. Sexual Harassment Section 7.01
2. Anti- retallation — Section 7.01A
3. Outside Employment —Section 7.09A
B. No Employee shall,
emplayment with thq Village, knowingly participate In the decision to award any-Village
contract to a person or entity, or its parent or subsidiary, that employed, or compensated for
services, the Employee, or,spouse or Immediate family member living with such Employee,'
during the year immediately preceding the Emplo, ee's commencement of employment with
the Village.
C. No former Officer or 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.
D. No Officer or Employee shall disclose any confidential Information to any person other than
another Officer or Employee 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 12011 et seq., the Freedom of Information Act, 5 ILCS 140/1 of
seq. or any other similar federal law or information exempt from disclosure pursuant to a
court order.
E. No Employee shall play golf at, any private country club located in the Village unless the
Employee is a member of that private country club.
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. Such other duties as may be delegated by the Board of Trustees.
Section 1- 10 -11: Penalties.
A. Any Employee who violates any provision of this Chapter may be sublect to' disciplinary
action, including termination.
B. Any appointed official who violates -any provision of this Chapter may be sublect to removal
from office.
A.C. A�y person who violates any provision of this Chapter may be fined in 'an amount not to
exceed $1,000.00.
Ordinance 2008 -
Page 9
,ddi i
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 day of April, 2008.
John W. Craig
Village President
PASSED THIS day of April, 2008.
Ayes:
Nays:
Absent:
ATTEST:
Charlotte K. Pruss
Village Cleric
VILLAGE OF OAK BROOK
Interoffice Memorandum
TO: ALL VILLAGE EMPLOYEES
VILLAGE PRESIDENT AND BOARD OF TRUSTEES
FROM: DAVID NIEMEYER, VILLAGE MANAGER
SUBJECT: ETHICS ORDINANCE
DATE: APRIL 21, 2008
The Village Board recently approved a comprehensive amendment to the village's Ethics Ordinance.
Oak Brook has always had a reputation as a leader in DuPage County, and this ordinance is one of the
most comprehensive ethics code in the State of Illinois. The new ethics code addresses many
regulations already covered by state law, such as gift restrictions and prohibited political activities.
Also, it addresses conflicts of interest, disclosure of confidential information, and other potential
ethical issues.
The attached information attempts to address many of the questions that may arise from the new ethics
code. Additionally, the new law will include the appointment of an ethics adviser who can answer
questions about the code or give you advice on individual circumstances.
The basic structure of both the gift ban and ethics codes are like the Golden Rule. Governmental
officers and employees should not be forced to do unwanted political work in return for their jobs.
Public officials should not accept gifts in types and amounts which will improperly influence their
decisions. Avoid conflicts of interest that could call into question your impartiality.
Memo -Staff & BOT - Ethics Ord doc
VILLAGE OF OAK BROOK
1200 OAK BROOK ROAD
OAK BROOK, IL 60523
NOTICE OF SPECIAL MEETING
OF THE
BOARD OF TRUSTEES
COMMITTEE OF THE WHOLE
Date of Meeting: Thursday, May 1, 2008 Time of Meeting: 6:30 P.M.
Upper Level Conference Room
Of the Butler Government Center
1200 Oak Brook Road
AGENDA
1. CALL TO ORDER
2. ROLL CALL
3. ADJOURN TO CLOSED MEETING to consider the appointment,
employment, compensation, discipline, performance, or dismissal of
specific employees of the public body or legal counsel for the public
body, including hearing testimony on a complaint lodged against an
employee of the public body or against legal counsel for the public body
to determine its validity (2c 1).
4. RECONVENE
5. ETHICS ORDINANCE
6. BATH & TENNIS CLUB PRESENTATION
7. ILLINIOS TRANSPORTATION ENHANCEMENT GRANT
A. Board Review
B. Public Input
C. Passage of Resolution R -1017, A Resolution Authorizing the Village
of Oak Brook to Apply for the Illinois Transportation Enhancement
Grant
8. ADJOURNMENT
VILLAGE OF OAK BROOK
In accordance with the provisions of the Americans with Disabilities Act, any individual who is
in the need of a reasonable accommodation in order to participate in or benefit from attendance
at a public meeting of the Village of Oak Brook should contact the Village ADA Coordinator at
(630) 368 -5022 as soon as possible before the meeting date
Ethics Ordinance
Questions chic Answers
Prohibited Gifts
1. What constitutes a "gift" under this law?
A gift from a prohibited source means any gratuity, discount, entertainment, hospitality, loan,
forbearance, or other tangible or intangible item having monetary value including, but not
limited to, cash, food, drink and honoraria for speaking engagements related to or attributable to
government employment or official position of a Board member or employee. For a list of the
many exceptions to the definition, see below.
2. What is a "prohibited source"?
A "prohibited source" means any person or entity who:
a. Is seeking official action by the officer or, in the case of an employee, by the
employee of officer or another employee directing that employee. (Example:
resident seeking police /fire services, building permits.)
b. Does business or seeks to do business with the official, or, in the case of any
employee, with the employee or an official or another employee directing that
employee. (Example: anyone with a contractual relationship with the Village, Village
auditor, consulting engineer.)
c. Conducts activities regulated by the official or, in the case of an employee, by the
employee of by an official or another employee directing that employee. (Example:
building contractor, taxicab driver.)
d. Has an interest that may be substantially affected by the performance or non-
performance of the official duties of the official or employee. (Example: local
business that receives substantial service from employee.)
e. Has a contractual relationship with the Village of any nature whatsoever
f. Is a Village resident
3. What does not constitute a gift under this law?
Note: Each of the following items is mutually exclusive and independent of one another.
a. Opportunities, benefits and services that are available on the same conditions as for
the general public. (Therefore, a discount offered only to public officials is banned. This could
includes items such as buying a product from a village vendor for personal use at a discount,
receiving a discount on a hotel, cell phones or other products offered to government employees)
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 fund- raising event in support of a political organization or
candidate.
d. Educational materials and missions.
Section 1 -10 -9C This section prohibits employees from representing any person or entity in
connection with any engagement for a period of one year after employment ends. This should be
amended to allow the manager to ask the village board for a waiver of this restriction in certain
circumstances. For example, we may to hire back a long -term employee for a period of time to
work on projects he /she developed some expertise in or to transition in anew employee.
Section 1 -10 -9E Banning employees from playing at private country clubs in the village seems
arbitrary. This issue has been the subject of some discussion. Essentially, the way this is
currently written, employees would be prohibited from playing at one club in town(Butler
National). However, it should be pointed out that for some employees, the code could still
prohibit them from playing at Butler National even if this section was stricken. If the gift is from
one of the prohibited sources, (including Butler National itself, which has an agreement with the
village for use of our open fields) employees could not accept it unless it falls under one of the
exceptions in the code as its value exceeds $100.
Section 1 -10 -11 Consideration should be given to increasing penalties for violations.
In addition, there is a contradiction between the proposed ethics code and the village personnel
ordinance that needs to be resolved. The village personnel code prohibits solicitation of any gift
of any kind or value in any amount. The proposed ethics code prohibits solicitation of gifts but
lists 12 exceptions in Section 1 -10 -5. My recommendation is to change the ethics code to reflect
the personnel code. While I believe it is proper to allow receipt of a gift from a prohibited source
under the restrictions of the proposed code, I can't envision any circumstance where solicitation
of a personal gift attributable to the official position of an employee or officer is appropriate.
I would like to get any feedback on the draft memo to all officials and employees and question
and answer sheet that I have prepared and reviewed with senior staff.
I would also recommend that the board listen to the ICMA audioconference on building ethical
habits. We will set up a specific time for this and /or give the board copies of the audiotape
depending on your preference.
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e. Travel expenses for a meeting to discuss business.
f. A gift from a large number of specifically listed relatives.
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.
h. Food or refreshments not exceeding $50.00 per person in value in a single calendar
week, provided that the food or refreshments are: (i) consumed on the premises from
which they were purchased or prepared; or (ii) catered. "Catered" means food or
refreshments that are purchased ready to consume which are delivered by any means.
(Subject to annual cap in item 1 of $100.00 per year from one source.)
i. 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.
j . Intra- governmental and inter - governmental gifts. "Intra- governmental gift" means
any gift given to an officer or employee from another officer or employee, while
"inter - governmental gift" means any gift given to an officer or employee by an
officer or employee of another governmental entity. (Gifts to and from other
employees /officials and other governments are exempted).
k. Bequests, inheritances and other transfers at death.
1. Any item or items from any one prohibited source during any calendar year having a
cumulative total value of less than $100.00
4. What can officers or employees do if they receive gifts that are prohibited under this law?
If an officer or employee receives a gift that would be prohibited under these laws, the officer or
employee, his or her spouse or an immediate family member living with the officer or employee,
does not violate this policy if the recipient promptly takes reasonable action to return a gift from
a prohibited source to its source or give the gift of 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.
5. Other prohibited activities
All officers and employees are subject to provisions in the personnel code dealing with sexual
harassment, anti - retaliation, and outside employment.
a. No employee shall knowingly participate in the decision to award any Village
contract to a person or entity, or its parent or subsidiary 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.
b. No former officer or 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.
c. No officer or employee shall disclose any confidential information to any person
other than another officer or employee 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 form disclosure pursuant to a court order.
d. No employee shall play golf at any private country club located in the Village unless
the employee is a member of that private country club.
Prohibited Political Activities
1. What is a `prohibited political activity "?
The following constitute prohibited political activities:
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 tickets of any political fund- raiser, 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 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 the 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.
1. 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.
2. What does this law prohibit?
This law prohibits officers and employees of governmental entities from intentionally
performing any prohibited political activity on "compensated time" and from intentionally
misappropriating any governmental property or resources by engaging in any prohibited political
activity for the benefit of any campaign for elective office or any political organization. The law
prohibits requiring these acts of offering benefits for performing them. The law does not prohibit
people from engaging in political activity voluntarily off duty, without governmental
compensation.
3. How does this law define an "officer " and an "employee "?
The ethics legislation defines "officer" as an elected or appointed official, regardless of whether
the official is compensated,. An "employee" is defined as a "full -time, part-time, or contractual
employee."
4. Does "compensated time " include vacation, personal, or compensatory time off?
No. If an employee wants to voluntarily engage in political activities while on vacation, personal
or compensatory time off, he or she may do so.
Conflict of Interest
1. How does the ordinance define a conflict of interest?
a. No officer or employee shall participate in any official action wit 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.
b. 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.
c. Upon becoming aware of any conflict of interest as described above in subsection a or
b, any officer or employee shall promptly notify the appropriate authority of such a
conflict and the officer's or employee's recusal from any official action with respect
to the transaction, as follows:
• Employees shall notify the Director of the Department and the Village
Manager;
• Village Manager shall notify the Village President and the Board of
Trustees;
��1 +t �►y1V •
f�
•
AGENDA ITEM
Committee of the Whole of the Board of Trustees
of
May 1, 2008
SUBJECT: Ehtics Ordinance Discussion
FROM: David Niemeyer, Village Manager
BUDGET SOURCE/BUDGET IMPACT: N/A
RECOMMENDED MOTION: N/A
Background/Histo�:
The Village Board has requested to have another discussion of the draft ethics ordinance. I have
included the draft ordinance, a draft memo to be sent to all village officials once the ordinance is
passed, and a draft question and answer sheet on the new ethics ordinance
Recommendation:
I would recommend the following changes to the ordinance:
Section 1- 10-4A1- Village residents should not be a prohibited source. In my opinion, this is
arbitrary. Why residents but not businesses? This is not one of the prohibited sources listed in the
state gift ban act. An official could accept gifts from a resident under the proposed code but
would have to make an assessment whether the gift was based on personal friendship or the
position of the official for each and every gift(except for relatives, which are completely
exempted).
Section 1- 10 -9A3- Outside employment should be stricken. Outside employment restrictions
would still apply to employees in the personnel code. It is not practical to put restrictions on
outside employment of elected officials and commission members.
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• Members of boards and commissions shall notify the chairperson of such
board of commission;
• Chairpersons of boards and commissions shall notify the Village Manager,
Village President and the Board of Trustees;
• The Village President shall notify the Village manager and the Board of
Trustees;
• Any Village Trustee shall notify the Village President, Village manager and
the other members of the Board of Trustees.
d. No officer required to recuse himself or herself in connection with a transaction shall
appear before the board of commission of which he or she is a member with respect
to such transaction.
e. 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 of commission
other than the board of commission on which the officer serves as a member either (i)
shall not appear of participate in any way of manner in any Village proceeding
relating to such transaction; or (ii) shall disclose such interest in the record prior to
participating in any proceeding before a Village board or commission.
Page 1 of 1
Carol Harty
From: Donna Bettin
Sent: Friday, April 11, 2008 2 00 PM
To: Trustees, 'msterk @odelsonsterk com', Charlotte Pruss, 'Connie Craig'; Trey VanDyke, Nelson
Patras
Cc: Carol Harty, David Niemeyer
Subject: Committee of the Whole Meeting
Good Afternoon,
Please check you availability on the dates listed below for a Committee of the Whole meeting to review the Ethics
Ordinance and the Bath & Tennis power point presentation
May 1,
May 6,
May 12
, Please respond as soon as possible so we may get a date set Thank your
Have a great weekend)
Donna Bettin
Executive Secretary
Village of Oak Brook
1200 Oak Brook Road
Oak Brook, IL 60523 -2255
630- 368 -5000
"This communication, along with any documents, files or attachments, is intended only for the use of the addressee and may contain
legally privileged and confidential information If you are not the intended recipient, you are hereby notified that any dissemination,
distribution or copying of any Information contained in or attached to this communication is strictly prohibited If you have received this
message in error, please notify the sender immediately and destroy the original communication and its attachments without reading,
panting or saving in any manner This communication does not form any contractual obligation on behalf of the sender or the Village of
Oak Brook As it may apply, the opinions expressed here are my own and do not necessarily represent those of the Village "
4/11/2008
Page 1 of 1
Carol Harty
From: Donna Bettin
Sent: Monday, April 14, 2008 10 16 AM
To: Trustees, Charlotte Pruss, 'msterk @odelsonsterk com', Nelson Patras, Trey VanDyke, Darrell
Langlois, 'Connie Craig'
Cc: Carol Harty, David Niemeyer, Blaine Wing, Mary Meranda
Subject: Committee of the Whole Meeting
Good Morning,
We have found a date conducive to all schedules Please mark your calendars for Thursday, May 1 st for the
Committee of the Whole meeting to discuss the Ethics Ordinance and the power point presentation for the Bath &
Tennis Club
Thank you all for your prompt responses
Happy Monday'
Donna Bettin
Executive Secretary
Village of Oak Brook
1200 Oak Brook Road
Oak Brook, IL 60523 -2255
630- 368 -5000
"This communication, along with any documents, files or attachments, is intended only for the use of the addressee and may contain
legally privileged and confidential information if you are not the intended recipient, you are hereby notified that any dissemination,
distribution or copying of any information contained in or attached to this communication is strictly prohibited If you have received this
message in error, please notify the sender immediately and destroy the original communication and its attachments without reading,
printing or saving in any manner This communication does not form any contractual obligation on behalf of the sender or the Village of
Oak Brook As it may apply, the opinions expressed here are my own and do not necessarily represent those of the Village "
4/14/2008
I' EAH 9,11. 1)
•
V q'y
AGENDA ITEM
Regular Board of Trustees Meeting
of
May 22, 2008
SUBJECT: Ethics Ordinance Discussion
FROM: David J. Niemeyer, Village Manager
BUDGET SOURCE /BUDGET IMPACT: N/A
RECOMMENDED MOTION: N/A
Background/History:
Attached is the latest draft of the ethics ordinance with changes underlined. A few additional
comments /suggestions:
Trustee Manofsky notes that there is a section in the personnel manual that prohibits employees
from accepting gifts, gratuities or related donations from citizens, vendors, or other persons with
whom they may come in contact with in the course of their official duties. The only exception is
for gifts that don't have essential or intrinsic value, such as food consumed on the premises by
the department as a whole or receipt of calendars, pocket notebooks or similar items.
Related to this, I would ask the Board to consider adding an exception for food and refreshments
served at Oak Brook grand openings, Chamber events, professional functions such as DuPage
Mayors and Managers Conference dinners and similar type events. Speaking for staff, I have
emphasized the importance to staff of being involved in the community and professional
organizations in their performance evaluations. The way the current section of the personnel
manual is written is that it could be interpreted that staff could not attend business grand
openings, Chamber events and some professional functions. Likewise, many of the Elected
Officials should and do attend these type of events.
Recommendation:
N/A
41�
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AGENDA ITEM
Regular Board of Trustees Meeting
of
June 10, 2008
SUBJECT: Ethics Ordinance
FROM: David J. Niemeyer, Village Manager
BUDGET SOURCE /BUDGET IMPACT: N/A
I'IEAM 90BA)
lin' 91s ill
RECOMMENDED MOTION: Motion for passage of the Village of Oak Brook's Ethics
Ordinance G -862, an Ordinance Amending Title I, Chapter 10 of the Village Code of the
Village of Oak Brook.
Background /History:
Attached is the latest draft of the Ethics Ordinance. It includes newly drafted subsections L, M
and N to Section 1 -10 -5. The new subsections provide exceptions to the food and beverage
limitation in situations involving grand openings, open houses, seminars, civic events and similar
activities.
Recommendation:
That the Village Board of Trustees approve Ordinance G -862 amending the Village's Ethics
Ordinance.
L#A
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ORDINANCE 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
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E "Political organization" means 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 the County Clerk under Section 9 -3 of the Election Code (10 ILCS 5/9-
3), but only with regard to those activities that require filing with the State Board of Elections
or the County Clerk
F. "Village" means the Village of Oak Brook
Section 1 -10 -3: Prohibited Political Activities.
A. Definitions. For purposes of this Section 1 -10 -3, the following terms shall be given these
definitions-
"Campaign for elective office" means any activity in furtherance of an effort to influence
the selection, nomination, election or appointment of any individual to any federal, state
or local public office or office in a political organization or the selection, nomination or
election of Presidential or Vice - Presidential electors, but does not include activities (1)
relating to the support or opposition of any executive, legislative or administration action,
(ii) relating to collective bargaining, or (iii) that are otherwise in furtherance of the
person's official duties
2. "Collective Bargaining" has the same meaning as that term is defined in Section 3 of the
Illinois Public Labor Relations Act (5 ILCS 315/3).
3. "Compensated time" means, with respect to an Employee, any time worked by or
credited to the Employee that counts toward any minimum work time requirement
imposed as a condition of his or her employment, but for purposes of this Chapter, 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 premises under the control of the Village and any
other time when the Officer or Employee is executing his or her official duties, regardless
of location
4 "Compensatory time off' means 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 his or her employment
5 "Leave of absence" means any period during which an Employee does not receive (1)
compensation for employment, (ii) service credits towards pension benefits, and (iii)
health insurance benefits paid for by the Village
6 "Political activity" means any activity in support of or in connection with any campaign for
elective office or any political organization, but does not include activities (i) relating to the
support or opposition of any executive, legislative or administration action, (ii) relating to
collective bargaining; or (iii) that are otherwise in furtherance of the person's official
duties
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
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.
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, fob 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, fob 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 -10 -413 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
j $75.00 in any single day, provided that the food or refreshments are (1) consumed on the
premises from which they were purchased or prepared; or (n) 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
"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 (1) 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 709B
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
PASSED THIS 10th day of June, 2008
Ayes
Nays
Absent
John W Craig
Village President
ATTEST-
Charlotte K. Pruss
Village Clerk