MWRDGC Ethics Ordinance for Officers and Employees
ORDINANCE NO. 04-001
ORDINANCE REGULATING
POLITICAL ACTIVITIES OF AND SOLICITATION
AND ACCEPTANCE OF GIFTS BY THE OFFICERS AND EMPLOYEES OF
THE METROPOLITAN WATER RECLAMATION DISTRICT
OF GREATER CHICAGO
(HEREINAFTER CALLED THE "ETHICS
ORDINANCE")
PREAMBLE
WHEREAS,
the Illinois
General Assembly has enacted the State Officials and Employees Ethics
Act (Public Act 93-615, effective November 19, 2003, as amended by
Public Act 93-617, effective December 9, 2003), which is a comprehensive
revision of State statutes regulating ethical conduct, political
activities and the solicitation and acceptance of gifts by State
officials and employees; and
WHEREAS, the Act requires
all units of local government and school districts, within six months
after the effective date of Public Act 93-615, to adopt ordinances or
resolutions regulating the political activities of, and the solicitation
and acceptance of gifts by, the officers and employees of such units "in
a manner no less restrictive" than the provisions of the Act; and
WHEREAS, it is the clear
intention of the Act to require units of local government and school
districts to implement regulations that are at least as restrictive as
those contained in the Act, and to impose penalties for violations of
those regulations that are equivalent to those imposed by the Act,
notwithstanding that such penalties may exceed the general authority
granted to units of local government to penalize ordinance violations;
and
WHEREAS, it is the clear
intention of the Act to provide units of local government with all
authority necessary to implement its requirements on the local level
regardless of any general limitations on the power to define and punish
ordinance violations that might otherwise be applicable; and
WHEREAS, because the Act
provides for the imposition of significant penalties for violations of
said local regulations, it is necessary to adopt the required
regulations by Ordinance rather than by Resolution;
NOW, THEREFORE, BE IT ORDAINED
BY THE BOARD OF COMMISSIONERS OF THE METROPOLITAN WATER RECLAMATION
DISTRICT OF GREATER CHICAGO, AS FOLLOWS:
SECTION 1: SUBSTANTIVE PROVISIONS
ARTICLE 1
DEFINITIONS
Section 1-1. For purposes of this
Ordinance, the following terms shall be given these definitions:
"Board of Commissioners" means
the Board of Commissioners of the Metropolitan Water Reclamation
District of Greater Chicago, which is its corporate authority.
"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
administrative action, (ii) relating to collective bargaining, or (iii)
that are otherwise in furtherance of the person’s official duties.
"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).
"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).
"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 Ordinance,
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 is on premises under the control of the employer and any other
time when the officer or employee is executing his or her official
duties, regardless of location.
"Compensatory time off" 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.
"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).
"District" means the Metropolitan
Water Reclamation District of Greater Chicago , an Illinois special
district and unit of local government.
"Employee" means a person
employed by the District, whether on a full-time or part-time basis or
pursuant to a contract, whose duties are subject to the direction and
control of an employer with regard to the material details of how the
work is to be performed, but does not include an independent contractor.
"Employer" means the Metropolitan
Water Reclamation District of Greater Chicago
"General Superintendent" means
the General Superintendent and chief administrative officer of the
Metropolitan Water Reclamation District of Greater Chicago.
"Gift" means any gratuity,
discount, entertainment, hospitality, loan, forbearance or other
tangible or intangible item having monetary value, including, but not
limited to, cash, food and drink, and honoraria for speaking engagements
related to or attributable to government employment or the official
position of an officer or employee.
"Leave of absence" means any
period during which an employee does not receive
(i) compensation for employment,
(ii) service credit towards pension benefits, and (iii) health insurance
benefits paid for by the employer.
"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.
"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
administrative action, (ii) relating to collective bargaining, or (iii)
that are otherwise in furtherance of the person’s official duties.
"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 a 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 a
county clerk.
"Prohibited political activity"
means:
(1) Preparing for,
organizing, or participating in any political meeting, political
rally, political demonstration, or other political event.
(2) Soliciting contributions,
including, but not limited to, the purchase of, selling,
distributing or receiving payment for tickets for any political
fundraiser, political meeting or other political event.
(3) Soliciting, planning the
solicitation of, or preparing any document or report regarding
anything of value intended as a campaign contribution.
(4) 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.
(5) 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.
(6) 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.
(7) 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.
(8) 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.
(9) Making contributions on
behalf of any candidate for elective office in that capacity or in
connection with a campaign for elective office.
(10) Preparing or reviewing
responses to candidate questionnaires.
(11) 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.
(12) Campaigning for any
elective office or for or against any referendum question.
(13) Managing or working on a
campaign for elective office or for or against any referendum
question.
(14) Serving as a delegate,
alternate, or proxy to a political party convention.
(15) Participating in any
recount or challenge to the outcome of any election.
"Prohibited source" means any
person or entity who:
(1) is seeking official
action (i) by an officer or (ii) by an employee, or by the officer
or another employee directing that employee;
(2) does business or seeks to
do business (i) with the officer or (ii) with an employee, or with
the officer or another employee directing that employee;
(3) conducts activities
regulated (i) by the officer, or (ii) by an employee, or by the
officer or another employee directing that employee; or
(4) has interests that may be
substantially affected by the performance or non-performance of the
official duties of the officer or employee.
ARTICLE 5
PROHIBITED POLITICAL
ACTIVITIES
Section
5-1.Prohibited political activities:
(a) 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 District in
connection with any prohibited political activity.
(b) At no time shall any
officer or employee intentionally require any other officer or
employee to perform any prohibited political activity (i) as part of
that officer’s or employee’s duties, (ii) as a condition of
employment, or (iii) during any compensated time off (such as
holidays, vacation or personal time off).
(c) No officer or employee
shall be required at any time to participate in any prohibited
political activity in consideration for that officer or employee
being awarded additional compensation or any benefit whether in the
form of a salary adjustment, bonus, compensatory time off, continued
employment or otherwise, nor shall any officer or employee be
awarded additional compensation or any benefit in consideration for
his or her participation in any prohibited political activity.
(d) 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 employee on a voluntary basis,
which are not prohibited by this Ordinance.
(e) No person either (i) in a
position that is subject to recognized merit principles of public
employment or (ii) in a position, the salary for which is paid in
whole or in part by federal funds and that is subject to the Federal
Standards for a Merit System of Personnel Administration applicable
to grant-in-aid programs, shall be denied or deprived of employment
or tenure solely because he or she is a member or an officer of a
political committee, of a political party, or of a political
organization or club.
ARTICLE 10
GIFT BAN
Section 10-1.
Gift ban. Except as permitted by this Article, 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 ordinance. No
prohibited source shall intentionally offer or make a gift that violates
this Section
Section 10-2.Exceptions. Section
10-1 is not applicable to the following:
(1) Opportunities, benefits
and services that are available on the same conditions as for the
general public.
(2) Anything for which the
officer or employee, or his or her spouse or immediate family
member, pays the fair market value.
(3) 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.
(4) Educational materials and
missions.
(5) Travel expenses for a
meeting to discuss business.
(6) 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,
brother-in-law, sister-in-law, stepfather, stepmother, stepson,
stepdaughter, stepbrother, stepsister, half-brother, half-sister,
and including the father, mother, grandfather, or grandmother of the
individual’s spouse and the individual’s fiancé or fiancée.
(7) 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.
(8) Food or refreshments not
exceeding $75 per person in value on a single calendar day; provided
that the food or refreshments are (i) consumed on the premises from
which they were purchased or prepared, or (ii) catered. For the
purposes of this Section, "catered" means food or refreshments that
are purchased ready to consume which are delivered by any means.
(9) 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.
(10) 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.
(11) Bequests, inheritances
and other transfers at death.
(12) Any item or items from
any one prohibited source during any calendar year having a
cumulative value of less than $100.
Each of the exceptions listed in
this Section is mutually exclusive and independent of every other.
Section 10-3. 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
Ordinance 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 is exempt from
income taxation under Section 501(c)(3) of the Internal Revenue Code of
1986, as now or hereafter amended, renumbered or succeeded.
ARTICLE 15
ETHICS ADVISOR
Section 15-1.
The General Superintendent, with the advice and consent of the Board of
Commissioners shall designate an Ethics Advisor for the District. The
duties of the Ethics Advisor may be delegated to an officer or employee
of the District, unless the position has been created as an office by
the District.
Section 15-2.The Ethics Advisor
shall provide guidance to the officers and employees of the District
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 Commissioners.
ARTICLE 20
ETHICS COMMISSION
Section 20-1.There is hereby
created a commission to be known as the Ethics Commission of the
Metropolitan Water Reclamation District of Greater Chicago. The
Commission shall be comprised of three members appointed by the General
Superintendent, with the advice and consent of the Board of
Commissioners. No person shall be appointed as a member of the
Commission who is related, either by blood or by marriage up to the
degree of first cousin, to any elected officer of the District. No more
than two members shall belong to the same political party at the time
such appointments are made. Party affiliation shall be determined by
affidavit of the person appointed.
Section 20-2. At the first
meeting of the Commission, the initial appointees shall draw lots to
determine their initial terms. Two commissioners shall serve 2-year
terms, and the third commissioner shall serve a 1-year term. Thereafter,
all commissioners shall be appointed to two (2)-year terms.
Commissioners may be reappointed to serve subsequent terms.
At the first meeting of the
Commission, the commissioners shall choose a chairperson from their
number. Meetings shall be held at the call of the chairperson or any 2
commissioners. A quorum shall consist of 2 commissioners, and official
action by the Commission shall require the affirmative vote of two
members.
Section 20-3.The General
Superintendent, with the advice and consent of the Board of
Commissioners, may remove a commissioner in case of incompetency,
neglect of duty or malfeasance in office after service on the
commission, by certified mail, return receipt requested, of a copy of
the written charges against the commissioner and after providing an
opportunity to be heard in person, or by counsel, upon not less than 10
days’ notice. Vacancies shall be filled in the same manner as original
appointments.
Section 20-4.The Commission shall
have the following powers and duties:
(1) To promulgate procedures and
rules governing the performance of its duties and the exercise of its
powers.
(2) Upon receipt of a signed,
notarized, written complaint, to investigate, conduct hearings and
deliberations, issue recommendations for disciplinary actions, impose
fines in accordance with Section 25-1(c) of this Ordinance, and refer
violations of Article 5 or Article 10 of this Ordinance to the
appropriate attorney for prosecution. The Commission shall, however, act
only upon the receipt of a written complaint alleging a violation of
this Ordinance and not upon its own prerogative.
(3) To receive information from
the public pertaining to its investigations and to require additional
information and documents from persons who may have violated the
provisions of this Ordinance.
(4) To compel the attendance of
witnesses and to compel the production of books and papers pertinent to
an investigation. It is the obligation of all officers and employees of
the District to cooperate with the Commission during the course of its
investigations. Failure or refusal to cooperate with requests by the
Commission shall constitute grounds for discipline or discharge.
(5) The powers and duties of the
Commission are limited to matters clearly within the purview of this
Ordinance.
Section 20-5.
(a) Complaints alleging a
violation of this Ordinance shall be filed with the Ethics Commission.
(b) Within 3 business days after
the receipt of a complaint, the Commission shall send by certified mail,
return receipt requested, a notice to the respondent that a complaint
has been filed against him or her, and a copy of the complaint. The
Commission shall send by certified mail, return receipt requested, a
confirmation of the receipt of the complaint to the complainant within 3
business days after receipt by the Commission. The notices to the
respondent and the complainant shall also advise them of the date, time
and place of the meeting to determine the sufficiency of the complaint
and to establish whether probable cause exists to proceed.
(c) Upon not less than 48 hours’
public notice, the Commission shall meet to review the sufficiency of
the complaint and, if the complaint is deemed sufficient to allege a
violation of this Ordinance, to determine whether there is probable
cause, based on the evidence presented by the complainant, to proceed.
The meeting may be closed to the public to the extent authorized by the
Open Meetings Act. The Commission shall issue notice to the complainant
and the respondent of the Commission’s ruling on the sufficiency of the
complaint and, if necessary, on probable cause to proceed within 7
business days after receiving the complaint.
If the complaint is deemed
sufficient to allege a violation of Article 10 of this Ordinance, and
there is a determination of probable cause, then the Commission’s notice
to the parties shall include a hearing date scheduled within 4 weeks
after the complaint’s receipt. Alternatively, the Commission may elect
to notify, in writing, the attorney designated by the corporate
authorities to prosecute such actions and request that the complaint be
adjudicated judicially. If the complaint is deemed not sufficient to
allege a violation, or if there is no determination of probable cause,
then the Commission shall send, by certified mail, return receipt
requested, a notice to the parties of the decision to dismiss the
complaint, and that notice shall be made public.
If the complaint is deemed
sufficient to allege a violation of Article 5 of this Ordinance, then
the Commission shall notify, in writing, the attorney designated by the
Board of Commissioners to prosecute such actions and shall transmit to
the attorney the complaint and all additional documents in the custody
of the Commission concerning the alleged violation.
(d) On the scheduled date and
upon at least 48 hours’ public notice of the meeting, the Commission
shall conduct a hearing on the complaint and shall allow both parties
the opportunity to present testimony and evidence. The hearing may be
closed to the public only if authorized by the Open Meetings Act.
(e) Within 30 days after the date
of the hearing, or any recessed hearing, is concluded, the Commission
shall either (i) dismiss the complaint, or (ii) issue a recommendation
for discipline to the alleged violator and to the General
Superintendent, or impose a fine upon the violator, or both. The
particular findings in the case, any recommendation for discipline, and
any fine imposed shall be a matter of public information.
(f) If the hearing was closed to
the public, the respondent may file a written demand for a public
hearing on the complaint within 7 business days after the issuance of
the recommendation for discipline or imposition of a fine, or both. The
filing of the demand shall stay the enforcement of the recommendation or
fine. Within 14 days after receiving the demand, the Commission shall
conduct a public hearing on the complaint upon at least 48 hours’ public
notice of the hearing and allow both parties the opportunity to present
testimony and evidence. Within 7 days thereafter, the Commission shall
publicly issue a final recommendation to the alleged violator and to the
General Superintendent, or impose a fine upon the violator, or both.
(g) If a complaint is filed
during the 60 days preceding the date of any election at which the
respondent is a candidate, the Commission shall render its decision as
required under Subsection (e) within 7 days after the complaint is
filed, and during the 7 days preceding that election, the Commission
shall render such decision before the date of that election, if
possible.
(h) The Commission may fine any
person who intentionally violates any provision of Article 10 of this
Ordinance in an amount of not less than $1,001 and not more than $5,000.
The Commission may fine any person who knowingly files a frivolous
complaint alleging a violation
of this Ordinance in an amount of
not less than $1,001 and not more than $5,000. The Commission may
recommend any appropriate discipline up to an including discharge.
(i) A complaint alleging the
violation of this Act must be filed within one year after the alleged
violation.
ARTICLE 25
PENALTIES
Section 25-1.Penalties.
(a) A person who intentionally
violates any provision of Article 5 of this Ordinance may be punished by
a term of incarceration in a penal institution other than a penitentiary
for a period of not more than 364 days, and may be fined in an amount
not to exceed $2,500.
(b) A person who intentionally
violates any provision of Article 10 of this Ordinance is subject to a
fine in an amount of not less than $1,001 and not more than $5,000.
(c) Any person who intentionally
makes a false report alleging a violation of any provision of this
Ordinance to the local enforcement authorities, the State’s Attorney or
any other law enforcement official, may be punished by a term of
incarceration in a penal institution other than a penitentiary for a
period of not more than 364 days, and may be fined in an amount not to
exceed $2,500.
(d) A violation of Article 5 of
this Ordinance shall be prosecuted as a criminal offense by an attorney
for the District by filing in the Circuit Court an information, or sworn
complaint, charging such offense. The prosecution shall be under and
conform to the rules of criminal procedure. Conviction shall require the
establishment of the guilt of the defendant beyond a reasonable doubt.
A violation of Article 10 of this
Ordinance may be prosecuted as a quasi-criminal offense by an attorney
for the District, or, if an Ethics Commission has been created, by the
Commission through the designated administrative procedure.
(e) In addition to any other
penalty that may be applicable, whether criminal or civil, an officer or
employee who intentionally violates any provision of Article 5, or
Article 10 of this Ordinance is subject to discipline or discharge.
SECTION 2: EFFECT OF COURT
DECISIONS
If the provisions of any section
of this Ordinance shall be declared unconstitutional or invalid by the
final decision of any court of competent jurisdiction, the provision of
the remaining paragraphs shall nevertheless continue in full force and
effect.#9;
SECTION
3: EFFECTIVE DATE
This Ordinance shall become effective
immediately upon its passage.
DATED: April 22,
2004
APPROVED:
____________________________________
TERRENCE J. O’BRIEN, President
Board of Commissioners of the
Metropolitan Water Reclamation
District of Greater Chicago
Approved as to Form and Legality:
____________________________________
Deputy Attorney
___________________________________
Attorney
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