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O-22-04VILLAGE OF DEERFIELD ORDINANCE NO. 0-22-04 AN ORDINANCE AMENDING ARTICLE 15 OF CHAPTER 2 OF "THE MUNICIPAL CODE OF THE VILLAGE OF DEERFIELD, ILLINOIS, 1975," AS AMENDED, REGARDING ETHICS REGULATIONS WHEREAS, the Village is a home rule municipal corporation in accordance with Article VII, Section 6(a) of the Constitution of the State of Illinois of 1970; and WHEREAS, the Village has the authority to adopt ordinances and to promulgate rules and regulations that pertain to its government and affairs; and WHEREAS, the Village Board recognizes that the proper operation of democratic government requires that public officials of the Village be independent, impartial, and responsible to the Village, in order to serve and protect the public health, safety and welfare of Village residents; and WHEREAS, the Village has adopted ethics regulations, which are set forth in Article 15 of Chapter 2 of "The Municipal Code of the Village of Deerfield, Illinois, 1975," as amended ("Ethics Regulations'); and WHEREAS, the Village Board desires to amend the Ethics Regulations to insure that conflicts of interest do not impair the operations of the Village Board and the Village's agencies, boards, committees, and commissions; and WHEREAS, the Village Board has determined that it will serve and be in the best interests of the Village and its residents to amend the Ethics Regulations pursuant to this Ordinance; NOW, THEREFORE, BE IT ORDAINED BY THE VILLAGE BOARD OF DEERFIELD, LAKE AND COOK COUNTIES, ILLINOIS, as follows: SECTION ONE: RECITALS. The foregoing recitals are incorporated into, and made a part of, this Ordinance as the findings of the Board of Trustees. SECTION TWO: AMENDMENT TO ETHICS REGULATIONS. Article 15, titled "Ethics," of Chapter 2, titled "Administration," is hereby amended and shall be and read as set forth in Exhibit A, which is incorporated herein. SECTION THREE: SEVERABILITY. If any section, paragraph, clause or provision of this Ordinance shall be held invalid, the invalidity of such section, paragraph, clause or provision shall not affect any of the other provisions of this Ordinance. SECTION FOUR: PUBLICATION. The Village Clerk is hereby directed to publish this Ordinance in pamphlet form pursuant to the Statutes of the State of Illinois. {00124061.2} Additions are bold and double underlined; ^ struck t ^.. � SECTION FIVE: EFFECTIVE DATE. This Ordinance will be in full force and effect from and after its passage and approval in the manner provided by law. AYES: Benton Jacoby, Jester, Metts-Childers, Oppenheim, Seiden NAYS: None ABSTAIN: None ABSENT: None PASSED: January 3, 2022 APPROVED: January 4, 2022 ORDINANCE NO. 0-22-04 Daniel C. Shapiro, Mayor ATTEST: Kent S. St et, Village C erk {00124061.2} Additions are bold and double underlined; deletions are struck through. EXHIBIT A ARTICLE 15: ETHICS Sec. 2-172. Definitions: For purposes of this article, the following terms shall be given these definitions: Applicant: Any person or Business Entity that is seeking an Official Action or other form of relief from anv Commission or Village employee. Business Entity: Any firm._ proprietorship, partnership, association, corporation, venture, ru t or similar or ani in 1 ing,without limitati n a charitablp, or religious institution. Campaign For Elective Office: Any activity in furtherance of an effort to influence the selection, nomination, election, or appointment of any individual to any federal, state, or local public office or office in a political organization, or the selection, nomination, or election of presidential or vice presidential electors, but does not include activities: a) relating to the support or opposition of any executive, legislative, or administrative action, b) relating to collective bargaining, or c) that are otherwise in furtherance of the person's official duties. Candidate: 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 3,5. Collective Bargaining: Has the same meaning as that term is defined in section 3 of the Illinois public labor relations act 2 . Compensated Time: 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 article, 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. Commission: The Board or any Village board agency, committee commissionff advisory rou established b • the Village Compensatory Time Off: 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 Illinois election code 31. (00124061.2) Employee: 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. Employer: The village. Gift: Any gratuity, discount, entertainment, hospitality, loan, forbearance, or other tangible or intangible item having monetary value including, but not limited to, cash, food and drink, and honoraria for speaking engagements related to or attributable to government employment or the official position of an officer or employee. Immediate Family Member: Parents, spouse, brothers, sisters, children, grandparents, grandchildren, parents -in- law, brothers-in-law, sisters-in-law, and legal guardians. Leave Of Absence: Any period during which an employee does not receive: a) compensation for employment, b) service credit towards pension benefits, and c) health insurance benefits paid for by the employer. Qffl ction: An 1 islative, administrative. appointive, or discretion r act of the Village Bo r r Yillage em to ees. Officer: A person who holds, by election or appointment, a village office created by statute or ordinance, regardless of whether the officer is compensated for service in his or her official capacity. Political Activity: Any activity in support of or in connection with any campaign for elective office or any political organization, but does not include activities: a) relating to the support or opposition of any executive, legislative, or administrative action, b) relating to collective bargaining, or c) that are otherwise in furtherance of the person's official duties. Political Organization: A party, committee, association, fund, or other organization (whether or not incorporated) that is required to file a statement of organization with the state board of elections or a county clerk under section 9-3 of the Illinois election code ss , but only with regard to those activities that require fling with the state board of elections or a county clerk. Prohibited Political Activity: (a) Preparing for, organizing, or participating in any political meeting, political rally, political demonstration, or other political event. (b) Soliciting contributions, including, but not limited to, the purchase of, selling, distributing, or receiving payment for tickets for any political fundraiser, political meeting, or other political event. (c) Soliciting, planning the solicitation of, or preparing any document or report regarding anything of value intended as a campaign contribution. (d) Planning, conducting, or participating in a public opinion poll in connection with a campaign for elective office or on behalf of a political organization for {OO124061.2} 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. (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. Prohibited Source: Any person or entity who: (a) Is seeking official action: 1) by an officer or 2) in the case of an employee, by the employee or by the officer or other employee directing that employee; (b) Does business or seeks to do business: 1) with the officer or 2) in the case of an employee, with the employee, or with officer or other employee directing that employee; (c) Conducts activities regulated: 1) by the officer or 2) in the case of an employee, by the employee or by the officer or other employee directing that employee; or (d) Has interests that may be substantially affected by the performance or nonperformance of the official duties of the officer or employee. {00124061.21 Owner: means any person that owns 0.5% or more of the gub,iect Business i V Sec. 2-173. Prohibited Political Activities: (a) Employees shall not intentionally perform any prohibited political activity during any compensated time. Employees shall not intentionally misappropriate any property or resources of the village by engaging in any prohibited political activity for the benefit of any campaign for elective office or any political organization. (b) At no time shall any officer or employee intentionally misappropriate the services of any employee by requiring that employee to perform any prohibited political activity: 1) as part of that employee's duties, 2) as a condition of employment, or 3) during any compensated time off. (c) No officer or employee shall require an employee at any time to participate in any prohibited political activity in consideration for that employee being awarded any additional compensation or employee benefit, whether in the form of a salary adjustment, bonus, compensatory time off, continued employment or otherwise, nor shall any employee be awarded any additional compensation or employee benefit in consideration for his or her participation in any prohibited political activity. (d) Nothing in this section prohibits activities that are otherwise 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 article. (e) No person either: 1) in a position that is subject to recognized merit principles of public employment or 2) in a position the salary for which is paid in whole or in part by federal funds and that is subject to the federal standards for a merit system of personnel administration applicable to grant in aid programs, shall be denied or deprived of employment or tenure solely because he or she is a member or an officer of a political committee, of a political party, or of a political organization or club. 100124061.21 Sec. 2-174. Gift Ban: (a) 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. (b) Exceptions: Subsection (a) of this section is not applicable to the following exceptions. Each of the exceptions listed below is mutually exclusive and independent of every other: (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: a) contribution that is lawfully made under the election code or b) 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, 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 fiancee. {OO124061.2} (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: a) the history of the relationship between the individual giving the gift and the recipient of the gift, including any previous exchange of gifts between those individuals; b) whether to the actual knowledge of the recipient the individual who gave the gift personally paid for the gift or sought a tax deduction or business reimbursement for the gift; and c) whether to the actual knowledge of the 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 seventy five dollars ($75.00) per person in value on a single calendar day; provided that the food or refreshments are: a) consumed on the premises from which they were purchased or prepared or b) 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) Intragovernmental and intergovernmental gifts. For the purpose of this article, "intragovernmental gift" means any gift given to an officer or employee from another officer or employee, and "intergovernmental 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 total value of less than one hundred dollars ($100.00). 100124061.21 (c) 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 article 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. Sec. 2-175. Prohibited Conflicts of Interest: No Officer shall engalle in any business or transaction that is imomnatible with the nroner discharge of the Officer's official duties in the ]public interest or that may tend to imn_air the Officer's independence. judgment, or action in the performance f such duties. Except as exnr= essly— ermitted by this Code, no Officer. or Immediate Family Member thereof, shall have any interest, directly or indirectly, in any contract., 3y9rk,r business of the Villgg_ No Officer. or Immediate Family Member thereof, shall acquire an interesL director indirect in any Business Entity or in any sub tLi matter at a time when the Officer knows or has reason to know or believe that such Business En ijy or ,subject matter will directly or indirectly become the subject of an Official Action Notwith,5tandiniz the provisions of this Section, an Officer -shall _n I be prohibited from having or ac Uiring an interest in r deriving a benefit from, an Village contract. work or business. when _the _interest or benefit is due to ownership by the Officer, or Immediate Family M niber thereof, of less than 0.5% of a Business Entity which has ract work or business h ill e. Sec. 2-176. Prohibited Representations: a .. Officer Prohibition. Throughout an Officer's term f office. ffice. 1. No member of the Village Board shall, under any circumstances, represent any Annlicant at any hearing, meeti= or other assembly of .any Commission. except: (a) as provided in Section 2-176(a)3 of this Code r b if the member appears on behalf of the Village Board if duly authorized to make such an appearance; and 2. No Officerserving on any Commission, r than the Village Board . shall,under any circumstances, represent any Agglicant at nny hearinIZ, meetiny, or other assembly of any Commission,except: as provided in in Section 2-176(a)3 of this Code: or (b) if the Officer appears on behalf of the Commission of which the Officer is a member if dul authorized by the Vi late Board or the Commission on which e Officer sits to make such an appearance, {00124061.2} 3. Nothina in this subsection 2-176(a1_shall be deemed or interpreted as prohibiting n Officer from appearing n behalf of himself or herself at a hearing,_meeting, or other assembly of the Official's Commission or another Commission, or before Village a Village em lovee upon compliance th the f ll win : i. If the purpose of the Officer's appearance does not relat to the real property of that Officer, then the Officer shall not make such appearance except upon —the prior approval of the Village Board. Nothing in this Section shall be deemed or interpreted as prohibiting the petition or request by the Officer to the Village Board for such approval: and ii. The Officer shall comps with the rules for disclosure and recusal, as max be applicable, set forth in Section 2-177 of this Code. Wb Village Contractor Prohibition, 1. No person or Business Entity who is currently under contract with he Village to provide theVillage r fession l orconstruction-related services h ll appear and represent any Applicant at any earing. meeting, other assembly f any Commission,or before Villast r submit evidence to any Commission or Village staff on behalf of any such Applicant, under any circumstances, except: W as provided in Section 2-17 (b 2: or (b) if the contractor is appearing on behalf of the Village, if duly authorized to make such an appearance by the Village Manager. A person or Business Entity who is currentl_yn r contract with the Village to provide the Village professional or construction-, related services may make a written request to the Village Manager for a waiver from this subsection, which waiver the Village Manager may grant provided that the Village Manager determines that the granting of waiver does not negatively impact the interests of the Village. The Village Manager mLomditiom when granting a waiver. In the event that the Village Manager denies a request for a waiver, the erson or Business Entitv that requested the waiver may appeal the Village Manager's determination by filing an au eal with the Village Board within seven days of the Village. Manager's determination. The Village Board may overturn the Villae Manager's determination and grant a waiver onl u o v o- thirds of theCorporate thori i 2. Nothing in this subsection 2-1 6 b shall be deemed or interpreted as prohibiting r on or Business ho is currently under contract with the Villareto provide the Village pr f9 essional or construction -related services from appearing on behalf of itself at a hearing, meeting or other assembly of a Commission or before a Village -employee seeking Official Action provided that the contractor {00124061.21 discloses its contractual relationship to the Commission or Village employee before which the contractor appears Such disclo.9ure shall include (a) that the contractor has a contract with the Village -and (b) naturethe of that contract. See. 2-177. Disclosure and Recus 1 fficers: "a Circumstances irin Both Disclosure and Recusal.In the followin circumstances. an Officer must disclose his or her interest in coxnplianc with the rules for disclosure set forth in Section 2-177(c) of this Code, and the Officer must recuse from any deliberation. discussion. or Official Action of the Commission in compliance with the rules for r cusal set forth -in Section 2-177ld1: 1. Current Representation of Applicant on Related Matters. The Officer. or the Busineas Entity of which the Officer is a member, is current representing the Applicant appearing before the _Officer's Commission on the same or related matter for which the Applicant is seeking relief before theOfficer's Commission. 2. Current RepresentpAiQn of Applicant on Unrelated Matters. The Officer, or the Business Entity f hi h the Officer is a m tuber i rr n l representing the Applicant apReai f re the Officer' nunission on a matter that is not related to the matter for which the Applicant is seeking relief before the Officer's Commission. 3. Previous Representation of Applicant on Related Matters. The Officer, or the Business Entity of which the Officer is a momber, has previously represented, u is not currently re resentin the Applicant appearing before the Officer's Commission_ n the _ me or related matter for which the Applicant is seeking relief before the Officer's Commission. 4. Officer's Immediate Family Member as Applicant. The Applicant anucarinz before the Officer's Commission is an Immediate Family Member of the Officer. 5. For -Profit Business Entity_ as Applicant. The Applicant �{ before the Officer's Commission is either a the for -profit Business Entity of which the Officer is an Owner. officer, director, or employee•,, or b another Owner, officer, director, or employee of the -for -profit Business Entity of which the Officer is an Owner, officer, directory or employee. 6. Not -for -Profit Business Entity ADDlicant - Direct Relationship, Applicant app ariRg before the Officer's Commission is a not -for - profit Business Entity of which the Officer or his or her spouse or d domestic partner, is either an Owner,officer. it ctor or em to ee. 100124061.21 tb Circumstances irin Disclosure But Not Recusal. In the following it m nces an Offic r must disclosehe Officer's interest in com liance with the rules for disclosure set forth in Secti - f this e• 1. Previous Ret2resentation of Applicant on Unrelated Matters. The Officer, or the Business Entity of which the Officer is a member, has previously represented theA Iicant on a matter that is not related to the matter for which the Applicant is seeking relief before the Officer's Commission. 2. Businesgs Entity as Applicant 1 ionshi . The A lic n appearing fore the Officer's Commission is iness Entit .for which the Officer, or an Immediate Family Member thereof who resides i h the Officer is a member, but not an wner officer director. or employee. For purposes of this Section 2-177[b]2. "member" means [i] a volunteer for a not -for -profit charitable or religious institution, to whom no monetary m n ation is provided [ii] a congre�ant of a religious institution_ or [iii] any similar relationship to a Business Entity by which the individual receives no. monetary compensation. 3. Not -for -Profit Business Entity as Applicant - Indirect Relationahip, The Applicant appearing bef r heOfficer's Commission Owner, fficer, dir for or em 1 f th n -f r- rofit Busines Entity of which the Officer is an Owner, officer, director, or empl-Q3 ee 4. Officer as Applicant, The Officer is the A anLaupearing b f re the Officer's Commission. 5. A_nnearance of Impropriety. The Officer has a connection to the Applicant or matter before the Officer's m. . u h that the Officer's _participation in any deliberation, discussion, or Officer Action related to the Applicant or matter may a e r -xt not be improper under this Code or any applicable law. Up Rules for Disclosure Where this Article requires disclosure of an Officer's interest. the Officer shall make such disclosure as follows: 1. The Officer shall state on the record at the meetink or hearing of the applicable Comm' * . if appearing before a Village_ employee seeking Official Action, a] that he or she has an interest for which disclosure is required, and (b) the nature of that interest. 2. The Officer's statement must be made prior to any deliberation discussion, or Official Action taken by the Commission on matters involving such interest of if Official ActiQD igAo be taken by a Villa e employee, before the Village Employee take Official Action. f OO124o61.2 ) 3. Unon making disclosure in comnlia_nce with this Subsection. the Officer may participate in any deliberation, i n r Official Action related to the matter for which disclosure was required, unless recusal is also required, in which case the Officer shall comply with the re uirements of Section 2-177(d) of this Code. 4. Notwithstanding the provisions of Section 2-177(c) of this Code, in the event that the Officer is the Applicant arin fore the fficer's Commission, the Officer may not cast a vote in connection with anv proposed Official Action regarding the matter for which disclosure r_ uir d-�.iles for Recusal. Where this Section require the recusal of an Officer, the Officer shall recuse him if or herself follYs- 1. The Officer shall first disclose the interest for which recusal required, in accordance with and pursuant to Sections 2-177(c) of this Code. 2. Following such disclosure. the Officer shall depart the room in which he Commission will conduct any proceedings related to the matter for which recusal is required. The Officer shall not re-enter Such room until h time as the ommission concludes its deliberation, discussion or OfficiafAefion on quCh matter. 3. Foll winit the disclosure required_ ]pursuant to Section 2-177(c)1 of this Code, and until the Commission takes Official Action regarding the matter for which the Officer has recused himself or herself, the Officer shall not communicate r relzardingthe matter for which the Officer has recused himself or herself with [a] any other member of the Commission from which the Officer has recused himself or herself, b) anv member of the Villa ,e Board. or (c) anv VillaTe lovee who the Officer knows or should know is familiar with the. matter for which recusal was required. Sec. 2 175 2-178. Penalties: (a) A person who intentionally violates any provision of section 2-173 of this article may be punished by a term of incarceration in a penal institution other than a penitentiary for a period of not more than three hundred sixty four (364) days, and may be fined in an amount not to exceed two thousand five hundred dollars ($2,500.00). (b) A person who intentionally violates any provision of section 2-174 of this article is subject to a fine in an amount of not less than one thousand one dollars ($1,001.00) and not more than five thousand dollars ($5,000.00). (c) Any person who intentionally makes a false report alleging a violation of any provision of this article 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 100124061.21 institution other than a penitentiary for a period of not more than three hundred sixty four (364) days, and may be fined in an amount not to exceed two thousand five hundred dollars ($2,500.00). (d) A violation of section 2-173 of this article shall be prosecuted as a criminal offense by an attorney for the village 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 section 2-174 of this article may be prosecuted as a quasi -criminal offense by an attorney for the village, or, if a village ethics commission has been created, by the commission through its 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 section 2-173 Of ` - 47-4 through 177 of this article is subject to discipline or discharge. {00124061.2 }