Ethics and Ethics Commission

Operational Standard/Purpose

The Illinois General Assembly has enacted the State Officials and Employees Ethics Act (codified at 5 ILCS 430/1-1 et seq.) (herein “Act” or “Ethics Act”), 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. Under the Act, all units of local government, including community college districts, are required 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.

In order to ensure public confidence in Illinois Central College (the “College”) and to comply with the Act, Board members and Employees must perform their duties in a proper and ethical manner and avoid even the appearance of impropriety. This standard has been adopted to comply with the requirements of the Act. This standard shall be construed in a manner consistent with the provisions of the Act. This standard is intended to impose the same but not greater restrictions than the Act

Scope/Applicability

This standard applies to all members of the Board of Trustees of Community College District No. 514 of Peoria, Tazewell, Woodford, Marshall, Bureau, Livingston, Logan, McLean, Mason, and Stark Counties, Illinois and all employees of the College.

Definitions

For purposes of this standard, and consistent with the Act and the Ethics Resolution of the Board of Trustees (Article XVII of the Administrative Policies of the Board of Trustees), the terms listed herein shall mean the following:

“Board of Trustees” means the Board of Trustees of Community College District No. 514 of Peoria, Tazewell, Woodford, Marshall, Bureau, Livingston, Logan, McLean, Mason, and Stark Counties, Illinois.

“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 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 the term is defined in Section 3 of the Illinois Educational Labor Relations Act (115 ILCS 5/1 et seq.).
“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 policy, does not include any designated holidays, vacation periods, personal time, compensatory time off, or for 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 an 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).

“Employee” means a person employed by Illinois Central College, 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 Illinois Central College.

“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 (a) by an Officer or (b) by an Employee or by the Officer or another Employee directing that Employee;
2. does business or seeks to do business (a) with the Officer or (b) with an Employee, or with the Officer or another Employee directing that Employee;
3. conducts activities regulated by (a) by the Officer or (b) by any Employee, or by the Officer or another Employee directing that Employee;
4. has an interest that may be substantially affected by the performance or non-performance of the official duties of the Officer or Employee;
5. is registered or required to be registered with the Secretary of State under the Lobbyist Registration Act, except that an entity not otherwise a Prohibited Source does not become a Prohibited Source merely because a registered lobbyist is one of its members or serves on its board of directors; or
6. is an agent of, a spouse of, or an immediate family member who is living with a “Prohibited Source”.

Standards

1. Prohibited Political Activities.
   1. 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 Employer in connection with any Prohibited Political Activity.
   2. At no time shall any Officer or Employee intentionally require any other Officer or Employee to perform any Prohibited Political Activity (a) as part of that Officer or Employee’s duties, (b) as a condition of employment, or (c) during any compensated time off (such as holidays, vacation, or personal time off).
   3. 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.
   4. 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 standard.
   5. No person either (a) in a position that is subject to recognized merit principles of public employment or (b) 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.
2. Gift Ban
   Except as permitted by this section, no Officer or Employee, and no spouse of or immediate family member living with an 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, resolution, ordinance or this standard. No Prohibited Source shall intentionally offer to make a Gift that violates this Section.
   
   Exceptions. This section’s prohibition against Officers and Employees, or their spouses, accepting Gifts is not applicable to the following:
   1. Opportunities, benefits, and services that are available on the same condition 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 College business.
   6. A gift from a relative, meaning those people related to the individual as father, mother, son, daughter, brother, sister, uncle, 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 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: (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 $75 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. Intra-governmental and inter-governmental gifts. For the purpose of this Section, “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 activity.
   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 $100.
   13. Any item or items provided by Illinois Central College in support of the Employee’s or Officer’s discharge of official duties.

Each of the exceptions listed in this section is mutually exclusive and independent of every other.

An Officer or Employee, his or her spouse or an immediate family member living with the Officer or Employee, does not violate this standard if the recipient promptly takes reasonable action to return a gift from a Prohibited 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 thereafter amended, renumbered, or succeeded.

Ethics Advisor

The Ethics Advisor has primary responsibility for investigating violations of this standard and determining whether a reported violation warrants actions by the Ethics Commission or warrants prosecution of the offender in the appropriate circuit court. College Counsel, or in his or her absence, a member of College Counsel’s law firm, is designated the Ethics Advisor for the College. If College Counsel or a member of College Counsel’s firm is unable to serve as Ethics Advisor, the President, with the advice and consent of the Board of Trustees, shall designate an alternate Ethics Advisor for the College. The duties of the Ethics Advisor may be delegated to such appointed individual.

The Ethics Advisor shall provide guidance to the Officers and Employees of the College concerning the interpretation of and compliance with the provision of this standard and State ethics laws. The Ethics Advisor shall perform such other duties as may be delegated by the Board of Trustees. Should an Ethics Commission be convened, the Ethics Advisor shall guide the Ethics Commission in the processing and addressing of formal complaints and provide counsel as to interpretation of this standard and the Act. The Ethics Advisor may suggest and prepare such additional policies and procedures to govern proceedings before the Ethics Commission as may be needed in the opinion of the Ethics Advisors or the Ethics Commission.

Procedures

1. Report of a Violation of this Standard.
   
   Any person can make a written report of an alleged violation of the Act or this standard’s Prohibited Political Activities or Gift Ban sections. Such a written report should be submitted to the Ethics Advisor, the Executive Vice President for Administration and Finance, or the Chairperson of the Board of Trustees. If the report is submitted to a person other than the Ethics Advisor, it should be promptly forwarded to the Ethics Advisor. A report alleging the violation of this standard or the Act must be filed within one year after the alleged violation.
    
2. Initial Evaluation of Reports by Ethics Advisor.
   
   Upon receiving a report of an alleged violation of the Act or this standard, the Ethics Advisor shall evaluate the report to determine whether (1) it is timely made within one year of the occurrence of the alleged violation; and (2) whether the factual allegations, if proven, would establish a violation of this standard or the Act. The Ethics Advisor shall also determine whether probable cause exists to believe that the report is a frivolous report. Where appropriate, the Ethics Advisor shall determine whether the alleged violation warrants criminal prosecution in the circuit court in lieu of an administrative hearing before the Ethics Commission.
    
3. Recommendation of the Ethics Advisor.
   
   After completing his or her initial evaluation of a report alleging a violation of the Act or this standard, the Ethics Advisor shall present his or her recommendations to the Board of Trustees, provided further, the Ethics Advisor may elect instead to present his or her recommendations to the President of the College or the Chairperson of the Board in the first instance, and the President of the College or the Chairperson of the Board may elect to act on those recommendations or present those recommendations to the Board of Trustees. Those recommendations may include one or more of the following: Upon vote taken in compliance with the Open Meetings Act, the Board of Trustees may accept or reject any recommendation of the Ethics Advisor. The Board of Trustees may choose to convene, or not convene, the Ethics Commission over the contrary recommendation of the Ethics Advisor.
    
   1. That no further action be taken against the subject of the report, where the report was untimely.
   2. That no further action be taken against the subject of the report, where the allegations, even if proven, do not establish a violation of the Act or this standard.
   3. That the Ethics Commission be convened to hear and determine whether the subject of the report should be fined or disciplined for a violation of the Act or this standard.
   4. That the Ethics Commission be convened to hear and determine whether the maker of the report should be fined or disciplined for making a false frivolous report.
   5. That a criminal prosecution be initiated against the subject of the report for a violation for the Act or this standard. This recommendation shall only be made where there has been a violation of the Gift Ban provisions of the Act or this standard.
   6. That a criminal prosecution be initiated against the maker of the report for filing a false report.
       
4. Criminal Prosecution.
   
   Should the Board of Trustees accept the Ethic Advisor’s recommendation that an eligible violation of this standard of the Act be criminally prosecuted, the matter shall be referred to the State’s Attorney of Tazewell County, Illinois to be prosecuted as a criminal offense or by the Ethics Advisor 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.
    
5. Convening of the Ethics Commission and Appointment of its Members.
   
   Upon request of the Ethics Advisor, the President of the College or the Chairperson of the Board of Trustees, the Board of Trustees may call into existence an Ethics Commission, to serve on an ad hoc basis to address alleged violations of this standard. An Ethics Commission so-created shall be comprised of three members appointed by the President with the advice and consent of the Board of Trustees. 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 member of the Board of Trustees or to the maker of or the subject of the report of a violation. A quorum shall consist of two commissioners, and official action by the commission shall require the affirmative vote of two members.
   
   The Chairperson of the Board, with the advice and consent of the Board of Trustees, may remove a commissioner in case of incompetency, neglect of duty or malfeasance in office after service on the commissioner 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.
   
   Upon the conclusion of all business for which it had been called to address, or upon the decision of the Board of Trustees that its services are no longer required, the Ethics Commission shall disband. The Ethics Commission shall then remain disbanded until need arises for the creation of a new Ethics Commission.
    
6. Powers and Duties of the Ethics Commission.
   
   The Ethics Commission shall have the following powers and duties:
   1. To promulgate such additional procedures and rules governing the performance of its duties and the exercise of its powers that it deems necessary and proper.
   2. Upon receipt of the signed, notarized, written formal complaint, to investigate, conduct hearings and deliberations, issue recommendations for disciplinary actions, and impose fines in accordance with this standard and the Board of Trustee’s Ethics Resolution. The Ethics Commission shall, however, act only upon the receipt of a written formal complaint alleging a violation of this standard or the Act 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 standard.
   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 College to cooperate with the Ethics Commission during the course of its investigations. Failure or refusal to cooperate with requests by the Ethics Commission shall constitute grounds for discipline or discharge.
   5. The powers and duties of the Ethics Commission are limited to matters clearly within the purview of this standard and the specific purpose for which the Ethics Commission was convened.
       
7. Formal Complaint before the Ethics Commission.
   
   Prior to the initial meeting of an Ethics Commission, convened to address the allegations of a report received by the Ethics Advisor, the Ethics Advisor shall assist the person bringing said allegation (who shall be designated the “complainant”) in preparing his or her charges in the form of a signed, formal complaint. The person or persons alleged to have violated this standard or the Act shall be designated “respondent” or “respondents” in the formal complaint. The complainant shall sign the formal complaint, under oath and penalty of perjury, and the signature of the complainant shall be notarized. In the alternative, the Ethics Advisor may prepare a formal complaint, brought in the name of the Board of Trustees, and signed by the Ethics Advisor on behalf of the Board of Trustees. In such instance, the formal complaint need not be signed under oath, nor shall the signature of the Ethics Advisor be required to be notarized. Once drafted and signed, the Ethics Advisors shall deliver the formal complaint to the Ethics Commission.
   
   The failure of the formal complaint to conform to the technical requirements of this Section shall not deprive the Ethics Commission of jurisdiction, nor shall it be grounds to dismiss the formal complaint unless the formal complaint’s deficiencies actually prejudice the respondent in his or her ability to present a defense to the formal complaint’s charges.
    
8. Initial Meeting of the Ethics Commission.
   
   At the first meeting of the Ethics Commission, the Ethics Commission shall:
   1. Choose a chairperson from their number. Further meetings of the Ethics Commission shall be held at the call of the chairperson or any two commissioners.
   2. Examine the formal complaint and determine whether it is legally sufficient and supported by probable cause. If the Ethics Commission determines that the formal complaint is not legally sufficient or supported by probable cause, the Ethics Commission shall report its determination to the Board of Trustees and disband unless and until reconvened by the Board of Trustees.
   3. Determine the need for witnesses and documents to evaluate the allegations of the formal complaint and issue notices to College Employees and Officers to supply such documents or appear before the Ethics Commission as needed.
   4. Set date(s) for further meetings or a hearing on the formal complaint.
   5. Arrange for a copy of the formal complaint and notice of any scheduled hearing to be served on the respondent or respondents named in the formal complaint.
       
9. Notice to Respondent and Complainant.
   
   Within 3 business days after the initial meeting, the Ethics Commission shall send by certified mail, return receipt requested, a notice to each respondent that a formal complaint has been filed against him or her and a copy of the formal complaint.
   
   Within 3 days of selecting a date for a hearing, the Commission shall send by certified mail, return receipt requested, notices to the respondent(s) and the complainant, advising them of the date, time, and place of the hearing before the Ethics Commission to determine whether the allegations of the formal complaint are true, and if so, the penalties which may be imposed.
   
   Note that the formal complaint and the notice of hearing may be sent to respondent(s) in a single mailing if the Ethics Commission selects a hearing date at its initial meeting.
    
10. Hearings Before the Ethics Commission.
    
    On the scheduled date and upon at least 48 hours' public notice of the meeting, the Ethics Commission shall conduct a hearing on the complaint and shall allow both the complainant and respondent(s) the opportunity to present testimony and evidence. The Ethics Advisor may also present such evidence and testimony that he or she believes will assist the Ethics Commission in making its decision. The hearing may be closed to the public only if authorized by the Open Meetings Act.
    
    Any respondent may be represented by counsel at the hearing at the respondent’s own expense. The formal rules of evidence shall not govern the admissibility of evidence or testimony at the hearing. The Ethics Commission may, however, choose to give lesser weight to evidence traditionally held to be less reliable, such as hearsay evidence. The Ethics Commission shall decide questions of fact using the preponderance of the evidence (“more likely than not”) standard of proof.
    
    Within 30 days after the date the hearing or any recessed hearing is concluded, the Ethics Commission shall either (1) dismiss the formal complaint or (2) issue a recommendation for discipline to the respondent(s) and to the Chairperson of the Board of Trustees, 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.
    
    The Ethics Commissions’ issuance of a final decision operates to dissolve and disband the Ethics Commission until such time as a new Ethics Commission may be convened.
     
11. Expedited Hearings for Candidates.
    
    If a formal complaint is presented to the Ethics Commission during the 60 days preceding the date of any election at which the respondent is a Candidate, the Ethics Commission shall endeavor to hold the hearing on the complaint as soon as practical and render its decision as far in advance of the date of that election as possible. However, the Ethics Commission’s failure to, or inability to, issue a decision in advance of an election at which the respondent is a Candidate shall not operate to invalidate the decision or deprive the Ethics Commission of jurisdiction.
    
    To expedite a hearing in advance of an election, the Ethics Commission may dispense with using certified mail, return receipt requested, to send notice of hearing to the complainant and respondent, and the Election Commission may provide notice of the hearing by any other means reasonably likely to provide actual notice of the hearing to the parties.
     
12. Penalties.
    1. A person who intentionally violates any provision of the “Prohibited Political Activities” section of this standard may be fined by the Ethics Commission in an amount not to exceed $2,500.
    2. A person who intentionally violates any provision of the “Gift Ban” section of this standard may be fined by the Ethics Commission in an amount of not less than $1,001 and not more than $5,000.
    3. Any person who intentionally makes a false report alleging a violation of any provision of this standard to the College, the Ethics Advisor or any law enforcement official may be fined by the Ethics Commission in an amount not to exceed $2,500.
    A penalty imposed by the Ethics Commission shall be a debt owed by the respondent to the College and may be collected in the same manner as any other debt.
    
    Nothing in this Section shall be construed as limiting the College’s ability to seek additional penalties authorized by the Act and the Board of Trustee’s Ethics Resolution, should the College elect to prosecute violations through the criminal court system in lieu of a prosecution before the Ethics Commission.
    
    Nothing in this Section shall be construed as limiting the Board of Trustee’s ability to terminate or discipline an Employee, in lieu of, or in conjunction with, fines imposed by the Ethics Commission.
     
13. Termination or Discipline of Employees.
    
    Where the Ethics Commission has recommended that a respondent/Employee be disciplined or terminated, the College shall, in acting upon that recommendation, afford the respondent/Employee all rights he or she may have under any applicable collective bargaining agreement.