[HISTORY: Adopted by the City Council of the City of Crystal Lake as amended 5-17-2005 by Ord. No. 5938 (Art. II, Ch. IV, Section F, of the 1993 Code); amended in its entirety 4-5-2022 by Ord. No. 7791. Subsequent amendments noted where applicable.]
Whenever the following words or terms are used in this chapter, they shall have the meanings ascribed to them below:
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: i) relating to the support or opposition of any executive, legislative, or administrative action;[1] ii) relating to collective bargaining;[2] or iii) that are otherwise in furtherance of the person's official duties.
CANDIDATE
Any 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 either a general primary election or general election.
COMPENSATED TIME
With respect to an employee, any time worked by or credited to an 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 the 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
Any 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 her or his employment.
EMPLOYEE
All full-time, part-time, and contractual employees of the City.
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.
INTER-OFFICE GIFT
Any gift given to an officer or employee of the City from a member of the Illinois General Assembly; or from the Governor, the Lieutenant Governor, the Attorney General, the Secretary of State, the Controller, the Treasurer or the Auditor General of the State of Illinois; or from a member, officer, appointee, or employee of any state agency as defined in the State Officials and Employees Ethics Act,[3] or of any federal agency, or of any unit of local government or school district.
INTRA-OFFICE GIFT
Any gift given to an officer or employee of the City from another officer or employee of the City.
LEAVE OF ABSENCE
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 City.
OFFICER
All appointed and elected officials of the City, regardless of whether the official is compensated.
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: 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
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 § 9-3 of the Election Code,[4] but only with regard to those activities that require filing 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 any thing 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 in connection with a campaign for elective office or on behalf of a political organization for political purposes.
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.
L. 
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 by the City or by an officer or employee of the City;
B. 
Does business or seeks to do business with the City or with an officer or employee of the City;
C. 
Conducts activities regulated by the City or by an officer or employee of the City;
D. 
Has interests that may be substantially affected by the performance or nonperformance of the official duties of the City or an officer or employee of the City;
E. 
Is registered or required to be registered with the Secretary of State under the Lobbyist Registration Act,[5] except that an entity does not become a prohibited source merely because a registered lobbyist is one of its members or serves on its board of directors; or
F. 
Is an agent of, a spouse of, or an immediate family member who is living with a "prohibited source."
RELATIVE
Those people related to the officer or employee 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 officer's or employee's spouse and the officer's or employee's fiance or fiancee.
[1]
As those terms are defined in Section 2 of the Lobbyist Registration Act, 25 ILCS 170/2.
[2]
As defined in Section 3 of the Illinois Public Labor Relations Act, 5 ILCS 315/3.
[3]
5 ILCS 430/1-1 et seq.
[4]
10 ILCS 5/9-3.
[5]
Editor's Note: See 25 ILCS 170/1 et seq.
A. 
Gifts prohibited: Except as otherwise provided in § 44-2B below, no officer or employee, spouse of an officer or employee, or immediate family member living with an officer or employee, shall intentionally solicit or accept any gift from any prohibited source or in violation of any federal or state statute, rule, or regulation. No prohibited source shall intentionally offer or make a gift that violates this subsection.
B. 
Exceptions: The restrictions set forth in § 44-2A above shall not apply 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 pays the market value or anything not used and promptly disposed of as provided in § 44-2C below.
(3) 
A contribution, as defined in Article 9 of the Illinois Election Code,[1] that is lawfully made under that Code or under the State Officials and Employees Ethics Act,[2] or activities associated with a fundraising event in support of a political organization or candidate.
[1]
10 ILCS 5/9-1 et seq.
[2]
Editor's Note: See 5 ILCS 430/1-1 et seq.
(4) 
Educational materials and missions.
(5) 
Travel expenses for a meeting to discuss City business.
(6) 
A gift from a relative of an officer or employee.
(7) 
Anything provided by an individual on the basis of a personal friendship unless the officer or employee has reason to believe that, under the circumstances, the gift was provided because of the official position or employment of the officer or employee and not because of the personal friendship. In determining whether a gift is provided on the basis of personal friendship, the officer or employee 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 officer or employee 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 officer or employee the individual who gave the gift also at the same time gave the same or similar gifts to other officers or employees.
(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, meaning that they are purchased ready to eat and delivered by any means.
(9) 
Food, refreshments, lodging, transportation, and other benefits resulting from the outside business or employment activities (or outside activities that are not connected to the duties of the officer or employee as an office holder or employee) of the officer or employee, or the spouse of the 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-office and inter-governmental gifts.
(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.
C. 
Disposition of gifts: An officer or employee that is a recipient of a gift that is given in violation of this chapter shall promptly return the item to the donor. If circumstances do not reasonably allow the recipient to return the item to the donor, then the officer or employee shall give the item 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.
A. 
No officer or employee shall intentionally perform any prohibited political activity during any compensated time. No officer or employee shall intentionally use any property or resources of the City 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 employee's duties; ii) as a condition of employment; or iii) during any compensated 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 any 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 the officer's or employee's participation in any prohibited political activity.
D. 
Nothing in this § 44-3 prohibits activities that are otherwise permissible an officer or employee to engage in as a part of his or her official or employment duties or activities that are undertaken by an officer or employee on a voluntary basis as permitted by law.
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.
A. 
The City Manager, or her or his designee, shall be designated the Ethics Officer for the City. The Ethics Officer may contract for services that cannot be satisfactorily performed by the City staff. Except as provided in § 44-4B, the Ethics Officer's duties and responsibilities shall include:
(1) 
Providing guidance to officers and employees in completing statements of economic interest before they are filed with the appropriate office; and
(2) 
Providing guidance to officers and employees in the interpretation and implementation of this chapter and the requirements of Section 5-15 and Article 10 of the State Officials and Employees Ethics Act;[1] and
[1]
Editor's Note: See 5 ILCS 430/5-15 and 5 ILCS 430/10-10 et seq., respectively.
(3) 
Providing guidance to officers and employees in the interpretation and implementation of other applicable statutes, ordinances, rules, or regulations of the City, the State of Illinois, or the federal government dealing with ethics, conflicts of interest, interests in contracts, jobs, work, or materials, or the profits thereof, or services to be performed for or by the City; and
(4) 
To accept written complaint alleging any violation of this chapter; and
(5) 
Except as provided in § 44-6A(10), upon receipt of a signed, notarized, written complaint, to investigate, conduct research, conduct closed hearings and deliberations, issue findings, decisions, and recommendations, and impose a fine when warranted in accordance with § 44-6. As part of an investigation of such a complaint, the Ethics Officer may receive information from the public pertaining to its investigations and to require additional information and documents from persons who may have violated this chapter as the Ethics Officer deems appropriate.
B. 
Whenever a written complaint of an alleged violation of this chapter relating to the City Manager or an officer of the City, the Executive Ethics Officer shall perform the duties of the Ethics Officer, except as otherwise provided. The Mayor shall serve as the Executive Ethics Officer; provided, however, that if the Mayor is the subject of such complaint, the most senior Council member (as determined by consecutive years of service) shall serve as Executive Ethics Officer.
(1) 
In the event that more than one Council member has the most consecutive years of service, then the Council member who received the greater number of votes in the last election shall serve as Executive Ethics Officer.
(2) 
Except when the City Manager is the subject of a complaint, the City Manager shall assist the Executive Ethics Officer under this § 44-4B in performing his or her duties. If the City Manager is the subject of a complaint, the Executive Ethics Officer may designate any employee(s) of the City to assist in performing the Executive Ethics Officer's duties.
A. 
Establishment. There is hereby established in the City an Ethics Commission, consisting of the City Council. Commission members shall be non-salaried, except that they may be reimbursed for their reasonable expenses incurred in the performance of their duties. The Ethics Commission may contract for services that cannot be satisfactorily performed by the City staff.
B. 
Powers and duties.
(1) 
The Ethics Commission shall have the following powers and duties:
(a) 
To promulgate such procedures and rules governing the performance of its duties and the exercise of its powers as deemed necessary or appropriate.
(b) 
Pursuant to § 44-6A(10), to investigate, conduct research, conduct closed hearings and deliberations, issue findings, decisions, and recommendations, and impose a fine when warranted with respect to a signed, notarized, written complaint. As part of an investigation of such a complaint, the Ethics Commission may receive information from the public pertaining to its investigations and to require additional information and documents from persons who may have violated this chapter as the Ethics Commission deems appropriate.
(c) 
To consider appeals of a determination of the Ethics Officer in accordance with § 44-6A(8), (9).
(d) 
When necessary, to subpoena witnesses and compel the production of books and papers pertinent to an investigation authorized by this chapter.
(e) 
When necessary, to request that the State's Attorney provide legal advice without charge to the Commission.
(f) 
To cause to be prepared and published such manuals and guides as the Commission deems appropriate explaining the duties of individuals covered by this chapter.
(g) 
To prepare or cause to be prepared such public information materials as the Commission deems appropriate to facilitate compliance, implementation, and enforcement of this chapter.
(h) 
To periodically prepare or cause to be prepared a statistical report consisting of: i) the number of complaints filed; ii) the number of complaints deemed to sufficiently allege a violation of this chapter; iii) the recommendation, fine, or decision issued for each complaint; iv) the number of complaints resolved; and v) the status of pending complaints.
(i) 
The Commission may delegate to a subcommittee of the Commission its authority to conduct investigations pursuant to this § 44-5B(2) or appeals pursuant to § 44-5B(3), and require a report of the subcommittee's findings to the full Commission for final action.
(j) 
In the event that a member of the Commission is the subject of a claimed violation of this chapter, such Commissioner shall immediately recuse himself or herself from the investigation of such claimed violation, and shall take no part in the final action of the Commission regarding such claimed violation.
(2) 
The powers and duties of the Commission are limited to matters clearly within the purview of this chapter.
A. 
Complaint procedure.
(1) 
Complaints alleging the violation of this chapter shall be filed as follows: If the complaint alleges a violation by an employee, appointed officer, or elected officer of the City, then the complaint shall be filed with the Ethics Officer. In the event that the subject of the complaint is the City Manager, such complaint shall be filed with the Executive Ethics Officer. Any complaint received by, or incident reported to, an employee alleging the violation of this chapter, shall be forwarded to the Ethics Officer or Executive Ethics Officer as provided above.
(2) 
Upon receipt of any such complaint, the Ethics Officer (or the Executive Ethics Officer, as the case may be) shall immediately determine whether the complaint relates to an employee [in which case the complaint shall then be reviewed as provided in § 44-4A(5)] or relates to the City Manager or an officer [in which case the complaint shall then be reviewed as provided in § 44-4B]. The person who is the subject of a complaint shall hereinafter be referred to as the "respondent."
(3) 
Within 10 business days after the filing of an ethics complaint, the Ethics Officer (or the Executive Ethics Officer, as the case may be) 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 Ethics Officer (or the Executive Ethics Officer, as the case may be) shall send by certified mail, return receipt requested, a confirmation of the receipt of the complaint to the complainant within 10 business days after the submittal to the City. The notices to the respondent and the complainant shall also advise them of the date, time, and place of a meeting, which shall be held within 25 business days after receiving the complaint, for determining the sufficiency of the complaint and probable cause to proceed.
(4) 
Prior to such meeting, the Ethics Officer (or the Executive Ethics Officer, as the case may be) shall review the sufficiency of the complaint and, if the complaint is deemed to sufficiently allege a violation of this chapter, to determine if there is probable cause, based on evidence presented by the complainant, to proceed. At the meeting, the Ethics Officer (or the Executive Ethics Officer, as the case may be) shall issue a "notice of sufficiency ruling" to the complainant and the respondent of his or her ruling on the sufficiency of the complaint, and, if necessary, on probable cause. If the complaint is deemed to sufficiently allege a violation of this chapter and there is a determination of probable cause, then the notice of sufficiency ruling shall include a hearing date scheduled within four weeks after the issuance of the notice of sufficiency ruling. If the complaint is deemed not to sufficiently allege a violation or if there is no determination of probable cause, then the notice of sufficiency ruling shall be accompanied by a notice to the parties of the decision to dismiss the complaint, which shall be sent by certified mail, return receipt requested.
(5) 
On the scheduled date, the Ethics Officer (or the Executive Ethics Officer, as the case may be) shall conduct a closed meeting on the complaint and allow both parties the opportunity to present testimony and evidence.
(6) 
Within two weeks after the conclusion of the hearing on the complaint, the Ethics Officer (or the Executive Ethics Officer, as the case may be) shall: i) dismiss the complaint; or ii) issue a preliminary recommendation to the respondent and to the complainant, which preliminary recommendation may include the proposed imposition of a fine.
(7) 
Within seven business days after the issuance of the preliminary recommendation, the respondent may file a written request to appeal the preliminary recommendation with the Ethics Officer (or the Executive Ethics Officer, as the case may be). If no request for an appeal is so filed, the preliminary recommendation shall become a final ruling and recommendation, which final ruling may include the imposition of a fine in accordance with § 44-6C. The Ethics Officer (or the Executive Ethics Officer, as the case may be) shall provide a copy of any final ruling and recommendation to the respondent's ultimate jurisdictional authority. Any final ruling and recommendation (including particular findings and any recommended fine) shall be a public record.
(8) 
If the respondent files a timely written request for appeal, the Ethics Officer (or the Executive Ethics Officer, as the case may be) shall refer the appeal to the Ethics Commission, along with the entire record (including evidentiary materials) relating to the complaint. The filing of the appeal shall stay the enforcement of the preliminary recommendation or fine so recommended.
(9) 
Within two weeks after the filing of an appeal, the Ethics Commission shall conduct a public hearing on the complaint after at least 48 hours' public notice of the hearing. At the hearing, the Ethics Commission shall and allow both parties the opportunity to present testimony and evidence. Within five business days after such public hearing, the Ethics Commission shall publicly issue a final ruling on appeal, which may dismiss the complaint, set forth a final recommendation regarding the respondent, impose a fine, or some combination of the foregoing. The Ethics Commission shall also deliver the final ruling on appeal to the complainant, respondent, and to the respondent's ultimate jurisdictional authority.
(10) 
If a complaint is filed during the 60 days preceding the date of any election at which the respondent is a candidate, the Ethics Commission shall undertake the responsibilities of § 44-6A(3) to (6). The Ethics Commission shall render its decision as required under Subsection A(6) within seven days after the complaint is filed, and during the seven days preceding that election, the Commission shall tender such decision before the date of that election, if possible. In such circumstances, § 44-6A(7) to (9) shall not apply.
(11) 
The Ethics Officer (or the Executive Ethics Officer, as the case may be) or Ethics Commission may levy a fine of up to $750 against any person who knowingly files a frivolous complaint alleging a violation of this chapter.
(12) 
A complaint alleging the violation of this chapter must be filed within one year after the alleged violation.
B. 
Enforcement.
(1) 
Any final ruling and recommendation or final ruling on appeal may recommend to a respondent's ultimate jurisdictional authority disciplinary action against the respondent relating to any determination of violation of this chapter. The recommendation may prescribe the following courses of action:
(a) 
A reprimand or censure.
(b) 
An order to cease and desist the offensive action.
(c) 
An return or refund of money or other items, or an amount of restitution for services received in violation of this chapter.
(d) 
Dismissal, removal from office, or expulsion.
(e) 
Donation to a charity of an amount equal to the gift.
(2) 
Any final ruling and recommendation or final ruling on appeal may impose a fine of up to $750 per violation to be deposited into the general fund of the City.
(3) 
The City, through the ultimate jurisdictional authority of an officer or employee, may take disciplinary action against any such officer or employee: i) who has been found is in violation of this chapter; ii) who is the subject of a final ruling and recommendation or final ruling on appeal; or iii) described by both items i) and ii). Such disciplinary action may be as recommended in a final ruling and recommendation or final ruling on appeal, or as it deems appropriate, to the extent it has constitutional and statutory authority to take that action. The City shall make its action, or determination to take no action, available to the public.
C. 
Penalty. An individual who knowingly violates this chapter is guilty of a business offense and subject to a fine of up to $750.
D. 
Review. The Ethics Commission's final ruling on appeal is not a final administrative decision, but any imposition of a fine as part of a final ruling on appeal is a final administrative decision subject to judicial review under the Administrative Review Law of the Code of Civil Procedure.
E. 
Exemption. The proceedings conducted and documents generated under this chapter are exempt from the provisions of the Open Meetings Act and the Freedom of Information Act, except as expressly provided.
It is the intent of the City that the provisions of this chapter shall be substantially in accordance with the requirements of Section 5-15 and Article 10 of the State Officials and Employees Ethics Act.[1] To the extent that Section 5-15 or Article 10 of the State Officials and Employees Ethics Act may be more restrictive than the requirements of this chapter, the provisions of Section 5-15 and Article 10 of the State Officials and Employees Ethics Act shall apply and control. Except as expressly provided in this chapter, this chapter does not repeal other relevant personnel rules or regulations adopted by the City ("existing regulations"). To the extent that the existing regulations are less restrictive than Section 5-15 or Article 10 of the State Officials and Employees Ethics Act and this chapter, the provisions of Section 5-15 and Article 10 of the State Officials and Employees Ethics Act and this chapter shall apply and control.
[1]
Editor's Note: See 5 ILCS 430/5-15 and 5 ILCS 430/10-10 et seq., respectively.