New Policy Date: August 1998    Revision Date: May 2004

POLICY:

All staff members of the Surveys are, in various capacities, representatives of the State of Illinois, and of the Department of Natural Resources, and of the Surveys, and of their respective Survey. All staff members of the Surveys shall conduct themselves in an honest and forthright manner in all their activities and shall avoid actions that have even the appearance of impropriety, or reflect negatively on the Surveys, Department or University.

The staff members of the Surveys shall conduct themselves in an ethical manner. Guidance for ethical conduct is provided by statute in the “Illinois Governmental Ethics Act” (5 ILCS 420/1-101), the State Officials and Employees Ethics Act of 2003, and Executive Orders by the Governor. Any code of conduct for State employees that has been or may be issued by executive agencies of the State government, not covered in this Manual, is applicable to all staff members of the Surveys.

Likewise, any code of ethics for State service now or hereafter enacted by the General Assembly of the State of Illinois is hereby incorporated into and made a part of the policies and procedures of this Manual.

Any breach of ethics may be subject to disciplinary action.

The specific ethics requirements applicable to Survey staff and Board members are listed below:

Political Activity

Staff members are free to exercise the full range of political expression and freedom allowed under the laws of the United States and of the State of Illinois. However, Survey staff members cannot engage in any political activities during compensated time (other than annual, personal or compensatory time off), or using work facilities (such as state telephones or cell phones, photocopiers or computers). Lunch breaks are not considered compensatory time. In addition, Survey staff members cannot engage in political activities while on State property. Political Activity includes, but is not limited to:

• Preparing for, organizing or participating in any political meeting, political rally, political demonstration, or other political event.
• Soliciting contributions, including but not limited to purchasing, selling, distributing, or receiving payment for tickets for any political fund-raiser, political meeting, or other political event.
• Soliciting, planning the solicitation of, or preparing any document or report regarding anything of value intended as a campaign contribution.
• Planning, conducting, or participating in a public opinion poll in connection with a campaign for elective office, on behalf of a political organization for political purposes, or for or against a referendum.
• 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, on behalf of a political organization, or for or against a referendum.
• Assisting at the polls on Election Day on behalf of any political organization, political candidate, or referendum question.
• Soliciting votes on behalf of a candidate, political organization, for or against a referendum, or helping in an effort to get voters to the polls.
• Initiating, preparing, circulating, reviewing or filing a petition.
• Making a contribution on behalf of any candidate for elective office.
• Preparing or reviewing responses to candidates’ questionnaires.
• Distributing or preparing campaign literature, campaign signs, or other campaign material on behalf of any candidate for elective office.
• Campaigning for an elective office or a referendum.
• Managing or working on a campaign for elective office or a referendum.
• Doing work relating to serving as a delegate, alternate, or proxy to a political party convention.
• Participating in a vote recount.

Survey staff members cannot promise anything of value related to State government in consideration for a contribution to a political committee, political party or a candidate for political office. Political campaign contributions cannot be solicited, accepted, offered or made on State property.

Gifts

Pursuant to the State Officials and Employees Ethics Act, staff and Board members cannot solicit or accept a gift from a prohibited source. A prohibited source is defined as one of five things:

1. A person or entity seeking official action from the staff member, appointee or State agency;
2. A person or entity that does business or seeks to do business with the State, staff member or appointee;
3. A person or entity who conducts activities regulated by the staff member, appointee or State agency;
4. A person or entity who has interests that may be substantially affected by the performance or non-performance of the staff member or appointee; or
5. A person or entity who is a regulated lobbyist.

The spouse or immediate family members living with the staff member, officer or appointee also cannot accept gifts from prohibited sources.

The State Officials and Employees Ethics Act contains a limited number of exceptions to the ban on gifts. Only the following twelve types of gifts are exceptions to the ban and can be accepted by State employees and appointees from prohibited sources:

1. Opportunities, benefits and services available to the general public on the same terms;
2. Anything for which the staff member paid market value;
3. A lawful contribution under the Election Code, or activities associated with a fund-raising event in support of a political organization or candidate;
4. Educational materials and missions;
5. Travel expenses for a meeting to discuss state business;
6. A gift from a relative;
7. Anything provided on the basis of personal friendship. However, to determine whether the gift was given out of personal friendship, one must look at the history of the relationship, whether you have knowledge that the gift was paid for as a business expense to the giver, and whether you have knowledge that the giver gave similar gifts to other staff members or appointees. If there is not a history to the relationship, and/or you know that the giver gave the gift as a business expense and/or gave the gift to other staff members or appointees, this exception will not apply.
8. Food or drink that does not exceed $75 per calendar day, provided the food or drink is either consumed on the premises for which it was purchased or prepared or catered;
9. Food, refreshments, lodging, transportation and other benefits resulting from outside business or employment activities (or outside activities not connected to the official duties of the staff member or appointee), if the benefits have not been offered or enhanced because of the official position of the staff member or appointee, and are customarily provided to others in similar circumstances;
10. Intra-governmental or inter-governmental gifts (e.g., gifts between agency staff members or between government employees);
11. Requests, inheritances and other transfers at death;
12. Any item or items from any one prohibited source during any calendar year that has a cumulative total of less than $100.

Survey staff and Board members should contact the Department’s Ethics Officer if they have any questions regarding whether a giver is a “prohibited source” or whether any one of the twelve exceptions apply.

If Survey staff or Board members receive a gift from prohibited sources, the staff or Board member can rectify the situation and not be in violation of the ban by:

1. Returning the gift to the giver;
2. Giving the gift to a 501(c)(3) not-for-profit organization; or
3. Giving an amount of equal value to a 501(c)(3) not-for-profit organization.

In certain circumstances, giving an amount of equal value to a not-for-profit organization may not eliminate the perception of improper influence on a staff or Board member by a prohibited source. Therefore, Survey staff and Board members must receive the approval of the Department’s Ethics Officer to rely on this method of disposition of gifts.

If any staff member believes a gift has been offered with the intent to improperly influence the performance of any act relating to his or her employment, the staff member should immediately notify his or her supervisor and the supervisor should immediately contact the Illinois State Police.

Ethics Training

Every staff member and Board member must complete the Ethics Training Program administered by the Office of the Executive Inspector General on an annual basis. In addition, all new staff members and Board appointees must complete the Ethics Training Program within six months of their first day of employment or appointment.

The Surveys’ Human Resources Coordinator (HRC) will coordinate the scheduling and implementation of the Ethics Training Program with the Department’s Ethics Officer. The Surveys’ HRC will notify the Surveys of the annual training period and procedures for all staff members and appointees and will coordinate training for new staff members and Board appointees.

Revolving Door Prohibition

For a period of one year after leaving Survey Board service or employment, Board and staff members may not knowingly accept employment or receive compensation or fees or services from a person, entity, its parents or subsidiary if the Board or staff member participated personally and substantially in the decision to award State contracts with a cumulative value of over $25,000 to the person, entity, its parent or subsidiary. If a Board or staff member participated in the decision to award State contracts with a cumulative value of over $25,000 but believes that he or she did not participate “personally and substantially” in the decision, the person must obtain an opinion from the Department’s Ethics Officer before accepting employment or receiving compensation or fees. The Department’s Ethics Officer may require a written description of the person’s participation in the contracting decision before rendering an opinion.

A waiver of the revolving door prohibition may be sought if it is shown that the prospective employment relationship did not affect the contract decisions in question. The waiver will be granted by the Executive Ethics Commission established pursuant to the State Officials and Employees Ethics Act or, if the Executive Ethics Commission has not been appointed, the Director of the Department. The Department’s Ethics Officer must approve all waiver requests and will coordinate the submission of the request with the Executive Ethics Commission or Director, as appropriate.

State Officials and Employees Ethics Act Requirements Specific to Board Members

Registered Lobbyists

A person required to register as a lobbyist may not serve on the Board unless the lobbyist is serving in an elective public office. Spouses and immediate family members who are living with a person required to register as a lobbyist also cannot be appointed to the Board unless the lobbyist is serving in an elective public office. If the exception for a lobbyist serving in an elective public office applies, the lobbyist must recuse him or herself from any decision that may affect one of his or her clients.

Holders of State Contracts

A person, his or her spouse, and immediate family members living with that person are ineligible to serve on the Board if: (i) that person is entitled to receive more than 7 percent of the total distributable income under a State contract; or (ii) that person together with his or her spouse and immediate family members living with that person are entitled to receive more than 15 percent in the aggregate of the total distributable income under a State contract. This ban does not apply if the contract in question is an employment contract, or the person, spouse or immediate family member is serving in an elective public office. However, if one of the preceding exceptions apply, the Board member must recuse him or herself from any decision that may affect the contract in question.

Disclosure of State Contracts

All Board members must disclose all contracts the individual has with the State. The Board member must also disclose any contracts his or her spouse or immediate family members have with the State. Also, any entity in which the Board member or his or her spouse or immediate family members have a majority financial interest must disclose any contracts with the State.

Conflicts of Interest

A Board member cannot have or acquire a contract or a direct pecuniary interest in a contract with the State that is related to the Board. A “pecuniary interest” is defined as more than a 7 percent interest in the total distributable income of a partnership, association, corporation or other business entity that wants to or has contracted with the State. This ban also applies to spouses or immediate family members living with the Board member. This ban extends for one year after the conclusion of the Board member’s term.

Time Sheets

Board members must submit time sheets documenting to the nearest quarter hour the time the Board member spends on official State business, including travel time. Time sheets may be submitted at meetings of the Board.

Reporting Violations and Misconduct

All allegations of misconduct by Board members, Survey staff members and vendors of the Surveys should be reported in accordance with Administrative Order Number 6 (2003). Generally, Administrative Order Number 6 requires every Survey staff member to report promptly to the Office of Executive Inspector General any information concerning waste, corruption, fraud, conflicts of interest or abuse by another staff member or vendor. Any staff member who in good faith reports to the Inspector General improper governmental action shall not be subject to dismissal, discipline or other adverse personnel action. In emergency situations requiring an immediate police response, the staff member should contact the Illinois State Police, county or municipal police agency that can provide the fastest response.

The Toll Free Hotline for the Office of Executive Inspector General is 1-866-814-1113. Alternatively, Survey staff members may report allegations of misconduct to the Department’s Ethics Officer, who must then report the allegations to the Office of Executive Inspector General.

If a staff member is paid in whole or in part by federal funds, and the staff member performs duties in connection with an activity that is financed by these funds, they will be subject to the Hatch Act and may not hold a partisan elective office.

If the staff member’s political involvement entails compensation for services performed, the staff member shall comply with the procedures in Consulting/Private Enterprise/Secondary Employment, Chapter 7, Subsection 7B-2 of this Manual.

PROCEDURE:

Staff members may be required to complete one or more of the following statements:

• Statement of Economic Interests (filed with the Secretary of State)
  
• University of Illinois Report of Non-University Activities
  
• Consulting/Private Enterprise/Secondary Employment form in BNRC Policy 7B-2.

If a staff member is required to complete any of the first two of these forms, the forms will be sent directly to the staff member by the Human Resources Office, and/or the Secretary of State’s Office, and/or other State or university departments.

It is the responsibility of the staff member to initiate the use of the Consulting/Private Enterprise/Secondary Employment form whenever the plans of that staff member trigger a need for use of that form. Also, a Chief may request the completion of that form at any time, by any or all staff members in his or her Survey.

It is the responsibility of the staff member to ensure that the forms are completed and submitted to the respective entity in the time-frame required.