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Resolution 2021-30 Resolution No. 2021-30 A RESOLUTION OF THE UNITED CITY OF YORKVILLE,KENDALL COUNTY, ILLINOIS,APPROVING AN AMENDMENT TO THE UNITED CITY OF YORKVILLE EMPLOYEE MANUAL WHEREAS, the United City of Yorkville, Kendall County, Illinois (the "City") is a duly organized and validly existing non home-rule municipality created in accordance with the Constitution of the State of Illinois of 1970 and the laws of this State; and, WHEREAS, the City desires to amend the portion of its Employee Manual which addresses the Standards of Conduct in order to maintain a consistent policy; and, WHEREAS,it has been determined to be in the best interests of the City to amend Section 2.1 of the Employee Manual, in the form attached hereto in Exhibit"A". NOW,THEREFORE,BE IT RESOLVED,by the Mayor and City Council of the United City of Yorkville, Kendall County, Illinois that Section 2.1 of the United City of Yorkville Employee Manual is hereby amended by deleted in its entirety and replacing said Section set forth on Exhibit"A" attached hereto and incorporated herein are hereby adopted. Passed by the City Council of the United City of Yorkville, Kendall County, Illinois this 24th day of August, A.D. 2021. e'UTY CLERK KEN KOCH AYE DAN TRANSIER AYE JACKIE MILSCHEWSKI AYE ARDEN JOE PLOCHER AYE CHRIS FUNKHOUSER AYE MATT MAREK AYE SEAVER TARULIS AYE JASON PETERSON AYE Resolution No.2021-30 Page 1 APPROVED by me, as Mayor of the United City of Yorkville, Kendall County, Illinois this I qday of , A.D. 2021. 1 MAYOR Attest: Db TY CLERK Resolution No.2021-30 Page 2 SECTION 2 PERSONAL CONDUCT Section 2.1 Standards of Conduct Employees must exercise the utmost courtesy and discretion regarding all matters of City business. Employees shall refrain from any action and avoid any public pronouncement that might reflect adversely upon the City. Employees are expected to act as a representative of the United City of Yorkville at all times. This means treating all citizens, customers, vendors, suppliers, and other service providers courteously, professionally, and respectfully on the phone, on the road, on the computer, in person or any other form of communication. Employees are also expected to treat each other in the same manner. Any employee who is found to be in violation of City policy may be subject to disciplinary action up to and including termination. Depending upon the seriousness of the action, other appropriate civil or criminal sanctions may also be pursued. By signing off on receipt of this Personnel Policy Manual employees agree to adhere to the standards of conduct set forth in Section 2.1, as well as its subsections. Section 2.1.1 Ethics Ordinance In November of 2003, the Illinois General Assembly mandated that each unit of local government adopt an ordinance "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". The City passed Ordinance 2004-26 in May of 2004 to comply with this mandate. The Ethics Code provides very clear descriptions of the prohibited activities and consequences of any violations. Of special note is that a violation to the Ethics Code is not treated as a violation of conduct,but will likely lead to prosecution. The following is a summary of the Ethics ordinance: A.No officer or employee shall intentionally perform any prohibited political activity during any "compensated time", as defined herein. No officer or employee shall intentionally use any property or resources of the United City of Yorkville 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: 1) as part of that officer's or employee's duties, 2) as a condition of employment, or 3)during any compensated time off(such as holidays, vacation or personal time off). C.No officer or employee shall be required at any time to participate in any prohibited political activity in consideration for that officer or employee being awarded additional compensation or any benefit,whether in the form of a salary adjustment, bonus, compensatory time off, continued employment or otherwise, nor shall any officer or employee be awarded additional compensation or any benefit in consideration for his or her participation in any prohibited political activity. D.Nothing in this section prohibits activities that are permissible for an officer or employee to engage in as part of his or her official duties, or activities that are undertaken by an officer or employee on a voluntary basis which are not prohibited by this chapter. 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. Section 2.1.2 Gift Ban Ordinance 2004-26 and Section 1-12-3 in the City Code also address a gift ban. Except as described in general terms below,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. Exceptions are generally: A. Opportunities,benefits, and services that are available on the same conditions as for the general public. B. Anything for which the officer or employee,or his or her spouse or immediate family member,pays the fair market value. C. Any: 1) contribution that is lawfully made under the election code or 2) activities associated with a fundraising event in support of a political organization or candidate. D. Educational materials and missions. E. Travel expenses for a meeting to discuss business. F. 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-inlaw, stepfather, stepmother, stepson, stepdaughter, stepbrother, stepsister, half brother,half sister, and including the father, mother, grandfather, or grandmother of the individual's fiancé or fiancée. G. 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: 1. 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; 2. 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 3. 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. H. 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: 1) consumed on the premises from which they were purchased or prepared or 2) catered. For the purposes of this section, "catered" means food or refreshments that are purchased ready to consume which are delivered by any means. I. 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. J. Intragovernmental and intergovernmental gifts. For the purpose of this act, "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. K. Bequests, inheritances, and other transfers at death. L. 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). Each of the exceptions listed in this section is mutually exclusive and independent of every other. Section 2.1.3 Fraud Prevention The United City of Yorkville has established a fraud prevention policy to aid in the detection and prevention of fraud against the City. It is the intent of the City to promote consistent organizational behavior by providing guidelines and assigning responsibility for the development of controls and conduct of investigations. This policy applies to any irregularity, or suspected irregularity, involving employees and elected officials as well as contractors, consultants and/or any other parties with a business relationship with the United City of Yorkville. Any investigative activity required will be conducted without regard to the suspected wrongdoer's length of service,position/title, or relationship to the City. The Human Resources Manager will provide employees with information regarding fraud detection and prevention on an annual basis; however management is ultimately responsible for the detection and prevention of fraud, misappropriations,and other irregularities. Fraud is defined as the intentional, false representation or concealment of a material fact for the purpose of inducing another to act upon it to his or her injury. Each member of the management team will be familiar with the types of improprieties that might occur within his or her area of responsibility, and be alert for any indication of irregularity. Any irregularity that is detected or suspected must be reported immediately to the City Administrator, who will coordinate an investigation. The terms defalcation, misappropriation, and other fiscal irregularities refer to, but are not limited to: ❑ Any dishonest or fraudulent act ❑ Misappropriation of funds, securities, supplies, or other assets ❑ Impropriety in the handling or reporting of money or financial transactions Disclosing to other persons securities activities engaged in or contemplated by the City ❑ Accepting or seeking anything of material value from contractors, vendors, or persons providing services/materials to the City, except in circumstances described in Section 2.1.2 (Gift Ban) of the manual ❑ Destruction, removal, or inappropriate use of records, furniture, fixtures, equipment, and/or any other City owned property ❑ Any similar or related irregularity Irregularities concerning an employee's moral, ethical, or behavioral conduct that is not addressed in Section 2.1.1 (Ethics Ordinance) of this manual should be resolved by departmental management and Human Resources. If there is a question as to whether an action constitutes fraud, contact the City Administrator for guidance. 2.1.3.1 Reporting and Investigation Procedures The City Administrator has the primary responsibility for the investigation of all suspected fraudulent acts as defined in this policy. If the investigation substantiates that fraudulent activities have occurred, the City Administrator will issue reports to appropriate designated personnel and, if appropriate,to the City Council. Decisions to prosecute or refer the examination results to the appropriate law enforcement and/or regulatory agencies for independent investigation will be made in conjunction with legal counsel, as will final decisions on disposition of the case. The City Administrator has the authority to examine, copy,and/or remove all or any portion of the contents of files, desks, cabinets, and other storage facilities on the premises without prior knowledge or consent of any individual who might use or have custody of any such items or facilities when it is within the scope of his investigation. Great care must be taken in the investigation of suspected improprieties or irregularities so as to avoid mistaken accusations or alerting suspected individuals that an investigation is underway. The City Administrator treats all information received confidentially. Any employee who suspects dishonest or fraudulent activities will notify the City Administrator immediately, and should not attempt to personally conduct investigations or interviews/interrogations related to any suspected fraudulent act. An employee who discovers or suspects fraudulent activity will contact the City Administrator immediately. The employee or other complainant may remain anonymous. All inquiries concerning the activity under investigation from the suspected individual, his or her attorney or representative, or any other inquirer should be directed to the City Administrator or City Attorney. No information concerning the status of an investigation will be given out. The proper response to any inquiries is: "I am not at liberty to discuss this matter."Under no circumstances should any reference be made to "the allegation," "the crime,""the fraud,""the forgery," "the misappropriation," or any other specific reference. The reporting individual should be informed of the following: ❑ Do not contact the suspected individual in an effort to determine facts or demand restitution. ❑ Do not discuss the case, facts, suspicions, or allegations with anyone unless specifically asked to do so by the City Administrator or the City's legal counsel. 2.1.3.2 Termination If an investigation results in a recommendation to terminate an individual, the recommendation will be reviewed for approval by the Mayor and by legal counsel before any such action is taken. 2.1.3.3 Assurances against Retaliation: Pursuant to this Ethics Ordinance and consistent with the Illinois Equal Pay Act,the City strictly prohibits and will not take or tolerate any retaliatory action against any employee, contractor or other individual who does business with the City from engaging in certain"whistleblower" activity. Specifically, we will not tolerate retaliation when such individual(s): A. disclose or threaten to disclose to a supervisor or to a public body an activity, inaction, policy, or practice implemented by the City (or an agent of the City)that the individual reasonably believes is in violation of a law, rule, or regulation; B. Provides information to or testifies before any public body conducting an investigation,hearing, or inquiry into the violation of a law, rule or regulation; or C. Assists in a proceeding to enforce any provisions of any portion of our Ethics Policy. If you believe you have been subject to any retaliation of any kind in violation of this Policy or any other applicable, law or ordinance, you are urged to report your concern to the Assistant City Administrator. 2.1.3.4 Whistleblower Protection Policy Whistleblower Protection Policy I. Purpose The City provides whistleblower protections in two important areas: confidentiality and against retaliation. The confidentiality of a whistleblower will be maintained to the extent allowable by law, however, an identity may have to be disclosed to conduct a thorough investigation,to comply with the law and to provide accused individuals their legal rights of defense. A whistleblower may also waive confidentiality in writing. The Municipality will not retaliate against a whistleblower. This includes,but is not limited to,protection from retaliation in the form of an adverse employment action such as termination, compensation decreases, or poor work assignments and threats of physical harm. Any whistleblowers who believe they are being retaliated against must submit a written report to the Auditing Official within 60 days of gaining knowledge of the retaliatory action. The right of a whistleblower for protection against retaliation does not include immunity for any personal wrongdoing that is alleged and investigated. II. Definitions a) Whistleblower means an employee, as defined in Section II of this policy, of the Municipality who: 1. Reports an improper governmental action as defined under 50 ILCS 105/4.1 (hereinafter Section 4.1); 2. Cooperates with an investigation by an Auditing Official related to a report of improper governmental action; or, 3. Testifies in a proceeding or prosecution arising out of an improper governmental action. b) Auditing Official means any elected, appointed or employed individual, by whatever name, in the Municipality whose duties may include: receiving,registering and investigating complaints and information concerning misconduct, inefficiency and waste within the Municipality; investigating the performance of officers, employees, functions and programs; and, promoting economy, efficiency, effectiveness and integrity in the administration of the programs and operations of the City. 1. The Auditing Official shall be the Assistant City Administrator until replaced by the City. c) Employee means anyone employed by the City, whether in a permanent or temporary position, including full-time,part-time and intermittent workers. Employee also includes members of appointed boards or commissions, whether paid or unpaid. Employee also includes persons who have been terminated because of any report or complaint submitted under Section 4.1. d) Improper governmental action means any action by an employee of the Municipality; an appointed member of a board, commission or committee; or, an elected official of the Municipality that is undertaken in violation of a federal or state law or local ordinance; is an abuse of authority; violates the public's trust or expectation of their conduct; is of substantial and specific danger to the public's health or safety; or, is a gross waste of public funds. The action need not be within the scope of the employee's, elected official's, board member's, commission member's or committee member's official duties to be subject to a claim of"improper governmental action." 1. Improper governmental action does not include the City's personnel actions, including,but not limited to employee grievances, complaints, appointments,promotions, transfers, assignments, reassignments, reinstatements,restorations,reemployment, performance evaluations, reductions in pay, dismissals, suspensions, demotions, reprimands or violations of collective bargaining agreements, except to the extent that the action amounts to retaliation. e) Retaliate, retaliation or retaliatory action means any adverse change in an employee's employment status or the terms and conditions of employment that results from an employee's protected activity under Section 4.1. Retaliatory action includes, but is not limited to, denial of adequate staff to perform duties; frequent staff changes; frequent and undesirable office changes; refusal to assign meaningful work; unsubstantiated letters of reprimand or unsatisfactory performance evaluations; demotion; reduction in pay; denial of promotion; transfer or reassignment; suspension or dismissal; or, other disciplinary action made because of an employee's protected activity under Section 4.1. III. Duties of an Auditing Official Each Auditing Official shall establish written processes and procedures consistent with the terms of this policy and best practices for investigations for managing complaints filed under Section 4.1. Each Auditing Official shall investigate and dispose of reports of improper governmental action in accordance with these processes and procedures, and all other provisions of Section 4.1. The Auditing Official must provide each employee a written summary or a complete copy of Section 4.1 upon commencement of employment and at least once each year of employment. At the same time,the employee shall also receive a copy of the written processes and procedures for reporting improper governmental actions from the applicable Auditing Official. Auditing Officials may reinstate,reimburse for lost wages or expenses incurred, promote or provide some other form of restitution. In instances where an Auditing Official determines that restitution will not suffice, the Auditing Official may make their investigation findings available for the purposes of aiding in that employee's, or the employee's attorney's, effort to make the employee whole. Auditing Officials are responsible for reading the full context of Section 4.1 and complying with all requirements. If no Auditing Official is designated, the State's Attorney of Kendall County will be the default Auditing Official. IV. Duties of an Employee All reports of illegal and dishonest activities will be promptly submitted to the Auditing Official who is responsible for investigating and coordinating corrective action. If an employee has knowledge of, or a concern of, improper governmental action,the employee shall make a written report of the activity to the Auditing Official. The employee must exercise sound judgment to avoid baseless allegations. An employee who intentionally files a false report of wrongdoing will be subject to discipline up to and including termination. The whistleblower is not responsible for investigating the activity or for determining fault or corrective measures; a designated Auditing Official is charged with these responsibilities. V. Defend Trade Secrets Act(18 U.S.C. § 1836) Compliance: Section 7(b): "Immunity from Liability for Confidential Disclosure of a Trade Secret to the Government or in a Court Filing: (1) Immunity—An individual shall not be held criminally or civilly liable under any federal or state trade secret law for the disclosure of a trade secret that—(A) is made—(i) in confidence to a federal, state or local government official, either directly or indirectly, or to an attorney; and, (ii) solely for the purpose of reporting or investigating a suspected violation of law; or, (B) is made in a complaint or other document filed in a lawsuit or other proceeding, if such filing is made under seal. (2)Use of Trade Secret Information in Anti-Retaliation Lawsuit—An individual who files a lawsuit for retaliation by an employer for reporting a suspected violation of law may disclose the trade secret to the attorney of the individual and use the trade secret information in the court proceeding, if the individual—(A) files any document containing the trade secret under seal; and, (B) does not disclose the trade secret, except pursuant to court order." VI. Employee Acknowledgment Employees are required to sign a written acknowledgement that they have received, read and understand this Policy, and to submit that acknowledgement to the Auditing Official or other designated official of the Municipality. The sign-off in the Appendix that follows the Manual will satisfy this requirement upon receipt. Employee Acknowledgement of Whistleblower Protection Policy I confirm that I have received, read and understand the "Whistleblower Protection Policy"for employees of the City of Yorkville I understand that as an employee, it is my responsibility to abide by this Policy. If I have questions about the Policy, I understand it is my responsibility to seek clarification from the proper supervisory department, the Auditing Official or the State's Attorney of Kendall County. Print Name: Employee Signature: Date: Page 1 of 1 August 2,2021