of Ethics Online Collection: None
Code of Ethics
I. PREAMABLE
The mission of the Chicago Transit Authority (CTA) is "to provide high quality transit service that meets the needs of metropolitan Chicago and positively influences the region's development." The public expects and deserves the best efforts of all CTA employees in providing quality service. To this end, CTA employees are expected to:
1) demonstrate the highest standards of personal integrity, truthfulness, honesty and fortitude in all their public activities in order to inspire public confidence and trust in CTA
2) serve the public with respect, concern, courtesy, and responsiveness, recognizing that service to the public is beyond service to oneself;
3) strive for personal professional excellence and encourage the professional development of their associates,*
4) approach their organization and operational duties with a positive attitude and constructively support open communication, creativity, dedication and compassion;
5) serve in such a way that they do not realize inappropriate personal gain from the performance of their official duties;
6) avoid any interest or activity which is in conflict with the conduct of their official duties;
7) respect and protect the privileged information to which they have access in the course of official duties;
8) exercise whatever discretionary authority they have under law to promote the public interest;
9) accept as personal duty the responsibility to keep up to date on job-related issues and to conduct the CTA's business with professional competence, fairness, in-partiality, efficiency and effectiveness;
10) support, implement and promote merit employment and programs of affirmative action to assure equal opportunity in the recruitment, selection and advancement of qualified persons from all elements of society;
11) eliminate all forms of illegal discrimination, fraud and mismanagement of public funds, and support colleagues if they are in difficulty because of responsible efforts to correct such discrimination, fraud, mismanagement or abuse.
ETHICS ORDINANCE
WHEREAS, the management and control of business and property of the Chicago
Transit Authority is vested in the Board of Directors pursuant to the
Metropolitan Transit Authority Act as amended in 1987; and
WHEREAS, it is essential to the function of democratic government that
the public have confidence in the fair and honest administration of government;
and
WHEREAS, that confidence can best be engendered and preserved by the avoidance
of conflicts of interests, impropriety, or the appearance of them; and
WHEREAS, it is the policy and purpose of this Ordinance to govern and
guide the conduct of CTA officials and employees in a manner that ensures
that private interests and personal relationships do not conflict with
their public obligations; now therefore: SECTION 1.
DEFINITIONS
1.1 Definitions.
Whenever used in this Ordinance, the following terms shall have the following meanings:
(a) "Administrative action" means any decision on, or proposal, consideration, enactment or making of any rule, regulations, or other official non-ministerial action or non-action by any department or division or by any officer or employee on any matter which is within the official jurisdiction of the Chairman.
b) "Chief finance officer" plans, directs and coordinates the operations and activities of the departments within the Finance Division. For purposes of this Ordinance, the executive, who has overall responsibility for CTA property inventory.
c) "Compensation" means money, thing of value or other pecuniary benefit received in return for, or as reimbursement for, services rendered or to be rendered.
d) "Contract management authority" means personal involvement in or direct supervisory responsibility for the formulation or execution of a CTA contract, including without limitation the preparation of specifications, evaluations of bids or proposals, negotiation of contract terms or supervision of performance.
e) "Contractor" means any person (including his/her agent or employees acting within the scope of their employment) who is paid by CTA monies for services to CTA, regardless of the nature of the relationship of such individual to CTA for purposes other than this chapter.
f) "CTA" means Chicago Transit Authority.
g) "Doing business" means anyone or any combination of sales, purchases, leases or contracts to, from, or with CTA in an amount in excess of $5,000 in any twelve consecutive months.
h) "Economic interest" means any interest valued or capable of valuation in monetary terms, provided that "economic interest" is subject to the same exclusions as "financial interest."
i) "Employee" means an individual employed by CTA, whether part-time or full-time. "Employee" shall not include any person who provides services to CTA under an awarded contract.
j) "Expenditure" means a payment, distribution, loan, advance, deposit, or gift of money or anything of value.
k) "Financial interest" means (i) any interest as a result of which the owner currently receives or is entitled to receive in the future more than $2,500 per year; (ii) any interest with a cost or present value of $5,000 or more; or (iii) any interest representing more than 10% of a corporation, partnership, sole proprietorship, firm, enterprise, franchise, organization, holding company, joint stock company, receivership, trust, or any legal entity organized for profit. Financial interest shall not include any ownership through purchase at fair market value or through transfer by inheritance of less than 1% of the shares of a corporation, or any corporation subsidiary, parent or affiliate thereof, regardless of the value of or dividends on such shares, if such shares are registered on a securities exchange pursuant to the Securities Exchange Act of 1934, as amended; the authorized compensation paid to an official or employee for his/her office or employment; any economic benefit provided equally to all residents of the CTA service area; a time or demand deposit in a financial institution; an endowment or insurance policy or annuity contract purchased from an insurance company.
l) "Gift," means anything of value given without consideration or expectation of return. This includes loans made at below market rate of interest, or without interest.
m) "Legislation" means ordinances, resolutions, amendments, nominations, appointments, reports and any other matters pending or proposed in the Board of Directors or a committee or other subdivision thereof, including any other matter which may be the subject of Board action.
n) "Legislative action" means the introduction, sponsorship, consideration, debate, amendment, passage, defeat, approval, or other official action or non-action on any ordinance, resolution, motion, order, appointment, report and any other matter pending or proposed in order in the Board of Directors or a committee or other subdivision thereof, including any matter which may be the subject of Board action.
o) "Official" means any person appointed to the CTA Board of Directors.
p) "Person" means any individual, entity, corporation, partnership, firm, association, union, trust, or estate, as well as any parent or subsidiary of any of the foregoing, and whether or not operated for profit.
q) "Political activity" means:
Serving as an officer of a political party, of a political club, or of
an organization relating to a campaign for elected office ("organization");
as a member of a national, state or local committee of a political party,
club or organization; as an officer or member of a committee of a political
party, club or organization; or being a candidate of any of these positions;
Organizing or reorganizing a political party, club or organization;
Directly or indirectly soliciting, receiving, collecting, handling, disbursing,
or accounting for assessments, contributions, or other funds for any political
party, political fund, candidate for elected office, candidate for political
party office, or any committee thereof or committee which contributes
to any of the foregoing;
Organizing, selling tickets to, promoting, or actively participating in
a fund-raising activity of a public office holder, candidate in an election
or political party, political club or an organization;
Taking an active part in managing the political campaign of a candidate
for public office in an election or a candidate for political party office;
Becoming a candidate for, or campaigning for, an elective public office
in an election;
Soliciting votes in support of or in opposition to a candidate for public
office in an election or a candidate for political party office;
Acting as recorder, watcher, challenger or similar officer at the polls
on behalf of a political party or a candidate in an election;
Driving voters to the polls on behalf of a political party or a candidate
in an election;
Endorsing or opposing a candidate for public office in an election or
a candidate for political party office in a political advertisement, a
broadcast, campaign literature, or similar material, or distributing such
material;
Serving as delegate, alternate, or proxy to a political party convention;
Addressing a convention, caucus, rally, or similar gathering in support
of or in opposition to a candidate for public office or political party
office;
Initiating or circulating a nominating petition for elective off ice;
Soliciting, collecting, or receiving a political contribution or a contribution
for any political party, political fund, candidate for political party
office, or any committee thereof or committee which contributes to any
of the foregoing; or
Paying or making a political contribution or a contribution for any political
party, political fund, candidate for elected office, candidate for political
party office, any committee thereof or committee which contributes to
any of the foregoing.
r) "Political contribution" means any gift, subscription, loan,
advance, deposit of money, allotment of money, or anything of value given
or transferred by one person to another, including in cash, by check,
by draft, through a payroll deduction or allotment plan, by pledge or
promise, whether or not enforceable, or otherwise, for purposes of influencing
in any way the outcome of any election. For the purposes of this definition,
a political contribution does not include:
a loan at a market rate by a lender in his or her ordinary course of business;
the use of real or personal property and the cost of invitations, food,
and beverages, voluntarily provided by an individual in rendering voluntary
personal services on the individual's residential premises for candidate-related
activities; provided the value of the service provided does not exceed
an aggregate of $150 in a reporting period as defined in Article 9 of
the Illinois Election Code;
the sale of any food or beverage by a vendor for use in a candidate's
campaign at a charge less than the normal comparable charge, if such charge
for use in a candidate's campaign is at least equal to the cost of such
food or beverage to the vendor.
s) "Professional services" means service in any occupation requiring
advanced or specialized education and training, including without limitation
law, accounting, insurance, real estate, engineering, medicine, architecture,
dentistry, banking, finance, public relations, education or consulting.
t) "Relative" means a person who is related to an official or
employee as spouse or as any of the following, whether by blood or adoption:
parent, child, brother or sister, aunt or uncle, niece or nephew, grandparent,
grandchild, father-in-law, mother-in-law, son-in-law, daughter-in-law,
stepfather or stepmother, stepson or stepdaughter, stepbrother or stepsister,
half-brother or half-sister.
u) "Seeking to do business." A person is seeking to do business with CTA if he/she (a) has taken any action within the past 6 months to obtain a contract or business from CTA which, if such action were successful, would result in the person doing business with CTA; and (b) the contract or business sought has not been awarded to any person.
SECTION 2. CODE OF CONDUCT
2. 1 Code Of Conduct
2.2 Fiduciary Duty
Officials and employees shall at all times in the performance of their public duties owe a fiduciary duty to CTA.
2.3 Improper Influence
No official or employee shall make, participate in making or in any way attempt to use his/her position to influence any CTA decision or action in which he/she knows or has reason to know that he/she has any economic interest distinguishable from its effect on the public generally.
2.4 Offering, Receiving and Soliciting Gifts, Favors.
a) No person shall give to any official or employee, or to the spouse or minor child of either of them, and none of them shall solicit or accept, any anonymous gift.
b) No person shall give or offer to give to any official or employee or the spouse or minor child of either of them, and none of them shall solicit or accept, anything of value, including, but not limited to, a gift, favor or promise of future employment, based upon any mutual understanding, either explicit or implicit, that the votes, official actions, decisions or judgments of any official or employee would be influenced thereby. Notwithstanding the absolute and express prohibition on the giving or acceptance of any gift with the understanding that said gift will influence actions or decisions, it shall be presumed that that an occasional non-monetary gift having a value of less than $50 or the occasional attendance at sporting or theatrical events within the City of Chicago metropolitan area does not involve such an understanding.
c) No person who has an economic interest in a specific CTA business, service or regulatory transaction shall give, directly or indirectly, to any CTA official or employee whose decision or action may substantially affect such transaction, or to the spouse or minor child of such official or employee, and none of them shall accept or solicit any gift of (i) cash or its equivalent regardless of value, or (ii) an item or service other than an occasional one of nominal value (less than $50) or the occasional attendance at sporting or theatrical events within the City of Chicago metropolitan area; provided however, nothing herein shall be construed to prohibit such person from accepting gifts from relatives.
d) Except as prohibited in subsections (a) and (b) nothing in this section 2.4. shall prohibit any person from giving or receiving: (i) an award publicly presented in recognition of public service; (ii) commercially reasonable loans made in the ordinary course of the lender's business; (iii) reasonable hosting, including travel and expenses, entertainment, meals or refreshments furnished in connection with public events, appearances or ceremonies related to official CTA business, if furnished by the sponsor of such public event.
e) Any gift given in violation of the provisions of this section shall be turned over to the chief finance officer, who shall add the gift to the inventory of CTA property. I 0 Nothing in this section shall prohibit any official or employee, or his/her spouse or minor child, from accepting a gift on CTA's behalf, provided, however, the person accepting the gift shall promptly report receipt of the gift to the Ethics Committee and to the chief finance officer, who shall add it to the inventory of CTA property
g) Any official or employee who receives any gift or money for participating in the course of his public employment in speaking engagements, lectures, debates or organized discussion forums shall report it to the Ethics Committee within ten (10) business days.
2.5 Solicitation Or Receipt of Money For Advice Or Assistance
No official or employee, or the spouse or minor child of any of them, shall solicit or accept any money or other thing of value including, but not limited to, gifts, favors, services or promises of future employment, in return for advice or assistance on matters concerning the operation or business of the CTA; provided, however, that nothing in this section shall prevent an official or employee or the spouse of an official or employee from accepting compensation for services wholly unrelated to the official's or employee's CTA duties and responsibilities and rendered as part of his or her non-CTA employment, occupation or profession.
2.6 CTA Owned Property
No official or employee shall engage in or permit the unauthorized use of CTA-owned property, including, but not limited, to facilities or equipment. Use of CTA property for purposes other than CTA business shall be considered an unauthorized use. Authorized use of property is defined by various policies and procedures of the Authority.
2.7 Use Or Disclosure Of Confidential Information
No current or former official or employee shall use or disclose other than in the performance of his official duties and responsibilities, or as may be required by law, confidential information gained in the course of or by reason of his position or employment. For purposes of this section, "confidential information" means any information that may not be obtained pursuant to the Illinois Freedom of Information Act, as amended.
2.8 Conflicts Of Interest.
a) No official or employee shall make or participate in the making of any CTA decision with respect to any matter in which he/she has any economic interest distinguishable from that of the general public.
b) Any member of the Board of Directors who has any economic interest distinguishable from that of the general public in any matter pending before the Board of Directors or any committee or any subdivision thereof shall publicly disclose the nature and extent of such interest on the records of proceedings of the Board of Directors. He/she shall abstain from voting on the matter but counted present for the purposes of a quorum. The obligation to report a potential conflict of interest under this subsection arises as soon as the member of the Board of Directors is or should be aware of such potential conflict.
c) Any official or employee who has a financial interest in any matter pending before any CTA division shall disclose the nature of such interest to the Ethics Committee and, if the matter is pending in his/her own division/department, to the head of that division or department or in the case of a division or department head, to the Executive Director or CTA Chairman as applies. The obligation to report under this subsection arises as soon as the official or employee is or should be aware of the tendency of the matter. This subsection does not apply to applications for health, disability of worker's compensation benefits.
2. 9 Representation Of Other Persons.
a) No official or employee may represent, or have an economic interest in the representation of, any person other than the CTA in any formal or informal proceeding or transaction with CTA in which the action or non-action is of a non-ministerial nature; provided that nothing in this subsection shall preclude any official or employee from performing the duties of his/her CTA employment.
b) No official or employee may have an economic interest in the representation of, any person, in any judicial or quasi-judicial proceeding before any administrative agency or court in which CTA is a party and that person's interest is adverse to that of the CTA.
2.10 Post-Employment Restrictions.
a) No former official or employee shall assist or represent any person other than the CTA in any judicial or administrative proceeding involving CTA or any of its divisions, if the official or employee was counsel of record or participated personally and substantially in the proceeding during his/her term of office or employment.
b) No former official or employee shall, for a period of one year after the termination of the official's or employee's term of off ice or employment, assist or represent any person in any business transaction involving CTA, if the official or employee participated personally and substantially in the subject matter of the transaction during his/her term of office or employment; provided that if the official or employee exercised contract management authority with respect to a contract, this prohibition shall be permanent as to that contract.
2.11 Interest in CTA Business
No official or employee shall have a financial interest in his/her own name or in the name of any other person in any contract, work or business of CTA or in the sale of any article, whenever the expense, price or consideration of the contract, work, business or sale is paid with funds belonging to or administered by CTA, or is authorized by ordinance. Compensation for property taken pursuant to CTA's eminent domain power shall not constitute a financial interest within the meaning of this section. Unless sold pursuant to a process of competitive bidding following public notice, no official or employee shall have a financial interest in the purchase of any property that (i) belongs to CTA, or (ii) is sold for taxes or assessments, or (iii) is sold by virtue of legal process at the suit of CTA. No official shall engage in a transaction described in this section unless the matter is wholly unrelated to the official's CTA duties and responsibilities.
2.12 Contract Inducements
No payment, gratuity, political campaign contribution or offer of employment shall be made in connection with any CTA contract, by or on behalf of a subcontractor to the prime contractor or higher tier subcontractor or any person associated therewith, as an inducement for the award of a subcontract or order. This prohibition shall be set forth in every CTA contract and solicitation therefore.
2.13 Employment Of Relatives.
a) No official or employee shall employ or in any way exercise direct authority, supervision, or control of any person
(i) who is a relative of said official's or employee, or (ii) in exchange for or in consideration of the employment of any of said official's or employee's relatives by any other official or employee. The CTA Board or designated body will review the facts involved with each such violation and shall make recommendations to the Chairman of the Board as to appropriate remedial measures.
No official or employee shall exert any influence to effect the hiring, promotion, demotion, salary adjustment or performance review of a relative. In cases where an employee or official has a relative in his/her line of command or in any way has authority, supervision or control over a relative, the CTA Board or designated body will review all such personnel actions. Ninety days after this Ordinance becomes effective, the Chairman shall notify the Ethics Committee of the names of all officials and employees who continue to be in violation of this provision.
b) No official or employee shall exercise contract management authority where any relative of the official or employee is employed by or has contracts with persons doing CTA work over which the CTA official or employee has or exercises contract management authority.
c) No official or employee shall use or permit the use of his position to assist any relative in securing employment or contracts with persons over whom the employee or official exercises contract management authority. The employment of or contracting with a relative or such a CTA official or employee by such a person within six months prior to, during the term of, or six months subsequent to the period of a CTA contract shall be evidence that said employment or contract was obtained in violation of this Ordinance.
2.14 Solicitation Of Political Contributions.
a) No official or employee shall directly or through an agent accept, solicit, compel, coerce, or intimidate any CTA official, employee or contractor to make or refrain from making any political contribution. Nothing in this section shall be construed to prevent any official or employee from voluntarily making a contribution or from receiving a voluntary contribution.
b) No official or employee shall knowingly solicit or accept any political contributions from persons currently doing business or seeking to do business with CTA. Notwithstanding the foregoing, a CTA employee or official who is a candidate for office may solicit or accept political contributions on behalf of his/her own candidacy from a person doing business with CTA, subject to all applicable law.
