HomeMy WebLinkAbout2012-OR-29 .
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ORDINANCE NO. 2012 -0R —
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BEFORE THE COMMON COUNCIL
FOR THE CITY OF JEFFERSONVILLE, INDIANA
AN ORDINANCE ADOPTING CONFLICT OF INTEREST
AND NEPOTISM LAW
POLICY t
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WHEREAS, in 2012 the Indiana Legislature passed, and the Governor signed, HEA 1005
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entitled Nepotism; Conflict of Interest;
WHEREAS, IC 36 -1 -20.2, as added by P.L. 135 -2012, SECTION 7, requires the City of
Jeffersonville (hereinafter "City ") to establish a policy concerning nepotism;
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the requires City IC 36 -1 -21, as added by P.L. 135 -2012, SECTION 8, re q tY to i
establish a policy concerning contracting with relatives of elected officials;
WHEREAS, these two new chapters, IC 36 -1 -20.2 Nepotism and IC 36 -1 -21 Contracting
with a Unit, respectively, are effective July 1, 2012;
WHEREAS, in both of the new Indiana Code chapters, the municipal legislative bodies are
mandated to adopt a policy that includes, as a minimum, the requirements set forth in those
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new chapters;
WHEREAS, in both of the new Indiana Code chapters "relative" is defined as a spouse,
parent, stepparent, child (natural or adopted), stepchild, brother, half- brother, sister, half -
sister stepbrother, stepsister, niece, nephew, aunt, uncle, daughter -in -law or son -in -law;
WHEREAS, after thoughtful consideration and in order to comply with the two new
r chapters of the Indiana Code mentioned above, the City believes it is in the best interests of
its citizens to adopt as its policies the minimum requirements of IC 36 - -20.2 Nepotism
and IC 36 -1 -21 Contracting with a Unit as stated in the said new chapters of the Indiana
Code; and
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Now, therefore, the Common Council of Jeffersonville hereby ORDAINES as follows:
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1. The City finds that it is necessary and desirous to adopt a policy of conduct with
regard to nepotism in the employment with the City and in contracting with the City in
order to continue to be able to provide local government services to its residents and to
comply with the new laws effective July 1, 2012 known as IC 36 -1 -20.2 and IC 36 -1 -21,
respectively.
} 2. On July 1, 2012 the City shall have a Nepotism and a Contracting with a Unit policy
that complies with the minimum requirements of IC 36 -1 -20.2 (hereinafter "Nepotism
Policy ") and IC 36 -1 -21 (hereinafter "Contracting with a Unit by a Relative Policy") and
implementation will begin.
3. The City Nepotism Policy is hereby established effective July 1, 2012 by adopting the
minimum requirements provisions of IC 36 -1 -20.2, and including all future supplements
and amendments thereto which become law from time to time, and making them a part
hereof as if fully set out herein. In addition a copy of IC 36 -1 -20.2 Nepotism in effect on July
1 is attached hereto.
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4. The City Contracting with a Unit by a Relative Policy is hereby established effective
July 1 , 2012 by adopting the minimum requirements provisions of IC 36 -1 -21, and including
all future supplements and amendments thereto which become law from time to time, and I
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making them a part hereof as if fully set out herein. In addition a copy of the IC 36 -1 -21
Nepotism Law in effect on July 1 is attached hereto as Exhibit "A ".
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5. The City finds that both IC 36 -1 -20.2 and IC 36 -1 -21 specifically allow a unit to adopt
requirements that are "more stringent or detailed" and that more detailed are necessary.
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6. The City further finds that a single member of the legislative body cannot act for the
body to make work assignments, compensation, grievances, advancement or a performance
evaluation without prior authority of a majority of the body and therefore without such
authority by the majority he /she will not be in the direct line of supervision. See, [IC 36-4-6 -
11] [IC 36 -5 - 2 -9.4]
7. The City finds that a single member of governing bodies with authority over
employees in the City cannot act for the governing body to make work assignments,
compensation, grievances, advancement or a performance evaluation without prior I
authority of a majority of the body, when a statute provides that a majority is needed to act,
and therefore, without such authority by the majority the single member will not be in the
direct line of supervision.
8. All elected and appointed officials and employees of the City are hereby directed to t
cooperate fully in the implementation of the policies created by this Ordinance and
demonstrating compliance with these same policies. °
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9. Failure to abide by or cooperate with the implementation, compliance and
certifications connected with the Nepotism Policy is a violation and may result in the
discipline, including termination, of an employee or a transfer from the direct line of
supervision or other curative action. An elected or appointed official of the City who fails to
abide by or cooperate with the implementation, with the compliance and with mandated
certifications of the Nepotism Policy may be subject to action allowed by law.
10. Failure to abide by or cooperate with the implementation, compliance and
certifications connected with the Contracting with Unit by a Relative Policy is a violation
and may result in the discipline, including termination, of an employee or a curative action.
An elected or appointed official of the City who fails to abide by or cooperate with the
implementation, with the compliance and with mandated certifications of the Contracting
with Unit by a Relative Policy may be subject to action allowed by law.
11. The polices created by this Ordinance are hereby directed to be implemented by any
of the following actions: a) posting a copy of this Ordinance in its entirety in at least one of
the locations in the City where it posts employer posters or other notices to its employees; b)
providing a copy of this Ordinance to its employees and elected and appointed officials; c)
providing or posting a notice of the adoption of this Ordinance; or d) any such other action
or actions that would communicate the polices established by this Resolution to its
employees and elected and appointed officials. Upon the taking of any of these actions the
policies are deemed implemented by the City.
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12. A copy of the provisions of IC 36 -1 -20.2 and IC 36 -1 -21 effective July 1, 2012 are
annexed hereto as Exhibit "A ". Copies of the certifications and disclosures required for
compliance are annexed hereto as Exhibits "B through D" and are hereby approved.
13. Two (2) copies of IC 36 -1 -20.2 and IC 36 -1 -21, and as supplemented or amended, are
on file in the office of the Clerk for the City for public inspection as maybe required by IC
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This Ordinance shall be in full force and effect from and after its passage and
approval.
Passed and adopted on this I g day of June, 2012, by the Common Council for
the City of Jeffersonville, Indiana.
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Ed Zastwany
President, Common Council
ATTEST:
Vicki Conlin, Clerk
This Ordinance presented by me as Clerk to the Mayor of Jeffersonville, Indiana at
m. on this / 9 day of , 2012.
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Vicki Conlin, Clerk
This Ordinance signed and approved by me the Mayor of Jeffersonville, Indiana at
m. on this 1 9 day of ..TcuYtl2.__ , 2012.
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Mike Moore, , 1:1
or
This Ordinance vetoed by me the Mayor of Jeffersonville, Indiana at 1
m. on this day of , 2012.
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Mike Moore, Mayor 1
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Prepared by: i
Les D. Merkley 1
City Attorney
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EXHIBIT "A" x'.
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Chapter 20.2. Nepotism
Sec. 1. This chapter applies to all units.
Sec. 2. An individual who is employed by a unit on July 1, 2012, is not subject to this chapter i
unless the individual has a break in employment with the unit. The following are not k
considered a break in employment with the unit:
(1) The individual is absent from the workplace while on paid or unpaid leave, including
vacation, sick, or family medical leave, or worker's compensation.
(2) The individual's employment with the unit is terminated followed by immediate
reemployment by the unit, without loss of payroll time.
Sec. 3. For purposes of this chapter, the performance of the duties of:
(1) a precinct election officer (as defined in IC 3 -5 -2 -40.1) that are imposed by IC 3; or
(2) a volunteer firefighter;
is not considered employment b a unit.
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Sec. 4. As used in this chapter, "direct line of supervision" means an elected officer or
employee who is in a position to affect the terms and conditions of another individual's
employment, including making decisions about work assignments, compensation, grievances,
advancement, or performance evaluation. The term does not include the responsibilities of the
executive, legislative body, or fiscal body of a unit, as provided by law, to make decisions
regarding salary ordinances, budgets, or personnel policies of the unit.
Sec. 5. As used in this chapter, "employed" means an individual who is employed by a unit on a
full -time, part -time, temporary, intermittent, or hourly basis. The term does not include an 1 ,
individual who holds only an elected office. The term includes an individual who is a party to
an employment contract with the unit.
Sec. 6. As used in this chapter, "member of the fire department" means the fire chief or a
firefighter appointed to the department.
Sec. 7. As used in this chapter, "member of the police department" means the police chief or a z
police officer appointed to the department.
Sec. 8. (a) As used in this chapter, "relative" means any of the following:
(1) A spouse. l '
(2) A parent or stepparent.
(3) A child or stepchild.
(4) A brother, sister, stepbrother, or stepsister.
(5) A niece or nephew. tt
(6) An aunt or uncle. x
(7) A daughter -in -law or son -in -law.
(b) For purposes of this section, an adopted child of an individual is treated as a natural child i
of the individual.
(c) For purposes of this section, the terms "brother" and "sister" include a brother or sister by it
the half blood. /
Sec. 9. (a) This chapter establishes minimum requirements regarding employment of relatives.
The legislative body of the unit shall adopt a policy that includes, at a minimum, the
requirements set forth in this chapter. However, the policy may: i
(1) include requirements that are more stringent or detailed than any provision in this chapter;
and
(2) apply to individuals who are exempted or excluded from the application of this chapter. 11
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The unit may prohibit the employment of a relative that is not otherwise prohibited by this
chapter.
(b) The annual report filed by a unit with the state board of accounts under IC 5- 11 -13 -1 must
include a statement by the executive of the unit stating whether the unit has implemented a t
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policy under this chapter. t
Sec. 10. Individuals who are relatives may not be employed by a unit in a position that results
in one (1) relative being in the direct line of supervision of the other relative.
Sec. 11. (a) This section applies to an individual who
(1) is employed by a unit on the date the individual's relative begins serving a term of an t
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elected office of the unit; and
(2) is not exempt from the application of this chapter under section 2 of this chapter. t
(b) Unless a policy adopted under section 9 of this chapter provides otherwise, an individual t
may remain employed by a unit and maintain the individual's position or rank even if the
individual's employment would violate section 10 of this chapter.
(c) Unless a policy adopted under section 9 of this chapter provides otherwise, an individual
described in subsection (b) may not
(1) be promoted to a position; or
(2) be promoted to a position that is not within the merit ranks, in the case of an individual who
is a member of a merit police department or merit fire department;
if the new position would violate section 10 of this chapter.
Sec. 12. This chapter does not abrogate or affect an employment contract with a unit that
(1) an individual is a party to; and t
(2) is in effect on the date the individual's relative begins serving a term of an elected office of
the unit.
Sec. 13. Unless the policy adopted under section 9 of this chapter provides otherwise, a sheriff's
spouse may be employed as prison matron for the county under IC 36- 8 -10 -5 and the spouse
may be in the sheriff's direct line of supervision. B
Sec. 14. Unless the policy adopted under section 9 of this chapter provides otherwise, an it
individual: it
(1) who served as coroner; (2) who is currently ineligible to serve as coroner under Article 6,
Section 2(b) of the Constitution of the State of Indiana;
(3) who, as coroner, received certification under IC 36 -2 -14 -22.3; and
(4) whose successor in the office of coroner is a relative of the individual;
may be hired in the position of deputy coroner and be in the
coroner's direct line of
supervision. 1
Sec. 15. If the township trustee's office is located in the township trustee's personal residence,
unless the P olicy adopted under section 9 of this chapter provides otherwise the township
trustee may hire only one (1) employee who is a relative. The employee: I.
(1) may be hired to work only in the township trustee's office;
(2) may be in the township trustee's direct line of supervision; and
(3) may not receive total salary, benefits, and compensation that exceed five thousand dollars $
($5,000) per year. ,
Sec. 16. Each elected officer of the unit shall annually certify in writing, subject to the penalties
for perjury, that the officer has not violated this chapter. An officer shall submit the I
certification to the executive of the unit not later than December 31 of each year
Sec. 17. If the state board of accounts finds that a unit has not implemented a policy under this
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chapter, the state board of accounts shall forward the information to the department of local
government finance.
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Sec. 18. If a unit has not implemented a policy under this chapter, the department of local
government finance may not approve:
(1) the unit's budget; or
(2) any additional appropriations for the unit;
for the ensuing calendar year until the state board of accounts certifies to the department of
local government finance that the unit is in compliance with this chapter.
Chapter 21. Contracting With a Unit
Sec. 1. This chapter applies only to a unit.
Sec. 2. As used in this chapter, "elected official" means:
(1) the executive or a member of the executive body of the unit; (2) a member of the legislative
body of the unit; or
(3) a member of the fiscal body of the unit.
Sec. 3. (a) As used in this chapter, "relative" means any of the following:
(1) A spouse.
(2) A parent or stepparent.
(3) A child or stepchild.
(4) A brother, sister, stepbrother, or stepsister.
(5) A niece or nephew.
(6) An aunt or uncle.
(7) A daughter -in -law or son -in -law.
(b) For purposes of this section, an adopted child of an individual is treated as a natural child
of the individual.
(c) For purposes of this section, the terms "brother" and "sister" include a brother or sister by
the half blood.
Sec. 4. (a) This chapter establishes minimum requirements regarding contracting with a unit.
The legislative body of the unit shall adopt a policy that includes, at a minimum, the
requirements set forth in this chapter. However, the policy may
(1) include requirements that are more stringent or detailed than any provision in this chapter;
and
(2) apply to individuals who are exempted or excluded from the application of this chapter.
The unit may prohibit or restrict an individual from entering into a contract with the unit that
is not otherwise prohibited or restricted by this chapter.
(b) The annual report filed by a unit with the state board of accounts under IC 5- 11 -13 -1 must
include a statement by the executive of the unit stating whether the unit has implemented a
policy under this chapter.
Sec. 5. (a) A unit may enter into a contract or renew a contract for the procurement of goods ' '
and services or a contract for public works with
(1) an individual who is a relative of an elected official; or (2) a business entity that is wholly or
partially owned by a relative of an elected official;
only if the requirements of this section are satisfied and the elected official does not violate IC
35- 44 -1 -3.
(b) A unit may enter into a contract or renew a contract with an individual or business entity
described in subsection (a) if
(1) the elected official files with the unit a full disclosure, which must:
(A) be in writing;
(B) describe the contract or purchase to be made by the unit;
(C) describe the relationship that the elected official has to the individual or business entity that
contracts or purchases;
(D) be affirmed under penalty of perjury;
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(E) be submitted to the legislative body of the unit and be accepted by the legislative body in a
public meeting of the unit prior to final action on the contract or purchase; and
(F) be filed, not later than fifteen (15) days after final action on the contract or purchase, with
(i) the state board of accounts; and a
(ii) the clerk of the circuit court in the county where the unit takes final action on the contract
or purchase;
(2) the appropriate agency of the unit:
(A) makes a certified statement that the contract amount or purchase price was the lowest
amount or price bid or offered; or
(B) makes a certified statement of the reasons why the vendor or contractor was selected; and
(3) the unit satisfies any other requirements under IC 5 -22 or IC 36 -1 -12.
(c) An elected official shall also comply with the disclosure provisions of IC 35- 44 -1 -3, if
applicable.
(d) This section does not affect the initial term of a contract in existence at the time the term of
office of the elected official of the unit begins.
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EXHIBIT "B"
VERIFICATION OF APPLICANT FOR EMPLOYMENT
FOR COMPLIANCE WITH MUNICIPAL NEPOTISM POLICY
I, (printed name), have
reviewed the direct line of supervision for the position I am seeking with the "City of
Jeffersonville" and I am not a relative of any employee who will be in my direct line of
supervision in the position of . I understand that Relative means my spouse,
P parent or stepparent, child or stepchild, brother, sister, stepbrother, stepsister, niece, nephew,
PP , P � P � , P ,
aunt, uncle, daughter -in -law or son -in -law (including half - bloods and adopted children).
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I hereby verify under the penalty of perjury that the foregoing statements are true.
Dated this day 2 � of 1
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(signature)
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(printed name) 1
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EXHIBIT "C"
MAYOR/COUNCIL MEMBER DISCLOSURE OF
RELATIVE'S CONTRACT WITH MUNICIPALITY
Indiana Code 36-1-21-5
A governing body of a municipality may enter into a contract or renew a contract for
goods, services or public works with an individual who is or a business entity that has an
ownership interest by an individual who is a relative of the Mayor or a council member of
the municipality if a Disclosure of Relative's Contract is made by the above noted elected
official and the elected official does not violate IC 35-44-1-3.1, the criminal Conflict of
Interest law. In addition the appropriate municipal governing body makes certain certified
statements regarding price or selection of the contractor.
The foregoing consists only of excerpts and clarifying language from I.C. 36-1-21-5. Care
should be taken to review I.C. 36-1-21-5 and 35-44-1-3.1 in their entirety.
1. Name of Elected Official (Mayor/Councilmember) Submitting Disclosure:
2. Name of Office:
3. Name of Municipality:
4. Description of Contract for purchase or public works (Describe the kind of contract, the
project name, the governing body or person(s) proposing to execute the contract for the
municipality, the length of the contract term and the contractor):
5. Describe all of the ownership interests of the Contractor:
6. Describe the relationship of the Contractor from which the municipality is contracting for
the purchase of goods, services or public works to the Elected Official
submitting this Disclosure (Elected Official is Mayor or Councilmember)(the relationship is
the disclosure of which one of the following relatives - -- spouse, parent, stepparent, child,
stepchild, adopted child, brother, half - brother, stepbrother, sister, half - sister, stepsister
niece or nephew aunt of uncle, daughter -in -law or son -in -law is the Contractor or has an
ownership interest in the Contractor):
(Attach extra pages as needed)
7. The appropriate agency of the municipality contracting for the goods, services or public
works made its certified statements as required by law on the day of
20 and believes that it has complied with state law.
8. Effective Dates: (Disclosure of a Relative's contract must be submitted to the Legislative
Body of the municipality prior to final action on the contract for goods, services or public
works.):
Date Submitted to Council Anticipated Date of Action on Contract or Purchase
9. Affirmation of Elected Official: This disclosure was submitted to the municipality of
for acceptance by its Legislative Body in a public meeting prior to final
action on the contract or purchase.
I affirm, under penalty of perjury, the truth and completeness of the statements
made above, and that I am the above named public servant.
Signed:
(Signature of Elected Official)
Dated:
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EXHIBIT "D"
CERTIFICATION OF ELECTED OFFICIAL TO THE EXECUTIVE OF THE "CITY OF
JEFFERSONVILLE" ON COMPLIANCE WITH MUNICIPAL NEPOTISM POLICY
z I (printed name), the
elected (insert elected office) of "City of Jeffersonville" certify
that I have not violated the "Blank City or Town" Contracting with a Unit Policy of IC 36 -1 -21, as
amended or supplemented, relating to contracts of my relatives' business interests with the "City
of Jeffersonville" as further described in Ordinance No 2012 -OR- .
I understand that Relative means my spouse, parent or stepparent, child or stepchild,
brother, sister, stepbrother, stepsister, niece, nephew, aunt, uncle, daughter -in -law or son-in-
law (including half - bloods and adopted children). I intend for this to be submitted to the Mayor
prior to the end of this calendar year
I hereby verify under the penalty of perjury that the foregoing statements are true.
Dated this day of _ , 20 .
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(signature) %b
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(printed name)
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