HomeMy WebLinkAbout1993-OR-22 93-0R- 22
AN ORDINANCE REGULATING ETHICS AND CONFLICTS
OF INTEREST FOR CITY OFFICIALS AND EMPLOYEES
WHEREAS, in order to insure that the government of Jeffersonville,
Indiana is respected for its honesty and integrity; that its decisions are
made on the merits, untainted by any consideration of private gain; and
that the rules governing their conduct during and after leaving government
service are clear and complete as possible; a government ethics ordinance
that is clear, tough, fair, comprehensive and effective is needed.
WHEREAS, the City Council finds that the proper operation of the
representative government requires that the elected officials and
employees be independent, impartial and responsible to the people; that
government decisions and policies be made in the proper channels of
government structure; that public office not be used for personal gains;
and that the public have confidence in the integrity of it's government.
Accordingly, it is the purpose of this article to establish ethical
standards of conduct for all officials and employees of the city, whether
elected or appointed, paid or unpaid, to set forth those acts that are
incompatible with such standards; to require disclosure by such officials
and 'employees of private financial or other interests in matters affecting
the city; and to provide effective means for enforcement thereof. This
article is not to be construed so as to impair the ability of these officials
and employees to participate in ceremonial, representational, or
informational functions in the pursuit of their official duties.
WHEREAS this article shall be liberally construed in favor of protecting
the public interests by fully disclosing conflicts of interest and
promoting ethical standards of conduct for city officials' and employees.
I. DEFINITIONS
1) Agency means the City of Jeffersonville or any department, division,
bureau, office, board, commission or committee of the City ,
2) Assist means to:
(A) help;
(B) aid;
(C) advise; or
(D) furnish information to;
a person. The term includes an offer to do any of the actions in
clauses (A) through (D).
3)
Business Associate includes the following~ (A) An employer.
(B) A corporation, general or limited partnership, or other business
entity, in which the public Official or employee, or other
person subject to the Act:
(1) has an investment interest;
(2) owns; or
(3) has a beneficial interest.
(C) A corporation, business association, or other business entity in
which the official or employee, or other person subject to
the Act serves as an agent or a compensated representative.
(D) An association not otherwise covered by this definition between
the official or employee, or other person subject to the Act,
and another person, which involves the conduct of a common
enterprise.
4) Candidate means an individual who seeks nomination or election to a
city office. An individual is a candidate when the individual: ~
(A) files a statement of candidacy or petition for nomination for
office With the appropriate filing officer.
(B) is nominated for office by: (1) a party at a primary
(2) nominating convention; or
(3) petition for nomination;
(C) solicits or receives and retains contributions, makes
expenditures or gives consent to an individual, organized political
party, or committee to solicit or receive and retain contributions or
make expenditures to secure nomination election to any office at any
time, Whether or not the office for which the individual will seek
nomination or election known when the: (1) solicitation is made;
(2) contribution is received and retained; or
(3) expenditure is made; or
(D) is an office holder who is the subject of a recall election.
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5) Charitable Organization means an organization described in
26 U.S.C. &170(c) as it currently exists or as it may be amended
6) Compensation means any money, thing of value, service or economic
benefit conferred upon or received by any person in return for services
rendered or to be rendered.
7) Consultant means an individual other than an employee who contracts
to:
(1) Evaluate bids for public contracts; or
(2) awards public contracts for the City of Jeffersonville, Indiana.
8) Commission refers to the city ethics commission created under
section 2 of this ordinance.
9) Economic Interest means an interest distinct from that of
the generai public in the City's purchase, sale, lease, contract, option or
other transaction or arrangement involving property or services in which a
public official or public employee may gain economic benefit of fifty
dollars ($50.00) or more.
10) Employee means any individual, other than elected official,
receiving compensation for services performed for the City of
Jeffersonville except individuals who perform services as independent
contractors.
11)
Family Member means an individual:
(1) Who is the spouse, parent, sibling, child, father-in-law, mother-
in-law, son-in-law, daughter-in-law, grandparent, grandchild; or
(2) is a member of the individual's household.
12)
Filer means an individual who is:
(1) an official;
(2) an employee;
(3) a candidate under the Campaign Finance laws of Indiana;
(4) a consultant who is required to file a statement of economic
interest under this ordinance.
13) Gift means money or other property having economic value which is
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transferred to an official or employee without consideration in money or
money's worth, other than ~a contribution pursuant to the Indiana Campaign
Finance laws. The term includes a rebate or discount in the price of
anything of value unless the rebate or discount is made in the ordinary
course of business to a member of the general public without regard to
that person's status as an official, employee, candidate or consultant.
(a) The term does not include the following:
(1) Printed informational promotiOnal material. Free printed
material which can be distributed for the public
awareness or public edUcation i.e. brochures, safety
manuals etc...
(2) A gift that:
A) Is not uSed; and
B) not later than (30) days after receipt, is returned to the
donor or delivered to a charitable organization and is not
claimed as a charitable contribution for federal income tax
purposes;
(3) A gift, devise or inheritance from an individual's spouse,
child, parent, grandparent, sibling, in-laws, or other relatives,
so long as the donor is .not acting as an intermediary for someone
other than a person covered in this paragraph.
(4) A certificate plaque other than a token commemorative with a
Value that does not exceed one hundred dollars ($100).
(5) Food or beverage consumed on the occasion when participation in
a charitable, civic, or community event which bears a relationship to
;,i 'the official's or employee's office and the official or employee is
attending in an official capacity.
14) Official means every individual elected or appointed to an office or
position in any agency, commission, or corporation of the City of
Jeffersonville, whether such individual is Paid or unpaid;
15) Person means any individual, association, corporation, or other legal
entity.
16) Purchasing Agent means any person who does regular ourchasin(3
for anv department of the City of Jeffersonville in amounts over one
hundred ($100.00) dollars.
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II. GOVERNMENT ETHICS COMMISSION
1. Creation and Composition of the Commission.
There is hereby created and established an ethics commission,
consisting of five (5) members who do not hold position of employment in
any agency, and who are not declared candidates for elected, non-party
public office, or elected officials. The attorney for the City of
Jeffersonville shall serve ex officio, as secretary of the ethics
commission, but shall not be a voting member nor shall be permitted to
participate in any deliberations.
2. Appointment o[ members and chairperson. The Mayor of the City
of Jeffersonville shall appoint two (2) members of the commission. The
Jeffersonville Common Council shall appoint two (2) members to the
commission. The Clark County Prosecuting attorney shall appoint one (1)
member to the commission. Moreover, the Clark County Prosecuting
Attorney's appointment may be an employee of the Clark County
Prosecuting Attorney's office. Further, said appointment may be a
licensed attorney and prosecutor. All appointed members shall be
residents of the City of Jeffersonville and have never been convicted of
any .crime.
The Jeffersonville Common Council and the Ma or shall appoint not less
than one (1) member of the commission who shall be a member of the
OPposite political party of the majority of the Council. Initially one
aDpointment by both the Common Council and the Mayor shall serve for a
term of one (1) year. the other appointment shall serve for a term of two
(2) years. Thereafter all terms shall expire after two years. Each
appointee shall serve at the pleasure of the appointing authority until his
or her successor is duly appointed and qualified, Vacancies shall be filled
by that appointing authority which appointed the member creating the
vacancy. A member appointed to fill a vacancy shall serve for the duration
of the unexpired term.
3. General Authority of the ethics commission. The ethics
commission shall have the powers and responsibilities:
1) To adopt, amend, and recind rules and regulations in furtherance
of the operation of the Commission.
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2). To make recommendations to the City Council for amendments
to this article and for such other legislation affecting the subject
matter of this article as the Ethics Commission may deem
necessary or desirable.
3) To provide a continuing program of educational assistance and
information regarding ethical conduct of all officials and employees.
4) To annually review statements of economic interest pursuant to
section III.
4) Advisory Opinions. Upon the written request of an officer or
employee, or without such request should a majority of the Commission
deem it in the public interest, the Ethics Commission may, upon request,
render advisory opinions concerning matters of governmental ethics, shall
consider questions as to ethical conduct, conflicts of interest and the
application' of ethical standards set forth in this article, and shall issue
an advisory opinion in writing as to any such question. The Commission
shall publish it's opinions without any deletions or modifications
necessary to prevent disclosure of the identity of the person who is the
su, bj.ect of the opinion.
5. Investigations. Upon request by the Mayor, a department head, an
officer or employee, member of the board of ethics, or any member of the
.city ~ouncil, the ethics commission may hold hearings to investigate
possible violations of this article and if such commission finds that a
violation of this article has occurred, it may recommend to the mayor or
appropriate official a resolution of the violation, or public disclosure of
the violation, or disciplinary action, which may include dismissal.
III. ECONOMIC INTEREST DISCLOSURE
EXCEPTIONS TO REPORTING REQUIREMENTS:
This section does not require the disclosure of economic information
concerning the following:
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(1) A spouse legally separated from the official or employee.
(2) A former spouse. -'~
(3) A gift from a family member.
(4) A campaign contribution that is permitted and reported pursuant to
Indiana Campaign Finance laws, if required.
THE FOLLOWING INDIVIDUALS ARE REQUIRED TO FILE.
(1) All officials.
(2) An individual nominated to become an official.
(3) An individual Who is a candidate to become an official.
(4) A consultant.
(5) An employee, who as of December 31 of the previous year A) was acting as a purchasing agent fOr the city; or
B) received from an individual business entity, doing business with
an agency in which the employee holds a position of employment,
gifts or honoraria (Including those received by members of his or her
immediate family) during the previous calendar year having an
aggregate value of more than one hundred dollars ($100.00).
WHEN STATEMENTS SHALL BE FILED:
(1) The statements of economic interest must be filed for the preceding
year. n° later than February 1 of each year, complete through December 31
of the preceding year, except:
A) In the case'of an individual nominated to be an official, or
employee, no later than forty-one days (41) after the nomination.
~.~ ~ 'B) In the case of a candidate to become an official, at the time of
filing for public office.
C) In the case of an employee employed after January 1, no later than
March I or 41 days after employment.
D) In the case of officials or employees employed at the time of
passage of this ordinance, within forty-one (41) days after
passage of this ordinance.
THE STATEMENT SHALL BE MADE UNDER OATH SUBJECT TO THE
CRIMINAL PENALTIES FOR PERJURY IN THE STATE OF INDIANA AND
SHALL CONTAIN THE FOLLOWING INFORMATION:
1. The name of the official, employee, candidate or consultant;
2. The business address of the official, employee, candidate or consultant;
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3. The .position in which the official, employee, candidate or consultant
serves an agency;
4. The official's, employee's, candidate's , or consultant's employer;
5. A list stating to the best of the flier's knowledge and the ability to
obtain that knowledge the amount and source of all gifts the official,
employee, candidate or consultant and his or her family member received
during the past calendar year having an aggregate fair market value in
excess of one hundred dollars ($100.00) from any individual business
entity doing business with an agency.
6. A statement shall be made to the best of the flier's knowledge and the
ability to obtain that knowledge, of whether or not the official, employee,
candidate or consultant or his/her family member had a direct or indirect
economic interest in any contract with the City of Jeffersonville, Indiana
during the past calendar year, or other than a contract of employment, and,
if so, an explanation of the extent of the interest;
7. The name of any person from which the official, employee, candidate or
consultant received any compensation which to the best of the flier's
knowledge, does or contemplates doing business with an agency during his
or her term of office or employment with an agency; and
8. The name of any business entity in which the officer, employee,
candidate or consultant or his or her family member owns stock, bonds or
other investments which represent ownership of five per cent or more of
the business or have a value in excess of five thousand dollars ($5,000)
and which business entity, to the best of the flier's knowledge, is doing or
contemplates doing business with an agency.
IV. STANDARDS OF ETHICAL CONDUCT
1) Disqualification from acting on city business. Any official or
employee shall disqualify himself or herself and refuse to act on any
matter in which such official or employee, a member of his or her family,
or the private employer of the official or employee, has an economic
nterest or might derive a-profit and upon which the official or employee
would be required to act in the discharge of his official duties, unless
otherwise required by law.
2) Improperly using official position.
A) No official or employee shall knowinqly use, or permit the use of any
individual, funds or property under his or her official control, direction, or
custody, or any funds or property of an agency, for a purpose which is, or
to a reasonable person would appear to be, for the private benefit of the
official or employee or any other person. Nothing shall prevent the private
use of property of an agency which is available on equal terms to the
public generally (such as library books or tennis courts), or the use of
property of an agency in accordance with municipal policy in the conduct
of official business (such as the use of automobiles of an agency), or the
use of off duty equipment by law enforcement officers, if allowed by the
rules of the respective department, if, in fact, the property is used
appropriately.
B) An official or employee shall not advocate or cause the emolo_vment.
appointment, promotion, transfer, or advancement of a family member or
business associate to e,n office or Do~sition of the Cit~/ of Jeffersonville:
Indiana.... "
An official or employee shall not partici0ate in an action relatinq to the
employment or discipline, a. fa.m.!ly member or busines_s- as~;~o~_~iat~
3) Improper influence. No officer or employee, except in the course of
official duties, shall assist any person in any transaction with an agency
when such officer's or employee's assistance is, or to a reasonable person
would appear to be, enhanced by that officer's or employee's position with
an agency. This subsection shall not apply either to an elected official, or
to any official or employee appearing on his own behalf or representing
himself as to any matter in which he has an economic interest, if not
otherwise prohibited by law.
4) Prohibition of certain financial interest. No official or
employee, regardless of prior disclosure thereof, who has a material
interest, personally, or through a member of his or her family, in any
business entity doing or seeking to do business with any agency, shall
knowin_~ly influence or attempt to influence the selection ' of, or the
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conduct of business with, such business entity by any agency;
5) Gifts or loans prohibited. No official or employee shall solicit or
receive any thing of monetary value from any person when it has been
solicited, received or given or, to a reasonable person, would appear to
have been solicited, received or given, with the intent to give or obtain
special consideration or influence as to any action by such official or
employee in his or her official capacity. Nothing shall prohibit
contributions, including political contributions, which are reported in
accordance with applicable law or which are accepted on behalf of an
agency, or an honorarium, travel or other expenses reimbursed to any
official or employee as a result of a speaking engagement or personal
appearance made as a result of that individual's official position.
6) Gifts or honoraria in excess of $200.00 (Two hundred Dollars)
prohibited. No official or employee shall accept gifts or honoraria
(including such received by his or her family members) that exceed an
aggregate value of $200.00 (Two hundred dollars) in any 12 (twelve)
consecutive months from an individual business entity and all subsidiaries
threof, that is doing business with the agency in which the official or
employee holds an office or position of employment.
7) Disclosure of privileged information. No official or employee
shall disclose or use any information gained by reason of his or her
official position for the immediate or anticipated personal gain or benefit
0fthe official or employee or any other person. However, nothing shall
prohibit the disclosure or use of information which is a matter of public
knowledge or which is available to the public on request.
V. COMPLAINTS, INVESTIGATIONS, HEARINGS AND
APPEALS
1) Any person may file a complaint alleging a violation of this article. If
such complaint is filed by a member of the Ethics Commission, such
member is then disqualified in participating in any proceedings that may
arise from the complaint.
a) The complaint shall be in writing and signed under the penalties
of perjury by the affiant. The complaint shall state the nature of
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the alleged violations, the dates, time and place of each occurrence,
and name of the persons charged with the violations. The complaint
shall be filed with the Secretary of the Board, the Mayor, the
President of the Jeffersonville City Council, the Clark County
Prosecuting Attorney's Office, and the accused at which the
complaint is directed. The complaintant shall also provide copies of
any and all relevant documents to substantiate the allegations set
forth.
b) All complaints shall remain confidential. When a complaint
reaches public hearing before the ethics commission, the complaint
and all records pertaining thereto shall become public records.
c) Within thirty (30) days after receipt of a complaint, the secretary
shall conduct a preliminary investigation. The secretary may
request that the ethics commission extend the time for the
completion of such preliminary investigation. If the ethics
commission determines that such extension is necessary or
desirable and would not be prejudicial to the person charged with
the violation, the board of ethics shall grant the extension. If the
ethics commission determines that the preliminary investigation
must be completed in less than thirty days in order to avoid
prejudice or irreparable harm to the person charged with the
violation, the ethics commission shall order the secretary to
complete the preliminary investigation in a shorter period of time,
and the secretary shall comply.
d) If the secretary determines, after preliminary investigation, that
there are no reasonable grounds to believe that a violation has
occurred, the secretary shall report that determination to the
commission. The Ethics Commission shall review 'and either dismiss
or pursue the complaint. If the commission does so dismiss the
complaint, they shall do so in writing, setting forth the facts and
the provisions of law upon which the dismissal is based, and provide
copies of the written dismissal to the complaint, to the person
charged with the violation and to the ethics commission. The record
shall remain confidential unless the person against whom the
complaint was made requests disclosure.
e) If, after preliminary investigation, the secretary 'does not dismiss
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the complaint or ask for additional time to conduct a more extensive
investigation, the secretary shall refer the complaint to the ethics
commission. The commission shall schedule the matter for
hearing within thirty (30) days, and the accused shall be given the
o!~oortunitv to attend. The matter may be resolved at a
prehearing conference between the secretary and the person charged
with the violation, and any such resolution must be approved by the
ethics commission,
f) All hearings that are held to determine whether the provisions of
this article have been violated shall be conducted in conformance
with the rules and regulations of the ethics commission as
otherwise provided in this article.
2) The right to appeal those decisions entered into by the
commission shall be as follows:
1) If an employee or official objects to the findings of the Board he
shall, within fifteen (15) days of receipt of notice thereof file a
notice of objection to the commission's findings. That the employee
or official shall set forth specifically her objections and set forth
specifically her request for relief. That notice shall be delivered to
the office of tl~e Secretary of the Commission. Within ten (10) days
the Secretary shall be re~3uired to forward co_Dies to the Mayor of
Jeffersonville, and the accusedl
2) Within ten (10) days of the delivery of notice the
Commission shall meet to consider the official's or employee's
objections. That the Commission shall either affirm its original
decision, amend its decision or reverse its decision based upon the
official or employee's request.
3) If the employee or official objects to the COmmission's
decision, the official or employee may appeal the Commission's
decision to the Clark Circuit Court.
4). The standard of review shall be the same as that standard
for reviewing all administrative decisions in the State of Indiana.
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VI. ENFORCEMENT
1) Any official or employee who knowingly fails to file a statement of
economic interest when required by section II, shall be subject to a fine
of twenty-five dollars ($25.00) for each thirty days such a statement is
delinquent. The Commission or Judge shall have the discretion to waive
any fine imposed by this section.
2) Failure of any official, employee, candidate or consultant to file a
statement may result in the Commission reporting such failure to the
appropriate supervisory or appointment authority and may be cause for
suspension, discharge, removal from office, or other such disciplinary
action as may, by the appropriate authority, be deemed necessary and
proper.
3) A violation of this article may be cause for suspension, discharge,
removal from office, or other such disciplinary action as may, by the
appropriate authority, be deemed necessary and proper, and consistent
with personnel ordinances and rules. A written response outlining any
action taken as a result of a violation or the recommendation of the ethics
commission shall be made within fourteen (14) calendar days after
receipt of the written recommendation. This section shall not derogate
from employee rights under any collective bargaining agreement or
personnel ordinance, or rule promulgated thereunto. If the appropriate
authority determines that the written response required in this section
cannot be made within fourteen (14) calendar days after receipt of the
recommendation, because of procedures prescribed under any collective
bargaining agreement, personnel ordinance, or rule promulgated thereunto,
the appropriate authority shall so report within fourteen (14) days after
receipt of the recommendation, stating the date or~ which the written
response will be submitted to the ethics commission. Upon receipt of the
written response, or in the event no response is received, the ethics
commission shall review such matter and make such further
recommendation as may be appropriate.
This ordinance shall become effective fourteen (14) days after it's
passaqe and a!3_oroval.
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Each provision of this ordinance is adopted separately. In the event that
~ny section or part of this ordinance is deemed to be illegal or invalid,
only that section shall be repealed. The remaining parts of the ordinance
shall remain in effect.
Passed and adopted by the Common Council of the City of Jeffersonville, in
Clark County, Indiana, on this '7 day of ~_/_.~--~1993.
P~sident, Common Council
Attest:
.....
C. Richard SpencerS' Jr. ~'
Clerk-Treasurer
This ~rdinance has been seen, approved, and signed by..me this
day of ~--x.-~..~ , 1993.
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