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HomeMy WebLinkAbout1994-OR-17AN ORDINANCE REGULATING ETHICS AND CONFLICTS OF INTEREST FOR CITY OFFICIALS AND EMPLOYEES WHEREAS, in order to insure that the govemment 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, though, 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: an employer; a corporation, general or limited partnership, or other business entity, in which the public official or employee, or other person subject to the Act: has an investment interest; owns; or 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: a party at a primary; nominating convention; or 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: i. solicitation is made; ii. contribution is received and retained; or iii. expenditure is made; or is an office holder who is the subject of a recall election. (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: (8) ordinance. evaluate bids for public contracts; or awards public contracts for the City of Jeffersonville, Indiana. Commission refers to the city ethics commission created under section 2 of this (9) Economic Interest means an interest distinct from that of the general public in the City's pumhase, 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: a. who is the spouse, parent, sibling, child, father-in-law, mother- in-law, son-in-law, daughter-in-law, grandparent, grandchild; or b. is a member of the individual's household. (12) Filer means an individual who is: a. an official; b. an employee; c. a candidate under the Campaign Finance laws of Indiana; d. 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 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: Printed informational promotional material. Free printed material which can be distributed for the public awareness or public education i.e. brochures, safety manuals, etc... b. 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. c. A certificate plaque other than a token commemorate with a value that does not exceed One Hundred Dollars ($100.00). d. Food or beverage consumed on the occasion when participation in a charitable, civic, or community event which bears a relationship to 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 purchasing for any department of the City of Jeffersonville in amounts over One Hundred Dollars ($100.00). 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 of 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 Mayor 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 appointment 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. Any appointee may be replaced by the appointing authority for cause. (3) General Authority of the ethics commission. The Ethics Commission shall have 4 the powers and responsibilities: a. to adopt, amend, and rescind rules in furtherance of the operation of the Commission. b. to make recommendations to the City Council for amendments to this ordinance and for such other legislation affecting the subject matter of this article as the Ethics Commission may deem necessary or desirable. c, To provide a continuing program of educational assistance and information regarding ethical conduct of all officials and employees, d. 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, 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 subject 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 Council, 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. II1. ECONOMIC INTEREST DISCLOSURE EXCEPTIONS TO REPORTING REQUIREMENTS: This section does not require the disclosure of economic information concerning the following: (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 statements of economic interest: (1) all officials. (2) an individual nominated to become an official. (3) an individual who s 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) For the period encompassing July 1, 1993 through December 1, 1993, the statement of economic interest shall be filed no later than July 1, 1994. (2) For the periods after 1993 statements of economic interest must be filed for the preceding year no 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, candidate or consultant; (2) the business address of the official, employee, candidate or consultant; (3) agency; the position in which the official, employee, candidate or consultant serves an (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 source and description 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 filer'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 or claim against the City of Jeffersonville, Indiana during the past calendar year, 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 this 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 over five per cent (5%) or more of the business or have a value in excess of Five Thousand Dollars ($5,000.00) 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 Employees and officials are to be impartial in the discharge of their duties. Decisions and policies must not be made outside the proper channels of City government. Public office is not to be used for private gain. Employees or officials may not solicit or accept outside payments for the performance of City duties. Employees or officials may not benefit financially from information of a confidential nature gained through City employment. Employees may not participate in job related decisions or votes of any kind in which the employees, their spouses, or dependent children have a financial interest. 7 · 7. · An employee or official may not accept a gift, favor, service, entertainment, food or drink .which could influence that person's action. 10. 11. 12. 13. 14. 15. 16. Payment for an appearance, a speech, or article may not be accepted if the appearance, speech, or article could be considered part of the employee's or officials official duties. An employee or official may not accept payment of expenses for travel, conventiOns, conferences, or similar activities which could influence the employee's or official's action. An employee may not solicit political contributions from persons or entities that have a business relationship with the employee's department. Supervisors may not solicit political contributions from employees they supervise. Employees may not have outside employment incompatible with their City employment or against their department's rules. Employees may not make unapproved use of City property, personnel, or facilities. Employees may not use City time for other than City duties. For a period of 1 year after leaving City government, former employees may not financially benefit from a contract they negotiated, prepared, or approved. Former employees may not assist a person regarding a particular matter in which they participated as part of their City duties for one year after they had that responsibility. 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 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 or an Ethics Commission member. If an Ethics Commission member receives the complaint, a copy of the complaint shall be provided to the Secretary within 72 hours, excluding weekends and holidays. Once the secretary receives a complaint form the secretary shall provide a copy of the complaint to the following people within 72 hours, excluding weekends and holidays: all Ethics Commission members; 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. 8 The complainant 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 (30) days in order to avoid prejudice or irreparable h arm 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 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 opportunity to attend. (2) 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. The right to appeal decisions entered into by the commission shall be as follows: a. 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 the Secretary of the Commission. Within ten (10) days the Secretary shall be required to forward copies to the Mayor of Jeffersonville, and the accused. b. 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. c. 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. d. The standard of review shall be the same as that standard for reviewing all administrative decisions in the State of Indiana. 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 (30) days such a statement is delinquent. The commission or Judge shall have thee 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 the receipt of the recommendation, stating the date on 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. ]0 · This ordinance shall amend Ordinance number 93-0R-22 and shall become effective fourteen (14) days after its passage and approval. Passed and ado_.,p~ted by the Common Council of City of Jeffersonville, Clark County, State of Indiana, on the ~day of May, 1994. ATTEST: C. RICHARD SF~NCER~:[R. CLERK-TREASURER STEVEN R. STEMLER PRESIDENT, COMMON COUNCIL This Ordinance approved and signed by me this ~ day of May, 1994. /RAYI~OND ~ PARKER, ',Jl~.: MAYOR 11 City of Jeffersonville, Indiana - Ethics DisclosUre Form Period from January 1, 199 through December 31, 199 Name:' Business Address:~ Your Position With or For the City:. Your Employer:. List the source and description of all gifts which you or any member of your family has received during the past calendar year from any individual or business entity doing business with the City of Jeffersonville, or any of its agencies, which have an aggregate fair market value in excess of $100.00: If you or any member of your family had a direct or indirect economic interest in any contract with (or claim against) the City of Jeffersonville or any of its agencies, during the period covered by this disclosure statement, other than a contract of employment with the City, explain tlie extent of that economic interest. Name any person or business entity from which you received any compensation who does business or contemplates doing business with the City of Jeffersonville or any of its agencies, during the period covered by this disclosure statement: List the name of any business entity which you or any family member owns stock, bonds or has an investment (which represents at least 5% of the business), if the business does or is contemplating doing business with the City of Jeffersonville or any of its agencies: I SWEAR OR AFFIRM, UNDER THE CRIMINAL PENALTIES FOR PERJURY, THAT TO THE BEST OF MY KNOWLEGE AND BELIEF THE FOREGOING REPRESENTATIONS ARE TRUE. DATE: