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HomeMy WebLinkAboutD-1767-05 Ethics Ord./DEFEATEDSPONSOR(s): Councilor(s): Glaser & Rattermann ORDINANCE D- 1767-05 AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY INDIANA, ESTABLISHING A CODE OF ETHICS FOR Purpose and intent. Whereas - the Common Council of the City of Carmel standard of ethical conduct for government officials and employees; to have a Whereas - the elected and appointed officials and emph guidance to the expectations of conduct; and of the city of Carmel need Whereas- the citizens of the City tivity, it is hereby declared thfit the following this city; and : Whereas - the government requires that public responsible to the people; that i of governmental structure; have confidence establish the that ~roper employees for of ethical ac- for impartial and and that the public It is the and acts that are ployees vide effective means the ability of these formational functions in This disclosing NOW Carmel, Ind sh ethical star require ement thereol to partici for all officers and unpaid; to set forth those by such officers and em- city or county; and to pro- ~ot to be construed so as to impair ceremonial, representational, or in- / construed ig(.f, avor~lof protecting the public interests by fully )romoting ~ttx~ca?tandards of conduct for city and county 2}RE, BE IT ORDAINlgD by the Common Council of the City of as follows: For in~ of this article, the words and phrases defined in this section shall have the follow- Agency means every department, office, board, commission or committee of the City of Carmel or any subdivision thereofi Board of ethics means the board of ethics established by this ordinance, which is an agency un- der the jurisdiction of this article. 7/21/2005 1 SPONSOR(s): Councilor(s): Glaser & Rattermann Business entity means a proprietorship, partnership, unincorporated association, trust, firm or corporation. 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. Doing business means engaging in an activity: (l) for profit or gain or (2) that requires a license or permit by an agency. Employee means any individual, other than an elected official, receiving compensation for ser- vices performed for the City of Carmel except individuals who perform services as independent contractors. Fair market value means the price that would be paid by a willing buyer to a willing seller in a good faith transaction into which neither party is compelled to enter. Gifts or honoraria means money or other property having economic value which is transferred to an officer or employee without consideration in money or money's worth, but does not in- clude: · Food or drink consumed by an official or employee or a member of his or bet imme- diate family, during the conduct of official public business or attendance at public ceremonies as a public official or employee; · Mementos or souvenirs of nominal value received at public ceremonies or commemo- rating official business; · Invitations or tickets to political fund raising dinners or public charitable benefits when used by an officer or employee or member of his or her immediate family; · Food or drink consumed by an elected official, deputy mayor or department director during attendance in connection with his or her official duties at a convention of pub- lic officials if consumed at a reception or gathering with other public officials. Immediate family means: · A spouse, former spouse, brother or sister and · Any child (natural or adopted) · Parent or spouse's parent. Material interest means ownership of five (5) percent or more of a business entity. Mayor means the mayor of the City of Carmel. Officer means every individual elected or appointed to an office or position in any agency, commission or municipal corporation subject to IC 36-3-6-9, whether such individual is paid or unpaid. Pecuniary interest means an interest which will result or is intended to result in an ascertainable increase in the income or net worth of the officer or employee or a member of his or her immedi- ate family. 7/21/2005 2 SPONSOR(s): Councilor(s): Glaser & Rattermann Person means any individual, association, corporation, or other legal entity. Application of article. This article applies to officers and employees, except (1) the judge of the city court · Masculine gender, when used in this article, includes the feminine. · The singular of any noun, when used in this article, includes the plural whenever appro- priate. Board of ethics Creation and composition of the board. There is hereby created and established a board of ethics, consisting of five (5) members who do not hold a position of employment in any city de- partment or agency (including elected officials), and who are not declared candidates for elected, non-party public office. Appointment of members and chairperson. The Mayor shall appoint one (1) member. The Township Trustee shall appoint one (1) member. The Carmel Common Council shall appoint two (2) members, who shall not be affiliated with the same political party. The Clerk of the City shall appoint one (1) member. The members of this board shall annually elect a chairperson, vice chairperson and secretary. The chairperson cannot succeed himself/herself to that position. Each appointment shall be made for a term of two (2) years, ending twenty four months after the date of appointment. Each appointee shall serve at the pleasure of the appointing authority and until his or her successor is duly appointed and qualified. Vacancies shall be filled by that ap- pointing authority which appointed the member creating the vacancy. A member appointed to fill a vacancy shall serve for another twenty four (24) month duration. Expenses of the Board of Ethics shall be borne by the budget of the city council and shall not exceed $1,000 per year unless specially appropriated by a majority of the Common Council. The members of the Board of Ethics shall not be paid for services rendered but expenses can be re- imbursed in accordance with state, county and city laws. General authority of the Board of Ethics, The board of ethics shall have the powers and re- sponsibilities: 1. To adopt, amend and rescind rules and regulations in furtherance of its purposes, pursuant to the procedure outlined in this code. 2. To make recommendations to the Cannel Common Council for amendments to this article and for such other legislation affecting the subject matter of this article as the board of ethics may deem necessary or desirable. 3. To provide a continuing program of educational assistance and information regarding ethical conduct of all officers and employees. 4. To annually review the statements of economic interest filed pursuant to this article. Advisory opinions. Upon the written request of an officer or employee, or without such bequest should a majority of the board deem it in the public interest, the board of ethics may render advi- sory 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 7/21/2005 3 SPONSOR(s): Councilor(s): Glaser & Rattermann shall issue an advisory opinion in writing as to any such question. The board shall publish its opinions with any deletions or modifications necessary to prevent disclosure of the identity of the person who is the sub, eot of the opinion. Investigations. Upon request by the mayor, a department director, an officer or employee, mem- ber of the board of ethics, or any member of the Carmel Common Council, the board of ethics may hold hearings to investigate possible violations of this article. If such board finds that a vio- lation of this article has occurred, it may recommend to the mayor or other appropriate officials a resolution of the violation, or public disclosure of the violation, or disciplinary action, which may include dismissal. Reporting requirements. The Board shall be charged to create and then modify as needed the statement of economic interests to be filed by all persons this code applies to. This statement of economic interest fore, at shall be approved by a majority of the common council after the Board of Ethics recommends it. Standards of ethical conduct. Disqualification from acting on city. or county business. Any officer or employee shail dis- qualify himself or herself and refuse to act on any matter in which such officer or employe6, a member of his or her immediate family, or the private employer of the officer or employee has a pecuniary interest or might derive a profit and upon which the officer or employee would be re- quired to act in the discharge of his official duties. Improperly using official position. No officer or employee shall use or permit the use of any individual, funds or property under his or her official control, direction or custody, or of 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 officer or employee or any other person; provided that nothing shall prevent the private use of property of an agency which is available on equal terms to the public generally (such as the use of library books or tennis courts), or 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 as- signed to those law enforcement officers, if allowed by the rules of the respective department, if, in fact, the property is used appropriately. 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; provided that this subsection shall not apply either to any elected official, or to any officer or employee appearing on his own behalf or representing himself as to any. matter in which he has a proprietary interest, if not otherwise prohibited by law. Prohibition of certain financial interest. No officer or employee, regardless of prior disclosta'e thereof, who has a material interest, personally or through a member of his or her immediate family, in any business entity doing or seeking to do business with an agency shall influence or attempt to influence the selection of or the conduct of business with such business entity by an agency. 7/21/2005 4 SPONSOR(s): Councilor(s): Glaser & Rattermann Gifts or loans prohibited. No officer 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 officer or employee in his or her official ca- pacity; provided that 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 officer or employee as a result of a speaking engagement or personal appearance made as a result of that individual's official posi- tion. Gifts or honoraria in excess of $250.00 prohibited. No employee or appointed officer shall accept gifts or honoraria (including such received by members of his or her immediate family) that exceed an aggregate value of two hundred fifty dollars ($250.00) in any twelve (12) con- secutive months from an individual business entity that is doing business with the agency in which the appointed officer or employee holds an office or position of employment. Disclosure of privileged information. No officer or employee shall disclose or use any informa- tion gained by reason of his or her official position for the immediate or anticipated personal gain or benefit of the officer or employee or any other person; provided that nothing shall prohibit the disclosure or use of the information which is a matter of public knowledge or which is available to the public on request. Statement of economic interests. The board of ethics shall require: 1. All officers; and 2. Any employee who, as of December 31 of the previous year: A. Was a sworn member of the Carmel police department at a rank of lieutenant or above or was a sworn member of the Carmel - Clay fire department at a rank of captain or above; B. Was a civilian employee and received annual compensation from the City of Carmel dur- ing the previous calendar year at a base rate of pay greater than Fifty Three thousand dol- lars ($53,000) per annum; C. Was employed as or has a function within job duties as a purchasing agent for the city or was employed by the administration; or D. That received from an individual business entity doing business with a city agency or de- partment in which the officer or employee holds an office or 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); to file a statement of economic interests on or before the first day of May of each year. Any applicant for employment with an agency for a position which would qualify under (2)a., b., or c., above, shall be required to file a statement of economic interest prior to an offer of em- ployment being extended by the agency. 7/21/2005 5 SPONSOR(s): Councilor(s): Glaser & Rattermann Such statement of economic interests shall be affirmed as to its truth and accuracy under penal- ties of perjury and include the following information: 1. The name of the officer or employee; 2. The business address of the officer or employee; 3. ' The position in which the officer or employee serves an agency; 4. The employer of the officer or employee; 5. A list stating the amount and source of all gifts or honoraria the officer or employee and members of his or her immediate family received during the past calendar year having an aggregate fair market value in excess of one hundred dollars ($100.00) from any individ- ual business entity doing business with an agency; 6. A statement of whether or not the officer or employee or any member of his or her im- mediate family had a direct or indirect pecuniary interest in any contract with the City of Carmel 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 business entity from which the officer or employee received any com- pensation which, to the best of his or her 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 or employee or his or her immediate family owns stocks, bonds or other investments which represent ownership of five (5) percent or more of that business or have a value in excess of five thousand dollars ($5,000.00) and which business entity, to the best of his or her knowledge, is doing or contemplates doing business with an agency. All statements of economic interest shall be kept on file at the office of the secretary of board of ethics.and shall be available to the public upon written or verbal request within three days of such request. Complaints, investigations, hearings and enforcement. Any person may file a complaint alleging a violation of this article. If such complaint is filed by a member of the board of ethics, such member is then disqualified from participating in any pro- ceedings that may arise from the complaint. The complaint shall be in writing and signed by the complainant. The written complaint shall state the nature of the alleged violation(s), the date(s), time and place of each occurrence, and name of the person(s) charged with the violation(s). The complaint shall be filed with the secre- tary of the board of ethics, who shall provide a copy to the person charged with a violation, unless in the opinion of the secretary anonymity of the complainant should be maintained. The complainant shall provide the secretary with all available documentation or other evidence to demonstrate a reason for believing that a violation has occurred. All complaints shall remain confidential. When a complaint reaches public hearing before the board of ethics, the complaint and all records pertaining thereto shall become public records. Within thirty (30) days after receipt of a complaint, the secretary shall conduct a preliminary in- vestigation. The Secretary may request that the board of ethics extend the time for the completion of such preliminary investigation. If the board of ethics determines that such extension is neces- 7/21/2005 6 SPONSOR(s): Councilor(s): Glaser & Rattermann sary or desirable and would not be prejudicial to the person charged with the violation, the board of ethics shall grant the extension. If the board of ethics determines that the preliminary investi- gation must be completed in less than thirty (30) days in order to avoid prejudice or irreparable harm to the person charged with the violation, the board of ethics shall order the secretary to complete the preliminary investigation in a shorter period of time, and the secretary shall com- ply. If the secretary determines, after preliminary investigation, that there are no reasonable grounds to believe that a violation has occurred, the secretary shall dismiss the complaint. If the secretary does so dismiss the complaint, he or she shall do so in writing, setting forth the facts and the pro- visions of law upon which the dismissal is based, and provide copies of tbe written dismissal to the complainant, to the person charged with the violation and to the board of ethics. The com- plainant shall have the right to appeal the decision of the secretary to the board of ethics. If the complaint is dismissed, the record shall remain confidential unless the person against whom the complaint was made requests disclosure. If, after a preliminary investigation, the secretary does not dismiss the complaint or ask for addi- tional time to conduct a more extensive investigation, the secretary shall refer the complaint to the board of ethics for hearing, unless the matter is resolved at a prehearing conference between the secretary and the person charged with the violation, and the prebearing resolution is approved by the board of ethics, all in accordance with applicable rules and regulations. All hearings that are held to determine whether the provisions of this article have been violated shall be conducted in conformance with rules and regulations of the board of ethics except as otherwise provided in this article. Within thirty (30) days from the date the secretary refers a complaint to the board of ethics for hearing, the board of ethics shall hold a public hearing and issue a written determination stating whether the article has been violated and setting forth the facts and the provisions of law upon which this determination is based. A copy of such determination shall be delivered to the com- plainant, to the person charged with the violation and, where appropriate, to the person's supe- rior. If the board of ethics determines that a city officer or employee has violated the provisions of this article, the board may recommend to the proper authority that the officer or employee be subject to disciplinary action. Enforcement. Any officer or employee who fails to file a statement of economic interest when required by this ordinance shall be subject to a fine of twenty-five dollars ($25.00) for each thirty (30) days such statement is delinquent, which shall be in addition to the other provisions of this section. Follow- ing a hearing, the board shall have the discretion to waive any fine imposed by this section. Failure of any officer or employee to file a statement of economic interest when required by this ordinance may result in the board reporting such failure to the appropriate supervisory or ap- 7/21/2005 7 SPONSOR(s): Councilor(s): Glaser & Rattermann pointing authority and may be cause for suspension, discharge, removal from office, or such other disciplinary action as may, by the appropriate authority, be deemed necessary and proper. A violation of this article shall be cause for suspension, discharge, or removal from office, or such other 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 ac- tion taken as a result of a violation or the recommendation of the board of ethics shall be made by the appropriate authority to the board of ethics 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 rules 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 proce- dures prescribed under any collective bargaining agreement, personnel ordinance, or rule prom- ulgated thereunto, the appropriate authority shall so report within fourteen (14) days after receipt of the recommendation, stating the date on which the written response will be submitted to the board of ethics. Upon receipt of the written response, or in the event no response is received, the board of ethics shall review such matter and make such fi~rther recommendation as may be ap- propriate. PASSED by the Common Council of the City of Carmel, Indiana this __ 2005, by a vote of ayes and nays. day of COMMON COUNCIL FOR THE CITY OF CARMEL Presiding Officer Ronald E. Carter, Fredrick J. Glaser Joseph C. Griffiths Kevin Kirby, President Pro Tempore Brian D. Mayo Mark Rattermann Richard L. Sharp ATTEST: Diana L. Cordray, IAMC, Clerk-Treasurer 7/21/2005 8 SPONSOR(s): Councilor(s): Glaser & Rattermann Presented by me to the Mayor of the City of Carmel, Indiana this __ day of 2005, at .M. Diana L. Cordray, IAMC, Clerk-Treasurer Approved by me, Mayor of the City of Carmel, Indiana, this __ day of 2005, at .M. ATTEST: James Brainard, Mayor Diana L. Cordray, IAMC, Clerk-Treasurer Prepared by Mark Rattermann and Fred Glaser based on model code from IACT and Marion County code #293. 7/21/2005 9