HomeMy WebLinkAboutD-1846-07 Ethics Ordinance
SPONSORS: Councilors Glaser and Rattermann
ORDINANCE NO. D-1846-07
(AS AMENDED)
AN ORDINANCE OF THE COMMON COUNCIL OF THE CITY OF CARMEL INDIANA.
ESTABLISHING A CODE OF ETHICS FOR CARMEL OFFICERS. ELECTED OFFICIALS
AND EMPLOYEES, BY ADDING CHAPTER 2, ARTICLE 5,
SECTION 2-184 TO THE CARMEL CITY CODE
WHEREAS, it is desirable for all levels of government to have a standard of ethical conduct for
their government officers, elected officials and employees; and
WHEREAS, the Common Council finds that the proper operation of representative government
requires that elected officials, officers and employees be independent, impartial and responsible to the
people; that governmental decisions and policies be made within proper channels; that public office not be
used for personal gain; and that the public have confidence in the integrity of its government; and
WHEREAS, it is the purpose of this Ordinance to establish ethical standards of conduct for all
officers, elected officials and employees of the City, to set forth those acts that are incompatible with such
standards; to require disclosure by such officers, elected officials and employees of private fmancial
interests in matters affecting the City; and, to provide an effective means for the enforcement thereof.
This Ordinance shall not be construed as impairing the ability of these officers, elected officials and
employees to participate in ceremonial, representational or informational functions in the pursuit of their
official duties, but should otherwise be liberally construed in favor of fully disclosing conflicts of interest
and maintaining high ethical standards of conduct; and
WHEREAS, the Common Council desires to create an independent board to investigate, for and
on its behalf, ethics charges against City employees, elected officials and officers pursuant to Indiana
Code 36-4-6-21; and
WHEREAS, the elected and appointed officers, officials and employees of the City of Carmel are
entitled to be informed of what is required of them as regards their conduct; and
WHEREAS, it is hereby declared that the following Ordinance shall establish a Carmel "Code of
Ethics."
NOW, THEREFORE, BE IT ORDAINED by the Common Council of the City of Carmel,
Indiana, as follows:
Section 1: The foregoing Recitals are incorporated herein by this reference.
Page One ofTen Pages
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attomey Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattermann
Section 2: Chapter 2, Article 5, of the Carmel City Code is herby amended to add a new Section
2-184, which shall read as follows:
"Sec. 2-184. City Code of Ethics.
A. Eth ics Board
1. Creation of Ethics Board. There is hereby created and established a City of Carmel Ethics Board
("Board") which shali consist solely of five (5) voting members, none of whom shali hold any position of
employment or appointment with the City or an Agency and/or as an Elected Official. AIi Board members
appointed by the Mayor or the Council shali be residents of the City at the time of and throughout their
term(s) on the Board. The remaining Board member shali be a resident of Clay Township at the time of
and throughout his/her term(s) on the Board. Subject to subsection (A)(2) below, Board members shali
serve terms of two (2) years each, and may not serve more than four (4) successive terms.
2. Appointment of Members; Procedural Matters.
a. The Mayor and the Common Council shali each appoint two (2) members to the Board. The
Clay Township Trustee shali appoint one (1) member to the Board. One (1) of the Mayor's
initial Board appointments and one (1) of the Councii's initial Board appointment shall expire on
January 1, 2009. The other initial Board appointments made by the Mayor and the Council
shali expire on January 1, 2010, as shali the initial Board appointment of the Clay Township
Trustee. All subsequent Board appointments shali be appointed for two (2) year terms.
Notwithstanding the above, a Board member shali serve until his/her successor is appointed
and qualified, and all Board members serve at the pleasure of their appointing authority. One of
the Common Council and one of the Mayoral appointments shali not be affiliated with the same
political party as the Mayor. If the Clay Township Trustee position is removed by state law or
he/she refuses to serve on the Board, this appointment shali be made by the president of the
Carmel-Clay School Board.
b. An organizational Board meeting shali be held not later than thirty (30) days after the effective
date of this Ordinance. Within sixty (60) days from the date of this organizational meeting, the
Board shali establish written rules to govern its operation, including, but not limited to, the time
and place of its meetings. Three (3) members of the Board shall constitute a quorum for
purposes of taking official Board action. AIi official actions of the Board shali require the
affirmative vote of at least four (4) Board members. The members of the Board shali annualiy
elect a Chairperson (who cannot succeed himself/herself in that position), a Vice Chairperson
and a Secretary from amongst the current Board members.
3. Board Expenses. AIi Board expenses shall be borne by the budget of the Common Council and shall
not exceed One Thousand Dollars ($1,000.00) per year unless specialiy approved in advance by the
Common Council. The members of the Board shali not be paid for their services, but reasonable
expenses may be reimbursed in accordance with City ordinances and applicable law.
Ordinance No. D-1846-07, As Amended
Page Two ofTen Pages
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattermann
4. General Authority of the Board. The Board shall have the power and responsibility to: '
a. Adopt, amend and rescind rules and regulations in furtherance of its purposes, pursuant to
the procedure outlined in this Ordinance and applicable law.
b. Make recommendations to the Common Council for amendments to this Ordinance and for
such other legislation affecting the subject matter of this Ordinance as the Board may deem
necessary or desirabie.
c. Provide a continuing program of educational assistance and information regarding ethical
conduct to all Officers, Elected Officials and Employees.
d. Review the Statements of Economic Interest filed pursuant to this Ordinance.
B. Definitions
For purposes of this Ordinance, the words and phrases contained herein shall have the following meanings:
1. Agency means every department, office, board, commission and committee of the City, including, but
not limited to, the Board.
2. Board means the City of Canmel Board of Ethics established by this Ordinance.
3. Business Entity means a sole proprietorship, partnership, unincorporated association, trust, firm,
corporation and/or limited liability company.
4. "City" means the City of Carmel, Hamilton County, Indiana.
5. Compensation means any money, thing of value, service or economic benefit conferred upon or
received by any Elected Official, Officer or Employee from any Person except the City or an Agency in
return for services rendered or to be rendered, but does not mean items or property excluded herein
from the definition of Gifts or Honoraria.
6. "Elected Official" means the City's duly elected Mayor, Clerk-Treasurer and Common Council
members.
7. Employee means any individual, other than an Elected Official, who is employed by the City under an
express or implied contract to hire and as to whom the City has the right to control the details of his/her
work performance.
8. Gifts or Honoraria means money or other property which is transferred to an Elected Official, Officer or
Employee without reasonable value being provided for same by said Elected Official, Officer or
Employee, but does not include:
a. Food or drink consumed by an Elected Officiai, Officer or Employee or a member of his/her
Immediate Family, during the conduct of official City business or at public ceremonies; or
Ordinance No. D-1846-07, As Amended
Page Three ofTen Pages
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattermann
b. Mementos or souvenirs of nominal value received at public ceremonies or commemorating
official City business; or
c. Invitations or tickets to political fund raising dinners or public events when used by an
Elected Official, Officer or Employee or a member of his/her Immediate Family; or
d. Food or drink consumed by an Elected Officiai, Official or Employee in connection with
official City business at a convention, reception or gathering of other public officials and/or
municipal employees.
e. Travel or other expenses paid or reimbursed as a result of speaking engagements,
educational training or personai appearances made as a result of or by virtue of an Elected
Official's, Officer's, or Employee's official position or duties.
9. Immediate Family means:
a. A Spouse, brother or sister, step-brother or step-sister; or
b. Any child (natural or adopted) who is unemancipated and less than eighteen (18) years old
and/or who receives more than fifty percent (50%) of his/her support from the Employee,
Elected Official or Officer and/or his/her spouse; or .
c. A parent or step-parent of the Employee, Officer or Elected Official, or of his/her spouse.
10. Material Interest means ownership of five percent (5%) or more of a Business Entity, except for an
interest that is no greater than that which is cumulatively held by the general public.
11. Mayor means the Mayor of the City.
12. Officer means a natural person appointed to an office or position in any Agency.
13. Pecuniary Interest means an interest which results or is reasonably intended to result in an
ascertainable increase in the income or net worth of an Elected Official, Officer or Employee, or a
member of his/her Immediate Family.
14. Person means any individual, association, corporation, or other legal entity, and the masculine gender
includes the feminine.
15. "Secretary" shall mean the Board member who is appointed to that position in accordance with the
Board's rules and regulations.
16. Statement of Economic Interest means the annual statement required by this Ordinance.
Ordinance No. D-1846-07, As Amended
Page Four ofTen Pages
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattermann
C. Aoolication of Ordinance
This Ordinance applies to all Elected Officials, Officers and Employees, except the Judge of the City Court.
D. Advisory Ooinions
Upon the written request of an Elected Official, Officer or Employee, the Board may render written advisory
opinions conceming matters covered by this Ordinance. These opinions shall not be binding, and constitute
advisory or deliberative material that are expressions of opinion used for decision-making only, and are therefore
that are not subject to mandatory disclosure under I.C. 5-14-3-4.
E. Statement of Economic Interests.
The Board shall create, and modify as needed, a Statement of Economic Interests to be filed by those Persons
required to do so pursuant to this Ordinance. This Statement of Economic Interests shall be approved by
resolution and adopted by the Common Council. No Person shall be deemed to have violated this Ordinance by
failing to file a Statement of Economic Interests prior to the date on which the same is approved and adopted by
the Common Council. The completion and filing of a Statement of Financial Interests does not excuse a Person
from filing a separate Conflict of Interest form as required by Indiana law.
F. Standards of Ethical Conduct
1. Disqualifications. Any Elected Official, Officer or Employee shall disqualify himself/herself from and
refuse to take final action on any matter in which he/she or a member of his/her Immediate Family, has a
Pecuniary Interest, and upon which the Elected Official, Officer or Employee would be required to act in
the discharge of his/her official duties, except for the adoption of the annual City salary ordinances and
the City budget.
2. Improper Use of Official Position. No Elected Official, Officer or Employee shall use or permit the use
of his/her official position, funds or property under his/ her official control, direction or custody, for a
purpose which is primarily for the private benefit of the Elected Official, Officer or Employee or his/her
Immediate Family; provided that nothing herein shall prevent the private use of property that is available
on equal terms to the public generally (such as library books, tennis courts and golf courses), or the use.
of property in accordance with City policy in the conduct of official business, the use of vehicles and
other equipment by off-duty employees in compliance with their department rules, and/or the
employment of any Elected Official, Officer, Employee or his/her Immediate Family by the City or by an
Agency.
3. Gifts and Honoraria Prohibited. No Elected Official, Officer or Employee shall accept Gifts or
Honoraria that individually or cumulatively exceed the value of Two Hundred Fifty Dollars ($250.00) in
any calendar year from any Business Entity that is doing business with the City and/or an Agency.
No Elected Official, Officer or Employee shall accept anything of monetary value from any Person that
has been solicited by same with the intent to give special consideration or influence as to any action by
such Elected Official, Officer or Employee in his/her official capacity. However, nothing herein shall
prohibit the receipt of political and other contributions that are lawful under and reported in accordance
with Indiana law, and/or which are accepted on behalf of the City or an Agency.
Ordinance No. D-1846-07, As Amended
Page Five ofTen Pages
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattennann
G. Submission of Statement of Economic Interests; Review
Beginning with calendar year 2008, all Elected Officials, Officers and Employees shall file a Statement of
Economic Interests with the Secretary of the Board on or before the first day of March of the immediately
succeeding calendar year.
This Statement of Economic Interests shall be affirmed as to its truth and accuracy under penalties of perjury and
include the following information:
1. The name of the submitting Elected Official, Officer or Employee; and
2. The business address of the submitting Elected Official, Officer or Employee; and
3. The position in which the sUbmitting Elected Official, Officer or Employee holds with the City or Agency;
and
4. Each employer of the Elected Official, Officer or Employee; and
5. A listing of all Gifts or Honoraria the Elected Official, Officer or Employee received during the past
calendar year that are reasonably believed to have an aggregate value in excess of Two Hundred Fifty
Dollars ($250.00) from any Business Entity doing business with the City and/or an Agency; and
6. A statement of whether or not the Elected Officiai, Officer or Employee, or any member of his/her
Immediate Family, had a Pecuniary Interest in any contract with the City or any Agency during the past
calendar year, (including, but not limited to, an independent contractor contract, but excluding an
Employee contract) and, if so, a description of the Pecuniary Interest; and
7. The name of each Business Entity from which the Elected Official, Officer or Employee received any
Compensation during the preceding calendar year except for those items and property herein excluded
from the definition of Gifts and Honoraria; and
8. The name of any Business Entity in which the Elected Official, Officer or Empioyee or his/her Immediate
Family owns a Material Interest and which Business Entity is doing business with the City or an Agency.
To the extent any or all of the above information is contained in the Uniform Conflict of Interest Disclosure
Statement filed in accordance with Indiana Code 35-44-1-3, that form can, to such extent, be substituted for
the Statement of Economic Interests. All Statements of Economic interests shall be filed with the Secretary
and permanently maintained by the Secretary in a secure safe located in the Council's City Hall office and
accessible only to Board members. These statements shall be made available to the public by the Board only
as required by indiana's Access to Public Records Act (I.C. 5-14-3), or final court order. The Board shall
review these Statements of Financial interest within one hundred twenty (120) days of their receipt by the
Board.
Ordinance No. D-1846-07. As Amended
Page Six of Ten Pages
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattermann
H. Complaints. Investiaations. Hearinas and Enforcement
Any Elected Official, Officer or Employee may file a complaint alleging a violation of this Ordinance. If such
complaint is filed by or against a member of the Board, that member is disqualified from participating in any
proceedings that may arise from the complaint. The Complainant should follow all applicable department
rules, regulations and chain-of-command in filing his/her complaint, unless it is not reasonably possible or
appropriate to do so.
The complaint shall be in writing and signed by the complainant under oath and the penalties of perjury. The
complaint shali state the nature of the alleged violation(s), the date(s), time and place of each occurrence, and
the Person(s) charged with the violation(s). The complaint shall be filed with the Secretary, who shall promptly
provide a copy to the Person charged with the violation. The complainant shall provide the Secretary with all
available documentation and other evidence supporting the allegations set forth in the complaint. A copy of all
such documentation shall also be promptly provided to the Person charged with the violation. All complaints
and all records pertaining thereto shall be subject to disclosure only as required by Indiana's Access to Public
Records Act (I.C. 5-14-3) or final court order.
Within forty-five (45) days after the date of his/her receipt of a complaint, but no less than fifteen (15) days
after such date, the Secretary shall conduct an investigation into the allegations contained therein. The
Secretary may request that the Board extend the time for the completion of such investigation. If the Board
determines that such an extension is necessary or desirable and would not be prejudicial to the Person
charged with the violation, the Board shall grant the extension. If the Board determines that the investigation
must be completed in a shorter period of time in order to avoid prejudice or irreparable harm to the Person
charged with the violation, the Board shall order the Secretary to. complete the investigation in a shorter period
of time, and the Secretary shall comply.
If the Secretary determines, after investigation, that there are no reasonable grounds to believe that an
alleged violation of this Section has occurred, the Secretary shall dismiss the complaint or that portion thereof
for which no reasonable grounds exist. If the Secretary dismisses all or part of the complaint, he/she 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 complainant, to the Person charged with the violation and to the Board.
The complainant shall have the right to appeal the decision of the Secretary to the Board, who may uphold,
modify or reject the Secretary's decision. To the extent the Secretary's decision is not upheld by the Board, a
hearing will be held before the Board on the remaining allegations contained in the complaint. If the complaint
or any portion thereof is so dismissed, the record pertaining to the dismissed charge(s) shall remain
confidential unless the Person against whom the complaint was made requests disclosure, or as otherwise
required by applicable law or final court order.
If, after an investigation, the Secretary does not dismiss the entire complaint, the Secretary shall refer that
portion of the complaint that has not been dismissed to the Board for a hearing. A hearing shall then be held
thereon unless the matter is resolved at a prehearing conference between the Secretary, the Person charged
with the violation, and the Compiaintant, and a prehearing resolution is approved by the Board, the
Complainant and the Person accused, in accordance with applicable law and the Board's rules and
regulations.
Ordinance No. 0-1846-07, As Amended
Page Seven of Ten Pages
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattermann
Subject to the above, within thirty (30) days from the date the Secretary refers a complaint to the Board for
hearing, the Board shall conduct a public hearing on the remaining allegation(s) set forth in the complaint.
Upon the request of the Person accused, or with his/her consent, this hearing may be continued for an
additional period or periods of time not to exceed a total of forty-five (45) additional days.
At the hearing, the Person accused and the complainant shall each be entitled to be represented by counsel
to present exhibits and other evidence, to cross-examine witnesses, and to argue the law and the facts to the
Board. The accused shall not be required to present any evidence at this hearing, and the entire burden of
proof and persuasion shall remain on the complainant at all times to prove the truth of the allegations
contained in the complaint by a preponderance of the evidence. The hearing shall be tape-recorded, and all
witnesses shall be sworn. The Board is authorized to utilize the investigative powers set forth in Indiana Code
36-4-6-21(b) in furtherance of its obligations hereunder.
After the hearing is closed, the Board shall issue a written decision stating its opinion as to whether the
Ordinance has been violated, and setting forth its specific findings of fact and conclusions of law upon which
its decision is based. A copy of such determination shall be delivered to the complainant, to the Person
accused and to the Mayor within fifteen (15) business days from the date the hearing is closed. This written
determination shall constitute a public record.
If the Board determines that an Elected Official, Officer or Employee has violated this Ordinance, the Board
shall provide a copy of its written decision, as well as its written recommendations as to the proper resolution
of the matter, to the Mayor for his/her consideration. The Board's written recommendations shall be advisory
or deliberative expressions of opinion communicated only for the purpose of decision-making, and not subject
to mandatory disclosure under Indiana's Access To Public Records Act.
I. False ComDlaint
Any Person who files a complaint or testifies against any Elected Official, Officer or Employee pursuant to this
Ordinance in bad faith, with reckless disregard for the truth and/or by knowingly providing false information
shall be subject to discipline, up to and including termination, in accordance with the rules and regulations of
the City, the Agency and applicable law. Such discipline does not foreclose the Elected Official, Officer or
Employee from also pursuing private civil remedies against such Person.
J. Harassment
No Elected Official, Officer or Employee shali harass or otherwise take any adverse action against any Person
merely because such Person filed a good faith complaint pursuant to this Ordinance.
K. Enforcement
Any Elected Official, Officer or Employee who is found by the Carmei City Court to have failed to timely file a
Statement of Economic Interests as required by this Ordinance shall be subject to a fine of up to Fifty Dollars
($50.00) for each thirty (30) days the Statement is delinquent, in addition to the other provisions of this
Ordinance.
Ordinance No. D-1846-07, As Amended
Page Eight ofTen Pages
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattermann
Any violation of this Ordinance by an Official or Employee shall be cause for such disciplirlary action as may
be deemed necessary and proper by the Mayor, consistent with the City's personnel ordinances and rules.
The Mayor is not bound by the Board's determination and may conduct his/her own investigation prior to
imposing discipline on any Officer or Employee under his authority and/or control. A written response outlining
any action taken by the Mayor as a result of the recommendation of the Board shall be provided to the Board
by the Mayor within thirty (30) calendar days after receipt of the Board's written decision and
recommendations. Notwithstanding the above, this Ordinance shall not derogate from' Employee rights under
any City or Agency labor agreements or personnel ordinances or rules. Any final adverse employment action
taken or monetary fine imposed on any Elected Official, Officer or Employee pursuant to this Ordinance shall
be subject to judicial review as provided by applicable law.
This Ordinance does not prevent, as applicable, the submission of the facts set forth in a complaint filed hereunder to
the Hamilton County Prosecuting Attorney and/or the State Board of Accounts."
Section 3. This Ordinance shall be in full force and effect upon approval of the Common Council,
execution by the Mayor and such publication as is required by law.
Section 4. All prior ordinances or parts thereof inconsistent with any provision of this Ordinance
are hereby repealed, to the extent of such inconsistency only, as of the effective date of this Ordinance.
However, the repeal or amendment by this Ordinance of any other ordinance does not affect any rights or
liabilities accrued, penalties incurred or proceedings begun prior to the effective date of this Ordinance.
Those rights, liabilities and proceedings are continued and penalties shall be imposed and enforced under
such repealed or amended ordinance as if this Ordinance had not been adopted.
Section 5. Should any provision or portion of this Ordinance be declared by a court of competent
jurisdiction to be invalid for any reason, the remaining provisions shall not be affected so long as they
can, without the invalid provision, be given the effect intended by the Common Council in adopting this
Ordinance. To this end, the provisions of this Ordinance are severable.
~ l:A~SED by the Common Council of the City of Carmel, Indiana, this / <2 +~ay of
-=rf ~ 2007, by a vote of 5 ayes and (:) nays.
Ordinance No. D-1846-07, As Amended
Page Nine ofTen Pages
Prepared by Councilors Giaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Douglas C. Haney.
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SPONSORS: Councilors Glaser and Rattermann
CIL FOR THE CITY OF CARMEL,
Diana 1. Cordray, IAMC, Clerk-Trea
0'1 PRE5 - IVT
Brian D. Mayo
No'- PR.~St::N'-
M(~ .
Presented by me to th~Mayor of the City of Carmel, Indiana, this
2007, at \0: 3' O'clock, ~. M.
:-t1--.-
11 daYOf~
, Diana 1. Cordray, IAMC,
Approved by m~~r of the City of Carmel, Indiana, this (7+~ay of
2007, at 4: ;;l';)... O'clock, L. M.
Ordinance No. 0-1846-07, As Amended
Page Ten ofTen Pages
k- Treasurer
Prepared by Councilors Glaser and Rattermann, with amendments prepared by the Sponsors and by City Attorney Dougias C. Haney.
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