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Proposed Ethics Ordinance |
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Proposed Ethics Ordinance |
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DRAFT 07/24/09 ORDINANCE # 2009-__ AN ORDINANCE TO AMEND THE CITY CODE BY CRAFTING AN ‘ETHICS ORDINANCE’ FOR THE CITY OF ROYAL OAK, WITH PROVISIONS THAT INCLUDE, BUT ARE NOT LIMITED TO: CLARIFYING WHAT ARE CONFLICTS OF INTEREST FOR CITY EMPLOYEES, ELECTED AND APPOINTED OFFICIALS; CREATION OF AN ETHICS COMMISSION; AND THE ESTABLISHMENT OF PREVENTATIVE MEASURES TO DETER “PAY TO PLAY POLITICS;”
THE CITY OF ROYAL OAK ORDAINS: I. Short title. This chapter shall be known and may be cited as the "Ethics Ordinance." II. Purpose Declaration of Policy, Purpose, and Obligations This code focuses on conflicts of interest, which affect the decisions of government officials and employees in ways that are unfair both to the community and to individuals and entities who lack special relationships with our city's officials. The purposes of this ethics code are: A. To establish clear standards of ethical conduct - especially those dealing with conflicts between personal interests and those of the city of Royal Oak - for city elected officials, employees, consultants, candidates, and those who do business with the city; B. To provide clear guidance with respect to such standards by clarifying which acts are allowed and which are not; C. To promote public confidence in the integrity of our city's governance and administration; D. To provide for the consideration of potential ethical problems before they arise, to minimize unwarranted suspicion and to enhance the accountability of our city's government to city residents; and E. To provide for the fair and effective administration and enforcement of this code. III. Definitions. As used in this chapter, the following terms shall have the meanings indicated:
BUSINESS RELATIONSHIP Any situation in which two or more persons are partners, joint ventures, investors, shareholders, acting as agent and principal or as officer, director, trustee, administrator, employee or agent or any one of the above with another who is interested in the same business or contract.
CONFIDENTIAL INFORMATION Any information which is available to an employee only because of the employee's status as an employee of the City of Royal Oak and is not a matter of public knowledge or available to the public on request.
CONTRACT All types of agreements, regardless of what they may be called, for the procurement of supplies, services, or construction.
CONTRACTOR Any person having a contract with the City or a using agency thereof.
DIRECT OR INDIRECT PARTICIPATION Involvement through decision, approval, disapproval, recommendation, preparation of any part of a purchase request, influencing the content of any specification or procurement standard.
EMPLOYEE An individual drawing a salary or wages from the City of Royal Oak, whether elected or not; any non-compensated individual performing personal services for the City of Royal Oak or any department, agency, commission, council, board, or any other entity established by the City of Royal Oak and/or its City Commission.
GRATUITY A payment, loan, subscription, advance, deposit of money, service, or anything of more than a nominal value, present or promised, unless consideration of substantially equal or greater value is received.
INTEREST IN REAL PROPERTY Any leasehold interest, beneficial interest, vendor or vendee land contract interest, ownership interest, or option to acquire any such interest.
NONEMPLOYEE Any person, not an employee of the City of Royal Oak, who is involved, directly or indirectly, including through a third party, in the procurement process with the City of Royal Oak.
PERSON Any business, individual, club, other organization, or group of individuals.
PROCUREMENT The buying, purchasing, renting, leasing, or otherwise acquiring of any supplies, services, or construction. It also includes all functions that pertain to the obtaining of any supply, service, or construction, including description of requirement, selection, and solicitation of sources, preparation and award of contract, and all phases of contract administration.
SERVICES The furnishing of labor, time, or effort by a contractor, not involving the delivery of a specific end product other than reports which are merely incidental to the required performance. This term shall not include employment agreements or collective bargaining agreements. IV. Conflicts of Interest An elected or appointed official or employee of the City of Royal Oak may not use his or her official position or office, or take or fail to take any action, or influence others to take or fail to take any action, in a manner which he or she knows, or has reason to believe, may result in a personal or financial benefit, not shared with a substantial segment of the city's population, for any of the following persons or entities: A. himself or herself; B. a member of his or her household, including a domestic partner and his or her dependents, or the employer or business of any of these people; C. a sibling or step-sibling, step-child, parent or step-parent, niece or nephew, uncle or aunt, or grandparent or grandchild of either himself or herself, or of his or her spouse or domestic partner, or the employer or business of any of these people; D. an outside employer or business of his or hers, or of his or her spouse or domestic partner, or someone who works for such outside employer or business; E. a customer or client; or F. a substantial debtor or creditor of his or hers, or of his or her spouse or domestic partner. V. Conflicts of Interest Disclosure In accordance with this code, interests requiring disclosure shall include, but not be limited to the following: A. Where a member of the immediate family of a member of a board, commission or task force is employed by the City of Royal Oak; B. Where a member of a board, commission or task force is employed by a non-municipal agency the funding of which is, in part or in its entirety, provided by funds authorized by the City of Royal Oak; C. Where a member of a board, commission or task force accepts an offer of employment, whether paid or unpaid, by the City of Royal Oak or by a program recommended by said task force but has not yet resigned or retired from said board, commission or task force to accept said offer of employment; D. Where a municipal employee or public official has a financial or personal interest in a contract which was entered prior to the time of his nomination, appointment, election or employment to said position, so long as said contract is not renewed, amended or modified subsequent to his assuming public office; E. Where an employee or public official seeks or obtains employment with a person, company or corporation engaged in business with the City of Royal Oak but has not yet resigned his position assume said employment; F. Where an employee or public official applies for a city program or benefit over which he has control, influence or discretionary authority. VI. Gratuities and kickbacks. A. Gratuities. It shall be unethical for any person to offer, give, or agree to give any City Commissioner, Mayor, City employee or former City employee, or for any City Commissioner, Mayor, City employee or former City employee to solicit, demand, accept, or agree to accept from another person, a gratuity or an offer of employment in connection with any decision, approval, disapproval, recommendation, or preparation of any part of a program requirement or a purchase request, influencing the content of any specification or procurement standard, rendering of advice, investigation, auditing, or in any other advisory capacity in any proceeding or application, request for ruling, determination, claim or controversy, or other particular matter, pertaining to any program requirement or a contract or subcontract, or to any solicitation or proposal therefor. B. Kickbacks. It shall be unethical for any payment, gratuity, or offer of employment to be made by or on behalf of a subcontractor under a contract to the prime contractor or higher tier subcontractor or any person associated therewith, as an inducement for the award of a subcontract or order. C. Contract clause. The prohibition against gratuities and kickbacks prescribed in this section shall be conspicuously set forth in every contract and solicitation therefor. VII. Contemporaneous employment or service prohibited. A. It shall be unethical for any City Commissioner, Mayor or City employee who is participating directly or indirectly in the procurement process to become or to be, while such a City Commissioner Mayor or City employee, the employee of, or to perform a service for any person contracting with the city of Royal Oak.
B. The City Commission may grant a waiver from the contemporaneous employment or service provision upon making a written determination that: 1. The contemporaneous employment or financial interest of the City employee has been publicly disclosed; 2. The City employee will be able to perform its procurement functions without actual or apparent bias or favoritism; and 3. The award will be in the best interests of the City. VIII. Prohibition against contingent fees. It shall be
unethical for a person to be retained, or to retain a person, to
solicit or secure a City of Royal Oak contract upon an agreement or
understanding for a commission, percentage, brokerage, or contingent
fee, except for retention of bona fide employees or bona fide
established commercial selling agencies for the purpose of securing
business. IX. Representation Against the City A. An elected official or employee of the City of Royal Oak may not represent any other person or entity before the city, nor in any matter not before the city, but against the interests of the city. However, it is acceptable for elected officials to represent constituents without compensation in matters of public advocacy. B. An appointed official of the City may not represent any other person or entity before the city without prior approval of the City Commission with a two-thirds affirmative vote. X. AppearancesAn elected official or employee of the City of Royal Oak may not appear before any city department, agency, board or commission, except on his or her own behalf or on behalf of the city. Every time an official or employee appears before the meeting of any municipal body, or when he or she writes a letter to the editor or other publicly distributed writing, he or she is required to disclose whether he or she is appearing in an official capacity or as a private citizen. XI. Gifts and GratuitiesA. An elected or appointed official or employee of the City of Royal Oak, his or her spouse or domestic partner, child or step-child, parent, or member of his or her household, may not solicit nor accept anything of value from any person or entity that the official or employee knows, or has reason to believe, has received or sought a financial benefit, directly or through a relationship with another person or entity, from the city within the previous three years, or intends to seek a financial benefit in the future. B. Gifts of property, money, or services given to the city must be accepted by resolution of the City Commission, unless determined to be nominal in value by the City Attorney or Ethics Commission prior to acceptance of the gift in question.
C. Elected Officials must file with the Ethics Commission, on or before January 31, a list of all gifts received during the preceding calendar year by them or by their spouse or domestic partner, child or step-child, or member of their household, to the extent that the aggregate amount of gifts received from an individual or entity (including gifts from all employees, partners, or investors) during the year is $100 or greater if they believe that individual or entity may be directly, or representing an individual or entity, that may be seeking some personal or financial benefit from the City. Information to be disclosed is as follows:
1. the date the gift was received and who received it; 2. a description of the gift; 3. the fair market value of the gift; 4. the name, address and employer of the person who provided the gift; 5. the name of any organization or individual represented by the person or on whose behalf the person was acting in providing the gift.
D. City employees shall report the amount and source of any and all gratuities provided to the individual employee by a person contracting with the City. If a gratuity is provided to a group of employees or department, the department head shall also provide a separate report for the department. Such report shall cover a calendar year and be presented to the City Manager, and made available for public inspection, on or before January 15 of the next calendar year. This reporting requirement does not grant permission to receive gifts or gratuities that are prohibited elsewhere in this Code. XII. PatronageNo elected or appointed official or employee of the City of Royal Oak may promise an appointment or the use of his or her influence to obtain an appointment to any position as a reward for any political activity or contribution. XIII. Misuse of City Property and ReimbursementsAn elected or appointed official or employee of the City of Royal Oak may not use, or permit others to use, any property owned by the city for profit or personal convenience or benefit, except (a) when available to the public generally, or to a class of residents, on the same terms and conditions, (b) when permitted by policies approved by the city's legislative body, or (c) when, in the conduct of official business, used in a minor way for personal convenience. This applies not only to objects such as cars and trucks, but also to travel and other expense reimbursements, which may not be requested for nor spent on anything but official business. XIV. NepotismA. Unless he or she obtains a waiver pursuant to this code no elected official or employee may appoint or hire his or her spouse or domestic partner, child or step-child, sibling or step-sibling, parent, or member of his or her household for any type of employment, including by contract (unless competitively bid), with the City of Royal Oak. B. No elected or appointed official or employee of the City of Royal Oak may supervise or be in a direct line of supervision over his or her spouse or domestic partner, child or step-child, sibling or step-sibling, parent, or member of his or her household. If an official or employee comes into a direct line of supervision over one of these persons, he or she will have six months to come into compliance or to obtain a waiver. XV. EndorsementsNo elected or appointed official or employee of the City of Royal Oak in his or her official capacity may publicly endorse products or services. However, this does not prohibit an official or employee from answering inquiries by other governmental officials, consumer organizations, or product information services regarding products or services. XVI. Political SolicitationNo elected or appointed official or employee of the City of Royal Oak or municipal candidate may knowingly request, or authorize anyone else to request, that any subordinate or potential future subordinate participate in an election campaign or make a political contribution. Nor may he or she engage in any political activity while on duty for the City, with the use of City funds, supplies, vehicles, or facilities, or during any period of time during which he or she is normally expected to perform services for the City, for which compensation is paid. XVII. Complicity with or Knowledge of Others' ViolationsNo one may, directly or indirectly, induce, encourage, or aid anyone to violate any provision of this code. If an elected official or employee suspects that someone has violated this code, he or she is required to report it to the relevant individual, either the employee's supervisor, the board on which the official sits or before which the official or employee is appearing or will soon appear, or the Ethics Commission if the violation is past or if it is not immediately relevant to a decision, to discussion, or to actions or transactions. Anyone who reports a violation in good faith will be protected by the provisions of this code. XVIII. Whistle-Blower Protection.Neither the city nor any person, including elected officials and employees, may take or threaten to take, directly or indirectly, official or personal action, including but not limited to discharge, discipline, personal attack, harassment, intimidation, or change in job, salary, or responsibilities, against any official, employee, or other person (or against any member of their family) because that person, or a person acting on his or her behalf, (a) reports, verbally or in writing, or files a complaint with the Ethics Commission regarding an alleged violation of this code, or (b) is requested by the Ethics Commission to participate in an investigation, hearing, or inquiry, or is involved in a court action relating either to the alleged violation or to evidence presented or given as part of an Ethics Commission investigation or hearing. The provisions of this section are not applicable when the complainant, witness, or reporter of a violation made accusations or other statements that were malicious and false. A violation of this section is a violation of this code. XIX. Use of confidential information. It shall be unethical for any City Commissioner, employee, former employee or the Mayor to knowingly use confidential information for actual or anticipated personal or financial gain, or for the actual or anticipated personal or financial gain of any other person. XX. Disclosure required. A. The Mayor, all members of the City Commission, spouses and dependants of a City Commissioner, the Downtown Development Authority, the Historic District Commission, the Historic District Study Committee, the Plan Commission, and the Zoning Board of Appeals and the Rehabilitation Board of Review and the Rehabilitation Board of Appeals, including alternates, shall fill out a disclosure form that identifies the following: 1. All business relationships that the member or person has with any person, entity or affiliate that totals in excess 20% of the member or person’s income; except that such a disclosure shall not include ordinary banking or brokerage accounts with financial institutions regulated by the state or federal government and shall not require the listing of ownership of stock in publicly traded companies unless the ownership is equal to or exceeds 1% of the outstanding stock or the class to which such shares belong; and 2. Any interest that the member or person has in real property located within the City of Royal Oak; and 3. Any matter known to the member or person that any person with whom the member has a business relationship has pending before the body to which the member belongs. 4. Any gifts or gratuities as required per section XI of this Code. B. The disclosure form shall be filed with the City Manager within 90 days of election or appointment. Business relationships and property interests arising after initial disclosure shall be disclosed in writing within 30 days after establishment. C. Whenever any member of the City Commission, the Downtown Development Authority, the Historic District Commission, the Historic District Study Committee, the Plan Commission or the Zoning Board of Appeals abstains on any vote on any item of business before that body due to a conflict of interest, the member shall, within 10 calendar days, file a written disclosure with the City Manager of what the conflict of interest was that caused the member to abstain. Written disclosure is required regardless of whether or not the basis for abstention is placed on the record at the time of the abstention. D. All reports filed pursuant to this section shall be available for public inspection through an online database. XXI. Honesty in Applications for PositionsNo person seeking to become an official or employee, consultant or contractor may make any false statement, submit any false document, or knowingly withhold information about wrongdoing in connection with employment by or service for the City of Royal Oak. XXII. Recovery of value transferred or received in breach of ethical standards.
A. General provisions. The value of anything transferred or received in breach of the ethical standards of this chapter by a City employee or a nonemployee may be recovered from both City employee and nonemployee. B. Recovery of kickbacks by the City. Upon a showing that a subcontractor made a kickback to a prime contractor or a higher tier subcontractor in connection with the award of a subcontract or order thereunder, it shall be conclusively presumed that the amount thereof was included in the price of the subcontract or order and ultimately borne by the City and will be recoverable hereunder from the recipient. In addition, that amount may also be recovered from the subcontractor making such kickbacks. Recovery from one offending party shall not preclude recovery from other offending parties. XXIII. Void Contracts. Any contract, agreement, or other business transaction entered into by or with the city which results in or from a violation of any provision of sections 100 or 101 of this code is void, without further action taken, unless ratified by the city's legislative body in an open session held after applicable public notice. Such ratification does not affect the imposition of any penalties pursuant to this code or any other provision of law. XXIV. Civil Forfeiture.Any person or entity that intentionally or knowingly violates any provision of this code is subject to a civil forfeiture to the city of a sum equal to three times the value of any financial benefit he, she, or it received as a result of the conduct that constituted the violation. A civil forfeiture may be imposed in addition to any other penalty authorized by this code or by law. XXV. Administrative ProvisionsA. The City Clerk must maintain on file and online for public inspection and, with respect to disclosure statements, index in alphabetical order by the last name of the relevant official, employee, candidate, or applicant the following documents: 1. A copy of the code of ethics and amendments thereto; 2. A statement that the City has established an Ethics Commission, and its composition; 3. A copy of the form of annual statement of financial disclosure; 4. A list of the names and offices, or positions, of all officials and employees required to file annual disclosure statements; 5. Copies of all transactional, applicant, and annual disclosure statements filed pursuant to this code. B. Maintenance of Disclosure Statements. The City Clerk must transmit promptly to the Ethics Commission copies of each transactional and applicant disclosure statement filed pursuant to this code. XXVI. Sanctions. The following sanctions shall not be construed to diminish or impair the rights of an employee under any collective bargaining agreement, nor the City's obligation to comply with such collective bargaining agreements: A. Mayor and Commissioners. The Royal Oak City Commission shall have the authority to impose any one or more of the following sanctions on the Mayor or Commissioner for possible violations of the ethical standards in this chapter: 1. Issue an oral or written warning or reprimand for ethical violations; 2. Direct the City Attorney, Chief of Police or seek outside council to conduct an investigation into potential ethical violations and to report back its findings with any recommendations to the Royal Oak City Commission; 3. Direct the Royal Oak Ethics Commission to conduct an investigation into potential ethical violations and to report back its findings to the Royal Oak City Commission; and 4. Act on a written recommendations by the Royal Oak Ethics Commission to the Royal Oak City Commission. B. Employees other than elected officials. The City Manager, or the City Commission if the employee is appointed by the Commission pursuant to the Charter, may impose any one or more of the following sanctions on an employee for violations of the ethical standards in this chapter: 1. Direct the Royal Oak Ethics Commission to conduct an investigation into potential ethical violations and to report back its findings with any recommendations to the Royal Oak City Commission; 2. Oral or written warnings or reprimands; 3. Suspension with or without pay for specified periods of time; or 4. Termination from employment. C. Nonemployees. The City Manager or City Commission may impose but not be limited to any one or more of the following sanctions on a nonemployee for violations of the ethical standards: 1. Direct the Royal Oak Ethics Commission to conduct an investigation into potential ethical violations and to report back its findings with any recommendations to the Royal Oak City Commission; 2. Written warnings or reprimands; 3. Termination of contract; or 4. Debarment or suspension. XXVII. Violations and penalties. To the extent that violations of the ethical standards of conduct set forth in this chapter constitute violations of the Michigan Criminal Code, they shall be punishable as provided therein. Such penalties shall be in addition to the civil sanctions set forth in this Code. A. There is hereby established an Ethics Commission consisting of five members. All members and alternate members must be residents of the city. B. No member of the Ethics Commission may be, or have been within the three years prior to appointment, an elected official or an employee for the City of Royal Oak. C. Within sixty days after the effective date of this code, and no later than December 31 each year thereafter, the City Commission will appoint the members of the Ethics Commission from a list of nominees prepared by the local branch of the League of Women Voters. If the local branch of the League of Women Voters is unable to provide a list of nominees to the City Commission to consider within one month of when they are notified in writing of a vacancy, the Mayor of Royal Oak will put forth nominations for the City Commission to approve or reject by a two-thirds affirmative vote. D. Term of Office begin from the day of their appointment by the City Commission. Term of Office will be for a period of two years at which time they may be reappointed through the process as set forth in this Code. E. When a vacancy occurs in the membership of the Ethics Commission, the vacancy will, within sixty days, be filled for the unexpired portion of the term in the same manner as regular appointments. Any person appointed to fill a vacancy on the Ethics Commission must meet the qualifications and limitations set forth in this Code. F. An Ethics Commission member may be removed from office by a three-fourths affirmative vote of the City Commission, after written notice, including a clear statement of the grounds for removal, and opportunity for reply, at least thirty days before voting on removal. The only grounds for removal are failure to meet the qualifications or limitations set forth in this code, substantial neglect of duty, gross misconduct in office, inability to discharge the powers or duties of office, and violation of this Code. XXIX. Ethics Commission: Jurisdiction, Powers, and Duties. A. The Ethics Commission may only act with respect to current and former elected officials, employees, consultants, applicants, candidates, and persons and entities that do business with the City, give gifts to elected officials, employees, or their relatives, or are otherwise covered by the provisions of this code. B. The termination of an official's or employee's term of office or employment with the City does not affect the jurisdiction of the Ethics Commission with respect to the requirements imposed on him or her by this code. C. Unless otherwise stated, the Ethics Commission must send all official correspondence by registered or certified mail, or by personal service. D. Unless otherwise stated, all Ethics Commission decisions or determinations must be made by the affirmative vote of three sitting members. E. The Ethics Commission has the following powers and duties: 1. To prescribe and promulgate rules and regulations governing its own internal organization and procedures in a manner consistent with this Code; 2. To appoint hearing officials, render a formal advisory opinion, determine a violation, impose a penalty not otherwise delegated in this code to the City Commission, or refer a matter to a prosecutor. 3. To prepare and provide forms for complaints and for annual, applicant, and transactional disclosure statements, pursuant to this Code; 4. To review, index, and maintain on file disclosure statements filed with the Ethics Commission, pursuant to this Code; 5. To render, index, and maintain on file advisory opinions pursuant to this Code; 6. To review, index, maintain on file, and dispose of sworn complaints, and to make notifications and conduct investigations pursuant to this Code; 7. To conduct hearings, recommend disciplinary action, make referrals, and initiate appropriate actions and proceedings pursuant to this Code; 8. To provide training and education to officials, employees, and those doing business with the city pursuant to this Code; 9. To prepare an annual report and recommend changes to this code pursuant this Code; 10. To provide for public inspection of certain records pursuant to this Code; 11. To make this code and explanations of it available for reproduction and distribution pursuant to this Code; and 12. To subpoena witnesses as part of the investigatory process when dealing with complaints. XXX. Advisory Opinions. A. Upon the written request of an elected or appointed official, or an employee of the City of Royal Oak – including former elected officials or employees who served or were employed within the prior three years, and also including those who intend to soon become an elected or appointed official, or employee - or candidate, consultant, or person or entity doing business with the city or intending to soon do business with the city, the Ethics Commission must render, within ten days after the date of its next regular meeting, a written advisory opinion with respect to the interpretation or application of this Code. Any other person or entity may similarly request an advisory opinion, but only with respect to whether his, her, or its own action might violate a provision of this code. If an official requires an earlier response, an informal verbal or e-mail opinion will be provided by the Ethics Officer. B. The Ethics Commission will designate one of its members, or another individual selected by the votes of at least four sitting members, to be the Ethics Officer, for the purpose of quickly responding to questions regarding the requirements of this Code. The Ethics Officer’s phone number and e-mail address will be made available on the Commission's website. The Ethics Officer's informal opinions may be relied upon, in good faith, but will not be binding upon the Commission or upon the person making the request. C. An advisory opinion rendered by the Ethics Commission, until and unless amended or revoked, is binding upon the Ethics Commission in any subsequent proceeding concerning the person or entity that requested the opinion and acted in good faith, unless he, she, or it omitted or misstated a material fact in requesting the advisory opinion. The advisory opinion may also be relied upon by the person or entity, and may be introduced and used as a defense in any civil action brought by the Ethics Commission or the City of Royal Oak. D. Advisory opinions and requests for advisory opinions (with names and other necessary details omitted to protect anonymity, unless the requesting party states otherwise) will be indexed and maintained on file by the Ethics Commission and will also be available on the city website. Relevant officials, employees, and businesses should be notified about advisory opinions that might affect their conduct. E. Any person aggrieved by an advisory opinion of the Ethics Commission may seek judicial review and relief. F. The Ethics Commission reserves the right to decline to make advisory rulings by a majority vote; G. In determining whether a matter is appropriate for an Advisory opinion the Ethics Commission should consider the following factors, as well as other factors as it considers relevant: 1. the severity of the alleged conduct; 2. the respondent’s apparent level of knowledge and willfulness regarding the alleged conduct; 3. whether the alleged conduct appears to be an isolated event or part of a pattern of conduct; 4. whether the alleged conduct appears to indicate violations of criminal laws; 5. the complexity of issues or evidence, and the likely scope of an investigation and hearings; 6. the involvement of other agencies in the investigation of the respondent’s conduct; 7. the existence of Ethics Commission precedent concerning the alleged conduct;
8.
the age of the facts alleged in the complaint; 9. whether the respondent self-reported the alleged conduct or sought an advisory opinion regarding it.
XXXI. Ethics Commission: Meetings. At its first meeting each calendar year, the Ethics Commission will elect a chair and a vice-chair from among its regular members; alternate members may vote for chair and vice-chair. A majority of the regular members is required for the Commission to take any action. The chair or a majority of the regular members may call a meeting of the Commission. XXXII. Training and Education. A. The Ethics Commission will, within one year after its passage, make this code, and explanations of its provisions (including information on how to fill out all forms and statements), available (including, but not limited to, on the city website) to all elected officials and employees of the city of Royal Oak, candidates and to municipal residents and to all persons doing business or interested in doing business with the city, B. The Ethics Commission will, within two years after its passage, develop educational materials and a required educational program for the elected officials and employees of the city of Royal Oak, and those who do business with the city, regarding the provisions of this code. The educational program must begin within eighteen months after this code goes into effect. In addition, the Ethics Commission will hold an annual workshop for new and old elected officials and employees to discuss this code, its values and goals, its enforcement, and the ways in which it has affected their work and the working of the city government. XXXIV. Annual Reports; Review of Ethics Laws. A. The Ethics Commission must prepare and submit an annual report to the City Commission, summarizing the activities, decisions, and advisory opinions of the Commission. The report may also recommend changes to the text or administration of this code. The report must be submitted no later than October 31 of each year, covering to the year ended August 31, and must be filed with the City Clerk and made available on the city website. B. The Ethics Commission will periodically (no less than every five years) review this code, the enforcement of the code, and the Commission's rules, regulations, and administrative procedures to determine whether they promote integrity, public confidence, and participation in city government, and whether they set forth clear and enforceable, common-sense standards of conduct. After at least one public hearing, it may recommend to the legislative body amendments to this code. XXXV. Filing a Complaint; Investigations. A. Upon receipt of a sworn complaint on a form prepared by the Ethics Commission, which any person or entity may file, the Ethics Commission will first determine if it, in fact, alleges an action or inaction that, if the allegations are true, might constitute a violation of this code, and that at least one person or entity accused of a violation is covered by this code. If the Ethics Commission determines that no such action or inaction has been alleged or that no one accused is covered by this code, then it will dismiss the complaint with notice to the complainant. The Ethics Commission must make this determination within twenty-eight days of receipt of a sworn complaint or ten days of the Commission’s next regularly scheduled meeting; whichever period expires first. B. A complaint must be filed within three years after the alleged violation occurred. Complaints may be filed against elected officials and employees who no longer hold office or are no longer employed. C. The Ethics Commission may, on it own initiative, determine that a violation of this code may exist and prepare a complaint of its own. The Ethics Commission may also amend a complaint that has been filed with it by adding further allegations, by deleting allegations that would not constitute a violation of this code, or by deleting allegations against persons or entities not covered by this code. D. The Ethics Commission must send notification of the accepted complaint, as amended, to the respondent against whom the complaint was filed, not later than seven days after making the determination in subsection 1 or the preparation of a complaint pursuant to subsection 3. A copy of the complaint, and of any amendments, must accompany such notice. The Ethics Commission must also send notification to the complainant in writing of its receipt and acceptance of the complaint, and of any amendments. Here and elsewhere, "complainant" and "respondent" might consist of more than one person or entity. XXXVI. Public Hearing Process. A. After a finding of probable cause, the Ethics Commission must hold one or more public hearings, and the first public hearing must commence within thirty days after the finding of probable cause. The goal of these public hearings is to determine whether or not a violation of the Code of Ethics has occurred. The hearings will be held with reasonable promptness, with the last hearing to be held not more than one-hundred-and-eighty days after the finding of probable cause. B. Any person who is, in the opinion of the Ethics Commission, adversely affected by comments made during a hearing, may testify in response at a hearing, directly or through a representative. C. The Ethics Commission may refer the matter to an authority or person or body authorized by law to impose disciplinary action pursuant to applicable law or collective bargaining agreement or, if it determines there are possible criminal violations, to the appropriate prosecutor. D. Under extraordinary circumstances, extensions of time to any of the time limitations specified in this section may be granted by the Ethics Commission upon a vote of four sitting members. However, in no event may the total modified time period, i.e., the original time period plus the extension(s), exceed double the time period prescribed by this code. 1. The Ethics Commission must give written notice of any extension(s) of time to the respondent and the complainant. 2. Exceptions. (a) No extensions may be given for time periods required for notification. (b) No extensions may be given for the time limitation for ruling on actions, unless otherwise specified in this code. E. Rules and Procedure for Public Hearings. 1. Public hearings will be conducted under the Ethics Commission's rules and regulations, subject to any applicable provisions of law and collective bargaining agreements. The rules and regulations will include the following: oral evidence will be taken under oath; documentary evidence may be received in the form of copies or excerpts, if the original is not readily available and, upon request, parties and the Ethics Commission will be given the opportunity to compare the copy to the original; the state's administrative rules of evidence, rather than strict rules of judicial evidence, will be followed, to allow a liberal introduction of testimony and documentary evidence; and the complainant and respondent have the right: (a) To be represented by counsel. (b) To present oral or written documentary evidence which is not irrelevant, immaterial, or unduly repetitious. 2. To examine and cross-examine witnesses required for a full and true disclosure of the facts. 3. The Ethics Commission may subpoena, and its members may question verbally or in writing, witnesses to testify and may compel production of documents and other effects as evidence, and failure to obey such subpoena shall constitute a misdemeanor. 4. At all hearings relating to a complaint, a court stenographer will record the proceedings. 5. Upon the request of either the complainant, the respondent, or any member of the Ethics Commission, the Ethics Commission will cause the hearings to be tape-recorded or filmed, and a transcript to be made. If this is requested by either a respondent or complainant, the requesting party will bear the costs. 6. With respect to the public hearing process, the Ethics Commission will follow the requirements of Freedom of Information legislation. XXXVII. Finding of Violation; Penalties; Injunctive Relief.
B. Finding a Violation - A finding of a violation of this code requires the affirmative vote of three members of the Ethics Commission that there is clear and convincing evidence that the respondent has violated this code. Any member not present at all public hearings and deliberations may not vote. The written final decision must specify the code sections violated and provide a factual explanation supporting each violation or, if no violation is found, findings of fact and the reasons for dismissal. When determining the appropriate penalty, the following should be considered: the severity of the respondent's offense; the position and responsibilities of the respondent; the presence or absence of any intention on the part of the respondent to conceal, deceive, or mislead; whether the violation was deliberate, negligent, or inadvertent; and whether the incident was isolated or part of a pattern. The Ethics Commission must file its memorandum of decision with the City Clerk, and send it to the complainant and respondent, within ten days after it votes. C. Damages - The Ethics Commission, on behalf of the city, may initiate an action in the court of appropriate jurisdiction to obtain damages, as provided for this Code. D. Civil Forfeiture - The Ethics Commission, on behalf of the city, may initiate an action or special proceeding, as appropriate, in the court of appropriate jurisdiction to obtain civil forfeiture, as provided for this Code. E. Injunctive Relief - The Ethics Commission, on behalf of the city, may order a violator to cease and desist the violation if the violation is still ongoing, or it may initiate an action or special proceeding, as appropriate, in the court of appropriate jurisdiction for injunctive relief to enjoin a violation of this code or to compel compliance with this code. The Ethics Commission may also order a violator of a disclosure requirement to file an unfiled disclosure statement or to add information to a filed disclosure statement. F. Prosecutions - The Ethics Commission may refer possible criminal violations to the appropriate prosecutor. Nothing contained in this code may be construed to restrict the authority of any prosecutor to prosecute any violation of this code or of any other law. I. Debarment - If the Ethics Commission finds that a person or entity has intentionally or knowingly violated any provision of this code, that person or entity may be prohibited from entering into any contract with the city for a period not to exceed three years with a two-thirds affirmative vote of the City Commission. J. Limit on Ethics Commission - Nothing in this section may be construed to permit the Ethics Commission to take any action with respect to any alleged violation of this code, or of any other law, by the Commission or by any of its members. XXXVIII. Public Inspection of Records; Public Access to Meetings. A. Unless otherwise stated in this code, the records of the Ethics Commission will be available for public inspection. Records available for public inspection include all disclosure statements, advisory opinions (with names and other necessary details omitted to protect anonymity, unless the requesting party states otherwise in writing), all requests for waivers and related papers and decisions, and all papers filed and all decisions made in an Ethics Commission proceeding after a finding, formally or presumed, of probable cause. B. After a finding, formally or presumed, of probable cause, all hearings before the Ethics Commission concerning alleged misconduct will be open to the public. All meetings, or parts of meetings, of the Ethics Commission that are not directly related to an investigation or other consideration of complaints prior to a finding of probable cause will be open to the public as required by the Open Meetings Act. All ordinances or parts of ordinances in conflict herewith are hereby repealed only to the extent necessary to give this Ordinance full force and effect. XL. Severability. If any provision of this Code is held by any court, or by any federal or state agency of competent jurisdiction, to be invalid as conflicting with any federal, state, or City Charter provision, or is held by such court or agency to be modified in order to conform to the requirements of such provision, the conflicting provision of this Code is to be considered a separate, independent part of this Code, and such holding shall not affect the validity or enforceability of this Code as a whole or any part other than the part declared to be invalid. CITCOM/GINOTTI WORKING DOCUMENT CHAPTER ______
CODE OF ETHICS FOR ELECTED AND APPOINTED OFFICIALS.
Sec. ______ Public Policy. Public officials by virtue of their positions are public trustees, chargeable with honesty, integrity and openness in their handling of public affairs. It is well established that where government is based on the consent of the governed, every citizen is entitled to have complete confidence in the integrity of the government, and it is incumbent on everyon every public official to carefully and conscientiously avoid any deviation from such expectation. Therefore, by enacting this ordinance it is hereby declared to be the policy of the City of Royal Oak that all public officials must avoid conflicts between their private interests and those of the general public whom they serve, by striving to separate their roles as private citizens from their roles as public servants. The provisions of this chapter establish the standards which will govern the conduct of all public officials of the City of Royal Oak, whether elected or appointed to perform their official duties. Sec. ______ Purpose and Intent. In furtherance of maintaining public confidence in the integrity of its elected officials, and appointed members of boards and commissions, the city has a duty to pronounce Standards of Ethical Conduct for Public Officials, which will insure public duties are forthrightly and ethically performed; and inform public officials of the standards which the citizens of Royal Oak expect them to observe. It is, therefore, the intent of this Chapter that the city's elected and appointed officials avoid any action, whether or not specifically prohibited by this Chapter, which might result in, or create the appearance of:
Sec. ______ Title. This ordinance shall be known and may be cited as the "City of Royal Oak Code of Ethics." Sec. ______ Definitions. The words defined in this section, wherever used in this chapter shall have the following meanings:
Sec. ______ Disclosure of Conflict of Interest Where there is any question concerning a conflict of interest, even though it may not exist in actuality, the situation should be disclosed to the other members of the board or commission, and the public official shall refrain from participating in further deliberation. The potential conflict shall also be reported in writing to the City Clerk for filing and shall include the appropriate remedial actions which were taken to mitigate the conflict. In the case of an elected official, the existence and nature of the conflict must be stated on the record, and the official must recuse him or herself prior to any public discussion of the matter affected by the conflict. Sec. _____ Behavior to be avoided. The actions and transactions which shall be avoided include, but are not limited to, the following:
Sec. _____ Disclosure Statement. The following public officials shall immediately file a City of Royal Oak Ethics Disclosure Form, with the city manager, and thereafter within thirty (30) days after a business relationship or property interest arises. The statement shall disclose all real proertyproperty located with the city in which the public official or employee has has an interest, and any significant financial interest (if any) the public official or employee, his or her immediate family or his or her outside employer has in any company, business or entity that has contracted with the city or which has sought licensure or approvals for the city in the two calendar years prior to the filing of the statement:
Sec. _____ Violations. This chapter is intended to establish, encourage and promote the highest standards of ethical conduct and behavior by city's public officials and is not intended to be a punitive measure. However, in the event that violations of this chapter are determined to have taken place, the responsible party may face penalties proscribed in accordance with the provisions of Chapter __ of the City Charter and the compiles laws of the State of Michigan, up to and including which may include removal from office. Sec. _____ Distribution of copies of this ordinance. The City Clerk shall provide a copy of this ordinance, and any amendments thereto, to each elected official, employee, contract employee, appointee, and shall maintain a copy of this ordinance for review by the general public. Sec. _____ Conflict with other ordinances. All other ordinances or parts of ordinances in conflict herewith are hereby repealed only to the extent necessary to give this ordinance full force and effect. Sec. ______ Invalidity of portions of this ordinance. Should any portion of this ordinance be held invalid for any reasons, such holding shall not be construed as affecting the validity of any of the remaining portions of this ordinance.
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