HomeMy WebLinkAbout1995-05-22 95-234 ORDINANCECOUNCIL ACTION
Item No. 95-230
Date May 22 1995
Item/Subject: Amending Chapter I, Article 6 of the Laws and
Ordinances of the City of Bangor -- Code of Ethics
Responsible Department: Legal
Commentary:
Over the past several months, the Board of Ethics has been
working on two major projects to revise its procedures and amend
its governing ordinance. At its meeting on May 15, 1995, the Board
adopted a set of procedural rules regulating the Board's conduct Of
advisory opinions and violations hearings. The new procedural
rules, which complement a proposed revision
sion of the City's Code of
Ethics, have been provided to the City Council under separate
cover.
The attached Council Ordinance incorporates the Board's
comprehensive proposed revision
of the City's Code of Ethics. This
proposal was given final form and was approved by the Board of
(cont'd on next page)
?').,"''rLI`
Department Head
Associated Informatlon:Qmyl474
Finance Director
Legal Approval: `at
City solicitor -
Introduced For
Passage
First Reading
Referral Je YA{Mi Ow Page I of 19
95-234
Ethics at its May 15th meeting, by a 6-0 vote, for recommendation to
the City Council. As proposed by the Board, the Code of Ethics
revisions would make a number of major changes to the current
ordinance, as follows:
(1) The revised
sed Cade of Ethics would apply to all Boards,
Committees, and Commissions created by the City Charter, or by an
Ordinance, Order or Resolve of the City Council. This constitutes a
major expansion of the present Code, which ascurrently in force
applies only to the City Council, the Zoning Board of Appeals, the
Planning Board, the Building Board of Appeals, and the Historic
Preservation Commission.
(2) Most provisions of the revised Code would also apply to all
City of Bangor employees. Currently, no provision of the Code of
Ethics applies directly to City employees. Under the revised Code,
City employees would remain exempt from the requirementto file
annual disclosure statements. Currently, only City Council members
are required to file such statements, and this limitation has been
preserved. The revised Code also expressly preserves procedures
currently in force under the City's Personnel Rules and Regulations
and Union contracts for disciplinary actions involving alleged
ethical violations. However, under Section 5 0£ the revised Code, an
employee's breach of the ethical standards set out in the Code i
expressly made a grounds for employee discipline, up to and including
termination of employment.
(3) The revised Code contains extensive new provisions o ethics
in contracting applicable to vendors, Contractors, and prospective
vendors and contractors doing business or seeking to do business with
the City. These provisions are largely modeled after ethics is
contracting provisions of the American Bar Association's Model
Procurement Code. The Council will recall that armilar ethics
provisions were deleted from the City of Bangor's Procurement Policy
when that policy w adopted in 1994, 90 as to allow for their future
implementation by City ordinance. This is that ordinance. The
revised Code's provisions on ethics in contracting also borrow
somewhat from standard anti -kickback provisions incorporated in most
federal contracts.
(4) A ^blind trust" exception has been added in Section 2.5 to
the current Code's definition of "financial interest.^
(5) Other changes make the Code of Ethics more gender -neutral, or
,are editorial in nature.
The revisions mmended by the Board of Ethics would make the
City's CodeofEthicsmore muscular and extensive i its
application. I believe the revised Code would help to better protect
the City against unethical conduct affecting public funds or the
public interest. As does the Board of Ethics, I recommend your
approval.
95-234
Assigned to Councilor Blanchette May 22, 1995
CITY OF BANGOR
(TITLE.) (OrbilLM a, Amending Chapter. 1,,._nrt cls 6 of theLaws
....1......._ -
and Ordinances of the City of Bangor -- Code of ethics
Be it ordaiwd Ey the City CowyeB ofUw Ciy ofBanwr, w Mows.
THAT Chapter 1, Article 6 of the Laws and ordinances of the City of
Bangor, as previously amended, is hereby revised and amended to
read in its entirety as follows;
[attached]
IN CITY COUNCIL 95-234
Bay
2,1995 Sending - ORDINANCE
RvfetrA6,to municipal
-Ope tt s.Co 't a C* ( TTf1E,) Amending Chanter I, Article 6 of the
�. Laws and Ordinances of the City of Bango; -
f. Code of Ethics
Cl LER&
IN CITY COUNCIL `F_
June 12, 1995 PassInt C�arWU Vest rizezed
Councilors
sea _ n
Coudacci, Voting Yee: Y/Ay'
EalQacci, Bldechette, Cohen. _. CaAc'Imw
Frankel ppez, Soucy.
Sul le 'd Woodcock - '
ITY C
95-234
CHAPTER I
ARTICLE 6 - CODE OF ETHICS
Sec. 1 Declaration of Policy. The proper operation of democratic
government requires that City Councilor& and their
appointees be fair, impartial and responsive to the needs of
the people and each other in the performance of their
respective functions and duties; that decisions and policy
be made in proper channels of the City's governmental
structure; that public office not be used simply for
personal gain; and that seek City Employees, City
Councilors and their City appointees maintain a standard
of conduct that will inspire public confidence in the
integrity of the City's government. In recognition of these
goals, a Code of Ethics is hereby established for all City
Employees. City Councilors, and members and associgLg
members of aexisting
hereafter created.
ead9aesee}aEe-members-eE
Eke-Befl}s§-Beard-e€-Appeals;-P}sewing-Beards-Bnildiag-Beard
e€-Aggea}s-sad-Eqe-Hiaterie-PreservaE€ea-Ce�wni saiere:
Sec. 2 Definitions:
2.1 Board: EeaiRq-Beard-a€-Appeals ;-Bei}ding-Beard-e€
Appea}s-aad-Planning-Heard. All statutory and
boards haEgaf=
created under the City harterf a
al a 1 do d by the
City Council, including n the
following:
Banair Cormration Board of Directors
Bangor Recreation District Board Of Directogg
Board of Assessment Review
Board of Ethics
Building Board of AnDgals
Hersey Fund Board of Trustees
Planning Board
so n Pund Board of Trustees
Superintanding School Committee
zoning Board of Appeals
2.1.1 Board Member: Mem9er-er-aseeeiaEe-member-a€-the
Beard-eBeard-eE-Aggea}aersocaning-Beard-er-Beishin
Beard-a€-appea}e: aw elected to or appoint
associateor p on a Person Cityd d
LQ such a board by or under the authority f the
Bangor i
2.1.2 Business: Any corporation, partnership, individual,
sole proprietorship, joint venture, or any other
legally recognized entity organized for the purposes
of making profit.
2.2 City Councilor: Member of the Bangor City Council.
95-234
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2.3 City Employee: Any individual working for, o
a
permanent or temporary basis, and drawing a as
hourly wage a salary from the City of Bangor„
eepE-emp}eyeee-a€-Ehe-fishes}-BeparEmeaE. The
term 'City Employee,, shall not include outside
consultants or special Prcfessional personnel
providing services to the Cityindependent
ontractors under a written Professional services
contract o ag
other similar a eaten -a
ahem-Eerm sex€raeEaa}_bas£s-
All Committees,
2.3.1 commission: H£stexissnx-remm£ee£eb.
Commiasions or Other
lie bodies
now existing or hereaftgr Created bV virtue ol
ordinance. order or resolve adatted by the Bangor
city council including, h limitation, th
following,
Baugor Housing Authority Commission
Economic Development Advisory Commission
Firearms Bimcharae Committee
Harbor Committee
Historic Preservation Commission
N rsina Facility Advinory Committee
Parks and Recreation Advisory Committee
Recycling Commit
2.3.2 Commission Members Member-er-assee#ate-member
nerthe-H£poiappointed
- Ptroeemeembershipe or associate
tAo
membership Coumiaeioa
By
r Committee y o
under [he doth r City
l
2.4 Immediate Family: Spouse, and the following when
living in the household of a City Employee city
Councilor Eeaxe£}-Member, Board Member or
Commission Member: children, parents, brothers and
sisters.
2.5 Fipavcial interest A direct or indirect interest
having monetary or pecuniary value, including, but
not limited to, the ownership of shares of stock. A
City Emcdovee, City Councilor, Board Member
Commission member member f that
immediate family who holds a financial interest s
ac in a
disclosed shall not be deemed to have a
conflict f interest with regard to matters
Pertaining to assets held by the trust.
2.6 Special Interest: A direct or indirect interest
having value peculiar to a certain individual o
group, whether economic or otherwise, which value
may accrue to such individual or group as a result
95-234
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of the passage or denial of any order, ordinance or
resolution or the approval or disapproval thereof,
by the City Council, Board or Commission and which
interest is not shared by the general public.
2.7 City Council. For purposes of this Code references
to the City Council shall be construed to mean the
City Council of the City of Bangor and any of the
committees or subcommittees thereof.
Sec. 3 Standards of Conduct. The purpose of this Code is to
establish ethical standards of conduct for all city
Employees. City Councilors, Board Members and Commission
Members by setting forth those acts or actions deemed to be
in conflict or incompatible, or to create the appearance of
conflict or incompatibility, with the beet interests of the
City of Bangor.
3.1 Statutory Standards. There are certain provisions
of the general statutes of the State of Maine which
should, while not set forth herein, be considered an
integral part of this Ordinance. Accordingly, the
provisions of the following sections of the general
statutes of the State of Maine, as may be amended,
e hereby incorporated by reference and made a part
of this Code of Ethics, and shall apply to all City
Employees. City Councilors, Board Members and
Commission Members of the City of Bangor whenever
applicable as if more fully set forth therein, to
wit:
17 MRSA S 3104 Conflicts of Interest) Purchases by
the State
17-A MRSA 8 456 Tampering with Public Records of
Information
17-A MRSA 5 602 Bribery in Official and Political
Matters
17-A FW SA 5 603 Improper Influence
17-A MRSA S 604 Improper Compensation for Past
Action
17-A MRSA 5 605 Improper Gifts to Public Servants
17-A MRSA S 606 improper Compensation for Services
17-A MRSA S 607 Purchase of Public Office
17-A MRSA 5 608 Official Oppression
95-234
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1]-A MRSA 4 609 Misuse of Information
17-A MRSA S 903 Misuse of Entrusted Property
21 MRSA 5 533 Persona Ineligible to Serve as
Election Officials
30-A MRSA S 2605 Conflicts of Interest
30-A MRSA S 5122 Interest of Public Officials,
Trustees or Employees
3.2 Contracts Purchases and employment.
LL No City Employee City Councilor, Board Member
or Commission Member shall participate directly by
ons of deliberation, approval or disapproval, or
recommendation, in the purchase of goods and
services for the City, and the award of any
contracts with the City, except as permitted under
the City's Purchasing Regulations and under the laws
of the State of Maine, where to his knowledge there
is a financial interest, orspecial interest other
than that possessed by the public generally, in such
purchase or award, held by;
3.271 1u himself that individual or a member
of his or her immediate family;
3.2.2 (if1 a business in which he than
individual or a member of his or her immediate
family serves as an officer, director, trustee,
partner or employee in a supervisory or management
position; or
3-2.3 (iii) any other person or business with
whom he that individual or a member of his or her
mediate family are in business, or are negotiating
or have an arrangement concerning future employment.
u No City Councilor; Board Member or Commission
Member shall participate by means of deliberation,
approval or disapproval, or recommendation, in the
decision to hire, promote, discipline, lay off or to
take any other personnel action in respect to any
applicant for City employment or Citv employee, me
the -ease -map -be where said applicant or employee
3:2.4 fif- a member of his the Councilor Board
Member. or Commission a it r
95-234
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3.-2.5 (iii a person with whom either he the
Councilor. Board Member, Commission Member r a
member of his gr her immediate family are i8 in
business.
ICI Except as autbgriagd under theC' published
Personnel Rules and Regulations.
shall participate by means of deliberation, approva1
disapproval,or the de
to h' o Qj-,j,jine, lay off or to take
other uersonnel action i applicant
for to entor City EmoloVee.where aid
ucl'cant or emblovele i
W a member of the City Emolovee'a immediate
family: o
with whom either to e
a member of his or her immediate family is in
business.
Action by a City Emplovee
stillauthorize
underh' b hh action is Permitted
under the City's published Personnel Rules and
Reoulations, or whenh Council has l d
those rules so as to low
creation
relationship that would hise violate the
ry
Published rules
3.3 Disclosure of Confidential Information. No City
Employee, City Councilor, Board Member or Commission
Member shall, without proper legal authorization,
disclose confidential information concerning the
property, government or affairs of the City; nor
shall he gr' she use such information to advance
the his or her financial or private interest o
the financial or yxiygLQ_jaterest
of himself-er
others. For purposes of this subsection, the term
'confidential information' shall maany
information, oral o written, whichcomes s to the
attention of, or is available to, such City
Employee City Councilor, Board Member or Commission
Member only because of his or her position with the
City, and is not a matter of public record.
Information received and discussed during a
executive session of the Bangor City Council or any
City agency called pursuant to 1 MRSA H 405 et seq.
shall be considered within the constraints of this
section, and shall not be disclosed to any third
party unless permitted by affirmative vote of such
body.
95-234
6♦C
3.9 Gifts and Favors. No City Bmplovee. City Councilor,
Board Member or Commission Member shall accept any
valuable -gift gift, favor Or thing£ yalue,
whether in the form of service, loan, thing or
promise, from any person an®for business which to
his or her knowledge is interested directly o
indirectly in any manner whatsoever in business
dealings with the City; nor shall any City Emolovee,
City Councilor, Board Member or Commission Member
(1) accept any gift, favor or thing of value that
tends to influence him that individual in the
discharge of his or her official duties; or (2)
grant in the discharge of his or her official duties
any improper favor, service or thing of value.
Nothing herein shall prohibit the acceptance of
gifts or favors by City Employees City Councilors,
Board Members or Commission Members from members of
their immediate families. In determining whether a
3.5 Use of City Property. No City Employee, City
Councilor Board Member or Commission Member shall
use or permit the use of any City -owned property,
including but not limited to, motor vehicles,
equipment and buildings, for any private purposes.
Nothing herein shall prohibit the use of City
buildings and equipment at rates and/or on terms as
may be established. Nothing herein h ll Prohibit
the use of City equipment or motor vehiclesby C'
accordanceEmployees in h written Policies
established by the City Council, City Mana
C't department head c d shall this
i
Ordinance be deemed to prohibitf
surplusCity property legally disposed of by the
City or its departments in cowliance with
established procedures,
3.6 Representing Third Party Interest Before City
Agencies.
95-334
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_Wj No City Councilor shall either appear on behalf
of any third party interest before any City agency,
or represent a third party interest in any action,
proceeding, or litigation in which the city or one
of its agencies is a party. Nothing herein shall
prohibit a Councilor,. on behalf of a constituent i
the course
of his or her duties a representative
of the electorate, o any Councilor, on behalf of
his or her personal interest, from appearing before
a City agency.
(C) No Board Member or Commission Member shall
appear on behalf of any third party interest before
a City agency of which he or she is arent
member. Nothing herein shall prohibit caBoard
Member or Commission Member, on behalf of his or her
personal interest, from appearing before any City
agency including that of which he or she is a
current member, but such Board Member or Commission
Member shall not liberate or vote on the item
concerns d.
3.7 Conflicts of Interest. Bangor City Council Agenda
Items.
(A) Deliberation and Vote Prohibited. No City
Councilor, Board Member or Commission Member Shall,
n Such capacity, participate in the deliberation or
vote, or otherwise take part in the decision-making
process, on any agenda item before his or her
collective body in which he or she or a member of
his or her immediate family has a financial o
special interest, other than an interest held by the
public generally.
95-234
(B) Disclosure of Conflict. Any City Councilor,
Board Member or Commission Member who believes that
he or she or a member of his or her immediate family
has a financial or special interest, other than a
interest held by the public generally, in any agenda
item before his or her collective body, shall
disclose the nature and extent of Such interest and
the City Clerk or his designee shall make aeord
of such disclosure. Such disclosure shall be made
o later than the date of the first meeting of the
City Council, Board, Commission or Committee
thereof, at which the agenda item concerned is to be
taken up for consideration, recommendation,
discussion or vote and at which the City Councilor,
Board Member or Commission Member is present.
Additionally, any City Councilor, Board Member o
Commission Member who believes that any fellow City
Councilor, Board Member or Commission Member, or a
member of such fellow City Councilor's, Board
Member's or Commission Member's immediate family has
a financial or special interest, other than an
interest held by the public generally, in any agenda
Stem before his or her collective body, shall
disclose the nature and extent of such interest, and
the City Clerk or his designee shall make a record
of such disclosure.
(C) Determination of Conflict. Once the issue of
conflict has been raised relative to an individual
City Councilor, Committee Member, Board Member o
Commission Member, and disclosure has been made as
provided above, such individual's fellow City
Councilors, Committee, Board or Commission Members
shall review the facts as disclosed to them, and
shall vote onwhether o not such individual has a
financial or special interest with respect to the
agenda item concerned. All conflict of interest
questions relating to a particular agenda item shall
be resolved prior to any consideration of the item
concerned, and each City Councilor, Committee, Board
Member or Commission Member present shall be
entitled to vote on all conflict of interest
questions except those questions pertaining to that
individual Councilor, Committee Member, Board Member
r Commission Member's a}edged alleged conflict of
interest.
All votes of conflict of interest questions shall be
recorded. A majority vote shall determine the
question; but a vote by Committee may later be
reviewed by the full City Council upon the City
Council's consideration of the same agenda item.
95-234
6'2
Upon determination that a conflict of interest i
fact exists, the City Councilor, Committee Member,
Board Member or Commission Member concerned shall be
excused from participating in discussion,
deliberation or vote on the relevant agenda item.
In lieu of the vote required by this subsection, the
City Council, upon motion and by majority vote may
refer the conflict of interest question to the City
Board of Ethics in accordance with section 4.6 of
this ordinance, or may table its consideration of
the relevant agenda item. In the event a majority
of the City Council, Board or Commission concerned,
or Committee thereof, shall require disclosure of
further information not immediately available, or
shall require confirmation of the information
disclosed, consideration of the relevant agenda item
shall be postponed to and Ac appropriate time.
(D) Avoidance of Anyearance of Conflict. To avoid
the appearance of a violation of this section, once
any individual City Councilor, Board Member or
Commission Member is determined to have a conflict
of interest in respect to any agenda item, and o
all conflict of interest questions relating to the
agenda item concerned have been determined a
provided in section 3.9 {Cenfliet) (C) above, said
individual shall immediately remove himself o
herself from the meeting room or to the area of the
room occupied by the general public. Be or She
shall not return to his or her regular seat as a
member of the body until deliberation and action o
the item is completed. Nothing herein shall require
an individual Councilor, or Board Member Or
Commission Member to remove himself or herself for
any item contained o "Consent Agenda" on which
there is no deliberation, the individual's conflict
has been determined by the other members, and the
right to abstain from voting on the item has been
granted.
(E) Personal Interest. Nothing herein shall be
construed to prohibit any City Councilor, Board
Member or Commission Member from representing his
n personal interest by appearing before his or her
collective body on any such agenda item.
3.8 Disclosure Statement. Within fifteen (15) days
after each annual municipal election every City
Councilor shall file a completed disclosure form
with the City Clerk. Within thirty (30) days after
his or her appointment, every Board Member and every
Commission Member shall file a completed disclosure
form with the City Clerk. such disclosure forms
95-234
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shall be under oath and shall contain the following
information to the beat of the disclosing party's
knowledge and belief:
3.8.1 The name of each person or entity, whether
incorporated or not, doing business with the City in
an amount in
excess of $1,000 during the preceding
calendar year from which such disclosing party o
member of his immediate family has received money or
other thing of value in an amount in excess of
$1,000 during the preceding calendar year,
including, but not limited to, campaign
contributions where applicable.
3.8.2 The nmc
of each entity, whether incorporated
or not, doing business with the City i amount in
excess of $1,000 for preceding calendar year in
which such disclosing party or member of his
mediate family has a financial interest in an
amount in excess of $1,000,rncluding, but not
limited to, the ownership of shares of stock.
3.8.3 The name of each nonprofit and/or for profit
entity, whether incorporated or not, for which such
disclosing party or member of his immediate family
holds a position of officer or member of any board,
For each such entity, such disclosing party shall
provide the following information:
fa) S L a brief description of the purpose of
each board and/or officer
4b) (iiiashort summary of such disclosing
party's or family member's duties relative to any
such board and/or officer
{e) (iii) the term of service on each such board
and/or office�nd
jd) (iv) whether or not such disclosing party o
family member receives compensation for service on
such board and/or office and the extent to which
such compensation exceeds $100 in the aggregate
annually_
For purposes of this subsection ompensation" shall
include, but not be limited to, monetary
compensation, gifts, gratuities, perks, fringe
benefits, services, and any other thing of value.
95-234
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3.8.4 Every City Councilor, Board Member and
Commission Member shall amend his annual disclosure
statement as may be required from time to time to
ensure the continued accuracy thereof. Each such
amendment shall be made within fifteen (15) days
following the occurrence which requires the
amendment.
3.8.5 The City Clerk shall deliver a copy of each
completed disclosure statement to every fellow
member of the City Council, Board or Commission of
each disclosing party within thirty (30) days after
the expiration of the filing period.
3.8.6 For purposes of this Code, a list prepared by
the Finance Director of those persons or entities
doing business with the City in an amount in excess
of $1,000 for the preceding year shall be
determinative for purposes of reporting under this
section. Income from, and financial investments i
policies of i c
and deposits in accounts from
commercial or savings banks, savings and loan
associations, r
o credit unions and the ownership of
less than 5s of the outstanding shares of stock in
publicly held corporation shall not be considered to
be a financial interest within the meaning of this
section.
3.9 Political Activities. No City Employee, City
Councilor, Board member or Commission Member shall
participate in any political activity which would be
in conflict or incompatible with the performance of
his or her official functions and duties for the
City. In conjunction therewith:
3.9.1 No City Employee, City Councilor, Board
Member or Commission Member may use his or her
official authority or position for the purposes of
influencing or interfering with or affecting the
sults of any election, nor shall he or she solicit
funds or contributions or accept or receive funds or
contributions from City Employees for political
purposes. No City Councilor, Board Member o
Commission Member may distribute pamphlets orr
handbills while he or she is performing their
official functions and duties with the City.
Nothing herein shall be construed to prohibit any
City Employee. City Councilor, Board Member or
Commission Member from participating in the
political process in their private capacity as
candidates for elected office or as private
citizens.
95-236
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3.10 Incompatible 1Office. No City
Emolove . City Councilor, Board Member or Commission
Member shall occupy any other office, elected or
appointed, in any other governmental entity, when
the duties of such office are incompatible with the
proper discharge of his or her official duties with
the City. For purposes of this Code, the occupancy
of any office. elected or appointed, with any other
governmental entity by any City Councilor, Board
Member or Commission Member is hereby prohibited in
any -sae -e€ the.following circumstances:
W where the duties of the other office
make it a physical impossibility to discharge the
duties of the City position; or
3.16:2 Ifi1 where one office is subordinate of
the other; or
3.10:3 (iii) where one office carries the power
of removal of the other; or
3.1874 (iv) Where the occupancy of both offices
is prohibited by the City Charter or by other
provisions of law_
3.11 Ethics in Contracting The provisions of this
subsection3 shall 1 alldoi
business with the City of Bangorvendors
suppliers, or
ontractor ncludina potential
vendors,lc d contractors submittingbids
or proposals in e to a City
advertisement.
3 11 1 Gratuities and Kickbacks
(A) Gratuities. It shall be a viQlaLion of this
Code for fE
anyyC't to Board Member o
Commission Member a gratuity or
anoffer of
employment in connection With decision,
disapproval. recommenda
Pertaining to a City purchase order,
construction contract, or Professional services
contract. or with respect to any solicitation,
advertisementeat .for bide eat for
mronosals. or anv bid, nrocosal. or other response
thereto.
95-234
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3.11.2 Prohibition Aoainst Contingent Peea.
It shall be a violation Of this Cade for an to
b dsolicit oe
seapre a City contract upon an agreement
understanding for agrcenta a
brokerage. or ont'nentrfeneretention
of bona fide emolovegs or bona fide established
ial selling agencies for the o of
cu
eerim business.
.11.3 f Value T f d or Received in Breach
of Ethical Standards. Other Penalties.
(A) General Provisions The value of anything
transferred or received in breach of the ethical
standards of this Code by a City Employee,
Councilor Board Member or Commission Member o
other n v be r red from both the City
E l person y Councilor, oa MenOoer or Commission
Me g her person
concerned.
95-234
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3.11.4 Penalties and Sanctions.
(B) Uncn conviction f a violation of this
subsection finding of a violation by
the City E,urchasing Agent, Board of Ethics, h
City Council following written notice and
theCityCouncil f the
rr
followino sanctions n the rfir
coroorationc convicted or found to be violation:
(f) written warnings or reprimands,
(ii) termination of contracts: o
(iii) debarment o s orovided in the
City's Published PurchasinP Policv
(Authority to Debar or Suspend).
Termination of a contract under this paragraph shall
also terminate the contractor's richt tor
further Pavmgut thereunder
The sanctions provided in this n aoh shall be in
addition to thenenalties orovidedan oaraaranh (A)
above
3.11.5 Incorporation in Certain Contracts.
The provisions
of this subsection 3.11 shall be
provided to all interested bidders o and
shall b d by f power
in any City of Bangor
Professional seiviggs contract with a base bid riles
in excess f S10,000.00. In the case of
ract th 1
prg-
fessional
services
cent
for
hall be the excected value of^
services to be billed durino the
on an annual basis if the contract is of indefinite
duration
-15 -
Sec. 4 Board of Ethics
95-234
4.1 Board of Ethics Established. There is hereby created
and established a Board of Ethics consisting of five (5)
members and two (2) associate members appointed by the City
Council.
4.2 Terms. All members shall be appointed for terms of
three (3) years each. All associate members shall be
appointed for terms of three (3) years each. Each member
and associate member shall serve until his successor is
appointed and qualified. All members must ber residents of
the City of Bangor. No member shall serve more than two (2)
complete consecutive terms.
4.3 Other Offices Prohibited. No member or
associate
member of the Board shall hold any other City office o
position or be the member of any City agency to which the
City Council shall have appointing authority.
4.4 Procedures and Records. The Board shall establish such
rules as it may determine to be necessary to govern its
procedures. In addition, the Board shall at all times
maintain in the office of the City Clerk appropriate records
of its opinions and proceedings.
4.5 Duties. The Board shall make findings of fact an Bpd
ender advisery opinions to the City Council when-there
€e-AeabE-as-Ee-EAe-a@p}ieabi}iEy-e€-any
concerning
application
of the provisions of this Code to any particular
situation.In the performance of its duties, the Board
shall limit its review and fact finding only to those
issues referred to it by the City Council. The Board shall
also make annual recommendations for necessary revisions
s to
this ordinance and shall perform such other duties as may be
prescribed from time to time by the City Council.
4.6 Procedure. Any City Councilor, Board Member or
Commission Member seeking advice as to whether a particular
situation constitutes an actual or potential violation of
this Code shall first submit a written statement in the form
of a Council Order describing the nature of the matter to
the City Council. I£ the Council feels that an advisory
opinion is necessary, it shall adopt the Order, by majority
vote, referring the matter to the Board. A tie vote on the
Order shall also cause the matter to be referred to the
Board. Upon referral of a question, the Board shall have
the power to request voluntary statements from all persons
concerned, and to review all records on file with the City
of Bangor or other public agencies. A11 Board hearinaa
hall be conducted in accordanceh rules of procedure to
be adopted by the Board The Board may conduct any fact
95-234
-16-
finding and deliberations inexecutive session as provided
n 1 M.R.S.A. S 405(6)(A). Upon conclusion of its fact
finding finding and deliberations, the Board of Ethics shall
issue written findings with respect to each matter and
question referred to it. If the Board finds any matter
referred to it to have been based upon allegations it
determines to have been frivolous, unfounded or with malice,
it shall so advise the Council. It is the purpose and
intent of this Code to provide a mechanism by which all such
matters may be handled in an orderly and impartial fashion
n such a manner as to protect the beet interestg of the
citizens of the City of Bangor.and-the-pereena3-and-private
interest-of-its-City-eeanei}era;-Beard-Meebers-and
femmissien-Menbere-
4.6.1 Employee Conflicts
referral.Upon h Scald of Ethics may render
adviaoxv opinions with respect to potential gK
prospectivenflicts of interest i i
Emploveea However, allegations Ofcastor Dissent
misconduct1 alleged violations fhisCod
by City Evolovees shall not be reviewed by thQ
Board but shall be referred fordisposition in
disordance with the Citv's established employee
ciplinary Procedures.
4.9 All members shall attend an annual orientation
seting to be scheduled during the month of January
of each calendar year.
4.8 The Board shall meet at least quarterly and, prior
to December 31 of each calendar year, shall prepare
and submit to the City Council an annual report
outlining its doings during the preceding 12 month
period.
Sec. 5 Penalties. Violations of this Code shall be punishable by
civil fine as
provided in Article 4. Section 4 of this
Chapter. In addition to any other penalties or remedies as
may be provided by law, violation of this Code shall
constitute cause for c after notice and hearing
conducted by the City Council. A majority of the Bangor
City Council shall conduct such proceedings. A violation of
this Code by a City Smalovee hall also c nst'
grounds for dismissal or other disciplinary action a
provided in the City's Published Personnel Rules and
Regulations
Sec. 6 Separability. If any section, subsection, sentence, clause
r phrase of this Code is for any reason held to be invalid
or unconstitutional, such validity or unconstitutionality
shall not affect the validity or constitutionality of the
remaining portions of this Code.
9j _ a 5Y MElIORAMDBMProf
May 17, 1995
TO: Bangor City Council
FROM: Erik 9tumpfel, City Solicitor
RE: Board of Ethics Procedural Rules
At its meeting on Monday, May 15, 1995, the Board of Ethics
finalized and adopted a set of procedural rules for the conduct of
advisory opinion hearings and violation hearings pursuant to the
City's Code of Ethics. A copy is attached for your reference.
Although these procedural rules are intended to operate as a
stand-alone document under the City's existing Code of Ethics, they
also complement the Board of Ethics' proposed revisions of the
feting Code. Those proposed revisions will be given first
reading at the Council's next meeting on Monday, May22nd. The
Council's discussion of the Board's proposed Code of Ethics
revisions will occur at the Council's .lune 12th meeting, when the
Code of Ethics revisions come back to the Council for second
reading. You may wish to refer to the attached procedural rules as
part of that discussion.
2'S.
E.S.
to
Attachment
pc: Edward A. Barrett, City Manager
CRuaeeIl-a' McKenna',-:City-Clerk.-
CITY OF BTNGOR BOARD OF ETHICS
PROCEDURAL RULES
1. P d S
These rules apply to all matters referred to the Board of
Ethics by the Bangor City Council for hearing pursuant to
section 4.6 of the City's Code of Ethics (Chapter I, Article 6,
Section 4.6, Bangor City Ordinances).
II.. Definitions
(1) Advisory oninion. An advisory opinion is an opinion
rendered by the Board of Ethics upon referral by the Bangor
City Council under section 4.6 of the Code of Ethics, and which
relates to potential or prospective conflicts of interest, not
involving allegations of a past or present violation of the
Code of Ethics. These opinions are rendered at the City
Council's request for the purpose of providing guidance,
concerning future conduct, to the City Council and to the
particular individuals to whom the opinion pertains.
(2) AttornvAn attorney shall be an attorney-at-law or any
other person representing a party in regard to an alleged
violation of the Code of Ethics. An Attorney shall not be
eccgnized as such for purposes of a violation Hearing until
the attorney has filed a written notice of appearance by letter
directed to the Board of Ethics. In the case of an -lawyer
attorney, the notice of appearance shall include a signed,
written consent by the party concerned. An oral appearance at
the time of hearing may be substituted for the written notice
of appearance.
(3) Board. As used herein, 'Board° shall mean the Board of
Ethics of the City of Bangor established under section 4 of the
City's Code of Ethics.
(4) Interested Persons. Interested persons shall include any
resident of the City of Bangor or any other persons having a
direct and tangible interest in a Board of Ethics ruling on a
request for an advisory opinion. Any person whose future
conduct or vote would be affected by a Board of Ethics advisory
opinion in a particular matter shall be an interested person
with respect to the Board's hearing of the matter concerned.
(5) Noti' +. Notice consists of written notification delivered
to a party or to d party's attorney in hand or by US mail,
informing the party of a charge, hearing date, or other
intended action by the Board of Ethics. The initial notice to
a party of a violation Hearing shall be delivered by certified
mail, return receipt requested. If delivery of the initial
notice is -accepted, subsequent notices may be sent by first
class Us mail, uncertified, to the same address.
-2-
(6) pares. A party is any person alleged to have committed
a violation of the Code of Ethics, whose conduct in the matter
concerned is the subject of a violation Hearing by the Board of
Ethics.
(7) Violation Hearing. A Violation Hearing isa hearing
conducted by the Board of Ethics upon referral by the Bangor
City Council under section 4.6 of Code of Ethics, for the
purpose of determining whether a violation of the Code of
Ethics has occurred. A determination by the Board of Ethics
that a violation has occurred may serve as a basis for later
prosecution or sanctions against the violator as provided in
the Code of Ethics.
III HearinProcedure
A. Advisory Opinion Hearin
Preheating Procedure Upon adoption of an Order by the City
Council requesting an advisory opinion, the City Solicitor
shall transmit the order and all related materials to the
members of the Board of Ethics, and shall consult with the
Chair of the Board for the purpose of establishing a hearing
date. A hearing date shall be established by the Board Chair
so as to allow sufficient time for the publication required
below. Not less than three weeks prior to the hearing date,
the City Solicitor shall cause to be published in the Bangor
Daily News a public notice describing the subject matter of the
request for advisory opinion, stating the date, time and place
of the Board's hearing, and inviting submission of written
comments by interested persons. The notice shall state that
all written comments must be received in theoffice of the City
Solicitor no less than ten days prior to the scheduled hearing
date. In addition, the City Solicitor may invite individuals
known to be interested persons to submit written comments
within the same period. The City Solicitor shall promptly
forward all written comments received from interested persons
to the members of the Board of Ethics for their review.
Conduct of Hearing&. All hearings of the Board of Ethics
on requests for advisory opinions shall be conducted as public
hearings, except as provided below under Deliberation and
Decision. Upon opening of the public hearing, the Board Chair
or City Solicitor shall present a statement of the issue
referred by the City Council, together with a synopsis of
written comments timely received. Thereafter, the floor shall
be open for oral comments by interested persons. Except a
otherwise provided by the Board, oral comments shall be limited
to five minutes per person, and shall alternate between persons
advocating opposing views, to the extent such persons may
appear. Board members may ask questions of each speaker, and
the time required to respond to the members' questions shall be
in addition to the five minutes allotted to each speaker.
-3 -
In addition to written comments and speakers'
presentations, the Board members, through the City Solicitor,
may request production of any non -privileged public documents
under City control or otherwise available, and may request the
voluntary appearance of any individual for the purpose of
presenting testimony on the issue under consideration.
Deliberation d Decigion. Upon conclusion of the public
hearing, the record shall be closed, and the Board shall meet
to deliberate and consider its decision. By motion approved in
public session, the Board may elect to conduct its
deliberations in a closed session. Following its
deliberations, the Board i open session may vote and determine
the issue referred. Alternatively, the Board may take a poll
of its members, and request preparation of a draft opinion by
the City Solicitor based on the contents of the Board's
deliberations and the poll vote. -If preparation of a draft
opinion is requested by the Board, the Board shall adjourn for
that purpose. A draft opinion shall be prepared by the City
Solicitor and circulated to the Board members for their review
at least seven days prior to the Board's next meeting on the
issue. The draft opinion shall be presented and voted upon at
the Board's next public meeting following the seven-day
circulation and review period. The Board shall meet and render
its decision not more than thirty (30) days after the close of
the record on any issue.
Prior to a final vote, the draft
opinion may be amended in whole or part by an appropriate
motion to amend passed by the Board.
Upon adoption of a final written opinion, or upon a final
vote at the Board's original hearing if no written opinion i
requested, the City Solicitor shall transmit a summary of the
Board's final opinion or decision to the City Council.
Exnedited Hearings. Upon receipt of a Council order
requesting an expedited opinion on the issue referred, the
Board shall promptly meet to review and determine the matter on
the basis of such information and comments as may be available
to it, without the 21 day notice and public comment period
otherwise required above. An expedited hearing shall be held
only upon a finding by the Bangor City Council that important
interests of the City or the parties require a determination of
the matter within the time specified in the Council's referral
order. An expedited hearing by the Board shall be conducted as
a public hearing with an opportunity for oral convents by
interested persons asset out above. Public notice shall be
provided at. least 72 hours in advance of any expedited hearing.
B. violation Hearings
Prehearing Procedure. upon adoption. of an order by the
City Council requesting an opinion concerning an alleged
violation of the Code of Ethics, the City Solicitor shall
transmit the order and all related materials to the members of
the Board of Ethics for their review, and shall consult with
the Chair of the Board for the purpose of establishing a
hearing date. A hearing date shall be established in such time
as to allow a minimum of three weeks written notice to all
parties. Upon establishment of the hearing date, the City
Solicitor shall provide each party whose conduct will be the
subject of the Board's hearing with individual written notice
stating the time, date and place of the hearing. The notice
shall be sent by certified mail, return receipt requested, to
the party at his or her last known address. The notice shall
include a copy of the City Council's Order referring the matter
and copies of all related materials. The notice shall also
advise the party concerned that copies of any written exhibits
the party may wish to offer must be received in the office of
the City Solicitor no less than ten days prior to the scheduled
hearing date. The City Solicitor shall promptly forward copies
of a party's written exhibits to the Board members for their
review.
Fostnonements. Upon request of a party and for cause, the
Board's Chairmaygrant reasonable postponements of a scheduled
hearing date. No more than one postponement shall be granted
to any party..
prehearina Conference. If it appears the hearing concerned
may involve complex issues o witnesses, the City
Solicitor shall arrange a preheatingconferencewith all
parties and their attorneys, for the purpose of identifying
witnesses and exhibits and addressing scheduling issues. This
conference may take place in person or by telephone. The
prehearing conference will be arranged at least seven (5) days
prior to the scheduled hearing date. -
Conduct of Hearings. All Violation Hearings shall be
conducted as public hearings, except as provided below under
Deliberation and Decision. Upon the opening of the public
hearing, the City Solicitor shall present a statement of the
question referred by the City Council, together with related
materials and exhibits timely filed. In addition, the Board
members, through the City Solicitor, may request production of
any non -privileged public documents under City control or
otherwise available, and may request the voluntary appearance
of any individual for the purpose of presenting testimony on
the question under consideration, witnesses desiring to
present sworn testimony shall be sworn by the City Solicitor.
Following each witness' testimony, parties or their attorneys
shall be permitted to address questions to the witness through
the Board Chair. In his or her discretion, the Chair may
permit a party or attorney to cross examine the witness. by
direct questions. "
-5 -
Upon completion of all testimony and presentation of all
documents requested by the Board, each party shall be permitted
to present witness testimony and/or make a direct presentation,
in person or through the party's attorney. My witness or
party desiring to present sworn testimony shall be sworn by the
City Solicitor. Following the testimony of each individual,
Board members may direct questions to the witness or party
concerned. if the hearing involves multiple parties, each
party or the party's attorney shall be permitted to address
questions to the individual testifying, as provided above. If
the hearing involves multiple parties, the Board Chair shall
determine the order of presentation by the parties and their
witnesses, unless the order of presentation has been addressed
during a prehearing conference.
Upon conclusion of all testimony and presentation of all
documents and exhibits, the Board Chair shall declare the
record to be closed.
Deliberation and Decision. Upon conclusion of the
violation Hearing, when the record has been closed, the Board
shall meet to deliberate and consider its decision. The
Board's deliberations shall be conducted in the same manner as
provided in these Rules for Advisory Opinion Hearings. Each
party shall be provided with a written notice of the Board's
decision, which shall include a copy of any written opinion
adopted by the Board.
Exoedited Hearings. The Board of Ethics shall not conduct
expedited violation Hearings, except by majority vote of the
Board, following a written request signed by all parties to the
hearing.
C. Miscellaneous
Ex Parte Contacts. The Board of Ethics and its members
individually shall not engage in any = parte contacts or
communiciations with a party, witness, or interested person in
any matter referred to the Board for hearing by the Bangor city
Council. The Board shall determine all issues
and questions
referred by the City Council solely on the basis of testimony
and exhibits properly admitted at the Board's public hearing on
the matter concerned.
Rules of Evidence. The Board's Chair, with the advice of
the City Solicitor, shall rule on all questions concerning the
admissibility of evidence in Board proceedings. TheChair's
rulings shall be based generally on the Maine Rules of Evidence
as currently in force; but the Board may consider any evidence
that the Chair determines to be relevant and reliable,
notwithstanding an objection based on the hearsay character of
the evidence concerned or based on a lack of formal
authentication in the case of documents.
-6 -
Vote Required on Motions. All motions referred to in these
Rules shall require a simple majority vote of those present and
voting for approval by the Board.
Other Rules. The Board's procedure in matters not Covered
by these Rules shall be governed by the most current edition of
Robert's Rules of order. Revised.
AAppea s. It is the intent of these procedural rules not to
create an avenue for judicial appeals of the Board's decisions
under Rule BOB, M.R.Civ.P., or otherwise, except as currently
required by law.