HomeMy WebLinkAbout12-17-18 City Commission Packet Materials - C5. Acknowledge the 2018 City of Bozeman Ethics Report
Commission Memorandum
REPORT TO: City of Bozeman Commission
FROM: Andrea Surratt, City Manager
SUBJECT: 2018 City of Bozeman Ethics Report
MEETING DATE: December 10, 2018
AGENDA ITEM TYPE: Consent
RECOMMENDATION: Acknowledge the 2018 City of Bozeman Ethics Report
BACKGROUND: Requirement of Annual Report The annual report of the Board is a way to inform the public, officials and city employees of
what the Board has accomplished in the past year and report any decisions or opinions.
The Bozeman Municipal Code Sec. 2.03.600 specifically states that the board shall: 4. No later than December of each year, submit an annual report to the city commission concerning its action in the preceding year. The report shall contain:
a. A summary of its decisions and opinions, both open and confidential; the board
shall make any alterations in the summaries necessary to prevent disclosure of any confidential information pertaining to any individual or to any organization if the disclosure could lead to the disclosure of the identity of a person who is entitled to confidentiality; and
b. Recommend any legislative or administrative actions regarding the city’s policies
and practices which the board believes would or could enhance the ethical environment in which public servants work.
UNRESOLVED ISSUES: None ALTERNATIVES: None
FISCAL EFFECTS: None
Attachment:
2018 Ethics Report 2018 Ethics Curriculum
26
City of Bozeman
Board of Ethics
Report
2018
December 2018
27
Board of Ethics Report, 2018
Page 2 of 7
Table of Contents
Board of Ethics Summary ………………………………………………………………. Page 3
Members…..……………………………………………………………………… Page 3
Support Staff………………………………………………………………...…… Page 3
Membership Details………………………………………… ………………….. Page 3
Creation…………………………………………………………………………… Page 4
Duties and Responsibilities………………………………………………………Page 4
Requirement of Annual Report …………………………………………Page 5
2018 Report…………………………………………………………………………..……Page 7
2018 Ethics Training ……………………………………………………………. Page 7
Summary of the Board’s Decisions and Opinions ……….………………….. Page 7
Upcoming Recommendations………………………………………………….Page 7
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Board of Ethics Report, 2018
Page 3 of 7
Board of Ethics Summary
Current Board Members:
Melissa Frost - Chair Appointed August, 2017 Term expires July, 2019
mfrost@bozeman.net
Mary Jane McGarity Appointed August, 2017 Term expires July, 2019
mmcgarity@bozeman.net
Carson Taylor Appointed September, 2018 Term expires July, 2020
ctaylor@bozeman.net
Support Staff:
Julie Hunter – Executive Assistant Administrative and Recording Services
jhunter@bozeman.net
Brenda Sweeney – Deputy City Clerk Administrative and Recording Services
dsweeney@bozeman.net
Greg Sullivan – City Attorney Legal and Procedural Recommendations
gsullivan@bozeman.net
Membership Details
The Board of Ethics is made up of three members appointed by the City Commission to two
year terms. Members cannot be city elected officials, city employees, or currently serving on
any other city board or commission.
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Board of Ethics Report, 2018
Page 4 of 7
Creation of the Board of Ethics
2008 Bozeman City Charter
The Bozeman City Charter (the “Charter”) was proposed by the City of Bozeman’s 2004-2006
Local Government Study Commission and was approved by the voters at the November 7, 2006
general election. The Charter became effective on January 1, 2008. The Charter confers certain
powers and restrictions, prescribing procedures and governmental structure. The Charter was
created …to secure the benefits of local self-government and to provide for an honest and
accountable commission-manager government. (Preamble, City of Bozeman Charter)
Section 7.01 (b) of the Charter called for the establishment of an independent Board of Ethics
as well as the requirement for annual training and education of city officials, city board
members and employees regarding the state and city ethics codes.
Ordinance No. 1726, Creation of the Board of Ethics
To establish a Board of Ethics (the “Board”) as required in the voter approved Charter, the City
Commission adopted Ordinance No. 1726 which provide guidelines for the creation of the
board and other ethics related content required in the Charter. These provisions are codified in
the Bozeman Municipal Code at Chapter 2, Article 3, Division 4 (Sect. 2.03.460 et seq., BMC).
Duties and powers of the Board, who may request board action and the limitations of the
board’s power, are included. In May of 2009, the City Commission adopted Ordinance No. 1759
which amended the original Ordinance. Changes made relating to the board itself were minor.
Board Duties and Responsibilities
Bozeman Municipal Code, Chapter 2, Article 3, Division 4 – Code of Ethics
The Code of Ethics is an important piece of City law. As the declaration of policy section
2.03.460 states, The purpose of this code of ethics is to set forth standards of ethical conduct, to
assist public officials and employees in establishing guidelines for their conduct, to foster the
development and maintenance of a tradition of responsible, accountable and effective public
service, and to prohibit conflict between public duty and private interest.
30
Board of Ethics Report, 2018
Page 5 of 7
Following are sections within the Code of Ethics directly related to the Board and a brief
summary of each. Other sections within the Code of Ethics provide additional direction to the
Board and the public in addressing ethical issues and violations.
Sec. 2.03.580 - Board of Ethics.
This section defines the composition and terms of the Board, requirements for membership,
and lists the support City staff will provide.
Sec. 2.03.600 - Duties and powers of the board.
This section provides details about Board procedures related to meetings, conducting hearings,
and reporting and establishing procedures for administration and implementation of the Code
of Ethics. These duties include:
• Evaluating all aspects of the Code of Ethics to ensure the public and all public servants
have a reasonable opportunity and are encouraged to participate;
• Developing a plan to educate public servants about their rights, duties and
responsibilities;
• Submit an annual report of summary decisions, opinions and recommended actions
regarding ethical practices or policies;
• Arrange for an annual workshop or training program for all employees, elected officials
and board and committee members; and
• Conduct hearings as needed.
Sec. 2.03.610 - Who may request board action.
This section outlines that any person may file a complaint with the Board and further explains
who may request of the Board an ethics opinion.
Sec. 2.03.620 – Limitations on board’s power.
This section explains in detail what limitations are placed on the Board and that the Board may
refer a matter to the city attorney for review.
In addition to the City’s Code of Ethics, the Board has jurisdiction over State of Montana Ethics
laws. These provisions are codified in Title 2, Chapter 2, Part 1, MCA (Sect. 2-2-101, et seq.,
MCA).
Requirement of Annual Report
The annual report of the Board is a way to inform the public, officials and city employees of
what the Board has accomplished in the past year and report any decisions or opinions.
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Board of Ethics Report, 2018
Page 6 of 7
The Bozeman Municipal Code Sec. 2.03.600 specifically states that the board shall:
4. No later than December of each year, submit an annual report to the city commission
concerning its action in the preceding year. The report shall contain:
a. A summary of its decisions and opinions, both open and confidential; the board
shall make any alterations in the summaries necessary to prevent disclosure of
any confidential information pertaining to any individual or to any organization if
the disclosure could lead to the disclosure of the identity of a person who is
entitled to confidentiality; and
b. Recommend any legislative or administrative actions regarding the city’s policies
and practices which the board believes would or could enhance the ethical
environment in which public servants work.
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Board of Ethics Report, 2018
Page 7 of 7
2018 Year-End Report
2018 Ethics Training
This year’s employee ethics training was designed by City Manager Andrea Surratt with support
from City Attorney Greg Sullivan and Executive Assistant Julie Hunter. An Ethics Team was
formed of City department representatives and tasked to create realistic ethics scenarios with
resolutions that could be used for training and instruction. Variations of the training provided
customization for employees and boards. The Board of Ethics approved the curriculum and it
was taken to the Ethics Trainers, made up of City Directors and Board Liaisons. A Train the
Trainers session was held to teach how to facilitate the training sessions among their teams
and/or boards. Trainers were walked through each scenario carefully to assure they were
comfortable with the resolutions. They were given multiple resources from which to draw from
including how-to documents, Municipal Code citations and City personnel who could guide
them at any time. The Trainers are to complete their Ethics Training with their departments at
their regularly scheduled staff meetings between December 2018 and March 2019. Six make-up
sessions have been scheduled for people who may miss their own training.
The city continues to ask new employees and board members to complete ethics training
shortly after hiring/appointment to help familiarize them with the Code and to meet the yearly
training requirement even when joining the organization after the yearly training.
Summary of the Board’s Decisions and Opinions
This section is designed for reporting to the Commission and public any advisory opinions or
ethics hearings that were requested and may have been granted throughout the year.
No formal or informal decisions or opinions were made by the Board in 2018. City Attorney
Greg Sullivan continued providing a report during Board meetings to relay ethics questions and
concerns that came to his attention and the advice or comments he provided.
Upcoming Recommendations
There are no planned recommendations at this time.
33
2018 ETHICS PROGRAM
City of Bozeman
TRAIN-THE-TRAINER
November 29, 2018
34
OVERVIEW
•Moving away from an “Ethics Season” time of year
•Moving toward a more integrated Ethics Training effort
•Equipping staff to facilitate training helps make the
material more familiar
•Facilitation & Group Discussion is the meeting format
we are striving for
•We want the conversation to evolve into more
frequent day-to-day conversations
35
BASIS
•The City of Bozeman Code of Ethics (Charter, Ch.2,
Article 3, Division 4) is a best practice for local
government in Montana
•Montana State Law, Title 2, Chapter 2 Code of Ethics
•Purchasing Policy
•Employee Handbook
36
WHO
Code of Ethics, Sec. 2.03.480./Persons covered.
All city officials and employees shall be bound by this division.All
officials,including members of the parking commission and library board,
and all employees shall be bound by this division.Upon initial employment
and annually thereafter each employee,official and member of every board
or committee shall verify that such employee,official and board or
committee member has not and will not knowingly violate any provision of
this division or the rules,standards of conduct or rules of ethics established
by state law.
37
CHARTER –CODE OF ETHICS
Code of Ethics, Sec. 2.03.460. -Declaration of policy.
The proper operation of the city government requires that public officials and employees be
independent,impartial,accountable,and responsible;that governmental policies and decisions be made
in the proper channels of the governmental structure;that public office and employment not be used for
personal gain nor be used to harass,intimidate,or retaliate against citizens and other employees and
officials;and that the public have confidence in the integrity of its government.The purpose of this code of
ethics is to set forth standards of ethical conduct,to assist public officials and employees in establishing
guidelines for their conduct,to foster the development and maintenance of a tradition of responsible,
accountable and effective public service,and to prohibit conflict between public duty and private interest.
Nothing herein shall be construed to relieve any employee or official of the responsibilities set forth in
MCA 2-2-104,2-2-105,2-2-121,2-2-131,and 7-5-4109.Where a provision or interpretation of this division
conflicts with a provision of the Montana Code Annotated,the more stringent provision or interpretation
that requires a greater level of public disclosure shall apply.
38
ANNUAL TRAINING
Code of Ethics, Sec. 2.03.580. -Board of ethics.
14. In coordination with the city attorney, city manager, and other
appropriate city personnel, arrange for the conduct of annual training and
education, which shall serve as an orientation for new board members and
an opportunity for experienced members to explore specific issues in
depth.
-Attendance at this training shall be made a condition of service as a member
of the board, and, before taking office, board members shall commit
themselves to attend it.
-The city clerk shall forward to the commission annually a list of officials who
fail to take the training required under this section and the Charter. The
commission may remove an official for failing to take the required training.
39
WHAT TO EXPECT
•18 questions available to you
•13 questions related to staff scenarios (Green slides)
•5 board and commission-focused scenarios (Blue slides)
•Notes and Tips
•Sign in sheet for documentation of participants
•Flip chart for possible future questions or other concerns
(putting items in the “Parking Lot”)
•GOAL: An hour of discussion to complete the Ethics Training
(more questions than time to complete)
•The hour will fly by!
40
WHO CAN YOU RELY UPON FOR HELP?
•At any time, you can ask your supervisor, HR or
the City Attorney when you have questions about
this training or about how to advise an employee
or board or commission member
41
ACTIVE LEARNING –LEARNING IN PUBLIC
•Participants have knowledge that we need to draw out
•Trainers need to give feedback
•Employees need to give feedback
•Trainers need to tell people where to go to get the answers
•Participants are sometimes hesitant to begin the conversation
•Reaching conclusions will likely lead to more unanswered questions
•THAT’S OKAY!
42
WHY FACILITATION?
•Equipping staff to facilitate training helps make the material more familiar
•Engaging in Conversation HELPS US LEARN
•Probing for more information (using questions that begin with Who, What,
When, Why, Where, and How)
43
QUESTIONS THAT HELP FACILITATION
The benefit of the training is the discussion that happens in the gray areas
of each scenario. Become comfortable with these types of questions for
effective facilitation of the Ethics Training:
Who is involved?
What information do we have or not have?
When is the occurrence in question?
Why might we need to pause and ask the ethics questions to
ourselves?
Where can we go for help? What are the resources?
How can the scenario help us learn?
44
RESOURCES
•Code of Ethics (Charter, Ch.2 , Article 3, Division 4)
•A Copy of the Employee Handbook (encourage your employees to
bring their handbook or have several available)
•Supervisor, HR, City Attorney
•You can request a staff partner (other Trainer) to accompany you with
the training
•Board of Ethics members may float and attend a few training sessions
•City Commission members may participate within their liaison roles
45
HOW
•Staff meetings December -March
•Board meetings December -March
•Increments can vary: 1 full hour, 2 –30 minute sessions, 3-20 minute sessions, etc.
•Sign in sheet for each session of training and who attended-Please DOCUMENT!
•6 make –up meetings (do not automatically send your staff to these without trying to
cover in a staff/board/commission meeting)
•Trainers lead the discussion
•Get employees and board members involved
•Make reference to WHY we are doing the training this way
46
12-17-18
47
Let’s Get
Started!
48
WHO CAN YOU RELY UPON FOR HELP?
•At any time, you can ask your supervisor, HR or
the City Attorney when you have questions about
this training or about how to advise an employee
or board or commission member
49
Fred goes to an IT conference paid for
by the IT department. During a reception
at the conference he wins a $100
Amazon gift card, which he uses to
purchase an Amazon Alexa for his house.
Is this acceptable for Fred to do?
?
1 Employee Scenario50
Fred goes to an IT conference paid for
by the IT department. During a reception
at the conference he wins a $100
Amazon gift card, which he uses to
purchase an Amazon Alexa for his house.
Is this acceptable for Fred to do?
Main Issues: random drawing, available to
everyone, no obligation
Code of Ethics, Section 2.03.540 Gifts,
gratuities and favors, F. 2.
A prize received upon a random
drawing at an event where the official or
employee attends in their capacity as an
employee or official, the drawing is open
to all attendees, and receipt of the prize
does not place the official or employee
under obligation;
1 Employee Scenario51
In a meeting with the HR Director, George (the
HR Generalist,) is informed that Sally from the
Public Works Department will be laid off next
month due to a reduction in force. The HR
Director asks George to keep it confidential as
they have not delivered the news to Sally. Sally’s
husband is George’s best friend and George
knows that they are in the process of shopping
for a new car for Sally. George wants to warn
Sally’s husband, but knows that this information
is to be kept confidential. He decides to tell
Sally’s husband that he’s heard of some layoffs
coming at the City and that he’s not sure if it
will affect Sally, but advises that they should not
purchase a new car at this time. Did George
disclose confidential information?
?
2 Employee Scenario52
In a meeting with the HR Director, George (the
HR Generalist,) is informed that Sally from the
Public Works Department will be laid off next
month due to a reduction in force. The HR
Director asks George to keep it confidential as
they have not delivered the news to Sally. Sally’s
husband is George’s best friend and George
knows that they are in the process of shopping
for a new car for Sally. George wants to warn
Sally’s husband, but knows that this information
is to be kept confidential. He decides to tell
Sally’s husband that he’s heard of some layoffs
coming at the City and that he’s not sure if it
will affect Sally, but advises that they should not
purchase a new car at this time. Did George
disclose confidential information?
Main Issues: George is in a position to
know confidential information and
advises based upon that knowledge to
his friend that would know George was
in a position to communicate something
with authority.
Code of Ethics, Section 2.03.530 A.
Confidential Information.
No official or employee shall, without
legal authority, disclose confidential
information concerning the
personnel, property, government, or
affairs of the city.
2 Employee Scenario53
Jennifer, an employee in the Police
Department, is buying a real estate lot.
Can she offer to the seller that she
would ask coworkers to speed up the
process for getting final plat approval
through Community Development so
that she can save the seller money and
look more favorable to the seller??
3 Employee Scenario54
Jennifer, an employee in the Police
Department, is buying a real estate lot.
Can she offer to the seller that she
would ask coworkers to speed up the
process for getting final plat approval
through Community Development so
that she can save the seller money and
look more favorable to the seller?
Main Issue: using position for improper
influence
Code of Ethics, Section 2.03.490 E.
No official or employee shall, for any
reason, use or attempt to use the official
or employee’s position to secure any
financial interest or personal interest for
said official employee, or others.
No official or employee shall, for any
reason, use or attempt to use the official
or employee’s position to improperly
influence any other official or employee
in the performance of such official or
employee’s official duties.
3 Employee Scenario55
A department purchased a new stereo
system for the meeting room facility as
the current system was failing. Alice
was asked to install the new system
and toss the old one. In her spare time
Alice likes to rebuild electronics. She
asks her supervisor if it is ok for her to
take the old system home to rebuild
and keep for her personal use. Can
Alice’s supervisor approve this request?
?
4 Employee Scenario56
A department purchased a new stereo
system for the meeting room facility as
the current system was failing. Alice
was asked to install the new system
and toss the old one. In her spare time
Alice likes to rebuild electronics. She
asks her supervisor if it is ok for her to
take the old system home to rebuild
and keep for her personal use. Can
Alice’s supervisor approve this request?
4
Main Issue: was the equipment disposed
according to MCA below?
Section 2.03.5 of Code of Ethics –Use of City
Resources
No official or employee shall use, or permit
the use of, city-owned vehicles, equipment,
material, or city personnel for personal use of
the employee or official or anyone else or to
be used in any manner prohibited by state
statutes or city ordinance.
Montana Code Annotated 2017 7-8-4201-
Disposal or Lease of Municipal Property -
Election
(1)Subject to the provisions of subsection (2),
the city or town council may sell, dispose
of, donate, or lease any property belonging
to the city or town.
Employee Scenario57
Should Roger, a City employee in
Engineering, attend the annual Christmas
party of ACME Engineering, a local firm
in the community that will include city
officials, customers, and people they
work with in attendance if the firm is
competing for a large contract, and
Roger is on the interview team??
5 Employee Scenario58
Should Roger, a City employee in
Engineering, attend the annual Christmas
party of ACME Engineering, a local firm
in the community that will include city
officials, customers, and people they
work with in attendance if the firm is
competing for a large contract, and
Roger is on the interview team?
Main Issue: Understanding what
signal his presence might
represent to the company or how
he might be influenced by them
Code of Ethics, Section 2.03.490 B.
Standards of Conduct
Officials and employees shall conduct
themselves with propriety, discharge
their duties impartially and fairly, and
make continuing efforts toward
attaining and maintaining high
standards of conduct.
5 Employee Scenario59
Sarah is a Board Liaison.
After the Board Meeting the
group decided to meet for
drinks. Sarah had a glass of
wine. Did she do the right
thing??
6 Employee Scenario60
Sarah is a Board Liaison.
After the Board Meeting the
group decided to meet for
drinks. Sarah had a glass of
wine. Did she do the right
thing?
Main Issue: Being aware if there
is a quorum of the Board
present which would make it
wrong to have a drink = on duty
City of Bozeman Employee
Handbook, November 2017:
Employees may not be under
the influence of or impaired
by drugs or alcohol while on
duty.
6 Employee Scenario61
Mick’s friend is a videographer
and his department has a
small project that needs to be
filmed. Can Mick hire his
friend for the job??
7 Employee Scenario62
Mick’s friend is a videographer
and his department has a
small project that needs to be
filmed. Can Mick hire his
friend for the job?
7
Main Issues: What if Mick is not
involved in the hiring?
City of Bozeman Purchasing
Policy, 7) APPROVAL OF
PURCHASES:
Two (2) signatures are required
to approve the payment for any
good
or service purchased by the City.
The following must appear on
each claim submitted to the
Accounting Division.
Employee Scenario63
Warren heard through the
grapevine a city position
may be opening. He thinks
he knows the perfect
candidate. Is it okay for
Warren to contact that
person and tell them to get
ready to submit a resume?
?
8 Employee Scenario64
Warren heard through the
grapevine a city position
may be opening. He thinks
he knows the perfect
candidate. Is it okay for
Warren to contact that
person and tell them to get
ready to submit a resume?
Main Issues: Positions are approved in
the annual budget through a public
process. They are not confidential.
Code of Ethics, Section 2.03.470 Definitions,
A.3.
“Confidential information” means any
information which is not available to the
general public and which is obtained only by
reason of an official’s or employee’s position.
Section 2.03.530 A. Confidential Information.
No official or employee shall, without legal
authority, disclose confidential information
concerning the personnel, property,
government, or affairs of the city.
8 Employee Scenario65
?
Marcus from Vehicle Maintenance shops at O’Reilly’s for supplies for the city frequently and receives a government discount for supplies purchased for the City. While working on his personal vehicle over the
weekend he stops by O’Reilly’s to purchase supplies. The clerk recognizes Marcus and automatically applies the discount. Marcus informs the clerk that he is not purchasing these items for the City and that he should not receive the discount. The clerk tells Marcus that it’s “okay” and insists that Marcus accept the discount. The result of the discount is approximately $28 less than what he would have paid. Marcus decides not to argue with the clerk and accepts the discount, nobody will know anyway. Did
Marcus violate the City’s ethics policies?9 Employee Scenario66
Marcus from Vehicle Maintenance shops at O’Reilly’s for supplies for the city frequently and receives a government discount for supplies purchased for the City. While working on his personal vehicle over the
weekend he stops by O’Reilly’s to purchase supplies. The clerk recognizes Marcus and automatically applies the discount. Marcus informs the clerk that he is not purchasing these items for the City and that he should not receive the discount. The clerk tells Marcus that it’s “okay” and insists that Marcus accept the discount. The result of the discount is approximately $28 less than what he would have paid. Marcus decides not to argue with the clerk and accepts the discount, nobody will know anyway. Did
Marcus violate the City’s ethics policies?
Main Issues: acceptance of
something because he is an
employee and the clerk recognizes
him
Code of Ethics, Section 2.03.540 Gifts,
gratuities and favors, B. 2. That the
person knows or that a reasonable
person in that position should know
under the circumstances is primarily
for the purpose of rewarding the
person for official action taken;
Charter, Code of Ethics, Sec.
2.03.460… that public office and
employment not be used for
personal gain…9 Employee Scenario67
Molly has been swimming at the city pool
for years. She finds out that one of the
lifeguards, Jane, that she has built a friendly
relationship with over the years, just had
her baby. Molly knows that other
swimmers would be interested in giving Jane
a gift. Molly collects $20 from 9 additional
patrons and surprises Jane with a gift card
to a baby store in the amount of $200.
Jane’s maternity leave ends in one day, but
Jane informs Molly she has made the
decision not to return to work. Can Jane
accept the gift card? If no, could she accept
the gift if it was given individually in the $20
increments?
?
10 Employee Scenario68
Molly has been swimming at the city pool
for years. She finds out that one of the
lifeguards, Jane, that she has built a friendly
relationship with over the years, just had
her baby. Molly knows that other
swimmers would be interested in giving Jane
a gift. Molly collects $20 from 9 additional
patrons and surprises Jane with a gift card
to a baby store in the amount of $200.
Jane’s maternity leave ends in one day, but
Jane informs Molly she has made the
decision not to return to work. Can Jane
accept the gift card? If no, could she accept
the gift if it was given individually in the $20
increments?
Main Issue: Test of intent of gift
Code of Ethics 2.03.540
B. No official or employee shall accept a gift, gratuity,
or favor from any person or entity:
1. That would tend improperly to influence a
reasonable person in the person's position to depart
from the faithful and impartial discharge of the
person's public duties;
2. That the person knows or that a reasonable
person in that position should know under the
circumstances is primarily for the purpose of
rewarding the person for official action taken; or
3. Has a value of $100.00 or more for an
individual.
Section 2.03.540 Gifts, gratuities and favors, F. 1.
Items or services provided an employee or official in
their private capacity and without relationship to
their employment or official position;
10 Employee Scenario69
Lester made comments to a coworker one
day that others overheard which were
blatantly sexual harassment. At the urging
of his boss who heard about the incident
and told Lester that his admission of the
incident would enable him to avoid
discipline, Lester went to HR. Did the boss
act appropriately??
11 Employee Scenario70
Lester made comments to a coworker one
day that others overheard which were
blatantly sexual harassment. At the urging
of his boss (who heard about the incident
and told Lester that his admission of the
incident would enable him to avoid
discipline), Lester went to HR. Did the boss
advise appropriately?
Main Issue: Sexual harassment is
not covered in the Code of Ethics
and therefore Section 2.03.590
C.2 does not apply.
City of Bozeman Employee
Handbook, November 2017,
Harassment Complaint Procedure
Code of Ethics, Section 2.03.590 C.2
An employee’s…own improper
action does not grant the employee
immunity from discipline…
11 Employee Scenario71
?
Sarah goes to an Economic Development conference and sees Jason there who is a
consultant who hopes to work with the City on a project but hasn’t yet submitted his proposal. He annoys Sarah because he calls her frequently asking questions He has an extra ticket and invites Sarah to a technical demonstration event valued at $65 with the proceeds going to a local non profit
during the conference. Can she accept the invitation?
12 Employee Scenario72
Sarah goes to an Economic Development conference and sees Jason there who is a
consultant who hopes to work with the City on a project but hasn’t yet submitted his proposal. He annoys Sarah because he calls her frequently asking questions. He has an extra ticket and invites Sarah to a technical demonstration event valued at $65 with the proceeds going to a local non profit
during the conference. Can she accept the invitation?
12 Employee Scenario
Main Issue: Test of intent of gift
Code of Ethics 2.03.540
B. No official or employee shall accept a gift,
gratuity, or favor from any person or entity:
1. That would tend improperly to influence
a reasonable person in the person's position to
depart from the faithful and impartial discharge
of the person's public duties;
2. That the person knows or that a
reasonable person in that position should
know under the circumstances is primarily for
the purpose of rewarding the person for
official action taken; or
3. Has a value of $100.00 or more for an
individual.
73
?
Candace works in the Library. She checks
out a patron who has library book damage
fees on her account. The patron explodes
with anger at being accused of returning
books that were damaged and claims the
Library should not have charged her.
Candace is tired of this behavior. She told
the patron that she would bring up this
situation at the next Library Advisory
Board meeting and hoped that the patron
would lose her library card. Did Candace
cross the line?
13 74
Candace works in the Library. She checks
out a patron who has library book damage
fees on her account. The patron explodes
with anger at being accused of returning
books that were damaged and claims the
Library should not have charged her.
Candace is tired of this behavior. She told
the patron that she would bring up this
situation at the next Library Board
meeting and hoped that the patron would
lose her library card. Did Candace cross
the line?
Main Issues: Where is the line
between reporting problems v.
customer service v. ethical
violations?
Code of Ethics, Section 2.03.510
Treatment of the public
In their contact with the public,
officials and employees must bear in
mind their role as public servants.
Each member of the public shall be
treated courteously, impartially and
fairly…refrain from taking any
action…that is intended to
retaliate…against any member of the
public.
13 Employee Scenario75
WHO CAN YOU RELY UPON FOR HELP?
•At any time, you can ask your supervisor, HR or
the City Attorney when you have questions about
this training or about how to advise an employee
or board or commission member
76
?
Sandy is a member of the Northeast Urban Renewal Board. She owns a restaurant in the district and is very invested in improving the district for both her business and Bozeman in general. She is diligent about filling out her Financial Disclosure Form each year and notes her business and property interests on the form. A developer recently brought before the board a proposal for a hotel in the adjacent unused lot. Sandy is very excited about the hotel, as she’s had some conversations with the owners and expects the two to share some parking facilities and of course, the hotel will bring in customers for her. She doesn’t mention this at the NURB meeting because she has no direct business interests in the project, and since her form is on file staff can bring it up if they think it’s a conflict. Sandy enthusiastically approves the hotel. Has Sandy correctly followed the process?
1 Board/Commission Scenario77
Main Issues:
Financial Interests and Disclosure –Sandy should disclose her
interests in the project on the record (at the meeting). Section 6
of the City Code of Ethics states that officials must discharge
their duties impartially and fairly, and Sandy certainly has
financial interests and has even made efforts to discuss such, so
she is not acting impartially. Pursuant to BMC 2.03.520, officials
are not to use their position to secure any financial interest or
personal interest. She should call the City Attorney as she may
need to disclose her interests and recuse herself from the vote.
Many boards require members with knowledge and investment
in certain areas, so conflicts are expected and should not be
assumed uncommon. This is managed through thoughtful
disclosures and recusals when appropriate.
Financial Disclosure Form –While the Financial Disclosure Form
is a public record, staff members typically do not have direct
access to these documents and will not necessarily know of
potential conflicts of board members. It is the responsibility of
the board member to recognize and disclose any potential
conflicts on the record. Financial Disclosure Forms are not
required for all boards, so if a board has this requirement
pursuant to BMC 2.03.550, it has been determined board
members are major financial decision makers and need to take
this requirement seriously.
Sandy is a member of the Northeast Urban Renewal Board. She owns a restaurant in the district and is very invested in improving the district for both her business and Bozeman in general. She is diligent about filling out her Financial Disclosure Form each year and notes her business and property interests on the form. A developer recently brought before the board a proposal for a hotel in the adjacent unused lot. Sandy is very excited about the hotel, as she’s had some conversations with the owners and expects the two to share some parking facilities and of course, the hotel will bring in customers for her. She doesn’t mention this at the NURB meeting because she has no direct business interests in the project, and since her form is on file staff can bring it up if they think it’s a conflict. Sandy enthusiastically approves the hotel. Has Sandy correctly followed the process?
1 Board/Commission Scenario78
?
Gwen is an active member of the Parks and
Recreation Advisory Board and vehemently
opposes a proposed Parks Maintenance District.
The subject has been discussed at the board a
number of times, and while a few members
agree with her, the majority of the board
supports the creation of the district. Gwen feels
like her voice isn’t being heard, so she puts in
public comment to the City Commission, and
writes a letter to the Chronicle expressing her
concerns about the district, acknowledging her
experience with the project given her
membership on the RPAB. She makes sure to
include “on behalf of RPAB” in her letters to
reinforce her legitimate opinion and so that
others will take her seriously. Has Gwen done
anything wrong?
2 Board/Commission Scenario79
Main Issues:
Representation as an Individual –BMC 2.03.470.A.9 classifies
board members as “officials” as they are appointed by the City
Commission. Board members are appointed by the City
Commission to advise the City Commission. All City officials
must act within the course and scope of their position and must
act on behalf of the municipality. City Commission liaisons sit
on almost every board and hear conflicting viewpoints during
meetings. Voicing her concerns to the board and City
Commission is appropriate, but she goes further by writing to
the Chronicle, as she is no longer acting on behalf of the
municipality but instead of her own interests. She can do this as
a private citizen, but using her position as advocacy of her own
interests is not appropriate.
Representation as the Board –Board members (and all officials
and staff for that matter) have free speech rights and can
express opinions as private citizens. However, Gwen cannot
write “on behalf of RPAB” on any of her communications unless
said communications were expressly approved by the board at a
public meeting. She does not speak on behalf of the board
unless given that permission, and should not represent herself as
such.
Gwen is an active member of the Parks and
Recreation Advisory Board and vehemently
opposes a proposed Parks Maintenance District.
The subject has been discussed at the board a
number of times, and while a few members
agree with her, the majority of the board
supports the creation of the district. Gwen feels
like her voice isn’t being heard, so she puts in
public comment to the City Commission, and
writes a letter to the Chronicle expressing her
concerns about the district, acknowledging her
experience with the project given her
membership on the RPAB. She makes sure to
include “on behalf of RPAB” in her letters to
reinforce her legitimate opinion and so that
others will take her seriously. Has Gwen done
anything wrong?
2 Board/Commission Scenario80
?
Neil is the chair of the Midtown Urban Renewal Board, and is responsible for setting the agendas. He also owns a hotel in the district. Recently the agendas have been pretty full with new activity in the district, so he wants to prioritize retail and food service projects as he views that as a gap to fill with new development. A proposed hotel has asked the board to be considered for $40,000 in incentives. Neil knows that this amount of a request needs to be approved by the MURB and does not go
before the City Commission, but he doesn’t want to put it on an agenda as his hotel is covering the needs of the district at the moment. He didn’t get any incentives when he built his hotel, so if they are in a time crunch they can proceed without the incentives. Neil informed the applicant the board is focusing on other priorities and that the request will not be considered at this time. Has Neil acted within his authority?3 Board/Commission Scenario81
Main Issues:
Misuse of Position –Pursuant to MCA 2-2-105.5, a public
official may not perform an official act directly and
substantially affecting a business or other undertaking to its
economic detriment when the officer of employee has a
substantial personal interest in a competing firm or undertaking.
While as the chair he has the authority to set the agenda, he
has already made the call that the new hotel doesn’t need the
incentives at this time, which he then uses to justify keeping the
item off the agenda. He may even be retaliating against the new
applicant if he views it unfair that this person could get
incentives he didn’t. The definition of “improper governmental
action” in BMC 2.03.470.8 includes action taken by an official
that is intended to retaliate against a member of the public. If
the new applicant chooses to come back later when he can get
the incentives, Neil’s actions as chair have directly resulting in
delaying a project, which will lead to less competition for him.
Neil needs to act on behalf of the City in his decision-making.
Financial Interest –Pursuant to BMC 2.03.470.6, “financial
interest” does not need to be tangible. Regardless of whether
Neil is intentionally creating a barrier for the new hotel, if the
hotel is delayed due to his actions, he stands to keep business
that the new hotel may have taken away. He needs to be aware
of this level of financial interest, and even if his motivations are
in the right place, the perception of a conflict may still exist. He
needs to take this into account in his decision making when
setting the agenda.
Neil is the chair of the Midtown Urban Renewal Board, and is responsible for setting the agendas. He also owns a hotel in the district. Recently the agendas have been pretty full with new activity in the district, so he wants to prioritize retail and food service projects as he views that as a gap to fill with new development. A proposed hotel has asked the board to be considered for $40,000 in incentives. Neil knows that this amount of a request needs to be approved by the MURB and does not go
before the City Commission, but he doesn’t want to put it on an agenda as his hotel is covering the needs of the district at the moment. He didn’t get any incentives when he built his hotel, so if they are in a time crunch they can proceed without the incentives. Neil informed the applicant the board is focusing on other priorities and that the request will not be considered at this time. Has Neil acted within his authority?3 Board/Commission Scenario82
?
Jenny is a member of the Community Affordable Housing Advisory Board, and also works for a local non-profit that helps to coordinate placement of low-income individuals in affordable housing, and she is happy that her involvement on the board can help facilitate a community need her job also addresses. Since she is an expert in the area, she makes sure that developers coming before the CAHAB are fully aware of the different resources in the community, and gets frustrated when someone asks for an incentive when they haven’t gone through all the steps to minimize development costs, such as working with Habitat for Humanity to potentially have them build some of the houses. She votes no on these projects since there are so many local organizations that could also benefit from a developer utilizing their resources, and only votes yes on projects that maximize these resources. Is Jenny doing anything wrong or is this appropriate given her position?
4 Board/Commission Scenario83
Main Issues:
Financial Interest –Again, pursuant to BMC
2.03.470.6, “financial interest” does not need to
be tangible. While Jenny has good intentions,
citizens may view Jenny as using her position to
build up business for local non-profits, which
benefits her directly in job security and
community relationships. This is not the role of a
board member, who as a city official needs to put
on a different hat to advise the City Commission
and act on behalf of the municipality.
Impartiality –Section 6 of the Ethics Handbook
states that officials must “discharge their duties
impartially and fairly.” As a decision-maker, Jenny,
like all board members, must consider the
information before her with each application, and
not apply standards not expressly given to her by
law.
Jenny is a member of the Community Affordable Housing Advisory Board, and also works for a local non-profit that helps to coordinate placement of low-income individuals in affordable housing, and she is happy that her involvement on the board can help facilitate a community need her job also addresses. Since she is an expert in the area, she makes sure that developers coming before the CAHAB are fully aware of the different resources in the community, and gets frustrated when someone asks for an incentive when they haven’t gone through all the steps to minimize development costs, such as working with Habitat for Humanity to potentially have them build some of the houses. She votes no on these projects since there are so many local organizations that could also benefit from a developer utilizing their resources, and only votes yes on projects that maximize these resources. Is Jenny doing anything wrong or is this appropriate given her position?
4 Board/Commission Scenario84
?
Olive is a member of the Parking Commission, and with the rest of the commission is working to coordinate an expansion to the downtown parking garage. This week the Parking Commission is considering the construction contract for the garage, which includes as a sub-contractor an architecture firm for which her son works. Olive wasn’t sure if her approving the contract would show favoritism to a relative so she emailed the chair of the Parking Commission to let her know of the relationship, and the chair thanked Olive for letting her know. When the commission got to the item Olive did not disclose the conflict since she already did, and since her relation was once-removed from the contract before them, she voted to approve the contract. Did Olive go overboard with her disclosure, was it correctly handled, or was it not enough?
5 Board/Commission Scenario85
Main Issues:
Disclosure –Pursuant to BMC 2.03.520.D.1, disclosure must be
on the record. It is Olive’s responsibility to disclose the conflict
at the public meeting. Knowing of the conflict, the chair should
also bring it up since Olive failed to.
Nepotism –MCA 2-2-201 states officials are not to have
interest in contracts if they are directly involved, defined as a
person who directly monitors, extends, amends, audits, or is
responsible for procurement of the contract, of which Olive
certainly is. Whether her son is a sub-contractor is irrelevant as
he may directly stand to benefit from this contract if approved.
If Olive knows her son will or may work on this project she
should disclose that and recuse herself from the vote. If Olive
knows he will NOT work on that project, she should still disclose
that information prior to the vote to avoid any misperceptions
of favoritism later down the road.
SUMMARY: These are complicated scenarios, and there can
be fine lines between disclosing vs. recusing, speaking as an
individual vs. board member, etc. There may also be more
nuanced ethical issues with any of these scenarios, so only
the main ones are highlighted. But these situations come up
frequently, so please never hesitate to contact the City
Attorney’s office for assistance prior to any decision-making.
Olive is a member of the Parking Commission, and with the rest of the commission is working to coordinate an expansion to the downtown parking garage. This week the Parking Commission is considering the construction contract for the garage, which includes as a sub-contractor an architecture firm for which her son works. Olive wasn’t sure if her approving the contract would show favoritism to a relative so she emailed the chair of the Parking Commission to let her know of the relationship, and the chair thanked Olive for letting her know. When the commission got to the item Olive did not disclose the conflict since she already did, and since her relation was once-removed from the contract before them, she voted to approve the contract. Did Olive go overboard with her disclosure, was it correctly handled, or was it not enough?
5 Board/Commission Scenario86
WHO CAN YOU RELY UPON FOR HELP?
•At any time, you can ask your supervisor, HR or
the City Attorney when you have questions about
this training or about how to advise an employee
or board or commission member
87
NEXT STEPS
•Staff to create a final version of the presentation you will use with your staff and
commission members. (Only slight changes will be made to make it relevant to the
groups you will present to instead of this training oriented version)
•PPT will be emailed to you and available in the Projects folder
•Begin to book time during your staff meetings and/or place on board and commission
agendas
•Make sure to have a sign-in sheet and provide completed sheet and any comment
feedback sheets to City Clerk Robin Crough before April 1st, preferably as sessions are
completed
88
12-17-18
89
THANKS!
90
2018 Ethics Training
Train the Trainers Facilitation Tips
Questions that help Facilitation:
• The benefit of the training is the discussion that happens in the gray areas of each scenario.
Become comfortable with these types of questions for effective facilitation of the Ethics Training:
What information do we have or not have?
Who is involved?
When is the occurrence in question?
Why might we need to pause and ask the ethics questions to ourselves?
Where can we go for help? What are the resources?
Why Facilitation?
• Equipping staff to facilitate training helps make the material more familiar
• Engaging in Conversation HELPS US LEARN
• Probing for More Information (using questions that begin with Who, What, When, Why, Where, and
How)
• Participants have knowledge that we need to draw out
• Participants are sometimes hesitant to begin the conversation
• Reaching conclusions will likely lead to more unanswered questions
• THAT’S OKAY!
What to expect?
• 13 Questions related to staff scenarios (Green)
• 5 Board and Commission-focused scenarios (Blue)
• Notes Built in to Powerpoint
• Sign In Sheet for Documentation of Participants
• Flip Chart for Possible Future Questions or Other Concerns (putting items in the “Parking Lot”)
• GOAL: An Hour of Discussion (More Questions than time to complete)
• The hour will fly by!
Resources
• Code of Ethics
• A Copy of the Employee Handbook (encourage Employees bring their copy)
• You can request a staff partner (other Trainer) to accompany you with the training
• Board of Ethics members may float and attend a few training sessions
• City Commission members will participate within their liaison roles
Remember
At any time you can ask your supervisor, HR or the City Attorney when you have
questions about this training or about how to advise an employee or board or
commission member
91