HomeMy WebLinkAbout01-12 Board of Ethics annual report
City of Bozeman
Board of Ethics
Report
2010 - 2011
www.bozeman.net/bozeman/Residents/Ethics
January, 2012
Table of Contents
Board of Ethics Summary ………………………………………………………………. Page 3
Members…..……………………………………………………………………… Page 3
Support Staff………………………………………………………………...…… Page 3
Membership Details……………………………
…………… ………………… Page 3
Creation Duties and Responsibilities Bozeman Municipal Code of Ethics
Requirement of Annual Report
2010 – 2011 Report
Background Ethics Handbook Changes in
Board Membership Mock Trial 2011 Ethics Training Summary 2011 Survey Regarding Online Training Ethics Research on the Effectiveness of an Ethics Program 2012 Proposed Ethics Training Recommendations
of Legislative and Administrative Changes Summary of Decisions and Opinions Upcoming Goals
Board of Ethics Summary
Current Board Members:
Melissa Frost - Chairperson Appointed June, 2009 Term expires July, 2013 mfrost@bozeman.net
Mary Jane McGarity Appointed
January, 2011 Term expires July, 3013 mmcgarity@bozeman.net
Chris Carraway Appointed August, 2011 Term expires July 31, 2012 ccarraway@bozeman.net
Past Board Members:
Rodger
McCormick Appointed August, 2008 Term expired July, 2010
Stephen Schultz Appointed August, 2008 Term expired July, 2010
Support Staff:
Aimee Kissel – Deputy City Clerk Administrative
Services, Recording akissel@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.
Creation of the Board of Ethics
2008 Bozeman City Charter
The city 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 City 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 as required in the voter
approved City Charter, the Commission adopted Ordinance No. 1726. This Ordinance provided guidelines for the creation of the board among other ethics related content required in the
Charter. Duties and powers of the board, who may request board action and the limitations of the board’s power, were 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 (BMC)
The Bozeman Municipal
Code is a recodification of the Ordinances of the City of Bozeman. In other words, it is one conveniently organized online document that includes all of the ordinances (laws) of the
City. This code is the easiest way to determine what the board is responsible for.
BMC, 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.
Following are sections within the code directly related to the Board of Ethics and a brief summary of each. Other sections within the code of ethics provide additional direction to the
board and the public regarding dealing with 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 City code
of ethics to ensure the public and all public servants have a reasonable opportunity and are encouraged to participate;
Developing and 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 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 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.
Requirement of Annual Report
The annual report of the board of ethics 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.
2010 - 2011 Report
Background
Since the Board of Ethics last reported to the Commission in November, 2009, they have accomplished a number of the goals established by the City Charter
and City Code of Ethics. While this report is meant to be annual, a formal report was not submitted in 2010. This report will therefore cover 2010 and 2011 and summarize plans for 2012.
City
of Bozeman Ethics Handbook
The majority of 2010 was focused on planning, reviewing and revising the City of Bozeman Ethics Handbook. Paul Lachapelle with the MSU Local Government Center
Extension office was hired to assist in writing the handbook. A peer review of the draft helped ensure the handbook was clear and concise. In July of 2010 the final draft was brought
before the Commission for approval. Soon after, the handbook was produced and distributed to all city employees, officials and board members and made available to the public. Recipients
were asked to sign and return a form acknowledging they received and reviewed the handbook and would not knowingly violate the code of ethics.
Changes in Board Membership
After serving
diligently for several years Stephen Schultz and Rodger McCormick’s terms expired in July of 2010 beginning the search for additional members. Mr. Schultz and Mr. McCormick spent many
hours working on behalf of city residents to assist in getting the board up and running.
Original member and Chairperson Melissa Frost was reappointed to the board in July of 2011.
Her educational background and career experience has been a wonderful asset to the board as she has led the board forward.
In January of 2011, Melissa Frost welcomed aboard Mary Jane
McGarity. Ms. McGarity brought valuable experience in development of governing documents and board management.
In July of 2011, Chris Carraway was appointed as the third and final member
to the board. His extensive experience as an attorney and litigator made him a perfect addition to the team.
Mock Trial
Experiencing a mock ethics trial was a goal the board felt necessary to tackle in 2011 to help them prepare if a real trial were needed. Legal intern Sherine Fernando was
tasked with setting up fictitious documents for the trial. These included a complaint, response, findings of fact, and a subsequent legal advisory.
The board continued to work with the
legal department throughout the year as time allowed to better understand the upcoming trial and procedures. In November, nine staff played various characters established within the
mock findings of fact. City Attorney Greg Sullivan asked staff to use the findings of fact as the basis of their testimony, but to also be creative and have fun with the trial. The
trial gave board members a great way to practice trial procedures and become more comfortable with their responsibilities if a complaint was filed. While the mock trial was somewhat
light hearted, board members noted how serious a real trial would be and the importance of conducting a trial in a consistently fair manner.
2011 Ethics Training
Towards the end of 2010,
the Board hired the Montana State University Local Government Extension services once again. A professional services agreement was established for development and preparation of online
ethics training. The board focused the training on the newly created city of Bozeman ethics handbook. Staff member Aimee Kissel utilized email to request that all employees, public
officials and board members take the free online ethics course set up through MSU. Upon request, the training was also offered in a mailed paper format. By the March 1st deadline, all
but 5 of about 375 employees had completed the online training. Compliance among board members was slower, but only 40 of about 200 board members had yet to complete the training by
April. With some prompting almost all board members completed the training. Newly appointed board members throughout the year were also directed to take it. If board members do not take
the training, mention of their noncompliance is made on the commission memorandum if they decide to apply for another term.
Ethics Survey regarding On-line Training
One of the many benefits
of working with the Local Government Center is there connection to graduate students. In June of 2011, Joe Pioro an MSU graduate student with the Political Science Department, worked
with Paul Lachapelle on an online survey to better understand how effective the online training was and how future
trainings could be improved. The survey was optional, anonymous and confidential. 99 employees or board members who took the online ethics training chose to also reply to this survey.
Summary of results here – asked Joe for paper.
Ethics Research on the Effectiveness of an Ethics Program
Elizabeth Webb, a Montana State University Graduate student and employee of
MSU's Extension Local Government Center recently conducted a 38 item survey with randomly selected employees of the city of Bozeman and the city of Kalispell. The items were designed
to answer questions about the effectiveness of an ethics program. Asking the question, does the presence of a formal ethics program effect how employees observe and report misconduct
or the perception of an ethical culture. Results from Ms. Webb's research will help guide the development of the next ethic's training for city employees, elected officials and board
members.
2012 Ethics Training
The Bozeman City Charter, voted in by the citizens in 2008, mandates ethics training annually. This year's training will be conducted by the experienced
Local Government Center. Building on results from her newly completed research study, Ms. Webb and Local Government Director Dan Clark have created an ethics program focused around participant
participation in critical thinking and discussion of practical case studies to work through ethical dilemmas. They plan on creating three separate tracks. One track will focus on supervisors
and how they can help create an ethical culture, one track will target the remainder of city of Bozeman employees and the third track will be designed for board members. Twenty, ninety-minute
sessions will be provided during a wide range of times to allow for maximum flexibility and participant compliance. These trainings will take place in late February, March and April.
Deputy City Clerk, Ms. Kissel will assist with logistical planning for the training and act as the main contact. Board of Ethics members and City Attorney Greg Sullivan will attend many
of the trainings. After the trainings have been completed, the case studies discussed will also be posted.
Board of Ethics members are considering asking all new employees and newly
appointed board members or elected officials to take the online ethics training throughout the year in addition to the in person training being currently planned. The
online training provides a general overview of the code of ethics and the contents of the ethics handbook. The in person sessions will offer a much more in depth focus. A combination
of the two would ensure that new members were given the basics before joining a more in depth discussion.
Recommendations of Legislative and Administrative Changes
More work needed
on this section!
Board of ethics members have consistently felt that revisions to the City Code of Ethics related to conflicts of interest, the gift provision and post-employment restrictions
are appropriate. They have also had ongoing discussions related to the Commission’s Rules of Procedure related to dealing with tie votes when a Commissioner has a conflict. They undertook
further review of previous amendment attempts and related Commission discussion and delved further into the nuances of the purpose of the code and how that purpose can best be conveyed.
Conflict
of interest issues were highlighted mid-year as Commission candidate Chris Budeski struggled to interpret the code as a sole proprietor running for a Commission seat. In light of these
issues and Board of Ethics requests for input, Mayor Krauss added a Commission discussion to the August 1st Commission meeting regarding revisions to the City Code of Ethics. The ensuing
discussion and Commission direction further informed the board as did conversation and public comment from Chris Budeski during the August 17, 2011 Board of Ethics meeting. The board
continues to work towards revisions to these provisions in 2012.
Summary of the boards decisions and opinions
This section of the Board of Ethics report is designed for reporting to
the Commission and public regarding any advisory opinions or ethics hearings that were requested and may have been granted throughout the year.
At this time, the Board of Ethics has
not been asked for, or provided, any advisory opinions to either the public or an employee.
Upcoming Goals
Elect a vice-chairperson to the board
Continue to revise City Code of Ethics
and bring recommended revisions before the City Commission
Conduct 2012 ethics training for all employees, public officials and board members
Evaluate effectiveness of 2012 ethics training
Update and order copies of the ethics handbook with
new municipal code cite references
Draft Board of Ethics bylaws
Draft hearing procedures to use as guidelines in an ethics hearing/trial
Assist City Clerk in determining budget needs
for the Board of Ethics (handbooks, training costs, etc.) for the next budget cycle
Examine Charter and Code for further board duties and responsibilities