Ethics and Conflicts of Interest, Auburn, ME

CHAPTER 1 - ARTICLE 4

ETHICS AND CONFLICTS OF INTEREST, CITY OF AUBURN

This Maine Municipal Association publication is presented for "Classroom Use Only." Its intended use is to stimulate and aid in discussion and role playing within a classroom setting.

Section 1. Statement of Policy.

It is the policy of the City of Auburn that the proper operation of democratic government requires that public officials be independent, impartial and responsible to the citizens; that public office not be used for personal gain; and that the public have confidence in the integrity of its municipal government. The purpose and intent of this Article is to promote the objective of protecting the integrity of the government of the City of Auburn against actual or reasonably perceived conflicts of interest without creating unnecessary barriers to public service.

This Article shall not prevent the City Council, the School Committee, the City Manager, or the Superintendent of Schools from adopting additional procedures and employment standards intended to prevent the exercise or appearance of improper influence or bias in the conduct of government business.

Section 2. Definitions.

As used in this Article, the following terms shall have the following meanings:

A. Personal relationship

The term "personal relationship" means any family, affectional, or social relationship that is characterized by one or more of the following:

1. persons who are husband and wife, or parent and child;

2. persons who share a physical intimacy with each other;

3. persons who acknowledge an ongoing romantic relationship with each other;

4. persons who live together in the same residence;

5. persons who intermingle their financial assets without an accounting of separate ownership interests.

B. Financial involvement

The term "financial involvement" means any existing (or current efforts toward achieving) ownership or investment interest, contract right, significant customer relationship, or employment relationship, of or with a public official or a person with whom the public official has a personal relationship.

C. Municipal board

The term "municipal board" means the Auburn City Council, the Auburn School Committee, the Auburn Planning Board, the Auburn Board of Zoning Appeals, the Auburn Civil Service Commission, and the Auburn Board of Assessment Review.

D. Public official

The term "public official" means (1) any person holding an elected or appointed position with a municipal board; (2) the City Manager; (3) the Assistant City Manager; (4) Directors of municipal and school system departments; (5) the City Purchasing Agent/Deputy Finance Director; (6) the Superintendent of Schools; (7) the Assistant Superintendent of Schools; and (8) School Principals.

E. Participation in a matter

The term "participation in a matter" means action by a public official to vote, decide, deliberate, influence or direct others in regard to matters currently before, or anticipated as coming before, a municipal board or which involve the operation of municipal government or the school system.

Section 3. Ethics Panel.

A. Establishment of Ethics Panel

There shall be established an Ethics Panel consisting of three regular voting members and two alternate members. Two regular voting members and one alternate member of the Ethics Panel shall be appointed by the Mayor with approval of a majority of the members of the City Council, and one regular voting member and one alternate member of the Ethics Panel shall be appointed by the Chair of the School Committee with approval of a majority of the members of the School Committee. A regular voting member or alternate member of the Ethics Panel may not hold any other City or School Department office or position or be a member of any board or commission to which the City Council or School Committee have appointing authority.

B. Term of Service

The regular voting members of the Ethics Panel shall be appointed to staggered three-year terms. When the first appointments are made, one member shall be appointed by the Mayor to a three-year term, one member shall be appointed by the Chair of the School Committee to a two-year term, and one member shall be appointed by the Mayor to a one-year term. The Mayor annually shall appoint one of the regular voting members to serve as chair of the Ethics Panel. Alternate members shall be appointed to three-year terms.

C. Role of Alternate Members

Alternate members of the Ethics Panel may participate and vote in Ethics Panel proceedings if a regular voting member is incapable or unavailable to serve in regard to a particular referral or is disqualified from participation because of a conflict of interest. The alternate member designated shall be selected by the chair of the Ethics Panel.

D. Powers and Duties

The Ethics Panel shall have the authority to issue advisory opinions on questions relating to conflicts of interest and the incompatibility of employment positions.

Section 4. Conflicts of Interest.

A. Standard of Conduct

A public official shall refrain from participation in a matter when there exists an actual, potential or reasonably perceived conflict of interest arising from a personal relationship or a financial involvement that would cause a reasonable person to believe that the public official cannot act in his or her official capacity without self-interest or bias.

B. Referral

When a public official does not voluntarily refrain from participation in a matter and there is a question as to the existence of a conflict of interest under the standard set forth in the preceding paragraph, the matter may be referred to the Ethics Panel for its advisory opinion as follows:

1. A public official may refer to the Ethics Panel the question of whether he or

she has an actual, potential or reasonably perceived conflict of interest; or

2. Two or more members of the City Council, School Committee, or other

municipal board may refer to the Ethics Panel the question of whether

another member of that body, or of a public official who serves under the

authority of that body, has an actual, potential or reasonably perceived

conflict of interest; or

3. A registered voter within the City of Auburn may request an advisory

opinion from the Ethics Panel regarding whether an elected or appointed

public official who serves on a municipal board has an actual, potential or

reasonably perceived conflict of interest. Such request shall be made on forms

available from the City Clerk and shall be endorsed by the signatures of twenty-five

registered voters within the City of Auburn.

C. Ethics Panel Determination

The Ethics Panel shall determine whether the public official should refrain from participation in a matter because of the actual, potential or reasonably perceived existence of a conflict of interest arising from a personal relationship or a financial involvement that would cause a reasonable person to believe that the public official cannot act in his or her official capacity without self-interest or bias.

Section 5. Incompatible Employment Positions.

A. Standard of Conduct

A public official, other than the City Manager or the Superintendent of Schools, who is a municipal or school department employee shall not hold a supervisory position, or be senior in the chain-of-command, to an individual with whom he or she has a personal relationship or a financial involvement (other than the municipal or school system employment relationship), unless:

1. The relationship is disclosed by the public official to the City Manager or Superintendent of Schools, whoever is the appropriate senior administrative officer; and

2. The City Manager or Superintendent of Schools approves a management plan that is designed to prevent favoritism or any other improper influence in connection with the employment relationship and that provides ongoing oversight by a person or persons not subordinate to either of the individuals who have the personal relationship or financial involvement; and

3. The City Manager or Superintendent of Schools reports to the City Council or the School Committee, whichever is the appropriate legislative body, the existence of the potential incompatibility of employment positions and the establishment of a management plan to address the same.

Neither the City Manager nor the Superintendent of Schools shall hold a supervisory position, or be senior in the chain-of-command, to an individual with whom he or she has a personal relationship or financial involvement (other than the municipal or school system employment relationship), unless:

1. The relationship is disclosed to the City Council or School Committee, whichever is the appropriate legislative body, by the City Manager or Superintendent of Schools; and

2. The legislative body establishes a management plan that is designed to prevent favoritism or any other improper influence in connection with the employment relationship and that provides ongoing oversight by a person or persons not subordinate to the City Manager or Superintendent of Schools.

B. Referral for Assistance of Ethics Panel

The City Manager, the Superintendent of Schools, or a majority of the members of the City Council or the School Committee may request an advisory opinion from the Ethics Panel relating to the incompatibility of employment positions and the formulation of a management plan.

Section 6. Procedures.

A. Referral of Cases

A referral to the Ethics Panel shall be in writing and shall describe with particularity the factual basis of the referral.

The Ethics Panel promptly shall give notice of the referral to the chair of the municipal board concerned and the public official whose personal relationship or financial involvement is the subject of the referral.

B. Fact-Finding

Upon receipt of a referral, the Ethics Panel shall determine the facts necessary to render an advisory opinion. The facts may be agreed upon and set forth in the referral. If additional fact-gathering is necessary, the Ethics Panel, or a person designated by it, may conduct informal interviews and solicit additional information. The Ethics Panel shall determine the facts through a formal hearing process only if so requested either by the public official who is the subject of a referral or by the public officials who submitted a referral.

In regard to its gathering of facts relating to the existence and nature of a personal relationship, the Ethics Panel shall be limited to the voluntary statements and other information provided by the public official whose relationship is at issue.

C. Deliberation

Upon conclusion of its fact-finding, the Ethics Panel shall deliberate over the question referred to the Panel. Any person may submit written comments to the Ethics Panel setting forth his or her position regarding the question under consideration.

D. Decision

Upon conclusion of fact-finding and deliberation, the Ethics Panel shall issue a written advisory opinion that includes findings of fact, application of the standards set forth in this Article and recommendations. The Ethics Panel shall furnish a copy of its advisory opinion to the chair of the municipal board concerned and the public official whose personal relationship or financial involvement is the subject of the opinion.

E. Time Limits

The Ethics Panel shall attempt to issue its advisory opinion within two weeks of its receipt of a referral. The Ethics Panel may decline to consider referrals regarding conflict of interest questions relating to the final vote of a municipal board that occurred prior to the referral.

Section 7. Effect of Advisory Opinion.

The opinion and recommendations of the Ethics Panel shall be advisory only. The members of a municipal board may vote to adopt the recommendations of the Ethics Panel as it relates to the participation in a matter by a public official.

Section 8. Effective Date.

This ordinance shall become effective immediately upon certification of the election results that a majority of the voters has voted to approve an amendment to Article IV, Section 14 of the City Charter regarding Conflicts of Interest which will be voted on at an election to be held on June 7, 1994.

City of Auburn

CITY COUNCIL, AUBURN MAINE

Date: March 7, 1994

TITLE: ORDER - CONCERNING A CHARTER AMENDMENT REGARDING ARTICLE VI, SECTION 14 - CONFLICTS OF INTEREST

Be It Ordered by the Auburn City Council, that the following question be submitted to the voters of the City of Auburn at the June 14, 1994 election:

Shall Article VI, Section 14 of the Auburn City Charter be amended as follows:

Section 14. Conflicts of Interest. It is the policy of the City of Auburn that the proper operation of democratic government requires that public officials be independent, impartial and responsible to the citizens; that public office not be used for personal gain; and that the public have confidence in the integrity of its municipal government. The city council shall adopt a comprehensive Conflicts of Interest ordinance to further the policy set forth in this section and to promote the objective of protecting the integrity of the government of the City of Auburn against actual or reasonably perceived conflicts of interest without creating unnecessary barriers to public service.

Explanation: The proposed amendment establishes an ethics policy for the City of Auburn. It also requires the City Council to adopt a comprehensive Conflict of Interest Ordinance. The purpose of the ordinance is to create specific standards to guide public officials' actions and to ensure they do not participate in matters when there is a real or perceived conflict of interest due to a financial or personal relationship. The ordinance also creates an Ethics Panel to provide advisory opinions on ethics issues. The proposed charter amendment repeals the current provisions relating to conflicts of interest.

Motion for acceptance of 1st reading: Seconded by:
Vote:

Motion to waive provisions of the Charter calling for first and second
readings on two separate dates.
Vote: Seconded by:

Motion to dispense with further reading, for acceptance of 2nd reading
and for final passage.
Vote: Seconded by:

Motion by City Council: Date: