Lisbon Now Has A Formal Ethics Panel

Lisbon Ethics Panel TO: Lisbon Town Council; Stephen Eldridge, Town Manager Lisbon School Committee; Shannon Welsh, Superintendent of Schools FROM: David Bowie, Chairman, Lisbon Ethics Panel The Lisbon Ethics Panel held an organizational meeting on October 30`h at the Lisbon Town Office. All five members were in attendance: David Bowie, chairman Mary Callahan, alternate member Sandy Craig, regular member Ross Cunningham, alternate member Michelle Swatsworth-Turmelle, regular member Members.not already sworn in were sworn in by Jody Durisko, Administrative Assistant. After exchanging personal introductions the Panel reviewed its charge as described in Chapter 12 of the Lisbon Municipal Code. All members were provided with copies of this code and the state and local codes referenced in Section 12-4. We present here an outline of our process as we understand it. The intent of this outline is to publicize the procedure and to allow a review of the process by both the Council and School Committee. We would ask that we be advised, if any part of the process conflicts with other portions of code or policy. Conflicts of interest are quite clèarly defined in Chapter 12 and the related statutes. A key element is awareness of what constitutes a conflict of interest. All persons governed by Chapter 12 should be given copies of the Code with additional explanation as needed, and ethics should be a regular part of staff training. Conflicts of interest can be avoided or resolved through personal action or by actions of the Council or School Committee. If such actions do not resolve an apparent issue of conflict of interest, then the matter can be referred to the Ethics Panel. Referral to the Ethics Panel can be made by a public official having a potential conflict of interest, by two members of a board concerning members of that body, or by citizen petition. Any referral must be in writing and must clearly and fully describe the action or. situation which is believed to constitute the conflict of interest. Referrals to the Ethics Panel will be submitted to the Panel Chairperson via standard mail, email, or personal delivery. Upon receipt of a referral the submission will be verified with the person(s) making referral, the person alleged to be in conflict will be notified, and the affected board will be notified. The Panel has set the first Wednesday of each month at 6:30 pm as its tentative meeting time. The Panel will meet, if a referral has been submitted for review. If timeframes require a more immediate review, the Panel will be convened as soon as is practicable by its membership. Chapter 12 provides specificguidelines for the Panel in conducting its review and making its findings. Certain details are not addressed in the Code, and the Panel has tentatively adopted the following procedures: 1) Ethics Panel meetings, other than requested public hearings, are open only to the Panel, the person named in the referral, and that person's representative (if desired). 2) Minutes of Panel meetings will record the decision of the Panel regarding the alleged conflict of interest and an explanation of the reasoning supporting the decision of the Panel. 3) In any decision that is not unanimous, the dissenting member may submit a minority opinion. We recognize both the need to address lapses of ethics and the need to protect individuals from undue harm. We are prepared to serve as Lisbon's Ethics Panel. The best measure of success would be if the Panel never had to review a referral. This would indicate that identified conflicts of interest were being resolved by individual officials or by the affected boards before they became problems. The City of Auburn has had a nearly identical ethics code since 1994. Its Panel has been called upon to review a referral only once in fourteen years. We hope that the adoption of Chapter 12 and the existence of a referral process will provide guidelines that will eliminate or properly manage any potential conflicts of interest that may arise.

Chapter 12 ETHICS AND CONFLICTS OF INTEREST Sec. 12-1. Statement of policy. Sec. 12-2. Definitions. Sec. 12-3. Ethics panel. Sec. 12-4. Conflicts of interest. Sec. 12-5. Additional standards. Sec. 12-6. Procedures. Sec. 12-7. Effect of advisory opinion. Sec. 12-1. Statement of policy. It is the policy of the Town of Lisbon 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 Town of Lisbon against actual or reasonably perceived conflicts of interest without creating unnecessary barriers to public service. This article shall not prevent the town council, the school committee, the town 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. (T.M. of 5-15-2007, § 2007-067) Sec. 12-2. Definitions. As used in this article, the following terms shall have the following meanings: Conflict of interest. The term "conflict of interest" means a situation where a public official cannot participate in a matter because of a personal relationship, financial involvement, or other situation 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. 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. Municipal board. The term "municipal board" means the Lisbon Town Council, the Lisbon School Committee, the Lisbon Planning Board, the Lisbon Board of Zoning Appeals, and the Lisbon Board of Assessment Review. Participation in a matter. The term "participation in a matter" means action by a public official to vote, decide, deliberate, influence or direct others regarding matters currently before, or anticipated as coming before, a municipal board, committee or commission or which involve the operation of municipal government or the school system. Personal relationship. The term "personal relationship" means any family, affectional, or social relationship that is characterized by one or more of the following: a. Persons who are husband and wife, or parent and child; b. Persons who share an ongoing physical intimacy with each other; c. Persons who acknowledge an ongoing romantic relationship with each other; d. Persons who live together in the same residence; e. Persons who intermingle their financial assets without an accounting of separate ownership interests. Public official. The term "public official" means (1) any person holding an elected or appointed position with a municipal board, committee, or commission; (2) the town manager; (3) directors of municipal and school system departments; (4) the town finance director; (5) the superintendent of schools; (6) school principals; (7) any person designated as a town officer or official under state law; (8) employees. (T.M. of 5-15-2007, § 2007-067) Sec. 12-3. 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 town council, and one regular voting member and one alternate member of the ethics panel shall be appointed by the school committee. A regular voting member or alternate member of the ethics panel may not hold any other town or school department office or position or be a member of any board or commission to which the town council or school committee have appointing authority. (b) Term. 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 council to a three-year term, one member shall be appointed by the school committee to a two-year term, and one member shall be appointed by the council to a one-year term. The town council chair 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. (T.M. of 5-15-2007, § 2007-067) Sec. 12-4. 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. (b) Statutory and policy standards. There are applicable provisions of the General Statutes of the State of Maine and town policies which directly address issues considered to be issues of ethics and conflicts. These statutory and policy provisions are hereby integrated into and become a part of this chapter, as promulgated, and as may be from time to time be amended: 17 M.R.S.A. § 3104 Conflicts of Interest; Purchases by the State 17-A M.R.S.A. § 456 Tampering with Public Records or Information 17-A M.R.S.A. § 602 Bribery in Official and Political Matters 17-A M.R.S.A. § 603 Improper Influence 17-A M.R.S.A. § 604 Improper Compensation for Past Action 17-A M.R.S.A. § 605 Improper Gifts to Public Servants 17-A M.R.S.A. § 606 Improper Compensation for Services 17-A M.R.S.A. § 607 Purchase of Public Office 17-A M.R.S.A. § 608 Official Oppression 17-A M.R.S.A. § 609 Misuse of Information 17-A M.R.S.A. § 903 Misuse of Entrusted Property 21-A M.R.S.A. § 504 Persons Ineligible to Serve 30-A M.R.S.A. § 2605 Conflicts of Interest 30-A M.R.S.A. § 5122 Interest of Public Officials, Trustees or Employees Lisbon Code, Chapter 90, Personnel Policy, § 90-30, Political Activity Lisbon Code, Chapter 90, Personnel Policy, § 90-31, Gifts and Gratuities Lisbon Code, Chapter 90, Personnel Policy, § 90-31.5, Conflict of Interest Lisbon Code, Chapter 90, Personnel Policy, § 90-38, Use of Town Equipment Lisbon Code, Chapter 86, Financial Matters, § 86-40, Ethics and Public Contracting (c) Standards of representation. No public official shall appear on behalf of any third party before any town board, committee or commission, including a board, committee or commission of which the official is a current member, or represent any third party interest in any action, proceeding or litigation in which the town or one of its agencies is a party. Nothing herein shall prohibit any public official from appearing as a witness when duly called by a party for the purpose of giving non-privileged testimony before any town board, committee or commission or in any litigation. Nothing herein shall prohibit the official from representing the official's personal interest and appearing before any town board, committee or commission including that of which the official is a current member, but during the representation of such interest, the official shall be considered a member of the general public, or interested party in the matter under deliberation, and shall not sit with the board, committee or commission, deliberate on the matter, or vote on the item concerned. The term "personal interest" includes any interest of the public official as a resident, landowner, or taxpayer who may be affected by the matter under consideration. (d) 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, 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 town 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 town of lisbon 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 town clerk and shall be endorsed by the signatures of 25 registered voters within the Town of Lisbon. (e) 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. (f) Board, committee or commission determination. Nothing in this chapter shall affect, limit or preclude a particular board, committee or commission from determining a question of ethics or conflict with respect to one of its members at a particular hearing or meeting, by vote of the board, committee or commission excluding the member alleged to have an ethics or conflict issue that would preclude participation, including voting, on a matter pending before that board, committee or commission. (T.M. of 5-15-2007, § 2007-067) Sec. 12-5. Additional standards. (a) Standard of conduct. A public official, other than the town 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 town manager or superintendent of schools, whoever is the appropriate senior administrative officer; and (2) The town 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 town manager or superintendent of schools reports to the town 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 town manager nor 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 town council or school committee, whichever is the appropriate legislative body, by the town 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 town manager or superintendent of schools. (b) Referral for assistance of ethics panel. The town manager, the superintendent of schools, or a majority of the members of the town council or the school committee may request an advisory opinion from the ethics panel relating to conflicts of interest, situations contemplated under this section, and the formulation of a management plan. (T.M. of 5-15-2007, § 2007-067) Sec. 12-6. 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. (T.M. of 5-15-2007, § 2007-067) Sec. 12-7. 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. (T.M. of 5-15-2007, § 2007-067)