Chapter 125: Standards of Conduct and Financial Disclosure for City Appointed Officials and Employees
Editor's Note — Ord. no. 3679 §1, adopted June 5, 2006, superseded ch. 125 "conflicts of interest" and enacted new provisions set out herein. Former ch. 125 derived from CC 1961 §§4.21(A — E); ord. no. 3174 §1, 9-3-91; ord. no. 3258 §1, 9-7-93; ord. no. 3349 §1, 9-18-95; ord. no. 3364 §1, 2-21-96; ord. no. 3421 §1(a — e), 9-5-97; ord. no. 3537 §1, 9-17-01; ord. no. 3600 §1, 10-6-03; ord. no. 3628 §1, 9-20-04; ord. no. 3663 §1, 8-15-05.
[Ord. No. 3679 §1, 6-5-2006]
It is the policy of the City of Berkeley that the proper operation of democratic government requires that City Officials and employees be independent, impartial and responsible to the people; that governmental decisions and policy be made in proper channels of the governmental structure; that public office not be used for personal gain; and that the public have confidence in the integrity of its government. In the recognition of these goals, a code of ethics for all City Officials and employees is adopted.
This code has four (4) purposes:
To encourage high ethical standards in official conduct by City Officials and employees;
To establish guidelines for ethical standards of conduct for all such officials and employees by setting forth those acts or actions that are incompatible with the best interests of the City;
To require disclosure by such officials and employees of private financial or other interests in matters affecting the City; and
To serve as a basis for disciplining those who fail to abide by its terms.
[Ord. No. 3679 §1, 6-5-2006]
As used in this Chapter, the following terms shall have these prescribed meanings:
- APPEARS BEFORE
- A person appears before the City Council when such person publicly states his name and address, signs a sheet provided at the podium for that purpose and addresses the Council.
- BUSINESS DEALINGS
- Any activity involving the exchange of economic benefits.
- BUSINESS ENTITY
- Any corporation, partnership, sole proprietorship, firm, enterprise, franchise, association, organization, self-employed individual, holding company, joint stock company, receivership, trust or any legal entity organized for profit.
- CITY OFFICIAL
- The Mayor, every member of the City Council, the City Manager, the City Attorney, the City Clerk, the Director of Personnel, the Director of Public Works, the Director of Finance and persons acting in the capacity of the aforementioned officers or employees.
- Any economic benefit received in return for labor, services, property or investment.
- ECONOMIC BENEFIT
- Any money, real or personal property, purchase, sale, lease, contract, option, credit, loan, discount, service or other tangible or intangible thing of value, whether similar or dissimilar to those enumerated.
- Any person employed by the City, whether under civil service regulations or not, including those individuals on a part-time basis, including independent contractors hired by the City.
- FAMILY MEMBER
- The spouse and any dependent minor children of a City Official or employee.
- A favor, hospitality or economic benefit other than compensation but which does not include campaign contributions reported as required by State law, gifts received from a relative if given on account of kinship or any value received by will, intestate succession or as a distribution from and inter vivos or testamentary trust established by a spouse or ancestor.
- For a natural person, the person's name, street address, City and State; for any entity other than a natural person, the name, address, City and State of the entity's principal location or place of business, the type of nature of the entity, the date of which it came into existence, the State of incorporation, if any, the names of the partners or trustees, if any.
- Economic benefit received.
- A person acts intentionally or with intent with respect to the nature of his conduct or to a result of his conduct when it is his conscious objective or desire to engage in the conduct or cause the result.
- A person acts knowingly or with knowledge with respect to the nature of his conduct or to circumstances surrounding his conduct when he is aware of the nature of his conduct or that the circumstances exist. A person acts knowingly or with knowledge with respect to a result of his conduct when he is aware that his conduct is reasonable certain to cause the result.
- SOURCE OF INCOME
- Any business entity, employment, investment or activity which earned or produced income, including interest, dividends, royalties or rents, which has been paid to or for the credit of a City Official, candidate or family members or which would be taxable to said City Official, candidate or family member under the United States Internal Revenue Code, as amended, even though not actually paid or credited.
- SUBSTANTIAL ECONOMIC INTEREST
- A person has a "substantial economic interest" in real property or a business entity if he and/or a family member own any interest of the fair market value of the real property or business entity.
[Ord. No. 3679 §1, 6-5-2006]
Gifts. No City Official or employee shall intentionally or knowingly solicit or accept any contribution, gift or economic benefit with actual or constructive knowledge that same is:
No City Official or employee shall intentionally or knowingly disclose any confidential information gained by reason of said official or employee's position concerning the property, operation, policies or affairs of the City or use such confidential information for the pecuniary gain of said official, employee or others.
No City Official or employee shall intentionally or knowingly appear before the body of which the official is a member while representing himself or any other person, group, association, interest or business entity.
No City Official shall intentionally or knowingly appear before the body of which the official is a member while representing himself or any other person, group, association, interest or business entity.
No City Official or employee shall intentionally or knowingly represent directly or indirectly any private person, group or interest other than himself or a family member before any department, agency, commission or board of the City for pay or profit.
No City Official or employee shall vote on or participate in any decision making process if the official or employee has a direct financial interest in the outcome of the matter under consideration. No City Official or employee shall vote on or participate in any decision making process on any matter concerning real property or a business entity if the official or employee has an interest in the business entity or real property.
No City Official or employee shall intentionally or knowingly accept other employment or engage in outside activities incompatible with the full and proper discharge of official duties and responsibilities or which would tend to impair independent judgment in the performance of said official duties.
None of the foregoing shall be construed to prohibit a City Official or employee from representing his interest in his owner-occupied homestead before the Council, board, commission or any department except for the body of which the official is a member or the department by which the employee is employed.
In any action proceeding in the Municipal Court of the City that was instituted by a City Official or employee in the course of official duties, no City Official shall knowingly represent anyone other than himself or a family member. If a Council member elects to have a trial in Municipal Court, the City Council, without the participation of the affected Council member, shall appoint a special judge to preside over the trial.
[Ord. No. 3679 §1, 6-5-2006]
If any City Official has an interest in any real property or business entity involved in any decision pending before the body of which the official is a member, the official shall not vote or otherwise participate in the consideration of the matter.
If any employee has an interest in any real property or business entity involved in any decision pending before the department by which the employee is employed, the employee shall not participate in the consideration of the matter.
In the case of a City Official, the official shall publicly disclose, verbally or in writing, the nature and extent of such interest to the body on which the official serves prior to any discussion or determination of the matter to be considered or immediately upon discovery of the conflict of interest.
In the case of an employee, the employee shall disclose such information in writing to the employee's supervisor and to the City Clerk prior to any consideration of the matter. The City Clerk shall keep a file of employee statements of disclosure and said file shall be a public record of the City.
[Ord. No. 3679 §1, 6-5-2006]
No later than June thirtieth (30th) of each year, each City Official shall file a sworn financial disclosure statement with the City Clerk reflecting the financial situation of the City Official as of the date of filing said disclosure and any interest in the preceding twelve (12) months.
A newly employed or appointed City Official shall file a sworn financial disclosure statement with the City Clerk within thirty (30) days from the date the position with the City is assumed. Said statement shall reflect the financial situation as of date of employment or appointment and for the situation as of the date of employment or appointment and for the previous twelve (12) months.
Each person required to file a financial disclosure statement shall do so on a form supplied by the City which shall include the following information:
The person's name, residence address, business address, telephone number, name of all family members and all names under which the person or family member does business.
Identification by street address and legal description of all real property located within the City in which the person has an interest.
Identification of each business entity owning property or doing business within the City in which the person has an interest.
Identification of any business interest in any company established under the laws of Missouri.
Identification of the donor of each gift of more than fifty dollars ($50.00) in value received by the person or family member, including the value of the gift, where such donor has appeared before and requested action of the City Council during the reporting period.
The City Clerk shall maintain all financial disclosure statements required to be filed herein as public records and shall retain them for a period of three (3) years after which the statements shall be returned to the person filing them or shall be destroyed.
A City Official, member of a City board and employees shall disclose in writing all individuals or business entities that:
Such immediate identification shall also be required of all individuals who have ownership interests in a business entity as described in Subsection (E)(1) above and who appear and request some action on the part of the City Council, even though the action does not concern such business entity. Such identification shall be made prior to any decision or determination of the matter or immediately upon discovery of such business dealings.
Within thirty (30) days of being appointed to the Planning and Zoning Commission and on each anniversary of that date, each member of such Commission shall file with the City Clerk a sworn statement identifying by street address and legal description, all real property located within the City in which the member has a substantial interest.
[Ord. No. 3930 §1, 8-16-2010; Ord. No. 4003 §1, 8-22-2011; Ord. No. 4105 §1, 8-19-2013; Ord. No. 4159 §1, 9-8-2014; Ord. No. 4306 §1, 6-20-2016]
Declaration Of Policy. The proper operation of municipal government requires that public officials and employees be independent, impartial, and responsible to the people; that government decisions and policy be made in the proper channels of the governmental structure; that public office not be used for personal gain; and that the public have confidence in the integrity of its government. In recognition of these goals, there is hereby established a procedure for disclosure by certain officials and employees of private financial or other interests in matters affecting the City.
Conflicts Of Interest. The Mayor or any member of the City Council, who has a substantial personal or private interest, as defined by State law, in any bill shall disclose on the records of the City Council the nature of his interests and shall disqualify himself from voting on any matters relating to this interest.
Disclosure Reports. Each elected official, the City Manager, the Finance Director, the Chief Purchasing Officer, and the City Attorney shall disclose the following information by May 1 of each year if any such transactions were engaged in during the previous calendar year:
For such person, and all persons within the first degree of consanguinity or affinity of such person, the date and the identities of the parties to each transaction with a total value in excess of five hundred dollars ($500.00), if any, that such person had with the political subdivision, other than compensation received as an employee or payment of any tax, fee, or penalty due to the political subdivision, and other than transfers for no consideration to the political subdivision; and
The date and the identities of the parties to each transaction known to the person with a total value in excess of five hundred dollars ($500.00), if any, that any business entity in which such person had a substantial interest had with the political subdivision, other than payment of any tax, fee, or penalty due to the political subdivision or transactions involving payment for providing utility service to the political subdivision, and other than transfers for no consideration to the political subdivision.
The City Manager, Finance Director, and the Chief Purchasing Officer also shall disclose by May 1 of each year, for the previous calendar year the following information:
The name and address of each of the employers of such person from whom income of one thousand dollars ($1,000.00) or more was received during the year covered by the statement;
The name and address of each sole proprietorship that he owned; the name, address, and the general nature of the business conducted of each general partnership and joint venture in which he was a partner or participant; the name and address of each partner or coparticipant for each partnership or joint venture unless such names and addresses are filed by the partnership or joint venture with the Missouri Ethics Commission; the name, address, and general nature of the business conducted of any closely held corporation or limited partnership in which the person owned ten percent (10%) or more of any class of the outstanding stock or limited partnership units; and the name of any publicly traded corporation or limited partnership that is listed on a regulated stock exchange or automated quotation system in which the person owned two percent (2%) or more of any class of outstanding stock, limited partnership units, or other equity interests;
The name and address of each corporation for which such person served in the capacity of a director, officer, or receiver.
Filing Of Reports. The personal financial disclosure statements shall be filed with the City Clerk and with the Missouri Ethics Commission prior to May 1 of each year. The reports shall be available for public inspection and copying during normal business hours.
When Filed. The financial interest statements shall be filed at the following times, but no person is required to file more than one (1) financial interest statement in any calendar year:
Each person appointed to office shall file the statement within thirty (30) days of such appointment or employment;
Every other person required to file a financial interest statement shall file the statement annually not later than May 1 of each year, and the statement shall cover the calendar year ending the immediately preceding December 31; provided, that any member of the City Council may supplement the financial interest statement to report additional interests acquired after December 31 of the covered year until the date of filing of the financial interest statement.