§ 18-57. Ethics complaints.

(a)

Ethics commission . A county ethics commission consisting of twelve members and a chairman shall be appointed to two year terms by the county mayor with confirmation by the board of county commissioners. The membership of the county ethics commission shall consist of not less than six licensed attorneys or persons with a Juris Doctor degree of which three shall be former judges of a court of record or general sessions court, in addition to seven members from the broader community. The county mayor shall ensure that the diversity of the community is reflected in the membership of the ethics commission.

(1)

The county ethics commission shall have jurisdiction of those ethics complaints referred to it by the ethics officer under this code of ethics which have been lodged against elected officials; appointees to boards, commissions, and authorities; chief administrative officers and assistant chief administrative officers; division directors, deputy directors, chief administrators, administrators, and deputy administrators; and chief deputies and assistant chief deputy sheriffs. With respect to alleged violations of section 18-52 and section 18-53, the county ethics commission's jurisdiction is limited to only non-de minimis direct personal interests.

(2)

The records of the county ethics commission shall be maintained at the direction of the chair and filed with the ethics officer, where they shall be open to the public.

(b)

Ethics officer. The county attorney shall designate one attorney from his or her staff to serve as ethics officer to the county ethics commission. The ethics officer shall issue ethics opinions, verbally or in writing, at the request of any county elected official or department head. The ethics officer shall also provide legal advice and direction to the county ethics commission, and shall review all ethics complaints prior to those complaints being heard by the county ethics commission. Upon reviewing a complaint, the ethics officer may (1) take no action, if the complaint fails to state a violation of this code of ethics, or if there seems to be insufficient evidence supporting the complaint to merit consideration by a hearing panel; or (2) refer the matter to an appropriate officer or entity, if such other officer or entity seems more appropriate to handle the complaint; or (3) refer the matter to the county ethics commission, if the complaint and supporting evidence show another officer or entity is not the more appropriate forum for the complaint; or (4) pursue subparts (2) and (3) simultaneously. In the event the ethics officer refers the ethics complaint to a law enforcement agency for investigation or there is already an ongoing criminal investigation into the subject matter of the ethics complaint, referral to the county ethics commission shall not occur until the conclusion of the official investigation. The county ethics commission shall have up to 60 days thereafter to commence proceedings. If the criminal investigation results in an indictment of the official, employee, or appointee accused of violating the ethics ordinance, the county ethics commission proceeding will not go forward.

(c)

Ethics training required. Every official, employee, and appointee of county government shall undergo ethics training once per calendar year. It shall be the responsibility of the ethics officer to identify a reputable source for ethics training and make that training available locally on a quarterly basis. The ethics officer shall file the certificate of annual training form with the ethics commission by no later than December 31 of each year.

(d)

Duties of ethics commission. The ethics commission or a panel thereof shall investigate any credible complaint, referred by the ethics officer, against an official or employee charging a conflict of interest or the improper acceptance of gifts and other things of value, or may undertake an investigation on its own initiative when it acquires information indicating a possible violation of those provisions in the code of ethics. Complaints under the Shelby County Charter may be investigated by the County Attorney or her or his designee. Complaints under state law or federal law may be investigated by an appropriate state or federal official or body. If the ethics commission finds that a violation of the county code of ethics also violates a provision of state or federal law, it may recommend the remedies set out in subsection (e)(3)d or (e)(3)e. The ethics commission shall also hold public meetings on an on-going basis to educate the public about ethical behavior and practices by government officials; inform the public of the appropriate process for filing complaints; make recommendations regarding possible rule or ordinance provisions relating to ethics; and maintain an on-going community discussion about ethical practices. The ethics commission is authorized to establish rules and regulations for the conduct of its activities and shall review and make recommendations to the county commission on the ethics ordinance.

(e)

Filing complaints and hearing procedures. Questions and complaints regarding violations of this code of ethics or of any violation of state law governing ethical conduct should be directed to the ethics officer. Complaints against individuals shall be in writing and signed under oath by the person making the complaint, and shall set forth in reasonable detail the facts upon which the complaint is based or by completion of the sworn complaint form.

(1)

If the ethics officer refers a complaint to the county ethics commission, he or she shall provide written comments to the county ethics commission as to its validity. Upon receiving a complaint, the county ethics commission chair shall select a panel of three members of the county ethics commission to review the complaint. Such panel shall be selected on a rotating basis. The panel shall be comprised of two (2) licensed attorneys and one member of the greater community.

(2)

Within 20 business days of selection, the panel shall vote either to dismiss the complaint or to hold a hearing.

a.

If the panel votes to dismiss the complaint, the panel's decision shall be based upon one of the following:

i.

Other remedies are being pursued in a more appropriate forum;

ii.

The allegations, even if true, would not constitute a violation of this code of ethics;

iii.

There is insufficient credible evidence supporting the allegations to warrant a hearing; or

iv.

Dismissal without a hearing is otherwise appropriate.

b.

If the panel votes to hold a hearing, the panel shall set a hearing date within 30 calendar days of the date the complaint is received by the panel. The date may be continued for good cause shown by any party. The charges at such hearing shall be limited to those charges identified by the ethics officer when the case was first referred to the panel. The county attorney shall appoint a full-time assistant county attorney or a part-time assistant county attorney already employed by the county to present the case to the hearing panel at such hearing. If in the judgment of the county attorney, no such assistant county attorney can present the case without violating the rules of professional conduct, the county attorney may appoint temporary special counsel for the purpose of presenting the case.

(3)

After a hearing at which the county, in a manner consistent with section (e)(2)and all accused parties may be represented by counsel and put on witnesses and evidence, the panel shall determine if a violation of the code of ethics has occurred. If the panel finds that no violation has occurred, then the panel shall dismiss the complaint. If the panel finds that a violation has occurred, then the panel shall submit its findings and recommendations no later than 15 business days from the date of the hearing to the chairman of the county ethics commission and in accordance with the following:

a.

In the case of an ethics violation that resulted from a good faith mistake, issue a warning;

b.

In the case of an employee, recommend that the employee's supervisor take disciplinary action in accordance with county policy;

c.

In the case of an elected official, recommend that the board of county commissioners publicly censure that official;

d.

In the case of an elected official, recommend that an ouster suit be brought by the appropriate governmental official; or

e.

In the case of a possible criminal violation, refer the matter to the appropriate law enforcement official.

(4)

Upon receipt of the panel's findings and recommendations, the chairman shall call a special meeting not less than 48 hours nor more than 15 business days to review and take into consideration the adoption of same.

(f)

Penalties for frivolous complaints. It shall be a violation of this section to submit a complaint to the county ethics commission that has no genuine basis in fact. Any person, firm, or corporation in violation of this subsection shall be fined not more than $50.00 for every violation. Each separate allegation of a violation lacking in a genuine basis in fact shall constitute a separate violation. In addition, the county ethics commission may instruct the ethics officer to seek civil penalties to recoup the costs of hearing a frivolous complaint.

(Code 1992, § 12.5-57; Ord. No. 330, Att. § 7, 6-25-07; Ord. No. 371, 5-11-09; Ord. No. 453, exh. A, 12-8-2014)