[History: GTB Ethics Code, adopted by Tribal Council in Special
Session on November 14, 1997, effective as of May 28, 1998 (after
tribal election).]
(a)
The purpose of this Code is to define the terms and implement procedures
for Article XII, Conflict of Interest, of the GTB Tribal Constitution.
(b)
The purpose of this Code is to recognize that Article III, Section
4, "Records of the Band," of the Tribal Constitution applies to procedures
implemented under Article XII of the Tribal Constitution. All filings
under these procedures are Tribal public documents and are subject
to review by Tribal members consistent with the terms of Article III,
Section 4, of the Tribal Constitution.
(c)
Article XII, Section 1, of the Tribal Constitution directs that Tribal
officials shall not have a personal financial interest in the decision-making
process and requires the establishment of standards of conduct to
avoid conflicts of interest or the appearance of impropriety.
(d)
Article XII, Section 2, of the Tribal Constitution prohibits employment
in programs directly or indirectly controlled by the Tribe unless
such employment is in a for-profit entity.
(e)
Article XII, Section 3, of the Tribal Constitution directs that financial
disclosure statements of salaried Tribal officials shall be "similar
to those required of certain officials of the federal government."
(f)
The "Ethics in Government Act of 1978," P.L. 95-521 and the amendments
thereunder, and the "Executive Personnel Financial Disclosure Requirements,"
P.L. 95-521 are the statutory models from which this Code is enacted.
This Code shall be interpreted in light of those public laws; however,
those public laws are not controlling.
(g)
The Tribal Council finds that all Tribal employment is public employment
subject to the terms of Article III, Section 4, of the Tribal Constitution
and that financial disclosure by employees of the Grand Traverse Band,
in whatever capacity, is consistent with the Tribal Constitution and
federal law.
[History: GTB Ethics Code, adopted by Tribal Council in Special
Session on November 14, 1997, effective as of May 28, 1998 (after
tribal election).]
(a)
For purposes of this Code, the term:
(1)
"Business" includes any enterprise, organization, trade, occupation
or profession whether or not operated as a legal entity for profit,
including any business, trust, holding company, corporation, partnership,
joint venture, or sole proprietorship, consultant or other self-employed
enterprise.
(2)
"Business with which a person is associated" includes any business
in which the person or a member of the person's immediate family is
a director, officer, partner, trustee or employee, holds any position
of management or receives income in any form such as wages, commission,
direct or indirect investment worth more than $1,000 holds any ownership,
security or other beneficial interest, individually or combined, amounting
to more than 10% of said business.
(3)
"Conflict of interest" means the reasonable foreseeability that
any personal or economic interest of a public official or employee
will be affected in any materially different manner from the interest
of the general public, by any decision, enactment, agreement, award
or other official action or function of any governmental body or political
subdivision of the Grand Traverse Band.
(4)
"Dependent business" means any business, as defined herein,
in which the person or members of the persons immediate family, individually
or combined, have any direct or indirect ownership, investment, security
or other beneficial interest amounting to more than 5% of such business.
(5)
"Dependent child" means, when used with respect to any reporting
individual, any individual who is a son, daughter, stepson, or stepdaughter
and who:
(6)
ECONOMIC INTEREST — means an interest held by the person,
members of the person's immediate family or a dependent business,
which is:
(7)
EMPLOYEE — means any person or entity working for, or
rendering or exchanging any services or performing any act for or
on behalf of another person, organization or entity in return for
any form of pay or other compensation or thing of value received or
to be received any time temporarily, permanently or indefinitely,
in any capacity; whether as agent, servant, representative, consultant,
advisor, independent contractor or otherwise.
(8)
GIFT — means a payment, advance, forbearance, rendering,
or deposit of money, or any thing of value, unless consideration of
equal or greater value is received by the donor, but does not include:
(A)
Bequest and other forms of inheritance,
(B)
Suitable mementos of a function honoring the reporting individual,
(C)
Food, lodging, transportation, and entertainment provided by
a tribal government,
(D)
Food and beverages consumed at banquets, receptions, or similar
events, or
(E)
Communications to the offices of a reporting individual including
subscriptions to newspapers and periodicals.
(b)
GOVERNMENT BODY — means any branch, entity, enterprise, authority,
division, department, office, commission, council, board, bureau,
committee, legislative body, agency and any establishment of the executive,
administrative and legislative function of the Grand Traverse Band.
(c)
HONORARIA — means a payment of money or anything of value made
to a person for services rendered for which fees cannot legally or
are not formally made.
(d)
INCOME — means all income from whatever source derived, including
but not limited to the following items: compensation for services,
including fees, commissions, and similar items; gross income derived
from business (and net income if the individual elects to include
it); gains derived from dealings in property; interest; rents; royalties;
dividends; annuities; income from life insurance and endowment contracts;
pensions; income from discharge of indebtedness; distributive share
of partnership income; and income from an interest in an estate or
trust.
(e)
MANAGEMENT EMPLOYEE — means all those positions listed in § 604(b)(1).
(f)
MINISTERIAL ACTION — means an action that a person performs
in a given state of facts in a prescribed manner in obedience to the
mandate of legal authority, without regard to, or in the exercise
of, the person's own judgment upon the propriety of the action being
taken.
(g)
OFFICIAL DISCRETIONARY ACTION — means any official function
of public office or employment, including any vote, decision, opinion,
allocation, recommendation, approval, disapproval, finding, delegation,
authorization, contract, commitment, settlement, disbursement, release
or other action which involves the exercise of discretionary authority,
on behalf of or in any manner affecting any interest or property of
the Grand Traverse Band, including any governmental body, political
subdivision or member thereof.
(h)
PERSONAL HOSPITALITY OF ANY INDIVIDUAL — means hospitality
extended for a non-business purpose by an individual, not a corporation
or organization, at the personal residence of that individual or his/her
family or on property or facilities owned by that individual or his/her
family.
(i)
PUBLIC EMPLOYEE — means any employee, as defined herein, temporarily,
periodically, permanent or indefinitely in the employment of the Grand
Traverse Band, and/or any governmental body thereof as defined herein,
including intergovernmental personnel.
(j)
PUBLIC OFFICE — means any person holding an elective or appointed
office in any governmental body of the Grand Traverse Band as defined
herein.
(k)
REIMBURSEMENT — means any payment or other thing of value received
by the reporting individual, other than gifts, to cover travel-related
expenses of such individual other than those which are provided by
the Tribe.
(l)
RELATIVE — means an individual who is related to the reporting
individual, as father, mother, son, daughter, brother, sister, uncle,
aunt, great aunt, great uncle, first cousin, nephew, niece, husband,
wife, grandfather, grandmother, grandson, granddaughter, father-in-law,
mother-in-law, son-in-law, daughter-in-law, brother-in-law, sister-in-law,
stepfather, stepmother, stepson, stepdaughter, stepbrother, half brother,
half sister, or who is the grandfather or grandmother of the spouse
of the reporting individual, and shall be deemed to include the fiance
or fiancee of the reporting individual.
(m)
TRIBE — means the Grand Traverse Band of Ottawa and Chippewa
Indians, the GTB, and the Grand Traverse Band, and all these terms
are used interchangeably.
(n)
VALUE — means a good faith estimate of the dollar value if
the exact value is neither known nor easily obtainable by the reporting
individual.
[History: GTB Ethics Code, adopted by Tribal Council in Special
Session on November 14, 1997, effective as of May 28, 1998 (after
tribal election); as amended by Tribal Act #10-28.2198, enacted by
Tribal Council on August 18, 2010.]
(a)
Conduct in Conformity with Applicable Rules and Laws. Tribal Councilors
and management employees shall at all times conduct themselves so
as to reflect credit upon the Tribal members and government, and comply
with all applicable laws of the Grand Traverse Band with respect to
their conduct in the performance of the duties of their respective
office or employment.
(b)
General Prohibitions; Conflicts of Interest.
(1)
No Tribal Councilor or management employee shall use, or attempt
to use, any official or apparent authority of their office or duties
which places, or could reasonably be perceived as placing their private
economic gain or that of any special business interests with which
they are associated, before those of the general public, whose paramount
interests their office or employment is intended to serve.
(2)
It is the intent of this subsection (b) that Tribal Councilors
and management employees of the Grand Traverse Band avoid any action,
whether or not specifically prohibited by the Standards of Conduct
set out herein, which could result in, or create the appearance of:
(A)
Using public office for private gain;
(B)
Giving preferential treatment to any special interest organization
or person;
(C)
Impeding governmental efficiency or economy;
(D)
Losing or compromising complete independence or impartiality
of actions;
(E)
Making a government decision outside official channels;
(F)
Adversely affecting the confidence of the Tribal members in
the integrity of the government of the Grand Traverse Band;
(G)
The official makes, participates in, or uses his or her official
position to influence a governmental decision;
(H)
It is foreseeable that the decision will affect the official's
economic interest;
(I)
The effect of the decision on the official's economic interest
will be material; and
(J)
The effect of the decision on the official's economic interest
will be distinguishable from its effect on the public generally.
(c)
Use of Confidential Information for Private Gain. No Tribal Councilor
or management employee shall use or disclose confidential information
gained in the course of or by reason of their official position or
activities, to further their own economic and personal interest or
that of anyone else.
(d)
Restrictions Against Incompatible Interests or Employment.
(1)
Tribal Councilors and management employees shall not:
(A)
Have direct or indirect financial or other economic interests
nor engage in such other employment or economic activity which, as
determined in accordance with the provisions of this Code and other
applicable laws of the Grand Traverse Band necessarily involves inherent
substantial conflict, or the appearance to have such substantial conflict,
with their responsibilities and duties as Tribal Councilors or management
employees of the Grand Traverse Band; nor
(B)
Engage in, directly or indirectly, financial or other economic
transactions as a result of, or primarily depending upon, information
obtained through their public office or employment; nor
(C)
Acquire any economic or other financial property, contractual
or other economic interest at a time when they believe or have reason
to believe, that it will directly and substantially affect or be so
affected by their official actions or duties.
(2)
Subject to the restrictions and conditions set forth in this
Code, Tribal Councilors and management employees are free to engage
in lawful financial transactions to the same extent as the general
public. The Grand Traverse Band may, however, adopt further approved
restrictions upon such transactions or employment as authorized herein
and by other applicable laws of the Grand Traverse Band, in light
of special circumstances or the particular duties of the Tribal Councilor
or management employee.
(3)
No business or other entity shall employ a Tribal Councilor
or a management employee if such employment is prohibited by or otherwise
violates any provision of this Code.
(4)
The term "employment," within the meaning of this subsection
(d) includes professional services and other services rendered by
a Tribal Councilor or a management employee, whether rendered as an
employee, consultant, or other independent contractor.
(e)
Conflict of Interest Statements and Official Action of a Tribal Councilor
or Management Employee.
(1)
When a Tribal Councilor or a management employee is required
to take official action on a matter in which such Tribal Councilor
or management employee has a personal economic interest, they should
first consider eliminating that interest. If that is not feasible
nor required under subsection (d) above, such Tribal Councilor or
management employee shall:
(A)
Prepare and sign a written statement describing the matter requiring
action and the nature of the potential conflict, as soon as such Tribal
Councilor or management employee is aware of the responsible party
for inclusion in the official record of any vote or other decision
or determination.
(B)
Abstain from voting, sponsoring, influencing or in any manner
attempting to influence any vote, official decision or determination
which would favor or advance such person's personal economic interest
in such matter; and
(C)
Abstain from voting or otherwise participating in the official
decision or determination of such matter, unless otherwise directed
by the authorized residing official of the governmental body making
such decision or determination, or otherwise legally required by law,
(such as the vote of an elected representative delegate which is cast
on behalf of his or her electorate constituents), or unless such person's
vote, position, recommendation or participation is contrary to their
personal economic interest.
(2)
Unless otherwise provided by applicable law, the abstention
by such person from voting or otherwise participating in the official
determination or decision shall not affect the presence of such person
for purposes of establishing a quorum necessary for a governmental
body, agency or commission to take such action or vote upon such matter.
(3)
Management employees shall also deliver a copy of such statements
to the Committee and to their immediate superior, if any, who shall
assign the matter to another. If such employee has no immediate superior,
he or she shall take such steps as the Committee shall prescribe or
advise, to abstain from influencing actions and decisions in the matter.
(4)
In the event that a Tribal Councilor's or a management employee's
participation is otherwise legally required for the action or decision
to be made, such person and the presiding official or immediate superior
requiring such participation shall fully report the occurrence to
the Committee.
(f)
Tribal Government Contracts; Restrictions and Bid Requirements.
(1)
No Tribal Councilor or management employee or any member of
such person's immediate family shall be a party to, nor have an interest
in the profits or benefits of, any governmental contract of the Grand
Traverse Band or of any investment of funds of the Grand Traverse
Band, unless the contract or the investment meets the following requirements:
(A)
The contract is let by notice and competitive bid or procurement
procedures as required under the applicable laws, rules, regulations
and policies of the Grand Traverse Band (GTB Bidding Code), for necessary
materials or services for the governmental agency or entity involved;
and
(B)
If the continuous course of a business commenced before the
Tribal Councilor or management employee assumed their current term
of office or employment; and
(C)
The entire transaction is conducted at arm's length, with the
governmental agency's full knowledge of the interest of the Tribal
Councilor or management employee or a member of their immediate family;
and
(D)
The Tribal Councilor or management employee has taken no part
in the determination of the specifications, deliberations or decisions
of a governmental agency with respect to the public contract; and
(E)
The Tribal Councilor or management employee is not a member,
office holder, employee or otherwise directly associated with the
Tribal governmental agency or entity primarily responsible for letting,
performing, receiving, regulating or otherwise supervising the performance
of the contract.
(g)
Restrictions on Assisting or Representing Other Interests Before
Governmental Bodies for Compensation.
(1)
No Tribal Councilor or management employee, except an employee
of a governmental body duly established and authorized for such purposes
by the Grand Traverse Band, shall represent or otherwise assist any
person or entity other than the Grand Traverse Band or governmental
body or political subdivision thereof, for compensation, before any
governmental body where the matter before the governmental body is
of a non-ministerial nature. This Section shall not be construed to
prohibit the duties of elected or appointed public officials to represent
their constituents' interests before government agencies or entities
not the performance of ministerial functions, including but not limited
to the filing or amendment of tax returns, application for permits
and licenses, and other documents or reports. It does, however, prohibit
representation of such other interests for any fee or compensation
in seeking to obtain any legislation, contract, payment or any claim
or any other governmental benefit.
(h)
Restrictions on Assisting or Representing Subsequent to Termination
of Public Office or Employment.
(1)
No former Tribal Councilor or management employee or other associate
thereof shall, with or without compensation, after the termination
of such public office or employment, knowingly act as agent for or
otherwise represent any other person or entity (except the Grand Traverse
Band, or its governmental bodies or political subdivisions) by formal
or informal appearance not by oral or written communication, for the
purpose of influencing any governmental body of the Grand Traverse
Band or any officer or employee thereof, in connection with any proceeding,
contract, claim, controversy, investigation, charge or accusation,
in which such former Tribal Councilor or management employee personally
and substantially participated, through approval, disapproval, recommendation,
rendering of advice, investigation or otherwise, while so acting or
employed.
(2)
With respect to any such matter which was actually pending among
such former Tribal Councilor's or management employee's responsibilities,
but in which such person did not participate as set forth in paragraph
(1), the prohibitions set forth hereunder shall apply for the period
of two years following the termination of such public office or employment.
(3)
Nothing in this Code shall prevent a former Tribal Councilor
or management employee from appearing and giving testimony under oath,
nor from making statements required to be made under oath, nor from
making statements required to be made under penalty or perjury, nor
from making appearances or communications concerning matters of a
personal and individual nature which pertain to such former public
official or employee or are based upon such person's own special knowledge
of the particular subject involved, not otherwise privileged from
disclosure by other applicable law; and provided further, that no
compensation is thereby received other than that which is regularly
provided for witnesses by law or regulation.
(4)
The Grand Traverse Band, its governmental bodies and political
subdivisions shall not enter into any contract with, nor take any
action favorably affecting or economically benefiting in any manner
differently from members of the public at large, any person, business,
governmental or other entity, which is assisted or represented personally
in the matter by a Tribal Councilor or management employee, directly
contributed to the making of such contract or taking of such action
by the Grand Traverse Band governmental body or political subdivision
thereof.
(5)
Nothing contained in this subsection shall prohibit a former
Tribal Councilor or management employee from being retained or employed
by the governmental entity which he or she formerly served.
(i)
Unauthorized Compensation or Benefit for Official Acts.
(1)
No Tribal Councilor or management employee shall accept or receive
any benefit, income, favor or other form of compensation for performing
the official duties of their office or employment, beyond the amount
or value which is authorized and received in their official capacity
for performing such duties.
(2)
This subsection (i) shall not be construed to prohibit the receipt
of authorized compensation for the performance of other distinct and
lawful duties by Tribal Councilors or management employees.
(3)
No Tribal Councilor or management employee, however, shall accept
any benefit, income, favor or other form of compensation for the performance
of the duties of any other office or employment not actually performed
or for which such official or employee is not otherwise properly authorized
or entitled to receive.
(j)
Unauthorized Personal Use of Property or Funds of the Grand Traverse
Band. No Tribal Councilor or management employee shall use any property
of the Grand Traverse Band or any other public property of any kind
for other than as authorized and approved for official purposes and
activities. Such persons shall properly protect and conserve all such
property, equipment and supplies which are so entrusted, assigned
or issued to them.
(k)
Staff Misuse Prohibited. No Tribal Councilor or management employee
shall employ, with funds of the Grand Traverse Band, any unauthorized
person(s) nor persons who do not perform duties commensurate with
such compensation, and shall utilize authorized employees and staff
only for the official purposes for which they are employed or otherwise
retained.
(l)
Anti-Nepotism. No Tribal Councilor or management employee shall employ,
elect, appoint or otherwise cause to be employed, nor nominate or
otherwise influence the appointment or employment to any Tribal office
or position with the Grand Traverse Band or any governmental or political
subdivision thereof, any person or persons related by consanguinity
or affinity within the third degree, nor any member of the same household
as said public official or public employee. Assignment of such persons
to duties, positions, governmental offices or other entities shall
in all instances be made in strict compliance with the current provisions
of the Personnel Policy Manual of the Grand Traverse Band, as amended
from time to time.
(m)
Restrictions Against Gifts or Loans to Influence Official Acts.
(1)
Except as otherwise provided herein or by applicable rule or
regulation adopted hereunder by the Grand Traverse Band Tribal Council,
or by other applicable law, no Tribal Councilor or management employee
shall solicit or accept for themselves or another, any gift, including
economic opportunity, favor, service, or loan (other than from a regular
lending institution on generally available terms) or any other benefit
of an aggregate monetary value of $100 or more in any calendar year,
from any person, organization or group which:
(A)
Has, or is seeking to obtain, contractual or other business
or financial relationships or approval from any governmental office
or entity with which the Tribal Councilor or management employee is
associated or employed; or
(B)
Conducts operations or activities which are regulated or in
any manner supervised by any governmental office or entity with which
the Tribal Councilor or management employee is associated or employed;
or
(C)
Has any interest which, within two years, has been directly
involved with, or affected by, the performance or non-performance
of any official act or duty of such Tribal Councilor or management
employee or of the government office or entity with which the Tribal
Councilor or management employee is associated or employed or which
the Tribal Councilor or management employee knows or has reason to
believe is likely to be so involved or affected.
(n)
Permitted Gifts, Awards, Loans, Reimbursements and Campaign Contributions. Subsection (m) shall not be construed to prohibit:
(1)
An occasional non-pecuniary gift, insignificant in value;
(2)
Gifts from and obviously motivated by family or social relationships,
as among immediate family members or family inheritances;
(3)
Food and refreshments customarily made available in the ordinary
course of meetings where a Tribal Councilor or management employee
may properly be in attendance;
(4)
An award or honor customarily and publicly presented in recognition
of public service.
(o)
Adoption of Supplemental Codes of Conduct for Officials and Employees
of Governmental Entities of the Grand Traverse Band.
(1)
The chief executive or administrator of every governmental entity
of the Grand Traverse Band which is subject to the provisions of this
Code is authorized to submit for approval and adoption by the Tribal
Council such supplemental rules, regulations and standards of conduct
for the public officials and employees of such entity, which are necessary
and appropriate to the special conditions relating to their particular
functions, purposes and duties and not in conflict with the purposes
and other provisions of this Code. Upon adoption, such supplemental
standards, rules and regulations shall be implemented in the same
manner and to the extent applicable, as are all other standards, rules
and regulations and shall be implemented in the same manner and to
the extent applicable, as are all other standards, rules and regulations
provided and adopted in accordance with the provisions of this Code.
(p)
No Tribal Councilor shall apply or interview for Government or Economic
Development Corporation positions without first resigning from their
positions as a Tribal Councilor.
[History: GTB Ethics Code, adopted by Tribal Council in Special
Session on November 14, 1997, effective as of May 28, 1998 (after
tribal election).]
(a)
Within 90 days of assuming the position on the Tribal Council, all
Tribal Councilors shall be required to file a Public Financial Disclosure
Report on the forms established under the authority of this Code.
The forms shall be established in a similar manner and scope as the
forms established for federal officials under the "Ethics in Government
Act of 1978," 95-521, and the "Executive Personnel Financial Disclosure
Requirements," 95-521.
(b)
Within 30 days of assuming the position of an officer or management
employee as defined in subsection (b)(1) herein, an individual shall
file a report containing the information described in § 605
unless the individual has left another position described in § 604
within 30 days prior to assuming such new position. The officer or
management employee shall be required to file a Public Financial Disclosure
Report on forms established by this Code.
(1)
The officers and management employees referred to in § 604(b)
herein are:
(A)
The Tribal Manager;
(B)
The Director of Self-Governance;
(C)
The Director of Grants and Contracts;
(D)
All Division Directors;
(E)
The Indian Housing Authority Director;
(F)
The CEO of the Gaming Commission;
(G)
The Controller of the Gaming Commission;
(H)
The Regulator of the Gaming Commission;
(I)
All enterprise managers under the Gaming Commission;
(J)
All legal staff;
(K)
Chief of Police;
(L)
Principal of Tribal School;
(M)
Chief Administrator of Tribal School;
(N)
Ombudsman;
(O)
All employees involved in Tribal purchasing departments;
(P)
Tribal Planner; and
(Q)
Any other management employee as the Tribal Council deems necessary.
[History: GTB Ethics Code, adopted by Tribal Council in Special
Session on November 14, 1997, effective as of May 28, 1998 (after
tribal election).]
(a)
The financial disclosure statement shall consist of the following:
(1)
The names of all corporations, companies, firms, or other business
enterprises, partnerships, non-profit organizations, and educational
institutions in which the employee, spouse, dependent child or other
relatives who are full-time residents of the employee's immediate
household have:
(A)
A continuing financial interest through a pension or retirement
plan, shared income, or other arrangement as a result of any current
or prior employment or business or professional association; or
(B)
Any financial interest through the ownership of stock, stock
options, bonds, securities, or other arrangements including trusts;
(C)
Interests in real property or rights in lands in which the employee,
spouse, dependent child or other relatives who are full-time residents
of the employee's immediate household have an interest, other than
property which the employee occupies as a personal residence;
(D)
The names of all corporations, companies, firms, or other business
enterprises, partnerships, non-profit organizations, and educational
or other institutions with which the employee is connected as an employee,
officer, owner, director, trustee, partner, advisor, or consultant;
(E)
The names of the employee's creditors, other than those to whom
the employee is indebted by reason of a mortgage on property which
is occupied as his or her personal residence or to whom he or she
is indebted for current and ordinary household and living expenses;
and
(F)
Retirement benefits, vested rights to retirement benefits, or
investments in self-employment or individual retirement plans.
(G)
Each report filed pursuant to this Section shall include a full
and complete statement with respect to the following:
(i)
The source, type, and amount of value of income, and the source,
date, and amount of honoraria, stipends, from any source, received
during the preceding calendar year, aggregating $100 or more in value.
(ii)
The source and type of income which consists of
dividends, rents, interest, and capital gains, received during the
preceding calendar year which exceeds $100 in amount or value, and
an indication of which of the following categories the amount or value
of such item of income is within:
a)
Not more than $1,000;
b)
Greater than $1,000 but not more than $2,500;
c)
Greater than $2,500 but not more than $5,000;
d)
Greater than $5,000 but not more than $15,000;
e)
Greater than $15,000 but not more than $20,000;
f)
Greater than $20,000 but not more than $30,000;
or
g)
Greater than $30,000.
(iii)
The identity of the source and a brief description
of any gifts of transportation, lodging, food, or entertainment aggregating
$250 or more in value received from any source other than a relative
of the reporting individual during the preceding calendar year, except
that any food, lodging, or entertainment received as personal hospitality
of any individual need not be reported, and any gift with a fair market
value of $35 or less need not be aggregated for purposes of this subparagraph.
(iv)
The identity of the source, a brief description,
and the value of all gifts other than transportation, lodging, food,
or entertainment aggregating $100 or more in value received from any
source other than a relative of the reporting individual during the
preceding calendar year, except that any gift with a fair market value
of $35 or less need not be aggregated for purposes of this subparagraph.
(v)
The identity of the source and a brief description of reimbursements
received from any source aggregating $250 or more in value and received
during the preceding calendar year.
(vi)
In an unusual case, a gift need not be aggregated
under Section 603(n)(1) or (2) if a publicly available request for
a waiver is granted.
(vii)
The identity and category of value of any interest
in property held during the preceding calendar year in a trade or
business, or for investment or the production of income, which has
a fair market value which exceeds $1,000 as of the close of the preceding
calendar year, excluding any personal liability owed to the reporting
individual by a relative or any deposits aggregating $5,000 or less
in a personal savings account. For purposes of this paragraph, a personal
savings account shall include any certificate of deposit or any other
form of deposit in a bank, savings and loan association, credit union,
or similar financial institution.
(viii)
The identity and category of value of the total
liabilities owed to any creditor other than a relative which exceed
$10,000 at any time during the preceding calendar year, excluding:
a)
Any mortgage secured by real property which is a
personal residence of the reporting individual or his/her spouse;
and
b)
Any loan secured by a personal motor vehicle, household
furniture or appliances, which loan does not exceed the purchase price
of the item which secures it.
c)
With respect to revolving charge accounts, only
those with an outstanding liability which exceeds $10,000 as of the
close of the preceding calendar year need be reported under this paragraph.
(ix)
Except as provided in this paragraph, a brief
description, the date, and category of value of any purchase, sale,
or exchange during the preceding calendar year which exceeds $1,000:
a)
In real property, other than property used solely
as a personal residence of the reporting individual or his/her spouse;
or
b)
In stocks, bonds, mutual funds, and other forms
of securities.
c)
Reporting is not required under this paragraph of
any transaction solely by and between the reporting individual, his/her
spouse, or dependent children.
(x)
The identity of all positions held on or before the date of
filing during the current calendar year (and, for the first report
filed by an individual, during the two-year period preceding such
calendar year) as an officer, director, trustee, partner, proprietor,
representative, employee, or consultant of any corporation, company,
firm, partnership, or other business enterprise, any non-profit organization,
any labor organization, or any educational or other institution other
than the Tribal Government. This subparagraph shall not require the
reporting of positions held in any religious, social, fraternal, or
political entity and positions solely of an honorary nature.
(xi)
If any person paid a non-elected reporting individual
compensation in excess of $5,000 in any of the two calendar years
prior to the calendar year during which the individual files his/her
first report under this title, the individual shall include in the
report:
a)
The identity of each source of such compensation;
and
b)
A brief description of the nature of the duties
performed or services rendered by the reporting individual for each
such source.
i)
The preceding sentence shall not require any individual
to include in such report any information which is considered confidential
as a result of a privileged relationship, established by law, between
such individual and any person nor shall it require an individual
to report any information with respect to any person for whom services
were provided by any firm or association of which such individual
was a member, partner, or employee unless such individual was directly
involved in the provision of such services.
(xii)
A description of the date, parties to, and terms
of any agreement or arrangement with respect to;
(H)
Each report filed pursuant to subsections (a)(1), (2), and (3)
of § 605 shall include a full and complete statement with
respect to the information required by paragraph (A) of subsection
(a)(1) for the year of filing and the preceding calendar year.
(I)
Except as provided in the last sentence of this paragraph, each
report required by subsections (a)(1), (2), and (3) of § 605
shall also contain information listed in paragraphs (i) through (v)
of subsection (G) respecting the spouse or dependent child of the
reporting individual as follows:
(i)
The source of items of earned income earned by a spouse from
any person which exceed $1,000 and, with respect to a spouse or dependent
child, all information required to be reported in subsection (a)(1)
with respect to income derived from any asset held by the spouse or
dependent child and reported pursuant to paragraph (G)(vii). With
respect to earned income, if the spouse is self-employed in business
or a profession, only the nature of such business or profession need
be reported.
(ii)
In the case of any gift which is not received
totally independent of the spouse's relationship to the reporting
individual, the identity of the source and a brief description of
gifts of transportation, lodging, food, or entertainment or a brief
description and the value of other gifts.
(iii)
In the case of any reimbursements received by
a spouse which are not received totally independent of the spouse's
relationship to the reporting individual, the identity of the source
and a brief description of each such reimbursement.
(iv)
In the case of items described in paragraph (G)(vii)-(ix),
all information required to be reported under these paragraphs other
than items:
a)
Which the reporting individual certifies represent
the spouse's or dependent child's sole financial interest or responsibility
and which the reporting individual has no knowledge of,
b)
Which are not in any way, past or present, derived
from the income, assets, or activities of the reporting individual,
and
c)
From which the reporting individual neither derives,
nor expects to derive, any financial or economic benefit.
(J)
Each report referred to in subsection (a)(1)(C) of this Section
shall, with respect to the spouse and dependent child of the reporting
individual, only contain information listed in paragraphs (A) and
(B) of subsection (a)(1) as specified in this paragraph.
(K)
No report shall be required with respect to a spouse living
separate and apart from the reporting individual with the intention
of terminating the marriage or providing for permanent separation;
or with respect to any income or obligations of an individual arising
from the dissolution of his or her marriage or the permanent separation
from his or her spouse.
(2)
Except as provided in paragraph (1)(K), each reporting individual
shall report the information required to be reported pursuant to subsections
(a)(1)(C) and (D) of this section with respect to the holdings of
and the income from a trust or other financial arrangement from which
income is received by, or with respect to which a beneficial interest
in principal or income is held by, such individual, his/her spouse,
or any dependent child.
(3)
A reporting individual need not report the holdings of or the
source of income from any of the holdings of:
(A)
Any qualified blind trust (as defined in paragraph (a)(1)(4)
of this section); or
(B)
A trust:
(i)
Which was not created directly by such individual, his/her spouse,
or any dependent child, and
(ii)
The holdings or sources of income of which such
individual, his/her spouse, and any dependent child have no knowledge
of, but such individual shall report the category of the amount of
income received by him/her, his/her spouse, or any dependent child
from the trust under subsection (a)(1)(G)(ii) of this Section.
(4)
For purposes of this subsection, the term "qualified blind trust"
includes any trust in which a reporting individual, his/her spouse,
or any dependent child has a beneficial interest in the principal
or income, and which meets the following requirements:
(A)
The trustee of the trust is a financial institution, an attorney,
a certified public accountant, a broker, or an investment adviser
who (in the case of a financial institution or investment company,
any officer or employee involved in the management or control of the
trust who):
(i)
Is independent of and unassociated with any interested party
so that the trustee cannot be controlled or influenced in the administration
of the trust by any interested party,
(ii)
Is not or has not been an employee of any interested
party, or any organization affiliated with any interested party and
is not a partner of, or involved in any joint venture or other investment
with, any interested party, and
(iii)
Is not a relative of any interested party.
[History: GTB Ethics Code, adopted by Tribal Council in Special
Session on November 14, 1997, effective as of May 28, 1998 (after
tribal election).]
(a)
Ethics Officer. There is hereby created a position entitled "GTB
Ethics Officer" who shall have the following duties:
(1)
Adopt, amend, and publish rules and regulations to implement
all provisions of this Code. Before such rules and regulations are
enacted, a thirty-day public notice and comment period shall be allowed.
(2)
Prescribe and make available appropriate forms for disclosure
of economic interests, for distribution to all persons required to
complete and file such disclosure forms.
(3)
Prepare and publish a Disclosure Guide [proposed Disclosure
Guide and Forms attached] clearly explaining the procedures for completing
and filing Statements of Economic Interests by all persons required
to complete, certify and file such disclosure statements with the
Ethics and Rules Office.
(4)
Compile and maintain current lists of all persons required to
file such disclosure statement, together with required filing dates;
and
(5)
Maintain current lists of persons failing to file required statements
as prescribed. These lists are matters of public records.
(6)
Randomly audit, review, and evaluate 20% of all disclosure statements
filed within the reporting year.
(7)
Provide that required disclosure statements of elected public
officials are available during regular office hours for public inspection
at the Ethics and Rules Office.
(A)
Copies may be made by the Ethics Officer. A nominal fee may
be charged but only in an amount to cover the actual cost.
(B)
Any alteration or fraudulent representation of original disclosure
statements or copies of disclosure statements shall be a violation
of this Code and a person found in violation may be subject to the
penalties provided in § 607, or other applicable laws. This
shall not include administrative notation or comments made by authorized
administrative personnel.
(8)
The Ethics Officer may initiate and/or receive review and/or
investigate complaints filed with the Ethics Officer.
(9)
The Ethics Officer shall conduct non-adjudicatory administrative
hearings to determine violations or noncompliance with this Code.
All hearings shall follow rules of procedures established and adopted
by the Tribal Council. The Ethics Officer shall be charged with the
responsibility of representing the Grand Traverse Band in bringing
forth all complaints filed under this Code.
(10)
Retaliation against any party or witness to a complaint shall
be prohibited. Retaliation shall include any form of adverse or punitive
action.
(A)
This protection shall also be afforded to any person(s), including
the Ethics Office staff, offering testimony or evidence or complying
with directives of the Committee.
(B)
Any violations shall be subject to penalties under this Code,
as well as obstruction and contempt violations of both the civil and
criminal codes of the Grand Traverse Band.
(C)
Upon recommendation of the Ethics Officer the Tribal Council
may dismiss any complaint which the Tribal Council determines has
insufficient facts to constitute a violation of noncompliance to this
Code, or if there is insufficient evidence to support the allegations.
(D)
Statute of Limitations. No action shall be brought under this
Code by the Ethics Officer before the Tribal Council more than four
years after cause of action has accrued.
(E)
The Tribal Council, in the capacity of a quasi-juridical body,
shall conduct administrative adjudicatory hearings on any alleged
violation or noncompliance.
(F)
The Ethics Officer shall act in the capacity of complainant
on matters to be heard by the Tribal Council.
(G)
The hearing body may impose or recommend any sanctions, civil
damages, restitution; or other penalties provided in this Code; or
refer their findings to other appropriate entities for action.
(H)
The Grand Traverse Band Tribal Court shall have de novo jurisdiction
to hear appeals from final decisions of the Tribal Council involving
Tribal Councilors.
(I)
The Grand Traverse Band Tribal Court shall have record review
of all other non-adjudicatory and adjudicatory hearings conducted
by either the Ethics Officer or the Tribal Council.
(J)
A notice of appeal shall be filed within 10 working days of
the issuance of a written decision.
(K)
The hearing shall be on the record only.
(L)
The standard of review shall be recognized administrative law
standards.
(i)
In any complaint where the accused is the Tribal
Chairman, Vice-Chairman, Treasurer, Secretary or a Tribal Councilor,
the Tribal Council, upon completion of the adjudicatory administrative
hearing, shall deliberate in executive session and by resolution render
its findings of facts, conclusions of law and recommendations for
sanction. Said findings, conclusions and recommendations shall be
forwarded to the Grand Traverse Band Tribal Council during its next
regular or special session for final adoption of sanction.
(M)
If the Tribal Council refers to the Tribal Judiciary pursuant
to Article VIII, Section 2, the trial shall be de novo.
(N)
In any complaint where the accused is a public employee or otherwise
appointed under the supervisory authority of the Tribal Council, the
finding of facts, conclusions of law and sanction, if any, by the
Tribal Council shall be final for purposes of judicial review. Judicial
review shall be limited to review of the record to determine whether
the Tribal Council complied with recognized administrative law standards.
[History: GTB Ethics Code, adopted by Tribal Council in Special
Session on November 14, 1997, effective as of May 28, 1998 (after
tribal election).]
(a)
Administrative Sanctions.
(1)
Upon finding that there has been violation of any provisions
of this Code, the Tribal Council may impose any or all of the following
penalties or sanctions:
(2)
Accordingly, any public employee of the Grand Traverse Band
shall be subject to discipline, including suspension without pay or
other benefits and dismissal as provided by other laws, regulations
and personnel policies, or procedures applicable thereto.
(3)
Issuance of a written public reprimand, which shall be entered
into such person's permanent record of employment or office and upon
the permanent record of the public office or entity of which such
person is a member or employee, according to provisions of applicable
Grand Traverse Band Tribal laws and procedures.
(4)
Issuance of a private reprimand to such person, with or without
suspension of any or all other sanctions provided herein.
(5)
No sanctions or penalty provided herein shall limit any other
powers of the Tribal Council or Tribal Courts of the Grand Traverse
Band, nor of any other entity or administrative officials or employees
under other applicable law, rules, regulations or procedures.
(b)
Other Civil Damages.
(1)
A person found in violation of this mandate shall be further
subject to, and personally liable for, the following provisions, without
regard to the imposition of any administrative sanction or criminal
conviction:
(A)
Any Tribal Councilor or management employee who violates any
economic disclosure or reporting requirement of this Code may be held
liable to the Grand Traverse Band for civil damages in any amount
not to exceed the value of any interest not properly reported.
(B)
Any Tribal Councilor or management employee who realizes an
economic benefit as a result of violation of any prohibition or restriction
set forth in §§ 602 or 603 of this Code, shall be liable
to the Grand Traverse Band for civil damages in the amount not exceeding
three times the amount or value of the benefit or benefits so obtained.
(C)
If two or more persons are responsible for any violation, each
of them shall be liable to the Grand Traverse Band for the full amount
of any civil damages prescribed herein, the full amount of which may
be imposed upon and collected from each of them individually.
(D)
Any civil penalties imposed hereunder shall be collected in
any manner authorized for recovery of debts or obligations owed to
the Grand Traverse Band and shall be paid into the general fund of
the Tribe.
(E)
No imposition of any or all civil damages provided herein shall
be a bar to institution of any civil, criminal or misdemeanor action,
liability, judgment, conviction or punishment otherwise applicable
hereto, nor shall determination of any such civil damages be barred
thereby.
[History: GTB Ethics Code, adopted by Tribal Council in Special
Session on November 14, 1997, effective as of May 28, 1998 (after
tribal election).]
(a)
If any provision of this Code or the application of such provisions
to any person, firm, association, corporation, or circumstances shall
be held invalid. The remainder of the Code and the application of
such other than those as to which it is held invalid shall not be
affected thereby.
(b)
Upon the effective date of the GTB Code of Ethics, all prior inconsistent
enactments, ordinances, rules, policies and regulations of the Tribe
and subdivisions, branches, commissions, departments and offices thereof
are hereby superseded and/or amended to comply with this Code.
