Chapter 3

Financial Disclosure Requirements

The financial disclosure requirements of the city Code of Ethics ensure a greater level of accountability and transparency in the management of public resources. The annual filing of a Financial Disclosure Statement is required for officials and employees who are determined by the City Manager and City Commission to be “major financial decision makers.” A list of the “major financial decision makers” in each department is created annually by the City Finance Director and the Human Resource Director. These are the only individuals who are subject to the disclosure requirements and they are notified annually.

In addition, the Finance Department creates a list of vendors and service providers for each department who contract for services or materials greater than $2,500 each month or more than $10,000 per year. Each member of a department must disclose if they have an economic relationship with a vendor. The list of vendors is maintained by the Finance Department.

Quick Links:
City of Bozeman Ethics Handbook, version 4
City of Bozeman Code of Ethics
Montana Code Annotated, Code of Ethics

Post-Employment Activities

City employees and officials are subject to specific rules that apply to post-employment activities. City employees and officials may not, for 12 months following the date on which they cease to be a public servant, do any of the following without proper public disclosure:  (a) make any formal or informal appearance before, or negotiate with any decision maker on regarding a transaction or matter which was under the former public servant's direct responsibility or which the former public servant participated personally and substantially; or (b) represent or act or appear on behalf of an individual or entity other than the city in connection with a transaction or matter in which was under the former public servant's direct responsibility or which the former public servant participated personally and substantially as a public servant.

 The public disclosure should be made with the city clerk and with the city attorney not less than ten (10) business days prior to the appearance a written public notice of the purpose for which the former public servant wishes to act and the responsibility the former public servant held over the transaction or matter or the nature of the former public servant’s participation in the transaction or matter. The city clerk shall post the written notice in a prominent publicly accessible location on the city’s website.  Further, at the onset of the appearance, the former public servant must orally disclose to the decision maker all offices or employment held by the former public servant while serving the city and the responsibility the former public servant held over the transaction or matter or the nature of the former public servant’s participation in the transaction or matter.

If the former public servant cannot reasonably meet the 10-day written notice requirement, then the appearance before a decision maker may only be at a duly noticed public meeting.

Quick Links:
City of Bozeman Ethics Handbook, version 4
City of Bozeman Code of Ethics
Montana Code Annotated, Code of Ethics

Ex parte Communication

Ex parte communication is defined as a private, one-sided communication between a decision-maker and a party or person with an issue before that decision-maker. While the city Code of Ethics does not specifically address ex parte communications, individuals should be prudent regarding potential communications, particularly for those employees and officials acting in a quasi-judicial capacity (for example, individuals with authority to adjudicate a situation such as the Board of Adjustment).

If an individual feels that he/she is involved in an ex parte communication that may negatively impact his/her ability to perform official duties, the individual should disclose the communication on the record, recuse (meaning to disqualify or remove) him/her self from participating in the discussion and action on the subject, and step away from his/her official position. Regardless of whether the communication affects an official’s ability to impartially perform his/her duties, the official should still disclose the existence of the ex parte communication on the record.

Quick Links:
City of Bozeman Ethics Handbook
City of Bozeman Code of Ethics
Montana Code Annotated, Code of Ethics

Whistle Blowing Policy

The city refers to whistle blowing as the “reporting of improper governmental conduct or action.” The improper conduct or action includes any that violates the fiduciary duty to the city or its citizens or creates a danger to the public health or safety. The city whistle blower policy addresses the potential for harassment, intimidation, or retaliation against any other employee, official, or any member of the public regarding an allegation of improper governmental action.

The Code of Ethics specifically states that every city employee, official or member of the public has the right to report in good faith, information concerning improper governmental action. It is important to note that “improper governmental action” excludes personnel actions, including but not limited to: employee grievances, complaints, appointments, promotions, transfers, assignments, reassignments, reinstatements, restorations, re-employments, performance evaluations, reductions in pay, dismissals, suspensions, demotions, reprimands, violations of collective bargaining or civil service laws, or alleged violations of agreements with labor organizations under collective bargaining.

Quick Links:
City of Bozeman Ethics Handbook
City of Bozeman Code of Ethics
Montana Code Annotated, Code of Ethics