[HISTORY: Adopted by the City Council of the City of West
Haven 3-13-2023. Amendments noted
where applicable.]
A.
Public service is a public trust, and the trust of the public is
essential for government to function effectively. Those who are elected,
appointed, hired or volunteer as representatives accept a public trust.
The public has a right to expect that every official and employee,
whether appointed or elected, paid or unpaid, will behave in a manner
that will tend to preserve public confidence and foster respect for
the government the official or employee represents. Therefore, every
official and employee is expected to treat all citizens in an impartial,
honest, responsible, open, and courteous manner at all times.
B.
Public trust also requires that the government be conducted in an
open manner, when appropriate, so that the official actions of public
servants may be subject to public scrutiny and so the members of the
public may have access to the information upon which decisions and
policies affecting them are made. However, public trust also requires
that government be conducted in a manner which respects the rights
of its constituents to privacy and confidentiality. Public trust also
requires that acts which are contrary to the public interest be defined
and prohibited; that there be an orderly procedure for raising and
addressing ethical questions; that ethical behavior be encouraged,
and that unethical behavior be discouraged and suitably disciplined
through a process that is fair and equitable.
C.
Officials and employees shall make governmental policies and decisions
following proper procedure and through the proper channels of government.
Policies and decisions shall be made free from coercion or other improper
influence; and all officials and employees shall use their office
or employment in the best interests of the City, its residents and
its taxpayers rather than for personal interest, and avoid both actual
and potential conflicts between their individual self-interest and
the public interest.
D.
City employees, elected officials and appointed board and commission
members are expected to adhere to high ethical standards in the performance
of their duties as officials and employees. Officials and employees
are expected to treat everyone, other officials and employees, taxpayers,
residents and the general public as a whole, with the utmost dignity
and respect. However, by accepting the duties and obligations of public
service, officials and employees, particularly those who volunteer
their time and talents to help make West Haven a better City, do not
relinquish their right to be treated with the same dignity and respect
as other citizens.
E.
The principal policy which forms the foundation of this chapter is
to encourage internal commitment by establishing and maintaining a
work environment which supports integrity. Such a work environment
includes public servants who:
(1)
Recognize with gratitude that the primary reason to hold a public
position is to serve the public;
(2)
Recognize with pride that they hold their public position because
the public trusts them;
(3)
Are fair and impartial in serving the public and each other in the
performance of their duties;
(4)
Are familiar with the principles of ethics; and
(5)
Encourage ethical practices which protect, advance, and promote the
public interest above all else.
A.
This code shall apply to all current officials and employees, whether
elected or appointed, paid or unpaid, full-time or part-time, as well
as former officials and/or employees when specifically stated in this
code.
B.
If one or more sections or provisions of this code conflict with
any state or federal law, statute, rule, City Charter, regulation
or order of any court of competent jurisdiction, the law, statute,
rule, City Charter, regulation or court order shall prevail.
C.
If any section, subsection, paragraph, sentence, clause or phrase
of this code is, for any reason, held to be unconstitutional, invalid,
or ineffective by any court of competent jurisdiction, such decision
shall not affect the validity or effectiveness of the remainder of
the code, which shall remain valid, applicable and in effect.
A.
Note: Throughout this code, any word used in the singular or plural,
and in the masculine, feminine or neutral, shall be either singular
or plural, and masculine, feminine or neutral, as the context may
indicate or require.
B.
ADVISORY OPINION
BOARD
BUSINESS
CHAIR
CITY
CODE
COMMISSION
COMPLAINANT
COMPLAINT
CONFIDENTIAL INFORMATION
CONSULTANT
CUSTOMER OR CLIENT
(1)
(2)
DEPARTMENT
DOMESTIC PARTNER
EMPLOYEE
GIFT
(1)
(2)
(3)
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)
(l)
HOUSEHOLD
IMMEDIATE FAMILY
INTEREST
OFFICIAL
OUTSIDE EMPLOYER OR BUSINESS
(1)
(2)
(3)
(4)
PARTICIPATING
RESPONDENT
As used in this chapter, the following terms shall have the meanings
indicated:
A formal, written opinion of the Board of Ethics with respect
to the applicability and/or interpretation of this code of Ethics,
issued in response to a formal, written request.
The Board of Ethics of the City of West Haven.
Any entity through which business for profit or not for profit
is conducted, including, but not limited to, a corporation, partnership,
limited-liability company, proprietorship, enterprise, franchise,
association, trust organization, sole proprietorship, or self-employed
individual.
The Chairperson of the Board of Ethics.
The City of West Haven, Connecticut, and includes all boards,
commissions, committees and departments thereunder.
This code of Ethics, as the same may be amended from time
to time at the request of the Mayor and with the approval of the City
Council.
Any board, commission, committee, or authority created and
existing pursuant to, or by authority of, the Charter and/or ordinances
of the City of West Haven.
Any individual who files a complaint pursuant to this code.
A written statement, including any exhibits thereto, filed
pursuant to this code, alleging that an official or employee or a
former official or employee has engaged in unethical conduct.
Any and all information, oral or written, including electronic
files, which the official or employee comes to have as a result of
his office or employment and which falls within a category of permissibly
nondisclosable information under the Freedom of Information Act, and
which the appropriate City department, board or commission has decided
not to disclose to the general public, except information in the public
domain, information generally available to the public by publication
or otherwise, or information that becomes general knowledge.
An independent contractor or professional person or firm
that is engaged by and/or receives compensation from the City or the
Board of Education for the purpose of providing professional, scientific,
technical or other specialized opinion and is in a position to influence
any decision of a commission, official or employee.
In § 10-4C means:
Any person or entity to which an official has supplied goods
or services during the previous two years, having, in the aggregate,
a value greater than $1,000; or
Any person or entity to which an official's outside employer
or business has supplied goods or services during the previous two
years, having, in the aggregate, a value greater than $1,000, but
only if the official knows or has reason to know the outside employer
or business supplied the goods or services.
Any formal municipal department of the City of West Haven.
An adult, unrelated by blood, with whom an unmarried or separated
official or employee has an exclusive, committed relationship, maintains
a mutual residence, and shares basic living expenses.
Any paid employee, whether full-time or part-time, of the
City of West Haven.
Any thing or group of things having a monetary value, individually
or in the aggregate, which exceeds $100 in any calendar year, including
but not limited to entertainment, food, beverage, travel, lodging,
given or paid to the extent that consideration of equal value is not
received by the donor.
Any thing or benefit, regardless of its monetary value, perceived
or intended by either the one who offers or the one to whom it is
offered to be of sufficient value to influence an official or employee
in the performance or nonperformance of an official action.
"Gift" shall not include:
A political contribution otherwise reported as required by law
or a donation or payment as described in C.G.S. § 9-333b(b)(9)
or (10);[1]
Services provided by persons volunteering their time;
A commercially reasonable loan made on terms not more favorable
than loans made in the ordinary course of business;
A certificate, plaque or other ceremonial award costing less
than $100;
A rebate, discount or promotional item available to the general
public;
Printed or recorded informational material germane to City action
or functions;
A gift, including but not limited to food or beverage, typically
provided by an individual for the celebration of a life event;
Gifts costing less than $100 in the aggregate or food or beverage
provided at a hospitality suite at a meeting or conference of a legislative
association, by a person who is not a registered voter or is not doing
business with the City;
Admission to a charitable, civic or political event, including
food and beverage provided at such event, and when such event is out
of state, reimbursement for lodging and/or travel expenses, at which
an official or employee participates in his official capacity, provided
such admission and/or reimbursement is provided by a sponsoring entity;
Anything of value provided by an employee or an official, an
employee or a spouse of an official or employee, to such official,
employee or spouse, provided such benefits are customarily and ordinarily
provided to others in similar circumstances.
Includes anyone whose primary residence is in the employee's
or official's home, including non-relatives who are not rent
payers or employed in the employee's or official's home.
Includes a spouse or domestic partner, children, stepchildren,
parents, stepparents, brothers and sisters, stepbrothers and stepsisters,
spouses of children or stepchildren and grandparents and grandchildren.
A relationship to a contract, transaction or decision such that a direct or indirect financial or other material benefit has been, will be, or might be received as a result of that contract, transaction or decision. The employee or official does not need to be a party to the contract, transaction or decision to have an interest in it. Indirect benefit includes a benefit to any of the parties listed in § 10-4C.
Any holder of public office, elected or appointed, paid or
unpaid, including any member of a board, commission, authority, or
committee of the City.
Includes:
Any substantial business activity, other than service to the
City;
Any entity, other than the City, of which the official is a
member, official, director or employee;
Any entity to which the official owes, or by which the official
is owed, more than $10,000, either in the form of a note, a bond,
a loan, or any other financial instrument.
Includes any discussion, correspondence, rendering of advice,
investigation, approval, disapproval, making motions, voting, or otherwise
influencing or being involved with a decision or action.
An official or employee or a former official or employee
who is alleged to have violated this code.
[1]
Editor's Note: The cited statute has been repealed or
transferred. See now C.G.S. § 9-601a and/or § 9-601b.
A.
Impartiality. All officials and employees shall discharge their duties
and responsibilities impartially. No official or employee shall use
or attempt to use his position to obtain any special treatment or
advantage, for himself or others, beyond that which is available to
the general public or to any other member of a profession, occupation,
organization or group. No official or employee shall publicly disparage
or defame any other official, employee, resident or taxpayer.
B.
Use of City property. No official or employee shall request, use
or permit the use of any City property, vehicle, equipment, material,
labor or service, either for himself or another, beyond that which
is available to the general public or to any other member of a profession,
occupation, organization or group. This provision shall not preclude
the use of any City property that is provided or entrusted to the
official or employee as a matter of stated public policy or public
convenience in the conduct of City business.
C.
Conflicts of interest. An official or employee shall not use his
office or position, or take any action, or vote on any matter, or
participate in discussion of any matter, or attempt to influence others
to take any action, in a manner which he has reason to believe or
expect may result in a personal or financial benefit or a personal
or financial detriment that is not shared with a substantial segment
of the City's population, for or on behalf of any of the following
persons or entities:
(1)
Himself or his outside employer or business;
(2)
A member of his immediate family, his dependents, nieces or nephews,
aunts or uncles, or the employer or business of any of these people;
(3)
A customer or client;
(4)
A nongovernmental civic group, union, social, charitable, or religious
organization of which he, or a member of his immediate family, is
an officer or director.
D.
Disclosure of interest and recusal. An official or employee who has
an interest in any pending matter shall abstain from participating
in any proceedings on the matter, except to disclose that he has such
interest and recuse himself as follows:
(1)
A member of a commission should inform the chairperson of that commission,
and then join the public or leave the room, if the recusal occurs
at a public meeting; or leave the room if it is not a public meeting.
(2)
If the chairperson of the commission is conflicted, he should turn
over the proceedings to the vice chairperson; inform the vice chairperson
and then join the public or leave the room, as the case may be.
(3)
If another person, including another member of the commission, believes
that a member of the commission should recuse himself because of a
conflict of interest, that person should raise the issue as soon as
practicable.
(4)
If a conflict develops or is discovered by the member after proceedings
on the matter have begun, the conflicted member should inform the
chairperson and recuse himself as soon as possible after such development
or discovery occurs. Notwithstanding the foregoing, this provision
shall not preclude an official or employee from participating as a
member of the public or offering testimony before any commission,
including a commission of which he is a member, regarding the subject
matter then before the commission.
(5)
If the conflict is unrelated to his duties as a member of a commission,
and the official or employee was hired or appointed by the Mayor,
he should inform the Mayor.
(6)
If the conflict is unrelated to duties as a member of a commission,
and the official or employee was not hired or appointed by the Mayor,
he should inform the department head or Superintendent of Schools,
as the case may be.
(7)
The Superintendent of Schools should inform the Chairperson of the
Board of Education if the Superintendent has a conflict.
(8)
If a consultant has a conflict, he should inform the chairperson
of the commission or the head of the department, or agency that hired
him.
(9)
If a contractor or bidder for a contract has a conflict, he should
inform the Finance Director and/or the Purchasing Agent of the City
or the Board of Education, as the case may be.
E.
Confidentiality. No official or employee, nor any former official
or employee, shall disclose any confidential information or use any
such confidential information to further his own or any other person's
or entity's personal or financial interest. This obligation remains
in perpetuity.
F.
Prohibited gifts. No official or employee, nor any member of his
immediate family, shall solicit or accept any gift that would not
be offered or given to him if he were not an official or employee;
however, this subsection does not prohibit:
G.
Prohibited compensation. Other than that which is paid or reimbursed
by the City, no official or employee shall solicit or accept any remuneration,
gift or other compensation for performing his work or duties as an
official or employee. This provision does not prohibit acceptance
of gifts or gratuities having a value of less than $50 per donor in
any one calendar year; nor does this provision prohibit acceptance
of campaign contributions that are otherwise legal under state and
federal law.
H.
Prohibited representation.
(1)
Except for representing constituents in the course of his responsibilities
as an official or employee, no official or employee, nor any business
by which he is employed, shall represent any person or entity, other
than himself or a member of his immediate family, before the commission
or City department of which he is a member; by which he is employed;
or over which he has supervisory authority.
(2)
Full-time employees, lawyers with the City's Office of Corporation
Counsel or outside law firms, and members of the City Council, Board
of Finance, Board of Assessment Appeals, Board of Ethics, Board of
Fire Commissioners, Board of Police Commissioners, Planning and Zoning
Commission, and Zoning Board of Appeals shall not represent any person
or entity, other than the City, before any City commission or department
while he is an official or employee, and for a period of one year
following the end of his term as a member of the commission or the
termination of his employment. Note: In addition, attorneys who represent,
or have represented, the City or any of its commissions or departments,
in any capacity, are governed by the Rules of Professional Conduct
as set forth in the Connecticut Rules of Court. See specifically Rule
1.11, Special Conflicts of Interest for Former and Current Government
Officers and employees.
I.
Prohibited contracts.
(1)
No official or employee shall accept employment with a party to a
contract with the City within one year after the contract was signed,
if he participated substantially in the negotiation or award of the
contract and the contract obligated the City to pay at least $50,000.
(2)
No official or employee shall award a contract to or participate
in an action benefiting a person or entity that employed him within
one year prior to his City employment or service.
J.
Nepotism.
(1)
Unless waived pursuant to the provisions of § 10-7 of this code, no official or employee shall appoint or hire a member of his immediate family or household for any type of employment with the City, including by contract, unless competitively bid and approved by Corporation Counsel, the Purchasing Manager, and the Finance Director.
K.
Periodic disclosure of ownership of real estate and business interests.
Written disclosure statements shall be filed and maintained in the
office of the City Clerk, and be available for inspection by the public
during the City Clerk's regular business hours, as follows:
(1)
At the beginning of each term, each elected official, as well as
each member of the Inland Wetlands Commission, the Economic Development
Commission, the City Council, the Planning and Zoning Commission,
the Zoning Board of Appeals, and the Board of Ethics, shall file a
written statement of real property in West Haven in which he or his
spouse has a legal or equitable interest, a statement of all business
entities which he or his spouse serves as an officer or director,
or in which he or his spouse owns an interest of 10% or greater, and
a list of all leases or contracts he or his spouse, or any business
entity which he or his spouse serves as an officer or director, or
in which he or his spouse owns an interest of 10% or greater, has
with the City of West Haven, on a form provided by the Board of Ethics.
(2)
Within 30 days after being hired by the City, all department heads
and those authorized to act on their behalf (deputies and assistant
department heads), including the Superintendent of Schools, Assistant
Superintendent(s) of Schools, and Director of Business and Operations
of the Board of Education, shall file a written statement of real
property in West Haven in which he or his spouse has a legal or equitable
interest, a statement of all business entities which he or his spouse
serves as an officer or director, or in which he or his spouse owns
an interest of 10% or greater, and a list of all leases or contracts
he or his spouse, or any business entity which he or his spouse serves
as an officer or director, or in which he or his spouse owns an interest
of 10% or greater, has with the City of West Haven, on a form provided
by the Board of Ethics.
(4)
Such disclosure statement shall be signed by the official or employee
who is required to file it and he shall sign and file an amendment
thereto within 60 days following any change in the information contained
in the most recently filed disclosure or amendment.
(5)
The Personnel Department shall mail timely written notice to each
official or employee who is required to file a disclosure statement,
with a copy being sent to the Chair, so that the official or employee
will be able to comply within the time limits set forth herein. The
Personnel Department shall mail written notice by certified mail,
return receipt requested, to any official or employee who is required
to file a disclosure statement, but who is more than 30 days late
in so filing, with a copy being sent to the Chair. Failure to file
such disclosure statement within 30 days after receipt of such notice
shall be considered a violation of this code, unless:
(a)
The official or employee is contesting his obligation to file
such disclosure statement, and has not received a final decision from
the applicable court or commission; or
L.
Mandatory distribution and acknowledgement of Code.
(1)
Every official and employee shall be furnished a copy of this code
by the Personnel Department within 10 days after entering upon the
duties of his position.
(2)
Within 30 days after receipt of the Code, every official and employee
shall sign a statement that he has received and read the requirements
of the Code and promises to fulfill them, and must file that statement
with the office of the Mayor if an official and with the Finance Department
if an employee.
(3)
Failure of the City to comply with the provisions of this subsection
or failure of any official or employee to receive a copy of this code,
or to sign and file such statement with the Personnel Department,
shall have no effect on the duty to comply with the Code.
M.
Whistleblower protection. No official or employee shall take or threaten
to take, directly or indirectly, official or personal action, including,
but not limited to, discharge, discipline, personal attack, harassment,
intimidation or change in job, salary or responsibilities, against
any person (or against any member of his family) because that person
or a person acting on his behalf:
(1)
Reports, verbally or in writing, or files a complaint with the Board;
or
(2)
Is requested by the Board to participate in an investigation or hearing,
or presents evidence as part of a Board investigation or hearing,
or is involved in a court action relating to an alleged violation
of this code. The provisions of this subsection are not applicable
when the complainant, witness or reporter of a violation knew that
the allegations of such complaint, testimony or report were false
or were made with reckless disregard for the truth.
A.
There shall be a Board of Ethics (the "Board"), which shall administer
this code.
B.
The Board shall consist of five members, appointed by the Mayor and
ratified by a majority vote by the City Council. The term of office
of members of the Board of Ethics is three years, and runs from January
1 through December 31; except that of the initially appointed members,
one shall serve for one year, two shall serve for two years, and two
shall serve for three years. Notwithstanding the expiration of their
terms, members shall serve until their successors have been appointed.
C.
Qualifications and limitations.
(1)
All members of the Board of Ethics shall be electors of the City
of West Haven.
(2)
No more than three members may be registered with the same political
party.
(3)
No member of the Board may be, or have been within one year of appointment,
an official of the City, with the exception of being a member of a
political Town Committee.
(4)
No member of the Board may hold an executive office in a political
committee.
(5)
No member of the Board shall serve for more than two consecutive
three-year terms.
D.
Selection process.
(1)
On or before November 1 of each year in which the term(s) of a member(s)
of the Board of Ethics is due to expire, the Mayor shall publish and
disseminate a notice requesting that any City resident interested
in serving on the Board of Ethics may submit his name, political affiliation,
and resume to the Mayor.
(2)
No later than by December 31 of each year, as the terms of members
of the Board of Ethics expire, the Mayor shall make the appointments,
and the City Council shall ratify such appointments, to the Board
of Ethics in conformity with this code.
E.
Quorum; meetings; and officers.
(1)
Three members of the Board shall constitute a quorum.
(2)
At the first meeting of each year, the Board shall elect a Chair,
who shall preside at meetings of the Board; a Vice Chair, who shall
preside in the absence of the Chair; and a Secretary.
(3)
Regular meetings shall be scheduled as agreed by a majority vote
of the Board; however, in no event shall the Board regularly meet
less than once per calendar quarter. Subject to the notice requirements
of the Freedom of Information Act (Connecticut General Statutes Chapter
14), special meetings may be called at any time by the Chair, or by
a written request signed or emailed by at least three members of the
Board. A meeting shall also be called for as soon as possible after
the receipt of a complaint. All meetings relating to a complaint,
before a finding of probable cause has been made, shall be held separately
from other meetings, as meetings on a complaint, not as executive
sessions during an ordinary meeting pursuant to Connecticut General
Statutes §§ 7-148h and 1-82a. However, ordinary meetings
may be held on the same day at a different time. Before a finding
of probable cause has been made by the Board, all discussions related
to a complaint or discussions related to its own investigations of
unethical conduct by an official or employee or a former official
or employee shall be confidential except upon the request of the respondent.
(4)
The Board shall have the power, by a unanimous vote of the other
members, to dismiss any member who has been absent from three Board
meetings during a year without good cause. "Good cause" shall include
vacations, ill health, and unexpected family-related commitments.
The Chair shall promptly inform the Mayor that a member of the Board
has been removed pursuant to this subsection, and request that the
vacancy be filled as soon as practical. Any member appointed to fill
a midterm vacancy under this section shall hold his position on the
Board for the remainder of the term of the member whom he replaced.
F.
The Board of Ethics shall:
(1)
Compile and maintain a record of the doings of the Board. The Board's
record shall include, but is not limited to, all reports, advisory
opinions, orders, statements, memoranda, decisions and written correspondence.
The originals of each such document shall be filed with the City Clerk,
who shall retain same on file in chronological and numerical order,
together with an index thereof. For purposes of this section, an electronically
created document shall constitute an original.
(2)
Receive and investigate accepted complaints as described in this
code.
(3)
Upon a majority vote, investigate the actions and conduct of elected
or appointed officials, or employees, when potentially unethical conduct
by an official or employee, or a former official or employee, comes
to the attention of the Board.
(4)
Make a determination of probable cause on each complaint of unethical
conduct, as well as each of its own investigations of unethical conduct
that comes to the attention of the Board.
(5)
Maintain the confidentiality of all complaints and investigations
of unethical conduct until such time as the Board has made a determination
that a particular official or employee or a former official or employee
has probably engaged in unethical conduct, as defined in this code.
(6)
Destroy all records of all complaints and investigations of unethical
conduct that do not result in a finding of probable cause.
(7)
Conduct a public hearing on each complaint or investigation that
resulted in a determination of probable cause.
(8)
Issue advisory opinions regarding the interpretation and applicability
of the Code upon the written request of any person without unreasonable
delay.
(9)
Act on applications for waivers pursuant to the provisions of § 10-7 of this code without unreasonable delay.
(10)
Request the office of the Mayor to distribute copies of this code
to officials and employees, and make copies available to the public.
G.
The Board of ethics may:
(1)
After public hearing, adopt rules and regulations for the administration
and implementation of this code, not inconsistent with the Code.
(2)
Develop and distribute such forms as may be necessary or convenient
to administer this code.
(3)
Within available appropriations, the Board as a whole, or its individual
members, may attend seminars and training programs to enhance the
knowledge, skills and effectiveness of the Board.
(4)
Employ necessary staff or outside counsel, within available appropriations.
H.
Complaints.
(1)
Making a complaint. Any person may file a complaint alleging that
an official or employee, or a former official or employee, has engaged
in unethical conduct as follows:
(b)
Substance of complaint. It must:
[1]
Identify the name of the person or persons, and their position
or title, who are alleged to have committed a violation of this code.
[2]
Specify the act or acts that are claimed to constitute the alleged
violation and identify the section(s) of the Code of Ethics, to the
extent possible, that the act or acts allegedly violated.
[3]
Specify the facts that should be considered by the Board.
[4]
Concern acts that have occurred within three years of the date
of the complaint.
[5]
Reference and include copies of exhibits (if any).
(c)
Time limit and manner in which to submit a complaint.
[1]
No complaint may be made under this code except within three
years after the violation is alleged to have occurred.
[2]
Complaints, including any exhibits, may be submitted electronically
or addressed to the Board and marked "ETHICS COMPLAINT - CONFIDENTIAL."
The sealed envelope shall be delivered to the City Clerk, either by
hand or by certified mail, return receipt requested. The complaint
shall be deemed to have been filed on the date of its receipt by the
City Clerk, and the City Clerk shall treat the complaint as a confidential
document. The City Clerk shall issue a dated, signed receipt to the
complainant, upon request.
[3]
The City Clerk shall not open the sealed envelope, but shall
notify the Chair within 24 hours after receipt, and arrange for its
prompt delivery to the Chair.
(d)
Receipt of complaint. After receipt of a complaint, the Chair
shall confirm that the complaint:
(e)
Deficient complaints. If the complaint is deficient with respect
to any one or more of the requirements set forth above, the Chair
shall promptly:
[1]
Return the complaint to the complainant, together with a copy
of this code;
[2]
Inform the complainant that the complaint does not comply with
the requirements of the Code in one or more respects; and
[3]
Notify the complainant that he may resubmit the complaint in
conformity with the requirements of the Code.
(2)
Board of Ethics procedure upon receipt of accepted complaints; investigations.
(a)
If the complaint is in writing, signed, made under penalty of
false statement, concerns acts that have occurred within three years
of the date of the complaint, and contains the name, address and telephone
number of the complainant, it shall be deemed accepted by the Chair.
(b)
Upon acceptance of a complaint, the Board shall investigate
any alleged violation of this code. In the conduct of an investigation
of an alleged violation of this code, the Board shall have the power
to hold hearings, administer oaths, examine witnesses, receive oral
and documentary evidence, subpoena witnesses and require the production
for examination by the Board of any books and papers that the Board
deems relevant in any matter under investigation or in question. In
the exercise of such powers, the Board may use the services of the
West Haven Police Department, the Office of Corporation Counsel or
outside legal counsel (to the extent sufficient appropriations are
made), which shall provide such services upon the Board's request.
(c)
Initial review of complaint.
[1]
Within 72 hours of his receipt of the complaint, the Chair shall
forward a copy to the Board, either in hard copy or electronically,
together with any exhibits thereto, to determine if the complaint
alleges an action or inaction that, if true, would constitute a violation
of this code, and that at least one person accused of a violation
is a person covered by this code.
[2]
Within 30 days of the Chair transmitting a copy of the complaint
and any exhibits to the Board, the Board shall meet at a special meeting
called by the Chair pursuant to C.G.S. §§ 7-148h and
1-82a, and review the complaint to determine whether or not the allegations
contained therein, if proved, would constitute a violation of the
Code.
[3]
If the Board determines that the complaint does not contain
sufficient facts to constitute a violation of this code, the Board
shall dismiss the complaint and duly notify the complainant in writing
within 10 business days of such determination. All information of
said complaint shall remain confidential, and all records shall be
immediately destroyed.
[4]
If the Board determines that the complaint alleges sufficient
facts to constitute a violation of this code, the Board shall retain
the complaint for further investigation and shall duly notify the
complainant in writing within 10 business days of such determination.
Within 10 business days of the Board's determination, the Board
shall also:
[a]
Forward to the respondent(s) a copy of the complaint, including
any exhibits;
[b]
Forward to the respondent(s) a copy of this code;
[c]
Notice the date and time of a special meeting, which such meeting
may continue thereafter until the investigation is complete, which
the notice shall include notice that the special meeting will be held
pursuant to C.G.S. §§ 7-148h and 1-82a, to investigate,
discuss and make a determination as to whether there is probable cause
to make a finding that the respondent(s) had engaged in unethical
conduct; and that unless and until a finding of probable cause is
made, said investigation, discussion and determination will remain
confidential except upon the request of the respondent; and
[d]
Notify the respondent(s) of the special meeting scheduled pursuant
to Subsection H(2)(c)[4][c] above and notify the respondent(s) that
they may respond to the complaint, in writing, no later than 72 hours
prior to the special meeting.
[5]
Investigation to determine probable cause.
[a]
The Board shall investigate all complaints submitted in conformity
with this code as well as all unethical conduct by an official or
employee or a former official or employee that comes to its attention.
The affirmative vote of three members of the Board is required to
make a finding of probable cause. Subject to the provisions of C.G.S.
§ 1-200(6)(A), unless and until the Board makes a finding
of probable cause, the doings of the Board with respect to its investigations
of a complaint shall remain confidential; however, nothing herein
shall preclude the Board or its individual members from reporting
the commission of a crime to the police or to an appropriate prosecutorial
authority.
[b]
The purpose of the investigation is to determine whether there
is probable cause to believe that the respondent(s) had violated this
code. As used herein, "probable cause" means that it is more likely
than not that a violation has occurred.
[c]
If the Board does not make a finding that there is probable
cause to believe that a violation of this code has occurred, it shall
dismiss the complaint, notify the complainant and the respondent(s)
in writing within 10 business days of such determination, and destroy
all records of the complaint or its own investigation of unethical
conduct, as the case may be, in accordance with the Connecticut General
Statutes.
[d]
If the Board finds that there is probable cause, the Board shall
forward copies of the finding, in writing, to the complainant and
the respondent(s) within 10 business days from such determination.
Upon finding that there is probable cause, the complaint, the finding,
and the information gathered during the investigation, if any, shall
be made available to the public, and all filings and proceedings that
follow shall be public except as required by law; provided, however,
that deliberations may be held in executive session to the extent
permitted by the Connecticut Freedom of Information Act.
[6]
Public hearing following a finding of probable cause; decisions;
penalties.
[a]
If the Board finds that there is probable cause to believe that
a violation of this code has occurred, it shall notify the complainant
and the respondent(s) within 10 business days, and set a date for
commencement of a public hearing, which may continue thereafter until
complete, to determine whether a violation has occurred. Such public
hearing shall be commenced within 30 days of such finding of probable
cause, or at a later date upon a finding of good cause by the Chair.
[b]
In the conduct of the public hearing, the Board, acting through
the Chair, shall have the power to administer oaths, examine witnesses,
receive oral and documentary evidence, subpoena witnesses, including
the issuance of subpoenas duces tecum to require production of any
books, records and papers that the Board deems relevant in any matter
under investigation or in question. The Board may examine any witness
who appears before it, including the complainant and the respondent(s).
The Chair may limit the number of witnesses and scope of testimony
to matters he believes to be relevant, material, not unduly repetitious,
and necessary to make a fair and reasoned decision.
[c]
The hearing shall be governed not by the strict rules of judicial
evidence, but by an administrative standard, with a liberal introduction
of testimony and documentary evidence.
[d]
All witnesses shall be sworn.
[e]
The respondent shall have the right to appear and to be represented
by legal counsel and to examine and cross-examine the complainant
and witnesses.
[f]
The affirmative vote of a majority of the members of Board in
attendance shall be required to make a finding that there has been
a violation of this code. No person shall be held to have violated
this code except upon clear and convincing proof.
[g]
If the Board does not make a finding that there has been a violation
of this code, it shall dismiss the complaint.
[h]
Dismissal of the complaint shall be final, either after hearing,
or because the Board did not make a finding of probable cause.
[i]
If the Board makes a finding that
there has been a violation of this code, the Board shall issue a decision
as soon as practicable and shall mail copies to the complainant and
respondent(s) within 10 business days thereafter. No member of the
Board may vote on a determination unless he has attended the entire
hearing and participated in all deliberations. Deliberations may be
held in executive session. In its written decision, the Board may,
but is not required, to make recommendations for sanctions and/or
penalties which may include, but need not be limited to:
[1]
Public censure and reprimand;
[2]
In the case of a public employee, a recommendation
to the appropriate authority for such personnel action as appears
appropriate;
[3]
Required recusal;
[4]
Disclosure of conflicts or any other periodic disclosures
required by the Code;
[5]
Return of gifts;
[6]
Restitution of any pecuniary benefits received
because of the violation committed;
[7]
A civil penalty not exceeding $1,000 per violation,
payable to the City of West Haven, which shall be enforced upon a
petition to the Superior Court for the Judicial District of New Haven
in accordance with C.G.S. § 7-148j(4); and
[j]
Such other appropriate recommendation based upon the violation
committed.
[k]
Any contract, transaction or official act or action which was
entered into, taken or otherwise approved in violation of this code
shall be voidable by resolution of the City Council.
[l]
Any respondent aggrieved by a decision of the Board regarding
a finding of a violation may, within 20 days, take an appeal to the
Superior Court for the Judicial District of New Haven.
I.
Confidentiality of complaints; procedures in investigations, hearings
and determinations. Unless otherwise stated within the Code:
(1)
In accordance with C.G.S. §§ 1-82a(a) and (b) and
7-148h(a), until and unless there is a finding of probable cause,
the allegations in a complaint and any information supplied to or
received from the Board shall not be disclosed during the investigation
to any third party by a complainant, respondent, witness or Board
member except at the request of a respondent.
(2)
No person shall take or threaten to take official action against
an individual for such individual's disclosure of information
to the Board under the provisions of this code. Such retaliatory actions
will be considered a violation of the Code. After receipt of information
from an individual, the Board shall not disclose the identity of such
individual without his consent unless the Board determines that such
disclosure is unavoidable during the course of the investigation.
(3)
Upon the request of either the complainant or the respondent(s),
14 days' prior to the start of the hearing, and at the expense
of the party requesting it, the Board shall cause the hearings to
be recorded and also a transcript to be made.
(4)
If the Board makes a finding of no probable cause, the complaint
and the record of its investigation shall remain confidential, and
all documents shall be immediately destroyed. No complainant, respondent,
witness, designated party or Board member shall disclose to any third
party any information learned from the investigation, including knowledge
of the existence of the complaint, which the disclosing party would
not otherwise have known.
(5)
If the Board makes a finding of probable cause, the entire record
of the investigation and hearing shall become public.
(6)
Nothing contained herein shall in any way be construed to prohibit
or otherwise limit the Board's ability to interview witnesses,
receive or review documents during any part of the Board's investigation
of a complaint. In the event the Board deems it necessary to interview
witnesses and/or receive and review documents, such requests shall
be tailored as narrowly as possible so as to protect the respondent's(s')
confidentiality without hindering the Board's investigation.
(7)
A violation of this subsection shall be deemed a violation of this
code.
J.
Complaints against members of the Board of Ethics.
(1)
Nothing in this code shall be construed to permit the Board to conduct
an investigation of itself or of any of its members or staff. The
Corporation Counsel and members of his staff are not to be considered
staff of the Board.
(2)
If the Chair receives and accepts a complaint alleging that the Board
or any of its members or staff has violated any provision of this
code, the Chair shall promptly transmit a copy of the complaint to
the Mayor, who shall forthwith designate the City Council as a Special
Ad Hoc Board of Ethics, and the Chair of the City Council, or his
designee, shall serve as Chair of the Special Ad Hoc Board of Ethics.
The Special Ad Hoc Board of Ethics shall process the complaint as
set forth herein, except that a vote of nine members shall be required
to make any finding or decision required or permitted herein.
(3)
If the Chair receives a complaint alleging he violated any provision
of this code, the complaint shall be handled by the Vice Chair in
accordance with this code.
K.
Settlement agreements.
(1)
At any time after a complaint has been filed, the Board may seek
and enter into a settlement agreement with the respondent(s). The
settlement agreement will, to the extent relevant, include the nature
of the complaint, findings of fact, conclusions of law, the Board's
reasons for entering into the agreement and a waiver of the right
to a hearing; and may include an admission of violation by the respondent(s),
a promise by respondent(s) not to do certain actions, the imposition
of a public reprimand, the imposition of a penalty, remedial action
to be taken, or oral or written statements to be made.
(2)
In determining whether a matter is appropriate for settlement, the
Board should consider the following factors, as well as other factors
it considers relevant:
(a)
The severity of the alleged conduct;
(b)
The respondent's apparent level of knowledge and willfulness
regarding the alleged conduct;
(c)
Whether the alleged conduct appears to be an isolated event
or part of a pattern of conduct;
(d)
Whether the alleged conduct appears to indicate a violation
of criminal law;
(e)
The complexity of issues or evidence, and the likely scope of
an investigation and hearings;
(f)
The involvement of other agencies in the investigation of the
respondent's conduct;
(g)
The existence of Board precedent concerning the alleged conduct;
(h)
The age of the facts alleged in the complaint;
(i)
The resources and priorities of the Board; and
(j)
Whether the respondent self-reported the alleged conduct or
sought an advisory opinion regarding it.
(3)
Any settlement agreement approved, by at least three members of the
Board, will be a public record. However, all meetings held and documents
relating to the settlement negotiations will be kept confidential,
unless the parties agree otherwise.
(4)
If a settlement agreement is breached by the respondent, the Board
may rescind the agreement and reinstitute the proceeding. However,
no information obtained from the respondent in reaching the settlement,
which is not otherwise discoverable, may be used in the proceeding.
L.
Penalty for false complaints. The complainant is hereby advised and
provided notice that if he intentionally makes a false statement,
he may be subject to fines of up to $1,000 and penalties of up to
one year of imprisonment under the provisions of C.G.S. § 53a-157b,
a Class A misdemeanor. Such fines shall be enforced upon a petition
to the Superior Court for the Judicial District of New Haven in accordance
with C.G.S. § 7-148j(4).
M.
Expenses and compensation; special counsel.
(1)
The members of the Board shall serve without compensation for their
services. In the performance of its duties and in the exercise of
its powers, the Board shall not incur any expenses in excess of the
funds appropriated by the legislative body for such purpose. The Board
may request special appropriations from the legislative body as it
deems appropriate.
(2)
The Board shall have access to the Corporation Counsel and to special
legal counsel of the Board's choosing if the Corporation Counsel
is disqualified from assisting the Board or recuses, or if the Board
deems it inadvisable to proceed with advice from Corporation Counsel
under the circumstances. If special counsel is retained, the City's
Finance Director or his designee shall negotiate the terms of engagement
of special counsel.
N.
Advisory opinions. The Board shall issue an advisory opinion with
respect to the requirements and/or applicability of this code upon
the written request of any person. Until amended or revoked, an advisory
opinion of the Board shall be deemed to be a final decision of the
Board. Any person who acts in good-faith reliance on an advisory opinion
of the Board shall be entitled to use such reliance as an absolute
defense to any complaint brought under the provisions of this code
in connection with the specific activities that were the subject of
the advisory opinion. If the Board believes it needs additional information
and/or documentation in order to issue its advisory opinion, it shall
request such additional information and/or documentation as soon as
possible.
No public official or employee shall be found to have violated
any provision of this code by reason of:
A.
Voluntary, uncompensated service to, membership in or affiliation
with a social, fraternal, charitable, service, religious, philanthropic,
cultural or similar nonprofit institution or organization.
B.
A commercially reasonable loan made in the ordinary course of business
by an institution or organization authorized by law to engage in the
making of such loans.
A.
Upon written application and upon a showing of compelling need by
the applicant, at an open session after public notice, the Board may
grant the applicant a waiver of any of the provisions of this code.
B.
Waivers must be in writing and must state the grounds upon which
they are granted. The records of the Board shall set forth the name
of the person or entity requesting the waiver and a general description
of the nature of the waiver.
C.
When acting on a request for a waiver of § 10-4J, Nepotism, rather than a showing of compelling need, the applicant must show that the benefits to the City outweigh the likelihood of abuse; and the Board may impose such reasonable conditions as it considers appropriate to ensure that the spirit and intent of this code are not frustrated.
A.
The Office of Corporation Counsel shall provide representation to
the Board upon request and shall not represent any public official
or employee in Board proceedings.
B.
Any public official or employee who is the respondent in any complaint filed with the Board and who wishes to be represented by an attorney with regard to said complaint, and to have the City pay the fees of such attorney pursuant to Subsection C below, shall submit the proposed scope of work and hourly or other fee agreement of such attorney to the Corporation Counsel, who shall approve or disapprove the same within seven days.
C.
Provided that the Corporation Counsel shall have given prior written
approval to such scope of work and hourly or other fee agreement,
the City shall pay the reasonable fees of such attorney with respect
to any matter alleged in such complaint upon which the Board does
not find the respondent to have violated this code.
This code of Ethics may be amended only by ordinance passed
by a majority of the City Council.
