[Ord. No. 2460, 10-20-2009]
This code of ethics applies to all town officials and employees as defined in Section 2-113 of this code of ethics.
[Ord. No. 2460, 10-20-2009]
(a) 
The goal of this code is to establish clear standards of ethical conduct for all who serve the town, whether in a paid or unpaid capacity, without discouraging participation in town government by the talented and committed individuals on whose service the town relies.
(b) 
Specifically, this code seeks to deter conduct that is incompatible with the proper discharge of duties in the public interest or that would impair independence of judgment or action in the performance of those duties as set forth in this code's standards of conduct (Section 2-113), and to establish procedures for determining whether such conduct has occurred or would occur.
(c) 
It is central to gaining and retaining the public's trust that public servants seek to avoid even the appearance of impropriety. Nothing is more important to public trust than having public servants err on the side of disclosing every possible conflict.
[Ord. No. 2460, 10-20-2009]
(a) 
Definitions. As used in this code, the following terms shall have the meanings indicated:
BUSINESS
Any business organization or operation of which an official or employee, or a relative, is an owner, director, officer, employee, compensated agent, or holder of 5% or more of the outstanding stock of any class.
COMMISSION
The Ethics Commission or any board, committee, commission, Council, authority, agency or other body of town government, including the Town Council and the Board of Education.
DOMESTIC PARTNER (DOMESTIC RELATIONSHIP)
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.
EMPLOYEE
Any person employed full or part-time by the town or by any board.
It will be determined by the Ethics Commission as to whether an official or employee, and the circumstances complained of, are governed by a collective bargaining agreement, personal employment contract, or other agreement or policy, the provisions of which would take precedence over this code.
FINANCIAL INTEREST
Any interest representing an actual or potential economic gain or loss, which is neither trivial nor shared by the general public, that accrues to an official or employee, to a relative, or to a business.
HOUSEHOLD
Includes anyone whose primary residence is in the official or employee's home, or is a dependent of the household, and including nonrelatives who are not rent payers or servants.
OFFICIAL
Any elected or appointed person serving on any board, or in any office as defined in the Town Charter, whether paid or unpaid and whether full or part-time.
RELATIVE
Any person related to an official or employee by blood, adoption, marriage, or a domestic relationship.
TOWN
The Town of Windham.
(b) 
Key provisions.
(1) 
Conflict of interest. No official or employee shall participate in any town or board matter in which he or she has a financial interest or a personal interest. A finding of violation of this provision shall require that:
a. 
The official or employee has a financial interest or a personal interest in a matter; and
b. 
The official or employee has the authority, whether individually or collectively with others, to deliberate, decide or act for the town or board, or to influence a decision or action by the town or board with respect to the matter.
(2) 
Disclosure and recusal.
a. 
Whenever a matter arises with respect to which an official or employee may have a conflict of interest, the official or employee shall disclose it in writing to his or her board or supervisor and shall abstain from participation in the deliberation, decision-making and action with respect to the matter unless and until he or she procures an advisory opinion under this code that provides otherwise.
b. 
Candidates for town or board elective or appointive office or for town or board employment are encouraged to familiarize themselves with this code. They must disclose during the process of appointment or employment or upon election anything addressed in this code that might impair their ability to perform in the office or position that they seek or for which they are being considered.
(3) 
Gifts and other things of value. No official, employee, relative, or business shall solicit or accept anything of value exceeding $25 per occasion or $100 per calendar year that could reasonably be expected to influence the action or judgment of the official or employee in any town or board matter. This includes, without limitation, a gift, loan, service, reward, or promise of employment.
(4) 
Use of town property. No official or employee shall use, or permit the use of town property of any nature, including vehicles, supplies and real property, for the benefit of himself or herself, except when such property is made available to the general public and then on terms and conditions not more favorable than those available to the general public.
(5) 
Representation of private interests. No official shall appear or act in any material capacity on behalf of private interests before any board on which he or she serves, or represent any such interests in litigation involving an action of that board. Disclosure and recusal will not suffice to cure a violation of this provision. This prohibition shall continue for six months after the termination of the official's service to the town or board. Nothing contained herein shall prevent an official from appearing in his or her own behalf on a matter before the town or board, provided he or she abstains from deliberating, deciding, or acting with respect to the matter.
(6) 
Use of town position. No official or employee shall use his or her position, or knowledge acquired through that position which is not available to the general public, for the purpose of obtaining or furthering a financial interest or a personal interest.
(7) 
Nepotism.
a. 
No official or employee may appoint or hire any relative (as defined in this code Subsection 2-113(a)) for any type of employment, including by contract (unless competitively bid), with the city unless he or she obtains a waiver from the Ethics Commission.
b. 
No official or employee may supervise or be in a direct line of supervision over his or her relative. If an official or employee comes into a direct line of supervision over one of these persons, he or she will have six months to come into compliance or to obtain a waiver from the Ethics Commission.
[Ord. No. 2460, 10-20-2009]
(a) 
Appointment and composition of the Ethics Commission. The Commission shall consist of five electors of the town who shall serve without compensation. No more than three shall be registered in the same political party. No member shall serve on any board other the Ethics Commission or as an employee of the town during his or her term of service on the Commission. Members shall be appointed to the Commission, and vacancies filled by the Mayor with approval of the Town Council.
(b) 
Terms of service. The town Mayor, with the approval of the Town Council, shall appoint five electors of the town to serve on an Ethics Commission for overlapping three-year terms. Service shall be limited to two successive full three-year terms. After a lapse of one year, a former member shall again be eligible for appointment. No member shall receive compensation for his or her service on the board.
(c) 
Election of officers. The Commission shall elect annually a chair, a vice chair and a secretary.
(d) 
Frequency of meetings, quorum, and duties of officers. Meetings shall be held as needed and, in any event, semi-annually. A minimum of three members shall constitute a quorum for the conduct of business. Findings shall be determined by a majority of members present. The chair shall call and preside over meetings and file agendas. The vice chair shall preside over meetings in the absence of the chair. The secretary shall keep minutes of meetings and shall file them with the Town Clerk.
(e) 
Inquiry on the Commission's own initiative. The Commission shall have the authority to present matters for inquiry or investigation on its own initiative. In such cases, the Commission will act as the complainant.
(f) 
Access to town records and personnel. In furtherance of its duties, the Commission shall have access to town records and personnel as permitted by law. The Commission may request assistance from any official or employee and retain others to aid it in pursuing any investigation.
(g) 
Access to legal counsel. The Commission shall have access to the Town Attorney and to special legal counsel in a manner consistent with the Town Charter.
(h) 
Maintenance of Commission's records. The Commission's records shall be stored in town hall. Those records that are designated as confidential by the Commission shall be stored accordingly and shall not be available for public review except as required by law.
(i) 
Notification of filings. The Town Clerk, or Assistant Town Clerk, shall serve as the Commission's agent of receipt of correspondence and filings and shall promptly notify the Commission of all correspondence and filings.
(j) 
Delivery of this code to each official and employee. Within 30 days following the adoption of this code, a copy shall be provided by the town to each official and employee. Persons subsequently elected, appointed or employed shall receive a copy of this code at the time their service commences. Each recipient shall acknowledge, in a writing deposited with the Town Clerk, receipt of a copy of this code and agreement to abide by its terms. Temporary and part-time employees will be asked to review a copy of the code.
(k) 
Amendment; adoption of rules. The Commission may recommend, for the Town Council's approval, amendment of this code and may also adopt rules in furtherance of, and not inconsistent with, its provisions.
[Ord. No. 2460, 10-20-2009]
The procedure for advisory opinions and/or waivers concerning only officials or employees shall be confidential. The request shall be made in a writing filed with the Town Clerk in a sealed envelope addressed to the Commission. The request shall state the name and address of the person making the request and all facts relevant to the matter in question.
(1) 
Issuance of advisory opinion. The Ethics Commission may request further information from the person making the request, it shall issue its advisory opinion by majority vote and shall do so in a timely manner. The opinion shall be in writing and delivered to the Town Clerk, who shall mail it to the person making the request. Minority opinions from Commission members may be submitted.
(2) 
Reliance. A person requesting an advisory opinion may rely on that opinion, provided the person has disclosed all relevant facts and acts in good faith consistent with those facts. Otherwise, the Commission has the authority to rescind that opinion.
[Ord. No. 2460, 10-20-2009]
(a) 
Neither the town nor any person, including officials or employees, may 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 official, employee or other person (or against any member of their family) because that person or a person acting on his or her behalf.
(1) 
Reports, verbally or in writing, or files a complaint with the Ethics Commission regarding an alleged violation of this code, or
(2) 
Is requested by the Ethics Commission to participate in an investigation, hearing or inquiry, or is involved in a court action relating either to the alleged violation or to evidence presented or given as part of an Ethics Commission investigation or hearing. The provisions of this section are not applicable when the complainant, witness or reporter of a violation made accusations or other statements that were malicious and false. A violation of this section is a violation of the code.
[Ord. No. 2460, 10-20-2009]
(a) 
Definitions. As used in this chapter, the following terms shall have the meanings indicated:
COMPLAINANT
The filer of a complaint.
COMPLAINT
A written request for determination made by an individual or a board regarding an alleged violation of this code by an official or employee.
DETERMINATION
A written final decision by the Commission with respect to a complaint.
HEARING
A public proceeding before the Commission following a finding of probable cause where testimony is taken and documents may be received.
RESPONDENT
The person against whom a complaint is filed.
RESPONSE
The respondent's written answer to the complaint.
(b) 
Procedure.
(1) 
Filing of a complaint.
a. 
A complaint may be made by any individual or entity. It shall be made in writing, signed and shall state the name and address of the complainant, the identity of the official, employee, or town entity and, if applicable, the relative or business involved in the complaint, the conduct that allegedly violates the code, and a summary of the relevant facts.
b. 
A complaint must be filed within five years after the matter in question has allegedly occurred.
c. 
The complaint shall be filed with the Town Clerk or Assistant Town Clerk, by hand or by certified mail return receipt requested, and sent by the Town Clerk to all Commission members. The complaint shall be deemed to have been filed on the date of its receipt by the Town Clerk's office and shall be treated by that office as a confidential document.
(2) 
Probable cause determination. The Commission shall review the complaint to determine whether probable cause exists for further proceedings and may conduct an investigation for this purpose.
a. 
Preliminary review. The Commission will conduct a preliminary review of the complaint to determine its validity. The complainant will be informed of this review and may be asked to attend. If the Commission decides, by majority vote that the complaint does not warrant further investigation because ethics code provisions have not been violated or it is of a trivial nature, or otherwise, the complaint will be dismissed and will remain confidential.
b. 
If the complaint is deemed valid, the Town Clerk, or Assistant Town Clerk, upon direction by the Commission within three days after the preliminary review, shall notify the respondent by certified mail, return receipt requested, that a complaint has been filed against him or her and the nature of the complaint.
c. 
The respondent may submit a preliminary written reply to the Commission within 15 days after the filing of the complaint and before a probable cause finding issues.
d. 
The respondent will be informed of the probable cause investigation and may be asked to attend. If the Commission decides by majority vote that the complaint lacks probable cause, it shall issue such a finding, dismissing the complaint. The finding and complaint shall remain confidential unless confidentiality is waived in writing by the respondent. A finding of no probable cause shall be final. The Commission shall direct the Town Clerk to forward copies of the finding to complainant and respondent by certified mail, return receipt requested, within three business days thereafter.
e. 
Upon a finding of probable cause, the Town Clerk, or Assistant Town Clerk, upon direction by the Commission will notify the complainant and respondent by certified mail, return receipt requested, of the finding, including a copy of the full complaint and identity of the complainant. 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.
(3) 
Hearing.
a. 
The Commission shall hold a hearing on any complaint on which it has found probable cause. The hearing will be held no sooner than 30 days from when a finding of probable cause was issued and ail parties have been notified by the Town Clerk's office by certified mail, return receipt requested. The Commission may, upon reasonable grounds, extend the date of the hearing at the request of the respondent.
b. 
When a hearing is held, the respondent shall have the opportunity to be represented by legal counsel, to present evidence, and to examine and cross-examine witnesses. For purposes of its investigation and at the hearing, the Commission is empowered to administer oaths or affirmations and may compel the attendance of witnesses by issuance of subpoenas. It may also require the production of documents, whether in hard copy or electronic format, by issuance of subpoenas for their production. The Commission shall give effect to the rules of privilege recognized by the law. The Commission may examine any witness who appears before it. The Commission may limit the number of witnesses and the scope of testimony to matters it believes relevant, material, not unduly repetitious, and necessary to reach a reasoned determination. An audio/video recording shall be made of all proceedings in the hearing.
[Ord. No. 2460, 10-20-2009]
(a) 
Following the hearing, the Commission shall issue a determination as soon as possible and file it with the Town Clerk, who shall mail copies to complainant and respondent within three business days thereafter. Deliberations may be held in executive session to the extent permitted by the Connecticut Freedom of Information Act. A determination of violation requires the affirmative vote of a majority of members present that there is clear and convincing evidence that the respondent has violated this code. Minority opinions from Commission members may be submitted.
(b) 
If a violation is found, the Commission has the authority to impose sanctions such as, but not limited to, any combination of, letter of reprimand, censure, required recusal, or a fine not to exceed $100 to the town's general fund. The Commission may also recommend to the appropriate town official or entity, that they consider additional sanctions such as injunctive relief, civil fines or removal from appointive office or employment. Any sanctions imposed under this code shall be separate from, and not in limitation of, any other actions that may be taken against the respondent in any proceedings outside of this code.
(c) 
A determination of no violation of this code shall be final.
(d) 
A determination of violation of this code shall be submitted by the Commission to the Town Clerk within 15 days for recording. The Town Clerk will then forward the determination to the appropriate town individual or entity.