[Adopted 9-14-2009 by Ord. No. 08-09[1]]
[1]
Editor's Note: This ordinance also superseded
former Art. IV, Ethics Commission; Ethics Code, adopted 12-8-2005
by Ord. No. 05-26.
This article shall be known as the "Ethics Code for the Town
of Stratford."
As used in this article, the following terms shall have the
meanings indicated:
Any sole proprietorship, partnership, firm, corporation,
trust or other entity through which business for profit or not for
profit is conducted in which the public official or state employee
or member of his immediate family is a director, officer owner, limited
or general partner, beneficiary of a trust or holder of stock constituting
5% or more of the total outstanding stock of any class; provided,
a public official or state employee, or member of his immediate family,
shall not be deemed to be associated with a not-for-profit entity
solely by virtue of the fact that the public official or state employee
or member of his immediate family is an unpaid director or officer
of the not-for-profit entity. "Officer" refers only to the president,
executive or senior vice president or treasurer of such business.
The Stratford Ethics Commission established pursuant to § 7-148
of the Connecticut General Statutes.
Any person, association, company or the Ethics Commission
who or which files a complaint pursuant to this Code.
Any information concerning the property, business or affairs
of the Town which is exempt or, if put in writing, would be exempt
from disclosure under the Freedom of Information Act.
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.
An individual employed by the Town, whether as a classified
or unclassified, permanent or temporary, full-time or part-time employee,
or employed by contract on a continuing basis and all employees of
the Board of Education.
Includes anyone whose primary residence is in the official's
or employee's home, including non-relatives who are not rent payers
or servants.
A spouse, domestic partner, children, stepchildren, parents,
stepparents, siblings and stepsiblings, and grandparents and grandchildren.
A natural person.
Any benefit accruing to a public official or employee, whether
in his or her own name or in the name of any person from which he
or she is entitled to receive any actual or potential benefit, as
a result of a matter which is or which is expected to become the subject
of an official action by or with the Town. Excluded are benefits which,
by their terms and by the substance of their provisions, confer the
opportunity and right to realize the accrual of similar benefits to
all other persons and/or property similarly situated. For the purposes
of this Code, a public official, employee, or other persons defined
herein shall be deemed to have an interest in the affairs of:
Any official or employee of the Town, whether paid or unpaid,
and includes all members of an office, board, body, advisory board,
council, board of education, commission, agency, department, district,
administration, division, bureau, committee, Board of Education or
subcommittee of the Town.
Any legislative, administrative, appointive or discretionary
act of any public official or employee of the Town, or of any agency,
board, committee or commission thereof.
An individual, sole proprietorship, trust, corporation, limited
liability company, union, association, firm, partnership, committee,
club or other organization or group of persons.
More than mere suspicion. For a finding of probable cause,
there must be facts and circumstances within the Commission members'
knowledge, and of which they have trustworthy information, sufficient
to justify the belief of a reasonable person that the respondent may
have violated this Code.
Any person to whom this Code applies, pursuant to § 5-32 against whom a complaint has been filed pursuant to this Code.
Another official or employee over whose activities an official
or employee has direction, supervision or control.
The chairman, vice chairman, treasurer or secretary (or comparable
titles) of any organized political party Town committee in the Town
of Stratford.
A.
The trust of the public is essential for government to function effectively.
In order to establish this trust and integrity of our local government,
this Ethics Code is established to promote the best interests of the
Town of Stratford.
B.
The purpose of this Ethics Code is:
(1)
To establish standards of ethical conduct, specifically those dealing
with conflicts between personal interests and those of the Town, for
Town officials and employees;
(2)
To provide clear guidance with respect to such standards by clarifying
those acts which are allowed and those which are not;
(3)
To promote public confidence in the integrity of the Town's governance
and administration;
(4)
To provide for the consideration of potential ethical problems before
they arise, to minimize unwarranted suspicion and to enhance the accountability
of the Town's government to Town residents; and to provide for the
fair and effective administration and enforcement of this Code.
C.
This Code is enacted pursuant to § 7-148h of the Connecticut
General Statutes and is not intended to authorize any conduct prohibited
by that section.
This Code shall apply to all full-time or part-time elected
or appointed public officials and Town employees whether compensated
or not, including those on boards, commissions, committees, or other
entities appointed or created by the Town of Stratford.
A.
Conflict
of interest.
(1)
A public official or employee shall not use his or her official position
or office in a manner which they know or have reason to believe may
result in financial benefit not shared with a substantial segment
of the Town's population.
(2)
Incompatible employment. No public official or employee shall accept
other employment which will either impair his or her independence
of judgment as to his or her official duties or employment or require
him or her or induce him or her to disclose confidential information
acquired by him or her in the course of and by reason of his or her
official duties.
(3)
Nepotism.
(a)
No public official or employee shall appoint or hire an immediate
family member or a related family member or member of his or her household
for any type of employment with the Town.
(b)
No public official or employee may supervise or be in direct
line of supervision over his or her immediate family.
(c)
Immediate family members of the Mayor, the Chief Administrative
Officer, any member of the Town Council, any member of the Human Resources
Department, any member of the Board of Education Central Administration
Office and the elected Board of Education Members' position bodies
may not be hired by the Town.
(4)
Confidential information.
(a)
No public official or employee shall willfully and knowingly
disclose confidential information to advance:
(b)
No public official or employee shall use his or her position
or any confidential information received through his or her position
to obtain financial gain for himself or herself, immediate family,
or a business with which he or she is associated.
B.
Quid
pro quo.
(1)
No person shall offer to give a public official or employee, or his
or her household, or domestic partner, immediate family or a business
with which he or she is associated, anything of value, including but
not limited to a gift, loan, political contribution, reward or promise
of future employment, based on any understanding that a vote, official
action or judgment of the public official or employee or candidate
for public office would be or had been influenced thereby.
(2)
No public official or employee shall solicit or accept anything of
value, including but not limited to a gift, loan, political contribution,
reward or promise of future employment based on any understanding
that a vote, official action or judgment of the public official or
employee would be or had been influenced thereby.
C.
Gifts.
(1)
What to do when receiving a gift:
(a)
Turnover of gifts. If it is impossible or inappropriate (e.g.,
culture appropriate) to refuse a gift or offering, the recipient shall
inform the Town Clerk for determination and donation.
(2)
Courtesies. Courtesies that are associated and directly related with
the daily business routine of public officials and employee department
heads are allowed when they are present in their official capacity
and related to Town business.
D.
Use
of Town resources. No public official or employee shall request or
permit himself or herself or others the use of Town-owned or leased
vehicles, equipment, materials or property for personal use, business
or profit, except when such services are available to the public generally
or permitted by agreement of the Town and are provided in conformance
with established Town policies for the use of such official, employee
or other persons defined herein in the conduct of Town business.
E.
Preferential
treatment. Public officials and employees shall not offer or render
preferential treatment to others in regard to Town contracts on the
basis of such factors as family ties, financial interest, or other
personal interests.
F.
Prohibition against contingent fees; exception for retention of counsel
in accordance with the Rules of Professional Responsibility of the
Connecticut Bar Association.
(1)
Contingent fees: Public officials and employee department heads shall
not retain a person to solicit or secure a contract with the Town
upon an agreement or understanding for a commission, percentage, brokerage,
or contingent fee. It shall be a violation of this Code for a person
to be retained, or to retain a person, to solicit or secure a contract
with the Town upon an agreement or understanding for a commission,
percentage, brokerage, or contingent fee. This provision shall not
apply to full-time employees who, as a condition of their employment
may be entitled to bonuses or other fees in accordance with their
employment relationship.
(2)
Notwithstanding the foregoing, the Town Attorney may retain counsel
for purposes of representing the interests of the Town on the basis
of contingency fees in accordance with the Rules of Professional Responsibility
of the Connecticut Bar Association and the Town may retain State Marshals
or Constables acting pursuant to the General Statutes.
G.
Disclosure of actual or potential conflict of interest; disqualification.
(1)
Upon discovery of an actual or potential conflict of interest, a
public official or employee shall state on the record, disclose the
conflict and thereafter abstain from voting or otherwise participating
in any further proceedings on such issue. The public official or employee
may, at the same time, apply to the Ethics Commission, for an advisory
opinion as to what further participation, if any, he or she may have
in the transaction.
(2)
Recusal.
(b)
A public official or employee must refrain from acting or discussing,
formally or informally, a matter involving a person who appointed
or recommended him or her for that position, if he or she is aware
of such appointment or recommendation.
(c)
If a board or agency member is requested to recuse himself or
herself with respect to a matter, for the reason that he or she has
a conflict of interest, by another member, a party to the current
matter, or a member of the public who may be affected by the decision
relating to this matter, this member must decide whether to recuse
himself of herself.
(d)
If the member decides not to recuse himself or herself, the
unchallenged members must consider any relevant evidence concerning
such claimed conflict of interest, as defined in this Code, and vote
whether or not to allow the request and require that the member refrain
from participating in the matter.
H.
Political solicitation. A public official or employee shall not knowingly
request, require or authorize anyone else to request, that any subordinate
participate in an election campaign or make a political contribution.
Nor may he or she engage in any political activity while on duty for
the Town, with the use of Town funds, supplies, vehicles, or facilities,
or during any period of time during which he or she is normally expected
to perform services for the Town, for which compensation is paid.
I.
Patronage. No public official or employee shall promise an appointment
or the use of his or her influence to obtain an appointment to any
position as reward for any political activity or contribution.
J.
Duty of disclosure. All public officials and employees who have knowledge
of violations of any provisions in this Code are to report those violations
to the Ethics Commission with the exception of those individuals who
are governed by recognized professional privilege. It shall be a violation
of this Code for a person to falsely and maliciously charge, as found
in the sole discretion of the Ethics Commission, another with violations
of this Code.
The Town Clerk must maintain on file for public inspection:
A.
There
is hereby established an Ethics Commission consisting of five members
and three alternates to be appointed according to the Town Charter.
The Town Council will seek applications from the general public through
newspaper postings, web postings, the Mayor, and through church and
civic groups. Any registered elector may apply for consideration of
appointment.
(1)
Members of the Commission and alternates shall serve four -year terms,
except that members first appointed shall have the following terms:
one member for one year, one member for two years, one member for
three years, two members for four years. Thereafter, members and alternates
shall be appointed annually upon term expiration and/or resignation
to serve four years. If a member of said Commission is absent or has
a conflict of interest, the Chairman of the Commission shall designate
an alternate to act in his or her place, choosing alternates in rotation
so that they shall act as nearly equal a number of times as possible.
If any alternate is not available in accordance with such rotation,
such fact shall be recorded in the minutes of the meeting.
(2)
Vacancies of Commission members will be filled for the unexpired
term in the same manner as the original appointment.
(3)
Alternates should be considered in filling appointments for Commissioner
as vacancies arise;
(4)
The Commission shall elect annually (October meeting) a Chairperson,
a Vice Chairperson, and a Recording Secretary from its own number.
(5)
No individual shall be appointed to more than two four-year terms
as a member of such Commission, provided that members and alternates
shall continue in office until successors are duly appointed and qualified.
Former members and alternates may reapply for membership on the Commission
two years after expiration of term and/or resignation.
(6)
An individual selected to fill a vacancy shall be eligible for appointment
to one full four - year term thereafter. In the event of resignation
or vacancy, the Mayor will nominate a replacement within 30 days.
Any vacancy occurring on the Commission shall be filled within 60
days.
(7)
All members and alternates shall serve without compensation.
(8)
No more than two members and one alternate shall be of the same political
party.
(9)
Alternates shall take part in the same manner as a Commissioner,
providing five Commissioners are not present or will not vote.
(10)
A Commission member or alternate member may only be removed for cause
by a two-thirds vote of the Town Council and the concurment of the
Mayor.
(11)
The unexcused absence of any member from three consecutive meetings,
unless the Ethics Commission has excused the absence for good and
sufficient reason, shall constitute a resignation, which must be accepted
by the Town Council.
(12)
The Ethics Commission will participate in the vetting process of
Commission appointments by interviewing potential candidates to discuss
the involvement and commitment of being a Commission member and making
recommendations to the appointing person/body.
B.
All
members shall be electors of the Town of Stratford. No member or employee
of the Ethics Commission shall hold, or campaign for any public office,
have held or have been a candidate for a seat on the Stratford Town
Council or for office of the Mayor for a two-year period prior to
his or her appointment to the Commission, or hold executive office
in any political party. No member should be employed by the Town.
(1)
Any member or employee of the Commission shall have an unrestricted
right to vote and attend political events, but no member or employee
of the Commission shall publicly support, or contribute to any candidate
for municipal office or attend a political fundraising event which
is subject to the Commission's jurisdiction. For the purposes of this
Code, a member or employee is deemed to "publicly support" a candidate
if that member or employee formally endorses a candidate, volunteers
as a campaign worker for a candidate, gives a speech supporting the
candidacy of a candidate, or takes any other overt or public action
intended to convey a message of support to members of the general
public for the candidacy of a candidate.
C.
The Chairperson will preside at meetings of the Commission, and a Vice Chairperson will preside in the absence of the Chairperson. Three members of the Commission shall constitute a quorum. Except as provided in § 5-32C, a majority vote of the quorum shall be required for action of the Commission. The Chairperson or any three members may call a meeting.
D.
The
Ethics Commission may employ necessary staff, including outside counsel
through the Office of the Town Attorney as it deems necessary within
available appropriations.
The Commission shall have all duties provided within this Code
and shall have the authority to recommend action to the Town Council,
the Mayor and the Board of Education. Additionally, the Commission
shall:
A.
Preserve memoranda, statements and reports with the Town Clerk;
B.
Provide advisory opinions. The Ethics Commission provides advisory
opinions of ethical questions and interpretations of this Code under
the following conditions:
(2)
Advisory opinions will be provided based on information presented
at the scheduled meeting.
(3)
Advisory opinions will be nonbinding on the person making the request,
Ethics Commission, and the Town, if information supplied was inaccurate
or incomplete at the time the decision was made.
(4)
Advisory opinions may be requested by any public official, employee
or citizen of the Town of Stratford.
C.
Provide training of this Code to public officials and employees;
D.
Investigate complaints, conduct investigations and hearings, and
recommend disciplinary action.
E.
Advisory opinions may also be directed to the Town Attorney for interpretation
of this Code.
A.
Filing a complaint:
(1)
The complainant will complete the complaint form prescribed by the
Ethics Commission (available on the Town of Stratford's website at
the Stratford Library, and at the Town Clerk's Office), signed under
penalty of false statement, and submitted with relevant documentation
to the Town Clerk. The complaint will name the respondent who is alleged
to have violated this Code.
(2)
The Town Clerk, upon receipt of complaint, will immediately notify
the Commission Chairperson.
(3)
The Commission may initiate its own complaint by a vote of a majority
of its members present and voting at a meeting at which a quorum is
present.
(4)
No complaint may be made under this Code except within four years
after the violation alleged in the complaint has been committed.
(5)
The Ethics Commission will negate any complaint filed with the Commission
if the complainant(s) disclose information about the complaint and/or
respondent (person accused of violation) during the confidentiality
phase of the investigation period through the media or other individuals
that results in public knowledge of complaint filing.
B.
Determination phase:
(1)
Within 20 business days of receiving a complaint, the Commission
shall determine whether the allegations in the complaint, if true,
would constitute a violation of the Code. A simple majority of the
Commission decides whether to proceed with the complaint.
(2)
Meetings of the Commission held for the purpose of making such determinations
shall be exempt from the provisions of the Freedom of Information
Act to the extent set forth in Subsections (a)-(e) inclusive of § 1-82a
of the Connecticut General Statutes.
C.
Probable cause investigation:
(1)
The purpose of a probable cause investigation is to determine whether
there is probable cause to believe the respondent may be in violation
of any provision of this Code and, therefore, that further investigation
is warranted. A finding of probable cause requires the concurring
votes of three Commission members.
(2)
The probable cause investigation will proceed in a reasonable time
frame.
(3)
Meetings of the Commission held for the purpose of making such determinations
shall be exempt from the provisions of the Freedom of Information
Act to the extent set forth in subsections (a)-(e) of § 1-82a
of the Connecticut General Statutes.
(4)
In the conduct of its investigations, the Commission shall have the
power to hold hearings, administer oaths, examine witnesses, receive
oral and documentary evidence, subpoena witnesses, compel attendance
before the Commission and require the production of any books, papers,
and electronic communication which the Commission deems relevant in
any matter under investigation or in question.
(5)
In the exercise of such powers, the Commission may use the services
of the local police, who shall provide the same upon the Commission's
request.
(6)
Any witness summoned before the Commission shall receive the witness
fee paid in the courts of this state.
(7)
During the investigation, the respondent shall have the right to
appear and be heard and to offer information. The respondent shall
also have the right to be represented by legal counsel and to examine
and cross-examine witnesses.
(8)
The Commission will notify both the complainant and respondent of
findings within three business days thereafter and provide them with
a summary of its reasons for making that finding.
D.
Public hearing:
(1)
If the Commission makes a finding of probable cause, the Commission
shall initiate a public hearing to determine whether there has been
a violation of this Code;
(2)
The Chairperson of the Commission shall preside over such hearing;
(3)
Legal counsel to the Commission shall rule on all matters concerning
the application of the rules of evidence, which rules shall be as
set forth in the Administrative Procedure Act, § 4-178,
of the Connecticut General Statutes;
(5)
The respondent shall have the right to be represented by legal counsel,
to present evidence; to compel attendance of witnesses and the production
of books, documents, electronic communication, records and papers
and to examine and cross-examine witnesses;
(6)
The Commission shall make a record of all proceedings pursuant to
this subsection;
(7)
The Commission shall find no person in violation of any provision
of this Code except upon the concurring vote of four of its members;
(8)
If the Commission finds, after a hearing pursuant to this section,
or if a court of competent jurisdiction overturns a Commission finding
of a violation by such a respondent, the Town shall pay the reasonable
legal expenses of the respondent as determined by the Town Attorney,
or by the court, if appropriate.
A.
If the Commission makes a finding of probable cause of a violation
of this Code, it shall make public the complaint and the record of
all proceedings, including the Commission's.
B.
No later than three business days after the termination of the investigation,
the Commission shall inform the complainant and the respondent of
its finding and provide them with a summary of its reasons for making
that finding. The Commission shall publish its findings upon the respondent's
request and may also publish a summary of its reasons for making such
a finding.
C.
If the Commission makes a finding of no probable cause, the complaint
and the record of its investigation shall remain confidential, except
upon the request of the respondent. No complainant, respondent, witness,
designated party, or board staff member shall disclose to any third
party any information learned from the investigation, including knowledge
of the existence of a complaint, which the disclosing party would
not otherwise have known. If such a disclosure is made, the Commission
may, after consultation with the respondent if the respondent is not
the source of any disclosure, publish its findings and a summary of
its reasons therefor.
D.
The Commission shall make public a finding of probable cause not
later than five business days after the termination of the investigation.
At such time, the entire record of the investigation shall become
public.
E.
Not later than 15 business days after the public hearing conducted in accordance with § 5-32D hereof to determine whether there has been a violation of this Code, the Commission shall publish its finding and a memorandum of its reasons therefor and shall transmit, along with any recommendations, to the Stratford Town Council and the Mayor.
All deliberations of the Commission shall remain confidential,
and no Commission member or alternate member may disclose the deliberations
of the Commission to any party, the media, and to members of the public.
All hearings of the Ethics Commission shall be conducted in
Town Hall, except as otherwise scheduled with proper notification.
Any person aggrieved by any final decision of the Commission
made pursuant to this Code may appeal such decision in accordance
with the provisions of Connecticut General Statutes, § 4-183.
A.
Recommendations from the Ethics Commission to the Mayor, the Town
Council, or the Board of Education may include:
(1)
Removal, termination, suspension with or without pay, and/or censure.
The authority affected will report within 30 days to the Commission
the action taken or lack of action and the reasons therefor;
(2)
Restitution of any pecuniary benefits received because of the violation
committed;
(3)
A fine which may be the maximum amount allowed by the Connecticut
General Statutes;
(4)
Referral to the State Attorney General for prosecution under the
Penal Code of the State of Connecticut, if applicable.
B.
Civil actions. The Town may recover in a civil action from any person
found by the Ethics Commission to have violated this article a sum
equal to any pecuniary benefits received as a result of the violation,
together with costs of collection, interest fees, and attorney's fees
expended by the Town.
Should any provision of this Code of Ethics conflict with any
provisions of federal law or the Connecticut General Statutes, the
provisions of the federal law or the Connecticut General Statutes
shall prevail.
The Town Clerk shall cause a copy of this Code to be distributed
to every public official and employee with the Town within 60 days
after enactment of this Code. Each public official and employee shall
be furnished a copy before entering upon the duties of his/her office
or employment. A signed acknowledgement statement shall be returned
to the Town Clerk.