[HISTORY: Adopted by the Towns Council of the Town of Georgetown 8-22-2007 by Ord. No.
2007-14;[1] amended in its entirety 3-25-2009 by Ord. No. 2009-6.
Subsequent amendments noted where applicable.]
[1]
Editor's Note: This ordinance was originally adopted
as Ch. 3, but was renumbered to maintain the alphabetical organization
of the Code.
A.
Applicability.
This article shall be applicable to all elected and appointed officials
and all employees of the Town.
B.
Statement
of policy. The proper operation of democratic government requires
that public officials and employees be independent, impartial, and
responsible to the people; that governmental decisions and policies
are made in the proper channels of the governmental structure; that
public office not be used for personal gain; and that the public has
confidence in the integrity of its government. In recognition of these
goals, there is hereby established a code of conduct for all Town
employees and officials. The purpose of this code of conduct is to
establish ethical standards of conduct for all such officials and
employees by setting forth those acts or actions that are incompatible
with the best interests of the Town and by directing disclosure by
such officials and employees of private financial or other interests
in matters affecting the Town. The Town Council finds and declares
as matters of public policy goals and objectives for all elected and
appointed officials and all employees of the Town, the following:
(1)
Public trust. In our democratic form of government, the conduct of
officials and employees of the Town must hold the respect and confidence
of the people. They must, therefore, avoid conduct which is in violation
of their public trust or which creates a justifiable impression among
the public that such trust is being violated.
(2)
Standards. To ensure propriety and to preserve public confidence,
officials and employees of the Town must have the benefit of specific
standards to guide their conduct and disciplinary mechanisms to guarantee
uniform maintenance of those standards. Some standards of this type
are so vital to government that violation thereof should subject the
violator to civil penalties.
(3)
Public service. In our democratic form of government, it is both
necessary and desirable that all citizens should be encouraged to
assume public office and employment, and that, therefore, the activities
of officers and employees of the Town should not be unduly circumscribed.
(4)
Performance of duty.
(a)
Elected Town officials are obligated to uphold the fundamental
legal principles of our system of government, as set forth in the
United States Constitution, the State Constitution, and the Town Charter,
as well as all applicable provisions of federal, state and local law
and court decisions. They are bound to do so, and the failure to so
act shall constitute malfeasance in office.
(b)
All officials and employees of the Town should be loyal to the
objectives expressed by the electorate and the programs developed
to attain those objectives. Appointive officials and employees should
adhere to the rules of work and performance established as the standard
for their positions by appropriate authority.
(c)
Officials and employees should not exceed their authority or
breach the law or ask others to do so, and they should work in full
cooperation with other public officials and employees unless prohibited
from doing so by law or by officially recognized confidentiality of
their work.
(5)
Fairness. Town officials and employees shall strive for the highest
standard of fairness in all of their activities and shall not grant
any special consideration, treatment, or advantage to any citizen
beyond that which is available to every other citizen.
(6)
Use of private information. In the course of their official responsibilities,
Town officials and employees are often privy to categories of information
which are of a private nature and are legally protected from public
disclosure. Town officials and employees shall maintain the privacy
of such information, and they shall not take advantage of such information
for personal gain, or the personal gain of friends or family.
A.
CLOSE RELATIVE
COMMISSION and ETHICS COMMISSION
COMPENSATION
EMPLOYEE
FINANCIAL INTEREST
(1)
(2)
(3)
MATTER
OFFICIAL
OFFICIAL RESPONSIBILITY
PERSONAL OR PRIVATE INTEREST
PRIVATE ENTERPRISE
The
following words, terms and phrases, when used in this article, shall
have the meanings ascribed to them in this section, except where the
context clearly indicates a different meaning:
A person's parents, spouse, children (natural or step
or adopted), and siblings of the whole and half-blood.
The Town Ethics Commission as established by this article.
Any money, thing of value, or any other economic benefit
of any kind or nature whatsoever conferred on or received by any person
in return for services rendered or to be rendered by the official
or employee, or by another.
Includes all persons who receive compensation as an employee
of the Town or a Town department, and shall not include persons that
are elected or appointed to serve as Mayor, Town Councilmember or
a member of any Town committee, commission or board, whether paid
or unpaid.
A person has financial interest in a private enterprise if:
He/she has a legal or equitable ownership interest in the enterprise
of more than 10% (1% or more in the case of a corporation, the stock
of which is regularly traded on an established securities market);
He/she is associated with the enterprise and received from the
enterprise during the last calendar year, or might reasonably be expected
to receive from the enterprise during the current or the next calendar
year, income in excess of $5,000 for services as an employee, officer,
director, trustee, or independent contractor; or
He/she is a creditor of a private enterprise in an amount equal
to 10% or more of the debt of that enterprise (1% or more in the case
of a corporation, the securities of which are regularly traded on
an established securities market).
An application, petition, request, business dealing, contract,
subcontract, or any other transaction of any sort with the Town.
Any elected or appointed official of the Town and all members
of any committee, commission or board appointed by the Mayor of the
Town or appointed by the Town Council.
Any direct administrative or operating authority at any level,
either exercisable alone or with others, either personally or through
subordinates, to approve, disapprove, recommend or otherwise direct
action on behalf of the Town.
An interest in a matter which tends to impair the independent
judgment of an official or employee in the performance of his/her
duties with respect to that matter.
Any activity conducted by any person, whether conducted for
profit or not for profit, and includes the ownership of real or personal
property. The term "private enterprise" does not include any activity
of the Town, of any political subdivision, or of any agency, authority,
or instrumentality thereof.
B.
Gender.
Words importing the masculine gender shall include the feminine and
neuter.
A.
Restrictions
on exercise of official authority.
(1)
Prohibited participation. No Town official or employee may participate
on behalf of the Town in the review or disposition of any matter pending
before the Town in which he/she has a personal or private interest,
provided that, upon request from any person with official responsibility
with respect to the matter, any such person who has such a personal
or private interest may nevertheless respond to questions concerning
any such matter. A personal or private interest in a matter is an
interest which tends to impair a person's independence of judgment
in the performance of his/her duties with respect to that matter.
(2)
Impairment of judgment. A person has an interest which tends to impair
his/her independence of judgment in the performance of his/her duties
with respect to any matter when:
(a)
Any action or inaction with respect to the matter would result
in a financial benefit or detriment to accrue to the person or a close
relative to a greater extent than such benefit or detriment would
accrue to others who are members of the same class or group of persons;
or
(b)
The person or a close relative has a financial interest in a
private enterprise which enterprise or interest would be affected
by any action or inaction on a matter to a lesser or greater extent
than like enterprises or other interests in the same enterprise.
(3)
Statutory responsibility. In any case where a person has a statutory
responsibility with respect to action or inaction on any matter where
he/she has a personal or private interest and there is no provision
for the delegation of such responsibility to another person, the person
may exercise responsibility with respect to such matter, provided
that, promptly after becoming aware of such conflict of interest,
he/she files a written statement with the Ethics Commission, fully
disclosing the personal or private interest and explaining why it
is not possible to delegate responsibility for the matter to another
person.
B.
Restrictions
on representing another's interest before the Town.
(1)
Prohibited. No Town official or employee may represent or otherwise
assist any private enterprise with respect to any matter before the
Town.
C.
Restriction
on contracting with the Town.
(1)
Prohibited. No Town official or employee shall benefit from any contract
with the Town, nor solicit any contract, and shall not enter into
any contract with the Town (other than an employment contract).
(2)
Ownership of enterprise. No private enterprise in which a Town official
or employee has a legal or equitable ownership of more than 10% (more
than 1% in the case of a corporation, the stock of which is regularly
traded on an established securities market) shall enter into any contract
with the Town (other than an employment contract) unless such contract
was made or let after public notice and competitive bidding.
D.
Post
employment restrictions. No person who has served as a Town official
or employee shall represent or otherwise assist any private enterprise
on any matter involving the Town, for a period of two years after
termination of his/her elected or appointed status or employment with
the Town, if he/she gave an opinion, conducted an investigation or
otherwise was directly and materially responsible for such matter
in the course of his/her official duties as a Town employee or official,
nor shall any former Town official or employee disclose confidential
information gained by reason of his/her public position, nor shall
he/she otherwise use such information for personal gain or benefit.
F.
Abuse
of office.
(1)
Political contributions. No elected Town official shall agree to
sponsor legislation, or to influence in any manner the formulation
or passage of legislation, in exchange for political contributions
or promises thereof.
(2)
Substantial interest. No elected Town official shall vote for, or
promote in any manner whatsoever, legislation affecting any subject
matter in which he/she has a substantial interest. Any such interest
shall be disclosed by said elected official prior to a vote on any
such legislation, and said elected official shall vote "abstain" when
called upon to vote.
(3)
Use of Town property. No Town official or employee shall request
or permit the use of Town-owned vehicles, equipment, materials, or
property for personal convenience or profit, except when such services
are available to the public generally or are provided for the use
of such official or employee in the conduct of official business as
a matter of Town policy.
(4)
Personal gain. No Town official or employee shall utilize the influence
of his/her office or position for personal pecuniary gain, or to avoid
the legal consequences of his/her personal conduct.
G.
Civil
penalties. Any person who knowingly or willfully violates any provision
of this section shall be punishable for each such violation by a civil
penalty not to exceed $1,000.
H.
Contracts
void able by court action. In addition to any other penalty provided
by law, any contract entered into by the Town in violation of this
chapter shall be voidable by the Town Council, provided that in determining
whether any court action should be taken to void such a contract pursuant
to this subsection, the Town Council shall consider the interests
of innocent third parties who may be damaged thereby. Any court action
to void any transaction must be initiated within 30 days after the
Town Council has or should have knowledge of such violation.
A.
Appearance of violation. Each Town official and employee shall endeavor
to pursue a course of conduct which will not raise suspicion among
the public that he/she is engaging in acts which are in violation
of his/her public trust and which will not reflect unfavorably upon
the Town and its government.
B.
Private interest; gifts. No Town official or employee shall have
any interest in any private enterprise, nor shall he/she incur any
obligation of any nature which is in substantial conflict with the
proper performance of his/her duties in the public interest. No Town
official or employee shall accept other employment, any compensation,
gift, payment of expenses or any other thing of monetary value under
circumstances in which such acceptance may result in any of the following:
(1)
Impairment of independence of judgment in the exercise of official
duties;
(2)
An undertaking to give preferential treatment to any person;
(3)
The making of a governmental decision outside official channels;
or
(4)
Any adverse effect on the confidence of the public in the integrity
of the government of the Town.
C.
Interest in private enterprise. No Town official or employee shall
acquire a financial interest in any private enterprise which he/she
has reason to believe may be directly involved in decisions to be
made by him/her in an official capacity on behalf of the Town.
D.
Disclosure statement. Any Town official or employee who has a financial
interest in any private enterprise which is subject to the regulatory
jurisdiction of or does business with any Town department (and any
Town official who has a financial interest in any private enterprise
which is subject to the regulatory jurisdiction of or does business
with the Town department on which he/she serves as an appointee) shall
file with the Ethics Commission a written statement fully disclosing
the same. Such disclosure shall be confidential and the Ethics Commission
shall not release such disclosed information, except as may be necessary
for the enforcement of this article. The filing of such disclosure
statement shall be a condition of commencing and continuing employment
or appointed status with the Town.
E.
Private gain. No Town official or employee shall use his/her public
office to secure unwarranted privileges, private advancement or gain.
F.
Confidential information; prohibited activity. No Town official or
employee shall engage in any activity beyond the scope of his/her
public position which might reasonably be expected to require or induce
him/her to disclose confidential information acquired by him/her by
reason of his/her public position.
G.
Disclosure of information. No Town official or employee shall, beyond
the scope of his/her public position, disclose confidential information
gained by reason of his/her public position, nor shall be/she otherwise
use such information for personal gain or benefit.
H.
Sexual favors. No Town official or employee, in the course of his/her
public responsibilities, shall use the granting of sexual favors as
a condition, either explicit or implicit, for an individual's
favorable treatment by that person or a Town department.
A.
Authority of Ethics Commission. Notwithstanding the provisions of §§ 18-3 and 18-4, upon the written request of any Town department or of any individual who is or was a Town employee or Town official, the Ethics Commission may grant a waiver to the specific prohibitions contained therein if the Ethics Commission determines that the literal application of such prohibition in a particular case is not necessary to achieve the public purposes of this chapter or would result in an undue hardship on any employee or official. Any such waiver may be granted only by written decision of the Ethics Commission. Any person who acts in good faith reliance upon any such waiver decision shall not be subject to discipline or other sanction hereunder with respect to the matters covered by the waiver decision, provided there was a full disclosure to the Ethics Commission of all material facts necessary for the waiver decision.
B.
Waiver information confidential; exceptions. Any application for
a waiver, any proceeding and any decision with respect thereto shall
be maintained confidential by the Ethics Commission, provided that:
(1)
Applicant's request. Public disclosure shall be made by the
Ethics Commission upon the written request of the applicant;
(2)
Violations. The Ethics Commission may make such public disclosure
as it determines is required in connection with the prosecution of
any violation of this chapter;
(3)
Evidence of crime. The Ethics Commission shall report to appropriate
federal, state and/or Town authorities substantial evidence of any
criminal violation which may come to its attention; and
(4)
Public record. In the event that a waiver is granted, the waiver
decision and the record of all proceedings relating thereto shall
be open to public inspection.
C.
Advisory opinion authorized. Upon the written request of any Town
official or employee, the Ethics Commission may issue an advisory
opinion as to the applicability of this chapter to any particular
fact or situation. Any person who acts in good faith reliance upon
any such advisory opinion shall not be subject to discipline or other
sanction hereunder with respect to the matters covered by the advisory
opinion, provided there was a full disclosure to the Ethics Commission
of all material facts necessary for the advisory opinion.
D.
Advisory opinion confidential; exceptions. Any application for an
advisory opinion, any proceeding and any decision with respect thereto
shall be maintained confidential by the Ethics Commission, provided
that:
(1)
Applicant's request. Public disclosure shall be made by the
Ethics Commission upon the written request of the applicant;
(2)
Violations. The Ethics Commission may make such public disclosure
as it determines is required in connection with the prosecution of
any violation of this article; and
(3)
Evidence of crime. The Ethics Commission shall report to appropriate
federal, state and/or Town authorities substantial evidence of any
criminal violation which may come to its attention.
A.
Established; composition; removal. The Town Ethics Commission is
hereby established to administer and implement this chapter. The Ethics
Commission shall consist of five members appointed by the Mayor and
confirmed by the Town Council. No member of the Commission shall hold
any elected or appointed office under the government of the United
States or the state, county, or Town, or be a candidate for any such
office. Members of the Ethics Commission may be removed by the Mayor,
with the concurrence of the Town Council, for substantial neglect
of duty, gross misconduct in office or a violation of this chapter.
B.
Terms of office; vacancies. A member of the Ethics Commission shall
be appointed for a term of office of five years. The members shall
be appointed for staggered terms of office and shall continue to serve
until their successors have been appointed. When a vacancy occurs
in the membership of the Ethics Commission, it shall be filled by
appointment for the unexpired portion of the term in the same manner
as the original appointment.
C.
Chairperson; quorum. The Ethics Commission shall elect a Chairperson
from among its membership. Three members of the Ethics Commission
shall constitute a quorum, and, if a quorum is present, a vacancy
on the Ethics Commission shall not impair the right of the remaining
members to exercise all the powers of the Ethics Commission. Disciplinary
hearings may be conducted and sanctions may be imposed only by the
affirmative action of at least three members; otherwise, the Ethics
Commission may delegate authority to the Chairperson to act for the
Ethics Commission between meetings.
D.
Compensation. Members of the Ethics Commission shall receive no compensation.
E.
Legal counsel. The Town Solicitor shall provide legal counsel to
the Ethics Commission and shall be the legal representative of the
Ethics Commission in connection with its duties hereunder, on a case-by-case
basis, or determine that outside counsel is needed and obtain such
outside counsel for a particular matter.
The powers and duties of the Ethics Commission shall be:
A.
Rules of conduct: to recommend to the Mayor and Council, from time
to time, such rules of conduct for public employees and officials
as it shall deem appropriate.
B.
Advisory opinions: to issue written advisory opinions, upon the request
of any Town employee or official as to the applicability of this article
to any particular factual situation.
C.
Referrals to Solicitor: to refer to the Town Solicitor for investigation any alleged violation of this article and, after notice and hearing, to recommend such disciplinary action as it may deem appropriate to such appropriate official or department as the Ethics Commission shall determine, or to take such other disciplinary action as authorized by section § 18-8D or other provisions of the Town Charter or this Code. The Ethics Commission may dismiss, without reference to the Town Solicitor, any complaint which the Ethics Commission determines is frivolous or fails to state a violation.
D.
Report of crimes: to report to the appropriate federal, state or
Town authorities any substantial evidence of a violation of any criminal
law which may come to its attention in connection with any proceeding,
whether advisory or disciplinary.
F.
Procedures: to make, adopt, and publish rules of procedure in accordance with section § 18-8 which may, from time to time, be amended by action of the Commission.
G.
Witnesses, evidence: to subpoena witnesses, compel their attendance
and testimony, administer oaths and affirmations, take evidence and
require, by subpoena, the production of books, papers, records or
other evidence needed for the performance of the Ethics Commission's
duties or exercise of its powers.
H.
Assistance to Town personnel: to provide assistance to any Town employee,
official or department in administering the provisions of this article.
I.
Provide information: to prepare any necessary reports and studies
to advance the purpose of this article, to provide any necessary materials
explaining the duties of individuals covered by this article, and
to supply instructions and public information materials to facilitate
compliance with and enforcement of this article.
J.
Request Town departments for assistance: to request appropriate Town
departments to provide such professional assistance as it may require
in the discharge of its duties.
A.
Investigation of violations. Upon the sworn complaint of any person or on its own initiative, the Ethics Commission may refer to the Town Solicitor for investigation, any alleged violation of the conflict of interest provisions and of the code of conduct provisions in §§ 18-3 and 18-4, respectively. The Town Solicitor shall be the prosecuting attorney in all disciplinary proceedings before the Ethics Commission. In any such investigation or proceeding, a defendant shall be given an opportunity to be heard after notice, to be advised and assisted by legal counsel, to produce witnesses and offer evidence, and to cross-examine witnesses. A transcript of any such proceeding shall be made and retained, subject to the confidentiality requirements of this chapter.
B.
Proceeding relating to member. A member of the Ethics Commission
shall be ineligible to participate, as a member of the Ethics Commission,
in any Ethics Commission proceeding relating to his/her conduct. A
member of the Ethics Commission who has been found by the Ethics Commission
to have violated this chapter shall be ineligible to serve again as
a member of the Ethics Commission.
C.
Self-disqualification. A member of the Ethics Commission may disqualify
himself/herself from participating in any investigation of the conduct
of any person upon submission, in writing and under oath, of an affidavit
or disqualification stating that he/she cannot render an impartial
and unbiased decision in the case in which he/she seeks to disqualify
himself/herself.
D.
Effect of violations of the code of conduct. Violation of any provision
of the code of conduct should raise questions of conscience for the
Council member or other official or employee concerned as to whether
voluntary resignation or other action is indicated to promote the
best interest of the Town. With respect to any violation with which
a person has been charged and which the Ethics Commission has determined
as proved, the violation may constitute a cause to take any one or
more of the following actions:
(1)
Reprimand: issue a written reprimand or censure of that person's
conduct.
(2)
Discipline: with respect to a Town employee, remove, suspend, demote
or take other appropriate disciplinary action with respect to that
person, without regard to any limits imposed by this chapter, but
within the limits of the Constitution, the laws of the state, the
Charter of the Town, and ordinances and existing collective bargaining
agreements.
(3)
Recommend removal: with respect to an appointed official, recommend
that appropriate action be taken to remove the official from the appointed
position.
(4)
Recommend civil penalty: with respect to an elected Town official,
recommend a civil penalty not to exceed $1,000.
E.
Rights of person charged. In any proceeding before the Ethics Commission,
upon the request of any person charged with a violation of this chapter,
such person shall be permitted to inspect, copy or photograph books,
papers, documents, photographs or other tangible objects which will
be used as evidence against that person in a disciplinary hearing
and which are material to the preparation of his/her defense.
F.
Exculpatory information: in any proceeding before the Ethics Commission,
if the Town Solicitor or Ethics Commission at any time receives any
exculpatory information concerning an alleged violation against any
person, it shall forthwith make such information available to such
person.
G.
Subpoenas. Any person charged with a violation of this chapter may
apply to the Ethics Commission for the issuance of subpoenas for the
appearance of witnesses and for the production of documents on his/her
behalf. The application shall be granted upon a concise showing by
such person that the proposed testimony or evidence is relevant (or
is reasonably calculated to lead to the discovery of relevant evidence)
and is not otherwise available. The application shall be denied if
not made at a reasonable time or if the testimony or evidence would
be merely cumulative.
H.
Confidentiality of proceedings.
(1)
Town employee. All proceedings before the Ethics Commission relating
to a violation of this chapter by a Town employee shall be maintained
confidential by the Ethics Commission, unless:
(2)
Town official. All proceedings before the Ethics Commission relating
to a violation of this chapter by a Town official, appointed or elected,
shall be maintained confidential by the Ethics Commission, unless:
(3)
Appeals; public inspection. Notwithstanding the confidentiality requirements of Subsections H(1) and (2) of this section, the Ethics Commission shall make available for public inspection the record of all proceedings relating to any decision of the Ethics Commission which is appealed to the Superior Court and the Ethics Commission shall report to appropriate federal, state and/or Town authorities any substantial evidence of a violation of any criminal law which comes to its attention in connection with any proceeding under this chapter.
(4)
Confidentiality procedures: The Chairperson of the Ethics Commission
shall, with the approval of the Ethics Commission, establish such
procedures as, in the Chairperson's judgment, may be necessary
to prevent the disclosure of any record of any proceedings or other
information received by the Ethics Commission, except as permitted
by this chapter.
In the event that the Ethics Commission finds that any person
has violated any provision of this chapter, said person shall have
a right of appeal to the Superior Court of any such finding and of
any sanctions imposed with respect thereto, by filing a notice of
appeal with the Superior Court within 30 days of the final action
by the Ethics Commission in a particular case. The appeal shall be
on the record without a trial de novo. If the Court determines that
the record is insufficient for its review, it shall remand the case
to the Ethics Commission for further proceedings on the record. The
Court's review, in the absence of actual fraud, shall be limited
to a determination of whether the Ethics Commission's decision
was supported by substantial evidence on the record. The burden of
proof in any such appeal shall be on the appellant.
