[HISTORY: Adopted by the Town of Putnam 7-12-2010 STM. Amendments
noted where applicable.]
Public office is a public trust. The trust of the public is
essential for government to function effectively. Public policy developed
by government officials and employees affects every citizen of Putnam,
and it must be based on honest and fair deliberations and decisions.
This process must be free from threats, favoritism, undue influence,
and all forms of impropriety so that the confidence of the public
is not eroded. By enacting this code, the Town of Putnam seeks to
avoid any loss of trust and to maintain and increase the confidence
of citizens in the integrity and fairness of their government.
As used in this chapter, the following terms shall have the
meanings indicated:
Any entity through which business for profit or not for profit
is conducted, including a corporation, partnership, proprietorship,
firm, enterprise, franchise, association, organization, or self-employed
individual.
Mondays, Tuesdays, Wednesdays, Thursdays and Fridays, excluding
days on which the Putnam Town offices are closed for holidays, special
observances, inclement weather conditions or emergencies.
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 public employee
or member of his or her 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 public employee, or member of his or
her 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 public
employee or member of his or her 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 Town of Putnam Ethics Commission established in § 32-3.
Information, whether transmitted orally or in writing, which
is obtained by reason of the public position or office held and is
of such nature that it is not, at the time of transmission, a matter
of public record or public knowledge.
An interest which is in substantial conflict with a public
official's or public employee's proper discharge of his or her duties
or employment in the public interest and of his or her responsibilities
as prescribed by law. Such public official or public employee has
such an interest if he or she has reason to believe or expect that
his or her own self, spouse, dependent child, or a business with which
he or she is associated will derive a direct monetary gain or suffer
a direct monetary loss, as the case may be, by reason of his or her
official activity. Any such public official or public employee does
not have an interest which is in substantial conflict with the discharge
or his or her duties in the public interest and of his or her responsibilities
as prescribed by law if any benefit or detriment accrues to himself
or herself, his or her spouse, dependent child or to a business with
which he or she, his or her spouse or dependent child is associated
as a member of a profession, occupation or group to no greater extent
than to any other member of such profession, occupation or group.
If there is any conflict between the provisions of this definition
and any other portion of this code, the provisions of this definition
shall prevail.
Any interest with a monetary value of $100 or more or which
generates a financial gain or loss of $100 or more in a calendar year.
Anything of value, including entertainment, food, beverage,
travel, and lodging given or paid to a public official or public employee
to the extent that consideration of equal or greater value is not
received. A gift does not include:
A political contribution otherwise reported as required by law or a donation or payment as described in Subdivision (9) or (11) of Subsection (b) of Section 9-601a of the Connecticut General Statutes.
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.
Goods or services which are provided to the municipality and
facilitate governmental action or functions.
A certificate, plaque or other ceremonial award costing less
than $100.
A rebate or discount on the price of anything of value made
in the ordinary course of business without regard to that person's
status.
Printed or recorded informational material germane to governmental
action or functions.
Items of nominal value, not to exceed $20, containing or displaying
promotional material.
An honorary degree bestowed upon a public official or public
employee by a public or private university or college.
A meal provided at an event and/or the registration or entrance
fee to attend such an event, in which the public employee or public
official participates in his or her official capacity; or a working
business meal for which the value of the public employee's or public
official's meal does not exceed $25.
A meal provided in the home by an individual who resides in
the municipality.
Gifts in-kind of nominal value not to exceed $25 tendered on
gift-giving occasions generally recognized by the public, including
Christmas, Hanukkah, birthdays, the birth or adoption of a child,
weddings, confirmations or bar/bat mitzvahs, provided the total value
of such gifts in any calendar year does not exceed $50.
A natural person.
An individual with whom the person or a member of his or
her immediate family mutually has an interest in any business.
Includes any special district contained therein which has
taken appropriate legal action to adopt this Code of Ethics to apply
to the conduct of its public officials and public employees.
The direct administrative or operating authority, whether
intermediate or final and whether exercisable personally or through
subordinates, to approve, disapprove, or otherwise direct government
action.
An individual, sole proprietorship, trust, corporation, union,
association, firm, partnership, committee, club or other organization
or group of persons.
An interest in any action taken by the municipality in which
an individual will derive a nonfinancial benefit or detriment but
which will result in the expenditure of municipal funds.
For the purpose of a complaint under the Town of Putnam Ethics
Ordinance, shall consist of such state of facts which would induce
a reasonably intelligent and cautious individual to believe that a
violation of the code has occurred.
A person employed, whether part-time or full-time, by the
municipality or a political subdivision thereof.
An elected or appointed official, whether paid or unpaid
or full- or part-time, of a municipality, including candidates for
the office.
The spouse, parent, grandparent, child, grandchild, sibling,
stepparent, and stepchild of an individual, and also their respective
spouses.
A district established pursuant to Connecticut General Statutes
Section 7-324.
A.
There shall
be a Town of Putnam Ethics Commission consisting of five members.
The members shall be appointed by majority vote of the Board of Selectmen
for a term of two years. No more than three shall be members of the
same political party.
B.
All members
shall be electors of the municipality. No member of the appointing
authority, which is the Board of Selectmen, shall serve on the Ethics
Commission and no member of the Ethics Commission shall serve as an
officer of any political party or political committee, but mere membership
on a political committee shall not be a bar to service on the Ethics
Commission.
C.
Political
activity.
(1)
Although
any member of the Commission shall have an unrestricted right to vote,
make political contributions, and attend fund-raising or other political
events, no member or employee shall take a leadership role in any
candidate's political campaign for any municipal office subject to
the Commission's jurisdiction. An individual would take a leadership
role by, for example, serving as a campaign manager, giving a speech
at a political event, or formally endorsing a candidate.
(2)
No candidate
for political office may disseminate information which indicates that
a Commission member or employee supports his or her candidacy.
D.
The Commission shall elect a Chairperson who shall preside at meetings of the Commission and a Vice Chairperson to preside in the absence of the Chairperson. Three members shall constitute a quorum. A majority vote of the quorum shall be required for action of the Commission, except as specified in § 32-5D. The Chairperson or any two members may call a meeting.
E.
Vacancies
on the Commission will be filled in the manner prescribed by the Charter
of the Town of Putnam for other appointive offices.
A.
The Commission
shall:
(1)
Compile
and maintain a record of all reports, advisory opinions, statements,
and memoranda filed by and with the Commission to facilitate public
access to such reports and statements.
(2)
Issue
advisory opinions with regard to the requirements of this code upon
the request of any public employee or public official inquiring on
his or her own behalf. The Commission shall provide such an advisory
opinion no later than 35 business days after it receives the request
for the advisory opinion. Advisory opinions rendered by the Commission,
until amended or revoked, shall be binding on the Commission and shall
be deemed to be final decisions of the Commission. Any advisory opinion
concerning the person who requested the opinion and who acted in reliance
thereon, in good faith, shall be an absolute defense in any matter
brought under the provisions of this code.
B.
The Commission
may adopt, after a public hearing, rules and regulations not inconsistent
with this code for the administration and implementation of the code.
C.
The Commission
may employ necessary staff or outside counsel within available appropriations.
A.
Upon the
complaint of any person, set forth on a form prescribed by the Commission,
signed under penalty of false statement and addressed to the Commission
in care of the Town Clerk (who shall then forward the complaint forthwith
to the Ethics Commission), the Ethics Commission shall investigate
any alleged violation of this code.
(1)
Not later than 10 business days after the Commission's receipt of such complaint from the Town Clerk, the Commission shall provide notice of such receipt and a copy of the complaint by registered or certified mail to any respondent against whom such complaint is filed, and shall also include notice of the confidentiality provisions listed in § 32-6 of this code, including notice that the respondent has the right to waive confidentiality by submitting a written request to the Commission. The Commission shall also provide the complainant with notice of the receipt of the complaint by registered or certified mail. The correspondence to the respondent and complainant described above shall include notification of the date, time and place for the commencement of the Commission's meeting for preliminary review of the complaint, described in Subsection A(2) of this section, and also notification that the respondent has the right to attend that meeting, but not to participate except as requested by the Commission.
(2)
The Commission shall meet to hold a preliminary review of the complaint to determine whether or not the allegations contained therein, if true, would constitute a violation of any provision of the code. The commencement of the meeting for preliminary review of the complaint shall be held within 15 business days after the correspondence to the complainant and respondent described in Subsection A(1) of this section has been sent
(3)
If the
Commission determines at its preliminary review that the allegations,
if true, would constitute a violation of any provision of this code,
then the Commission shall fix a date for the commencement of a probable
cause hearing on the complaint. The probable cause hearing will be
scheduled not more than 10 nor fewer than five business days after
the completion of the preliminary review.
(4)
If the
Commission determines that there is probable cause to believe that
the allegations in the complaint are true and that, if true, they
constitute a violation of this code, then the Commission shall fix
a date for the commencement of a public hearing on the allegations
not more than 10 nor fewer than five business days after the finding
of probable cause.
(5)
The
Commission shall inform the complainant and the respondent of the
result of the public hearing by registered or certified mail not later
than three business days after the termination of the hearing. The
notification shall include a summary of the Commission's reasons for
making such a finding.
(6)
The
Commission shall have the authority to adjourn any of its proceedings
for completion at a later date.
B.
Complaints
initiated by Commission.
(1)
A complaint under this code may be initiated by the Commission itself, acting on its own behalf. Before the issuance of such a complaint, the Commission may conduct an investigation as described in § 32-6C. No complaint shall be issued by the Commission without a finding that the allegations therein, if true, would constitute a violation of the code.
(2)
Not later than five business days after the Commission's issuance of such complaint, the Commission will provide a copy of the complaint by registered or certified mail to any respondent against whom such complaint is filed, and shall also include notice of the confidentiality provisions listed in § 32-6 of this code, including notice that the respondent has the right to waive confidentiality by submitting a written request to the Commission. The Commission shall then proceed to a meeting for preliminary review of the complaint as described in § 32-5A(2) of this code, and the correspondence to the respondent shall include notification of the date, time and place of the commencement of such meeting, which shall take place within 15 business days after the correspondence is sent. The correspondence shall also include notification that the respondent has the right to attend the meeting. Further proceedings shall take place as described in Subsection A of this section.
C.
Rights of
Commission and respondent in investigations and hearings.
(1)
In the
conduct of its investigation of an alleged violation of this code,
the Commission 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 Commission
of any books and papers which the Commission deems relevant in any
matter under investigation or in question.
(2)
The
respondent shall have the right to appear and to be represented by
legal counsel and to examine and cross-examine witnesses.
D.
The Commission
shall make no finding that there is a violation of any provision of
this code except upon the concurring vote of at least three of its
members.
E.
Any hearing
conducted by the Commission shall be governed by the administrative
rules of evidence.
F.
No complaint
may be made under this code except within one year next after the
violation alleged in the complaint has been committed. No complaint
may be made under this code for any violations alleged to have occurred
prior to the enactment of this code.
G.
No person
shall take or threaten to take official action against an individual
for such individual's disclosure of information to the Commission
under the provisions of this code. After receipt of information from
an individual, the Commission shall not disclose the identity of such
individual without his or her consent unless the Commission determines
that such disclosure is unavoidable during the course of an investigation.
A.
All proceedings
prior to the Commission's finding of probable cause shall be confidential
except upon the written request of the respondent. If the Commission
finds probable cause to believe that the allegations in the complaint
are true and that, if true, they would constitute a violation of this
code, the record of all proceedings in the matter shall be made public
no later than five business days after such finding of probable cause.
B.
If the Commission
makes no such finding of probable cause, the complaint and the record
of its investigation shall remain confidential, except upon the written
request of the respondent. No complainant, respondent, witness, designated
party, or Commission or 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.
C.
Prior to
the filing of a complaint by the Commission on its own behalf, the
Commission may conduct a preliminary investigation to determine whether
the filing of a complaint is warranted. This preliminary investigation
shall be confidential except upon the written request of the respondent.
If the investigation is confidential, any allegations and any information
supplied to or received from the Commission shall not be disclosed
during the investigation to any third party by a complainant, respondent,
witness, designated party, or Commission or staff member.
Violation of any provision of this code shall constitute grounds
for, and may be punished by:
A.
Hiring of
relatives.
(1)
No municipal
board, commission or other public body shall hire a relative of any
member of that board, that commission or that public body.
(2)
No public
employee with the authority to hire other public employees shall hire
a relative of himself or herself or of any member of the municipal
board, commission or other public body by which he or she is employed.
B.
Relatives
with hiring authority.
(1)
No person
shall accept a position of municipal employment if a relative has
hiring authority over that position, whether that relative is a public
employee or public official.
(2)
Officials
of municipal boards, commissions and bodies with hiring authority,
and public employees with hiring authority, shall require all applicants
for municipal positions to sign a statement that they do not have
a relative with hiring authority over the position which the applicant
is seeking.
D.
No individual
shall be appointed to a municipal board, commission or other body,
including appointment to fill a vacancy in an elective office, if
that board, commission or other body employs a relative of that individual.
E.
Nothing
in this code shall prevent an individual from seeking elective office
because a relative is an employee of the municipal board, commission
or other body on which he or she is seeking a seat.
A.
No public
employee or public official shall engage in or participate in any
business or transaction, including outside employment with a private
business, or have an interest, direct or indirect, which is incompatible
with the proper discharge of his or her official responsibilities
in the public interest or which would tend to impair his or her independent
judgment or action in the performance of his or her official responsibilities.
B.
Prohibited
gifts.
(1)
No public
employee or public official shall solicit or accept any gift from
any person who to his or her knowledge is interested in any pending
matter within such individual's official responsibility.
(2)
If a
prohibited gift is offered to a public employee or public official,
he or she must refuse it, return it, pay the donor the full value
of the gift, or donate it to a nonprofit organization, provided he
or she does not take the corresponding tax write-off. Alternatively,
it may be considered a gift to the municipality, provided it remains
in the municipality's possession permanently.
C.
A public
official or public employee must refrain from voting or taking action
on any matter in which he or she has an interest which is in substantial
conflict with the proper discharge of his or her duties or employment
in the public interest and of his or her responsibilities as prescribed
by law. Such public official or public employee has such an interest
if he or she has reason to believe or expect that his or her own self,
spouse, dependent child, or a business with which he or she is associated
will derive a direct monetary gain or suffer a direct monetary loss,
as the case may be, by reason of his or her official activity. Any
such public official or public employee does not have an interest
which is in substantial conflict with the discharge or his or her
duties in the public interest and of his or her responsibilities as
prescribed by law if any benefit or detriment accrues to himself or
herself, his or her spouse, dependent child or to a business with
which he or she, his or her spouse or dependent child is associated
as a member of a profession, occupation or group to no greater extent
than to any other member of such profession, occupation or group.
D.
Representation
of private interests.
(1)
Except
for a public official who receives no compensation for his or her
service to the municipality other than per-diem payments and reimbursement
of expenses, no public employee or public official shall appear on
behalf of private interests before any board, agency, or committee
of the municipality.
(2)
Except
for a public official who receives no compensation for his or her
service to the municipality other than per-diem payments and reimbursement
of expenses, no public employee or public official shall represent
private interests against the interest of the municipality in any
litigation to which the municipality is a party.
E.
Nothing
contained in this code shall prohibit or restrict a public employee
or public official from appearing before any board or commission of
the municipality on his or her own behalf, or from being a party in
any action, proceeding or litigation brought by or against the public
employee or public official to which the municipality is a party.
F.
No public
employee or public official shall disclose confidential information
concerning municipal affairs, nor shall he or she use such information
for the financial interests of himself or herself or others.
G.
No public
employee or public official shall request or permit the use of municipal-owned
vehicles, equipment, facilities, materials or property for personal
convenience or profit, except when such are available to the public
generally or are provided as municipal policy for the use of such
public employee or public official in the conduct of official business.
H.
No public
employee or public official, or a relative or a business with which
he or she is associated, shall enter into a contract with the municipality
unless it is awarded through a process of public notice and competitive
bidding.
I.
No public
employee or public official may use his or her position or office
for the financial benefit of himself or herself, a business with which
he or she is associated, an individual with whom he or she is associated,
or a relative.
J.
No public
employee or public official acting in his or her official capacity
shall accept a fee or honorarium for an article, appearance or speech,
or for participation at an event.
K.
No public
employee or public official, or his or her relative or business with
which he or she is associated, 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 the vote, official action or judgment of the public employee
or public official would be or had been influenced thereby.
A.
No paid
consultant of the municipality shall represent a private interest
in any action or proceeding against the interest of the municipality
which is in conflict with the performance of his or her duties as
a consultant.
B.
No paid
consultant may represent anyone other than the municipality concerning
any matter in which he or she participated personally and substantially
as a consultant to the municipality.
C.
No paid
consultant shall disclose confidential information learned while performing
his or her duties for the municipality nor shall he or she use such
information for the financial interests of himself or herself or others.
A.
No former
public employee or public official shall appear for compensation before
any municipal board or agency in which he or she was formerly employed
at any time within a period of three months after termination of his
or her service with the municipality.
B.
No former
public employee or public official shall represent anyone other than
the municipality concerning any particular matter in which he or she
participated personally and substantially while in municipal service.
C.
No former
public employee or public official shall disclose or use confidential
information acquired in the course of and by reason of his or her
official duties for financial gain for himself or herself or others.
D.
No former
public employee or public official who participated substantially
in the negotiation or award of a municipal contract obliging the municipality
to pay an amount of $100,000 or more, or who supervised the negotiation
or award of such a contract, shall accept employment with a party
to the contract other than the municipality for a period of one year
after such contract is signed.
The Town Clerk shall cause a copy of this Code of Ethics to
be distributed to every public employee and public official within
30 business days after enactment of this code. Each public employee
and public official shall be furnished a copy before entering upon
the duties of his or her office or employment. A signed receipt for
all copies shall be returned to the Town Clerk and retained on file.
