[HISTORY: Adopted by the Town of East Haddam 3-31-2008. 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 the
municipality, 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, this municipality
seeks to avoid any loss of trust and to maintain and increase the
confidence of our citizens in the integrity and fairness of their
government.
A.
This code shall apply to all current Town officials and employees,
whether elected and/or appointed, full-time or part-time, paid or
unpaid. All of the above shall be referred to hereinafter as "persons
governed by this code."
[Amended 3-28-2018]
B.
This code shall not be applicable if it conflicts in whole or in
part with any labor agreement, employment contract or state statute.
As used in this chapter, the following terms shall have the
meanings indicated:
Any entity through which activity for profit or not for profit
is conducted, including but not limited to a corporation, partnership,
proprietorship, firm, enterprise, franchise, association, organization,
or self-employed individual.
A business of which the person or a member of his/her immediate
family is a director, officer, owner, partner, member, employee, compensated
agent, or holder of stock which constitutes 5% or more of the total
outstanding stock of any class.
This Code of Ethical Conduct.
The Municipal Ethics Commission.
Any person who signed a complaint under penalties of false
statement alleging a violation of this code.
Any complaint received by the Commission alleging a violation
of this Code of Ethics.
Information, whether transmitted orally or in writing, which
is obtained by reason of the public position or office held, that
is not, at the time of transmission, a matter of public record or
public knowledge.
The examination, prior to the finding of probable cause,
of both written and oral evidence, that is not to be disclosed to
any third party by anyone connected with the investigation, except
upon the written request of the respondent.
An interest that is in substantial conflict with the proper
discharge of the official's duties or employment in the public interest
and of the official's responsibilities as prescribed by the laws of
this state, if the official has reason to believe or expect that the
official, the official's spouse or dependent child, or a business
with which he is associated, as defined herein, will derive a direct
monetary gain or suffer a direct monetary loss, as the case may be,
by reason of the official's official activity.
Pecuniary or material benefit accruing to a Town official/employee
as a result of a contract, transaction, zoning decision or other matter
which is, or may be, the subject of an official act or action by or
with the Town of East Haddam except for such contracts of transactions
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 persons and/or property similarly situated.
Anything of value, including entertainment, food, beverages,
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 C.G.S. § 9-601a;
[Amended 3-28-2018]
A commercially reasonable loan made on terms not more favorable
than loans made in the ordinary course of business;
A gift received from a member of a person's immediate family
or fiancee;
Goods or services which are provided to the municipality or
that support an event and which facilitate government actions or functions;
[Amended 3-28-2018]
A certificate, plaque or other ceremonial award costing less
than $200;
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 information germane to government action
or functions;
An honorary degree bestowed upon a public official or public
employee by a public or private university;
A meal provided at an event or business meeting and/or the registration
or entrance fee to attend such an event, in which the public official
or public employee participates in his official capacity;
A meal provided in the home by an East Haddam resident;
Gift-giving occasions recognized by the public, including Christmas,
Chanukah, birthdays, the birth or adoption of a child, weddings, first
communions, confirmations or bar/bat mitzvahs, provided the total
value of such gifts for each event shall not exceed $150;
Services provided by persons volunteering their time;
A promotional item available to the general public;
[Added 3-28-2018]
Anything having a value of not more than $10, provided the value
of all things provided by a donor to a recipient in any calendar year
shall not exceed $50.
[Added 3-28-2018]
Spouse, child, parent, grandchild, brother, sister, grandparent,
daughter-in-law, son-in-law, mother-in-law, father-in-law, sister-in-law,
brother-in-law, stepchildren and step-grandchildren.
In writing, signed and dated, or a directive to the secretary
taking the minutes of a meeting to note in the minutes of the meeting
a special disclosure or statement.
Any interest, other than financial, which would affect the
action of the official or employee, except if that interest is based
solely on the responsibility of his/her Town office or employment.
Membership in or affiliation with a social, fraternal, charitable,
service, educational, religious, governmental or similar nonprofit
organization is not deemed to automatically create a presumption of
personal interest unless the official employee is also an employee
of the organization.
Probable cause is defined by determining whether the facts
would warrant a reasonable person to believe that a Town official
or employee violated this code; the belief should be more than a mere
suspicion, but less than proof beyond a reasonable doubt.
[Amended 3-28-2018]
Any person accused of violating this code.
An individual, whether elected or appointed, whether paid
or unpaid, full- or part-time, including members of boards, commissions
and committees in the service of the Town of East Haddam.
A.
Persons governed by this code shall not engage in or participate
in any business or transaction, nor have an interest, direct or indirect,
which is incompatible with the proper discharge of that person's or
persons' official duties in the public interest, or would tend to
impair that person's or persons' independent judgment or action in
the performance of that person's or persons' official responsibilities.
B.
Persons governed by this code shall not be financially interested
or have any personal beneficial interest in any contract or purchase
order for any supplies, materials, equipment or contractual services
furnished to or used by the board, agency or commission of which that
person or persons is or are a member, or of which that person or persons
is or are an employee(s). It is further provided, notwithstanding
the above, that no member of the Board of Selectmen of the Town of
East Haddam and no member of the Board of Finance of the Town of East
Haddam shall be financially interested, or have any personal beneficial
interest, either directly or indirectly, in any contract or purchase
order for any supplies, materials, equipment or contractual services
furnished to or used by any board, agency, or commission of the Town
of East Haddam.
C.
Financial interest in vote or transaction.
(1)
Persons governed by this code shall refrain from voting upon or otherwise participating in any matter on behalf of the municipality if that employee or official, a business with which he/she is associated, or a member of his/her immediate family has a financial or personal interest in the transaction or contract, including but not limited to the sale of real estate, materials, supplies or services to the municipality; provided, however, that the restrictions of this Subsection C(1) shall not apply if such financial or personal interest accrues to him/her, his/her spouse, a dependent child or a business with which he/she, his/her spouse, or a 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.
(2)
If such participation is within the scope of the public employee's
or public official's official responsibility, he/she shall be required
to provide written disclosure, which sets forth in detail the nature
and extent of such interest, to the Commission.
D.
Persons governed by this code shall not request or permit the use
of Town-owned vehicles, equipment, facilities, materials, or property
for personal convenience or profit, except when such are available
to the public generally, or provided by a municipal policy as adopted
by the Board of Selectman for the use of such Town official/employee
in the interest of the Town.
E.
Gifts.
(1)
No person governed by this code shall solicit or accept any gift
from any person who to his/her knowledge is interested in any pending
matter within such employee's or official's responsibility.
(2)
If a prohibited gift is offered, he/she must refuse it, return it,
pay the donor the full value of the gift or donate it to a nonprofit
organization, provided he/she does not receive the corresponding tax
benefit. Alternatively, it may be considered a gift to the municipality,
provided it remains in the municipality's possession permanently.
F.
No public employee or public official shall appear on behalf of private
interests before any board, agency, or committee of the municipality,
with the following exceptions, which shall be permitted:
(1)
A public official who receives no compensation for his/her service
to the municipality other than per-diem payments and reimbursement
of expenses may so appear; and
(2)
A public official whose responsibilities in such position include
advocacy for members of the public and/or businesses or other applicants
(e.g., economic development, land use planner) may so appear, provided
said public official is not compensated by the private interests for
such appearance.
G.
No public employee or public official shall represent private interests
against the interests of the municipality in any litigation to which
the municipality is a party, with the following exceptions, which
shall be permitted:
(1)
A public official who receives no compensation for his/her service
to the municipality other than per-diem payments and reimbursements
of expenses may so testify; and
(2)
A public official may testify in any legal matter in which the municipality
is a party, provided said public official is not compensated by the
private interest for such a testimony.
H.
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/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.
I.
No public employee or public official shall disclose confidential
information concerning municipal affairs, or use confidential information
acquired in the course of and by reason of his/her official duties,
nor shall he/she use such information for the financial interests
of himself/herself or others.
J.
No public employee or public official shall use his/her position
or office to take any action that would benefit, financially or otherwise,
such employee or official or any other person or organization in a
manner that is not available to all similarly situated persons or
organizations, nor shall any public employee or public official take
any action in his/her official capacity in exchange for or as a quid
pro quo for any benefit of any kind that he/she has received from
any persons or organization.
K.
No public official or public employee shall grant or accept any special
consideration, treatment or advantage to or from any person beyond
that which is available to every other person.
L.
No public employee or public official shall accept a fee or honorarium
for an article, appearance or speech, or for participation at an event,
in his/her official capacity.
All appointed members of Town boards and commissions, elected
officials and department heads must recuse themselves from any decision
that would incur a conflict of interest or potential conflict of interest.
Failure to do so will constitute a violation of this code.
The Board of Selectmen shall cause a copy of this Code of Ethics
to be distributed to every public employee and public official within
60 days after enactment of this code. Each public employee and public
official shall be furnished a copy before entering upon the duties
of his/her office or employment. A signed receipt for all copies shall
be returned to the First Selectman and retained on file.
A.
There shall be a Municipal Ethics Commission consisting of five members.
The members shall be appointed by vote of the Board of Selectmen for
a term of three years, except that, of the initially appointed members,
one shall serve for one year, two for two years, and two for three
years. No individual shall be appointed to more than two consecutive
three-year terms, provided that any member may continue in office
until a successor has been appointed. No more than three members shall
be members of the same political party.
B.
All members shall be electors of the municipality. No member shall:
C.
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 Commission shall be required for action of the Commission.
The Chairperson or any three members may call a meeting.
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 written request of any person. 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 person who requested an advisory opinion and who acts in good-faith
reliance on such advisory opinion shall be entitled to use such reliance
as an absolute defense to any complaint brought under the provisions
of the code in conjunction with the specific activities that were
subject of the advisory opinion;
(3)
Report annually on or before February 1 to the Board of Selectmen
summarizing the activities of the Commission.
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.
The Commission shall receive complaints from any person alleging
violation of the code. Any complaint received by the Commission must
be in writing on a form prescribed by the Commission and signed under
penalty of false statement by the individual making said complaint
before:
B.
If the complainant intentionally makes a false statement, he/she
may be subject to fines of up to $1,000 and penalties of up to one
year's imprisonment under the provisions of § 53a-157b of
the Connecticut General Statutes, a Class A misdemeanor.
A.
Upon the complaint of any person on a form prescribed by the Commission,
signed under penalty of false statement, or upon its own complaint,
the Commission shall investigate any alleged violation of this code.
Until such time as the Commission makes a determination of probable
cause, any allegations and any information supplied to or received
from the Commission shall not be disclosed to any third party by a
complainant, witness, or Commission or staff member, except upon the
written request of the respondent.
(1)
Not later than 10 days after the receipt or issuance of such complaint,
the Commission shall provide notice of such receipt or issuance and
a copy of the complaint by registered or certified mail to any respondent
against whom such complaint is filed and shall provide notice of the
receipt of such complaint to the complainant. Complaints shall be
noted as received at a scheduled meeting.
(2)
If the complaint has been filed by a member of the public, the Commission
shall review the complaint to determine:
(a)
Whether the allegations contained therein, if proved, would
constitute a violation of any provisions of the code. If the Commission
determines that the complaint does not allege sufficient facts to
constitute a violation, the Commission shall dismiss the complaint
and duly notify the complainant and respondent by registered or certified
mail.
(b)
If the Commission determines that the complaint alleges sufficient
facts to constitute a violation, then within 30 days after so determining,
the Commission shall fix a date for the commencement of the hearing
on the allegation contained therein. Such hearing shall be conducted
in two phases. In the first phase, the Commission will make a confidential
determination as to whether there is probable cause to believe the
facts alleged in the complaint actually occurred. If the Commission
does not make a finding of probable cause, the complaint and all records
of the hearing shall remain confidential except upon the written request
of the respondent. If the Commission makes a finding of probable cause,
the Commission shall proceed to the second phase, which shall be a
public hearing to determine whether a violation has occurred. The
hearing date regarding any complaint shall be not more than 60 days
after the filing of the complaint.
B.
In the conduct of an investigation of an alleged violation of this
code:
(1)
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 that the Commission deems relevant in any
matter under investigation or in question. In the exercise of such
powers, the Commission may use the services of the municipal police,
who shall provide the same upon the Commission's request.
(2)
The respondent shall have the right to appear and to be represented
by legal counsel and to examine and cross-examine witnesses. All witnesses
will be sworn.
C.
The Commission shall make no finding that there is a violation of
any provision of the code except upon the concurring vote of at least
four of its members.
D.
Any hearing conducted by the Commission shall be governed by the
Uniform Administrative Procedures Act, C.G.S. § 4-166 et
seq., as amended.
[Amended 3-28-2018]
E.
No complaint may be made under this code except within three years
after the violation alleged in the complaint has been committed.
F.
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.
A.
Unless the Commission makes a finding of probable cause, a complaint
alleging a violation shall be confidential except upon the written
request of the respondent unless such information is required to be
disclosed pursuant to the Freedom of Information Act as set forth
in Connecticut General Statutes § 1-200 et seq.
B.
Prior to any other action on a complaint, 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.
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, 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. The Commission shall inform the complainant
and the respondent of its finding by registered or certified mail
not later than three business days after termination of the hearing
or investigation.
D.
The Commission shall make public a finding of a violation not later
than five business days after the termination of the hearing. At such
time, the entire record of the investigation shall become public.
E.
The Commission shall inform the complainant and the respondent of
its finding and provide them a summary of its reasons for making such
a finding by registered or certified mail not later than three business
days after termination of the hearing.
Any person aggrieved by any final decision of the Commission
may appeal such decision in accordance with the provisions of § 4-175
or 4-183 of the Connecticut General Statutes. If successful, any and
all reasonable legal fees will be paid by the Town of East Haddam.