[HISTORY: Adopted by the Common Council of the City of New
Lisbon as indicated in article histories. Amendments noted where applicable.]
[Adopted 4-2-2001 as Title 2, Ch. 5, of the 2001 Code]
A.
The proper operation of democratic government requires that public
officials and employees be independent, impartial and responsible
to the people; that government decisions and policy be made in proper
channels of the governmental structure; that public office not be
used for personal gain; and that the public have confidence in the
integrity of its government. In recognition of these goals, there
is hereby established in this article a Code of Ethics for all City
of New Lisbon officials and employees, whether elected or appointed,
paid or unpaid, including members of boards, committees and commissions
of the City, as well as any individuals who are candidates for elective
office as soon as such individuals file nomination papers with the
City.
B.
The purpose of this Ethics Code is to establish guidelines for 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 City of New Lisbon and by directing disclosure by such officials
and employees of private financial or other interests in matters affecting
the City. The Common Council believes that a Code of Ethics for the
guidance of elected and appointed officials and employees will help
them avoid conflicts between their personal interests and their public
responsibilities, will improve standards of public service and will
promote and strengthen the faith and confidence of the citizens of
this City in their elected and appointed officials and employees.
The Common Council hereby reaffirms that each elected and appointed
City official and employee holds his or her position as a public trust,
and any intentional effort to realize substantial personal gain through
official conduct is a violation of that trust. The provisions and
purpose of this Ethics Code and such rules and regulations as may
be established are hereby declared to be in the best interests of
the City of New Lisbon.
The following definitions shall be applicable in this article:
Any gift, favor, loan, service or promise of future employment,
but does not include reasonable fees and honorariums or the exchange
of seasonal, anniversary or customary gifts among relatives and friends.
Any corporation, partnership, proprietorship, firm, enterprise,
franchise, association, organization, self-employed individual or
any other legal entity which engages in profit-making activities.
Any interest which shall yield, directly or indirectly, a
monetary or other material benefit to the officer or employee or to
any person employing or retaining the services of the officer or employee.
The following specific blood or marriage relationships:
A person's spouse, mother, father, child, brother, sister or
first cousin (natural or step); or
A person's relative by blood or marriage who receives, directly
or indirectly, more than 1/2 of his support from such person or from
whom such person receives, directly or indirectly, more than 1/2 of
his support.
Any person excluded from the definition of "public official"
who is employed by the City.
Those persons serving in statutory elected or appointed offices
provided for in Ch. 62, Wis. Stats., and all members appointed to
boards, committees and commissions established or appointed by the
Mayor and/or Common Council pursuant to this Code of Ordinances, whether
paid or unpaid.
Owning or controlling, directly or indirectly, at least 10%
or $5,000 of the outstanding stock of any business.
Any full- or part-time employee of the City.
There are certain provisions of the Wisconsin Statutes which
should, while not set forth herein, be considered an integral part
of any Code of Ethics. Accordingly, the provisions of the following
sections of the Wisconsin Statutes, as from time to time amended,
are made a part of this Code of Ethics and shall apply to public officials
and employees whenever applicable:
A.
Section 19.59, Codes of ethics for local government officials, employees
and candidates.
B.
Section 946.10, Bribery of public officers and employees.
C.
Section 946.11, Special privileges from public utilities.
D.
Section 946.12; Misconduct in public office.
E.
Section 946.13, Private interest in public contract prohibited.
Public officials and employees are agents of public purpose
and hold office for the benefit of the public. They are bound to uphold
the Constitution of the United States and the Constitution of this
state and carry out impartially the laws of the nation, state and
municipality, to observe in their official acts the highest standards
of morality and to discharge faithfully the duties of their office
regardless of personal considerations, recognizing that the public
interest must be their prime concern. Their conduct in both their
official and private affairs should be above reproach so as to foster
respect for government.
A.
Officials and employees should adhere to the rules of work and performance
established as the standard for their positions by the appropriate
authority.
B.
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 so
doing by law or by officially recognized confidentiality of their
work.
C.
Members of the City staff are expected to follow their appropriate
professional code of ethics. Staff members shall file a copy of such
professional ethics codes with the City Clerk-Treasurer. The City
Clerk-Treasurer may notify the appropriate professional ethics board
of any ethics violations involving City employees covered by such
professional standards.
A.
Use of public property. No official or employee shall use or permit
the unauthorized use of City-owned vehicles, equipment, materials
or property for personal convenience or profit, except when such services
are available to the public generally or are provided as City policy
for the use of such official or employee in the conduct of official
business, as authorized by the Common Council or authorized board,
commission or committee.
B.
Use of City stationery. No official or employee shall use, or permit
the unauthorized use of, City stationery for personal use.
C.
Obligations to citizens. No official or employee shall grant any
special consideration, treatment or advantage to any citizen beyond
that which is available to every other citizen. No official or employee
shall use or attempt to use his or her position with the City to secure
any advantage, preference or gain, over and above his/her rightful
remuneration and benefits, for himself/herself or for a member of
his/her immediate family.
D.
Political contributions. No official shall personally solicit from
any City employee, other than an elected official, a contribution
to a political campaign committee for which the person subject to
this article is a candidate or treasurer.
A.
Financial and personal interest prohibited.
(1)
No official or employee of the City, whether paid or unpaid, shall
engage in any business or transaction or shall act in regard to financial
or other personal interest, direct or indirect, which is incompatible
with the proper discharge of official duties in the public interest,
contrary to the provisions of this article or which would tend to
impair independence of judgment or action in the performance of official
duties.
(2)
Any member of the Common Council who has a financial interest or
personal interest in any proposed legislation before the Common Council
shall disclose on the records of the Common Council the nature and
extent of such interest; such official shall not participate in debate
or vote for adoption or defeat of such legislation. If the matter
before the Council involves a member's personal interest with persons
involved, the member may participate in debate or discussion and vote
on the matter following disclosure, unless an ordinance or contract
is involved; if an ordinance or contract is involved, such official
shall not participate in debate or discussion and vote on the matter.
(3)
Any nonelected official who has a financial interest or personal
interest in any proposed legislative action of the Common Council
or any board, commission or committee upon which the official has
any influence or input, or of which the official is a member, that
is to make a recommendation or decision upon any item which is the
subject of the proposed legislative action shall disclose on the records
of the Common Council or the appropriate board, commission or committee
the nature and extent of such interest. Such official shall not participate
in debate or discussion or vote for adoption or defeat of such legislation.
(4)
Any City employee who has a financial interest or personal interest
in any proposed legislative action of the Common Council or any board,
commission or committee upon which the employee has any influence
or input, or of which the employee is a member, that is to make a
recommendation or decision upon any item which is the subject of the
proposed legislative action shall disclose on the records of the Common
Council or the appropriate board, commission or committee the nature
and extent of such interest.
B.
Disclosure of confidential information. No official or employee shall,
without proper legal authorization, disclose confidential information
concerning the property, government or affairs of the City, nor shall
such information be used to advance the financial or other private
interests of the official or employee or others.
C.
Gifts and favors.
(1)
No official or employee, personally or through a member of his/her
immediate family, may solicit or accept, either directly or indirectly,
from any person or organization, money or anything of value if it
could be expected to influence the employee's official actions or
judgment or be considered a reward for any action or inaction on the
part of the official or employee.
(2)
No official or employee, personally or through a member of his/her
immediate family, shall accept any gift, whether in the form of money,
service, loan, thing or promise, from any person which could reasonably
be expected to impair his/her independence of judgment or action in
the performance of his/her duties or grant in the discharge of his/her
duties any improper favor, service or thing of value. However, it
is not a conflict of interest for any public official or employee
to receive hospitality that is unsolicited and unrelated to government
business, such as a meal, and that is not intended to influence the
official.
(3)
An official or employee is not to accept hospitality if, after consideration
of the surrounding circumstances, it could reasonably be concluded
that such hospitality would not be extended were it not for the fact
that the guest, or a member of the guest's immediate family, was a
City official or employee. Participation in celebrations, grand openings,
open houses, informational meetings and similar events are excluded
from this prohibition. This subsection further shall not be construed
to prevent candidates for elective office from accepting hospitality,
as a properly reported political contribution, from citizens for the
purpose of supporting the candidate's campaign. (The State Ethics
Board has interpreted "hospitality" as it applies to state officials
as including meals, beverages and lodging which a person offers at
his/her residence and would have been offered if the recipient was
not an official.)
(4)
Gifts received by an official or employee or his/her immediate family
under unusual circumstances shall be referred to the Common Council
within 10 days of receipt for recommended disposition. Any person
subject to this article who becomes aware that he/she is or has been
offered any gift, the acceptance of which would constitute a violation
of this subsection, shall, within 10 days, disclose the details surrounding
said offer to the Common Council. Failure to comply with this reporting
requirement shall constitute an offense under this article.
D.
Representing private interests before City agencies or courts.
(1)
Nonelected City officials and employees shall not appear on behalf
of any private person (other than himself/herself, his/her spouse
or minor children) before any City agency, board, commission or the
Common Council if the official or employee or any board, commission
or committee of which the official or employee is a member has any
jurisdiction, discretion or control over the matter which is the subject
of such representation.
(2)
Elected City officials may appear before City agencies on behalf of constituents in the course of their duties as representatives of the electorate or in the performance of public or civic obligations. However, the disclosure requirements of Subsection A above shall be applicable to such appearances.
E.
Ad hoc committee exceptions. No violation of the conflict of interest
restrictions of this section shall exist, however, where an individual
serves on a special ad hoc committee charged with the narrow responsibility
of addressing a specific issue or topic in which that individual,
or the employer or a client of that individual, has an interest so
long as the individual discloses to the Common Council that such interest
exists.
F.
Contracts with the City. No City official or employee who, in his/her
capacity as such officer or employee, participates in the making of
a contract in which he/she has a private pecuniary interest, direct
or indirect, or performs in regard to that contract some function
requiring the exercise of discretion on his/her part shall enter into
any contract with the City unless, within the confines of § 946.13,
Wis. Stats., the contract is awarded through a process of public notice
and competitive bidding or the Common Council waives the requirement
of this subsection after determining that it is in the best interest
of the City to do so. The provisions of this subsection shall not
apply to the designation of a public depository of public funds.
G.
Campaign contributions. Campaign contributions shall be reported
by all candidates for City office in strict conformity with the provisions
of the Wisconsin Statutes. Any campaign contribution tendered to or
accepted by a candidate subsequent to the final statutory report shall
be reported to the Common Council.
When an official or employee has doubt as to the applicability
of a provision of this Ethics Code to a particular situation or definition
of terms used in this article, he/she should apply to the Personnel
Committee, which may ask the City Attorney for an advisory opinion
and will be guided by that opinion when given. The official or employee
shall have the opportunity to present his/her interpretation of the
facts at issue and of the applicability of provisions of this article
before such advisory decision is made. This article shall be operative
in all instances covered by its provisions except when superseded
by an applicable statutory provision and statutory action is mandatory,
or when the application of a statutory provision is discretionary
but determined by the City Attorney to be more appropriate or desirable.
Advisory requests and opinions shall be kept confidential, except
when disclosure is authorized by the requestor, in which case the
request and opinion may be made public.
A.
This section governs the proposed hiring of individuals for full-time or part-time work as City employees who are members of the immediate family of City employees or elected officials. "Immediate family" includes those relatives by blood or marriage defined in § 52-2 as "personal interest."
B.
Hiring an immediate family member of any current City employee or
elected City official will be considered only if that individual has
the knowledge and skills, experience or other job-related qualifications
that warrant consideration for the position. A person cannot be hired
for either full-time or part-time employment in a position immediately
supervised by a member of that person's immediate family.
C.
This section does not apply to nonelected officials who are asked
to accept appointment as members of a City board, commission or committee;
nonelected officials, however, will be expected to disqualify themselves
from participation in matters under consideration which may affect
the hiring, retention, classification or compensation of their immediate
family if currently employed or being considered for employment by
the City.
In the event that an employee covered under a collective bargaining
agreement is allegedly involved in an Ethics Code violation, the terms
and conditions set forth in the applicable collective bargaining agreement
shall prevail in the administration and interpretation of this article.
No full-time officer or employee of the City not covered by
a collective bargaining agreement shall engage in any other remunerative
employment in or out of the City, provided that the Common Council
may approve such outside employment or activity if it finds that it
does not interfere or conflict with such officer's ability to perform
his/her duties in an efficient and unbiased manner. Violation of this
provision shall be grounds for removal from office of any such officer
or employee.
A.
Upon the written complaint of any person alleging facts which, if
true, would constitute improper conduct under the provisions of this
article, the Common Council shall conduct an investigation of the
facts of the complaint. If the investigation indicates that there
may be a reasonable basis for the complaint justifying further investigation,
the Common Council shall conduct a hearing in accordance with the
common law requirements of due process, including notice, an opportunity
to be heard, an opportunity to cross-examine witnesses and to present
testimony and other evidence in support of the accused's position
and an opportunity to be represented by counsel or other representative
at the expense of the accused. The Council shall make written findings
of fact and issue a written decision concerning the propriety of the
conduct of the subject official or employee.
B.
A determination that a public official's or public employee's actions
constitute improper conduct under the provisions of this article may
constitute a cause for removal from office, termination of employment,
suspension, reprimand, removal from committee assignment, or other
appropriate disciplinary action. As an alternative or in addition
to sanctions imposed herein, any individual violating the Ethics Code
shall be subject to a nonreimbursable forfeiture of not less than
$100 nor more than $1,000 as determined by the City of New Lisbon
Common Council.[1]
C.
Sanctions, including any disciplinary action, that may affect employees
covered under a labor agreement will be consistent with the terms
and conditions set forth in the labor agreement.
[Adopted at time of adoption of Code (see Ch. 1, General
Provisions, Art. II)]
A.
This policy is adopted to identify responsibilities, establish procedures
and enforce controls to aid in the prevention, detection, reporting
and investigation of possible cases of fraud involving the City of
New Lisbon operations, resources and/or finances. This policy applies
to any actual or suspected fraud involving an employee (management
included), a consultant, vendor, contractor, outside agency, or person
doing business with the City or in any other relationship with the
City.
B.
The City of New Lisbon does not tolerate any type of fraud. The City's
policy is to promote consistent, legal and ethical behavior by assigning
responsibility for reporting fraud and providing guidelines to conduct
investigations of suspected fraudulent behavior.
C.
Failure to comply with this policy subjects an employee (including
management) to disciplinary action up to and including termination.
Failure to comply by a consultant, vendor, contractor, outside agency,
or person doing business with the City or in any other relationship
with the City could result in cancellation of the business or other
relationship between the entity and the City. The City will pursue
prosecution if the results of an investigation indicate the possibility
of criminal activity.
As used in this article, the following terms shall have the
meanings indicated:
Any employee, including those in management positions.
An intentional deception designed to obtain a benefit or
advantage or to cause some benefit that is due to be denied.
Examples of fraud include:
Forgery or alteration of a check, bank draft, or any other financial
document.
Theft of a check or credit card or other diversion of a payment.
Misappropriation of funds, securities, supplies or other assets.
Impropriety in the handling or reporting of money or financial
transactions.
Profiteering as a result of insider knowledge of City operations.
An employee with access to confidential information who sells
the information or uses it in the conduct of an outside business activity.
Accepting or seeking anything of material value from contractors,
vendors, or persons providing services or materials to the City. As
defined in § 19.59(1)(a) to (d), Wis. Stats., any claim
for reimbursement of expenses not made for the exclusive benefit of
the City, including falsification of expense reports and/or timecards.
Any computer-related activity involving the alteration, destruction,
forgery or manipulation of data for fraudulent purposes.
Any similar or related irregularity.
The City of New Lisbon specifically prohibits these activities
or actions.
A manager, chief, director, administrator, superintendent,
supervisor, elected or appointed official and any other employee who
has authority to sign another employee's performance evaluation.
A.
It is the responsibility of each employee (including management)
to immediately report suspected fraud or other dishonest conduct to
his or her immediate supervisor or department head. Supervisors, department
heads or management staff, when made aware of such potential fraudulent
or dishonest acts by subordinates, must immediately report such acts
to the City Administrator. If the employee has reason to believe that
his or her supervisor or department head may be involved or does not
feel comfortable reporting the suspected activity to his or her supervisor
or department head, he or she may report the suspected activity directly
to the City Administrator. If the employee has reason to believe that
the City Administrator may be involved or does not feel comfortable
reporting the suspected activity to his or her supervisor or department
head, he or she may report the suspected activity to the Mayor. Any
reprisal against any employee or other reporting individual because
that individual, in good faith, reported a violation is strictly forbidden.
B.
All employees have a responsibility to report suspected violations.
However, employees with supervisory and review responsibilities at
any level have additional deterrence and detection duties, to include:
(1)
Awareness of risk for fraudulent or dishonest acts in their respective
departments.
(2)
Placement and maintenance of effective monitoring, review and control
procedures which will prevent fraudulent or dishonest activity.
(3)
Placement and maintenance of effective monitoring, review and control
procedures which will detect fraudulent or dishonest activity promptly
if prevention efforts fail.
C.
Authority to carry out these additional responsibilities may be delegated.
However, accountability for their effectiveness will remain with department
heads.
A.
All alleged or suspected acts of fraudulent or dishonest activity
shall be reported promptly to the City Administrator, who has the
primary responsibility for investigating allegations of fraud affecting
the City and any of its departments. In cases where the City Administrator
is suspected of fraudulent or dishonest activity, the Mayor shall
have the primary responsibility for investigating such allegations.
Due to the important yet sensitive nature of suspected violations,
supervisors and department heads will not under any circumstances
investigate instances of fraudulent or dishonest behavior on their
own.
B.
Supervisors and department heads must observe strict confidentiality
and should not discuss the case, facts, suspicions or allegations
with anyone unless specifically asked to do so by the City Administrator,
Mayor or law enforcement.
A.
The City Administrator has primary responsibility for investigating
allegations of fraud affecting the City and any of its departments.
In cases where the City Administrator is suspected of fraudulent or
dishonest activity, the Mayor shall have the primary responsibility
for investigating such allegations. The City Administrator or Mayor
may assign responsibility for all or part of any investigation to
the New Lisbon Police Department, County Sheriff, Deputy Clerk-Treasurer,
City Attorney or other person or agency as may be warranted.
B.
No person shall communicate with the suspected individual or organization
about the matter under investigation, except as provided by the City
Administrator or Mayor or as required by law enforcement agencies.
C.
All investigations of fraudulent or dishonest activity shall be carried
out in an impartial and confidential manner, without regard to the
suspected individual's position or relationship with the City.
D.
Every effort will be made to protect the rights and reputations of
everyone involved, including the individual who in good faith alleges
perceived misconduct as well as the alleged violator(s). However,
disciplinary action may be taken as provided by this policy if a report
is made in bad faith.
E.
Properly designated members of the investigative team will have free
and unrestricted access to municipal records. Such designees have
authority to examine, copy or remove all or any portion of contents
of files, desks, cabinets and other storage facilities (whether in
electronic or other form) without prior knowledge or consent of any
individual who might use or have custody of any such items or facilities
when it is within the scope of investigative or related follow-up
procedures.
F.
All employees shall provide the investigative team all factual and
relevant details relating to the alleged fraudulent or dishonest activity
to the best of their knowledge, without partiality or prejudice to
any person.
G.
All inquiries regarding the alleged fraudulent or dishonest activity
and/or its investigation shall be referred to the City Administrator,
or in certain cases the Mayor, including but not limited to those
from an attorney, press, law enforcement agency and the person or
persons under investigation.
A.
The City Administrator has primary responsibility for the investigation
of reported suspected fraudulent and dishonest activity and coordination
of investigative activities with law enforcement and other parties
to the investigation. In cases involving the City Administrator, the
Mayor shall have primary responsibility for investigation of suspected
fraudulent or dishonest activity.
B.
Once a report of suspected fraudulent or dishonest activity is received
by the City Administrator, or in certain cases by the Mayor, he or
she shall document the contact and conduct a preliminary investigation
to determine the credibility of the report.
C.
On determining that a report is not credible or is not a report of
fraud, the City Administrator, or in certain cases the Mayor, shall
document this determination. Such documentation shall include support
for the determination and be referred to the Common Council in closed
session.
D.
If the report appears credible, the Administrator, or in certain
cases the Mayor, will prepare an incident report and provide such
report to the Common Council, City Attorney and City Auditor. The
Administrator, or in certain cases the Mayor, shall prepare the report
as soon as possible after the fraud is confirmed and shall document
the content of the investigation, findings and any disciplinary action
recommended or taken as a result of the findings and refer such to
the Common Council in closed session.
E.
Each employee involved in an investigation of suspected fraud shall
keep the content of the investigation strictly confidential to the
full extent provided by law. Investigation results shall be disclosed
to the accused, accuser, Common Council and City Attorney.
F.
Any required investigative activity shall be conducted without regard
to the suspected wrongdoer's length of service, position/title, relationship
to the City or any other perceived mitigating circumstance.
The City Administrator, or in certain cases the Mayor, shall
maintain appropriate documentation regarding incidents of fraudulent
or dishonest activity and shall develop and maintain guidelines for
access to and security of this documentation. Questions or other clarifications
of this policy and its related responsibilities should be addressed
to the City Administrator, who shall be responsible for the administration,
revision, interpretation and application of this policy. If the City
Administrator position is vacant or if the City Administrator is the
subject of a current investigation, the Mayor shall be responsible
for the administration, revision, interpretation and application of
this policy.
Failure to comply with any part of this policy is grounds for
disciplinary action up to and including termination. Employees who
have engaged in fraudulent or dishonest activity and those who intentionally
report false or misleading information may be subject to disciplinary
action up to and including termination. Additionally, any member of
management who does not pass to the City Administrator, or in certain
cases the Mayor, each and every report of suspected fraud made by
an employee or other person is subject to disciplinary action.
A.
The Common Council, with the City Administrator, shall carry out
a detailed fraud risk review and assessment every two years. Additionally,
at least once yearly, all departments should ensure that strategies
developed during the most recent fraud risk assessment are reviewed
for effectiveness and amended when necessary. Risk assessments shall
also be reviewed upon staff turnover, organizational restructuring,
changing technology or other environmental changes throughout the
year.
B.
One of the primary objectives of the risk assessment process is creation
and maintenance of a "Risk Register" or a prioritized listing of all
potential fraud and corruption risks facing the City. The Risk Register
will take into account specific areas of risk relative to each department,
utilizing staff input and, when practical, expertise in IT or legal
compliance. In relation to each risk identified, the Risk Register
will note the likelihood of the risk occurring and consequence if
the risk does occur.
C.
Periodic reviews (as set forth above) will analyze the effectiveness
of action items arising from the most recent fraud and corruption
risk assessment. An analysis of each action item should be carried
out to ensure that all action items have been implemented. Any action
item that has not been fully implemented should be considered for
relevance and likely impact on the risk it was intended to mitigate.
Based on the level of residual risk for each risk identified and assessed,
the City shall alter existing or create additional internal control
procedures and develop additional fraud prevention policies and procedures
where necessary.
[Added 5-20-2019 by Ord. No. 0520-19-02]
Whenever the Assessor, in the performance of the Assessor’s
duties, requests or obtains income and expense information that is
provided to the Assessor shall be held by the Assessor on a confidentiality
basis, except, however, that the information may be revealed to and
used by persons: a) in the discharging of duties imposed by law; b)
in the discharge of duties imposed by office (including, but not limited
to, use by the Assessor in performance of official duties of the Assessor’s
office and use by the Board of Review in performance of its official
duties); or c) pursuant to order of a court. Income and expense information
provided to the Assessor under Section 70.47(7)(af), unless a court
determines that it is inaccurate, is, per Section 70.47(7) (af), not
subject to the right of inspection and copying under Section 19.35(1),
Wis. Stats.
