[HISTORY: Adopted by the City Council of the City of Fond
du Lac 2-23-2022 by Ord. No. 3746.[1] Amendments noted where applicable.]
[1]
Editor's Note: This ordinance also repealed former Ch. 52,
Ethics, Code of, adopted 6-23-1993 by Ord. No. 2679 as § 1.10 of
the 1993 Code, as amended 4-24-2014 by Ord. No. 3544 and 11-26-2019 by Ord. No. 3702.
A.
The proper operation of democratic government requires that elected
and appointed officials be independent, impartial and responsible
to the people; that government decisions and policy be made in proper
channels of the governmental structure; that elected office not be
used for personal gain; and the public have confidence in the integrity
of its government. In recognition of these goals, there is hereby
established a Code of Ethics for the City elected and appointed officials,
as well as any individuals who are candidates for elective office
as soon as such individuals file nomination papers with the City.
The purpose of this code is to establish guidelines for ethical standards
of conduct for all such elected and appointed officials by setting
forth those acts or actions that are incompatible with the best interest
of the City and by directing disclosure by such officials of private
financial or other interests in matters affecting the City. The provisions
and purpose of this code and such rules and regulations as may be
established are hereby declared to be in the best interests of the
City.
B.
The purpose of this code is to establish guidelines or ethical standards
of conduct for local public officials by setting forth those acts
or actions which are incompatible with the best interests of the City
and by requiring such officials to disclose personal interests, financial
or otherwise, in matters affecting the City.
C.
Nothing contained in this code is intended to deny to any individual
the rights granted by the United States Constitution, the Constitution
of this state, the laws of this state or labor agreements between
the City and its bargaining units.
A.
The Code of Ethics for local government, officials, employees and
candidates as set out in § 19.59 of the Wisconsin Statutes,
or as subsequently amended, is hereby adopted and included herein
by reference.
B.
There are certain provisions of the Wisconsin Statutes which should,
while not set forth in this chapter, be considered an integral part
of any Code of Ethics. Accordingly, the provisions of the following
sections of the Wisconsin Statutes are made a part of this Code of
Ethics and shall apply to local public officials whenever applicable:
|
§ 946.10
|
Bribery of public officers and employees
|
|
§ 946.11
|
Special privileges from public utilities
|
|
§ 946.12
|
Misconduct in public office
|
|
§ 946.13
|
Private interest in public contract prohibited
|
Local public officials are agents of public purpose and hold
office for the benefit of the public. They are bound to uphold the
United States Constitution and the Wisconsin Constitution and impartially
carry out the laws of the nation, state and City. In their official
acts, local public officials are bound to observe 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.
A.
All local public officials of the City should be loyal to the objectives
expressed by the citizens and the programs developed to attain these
objectives.
B.
Local public officials should not exceed their authority, 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.
A.
Use of public property. No local public official shall request or
permit the unauthorized use of personnel, City-owned vehicles, equipment,
materials or property for personal convenience, profit or political
reasons.
B.
Obligations to citizens. No local public official shall grant any
special consideration, treatment or advantage to any citizen beyond
that which is available to every other citizen.
The following terms shall have the meanings indicated:
Any money or property, favor, service, payment, advance,
forbearance, loan or promise of future employment, but does not include
compensation and expenses paid by the state, fees, honorariums and
expenses which are permitted and reported under § 19.56,
Wis. Stats., and political contributions which are reported under
Ch. 11, Wis. Stats. Such allowable fees and contributions shall not
influence good public policy.
Includes any organization (when used with reference to an
organization) in which an individual or a member of their immediate
family is a director, officer or trustee, or owns or controls directly
or indirectly, and severally or in the aggregate, at least 10% of
the outstanding equity or of which an individual or member of their
immediate family is an authorized representative or agent.
Files nomination papers with the City Clerk.
Written material or oral information related to City government,
which is not otherwise subject to the public records law and which
is expressly designated or marked as confidential.
Any interest which yields, directly or indirectly, a monetary
or other material benefit to the local public official or to any person
employing or retaining services of the elected or appointed official.
The payment or receipt of anything of value without valuable
consideration.
An elective office of the City of Fond du Lac, the City Manager,
or an appointive office or position of the City that is filled by
the City Council or City Manager and the position serves for a specified
term or at the pleasure of the appointing authority. This definition
does not include a candidate, a position that is limited to the exercise
of ministerial action, a clerical position, or a position filled by
an independent contractor.
An individual holding a local public office.
Any natural person, corporation, partnership or joint venture.
Any interest arising from blood or marriage relationships
or from close business or political associations, whether or not any
financial interest is involved.
A.
Financial and personal interest prohibited. No local public official,
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
chapter or which would tend to impair independence of judgment or
action in the performance of official duties.
B.
Incompatible employment. No local public official shall engage in
or accept private employment or render service, for private interest,
when such employment or service is incompatible with the proper discharge
of official duties or would tend to impair independence of judgment
or action in the performance of his official duties, unless otherwise
permitted by law and unless disclosure is made as provided below.
C.
Disclosure of confidential information. No local public official
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
interest of the official or others. Information generated in closed
session shall be confidential until such time as it is legally allowed
or required to be made public.
D.
Gifts and favors.
(1)
No local public official or candidate shall accept anything of value,
whether in the form of gift, service, loan, thing or promise, from
any person which may tend to impair his independence of judgment or
action in the performance of his duties or grant in the discharge
of his duties any improper favor, service or thing of value.
(2)
No local public official or candidate may solicit or accept, either
directly or indirectly, from any person or organization money or anything
of value, if it could reasonably be expected to influence the official's
actions or judgments or be considered a reward for any action or inaction
on the part of the official.
(3)
A local public official or candidate 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 local public official or candidate. Participation in
celebrations, grand openings, open houses, informational meetings
and similar events is excluded from this prohibition. This subsection
further shall not be construed to prevent candidates for elective
office from accepting hospitality from citizens for the purpose of
supporting the candidate's campaign.
(4)
Gifts received by a local public official under unusual circumstances
should be referred to the Ethics Board within 10 days of receipt for
recommended disposition.
E.
Contracts.
(1)
No local public official and no business in which a local public
official holds a ten-percent or greater interest may enter into a
contract with the City involving a payment or payments of more than
$3,000 within a twelve-month period unless such official has first
made a written disclosure of the nature and extent of such relationship
or interest to the Ethics Board and department acting for the City
in regard to such contract, with the following exceptions:
(2)
No City Council member may negotiate or enter into any contract on
behalf of the City of Fond du Lac.
(3)
The provisions of this subsection shall not apply to the designation
of a public depository of public funds.
(4)
This subsection does not affect the application of § 946.13,
Wis. Stats.
F.
Disclosure of interest in legislation. Any member of the City Council
who has a financial interest or personal interest in any proposed
legislation before the City Council shall disclose on the records
of the Council or the Ethics Board created by this chapter the nature
and extent of such interest.
G.
Campaign contributions. Campaign contributions shall be reported
by all candidates for City office in conformance with the provisions
of Ch. 11, Wis. Stats. Any campaign contribution tendered to or accepted
by a candidate subsequent to the final statutory report shall be reported
to the Ethics Board.
H.
Interference with election officials. No local public official or
candidate for elective office shall in any manner interfere with or
obstruct any local election official from performing his statutory
duties and responsibilities as provided in Chs. 7, 8 and 11, Wis.
Stats., unless such official is specifically authorized to perform
those duties and responsibilities.
A.
The Ethics Board shall consist of three members who shall serve without
compensation unless the Council otherwise provides. The members of
the Board shall be residents of the City and shall not be elected
officials or City employees, nor shall they be currently serving on
any other City board or commission. Each member shall be appointed
by the City Council with members to be selected as follows:
B.
If the Bar Association fails to supply a list of proposed members, the Council shall appoint a member under § 14-1 of this Code.
C.
Terms of office shall be three years. The alternate member shall
be a member of the Board whenever one of the regular members is unavailable.
The Board shall elect its own Chairperson and Vice Chairperson. The
City Attorney's office or its designee shall provide the Board
with the legal assistance necessary to carry out its function.
A.
The Board shall adopt and develop written rules governing its operation.
A copy of such rules shall be filed with the City Clerk.
B.
Ethics advisory opinions.
(1)
Any individual (personally or on behalf of an organization or governmental
body or local public official with the consent of a prospective organization
or official) may request of the Board an advisory opinion regarding
the propriety of any matter to which the person is or may become a
party. In the absence of an ethics board or when time is of the essence,
the City Attorney may provide the advisory opinion.
(2)
Advisory opinions and requests will be in writing. Any individual
requesting an advisory opinion or any individuals or organizations
mentioned in the opinion shall not be made public, unless the individual,
organization or governmental body consents to it and alterations are
made to the summary of the opinion, which prevents disclosure of the
identities of individuals involved in the opinion.
C.
The Board will accept from any eligible voter of the City of Fond
du Lac a written, verified complaint stating the name of the local
public official alleged to have committed a violation of this chapter
and the particulars thereof. The complaint can be emailed, mailed
or served in person on the City Attorney or City Manager.
D.
Confidentiality.
(1)
The information contained in such complaint shall be kept confidential until a finding is made by the Board under Subsection E(4). If no action on the verified complaint is taken by the Board within 60 days, the complaint shall be void and the Board shall issue a formal finding of no probable cause in the matter.
(2)
Breach of confidentiality. If the complaint is not kept confidential,
the complainant will be notified of the lapse in confidentiality and
will have 10 days to post a cash bond in the amount of $500 with the
City Clerk. The bond will be held while the complaint is processed.
If no bond is posted, the complaint will be dismissed. If the Board
determines that the complainant negligently or deliberately leaked
the complaint, they may order all or part of the bond to be paid to
the subject of the complaint or otherwise disbursed. If the Board
cannot determine the source of the leak, they may order the bond to
be returned.
E.
Complaint processing.
(2)
In order for a complaint to be considered complete and proper, it
should:
(a)
Clearly recite the facts that show specific violations under
the Board's jurisdiction (citations to the law and/or regulations
are valuable);
(b)
Clearly identify each person, committee or group that is alleged
to have committed a violation [called the "respondent(s)"];
(c)
Include any documentation supporting the allegations, if available;
and
(d)
Differentiate between statements based on the complainant's
(the person who files the complaint) personal knowledge and those
based on information and belief. Statements not based on personal
knowledge should identify the source of the information.
(3)
The City Attorney's office will review each complaint to determine whether it states a violation within the jurisdiction of the Board and satisfies the criteria set forth in Subsection E for a proper complaint. If the complaint does not meet these requirements, the City Attorney will notify the complainant of the deficiencies.
(a)
Nonjurisdictional complaints.
[1]
Within five days of receiving a complaint, the City Attorney
or Assistant City Attorney will determine whether the complaint involves
a matter outside of the Board's jurisdiction. The City Attorney's
office will generate an email or letter advising the complainant:
[a]
That the Board does not have jurisdiction regarding the matter,
and informing the complainant of any other governmental agency that
may be able to assist with the matter, if that information is known;
or
[b]
That the matter should be addressed by the District Attorney
or other governmental body. Standardized communications may be utilized
to resolve matters outside of the Board's jurisdiction. The letter
or email will also attach the complaint.
(b)
Jurisdictional complaints.
[1]
Within five days of receiving a complaint that is within the
jurisdiction of the Ethics Board, staff will email and mail the sworn
complaint to the complainant and respondent. Before voting on whether
to take any action regarding the complaint, other than to dismiss,
the Board will give the complainant and respondent receiving a notice
an opportunity to demonstrate to the Board, in writing and within
15 days after receiving the notice, that the Board should take no
action against the person on the basis of the complaint.
[2]
A respondent who is or intends to be represented by legal counsel
should inform the Board by sending a statement regarding the designation
of counsel, including the name and address of the attorney that is
representing them.
[3]
The Ethics Board may request that they be provided outside legal
counsel to review, analyze and consider the complaint, the response
and any relevant evidence, documents and/or information that's
brought forward by complainant or respondent to make their probable
cause determination and, also, to advise the Board if a probable cause
hearing is held.
(4)
Probable cause hearing and vote to proceed.
(a)
A respondent may request to have a probable cause hearing before
the Ethics Board or the Ethics Board may choose to have a hearing
on their own motion. The hearing will be closed pursuant to § 19.85,
Wis. Stats., unless the respondent asks to have the hearing open.
The rules of criminal evidence shall apply to such hearings. All evidence,
including certified copies of records and documents which the Board
considers, shall be fully offered and made part of the record in each
case. Every party shall be afforded adequate opportunity to rebut
or offer countervailing evidence.
(b)
Each jurisdictional complaint, along with any written response
filed by respondent and any testimony or evidence that was produced
in the probable cause hearing will be considered by the Board in order
to make recommendations on whether there is "probable cause" that
the respondent has committed or is committing a violation of the provisions
of this chapter. The Board will make a final decision by voting for
or against a "probable cause" determination or otherwise terminating
the complaint. Three affirmative votes are required to go forward
with any referral for enforcement. In making this determination, the
Board members may consider the complaint, the respondent's reply,
available information on the public record, any testimony or evidence
that was produced at the probable cause hearing and the Ethics Board's
attorney and/or staff's analysis and recommendations.
(c)
If the Board finds that there is "probable cause" that the respondent
has violated or is violating the provisions of this chapter:
(d)
If the Board fails to find "probable cause" that a violation
has occurred or is occurring, or if the Board dismisses the matter
for other reasons, the case is closed and the parties involved are
notified. The Board can provide additional advisory guidance to the
respondent or the complainant in their dismissal notice.
F.
The Board shall have the power to compel the attendance of witnesses
and to issue subpoenas granted other boards and commissions under
§ 885.01(3), Wis. Stats.
This Code of Ethics shall apply 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 Ethics Board to be
more appropriate or desirable.
The City Clerk shall provide copies of this code to local public
officials covered by this code and shall keep at least one copy permanently
on file for the use of the public.
Violation of this chapter will be subject to a forfeiture as outlined in the general penalty provisions of § 1-4 of the Fond du Lac Code of Ordinances.
