[Amended 7-23-2019]
This chapter shall be known and referred to as the "Norwalk Code of Ethics." The Common Council of the City of Norwalk shall be charged with the administration of the Norwalk Code of Ethics. Accordingly, there shall be established an independent committee of five members and two alternates to be known as the "Board of Ethics." The Board of Ethics (the Board) shall be appointed by the Common Council and comprised as provided for in §
32-12 of this chapter.
[Amended 7-23-2019]
As used in this chapter, the following terms shall have the
meanings indicated:
AGENCY
A board, agency, commission, department or other entity of
the City, including but not limited to the Common Council, Board of
Education and the Norwalk Public School System.
CLEAR AND CONVINCING EVIDENCE
Sufficient evidence to support the allegation that the respondent
has violated the Code of Ethics, when such evidence is considered
fairly and impartially, and induces a reasonable belief in the minds
of the Hearing Board members that the allegations are true. Such evidence
must indicate to the ethics Hearing Board members that the probability
that the respondent has committed the alleged violation is substantially
greater than the probability he or she has not.
EMPLOYEE
An Individual employed by the City or any of its agencies,
whether as a classified Employee, unclassified, permanent or temporary,
full-time or part-time Employee or Individual employed by contract
on a continuing basis, and all Employees of the Norwalk Public School
System.
FINANCIAL BENEFIT
Any direct monetary gain or direct monetary loss that would
substantially conflict with the proper discharge of the Officer's
or Employee's duties or employment in the public interest and of the
Officer or Employee's responsibilities as prescribed by the laws of
this state and City. Any such Officer or Employee does not have a
benefit that is in substantial conflict with the proper discharge
of the Officer or Employee's duties in the public interest and of
the Officer or Employee's responsibilities as prescribed by the laws
of this state and City, if any benefit or detriment accrues to the
Officer or Employee, the Officer or Employee's Immediate Family, or
a business with which the Officer or Employee or his or her Immediate
Family is associated as a member of a profession, occupation, group
or member of the general public to no greater extent than to any other
member of such profession, occupation, group or member of the general
public.
HEARING BOARD
Shall be comprised of three members of the Board of Ethics
or, in the event of a conflict or vacancy, one or more of the alternates
to the Board of Ethics who shall be appointed by a majority vote of
the Board of Ethics. In the event the Board of Ethics members have
a conflict or an interest in the complaint at issue, the Common Council,
by majority vote, may appoint one or more City officials, who are
electors of the City of Norwalk, to serve on a Hearing Board for that
particular complaint. Once impaneled, the Hearing Board shall continue
to serve until it completes the hearing process specified in this
Code of Ethics. No more than two members of a Hearing Board shall
be registered members of the same political party. The Hearing Board
shall be permitted to hold a public hearing(s) and to determine whether
there is Clear And Convincing Evidence that the respondent has violated
the Code of Ethics.
IMMEDIATE FAMILY
A Person having legal residence or living in an Officer's
or Employee's place of residence ("household member") or, in addition
to any other definition, any Person who is related to an Officer or
Employee, whether by blood, marriage or adoption, including but not
limited to, a spouse, child, grandchild, brother, sister, in-law,
parent or grandparent, stepparents and stepchildren, or Persons who
reside in the same household.
INVESTIGATING PANEL
Shall consist of three individual electors, from the City
of Norwalk, each of whom shall be appointed by the Board of Ethics
to investigate an ethics complaint and to determine whether there
is Probable Cause to proceed to a public hearing on such a complaint.
No two members of an Investigating Panel shall be registered members
of the same political party, and the Investigating Panel shall include
an unaffiliated voter.
OFFICER
An Individual elected or appointed to an Agency, including
but not limited to ad hoc or advisory committee members.
PERSON
Includes associations, firms, partnerships and bodies politic
and corporate, as well as Individuals.
PROBABLE CAUSE
A state of facts, which constitutes more than a mere suspicion
and establishing that a state of facts is more likely than not to
have occurred. To establish Probable Cause there must be facts and
circumstances within the Investigating Panel members' knowledge, based
upon trustworthy information, sufficient to justify the belief of
a reasonable Person that a violation of the Code of Ethics has occurred.
The Investigating Panel shall be guided by established law in the
State of Connecticut in making a determination of what constitutes
Probable Cause.
YEAR
The municipal fiscal year as established by the Connecticut
General Statutes.
[Amended 7-23-2019]
No Officer or Employee shall use or authorize others to use
City-owned property, including vehicles and facilities, for any purpose
other than the conduct of City business, except as follows:
A. For purposes and on terms generally available to members of the public
or other Officers and Employees of the City generally;
B. In accordance with such Officer's or Employee's work or employment
with the City in which the use of such property by such Officer or
Employee is an element of his or her compensation, term of employment,
or performance for the City;
C. A minor or incidental use for personal purposes that is without cost
to the City or a minor or nonincidental use for personal purposes
that is authorized by the City; or
D. For charitable, professional or volunteer work, provided that the
use is authorized by the City.
[Amended 7-23-2019]
An Officer or Employee shall not solicit employment with any
Person or company who has a substantial matter pending before the
Agency for which the Officer serves or by whom the Employee is employed.
A matter is "substantial" if it involves a financial value of $1,000
or more or involves a question of significant public policy for the
City.
[Amended 6-11-2019; 7-23-2020]
A. Appointment of members. The Board of Ethics shall be comprised of
five full members and two alternate members, each of whom shall be
electors of the City of Norwalk. No more than two of the members of
the Board and one of the alternates shall be registered members of
the same political party, and no member of the Board of Ethics shall
be an Employee or Officer of the City. Each member shall serve for
a three-year term and, in the event of a vacancy on the Board of Ethics,
a replacement shall be appointed to serve the balance of the term.
All appointments to the Board of Ethics shall be made by the Common
Council and shall require the affirmative vote of 11 members of the
Common Council.
B. Organization. The Board of Ethics shall elect a Chairperson. The
Board of Ethics shall keep minutes of its meetings, which shall be
filed in the office of the City Clerk, and the Board of Ethics shall
hold meetings at the call of one full member of the Board and at such
times as a majority of the full members of the Board of Ethics may
determine. Four members present, including sitting alternates, shall
constitute a quorum in order for the Board of Ethics to conduct official
business. An alternate serving in place of an absent member of the
Board of Ethics shall have all of the powers and responsibilities
as a full member during the meeting at which such alternate member
shall sit.
C. Powers and duties. The powers and duties of the Board of Ethics shall
include: rendering advisory opinions, investigation of complaints,
and hearings on complaints; notification to the Mayor, City Clerk,
Corporation Counsel and any other Officer as it deems appropriate
of its memorandum of decision on any complaint; annual reports to
the Mayor, Common Council, and Corporation Counsel on its activities
and recommendations; annual educational programs on the Code of Ethics
for municipal Officers, Employees, and Agencies; and such other powers
and duties as may be set forth herein. Further, the Board of Ethics
shall promote a culture and operating environment of high ethical
standards throughout the City of Norwalk by educating, informing and
encouraging Officers, Employees, residents and vendors of the City
of Norwalk to become aware of the Code of Ethics to ensure that their
public actions and activities are in compliance with the Code of Ethics.
(1) Advisory opinions. The Board of Ethics, when requested to do so in
writing by any Officer, Employee, Agency, or upon its own motion,
may render advisory opinions concerning Officers and Employees and
other issues with respect to this Code of Ethics. Such an advisory
opinion shall be binding on the Board of Ethics, until amended or
revoked, and reliance on a controlling advisory opinion in good faith
is an absolute defense in any action or proceedings brought under
the provisions of this Code of Ethics. Within 120 days of valid receipt
of such a request, the Board of Ethics shall render its advisory opinion
or its decision not to consider such request, and shall file such
opinion or decision with the office of the City Clerk, and such opinion
or decision shall be available to the public. The opinion or decision
so filed may contain such deletions as the Board of Ethics may in
its sole discretion deem necessary to prevent disclosure of the identity
of the Officer or Employee involved.
(2) Probable Cause hearings and subsequent procedures.
(a)
Filing of the complaint; notification and amendment. Any Person,
including a member of the Board of Ethics, may submit a written complaint,
in a form prescribed by the Board of Ethics and signed under penalty
of false statement, alleging a violation of this Code of Ethics by
an Officer or Employee or an Individual who was an Officer or Employee
within the preceding year. The complaint shall contain the specific
act or acts which allegedly constitute the violation.
(b)
Review of complaint.
[1]
Upon receipt of a complaint, the Board of Ethics shall review
the complaint and determine whether it warrants acceptance. If a majority
of the members of the Board of Ethics present at the meeting reviewing
said complaint determines that acceptance is not warranted, then it
shall notify the Complainant that it has refused to accept the complaint
without establishing an Investigating Panel. If the Board of Ethics
refuses to accept a complaint, it shall issue a written explanation
of the reasons for such rejection.
[2]
The basis for which the Board of Ethics may refuse to accept
a complaint may include, but not be limited to: (i) the number of
complaints filed and the total number of pending complaints by the
Complainant; (ii) the scope of the complaint; (iii) the nature, content,
language or subject matter of the complaint; (iv) the nature, content,
language or subject matter of other oral and written communications
to the Board of Ethics from the Complainant; and (v) a pattern of
conduct that amounts to an abuse of the ethics complaint process or
an interference with the operations of the Board of Ethics.
[3]
Upon the rejection of a complaint, if the Board of Ethics makes
a finding that the complaint was vexatious and brought in bad faith
it may provide appropriate relief commensurate with the conduct, including
but not limited to, an order that the Board of Ethics need not accept
future complaints from the Complainant for a specified period of time.
(c)
Appointment of Investigating Panel. An Investigating Panel shall
be appointed within 21 days after the next regularly scheduled Board
of Ethics meeting following receipt of a complaint by the Board of
Ethics. No member of the Investigating Panel shall serve or have served
within one year as an Officer or Employee from the Agency at which
the Complainant or Respondent serves or formally served within one
year as an Officer or Employee. The Investigating Panel members may
delete, defer or reject any part of a complaint that does not conform
to the requirements specified by the Board of Ethics. If any member
of the Board of Ethics initiates or is involved in a complaint, he
or she will recuse himself or herself from the Board of Ethics for
the purposes of that complaint, including the appointment of the Investigating
Panel and any Hearing Board, and an alternate of the Board shall serve
in his or her place as to all further proceedings on that complaint.
(3) Investigation of complaint; notification of parties; Investigating
Panel.
(a)
Notification of parties. The Board of Ethics shall notify, by
registered or certified mail, or by personal service by a State Marshal,
constable or indifferent Person, any Respondent(s) against whom a
complaint is filed not later than 10 business days after the Investigating
Panel is formed. A copy of such complaint, the name of the Complainant(s)
and any subsequent changes to the complaint shall accompany such notice.
The Board shall also notify the Complainant in writing of its receipt
of such complaint not later than 10 business days after the Investigating
Panel is formed.
(b)
Expansion of complaint by Investigating Panel. Subsequent to
the filing of the original complaint, the Investigating Panel or the
Board of Ethics may, at its discretion, supplement or expand such
complaint to include other violations which it reasonably suspects
to have occurred, based on allegations in the original complaint.
Any such supplementation or expansion shall be in writing, and a copy
shall be sent by registered or certified mail, or by personal service
by a State Marshal, constable or indifferent Person to the Respondent(s)
and Complainant(s) within seven days of such amendment.
(4) Investigation of Probable Cause; confidentiality of initial proceedings.
(a)
The Investigating Panel members shall investigate the complaint
and any expansion thereto. For this purpose, hearings and meetings
may be held to determine whether or not there is Probable Cause to
believe that the Respondent has violated the Code of Ethics. Any Probable
Cause investigation and hearing, if held, shall be confidential and
shall not be open to the public unless the Respondent requests that
such investigation and hearing be open. The request by the Respondent
for a public hearing shall waive the confidentiality requirement of
the investigation and hearing.
(b)
Pending the outcome of the Probable Cause hearing, no member
of the Board of Ethics or Investigating Panel shall disclose his or
her knowledge of the Probable Cause investigation to a third party.
By filing a complaint with the Board of Ethics, the Complainant shall
be bound by the requirement of confidentiality. A violation of the
requirement of confidentiality by the Complainant, whether direct
or indirect, shall be grounds, at the discretion of the Board of Ethics,
to dismiss the complaint and may be grounds to ban the Complainant
from filing complaints in the future.
(c)
The Respondent shall have the right to appear and be heard and
to offer any information by way of answer or denial of the allegations.
The Respondent may be represented by counsel of his or her choice
in the Probable Cause hearings before the Investigating Panel. The
Investigating Panel may, in its discretion, hear testimony or take
written statements from the Complainant and any other witnesses it
deems necessary to its investigation. The Investigating Panel may
retain counsel or investigators to assist it in the Probable Cause
hearing process.
(5) Determination of Probable Cause, Written Report, Hearing Board. A
decision regarding Probable Cause shall be made by the Investigating
Panel within 60 days after the date that the Board of Ethics served
notice of the formation of the Investigating Panel to the Respondent
and Complainant. A finding that there is Probable Cause to believe
that the Respondent has violated the Code of Ethics shall require
two affirmative votes from the members of the Investigating Panel.
(a)
Finding of no Probable Cause. If the Investigating Panel fails
to determine that there is Probable Cause that the Respondent has
violated the Code of Ethics, the Investigating Panel shall dismiss
the complaint for the Board of Ethics and shall report such dismissal
to the Board of Ethics, and a copy of the report of dismissal shall
be sent by registered or certified mail or by personal service by
a State Marshal, constable or indifferent Person to the Respondent
and Complainant within seven days of its receipt by the Board of Ethics.
(b)
Finding of Probable Cause. If the Investigating Panel determines
that there is Probable Cause that the Respondent has violated the
Code of Ethics, it shall submit a written report to the Board of Ethics
stating the basis for the finding of Probable Cause. Upon receipt
of the report of the Investigating Panel, the Board of Ethics shall
appoint a Hearing Board, which shall initiate a public hearing within
45 days from such appointment to determine whether the Respondent
committed a violation of the Code of Ethics. In any public hearing
held to determine a violation of the Code of Ethics, the Investigating
Panel members shall have the responsibility of gathering and presenting
evidence to the Hearing Board.
(6) Report to the Hearing Board; hearings; extensions of time.
(a)
Notice of Probable Cause finding to Complainant and Respondent.
The Hearing Board shall send a copy of any report of Probable Cause
made by the Investigating Panel by registered or certified mail or
by personal service by a State Marshal, constable or indifferent Person
to the respondent and complainant within 10 business days of its receipt.
(b)
Hearings. The Hearing Board shall hold hearings in accordance
with its regulations and procedures adopted under this Code of Ethics
and shall call such witnesses and admit such evidence as the Hearing
Board determines to be appropriate. The Investigating Panel, and the
respondent shall each have the right to present evidence and witnesses
subject to the rules and regulations adopted by the Board of Ethics
under this Code of Ethics.
(c)
Evidence; burden of proof. The Hearing Board shall determine
whether a violation of the Code of Ethics has been proven by Clear
And Convincing Evidence. In conducting such hearings, the Investigating
Panel shall have the burden of proving the claim. A finding of a violation
of the Code of Ethics shall require the affirmative vote of two of
the three Hearing Board members that there is Clear And Convincing
Evidence that the Respondent has violated the Code of Ethics.
(d)
Written decision of the Hearing Board. The Complainant and Respondent
shall be notified in writing of the decision of the Hearing Board
not later than 10 business days after such decision has been made.
Such notification shall be either by registered or certified mail,
or personal service by a State Marshal, constable or indifferent Person.
If the Hearing Board determines a violation of the Code of Ethics
has been proven by Clear And Convincing Evidence, the Hearing Board
shall, within 30 days after such decision, state its findings of fact
and conclusions of law in writing and shall specify the Code section
violated. The Hearing Board shall file its memorandum of decision
with the Mayor, City Clerk, Corporation Counsel, and any other Officer
it deems appropriate and deliver it contemporaneously to the Complainant
and Respondent.
(e)
Extension of time.
[1]
For good cause, the Hearing Board may grant extensions of time
upon an affirmative vote of a majority of the Hearing Board.
[2]
The Hearing Board shall give written notice of any extension(s)
of time to the Respondent and to the Complainant.
[3]
Notwithstanding the foregoing a decision must be rendered within
120 days of the appointment of the Hearing Board.
(7) Rules and procedure for public hearings.
(a)
Public hearings. Public hearings shall be conducted under the
rules and regulations adopted by the Board of Ethics, which shall
include the following: oral evidence shall be taken under oath; documentary
evidence may be received in the form of copies or excerpts, if the
original is not readily available; and upon request, parties and the
Hearing Board shall be given the opportunity to compare the copy to
the original.
(b)
Rights of Investigating Panel and Respondent. The Investigating
Panel, and Respondent shall have the right in any such hearing before
the Hearing Board:
[1]
To be represented by counsel.
[2]
To present oral or written documentary evidence which is not
irrelevant, immaterial or unduly repetitious.
[3]
To examine and cross-examine witnesses required for a full and
true disclosure of the facts.
(c)
Evidentiary rules. All decisions regarding the introduction
and admissibility of evidence not previously specified are to be determined
by a majority of the Hearing Board.
(d)
Rules of procedure. The Board of Ethics shall have the power to adopt and amend rules of procedure for hearings conducted pursuant to the Code of Ethics, provided that such rules are approved by a majority vote of the entire Common Council. Any rules of procedure or amendments thereto shall become effective 30 days after adoption, and the full text of the rules for procedure, adopted in accordance with this section, shall be published and maintained as part of Chapter
32 of the Code of the City of Norwalk.
(e)
Due process. All Board of Ethics hearings shall be conducted
in such a manner as to provide the Complainant and Respondent with
all due process that is required by federal, state and local law.
(f)
Recording and transcription of hearings. Upon the request of
the Complainant, the Respondent, the Investigating Panel or a member
of the Hearing Board, the Hearing Board shall cause the hearings to
be recorded and/or a transcription to be made thereof. If either the
Respondent or Complainant requests a copy of the recording or transcript,
the requesting party shall bear the costs for the same.
(g)
Witnesses; issuance of subpoenas. The Hearing Board may subpoena witnesses to testify and may compel production of documents and other effects as evidence, and such subpoena may be enforced as provided under Chapter
32 of the Code of the City of Norwalk and state law.
(h)
Public's right of access. In order to ensure the public's right
of access to the proceedings held in accordance with the provisions
of this chapter, the Board of Ethics, in conducting hearings before
the Hearing Board, shall follow the requirements of the Connecticut
Freedom of Information Act.
(8) Stipulations of parties and settlement. At any time after an ethics
complaint has been made, the Board of Ethics, Investigating Panel
or the Hearing Board may accept stipulated findings and/or a settlement
from a Respondent.
D. Annual report. On or before June 1 of each Year, the Board of Ethics
shall submit to the members of the Common Council, the Mayor, and
the Corporation Counsel a written report, which shall include, but
not be limited to, a summary of its activities and recommendations
for improvements in the Code of Ethics.
E. Educational programs and materials.
(1) Educational programs. The Board of Ethics shall hold or sponsor at
least one educational program for the City and its Employees and Officers
annually.
(2) Handbook. The Board of Ethics shall create and maintain a handbook,
which shall include a copy of this chapter. A copy of the handbook
shall be kept at the City Clerk's office and shall be available for
inspection by the public and distributed to all Officers and Employees.
[Amended 1-28-2020]
It is contemplated by this Code that Persons making complaints
and respondents to any ethics complaint made under the Code shall
not be represented by counsel appointed by or paid for by the City.
In appropriate circumstances when a respondent has not been found
in violation of this Code by the Hearing Board, the Board of Ethics
may recommend to the Common Council that a respondent be reimbursed
for all or a portion of his or her expenses incurred in defending
an ethics complaint, including the reasonable costs of the respondent's
counsel. The Council may authorize such reimbursement subject to the
availability of funding by the City.
This Code of Ethics shall be effective as of Tuesday, November
27, 2007.