[HISTORY: Adopted by the City of Norwalk Common Council 6-26-2007.[1] Amendments noted where applicable.]
GENERAL REFERENCES
Administration — See Ch. 9.
[1]
Editor's Note: This ordinance also superseded former Ch. 32,
Code of Ethics, adopted 9-12-1967, effective 9-30-1967.
[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]
A.
Public service is a public trust, and the proper operation of the
City of Norwalk requires that all City Officers and Employees, whether
elected or appointed, paid or unpaid, be impartial and responsible
to the public. Public office and employment must not be used for unfair
personal or financial advantage. The public needs and deserves to
have confidence in the integrity of the municipal government of our
City.
B.
Officers and Employees of the City of Norwalk must refrain from personal,
business, and financial activities that adversely affect the Individual's
fidelity and impartiality, having regard for the nature and scope
of their official responsibilities.
C.
In recognition of the aforementioned principles, there is hereby
established a Code of Ethics which shall apply for all City Officers
and Employees.
[Amended 7-23-2019]
As used in this chapter, the following terms shall have the
meanings indicated:
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.
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.
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.
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.
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.
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.
A natural person.
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.
An Individual elected or appointed to an Agency, including
but not limited to ad hoc or advisory committee members.
Nonunion Employees, including management and confidential
Employees.
Includes associations, firms, partnerships and bodies politic
and corporate, as well as Individuals.
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.
The municipal fiscal year as established by the Connecticut
General Statutes.
[Amended 1-12-2021]
A.
"Conflict of interest" means any of the following:
(1)
A conflict of interest arises when there is a direct or indirect
personal or financial interest of an Officer or Employee, Immediate
Family or a business associate in the outcome of an official act or
action, or any other matter pending before the Officer or Employee
or before the public body in which the Officer or Employee holds office
or is employed. A conflict of interest may include, but not be limited
to, the following forms:
(a)
A direct financial conflict of interest arises when an Officer
or Employee acts on a matter from which he or she derives a Financial
Benefit.
(b)
An indirect financial conflict of interest arises when an Officer
or Employee acts on a matter from which his or her Immediate Family
or business associate derives a Financial Benefit.
(c)
A direct personal conflict of interest arises when an Officer
or Employee acts on a matter that has a direct impact on the Officer
or Employee in a nonfinancial way.
(d)
An indirect personal conflict of interest arises when an Immediate
Family member or business associate of an Officer or Employee receives
an improper benefit as a result of an act or decision by the Officer
or Employee.
B.
Prohibited actions and transactions. Unless otherwise provided in § 32-4, an Employee or Officer shall not:
(1)
Take any action, directly or indirectly, to coerce, command or require
an Employee, Officer or Agency to appoint an Immediate Family member
to a City position, whether paid or unpaid.
(2)
Have a role, directly or indirectly, in obtaining a Financial Benefit,
hiring, promoting, demoting, disciplining, or taking other personnel
action involving an Immediate Family member.
(3)
Take any action, directly or indirectly, to coerce, command or require
an Employee, Officer or Agency to refrain from hiring, promoting,
demoting, disciplining, or taking other personnel action involving
an Immediate Family member.
(4)
Provide a Financial Benefit to a business which is owned, operated,
and/or controlled by an Immediate Family member.
(5)
Engage in any business or transaction, directly or indirectly, that
is in material conflict with, influences and/or impairs his or her
independence of judgment and action in the proper discharge of his
or her official duties.
(6)
Deliberate or participate in a decision or action by the Agency of
which the Individual is a member or is employed if such Individual
or any member of his or her Immediate Family has any interest in the
matter or would be likely to gain or lose any benefit that is not
common to the general interest of the public as a result of the decision
or action before that Agency, unless otherwise provided by law.
(7)
Grant, by virtue of his or her office or position of employment with
the City, any special consideration, treatment or advantage to any
Person beyond that which is generally available to the public.
(8)
Receive by virtue of his or her office or position of employment
with the City, any special consideration, treatment or advantage in
any activity or business transaction beyond that which is generally
available to the public or Officers and Employees of the City.
C.
Exceptions. A "conflict of interest" does not arise in the case of an official act or action in which the Officer or Employee has a personal or financial interest in the outcome, such as in the establishment of a tax rate, that is no greater than that of other persons generally affected by the decision. In addition, Subsections A and B of this section do not prohibit the following:
(1)
The employment of an Officer or Employee by a Person who has or who
may enter into a contract with the City that is available to members
of the general public through open bidding or other process, if the
preparation, procurement or performance of the contract is not before
the Officer's or Employee's Agency or the Officer or Employee
is not responsible for any aspect of the transaction underlying the
contract, and the Officer's or Employee's relationship is
disclosed in writing to the City Clerk.
(2)
A purchase, sale, foreclosure or condemnation of property or any
interest therein involving the City and an Officer or Employee of
the City, if the transaction is conducted according to applicable
public procedures. The Officer or Employee must take no part in the
transaction on behalf of the City and an independent Officer or Agency
must approve the terms of the transaction, in writing.
(3)
A contract or transaction between an Officer or Employee and the
City, which contract or transaction does not involve his or her Agency
and is available to the general public through open bidding or other
process.
(4)
Performance of a contract involving the City and an Officer or Employee
or a member of his or her Immediate Family, which was executed or
entered prior to the date of hire, appointment or election of such
Officer or Employee by the City, when written disclosure of the terms
of such contract is filed in accordance with this Code of Ethics with
the City Clerk.
(5)
Employment of an Officer or Employee by a media organization that
publishes a public notice, resolution, ordinance or other document,
the publication of which is required by law.
(6)
Unless otherwise prohibited by law, nothing herein shall preclude
an Officer or Employee of the City from serving on the board of charitable
or nonprofit entities, provided that the Officer or Employee makes
written disclosure of the relationship to the City Clerk and the Officer
or Employee shall take no action with regard to the City related to
such charitable or nonprofit entity.
(7)
Unless otherwise prohibited by law, nothing herein shall preclude
an Officer or Employee of the City from serving on the board of an
entity or Agency as a designated representative of the City and in
such capacity his or her actions as a representative of the City shall
not of itself constitute a conflict of interest under this Code of
Ethics.
(8)
An Officer or Employee participating in any program offered by the
City to Employees and Officers generally, including such programs
as discount purchase programs, health and education programs, and
recreational events.
(9)
City's Ordinance List Employees may represent the City's
interests in any City labor contract negotiation or grievance procedure.
[Amended 7-23-2019]
A.
No Officer or Employee shall represent a Person or entity, other
than the City, before or on behalf of any Agency of which he or she
is a member, by which he or she is employed, or which is under his
or her supervisory authority. This provision shall not preclude an
Officer or Employee of the City from representing constituents in
the course of his or her responsibilities for the City, provided that
the Officer or Employee may accept no compensation or gift for such
representation.
B.
An Officer or Employee who or whose Immediate Family member is employed
or under retainer by a Person having a matter pending before the Agency
of which the Officer or Employee is an Officer or Employee shall disclose
that fact in writing to the Agency and the City Clerk and shall abstain
from participation in any deliberation, discussion, vote or other
action relating to the matter.
[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]
A.
An Officer or Employee shall not attempt to influence any other Officer,
Employee or Agency concerning the handling of any matter or transaction
of any business in which such Officer or Employee, or his or her Immediate
Family, has an interest, or from which he or she would be likely to
gain or lose any material benefit that is not shared in common with
the general public. This subsection does not prohibit an Officer or
Employee from communicating with other Officers, Employees or Agencies
about a matter in which he or she has a financial or other legally
protected interest, if such contact does not have as its goal the
exertion of undue influence over the outcome and if the communication
conforms to the following:
(1)
It is limited to communications with an Officer, Employee or Agency
responsible for the matter on behalf of the City; and
(2)
It is reasonable and necessary in terms of the customary conduct
of the matter and is limited to lawful means and terms available to
members of the public generally in similar circumstances.
B.
Unless otherwise required by federal, state or local law, an Officer
or Employee shall not disclose confidential City information other
than in accordance with established City procedures or with appropriate
authorization from the City.
C.
An Officer or Employee shall not use to his or her advantage, any
confidential City information for the purpose of advancing his or
her financial or personal interest, or the interest of their employer
(if they are not an Employee of the City), or the interest of a member
of his or her Immediate Family.
D.
No Officer or Employee shall be required to participate in political
campaigns for candidates, parties, political organizations or public
issues. Nothing in this Code of Ethics shall preclude an Officer or
Employee from seeking elective office and campaigning in connection
therewith or in voluntarily participating in any political campaigns,
parties, political organizations or public issues.
[Amended 8-25-2020]
A.
Except as otherwise provided in this section, an Officer or Employee
within the scope of his or her official responsibility and/or authority
shall not, directly or indirectly, solicit or accept any gift, form
of service, compensation or any item of property of a value exceeding
$150 in aggregate over the period of one Year, from anyone or any
institution covered by this code.
B.
No Officer or Employee shall, knowingly or unknowingly, give, directly
or indirectly, any gift in violation of this section.
C.
Notwithstanding the foregoing, this section does not prohibit the
following:
(1)
Gifts or social courtesies related to a family relationship or established
personal friendship between an Officer or Employee and the donor,
which are not designed to influence the judgment or action of the
Officer or Employee within the scope of his or her official responsibility
and/or authority.
(2)
Attendance at events of a charitable, public, governmental, informational
or business nature where refreshments may be served and small souvenirs
of the event may be distributed or made available to all attendees,
and which are not designed to influence the proper judgment or action
of the Officer or Employee within the scope of his or her official
responsibility and/or authority.
(3)
Political contributions received in compliance with applicable laws
and regulations.
(4)
Loans obtained according to prevailing commercial practices at the
prevailing public rates of interest.
(5)
Customary performance and merit awards or honorariums, bestowed in
compliance with applicable City practices.
(6)
Certificates, plaques, awards or other ceremonial awards having a
value of not more than $200 as well as any other things of value given
to Officers or Employees as part of an official recognition/incentive
program.
(7)
Meals and refreshments provided to an Officer or Employee, which
are not designed to influence the proper judgment or action of the
Officer or Employee in a matter within his or her authority, at any
meeting which the Officer or Employee attends within the scope of
his or her official responsibility and/or authority.
(8)
Goods or services provided to the City.
(9)
Meals and refreshments served in an Individual's personal home.
(10)
A rebate or discount on the price of anything sold for value made
in the ordinary course of business without regard to the Person's
status as an Officer or Employee of the City.
(11)
Printed or recorded information, photographs, and maps germane to
governmental action or functions.
[Amended 9-24-2019]
A.
Ordinances. It shall be a violation of the Code of Ethics for any
Officer or Employee to willfully violate any provisions of the Code
of the City of Norwalk concerning the purchasing of supplies, materials,
equipment and services.
B.
Removal of original records. It shall be a violation of the Code
of Ethics for any Officer or Employee or former Officer or Employee
to take for personal or other non-City use any original records, files
or documents belonging to the City. With appropriate authorization,
Officers and Employees may take copies of nonconfidential documents
to the same extent such documents would be available to the public.
C.
Access to information by Board of Ethics. It shall be a violation
of the Code of Ethics for any Officer or Employee to intentionally
deny access to information requested by the Board of Ethics or a duly
appointed Investigating Panel in the course of an investigation or
a public hearing, except to the extent that such information is exempt
from disclosure or otherwise privileged under relevant federal, state
or local law.
D.
Whistle blower protection. It shall be a violation of the Code of
Ethics for any Officer, Employee, or Agency to threaten or retaliate
or take any actions against an Individual, including in areas of employment,
career advancement opportunities, benefits or contracting, as result
of that Individual making an ethics complaint or providing truthful
information as part of any investigation of or hearing on an ethics
complaint.
E.
Violation of confidentiality. It shall be a violation of the Ethics
Code for any Officer, Employee or Agency to intentionally violate
any confidentiality requirement provided for under the Ethics Code.
F.
Additional specific violations. The Common Council may, from time
to time, pass ordinances with the specific intent that said ordinances
are to be incorporated into and enforced through the ethics process.
G.
Examples only. Violations of the Code of Ethics are not limited to
the specific examples listed herein and may include other circumstances
and actions that contravene the purpose and intent of the Code.
[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 9-24-2019]
A.
An Individual who has served as an Officer or Employee shall not
within one year after termination of his or her service, assist any
third party, for monetary or other valuable compensation, before the
Agency for which the Officer or Employee served or was employed, in
any matter in which said Officer or Employee participated personally
and substantially during his or her service with the City.
B.
No Agency shall employ any Individual who has served as an Officer
of the Agency during the preceding 12 months or any Immediate Family
member of an Individual who has served as an Officer of the Agency
during the preceding twelve (12) months.
[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:
(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 9-24-2019]
A.
A violation of this Code of Ethics:
(1)
By an elected Officer may be considered dereliction of official duty,
and therefore a cause for censure, impeachment or removal from office
under the Code of the City of Norwalk.
(2)
By an Officer of an appointed board or commission may be considered
misconduct in the performance of duties and therefore a ground for
censure or removal under the Code of the City of Norwalk.
(3)
By an Employee of an Agency may be considered misconduct and therefore
a ground for censure or discipline, including demotion in rank or
grade, termination of a contract or discharge under the Code of the
City of Norwalk and any applicable labor agreement.
B.
Any Individual who is found in violation of this chapter may be subject
to a civil action by the City to recover damages, if any, that are
incurred by the City as a result of said Individual's unethical conduct.
The costs of the hearing process under this Code of Ethics shall not
be included in the aforementioned damages and shall not be recoverable
under the provisions of this subsection.
C.
Any Officer or Employee who is determined to have violated the provisions
of this chapter shall have a copy of said decision placed in his or
her official personnel file.
D.
The effect of a violation of this Code of Ethics on the validity
of a decision or action in connection with which the violation occurred
shall be determined by general principles of law.
E.
Any Officer or Employee who is determined to have violated the provisions
of this chapter may be subject to a fine in an amount up to $250 per
violation, and such fine may be in addition to any other discipline
imposed under this chapter.
F.
Where there has been a violation of the Norwalk Code of Ethics, the
City may void any municipal purchase, contract or ruling which the
Board of Ethics has found to have been influenced by that violation,
pursuant to Section 7-479 of the Connecticut General Statutes.
[Amended 9-24-2019]
A.
Except as provided in Subsection B of this section, no allegation in a complaint of a violation of the Code of Ethics shall be ruled upon by the Board of Ethics if six months or more has passed between the time of the alleged violation and the filing of the complaint. In the event that multiple violations have been alleged, only those violations alleged in the complaint which have occurred within six months of the filing of the complaint to the Board of Ethics may be the subject of a hearing.
B.
In the event that a violation or evidence of a violation of this
Code of Ethics has been actively concealed, such action shall have
the effect of tolling the period of limitation during said period
of concealment until such alleged violation is discovered.
C.
If an Officer or Employee under investigation leaves office or employment,
the Board of Ethics, by a majority vote, shall have the power to continue
the investigation.
[Amended 9-24-2019]
A.
The Board of Ethics may propose revisions to the Code of Ethics to
the Common Council to ensure its continuing effectiveness, and to
hold public hearings, in its discretion, on matters pertaining to
the administration of the Code of Ethics.
[Amended 1-28-2020]
A.
The Board
of Ethics shall be authorized to incur costs for providing education
and training programs for the City and its Officers and Employees,
subject to the City's annual budget. The Board of Ethics shall also
be authorized to incur costs for investigating and prosecuting any
alleged ethics violation(s) and in responding to requests for advisory
opinions, subject to the City's annual budget. The Board of Ethics
shall seek an annual appropriation to be used to cover its costs during
the Year and may seek such further or increased appropriations as
may be necessary to carry out the terms of this Code of Ethics.
B.
The Law
Department shall assist the Board of Ethics in implementing its responsibilities
under this Code and shall serve as staff to the Board of Ethics and
any Hearing Board appointed under this Code. The Board of Ethics,
in appropriate circumstances, may retain independent counsel to represent
the Board, any Investigating Panel or any Hearing Board.
[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.
