[HISTORY: Adopted by the Board of Selectmen of the Town of
Ellington 1-13-2014. Amendments noted where applicable.]
The purpose of the Town of Ellington Code of Ethics is to:
A.
Provide a code of ethical conduct to guide its elected officials,
appointed officials and employees in the proper discharge of their
official responsibilities.
B.
Provide a Code of Ethics for the prevention of the misuse of one's
official position for personal financial gain.
C.
Provide an independent commission to hear, review and evaluate complaints
under the Code of Ethics which is a critical link between persons
subject to the code and our residents' confidence in ethical
Town governance.
A.
ADVISORY OPINIONS
APPOINTED OFFICIAL
CODE
COMPLAINANT
CONFIDENTIAL INFORMATION
CONFLICT OF INTEREST
ELECTED OFFICIAL
EMPLOYEE/PERSONNEL
GIFT
IMMEDIATE FAMILY MEMBER
PERSONAL FINANCIAL INTEREST
PERSON SUBJECT TO THE CODE
PROBABLE CAUSE
PROPRIETARY INTEREST
RESPONDENT
As used in this chapter, the following terms shall have the meanings
indicated:
Written opinions of the Ethics Commission regarding whether situations or activities may or may not result in a violation of the Code of Ethics not pertaining to a specific person subject to the code. (Refer to § 67-6 for further details.)
A person who is appointed by the Board of Selectmen to serve
on any appointed board, agency or commission of the Town, with or
without compensation, in accordance with the Town Charter.
The Code of Ethics adopted by the Board of Selectmen in accordance
with Section 825 of the Town Charter.
The person who alleges a violation of the Code of Ethics
by a person subject to the code.
Information, whether transmitted orally or in writing, which
is obtained by reason of the public position or office held and is
of such nature that it is not, at the time of transmission, a matter
of public record or public knowledge and not subject to disclosure
under the Freedom of Information Act.
A conflict between one's obligation to the Town or the
position served and one's self-interest.
A person who is elected by electors of the Town, with or
without compensation, to any elected board, agency or commission of
the Town in accordance with the Town Charter.
A person who holds a compensated position of employment with
the Town, with the exception of individuals who receive only stipends
and/or seasonal workers (Department of Recreation summer help, etc.).
A payment, subscription, advance, forbearance, rendering
of service, deposit of money, or anything of value, unless consideration
of equal or greater value is transferred in its place. The term "gift"
shall not include: a political contribution otherwise reported by
law, services provided to support a political candidate or political
party without compensation by persons volunteering their time; a commercially
reasonable loan made on terms not more favorable than loans made in
the ordinary course of business; anything of value received because
of a family member or other close personal relationship with the donor;
an occasional nonpecuniary gift, insignificant in value; an award
publicly presented in recognition of public service or any other gift
which would have been offered or given to him if he were not a public
official or Town employee.
Includes spouse, domestic partner, parents, step- parents,
brother, sister, children, grandparents and grandchildren, as well
as any other person who permanently resides in the individual's
household, whether related or not.
A direct or indirect pecuniary or material benefit accruing
to a person subject to the Code of Ethics or an immediate family member.
A person bound by reason of his office or position not to
violate the provisions of this Code of Ethics and includes appointed
officials, elected officials, employee/personnel, Town Attorney and
Town Engineer.
The existence of facts and circumstances within one's
knowledge, and of which one has reasonably trustworthy information,
sufficient in itself to warrant a person of reasonable caution to
believe that a violation of the Code of Ethics has occurred.
A financial asset that is privately owned and/or controlled.
The person against whom a complaint is brought.
B.
Usage. When the context so requires, the masculine gender shall include
the feminine, and the singular shall include the plural, and the plural
the singular.
A.
In Section 7-148h(a) of the General Statutes, the Legislature of
the State of Connecticut delegates to local government units the power
to establish a commission to investigate allegations of unethical
conduct, corrupting influence, illegal activities or other behavior
levied against any elected official, appointed official or employee
that would reflect adversely against the interests of the Town of
Ellington. Therefore, the Town of Ellington has included in the Town
Charter, Section 825, establishing an Ethics Commission as follows:
"The Board of Selectman shall appoint an Ethics Commission,
in accordance with the provisions of Section 802 of this charter,
consisting of five (5) members to serve staggered terms of four (4)
years. The Ethics Commission shall promote and affirm ethical behavior
of the Town's boards, commissions, employees, elected and appointed
officials. The Ethics Commission shall draft an Ethics Code for the
Town for approval by the Board of Selectmen. The Ethics Commission
will receive inquiries and requests for advisory opinions from town
officials, employees, consultants and residents regarding possible
code violations and will respond with formal procedures. The Ethics
Commission will review, evaluate, resolve and adjudicate, as appropriate,
ethical issues and concerns; disseminate informational and educational
materials to enhance public awareness of the code; and maintain open-minded
impartiality in all Ethics Commission dealings consistent with the
application of precedent and rationale in its decision making."
B.
The Ethics Commission has established the following rules by which
it shall function:
(1)
Vacancies shall be filled by the Board of Selectmen in accordance
with the Town Charter.
(2)
The Ethics Commission shall elect a Chairman and Vice Chairman annually.
(3)
Three members shall constitute a quorum; and a majority vote of the
quorum shall be required for action of the Commission, with the following
two exceptions:
(4)
The Commission will meet according to the published schedule, but
at least quarterly. The Commission will review the code for revisions
and amendments at least annually. The Commission shall keep minutes
of its meetings.
(5)
Any amendments to the code will be made on the recommendation of
the Ethics Commission, adopted by the Board of Selectmen and in accordance
with the Town Charter, effective as set forth by the Board of Selectmen.
(6)
The Commission will establish regulations and procedures for the
initiation and handling of complaints.
(7)
The Commission may retain independent counsel, as deemed necessary,
in accordance with the Town Charter, Section 913, Town Attorney, subject
to approval of the Board of Selectmen. The independent counsel shall
not have a vote in any decision of the Commission.
(8)
No Ethics Commission member shall:
(a)
Hold or campaign for any Town public office, paid or unpaid,
during his term;
(b)
Be a person subject to the code, with the exception of a person
who serves solely as an ad-hoc committee member;
(c)
Be a principal party under any contract doing business with
the Town;
(d)
Receive any compensation for serving on the Commission, either
directly or indirectly;
(e)
Have been a person subject to the code for a period of one year
prior to appointment to the Ethics Commission;
(f)
Have been found in violation of any state, municipal or professional
Code of Ethics within the past seven years;
(g)
Participate in any Ethics Commission probable cause review,
evaluation or hearing, including the decision and voting process,
that involves an immediate family member or the supervisor/employer
of that family member;
(h)
Be a member of a Town political committee;
(i)
Serve on the Ethics Commission for more than one consecutive four-year term. Reappointment to the Ethics Commission must be in accordance with Subsection B(8)(e) as stated above, with the exception of the charter members of the Ethics Commission for the purpose of allowing them to serve one complete four-year term.
(9)
Confidentiality.
(a)
In accordance with Connecticut General Statutes, Section 1-82a,
Commission members are required to keep confidential all complaints,
allegations, information supplied to or received from the Commission,
information learned from any preliminary review or evaluation discussions,
decisions and records until such time that the Commission makes a
finding of probable cause, except upon the request of the respondent.
(b)
All past members of the Ethics Commission are bound to this
same rule of confidentiality.
The requirements herein set forth shall constitute reasonable
standards and guidelines for the ethical conduct of persons subject
to the code. The Commission will review and evaluate allegations of
unethical conduct levied against any person subject to the code.
A.
Disqualification in matters involving a personal financial or proprietary
interest. No person subject to the code shall participate in the hearing
or decision of the board or commission of which he is a member upon
any matter in which he or an immediate family member knowingly has
a direct or indirect personal financial interest. In the event of
self-disqualification, the fact of disqualification shall be entered
on the records of the commission or board but not necessarily the
reason for disqualification. No person subject to the code shall appear
for or represent any person in any matter pending before the commission
or board of which he is a member.
B.
Disclosures.
(1)
Disclosure of confidential information. No person subject to the
code shall disclose or use any confidential information concerning
Town of Ellington affairs for the purpose of advancing his or others'
personal financial interest.
(2)
Disclosure of any personal financial interest. Failure to disclose
any personal financial interest in any matter coming before any board,
commission, or agency of the Town by any person subject to the code
or failure to disclose his knowledge of an immediate family member
who has such a personal financial interest is a violation of this
code. If a conflict does exist, he should recuse himself.
C.
Gifts and favors. No person subject to the code or a member of his
immediate family shall solicit or accept any gift with a cumulative
value greater than $100, in any one year from any person or organization
who, to his knowledge, has a direct or indirect financial interest
in any manner in business dealings with the Town. Said limit of $100
shall apply to any and all gifts from all persons within one organization
and to any and all gifts from all organizations under common control.
D.
Use of influence. No person subject to the code shall solicit any
business, directly or indirectly, from another official or employee
over whom he has any direct or indirect control or influence with
respect to tenure, compensation or duties.
E.
Incompatible dealing. No person subject to the code shall engage
in or participate in any business or transaction, including outside
employment with a private business, or have an interest, direct or
indirect, which is incompatible with the proper discharge of his official
responsibilities or which would tend to impair his judgment or action
in the performance of his official responsibilities.
F.
Competitive bidding. Persons subject to the code, or business with
which he is associated, or a member of that person's immediate
family, shall not enter into a contract with the Town unless it is
awarded in accordance with Town Charter Sections 1008 through 1011.
G.
Use of Town assets. No person subject to the code shall use or permit
the use of Town funds, services, equipment, owned or leased vehicles,
materials or other property for personal convenience or profit, except
when such services are available to the public generally or are provided
in conformance with established Town policies.
No complaint may be made under this chapter later than three
years after the violation alleged in the complaint has been committed.
Complaints involving alleged violations prior to the adoption of this
code will not be considered.
The Commission may render an advisory opinion with respect to
the applicability of the code regarding specific situations to any
person subject to the code, person serving the Town, persons doing
business with the Town and Town residents, pursuant to a written request.
The Commission will make available to the public any advisory opinions
that do not invade an individual's privacy to the extent of the
law and may take other appropriate steps in an effort to increase
public awareness of this code. An advisory opinion shall provide a
defense to any complaint brought before the Commission on that subject
unless material facts were omitted or misstated in the request for
the advisory opinion. An advisory opinion request form may be obtained
from the Town Clerk's office.
A.
Procedure for receiving complaints. Complaints alleging a violation
of the code shall be submitted in writing in the following fashion:
(1)
All complaints must be submitted using the ethics complaint form.
The ethics complaint form can be obtained from the Town Clerk's
office.
(2)
The ethics complaint form must be signed, under penalty of false
statement, before a notary. If a person makes a false statement in
a complaint, the complainant shall be subject to penalties under the
provisions of Connecticut General Statutes Section 53a-157.
(3)
The Ethics Complaint Form may be submitted to the Commission by delivery
in any manner in a sealed envelope to:
|
Ellington Town Hall
Town Clerk's Office
Attn: Ethics Commission-Confidential
55 Main Street, PO Box 187
Ellington, CT 06029
|
(4)
Upon receipt of the sealed envelope, the Town Clerk's office
shall notify the Chairman of the Commission of such receipt via phone
or other methods to ensure notification and forward the sealed envelope
to the Ethics Commission Chairman or his designee.
(5)
All filed complaints must specify the alleged violation act(s), identify
the section of the code that is alleged to have been violated, the
dates or approximate dates of such alleged acts, and set forth a summary
of the evidence upon which the complainant will rely to support the
allegations in the complaint. In summarizing the evidence, the complainant
must summarize the nature and content of expected testimony but need
not identify any witness other than himself who may testify.
(6)
Not later than 10 business days after the receipt of such complaint
by the Town Clerk, the Commission shall provide notice of such receipt
by certified mail to the complainant and to the respondent.
(7)
The Commission will begin its evaluation, as described below, of
any complaint(s) alleging a violation of the code at its next regularly
scheduled meeting or a special meeting if necessary.
B.
Jurisdiction.
(1)
The jurisdiction of the Commission's investigatory powers is
limited to alleged violations of the code.
(2)
The Commission will confirm that the Commission has jurisdiction
over the subject matter, the Commission has jurisdiction over the
person (respondent), and the complaint states a claim upon which relief
can be granted. The Commission will conduct a probable cause review
and evaluation of the alleged violation of the code, unless the evaluation
discloses a lack of jurisdiction or subject matter.
(3)
If the Commission dismisses the complaint, it shall inform the complainant
and the respondent of its finding, and provide a summary of its reasons
for making that finding, within 10 business days, by certified mail.
If the Commission finds that it has jurisdiction and meets the requirements
above, it shall inform the complainant and the respondent of its finding
and provide a summary of its reasons for making that finding, within
30 business days, by certified mail. The Commission's decision
of jurisdiction will be final, unless new evidence is introduced,
and will be binding on all involved individuals.
C.
Probable cause determination.
(1)
In accordance with General Statutes Section 1-82a, the Commission shall conduct a confidential review and evaluation to determine if probable cause exists that a violation of the code could have or is occurring. These inquiries may include interviews or discussions with the complainant, respondent, any person subject to the code, persons serving the Town or persons doing business with the Town or members of other public and private agencies or persons who may have first-hand knowledge relating to the complaint. All probable cause reviews and evaluations shall be held in compliance with Connecticut General Statutes Section 7-148h(a) seq., as described in Subsection D. All review and evaluation discussions will be conducted in executive session, unless waived by the respondent. There must be facts and circumstances of which the Commission is aware and deems trustworthy sufficient to justify the belief of a reasonable person, that a violation of the code has been or is being committed and that the respondent is the person who committed it.
(2)
At the conclusion of the review and evaluation, the Commission will
dismiss the complaint if it finds that there is a lack of probable
cause. The Commission shall inform the complainant and the respondent
of its findings and decision by certified mail within 10 business
days.
(3)
At the conclusion of the review and evaluation, if the Commission
finds that probable cause does exist, by a concurring vote of at least
three of its members, the Commission will schedule a violation hearing
to determine if a violation of the code did occur or is occurring.
The Commission shall inform the complainant and the respondent of
its decision to hold a violation hearing. The complainant and respondent
will be notified by certified mail within 10 business days. That finding
shall become public and be included in the Commission's minutes.
(4)
The Commission's probable cause review and evaluation shall
be completed within 45 business days from the determination of jurisdiction.
D.
Hearings after determination of probable cause.
(1)
The Commission shall have the power to hold violation hearings, administer
oaths, examine witnesses, and receive oral and documentary evidence.
In accordance with the provisions of Connecticut General Statutes
Section 7-148h(a), it may issue subpoenas or subpoenas duces tecum,
enforceable upon application to the Superior Court, to compel the
attendance of persons at hearings and the production of books, documents,
records and papers which the Commission deems relevant to the hearing
process.
(2)
No later than the 10 days prior to the commencement of any hearing
conducted pursuant to this subsection, the Commission, complainant
and respondent shall exchange lists of intended witnesses. Failure
to give such notice will act as a waiver of the omitting parties'
right to present testimony from a witness not on their witness list.
The Commission may waive this requirement or reschedule a hearing
for good cause shown.
(3)
At this violation hearing:
(a)
The Commission shall make a record of all proceedings conducted
pursuant to this subsection.
(b)
The Commission shall examine witnesses and receive oral and
documentary evidence it deems relevant to the matter under consideration.
(c)
The complainant shall have the opportunity to appear before
the Commission to present corroborating evidence and witnesses, who
must testify under oath, in support of the allegations in the complaint.
(d)
The respondent shall have the right to appear and be heard,
to present witnesses and offer any evidence which may establish that
no violation of this code exists.
(e)
The respondent and complainant shall have the right to be represented
by legal counsel and to examine and cross-examine witnesses.
(f)
The Commission shall be governed by the administrative rules
of evidence.
(g)
The Commission shall determine whether or not a violation occurred.
(4)
The Commission shall inform the complainant and respondent of its
findings and provide a written statement containing its decision and
reasons for making that decision. This notification will be made by
certified mail within 10 business days.
(5)
The record of its findings shall be made public and be included in
the Commission's minutes, within 10 business days.
(6)
The hearing shall be completed within 60 business days from the time
of the determination of probable cause.
E.
Any of the time limits set forth in this code are directory and not
mandatory and may be extended upon the written request of any party
with the approval of the Commission. The extension of a deadline shall
automatically extend all subsequent deadlines by the period of the
extension unless specifically otherwise provided. The Commission may
extend any timeline at its discretion.
F.
The Commission shall maintain a record of all complaints filed. If,
in the Commission's opinion, it perceives abuse in the filing
of baseless complaints by an individual or organization, the Commission
may refuse to take action on future complaints.
If the Commission determines the respondent has in fact violated
the provisions of this code, it shall file a memorandum of decision.
This memorandum shall include a recommendation for action by the Board
of Selectmen or the Board of Education, as appropriate. The authority
affected shall inform the Commission of the action taken or lack of
action and the reasons therefor.
A.
The recommended action may include, but not be limited to:
B.
No action may be recommended which would violate the provisions of
state or federal law. In the case of union employees, such recommended
action does not constitute a unilateral change in the conditions of
employment. No such recommendation shall limit the authority of the
Board of Selectmen or Board of Education under the Town Charter or
under any ordinance, statute, or any other law or contract. Any discussion
by the Board of Selectmen or Board of Education of an individual affected
by the memorandum of decision shall be in executive session, unless
the individual affected requests that such discussion be held in open
session and be done in accordance with due process.
C.
Any person who knowingly files a false statement under this code
is subject to prosecution under General Statutes Section 53a-157b.
The Commission's finding and its memorandum of decision
and recommendation for action filed with the Board of Selectmen or
the Board of Education is a preliminary step pursuant to this code.
The Board of Selectmen or the Board of Education, as appropriate,
may review the record, conduct a further hearing or meeting, and permit
either complainant or respondent to present further evidence as it
finds appropriate. Thereafter, its decision will be final and binding
upon both the respondent and the Ethics Commission from which either
party who is aggrieved may appeal to the Superior Court under its
rules.
The Town Clerk shall provide a copy of this code to every person
subject to the code within 60 days after enactment of this code. Thereafter,
each new person subject to the code shall be furnished a copy before
entering upon the duties of his office or employment. This code shall
be made available to the general public at the Town Clerk's office.
