[HISTORY: Adopted by the Special Town Meeting
of the Town of Griswold 4-22-2004.[1]; amended in its entirety 12-8-2009. Subsequent amendments noted where applicable.]
[1]
Editor's Note: This ordinance also repealed
former Ch. 35, Code of Ethics, adopted by Special Town Meeting 4-22-2004.
[Amended 10-24-2017 STM]
This chapter shall be known and referred to as the “Code of Ethics” of the Town of Griswold. The forms referenced in this Code of Ethics (Form A, Request for Advisory Opinion; Form B, Complaint of Alleged Ethics Code Violation; and Form C, Agreement to Comply with the Griswold Code of Ethics) are located at the end of this chapter and are also available in the office of the Griswold Town Clerk. The Commission may modify or discontinue use of such forms, or create new forms, upon the affirmative vote of at least four concurring members of the Commission during the meeting of the Commission duly called for such purpose.
[Amended 10-24-2017 STM]
Public office is a public trust. The trust of
the public is essential for government to function effectively. Public
policy developed by government officials and employees affects every
citizen of the Town of Griswold, and it must be based on honest and
fair deliberations and decisions. This process must be free from threats,
favoritism, undue influence, conflicts of interest and all forms of
impropriety so that the confidence of the public is not eroded. By
enacting this chapter, the Town of Griswold seeks to avoid any loss
of trust and to maintain and increase the confidence of its citizens
in the integrity and fairness of their government.
This chapter shall be applied to and be binding
upon every officer, official, agent, employee, consultant, agency
and every member of any board, commission or committee of the Town
of Griswold.
For the purposes of this chapter, the following
words shall have the meanings respectively ascribed to them by this
section:
A written opinion of the Commission interpreting this Ethics
Code or applying any of its provisions to a given statement of facts.
Any sole proprietorship, partnership, firm, corporation,
trust or her entity through which business for profit or not for profit
is conducted in which the Town official or employee or a member of
his or her immediate family is a director, officer, owner, limited
or general partner, beneficiary of a trust or holder of stock constituting
5% or more of the total outstanding stock of any class.
The municipal ethics commission established in this Chapter 35.
Information, whether transmitted orally or in writing, that
a person obtains by reason of the public position or office he or
she holds and is of such nature that it is not, at the time of transmission,
a matter of public record or public knowledge.
No person subject to this Code of Ethics shall have any interest,
financial or otherwise, direct or indirect, or engage in any business,
employment, transaction or professional activity, or incur any obligation
of any nature, which is in substantial conflict with the proper discharge
of his or her public duties or employment. Without limitation of the
generality of the foregoing sentence, a person subject to this Code
of Ethics has an interest which is in substantial conflict with the
proper discharge of his or her duties or employment in the public
interest and of his or her responsibilities as prescribed by applicable
law and/or the Town of Griswold if he or she has reason to believe
or expect that he or she, or his or her immediate family member or
a business with which he or she or such immediate family member is
associated, will derive a direct monetary gain or suffer a direct
monetary loss, as the case may be, by reason of his or her official
activity. Such person does not have an interest which is in substantial
conflict with the proper discharge of his or her duties in the public
interest and of his or her responsibilities as prescribed by applicable
law and/or the Town of Griswold if any benefit or detriment accrues
to such person, his or her immediate family member or a business with
which such person or his or her immediate family member is associated
as a member of a profession, occupation or group to no greater extent
than any other member of such business, profession, occupation or
group. All persons subject to this Code of Ethics shall seek to avoid
even the appearance of impropriety as it relates to this section.
A person subject to this Code of Ethics who has a substantial conflict
may not take official action on such matter.
[Added 10-24-2017 STM]
See "Town employee."
Anything of value, including entertainment, food, beverage,
travel, and lodging given or paid to a Town official or employee,
unless consideration of equal or greater value is given by the Town
official or employee in return. A gift does not include:
A political contribution, as defined in C.G.S. § 9-601a
(formerly § 9-333b) that is otherwise reported as required
by law, or any type of payment or donation of personal property described
in that statute;
Services provided to the Town, or to a Town commission, board
or agency, by persons volunteering their time;
A commercially reasonable loan made on terms not more favorable
than loans made in the ordinary course of business;
A gift received from an individual's spouse, fiance, parent,
brother, sister, child, grandparent, great-grandparent, aunt, uncle,
niece, or nephew, or from a parent of the individual's spouse
or a spouse of the individual's child;
Goods or services that are provided to the Town and that facilitate
the Town's action or functions;
A certificate, plaque or other ceremonial award costing less
than $200;
A rebate, discount or promotional item available to the general
public;
Printed or recorded informational material germane to Town action
or functions;
Items of nominal value containing or displaying promotional
material;
An honorary degree bestowed upon a Town official or employee
by a public or private university or college;
A meal provided at an event at which the Town official or employee
participates in his official capacity, and a waiver of the registration
and entrance fees to attend such an event;
A meal provided in the home by an individual who resides in
the municipality;
Items of nominal value tendered on gift-giving occasions generally
recognized by the public, including Christmas, Hanukkah, birthdays,
the birth or adoption of a child, weddings, confirmations or bar/bat
mitzvah, provided the total value of such gifts in any calendar year
does not exceed $50; and
Other items of nominal value, provided the total value of such
gifts in any calendar year does not exceed $50.
Any parent, spouse, child or dependent relative.
A person who supplies goods or services to the Town of Griswold
under a purchase order, contract, or agreement, but who would not
be defined or deemed to be a "municipal employee" within the meaning
of Chapter 113 of the Connecticut General Statutes.
A natural person.
A value of $25 or less.
See "Town official."
The direct administrative or operating authority, whether
intermediate or final and whether exercisable personally or through
subordinates, to approve, disapprove, or otherwise direct government
action.
An individual, sole proprietorship, trust, corporation, union,
association, firm, partnership, committee, club or other organization
or group of persons.
A person who is hired to provide specific information and/or
advice to the Town on an independent contractual basis, but who is
not an employee of the Town.
An individual, other than an independent contractor, who
is employed by the Town of Griswold in any capacity, whether as a
classified or unclassified employee or on a contractual, permanent,
temporary, full-time or part-time basis.
An elected or appointed official, whether paid or unpaid
or full- or part-time, of the Town of Griswold.
A.
There
shall be an Ethics Commission consisting of five regular members and
one alternate member who shall be appointed by the Board of Selectmen,
provided that the appointment of each such member must be by a unanimous
vote of the Selectmen. The members of the Commission shall each serve
for a term of three years, except that, of the initially appointed
members, one shall serve for one year, two shall serve for two years,
and two shall serve for three years. No more than three shall be members
of the same political party. Each member must be an elector of the
Town of Griswold. No member shall be a member of the Board of Selectmen,
Board of Education, Board of Finance, Planning and Zoning Commission,
Zoning Board of Appeals, Inland Wetlands Commission, or any other
commission, board or agency of the Town of Griswold. Members cannot
hold or campaign for public municipal office, or be employed by the
Town or Borough of Jewett City for a two-year period prior to appointment.
Members must be free of any violations of any state, municipal or
professional code of ethics. The alternate member shall be included
in all Commission meetings and discussions, but the alternate shall
not vote unless a regular member steps aside or is not present at
the time of the vote.
B.
In the event that the Board of Selectmen cannot or does not fill a vacancy on the Ethics Commission by unanimous appointment within 60 days of the occurrence of the vacancy, the Board may, by majority vote, recommend an appointment to the Town Meeting, subject to the qualifications set forth in Subsection A. The Town Meeting may approve or reject such recommendation by majority vote. In the event, and only after, the Town Meeting rejects such an appointment, the Town Meeting may move to appoint any other person meeting the qualifications set forth in Subsection A to fill the vacancy. Any such appointment by Town Meeting shall require a majority vote of those present and qualified to vote at the Town Meeting.
A.
The
Commission shall elect a Chairperson, who shall preside at meetings
of the Commission; a Vice-Chairperson to preside in the absence of
the Chairperson; and a Secretary to receive correspondence, prepare
agendas and prepare official minutes of Commission meetings.
B.
A
meeting may be called at any time by the Chairperson or by a written
request for a meeting signed by at least three members of the Commission.
A meeting shall also be called within 30 days after the receipt of
any complaint regarding any alleged violation of the Code of Ethics.
C.
Four
members shall constitute a quorum. An affirmative vote of at least
four concurring members of the Commission shall be required for the
Commission to make an official finding that any person has violated
the Code of Ethics or an official finding that there is probable cause
to believe that any person has done so.
D.
The
Commission shall have the power, by a unanimous vote of the other
members, to dismiss any member who has been absent from three Commission
meetings without good cause. Good cause shall include vacations, health,
and unexpected family-related commitments. Any vacancy in the Commission
caused by the removal of any member for good cause shall be filled
for the balance of the relevant term in accordance with the guidelines
set forth above.
E.
All meetings of the Commission are open to the public. The Commission
may close certain portions of its meetings (Executive Session) by
a vote of 2/3 of the members present and voting in accordance with
the provisions of the Freedom of Information Act.[1]
[1]
Editor's Note: See C.G.S. § 1-200 et seq.
F.
Any official, council or board member shall withdraw himself or herself from any involvement from any matter which may constitute a conflict of interest. Recusal shall be done in accordance with the provisions set forth in the Town of Griswold ordinance on meetings (§ 56-6).
[Added 10-24-2017 STM]
A.
The
Commission shall compile and maintain minutes of meetings. It shall
also provide a written report to the Board of Selectmen annually on
or before February 1 summarizing the activities of the Commission.
B.
The
Commission may employ necessary staff or outside counsel within available
appropriations.
C.
The Commission shall have the power to render advisory opinions with respect to the requirements of this code upon the request of a Town official, employee, or consultant via use of Form A.[1] A request for an advisory opinion shall be filed with the Town Clerk who, within two business days of receipt, shall notify the Commission Chairperson of the request and send such Chairperson a copy of the completed Form A and all attachments. The Commission shall issue an advisory opinion within 30 days of the Town Clerk's receipt of the request for such opinion. Such opinions, until amended or revoked, whether by subsequent request of a Town official, employee or consultant or on the Commission's own initiative, shall be binding on the Commission, and good faith reliance on such opinions shall be an absolute defense to any complaint filed pursuant to § 35-8.
[1]
Editor's Note: Form A is included at the end of this chapter.
E.
In compliance with C.G.S. § 1-82a and the Freedom of Information
Act (FOIA), the Griswold Ethics Commission will utilize a tiered approach
to all investigations:
(1)
Conduct an inquiry and make a determination as to whether there exists
probable cause that a violation of the Ethics Code has occurred. This
first tier inquiry and its procedures should be separately and completely
set forth and, unless the respondent requests otherwise, are confidential
while on-going. If the Commission finds no probable cause, the matter
is effectively over and, per C.G.S. § 1-82a(d), the investigation
remains confidential.
(2)
If the Commission finds that there exists probable cause that a code
violation has occurred, then its entire inquiry is public, and subsequent
proceedings, records, hearing and meetings are public under FOIA.
In the conduct of its investigation of an alleged violation of this
chapter, the Commission shall have the power to hold hearings, administer
oaths, examine witnesses, receive oral and documentary evidence, subpoena
witnesses under procedural rules adopted by the Commission to compel
attendance before the Commission, and to require the production for
examination by the Commission of any books, papers and/or statement
of financial interests which the Commission deems relevant in any
matter under investigation or in question. The Commission shall make
a record of all proceedings pursuant to this § 35.8. If,
during the course of any investigation or hearing, the Commission
finds probable cause to believe that a false statement has been made
under oath, the Commission shall refer such finding to the Office
of the State's Attorney for further investigation.
A.
No
complaint shall be made under this code unless it is filed with the
Commission within three years after the violation alleged in the complaint
has been committed. If multiple violations are alleged, the three-year
limitation shall be applied separately to each alleged violation.
B.
As required by C.G.S. § 7-148h(a), the provisions of § 1-82a(a) through (e), as amended, including but not only its confidentiality provisions, shall apply to all investigations and hearings before the Commission under this § 35-8. To the extent that a court of competent jurisdiction determines that any provision of this Code of Ethics conflicts with any applicable provision of state law, the provision of state law shall be deemed to control as though fully set forth herein.
C.
Upon
its own complaint or upon the complaint of any person, the Commission
shall investigate any alleged violation of this code to determine
whether or not there is probable cause to believe that a violation
has occurred.
D.
Any person filing a complaint must do so on prescribed Form B[1] that, with all accompanying documents, shall be submitted
to the Town Clerk in a sealed envelope labeled "Ethics Commission
Complaint," which the Town Clerk shall, within two business days of
receipt, send to the Commission Chairperson. The complaint shall be
signed under penalty of false statement and shall state the name of
the person who allegedly violated the code (the respondent) and the
specific acts alleged to constitute the claimed violation(s). All
information presented should be factual, objective and free from bias.
Any complaint consisting of second hand information, hearsay or bias
may cause this Commission to dismiss such complaint.
[Amended 10-24-2017 STM]
[1]
Editor's Note: Form B is included at the end of this chapter.
E.
Not
later than 15 days after the Town Clerk's receipt of the complaint
the Commission shall: (1) send the complainant written acknowledgement
of receipt of the complaint; and (2) notify, by registered or certified
mail, any respondent against whom such complaint is filed. Upon receipt,
the respondent may either request a meeting or may submit a written
statement as to whether the complaint states a violation, The Commission
shall set the time for the respondents response, which time shall
be not less than seven, nor more than 30 days from the date of the
respondent's receipt. During the investigation, the respondent shall
have the right to appear and be heard, to offer any information that
may be relevant to the investigation, and to be represented by legal
counsel. The Commission shall not make any finding that there is probable
cause to believe that any person has violated this code unless at
least four concurring Commission members vote affirmatively to make
such finding.
F.
Not
later than three business days after terminating its investigation,
the Commission shall inform the complainant and respondent, by registered
or certified mail, of its determination and provide them a summary
of its reasons for that determination. The Commission shall publish
its findings upon the respondent's request any may also publish
a summary of its reasons for making such finding.
G.
If,
after investigation, the Commission determines that there is not probable
cause that the respondent has violated the code, the Commission shall
dismiss the complaint. The Commission shall not be obligated to consider
a similar complaint if it determines that such complaint is based
upon substantially the same allegations and there has been no material
change in circumstances.
H.
If
the Commission determines that there is probable cause that the respondent
has violated this code, the Commission shall fix a date for the commencement
of a hearing on the complaint, which shall not be more than 60 days
from a determination of probable cause. The Commission shall make
public such determination of probable cause and the entire record
of its investigation. The Commission shall give notice of the date
fixed for the hearing at least 14 days before the date of the hearing.
The hearing shall be open to the public and may, at the Commission's
discretion, be continued from time to time.
I.
Not
later than 10 days prior to the commencement of the hearing, the Commission
shall provide the respondent with a list of all of its witnesses.
K.
The
Commission shall not make any finding that a person has violated any
provision of this code unless at least four concurring Commission
members vote affirmatively to make such finding.
L.
The
Commission shall render its findings and memorandum of decision in
writing within 15 days of the close of the public hearing on the complaint,
which findings and memorandum shall be public. The Commission shall
also send the complainant and respondent a copy of the findings and
memorandum of decision. Such findings and memorandum of decision shall
constitute the Commission's final decision and shall be subject
to appeal to the Superior Court in accordance with the provisions
of C.G.S. § 4-183 as amended.
A.
Violation
of any provision of this chapter shall be subject to a fine of $100
per violation, payable to the Town of Griswold general fund.
B.
No
person shall be entitled to enforce the provisions of any contract,
agreement or business arrangement with the Town of Griswold or any
official, agency, commission or board of the Town, if such person
knowingly entered into such contract, agreement or business arrangement
either in violation of this Code of Ethics or with a Town official
or employee whom such person knew was violating this Code of Ethics
with respect to such contract, agreement or business arrangement.
C.
Upon
finding of a violation of this chapter, the Commission, at its discretion,
may seek legal counsel to impose any or all of the following sanctions:
(1)
Censure.
(2)
Reprimand.
(3)
A civil fine of not more than the maximum allowed under state law
per violation, paid to the Town of Griswold general fund.
(4)
Restitution for any financial loss to the Town of Griswold.
(5)
Referral of information obtained or generated by the Commission to
the appropriate authorities for further civil action or criminal prosecution.
D.
A finding of a willful violation shall be referred to the Town of
Griswold Board of Selectman for disciplinary review and action. Actions
may include:
(1)
Suspension or termination from employment.
(2)
Removal or suspension from appointed office.
(3)
Restitution of any benefits received by the respondent.
(4)
Termination or revocation of any contract with the Town of Griswold.
(5)
Debarment from entering into any future contract with the Town of
Griswold.
A.
No Town official or employee shall solicit or accept any gift from
any person who, to his or her knowledge, is interested in any pending
matter within such official's or employee's official responsibilities.
If a prohibited gift is offered or given, the Town official or employee
must refuse it, return it, or pay the donor the full value of the
gift.
B.
No Town official or employee shall take any official action upon any matter in which he or she has an interest that is in substantial conflict with the proper discharge of his or her duties or employment in the public interest or of his or her responsibilities as prescribed by the laws of this state. A Town official or employee shall be deemed to have such an interest if he or she has reason to believe or expect that he or she, his or her spouse, a dependent child, or a business with which he or she is associated, as defined in § 35-4 of this chapter, will derive a direct monetary gain or suffer a direct monetary loss, as the case may be, by reason of his or her official activity.
C.
Notwithstanding the provisions of Subsection B, a Town official or employee shall not be deemed to have an interest that is in substantial conflict with the proper discharge of his or her duties in the public interest or of his or her responsibilities as prescribed by the laws of this state if any benefit or detriment accrues to him or her, his or her spouse, a dependent child, or a business with which he or she, his or her spouse, or such dependent child is associated as a member of a profession, occupation or group to no greater extent than that which accrues to any other member of such profession, occupation or group.
D.
Nothing contained in this chapter shall prohibit or restrict a Town
official or employee from appearing before any board or commission
of the municipality on his or her own behalf, or from being a party
in any action, proceeding or litigation brought by or against the
Town official or employee or public official if the Town is also a
party to such action.
E.
Except as otherwise required by law, no Town of Griswold official
or employee shall disclose, without proper authorization, confidential
information concerning the Town's affairs.
F.
No Town official or employee shall request or permit the use of Town-owned
vehicles, equipment, facilities, materials or property for personal
convenience or profit, except when such items are available to the
public generally or are provided as a matter of Town policy for the
use of such Town official or employee in the conduct of official Town
business.
G.
No Town official or employee, a member of his or her immediate family,
or any business with which he or she is associated shall enter into
a contract (other than a contract of employment) with the Town unless
the contract is awarded through a process of public notice and competitive
bidding.
H.
All Town officials or employees are expected to practice in a manner
that is free from unethical conduct, including perjury, fraud or falsification
of official Town records.
A.
No paid consultant of the Town or any of its agencies, boards, commissions,
officials, or employees shall represent a private interest in any
action or proceeding against the interest of the Town if such representation
does or is reasonably likely to conflict with the performance of his
or her duties as a consultant.
B.
No paid consultant of the Town or any of its agencies, boards, commissions,
officials, or employees may represent anyone other than the Town concerning
any matter in which he or she participated personally and substantially
as a consultant to the Town.
C.
No paid consultant of the Town or any of its agencies, boards, commissions,
officials, or employees shall disclose confidential information learned
while performing his or her duties for the Town, except to the extent
required by law, nor shall be or she use such information to advance
his or her own financial interests or those of other persons.
D.
All Town consultants are expected to practice in a manner that is
free from unethical conduct, including perjury, fraud or falsification
of official Town records.
A.
No former Town official or employee shall disclose or use confidential
information acquired in the course of and by reason of his or her
official duties to advance his or her own financial interests or those
of other persons, except to the extent required by law.
B.
No former Town official or employee who participated substantially
in the negotiation or award of a Town contract obliging the Town to
pay an amount of $100,000 or more, or who supervised the negotiation
or award of such a contract, shall accept employment with a party
to the contract other than the Town for a period of one year after
such contract is signed.
A.
The Town Clerk shall cause a copy of this Code of Ethics, and of
any amendments or revisions thereto, to be distributed to every Town
official, employee and consultants within 60 days after enactment.
Each Town official, employee, and consultant shall be furnished an
up-to-date copy of this Code of Ethics before entering upon the duties
of his or her office, employment, or consultanting engagement.
B.
Every two years, the Commission will provide training and/or written updates on this code to Town officials, employees and consultants. Training shall include updates of new state laws on ethics and any amendments to this code. An updated signed copy of Form C, Agreement to Comply with the Griswold Code of Ethics,[1] will be signed and returned to the Town Clerk within 30
business days after said training and retained on file.
[1]
Editor's Note: Form C is included at the end of this chapter.
