[HISTORY: Adopted by the Board of Selectmen
of the Town of Simsbury 9-14-1988; amended in its entirety 4-13-2009. Subsequent amendments noted where applicable.]
The proper operation of government requires
that public officials and public employees be independent, impartial
and responsible to the people; that governmental decisions and policies
be made free from undue influence and in the proper channels of governmental
structure; that governmental office and employment not be used for
unauthorized personal gain; that governmental officials and employees
strive to avoid even the appearance of impropriety; and that the public
have confidence in the integrity of its government. The purpose of
this Code of Ethics is to set forth standards of ethical conduct to
guide officials and employees of the Town of Simsbury in the conduct
of their public responsibilities and to develop and maintain a tradition
of responsible and effective public service. In recognition of these
goals, this Code of Ethics is established pursuant to authority granted
to the Town by Connecticut General Statutes Section 7-148h, as amended.
A.
Establishment. As authorized by Sections 702 and 715
of the Charter of the Town of Simsbury and Section 7-148h, as amended,
of the Connecticut General Statutes, the Board of Selectmen shall
appoint a Board of Ethics consisting of six members, two of whom shall
be registered Republicans, two of whom shall be registered Democrats
and two of whom shall be unaffiliated voters. The members of the Board
shall serve four-year terms, except that at the first appointment
by the Board of Selectmen, one Republican, one Democrat and one unaffiliated
voter shall be appointed for two-year terms, with the remaining members
appointed for four-year terms. Biennially, thereafter, the Board of
Selectmen shall appoint in the manner provided in the Charter of the
Town of Simsbury.
B.
Organization and procedure. The Board shall elect
a Chairman and Vice Chairman/Secretary and shall establish its own
rules and procedures, which shall be available to any elector of the
Town upon request to the Board. The first rules and procedures shall
be established within six months of the date this chapter becomes
effective. The need to maintain confidentiality in order to protect
the privacy of public officials, employees and consultants shall be
considered when establishing the rules and procedures. It shall keep
records of its meetings and shall hold meetings at the call of the
Chairman and at such other times as it may determine.
C.
Powers and duties.
(1)
The Board shall render advisory opinions with respect
to the applicability of the Code of Ethics to specific situations
to any agency or any official, employee or consultant pursuant to
a written request or upon its own initiative. The Board may also issue
guidelines. Such opinions and guidelines, until amended or revoked,
shall be binding on the Board, and reliance upon them in good faith
is an absolute defense in any action brought under the provisions
of this chapter or under Section 1003 of the Town Charter. Any request
or opinion, the disclosure of which invades the personal privacy of
any individual [as that term is used in Connecticut General Statutes
Section 1-19(b)(2), as amended, by the Connecticut Freedom of Information
Commission and the courts], shall be kept confidential in a personnel
or similar file and shall not be subject to public inspection or disclosure.
The Board may make available to the public any advisory opinions that
do not invade an individual's privacy and may take other appropriate
steps in an effort to increase public awareness of this Code of Ethics.
(2)
The Board shall establish procedures by which the
public may initiate complaints alleging a violation of this Code of
Ethics. The Board itself may also initiate such a complaint. The Board
shall have that power and to hold hearings concerning the application
of this Code and its violation and may administer oaths and compel
the attendance of witnesses by subpoena. As required by Section 7-148h(a)
of the Connecticut General Statutes, as amended, the provisions of
Section 1-82(a) through (c) of the Connecticut General Statutes, as
amended, shall apply to all investigations and hearings held under
this chapter. If the Board determines that there is probable cause,
it shall continue the investigation and hold such further hearings
as may be necessary; and if the Board determines that the respondent
has, in fact, violated the provisions of this Code, it shall file
a memorandum of decision with a recommendation for appropriate action
with the Board of Selectmen, except with respect to individuals under
the jurisdiction of the Board of Education, in which cases the memorandum
of decision shall be filed with the Board of Education. In the case
of a consultant, it shall also be filed with the contracting agency.
(3)
If an
official, employee or consultant who is the subject of a complaint
under investigation leaves office or employment after filing of the
complaint but before resolution of the complaint, the Board shall
have the power, by majority vote, to continue investigation of the
complaint. If an ethics complaint is filed against a former Town of
Simsbury official, employee or consultant within 90 days after he
or she has left employment for the Town, the Board shall have the
power, by majority vote, to initiate an investigation.
(4)
The
recommended action may include reprimand, public censure, a fine not
to exceed $100 or other such action as the Board of Selectmen or Board
of Education may deem appropriate in accordance with their respective
responsibilities under the law, provided that in the case of union
employees, such recommended action does not constitute a unilateral
change in conditions of employment. No such recommendation shall limit
the authority of the Board of Selectmen or the Board of Education
under the Charter of the Town of Simsbury or under any ordinance,
statute or any other law, and the actions hereunder shall be supplemental
to any authority the Board of Selectmen or Board of Education has
under any ordinance, statute or any other law. Any discussion by the
Board of Selectmen, Board of Education or contracting agency of an
individual affected by said memorandum of decision shall be in executive
session, unless the individual affected requests that such discussion
be held in open session.
For the purpose of this chapter, the following
terms shall have the indicated meanings:
All boards, commissions, authorities and committees of the
Town of Simsbury, including the Board of Education, but not including
a Town Meeting.
Any nonfinancial interest or special treatment that is not
common to other citizens of the Town. An individual's beneficial interests
shall include the beneficial interests of all members of his/her family.
Information, whether transmitted orally or in writing, that
is obtained by an official or employee by reason of his/her public
position and is of such nature that, at the time of transmission,
it is not a matter of public record.
Any independent contractor or professional person or firm
that is engaged by and receives compensation from any agency for the
purpose of providing scientific, technical or other specialized opinion
to such agency and is in a position to influence any decision of an
agency, official or employee.
Includes all persons, including but not limited to officers
and supervisors, employed by the Town and encompasses all persons,
including but not limited to officers and supervisors, employed by
the Board of Education.
Any interest that has a monetary value of $100 or more or
generates a financial gain or loss of $100 or more in a calendar year;
and is not common to the other citizens of the Town. An individual's
financial interests shall include the financial interests of all members
of his/her family but shall not include any duly authorized compensation
from the Town.
Includes all persons who are members of a Town agency.
A.
This Code of Ethics shall be incorporated into all
contracts entered into by an agency and a consultant.
B.
Persons or firms who are engaged by and receive compensation
from other entities, such as the state or federal government, and
who are in a position to influence any decision of an agency, official
or employee shall be guided by this Code of Ethics, and the Board
of Ethics, upon complaint or its own motion, may make recommendations
to the entity employing such persons.
Except as otherwise required by law, no official,
employee or consultant shall disclose, without proper authorization,
confidential information, nor shall be/she use such information to
advance his/her financial or beneficial interests or the financial
or beneficial interests of others. This section shall not be used
to restrict the release of information that is properly available
to the public.
No official, employee or consultant may inappropriately
use his/her position to influence a decision affecting a financial
interest or a beneficial interest in his/her favor or in favor of
any other person or entity.
A.
No official, employee or consultant or any member
of his/her immediate family nor any agency, employee organization
or group of employees shall solicit or accept any valuable gift, whether
in the form of a service, a loan at a less than a commercially reasonable
rate, a material thing or a promise, from any person or entity who
or which is interested directly or indirectly in any business transactions
or pending matters that are within the purview of such prospective
recipient's official responsibilities. No official or employee shall
accept any special favor, treatment, consideration or advantage beyond
that which is generally available to citizens of the Town from any
person who, to the official or employee's knowledge, is interested
directly or indirectly in any business transactions or pending matters
that are within his/her official responsibilities. For purposes of
this section, pending matters include, but are not limited to, applications
to agencies, bids for work to be performed, applications for employment
and bids for the furnishing of supplies, equipment or other items.
B.
The Board of Ethics shall formulate guidelines for
delineating gifts and favors deemed not to be of value in order to
avoid de minimis situations. Such guidelines shall become effective
upon adoption by the Board of Selectmen.[1]
[1]
Editor's Note: The Guidelines for Gifts and Favors is included at the end of this chapter.
C.
This section shall not apply to a political contribution
otherwise reported as required by law.
Without proper authorization, no official, employee
or consultant shall grant any special consideration, treatment or
advantage to any citizen beyond that which is available to every other
citizen.
A.
An official or employee or consultant has a conflict
of interest when he/she engages in or participates in any transaction,
including private employment and the rendering of private services,
that is incompatible with the proper discharge of his/her official
responsibilities in the public interest or would tend to impair his/her
independent judgment or action in the performance of his official
responsibilities.
B.
An official or employee or consultant has a financial
interest or beneficial interest that is incompatible with the proper
discharge of his/her official responsibilities in the public interest
if he/she has reason to believe or expect that he/she will derive
such interest by reason of his/her performance of his/her official
responsibilities.
C.
An official or employee or consultant does not have a financial or beneficial interest that is incompatible with the proper discharge of his/her official responsibilities in the public interest if any such interest accrues to him/her as a member of a business, profession, occupation or group to no greater extent than it accrues to any other member of the business, profession, occupation or group that he/she represents. This does not relieve an individual from his/her obligation to refrain from voting on any matter that would directly benefit his/her business, profession, occupation, group or family as required by § 13-10 of this Code of Ethics, Section 1003 of the Charter of the Town of Simsbury and General Statutes Section 7-148h(b), as amended
A.
Any official, employee or consultant who has a financial
or beneficial interest, direct or indirect, in any contract, transaction
or decision within the purview of his/her official responsibilities
shall disclose that interest in writing to the Board of Selectmen.
Such disclosure also shall be provided, in the case of an official,
to the agency of which the official is a member, and, in the case
of an employee or consultant, to the agency by which he/she is employed
or has been retained. Such disclosure shall disqualify the official,
employee or consultant from participation in the matter, and violation
of this section shall be grounds for removal by the appropriate agency
in accordance with applicable law.
B.
No official or employee or consultant shall appear
on behalf of any private person or party before any agency in connection
with any cause, proceeding, application or other matter in which he/she
has a financial or beneficial interest without first disclosing such
interest to the agency, which shall record such disclosure in the
record of the agency's proceeding. The Secretary or Clerk of said
agency shall notify the First Selectman and, in the case of an official
or employee of the Board of Education, the Chairman of the Board of
Education, and the Chairman of the Board of Ethics in writing of such
disclosure within three business days.
A.
No official or employee shall engage in or accept
private employment or render services for private interest when the
employment or services: are incompatible with the proper discharge
of his/her official duties; or would tend to impair his/her independence
of judgment or action in the performance of his official duty. No
consultant shall engage in employment or render services for interests
other than the Town when such employment or services: are incompatible
with the proper discharge of his/her consulting duties; or would tend
to impair the independence of his/her judgment or action on the matter
for which he has been engaged by the Town.
B.
No former official, employee or consultant shall appear
on behalf of any private person or other entity before any agency
with which he/she previously was employed or affiliated for a period
of one year after the termination of his/her public service or employment.
Such an individual may be relieved of his/her duty to refrain from
such appearance upon written application to the Board of Ethics, which
Board shall review the written application and relevant facts.
C.
No former official, employee or consultant shall appear
on behalf of any private person or other entity before any agency
in regard to a matter in which he/she previously participated in the
course of his/her official responsibilities for a period of one year
after the termination of his/her public service or employment. Such
an individual may be relieved of his/her duty to refrain from such
appearance upon written application to the Board of Ethics, which
Board shall review the written application and relevant facts.
D.
Subsections B, C and D of this section shall not prohibit any current or former official, employee or consultant from appearing before any agency on his/her own behalf or on behalf of members of his/her family. To avoid the appearance of impropriety, officials are strongly discouraged from appearing before their own agency unless extenuating circumstances exist. When in doubt, an official should seek an opinion from the Board of Ethics prior to appearing before his/her own agency.
E.
An official should not appear before, or participate
in the proceeding of, another agency in violation of Connecticut General
Statutes Section 8-11 or 8-21, as amended, or any other provision
of the General Statutes.
F.
To avoid even the appearance of impropriety, an official
not otherwise prohibited shall exercise care when appearing before
other agencies and shall disclose whether he/she is appearing in his/her
official capacity or as a private citizen.
A.
Every official shall sign and file with the Board
of Selectmen an acknowledgement form, supplied by the Town Manager,
indicating his/her awareness of the provisions of this Code of Ethics,
the guidelines issued thereunder and Section 1003 of the Charter of
the Town of Simsbury on or before being sworn into office and again
thereafter in January of each even numbered year. The Board of Selectmen
shall adopt and implement a procedure for monitoring compliance with
the aforesaid filing requirement.
[Amended 7-12-2021]
B.
Every consultant shall sign and file with the agency
by which he/she is retained an acknowledgment form, supplied by the
First Selectman, indicating his/her awareness of the provisions of
this Code of Ethics, the guidelines thereunder and Section 1003 of
the Charter of the Town of Simsbury on or before being retained by
an agency. The Board of Selectmen shall adopt and implement a procedure
for monitoring compliance with the aforesaid filing requirement.
C.
Employees.
(1)
The Board of Selectmen shall adopt and the First Selectman
shall implement a plan for making all employees, other than persons
who are employed by the Board of Education, aware of the provisions
of this Code of Ethics, the guidelines issued thereunder and Section
1003 of the Charter of the Town of Simsbury. The plan adopted by the
Board of Selectmen shall contain a provision requiring that department
heads review such provisions with all such employees at an interval
to be determined by the Board of Selectmen. The plan shall be completed
within 120 days after the adoption of this Code of Ethics, and a copy
of the plan shall be filed with the Board of Ethics upon its adoption.
(2)
Every employee, other than persons employed by the
Board of Education, shall execute an acknowledgment form, supplied
by the First Selectman, indicating the employee's awareness of the
provisions of this Code of Ethics, the guidelines issued thereunder
and Section 1003 of the Charter of the Town of Simsbury as follows:
(a)
New employees shall execute the form at the time of employment and thereafter in accordance with Subsection C(2)(b) below.
(b)
Current employees shall execute the form within 60 days after the adoption of the procedure set forth in Subsection C(1) above and thereafter at intervals specified by the Board of Selectmen, but in no event shall such intervals be less frequent than a period of two years from the date of signing the last acknowledgement form.
D.
Board of Education.
(1)
The Board of Education shall adopt and the Superintendent
shall implement a plan for making all employees of the Board of Education
aware of the provisions of this Code of Ethics, the guidelines issued
thereunder and Section 1003 of the Charter of the Town of Simsbury.
The plan adopted by the Board of Education shall contain a provision
requiring that department heads review such provisions with all employees
at an interval to be determined by the Board of Education. The plan
shall be completed within 120 days after the adoption of this Code
of Ethics, and a copy of the plan shall be filed with the Board of
Ethics upon its adoption.
(2)
Every employee of the Board of Education, shall execute
an acknowledgment form, supplied by the Superintendent, indicating
the employee's awareness of the provisions of this Code of Ethics,
the guidelines issued thereunder and Section 1003 of the Charter of
the Town of Simsbury, as follows:
(a)
New employees shall execute the form at the time of employment and thereafter in accordance with Subsection D(2)(b) below.
(b)
Current employees shall execute the form within 60 days after the adoption of the procedure set forth in Subsection D(1) above and thereafter at intervals specified by the Board of Education, but in no event shall such intervals be less frequent than a period of two years from the date of signing the last acknowledgement form.
[1]
Editor's Note: The Acknowledgement Form is included at the end of this chapter.
