[HISTORY: Adopted 5-26-1998 by the Board of Selectmen of
the Town of Somers, effective 6-22-1998.[1] Amendments noted where applicable.]
[1]
Editor's Note: This ordinance also superseded
former Ch. 26, Ethics, Code of, adopted 9-30-1991, effective 10-21-1991.
A.
The proper operation of the municipal government of
the Town of Somers requires that all public officials, employees and
independent contractors, whether elected, appointed or volunteers,
paid or unpaid, shall be impartial and responsive to the public interest;
that public office or employment shall not be used for personal gain
or advantage; and that the public confidence in the integrity of the
municipal government be maintained. Public officials, employees and
independent contractors shall not place themselves in positions where
private interests substantially conflict with their public duty. The
administration of legislative and quasi-judicial powers demand the
highest public confidence. Anything which tends to significantly weaken
the public confidence and/or to undermine the security of individual
rights is against public policy.
B.
The purpose of this code is to set forth standards
of ethical conduct; to develop and maintain a tradition of responsible
and effective public service; and to provide for actions to be taken
in the event of the violation of this code.
C.
In recognition of these principals and pursuant to
Sections 7-148(c)(10)(B) and 7-148(h) of the Connecticut General Statutes,
there is hereby established for the Town of Somers the following Code
of Ethics.
D.
All ordinances and parts of ordinances in conflict
with this chapter are hereby repealed.
As used in this Code the following words shall
have the following meanings:
All departments, boards, commissions and committees of the
Town of Somers.
Any sole proprietorship, partnership, firm, corporation,
trust or other entity through which business for profit or not for
profit is conducted in which the public official, employee or independent
contractor is a director, officer, owner, partner, limited or general
partner, beneficiary of a trust or holder of stock constituting 5%
or more of the total outstanding stock of any class, provided that
a public official, employee or independent contractor shall not be
held associated with a not-for-profit entity solely by virtue of the
fact such an individual or close relative is an unpaid director or
officer of the not-for-profit entity.
An individual's parent, spouse, fiancee, sibling, child or
dependent relative.
The Town of Somers Ethics Commission.
When a public official, employee or independent contractor
takes or participates in any action in such individual's official
capacity which involves either a situation wherein such individual
has a financial interest or when the situation involves an individual's
employer, close relative or business associate, as defined in this
code, which is in substantial conflict with the proper discharge of
his or her duties or employment in the public interest. An individual
does not have an interest which is in substantial conflict with the
proper discharge of his or her duties or employment in the public
interest if any benefit or detriment which accrues to him or her or
his or her close relative or business associate is of no greater extent
than is routinely available to the public generally.
Any person receiving a salary, stipend or wages from the
Town of Somers for services rendered, whether full- or part-time,
at the time an alleged act occurred.
Any interest in the outcome of the exercise of an individual's
official capacity from which that person expects to or does derive
economic gain in excess of the economic gain which is expected to
be or is derived by members of the public generally. Such person shall
further be deemed to have a financial interest if any close relative
or business associate of such person, or if any business entity in
which such person holds an interest of 5% or greater, is the beneficiary
of economic gain in excess of that derived by the public generally.
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. "Gift" shall
not include a political contribution otherwise reported as required
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 or other close personal relationship with the donor; food
or beverage or both consumed on a single occasion, the cost of which
is less than $50 per person, with an aggregate per recipient of less
than $150 in any calendar year; nonpecuniary gift(s) with an aggregate
value of less than $100 per calendar year; a certificate, plaque or
other ceremonial award costing less than $100 or an award publicly
presented in recognition of public service or any other gift which
would have been offered or given the individual if he or she were
not a public official or employee.
Honesty in fact in the conduct or actions of the parties
concerned.
Any person or business entity performing work or providing
services, on a per diem or contractual basis, at the time an alleged
act occurred.
Denotes actual knowledge of the fact in question. A person's
knowledge may be reasonably inferred from circumstances. Knowledge
or notification received by the Town of Somers or its various departments,
boards, commissions and committees (hereafter represented as "Town")
will be deemed to represent actual knowledge of a person when it is
brought to the attention of the individual or from when it would have
been brought to his or her attention if the Town had exercised due
diligence. The Town exercises due diligence if it maintains reasonable
routines for the communication of significant information to individuals
affected by such information and there is reasonable compliance with
the routines.
Any person holding elected or appointed office in the government
of the Town of Somers at the time an alleged act occurred, except
Justices of the Peace.
A.
The requirements herein set forth shall constitute
reasonable standards and guidelines for the ethical conduct of public
officials, employees and independent contractors. Such ethical conduct
may separately involve the effect of a particular action and the intent
of the parties involved with the Commission investigating and reporting
on both. The following list of certain activities does not eliminate
unethical activities not listed in this section. Allegations of unethical
conduct, corrupting influence or illegal activities levied against
any public official, employee or independent contractor, except as
herein mentioned, will be investigated by the Commission. All public
officials, employees and independent contractors, not limited to accountants,
attorneys, engineers and school teachers, shall also be required to
conform to the canons or code of ethics of their own profession.
B.
All public officials, employees and independent contractors
shall not:
(1)
Decide or participate in a decision or hearing in
which they have a conflict of interest.
(2)
Solicit, grant or accept any special consideration,
treatment, favor or advantage beyond that which is available to the
public generally.
(3)
Solicit any gift or accept any gift, personally or
through a close relative or business associate, having a value of
$50 or more in any calendar year from a person, or one acting on behalf
of a person, who is known to be interested, directly or indirectly,
in business dealings or in any matter whatsoever with the Town.
(4)
Promise favored treatment as a reward for any political
activity.
(5)
Act or vote in any official capacity upon a promise
of any future reward.
(6)
Disclose confidential information concerning the property,
government or affairs of the Town, except upon receipt of proper legal
authorization or as required under the State of Connecticut Freedom
of Information Act, Connecticut General Statutes, Section 1-15 et
seq.
(7)
Use information acquired in the course of their employment,
and not generally available to the public, to advance their financial
or other private interest, including the interests of friends, close
relatives and business associates.
(8)
Use or permit the use of Town-owned vehicles, equipment,
materials or property for personal convenience or profit, except when
such services are available to the public generally or are provided
as municipal policy for the use of such official or employee in the
conduct of official business.
(9)
Solicit business for private concerns during times
when they are being paid to perform their public responsibilities.
(10)
Discriminate against any public official, employee
or independent contractor for the filing of a complaint alleging a
violation of the Code of Ethics.
(11)
Attempt to improperly influence any other public official,
employee or independent contractor in the course of one's official
duties.
(12)
Appear for or represent any private interest, other
than one's own, in any matters pending before an agency of the Town
when one is a member or alternate member of said agency.
(13)
Fail to reveal any personal financial interest or
knowingly fail to reveal the financial interest of a close relative
or business associate, direct or indirect, in any matter coming before
the Board of Selectmen or any other agency of the Town. If such official,
employee or independent contractor is a member of such body, he or
she shall refrain from voting upon or otherwise participating in the
consideration of such a matter or any determination in connection
therewith by such body.
(14)
Represent any private interest or any public interest
except that of the Town in any litigation against the Town, or in
any litigation in which the Town is a party, if said litigation is
in any way connected with any matter which is before any Town agency
upon which he or she is serving or is in any way incompatible with
the proper discharge of his or her official duties.
(15)
Knowingly provide or promote false or misleading testimony,
statements, information or evidence relevant to any matter under investigation
or pending before any agency of the Town.
(16)
Willfully and knowingly obstructing an investigation
by not disclosing relevant information to parties authorized to receive
such information in a timely fashion.
C.
This subsection shall apply only to members and alternate members of the Town of Somers Ethics Commission. Our legal system is based on the principle that an independent, fair and competent person will interpret and apply the laws that govern us. A member or alternate member of the Town of Somers Ethics Commission (hereafter "member") is an arbiter of facts and law for the resolution of disputes and is a highly visible symbol of the government under the rule of law. Intrinsic to all sections of the Code of Ethics are precepts that members, individually and collectively, must respect and honor their office as a public trust and strive to enhance and maintain public confidence in the Commission and its findings. The text of this subsection is intended to provide guidance for the conduct of Commission members. It is not intended, however, that every transgression of this subsection will result in disciplinary action. Whether disciplinary action is appropriate should be determined by the Commission through a reasonable application of the text and should depend on such factors as the seriousness of the transgression. Should the members of the Commission find that probable cause exists of a violation of the Code by a member which warrants the removal of a member, the other members of the Commission shall forward a request to the Somers Board of Selectmen to proceed in accordance with Chapter V, Section 5-23, of the Charter for the Town of Somers. The requirements herein set forth constitute reasonable standards and guidelines of ethical conduct for members of the Commission:
(1)
A member shall uphold the integrity and independence
of the Commission.
(2)
A member should avoid impropriety and the appearance
of impropriety in all proceedings, pending or impending, before the
Commission.
(3)
A member shall not allow family, social, political
or other relationships to influence the member's conduct or judgment.
(4)
A member should be patient, dignified and courteous
to respondents, complainants, witnesses, lawyers and others with whom
the member deals in an official capacity and should expect like behavior
from those dealing with the member in his or her official capacity.
(5)
A member shall perform official duties without bias
or prejudice. A member shall not, in the performance of official duties,
by words or conduct, manifest bias or prejudice.
(6)
A member shall not, while a proceeding is pending
or impending, make any public comment that might reasonably be expected
to affect its outcome or impair its fairness or make any nonpublic
comment that might substantially interfere with a fair hearing. A
member may make public comment about rules and procedures of the Commission
in regard to pending proceedings.
(7)
A member shall not disclose or use for any purpose
unrelated to official duties nonpublic information acquired in a member's
official capacity.
(8)
A member shall disqualify himself or herself in any
proceeding in which the member's impartiality might reasonably be
questioned, including, but not limited to, instances where:
(a)
The member has a personal bias or prejudice concerning
a party or a party's representative or personal knowledge of disputed
evidentiary facts concerning a proceeding.
(b)
The member knows that he or she, individually, as
a fiduciary, a close relative or a business associate has a financial
interest in the matter in controversy that is more than de minimus.
It is affirmed that all public officials, employees
and independent contractors are encouraged to exercise their rights
as citizens. Individuals are entitled to vote, entertain their personal
views on political questions and engage in political activity. Members
of the Commission, however, should avoid public statements which may
give rise to a suspicion of political bias or impropriety.
A.
In accordance with the provisions of the Connecticut
General Statutes, Section 7-148h, there is hereby created an Ethics
Commission. This Commission is empowered to investigate allegations
of unethical conduct, corrupting influence, illegal activities or
other behavior levied against any public official, employee or independent
contractor that would reflect adversely against the Town of Somers.
B.
The Commission shall be comprised of five resident
electors, none of whom shall serve the Town in any other capacity,
either as an elected or appointed member of a Commission or Board
nor as an employee of the Town or the Somers Board of Education. All
members shall be appointed by majority vote of the Board of Selectmen.
Two alternate members may also be appointed. Of the five members initially
appointed, three shall be appointed for terms of two years and two
for terms of one year. All subsequent appointments to the Commission
shall be for terms of two years.
C.
Any regular member having served three consecutive
two-year terms shall be ineligible for reappointment to the Commission
for a period of two years. For an individual filling a vacancy, consecutive
year of service shall commence with the beginning of the next appointed
term. The two alternate members should fully participate in all hearings
and discussions, but may not vote unless a regular member steps aside
or is not present at the time of the vote. No more than five members
shall ever vote on any decision of the Commission. To be eligible
to vote a member must have been in attendance at all meetings at which
relevant testimony was presented.
D.
An individual will not be disqualified from serving
on the Commission if he has a member of his or her immediate family
employed by the Town or Board of Education; however, if any accused
person is an immediate family member or that family member's supervisor
or employed in the same department as that family member, the Commission
member shall remove himself or herself from participating in the decision
process and voting on the matter before the Commission. In addition,
no Commission member, regular or alternate, shall:
(1)
Hold or seek any public office or any office, paid
or unpaid, in a political party or political committee or be a paid
lobbyist or an employee of any organization or association organized
primarily for the purpose of influencing legislation or the decisions
of public agencies; or
(2)
Have been so employed or engaged for a period of one
year prior to appointment to the Commission.
E.
Individual members are expected to attend and participate
in scheduled meetings, regular and special, as well as executive sessions,
subject to any and all limitations identified by law or within the
Code. If unable to attend, a member is responsible to notify the Chair
of the Commission of his or her inability to attend the meeting 24
hours prior to the scheduled meeting time. Failure to attend three
consecutive meetings without giving such notice will constitute cause
for the Commission to advise the member, in writing, of a need to
attend meetings and that continued failure to attend will require
the Commission to request the member's removal.
A.
Complaints alleging violation of the Town's Code of
Ethics may be submitted by any person or the Commission may act on
its own complaint, in the following fashion:
(1)
All complaints must be in writing.
(2)
All complaints must be signed, under penalty of false
statement, before a person legally authorized to attest to such signing.
If a person makes a false statement in a complaint, the complainant
shall be subject to fines of up to $1,000 and up to one year imprisonment
under the provisions of Connecticut General Statutes Section 53a-157;
(3)
Complaints may be submitted to the Commission by:
(4)
The Commission may also file a complaint on its own
part after an evaluation of possible violations of the Code. Such
complaint shall comply with the requirements set forth above.
(5)
Upon receipt of such envelope the Town Clerk's Office
shall notify the Chair of the Ethics Commission of such receipt via
phone or other method to ensure notification.
B.
Not later than three business days after receipt of
or issuance of such complaint, the Commission shall provide notice
of such receipt or issuance, in writing, and a copy of the complaint,
by certified mail, to any respondent against whom such complaint is
filed and shall provide notice of the receipt of such complaint to
the complainant. If the Commission undertakes an evaluation of a possible
violation of the Code prior to the filing of a complaint by the Commission,
the subject of the evaluation shall be notified within five business
days after a Commission member first contacts any third party concerning
the matter. The first business day following receipt, issuance or
third party contact shall be the start of any notice period prescribed
for in this part.
C.
The Commission shall meet at its earliest opportunity
to evaluate any complaints alleging a violation of the Code. As part
of this evaluation 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 an investigation
of the alleged violation of the Code, unless the evaluation discloses
a lack of jurisdiction, subject matter or personnel, or a failure
to state a claim. The Commission shall dismiss the complaint, it shall
inform the respondent and complainant of its finding and provide a
summary of its reasons for making that finding within three business
days of such a finding, by certified mail.
D.
In the conduct of its investigation of an alleged
violation of the Code, the Commission shall have the power to hold
hearings, administer oaths, examine witnesses, receive oral and documentary
evidence, subpoena witnesses, in accordance with the provisions of
Connecticut General Statutes, Section 4-166 et seq., to compel attendance
before the Commission and to require the production for examination
by the Commission of any books and papers which the Commission deems
relevant in any matter under investigation or in question.
E.
Preliminary investigation and hearing.
(1)
The Commission shall conduct a preliminary investigation and hold a hearing, both conducted in closed session, unless waived by the respondent, to determine if probable cause exists that a violation of the Code could have occurred. At this hearing the Commission shall have the same powers as under Subsection D and shall:
(2)
The complainant will 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.
(3)
The respondent shall have the right to appear and
be heard and to offer any evidence which may establish that no probable
cause of a violation of this Code exists.
(4)
The respondent and complainant shall have the right
to be represented by legal counsel and to examine and cross-examine
witnesses.
(5)
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.
(6)
The Commission shall make no finding that there is
probable cause to believe a violation of the Code could have occurred
except upon the concurring vote of four of its members. If the Commission
finds that no probable cause to believe a violation of the Code exists
the complaint shall be dismissed.
(7)
The Commission shall inform the complainant and respondent
of its findings and provide a summary of its reasons for making that
finding within three business days.
(8)
If the Commission finds that probable cause exists,
the entire record of its findings shall be made public, within five
days, except that the Commission may postpone examination or release
of such public records for a period not to exceed 14 days for the
purpose of reaching a stipulation agreement pursuant to Connecticut
General Statute, Section 4-177(c).
F.
Hearings after determination of probable cause.
(1)
If the preliminary investigation indicates that probable cause exists for the violation of the Code, the Commission shall initiate hearings to determine whether there has been a violation of the Code. At this hearing the Commission shall have the same powers as under Subsection D and shall:
(2)
The complainant will have the opportunity to appear
before the Commission first to present corroborating evidence and
witnesses, who must testify under oath, in support of the allegations
in the complaint.
(3)
The respondent and complainant shall have the right
to be represented by legal counsel and to examine and cross-examine
witnesses.
(4)
The respondent will have the opportunity to appear
before the Commission to rebut any evidence or witnesses previously
presented or to offer evidence and witnesses, who must testify under
oath, with information which may tend to show the respondent did not
violate the Code.
(5)
No later than 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 omitting parties'
right to present testimony from a witness not on their witness list.
The Commission may waive this requirement or reschedule the hearing
for good cause shown.
(6)
Both the complainant and respondent, or their legal
counsel, shall be afforded the opportunity to summarize their respective
positions at the conclusion of the presentation of any evidence or
testimony the Commission deemed relevant. Such summations will be
presented by the respondent first and followed by the complainant.
(7)
The Commission shall find no person in violation of
any provision of the Code except by unanimous vote of no fewer than
four members.
(8)
Not later than 15 days after the public hearing conducted
in accordance with this subsection, the Commission shall publish its
findings and a memorandum of the reasons therefor. Such finding and
memorandum shall be deemed to be the final decision of the Commission
on the matter for the purposes of Connecticut General Statutes, Chapter
54, Section 4-166 et seq.
(9)
Any party aggrieved by the finding and memorandum
may appeal therefrom to the superior court in accordance with the
provisions of Connecticut General Statutes, Section 4-183.
G.
No complaint may be made under this Code except within
three years next after the violation alleged in the complaint has
been committed.
H.
No person shall take or threaten to take official
action against an individual for such individual's disclosure of information
to the Commission under the provisions of this chapter. After receipt
of information from an individual under the provisions of this chapter,
the Commission shall not disclose the identity of such individual
without his or her consent, unless the Commission determines that
such disclosure is unavoidable during the course of an investigation.
A.
Unless the Commission makes a finding of probable
cause, a complaint alleging a violation of the Code shall be confidential,
except upon the written request of the respondent. A Commission evaluation
of a possible violation of the Code prior to the filing of a complaint
by the Commission shall be confidential, except upon the request of
the subject of the evaluation. If the evaluation is confidential,
any information supplied to or received from the Commission shall
not be disclosed to any third party by a subject of the evaluation,
a person contacted for the purpose of obtaining information or by
a member of the Commission. No provision of this subsection shall
prevent the Commission from reporting the possible commission of a
crime to the chief state's attorney or other prosecutorial authority.
B.
An investigation conducted prior to the probable cause
finding shall be confidential, except upon the written request of
the respondent. If the investigation is confidential, the allegations
in the complaint and any information supplied to or received from
the Commission shall not be disclosed during the investigation to
any third party by a complainant, respondent, witness, designated
party or Commission member.
C.
Not later than three business days after the termination
of an investigation, the Commission shall inform the complainant and
the respondent of its finding and provide them a summary of its reasons
for making that finding. The Commission shall publish its finding
upon receipt of the respondent's written request and may also publish
a summary of its reasons for making such finding.
D.
If the Commission makes a finding of no probable cause,
the complaint and the record of its investigation shall remain confidential,
except upon the written request of the respondent and except that
some or all of the record may be used in subsequent proceedings if
deemed relevant. No complainant, respondent, witness, designated party
or Commission member shall disclose to any third party any information
learned from the investigation, including knowledge of the existence
of a complaint.
A.
B.
In addition to such sanctions against an offending
party, the Commission may order the reconsideration of any decision
or actions involved in a violation of the Code.
C.
If the Commission has reason to believe that a criminal
statute has been violated, it shall contact the chief state's attorney
or other prosecutorial authority.
D.
The Commission may also recommend that legal action
be taken against an offending party for any damages suffered by the
Town as a result of the violation of the Code.
Where any public official, employee or independent
contractor has a question as to the applicability of any provision
of this Code to a particular situation, or as to the definition of
terms used therein, he or she may apply, in writing, to the Ethics
Commission for an advisory opinion. Good faith reliance by a public
official, employee or independent contractor on such an advisory opinion
shall be a complete defense to any complaint brought before the Ethics
Commission.
The Commission may adopt rules of procedure
which it deems necessary to carry out the intent of this chapter,
and the same and any amendments thereto shall be filed in the office
of the Town Clerk and be available for public inspection. The discussions
of the Commission held in executive session are to be confidential.
The minutes of the Commission are public information and will be made
available to the public through the Town Clerk's office.
If any section, subdivision, paragraph, sentence,
clause or phrase of this chapter, or any part thereof is for any reason
held to be unconstitutional, invalid or ineffective by any court of
competent jurisdiction, such decision shall not affect the validity
or effectiveness of the remaining portions of this chapter or any
part thereof.
