[HISTORY: Adopted by the Town Council of
the Town of Wallingford 3-26-2019 by Ord. No. 625[1]. Amendments noted where applicable.]
[1]
Editor's Note: This ordinance also repealed former Ch. 20,
Ethics, Code of, adopted 2-23-1982 by Ord. No. 294, as amended.
The concept of ethics is a field based on the philosophy that
standards of conduct can be expressed in an objective manner consistent
with societal considerations and codified into established conventions,
thus generating accepted professional standards of conduct. In applying
this concept of ethics to municipal government, the professional standards
of conduct for officials and employees of the Town of Wallingford
are set forth in the Constitution of the United States, federal laws
and regulations, the Constitution and General Statutes of the State
of Connecticut, the Town Charter and ordinances and resolutions of
the Town of Wallingford (including this Code of Ethics) and generally
accepted societal norms and conventions for proper and ethical conduct.
The proper operation of Town government in Wallingford requires that public officials and employees be independent, impartial and responsible to the people whom they serve; that governmental decisions and policies be made in the proper channels of the governmental structure; that public office and employment not be used for personal gain; 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 supplementing existing standards as referenced in § 20-1, to assist public officials and employees in establishing guidelines for their conduct and to develop and maintain a tradition of responsible and effective public service. In recognition of these goals, there is hereby established for the Town of Wallingford the following Code of Ethics.
As used in this Code of Ethics, the following words or phrases,
unless a different meaning is required by the context or is specifically
prescribed, shall have the following meanings:
Includes the Town Council, all departments, the Board of
Education and appointed commissions and committees.
Any entity through which business for profit or not for profit
is conducted in which the public official or their relation is a director,
officer or holder of an ownership interest. An unpaid member (but
not a director or officer) of a non-profit entity is exempt from this
definition.
Any interest, direct or indirect, which is of financial or personal
value to the Town official or employee which is not common to the
interest of other citizens of the Town. Interest shall include the
private interest arising from relations as defined herein or close
business association. Interest shall also include the interest of
any subcontractor in any prime contract with the Town and the interest
of any person or his/her immediate family in any corporation, firm
or partnership which has a direct or indirect interest in any transaction
with the Town; "transaction" shall include the offer, sale or furnishing
of any real or personal property, material, supplies or services by
any person, directly or indirectly, as vendor, prime contractor, subcontractor
or otherwise, for the use and benefit of the Town for a valuable consideration.
A Town official or employee has an indirect interest if they
are likely to receive a benefit or loss (financial or otherwise) as
a consequence of a benefit or loss incurred by a relation or entity
closely associated to the person. An indirect interest also exists
if the official or employee has a conflict of duty as a result of
a benefit or loss incurred by a relation or closely associated entity.
Members and employees of the Town Council, boards, commissions,
committees, departments or other agencies, whether the officials are
elected or appointed, and shall include all officers and employees
of the Board of Education, but shall not mean Justices of the Peace.
A nonfinancial interest or special treatment/detriment that
is not common to other Town citizens.
Evidence that provides reasonable grounds to believe it likely
that a violation has occurred. Probable cause is more than a mere
suspicion but less than a preponderance of the evidence. To find probable
cause, there must be sufficient facts to justify a reasonable person
in the belief that there are reasonable grounds for prosecuting the
complaint.
Blood relations shall include grandparent, parent, brother/sister,
child, grandchild, aunt/uncle, nephew/niece and first cousin, whether
such relations occur through blood lineage or adoption.
Relations by marriage shall include the current spouse and all
blood relations of said spouse as defined above.
Immediate family shall include grandparent, parent, brother/sister,
child and grandchild, whether such relations occur through blood lineage
or adoption, as well as the current spouse and his/her immediate family
as defined above.
A.
No official or employee shall have any interest, direct or indirect, or engage in any transaction or professional activity or incur any obligation of any nature which is in conflict with the proper discharge of his/her duties in the public interest or which will impair his/her independence of judgment or action in the performance of his/her official duties or which will cause him/her to violate § 20-9 of this Code of Ethics. Any real or potential conflict of interest shall be disclosed by the official or employee in accordance with the provisions of the Town Charter.
B.
No official or employee who serves as an officer or director of a
closely associated entity shall participate, act or vote on any matter
directly affecting the entity.
A.
Obligations to citizens. No official or employee shall grant any
special consideration, treatment or advantage to any person beyond
that which is available to every other person similarly situated.
B.
Use of public property. No official or employee shall use Town-owned
vehicles, equipment, materials or property, except in the line of
duty or when such service is available to the general public or when
properly authorized, in writing, by the department head.
An official or employee of the Town of Wallingford may serve
as a commissioner, director or officer of another municipality or
quasi-government agency unless prohibited by law, and such service
shall not, in and of itself, be deemed to be a conflict of interest.
The official or employee shall not, however, render any services to
said entities incompatible with the proper discharge of their public
duties or which could impair their independence or impartiality of
judgment in the performance of their public duties.
No official or employee shall knowingly render or agree to render
for compensation or otherwise any service to any person or party other
than the Town of Wallingford in connection with any cause, proceeding,
application or other matter which is before any Town agency. This
does not prohibit any Town official or employee from appearing before
any board or commission on his/her own behalf.
A.
No official or employee shall engage in or accept private employment or render services for private interests when the employment or service is incompatible with the proper discharge of his/her official duties or would tend to impair his/her independence or judgment or action in the performance of his/her official duty or cause him/her to violate § 20-9 of this Code.
B.
Any official or employee who shall desire to accept private employment
or render services to private interests where such involves a potential
conflict as cited above may submit his/her prospective employment
to his/her immediate superior, if an employee, or to the Town Council,
if an official, for proper clearance of the prospective employment's
compatibility with the public functions or duties of the official
or employee.
C.
No official or employee shall solicit or negotiate for or promise
to accept future employment in a manner which is incompatible with
his/her official duties and the discharge thereof.
Except as may be required by law, no Town official or employee,
without proper authorization, shall disclose confidential information
concerning the property or affairs of government of the Town, nor
shall be/she use such information or special knowledge to advance
the financial or other private interests of himself/herself or others.
A.
Violation of any provisions of this Code of Ethics should raise conscientious
questions for the official or employee concerned as to whether voluntary
resignation or other self-initiated action is indicated to promote
the best interest of the Town.
B.
Any violation of the Town Charter and/or this Code of Ethics which
is demonstrated to have occurred with the forethought and deliberate
intent of the official or employee involved shall be cause for initiation
of removal proceedings in accordance with the provisions of the Town
Charter in the case of an appointed official or, in the case of an
employee, a referral to the department head for appropriate disciplinary
action.
C.
Any violation of the Town Charter and/or this Code of Ethics without
the demonstrated forethought and deliberate intent of the official
or employee involved may be subject to disciplinary action at the
discretion of the appointing authority in the case of appointed officials
and the individual's supervisor in the case of employees. Upon
finding a violation, the Board may, in its discretion, recommend to
the appropriate authority appropriate action for the disposition of
the matter.
A.
There shall be a Board of Ethics constituted in accordance with the
provisions of the Town Charter of the Town of Wallingford. The Board
of Ethics shall have such powers and duties as set forth in said Charter,
this Code and other applicable ordinances and/or state law.
B.
The Board of Ethics shall elect biennially a Chairperson from its own membership, who shall serve a two-year term beginning on January 1 of each even-numbered year. The Board shall establish its own rules of procedure, except that rules of procedure governing Subsections D and E below shall be approved by the Law Department, consistent with this Code. Rules of procedure adopted by the Board shall be filed with the Town Clerk and available for public inspection. Three members shall constitute a quorum.
C.
Advisory opinions. The Board shall provide advisory opinions to any
Town official or employee upon their written request regarding the
requirements of this Code of Ethics. Upon request of the official
or employee, and only as permitted by law, the Board shall keep the
name of the requestor and any identifying information confidential.
In such cases, a redacted opinion shall be made public.
D.
Investigation by the Board.
(1)
Upon receipt of a properly prepared written complaint signed under
penalty of false statement alleging a specific violation of the Town
Charter and/or this Code of Ethics and naming the official involved,
the Board shall have the power to investigate such complaint. The
Board shall provide a copy of the complaint to the respondent within
five business days of receipt.
(2)
The Board shall review the complaint to determine whether or not
the allegations, if proven, would constitute a violation of any provision
of the Town Charter and/or this Code of Ethics. If the Board determines
that the complaint does not allege sufficient facts to constitute
a violation, the Board shall dismiss the complaint and duly notify
the complainant and respondent.
(3)
If the Board determines that the complaint alleges sufficient facts
to constitute a violation, the Board shall proceed with an investigation
to determine if there is probable cause. In conducting its investigation,
the Board may obtain any documents and may interview any witnesses
it deems necessary to make a probable cause determination. The Board
shall provide the complainant and respondent the opportunity to be
heard at the probable-cause stage in a manner determined by the Board.
The Board may also obtain assistance in its investigation as deemed
necessary.
(4)
All complaints, probable-cause investigations and hearings shall
be kept confidential by all parties and the Board prior to a determination
of probable cause; the complainant's failure to maintain the
confidentiality of the complaint is cause to dismiss the complaint
without investigation or ruling unless the Board, for good cause shown,
determines that the complaint should not be dismissed. Respondent
may waive the confidentiality of the complaint at any time.
(5)
Upon completing its investigation, the Board shall determine if there
is probable cause that a violation occurred and, if so, proceed to
a public hearing as provided herein. If the Board determines that
there is no probable cause and dismisses the complaint, the complaint
shall remain confidential in accordance with law unless the confidentiality
is waived by the respondent.
(6)
If the Board finds probable cause, it shall make such determination
public within two business days of such determination.
(7)
Probable-cause determinations shall be made within 45 days of receipt
of the complaint unless the Board, in its discretion, votes to extend
the time for completion.
E.
Hearings on complaint upon finding of probable cause.
(1)
Upon a finding of probable cause, the Board shall schedule a hearing
and provide the complainant and respondent with at least 10 days'
notice of the date, time and place of the hearing. Said hearing shall
commence within 30 days of the probable-cause finding.
(2)
Subsequent to the filing of the original complaint and prior to the
close of the hearing, the Board may at its discretion amend any complaint
filed with it to include violations which it believes may have been
committed by the respondent. Any such amendment shall be in writing,
and a copy shall be sent to the complainant and respondent within
three days of its preparation by the Board.
(3)
Hearings on the complaint shall be recorded.
(4)
The Board's rules and regulations for the hearing shall include,
at a minimum, the following:
(a)
Evidence will be taken under oath; the complainant and respondent
shall have the right to examine and cross-examine witnesses and present
evidence on their own behalf;
(b)
The complainant and respondent may be represented by counsel;
(c)
In accordance with law, the Board may subpoena witnesses and/or
may compel the production of documents.
(5)
The hearing shall be concluded within 60 days of its commencement
unless extended by the Board for reasonable cause. If the complaint
is amended by the Board during the hearing, the Board shall modify
the time requirements as needed or upon reasonable request of either
party.
(6)
The Board shall render a decision within 21 days of the closing of
the hearing. The decision shall be reduced to writing, and the complainant
and the respondent shall be provided the written decision within 15
days of the decision.
(7)
The Board shall provide a copy of its memorandum of decision, which
may include a recommendation for appropriate action, with the designated
authority for appropriate action pursuant to this section, if the
Board determines that the respondent has, in fact, violated the provisions
herein.
F.
In the performance of its duties and in the exercise of its powers,
the Board shall not incur any expense in excess of the funds appropriated
by the Town Council for such purposes. In order to ensure the proper
execution of the Board's duties, the Town Council shall provide
a minimum of $500 in the Board's annual budget.
A.
If any section, clause, provision or portion of this Code of Ethics
shall be held to be invalid or unconstitutional by any court of competent
jurisdiction, such holding shall not affect or impair any other section,
clause, provision, or portion of this Code.
B.
This Code of Ethics shall not be in conflict with, but rather in
addition to, any general or specific law relating to ethical conduct
and interest in contracts by Town officials and employees.
C.
This Code of Ethics shall become effective as provided in Chapter
III, Section 7, of the Town Charter.
D.
Copies of this Code shall be distributed to all elected and appointed
officials and departments as of that date and shall also be provided
to all newly elected and appointed officials subsequent to that date;
copies shall also be provided to all department heads, and copies
shall be made available to the general public in the office of the
Town Clerk.
