[HISTORY: Adopted by the Board of Aldermen of the City of Derby 12-16-2004.[1] Amendments noted where applicable.]
[1]
Editor's Note: This ordinance also repealed former Ch. 18, Code
of Ethics, adopted 5-9-1991.
The proper operation of democratic government requires that public officials
and employees be independent, impartial and responsible to the people of Derby;
that governmental decisions and policies be made free from undue influence
and in the proper channels of governmental structure; that public office and
employment not be used for unauthorized personal or private financial gain;
and that the public have confidence in the integrity of its government. In
recognition of these goals, a Code of Ethics is hereby established pursuant
to authority granted to the City by Connecticut General Statutes Section 7-148h
to set forth standards of ethical conduct to govern officials and employees
of the City of Derby, as hereinafter defined. The purpose of this code is
to establish ethical standards of conduct by setting forth those actions that
are in conflict with the best interest of the City and by directing disclosure
of any financial interest in matters affecting the City as set forth in this
chapter.
For the purpose of this chapter, the following terms shall have the
indicated meanings:
All permanent and temporary boards, commissions, authorities, committees
and departments of the City, including the Board of Education and any regional
boards.
The Derby Board of Ethics established pursuant to Section 7-148h
of the Connecticut General Statutes.
An entity through which business for profit or not-for-profit is
conducted, including a corporation, partnership, limited-liability company,
proprietorship, firm, enterprise, franchise, association, organization, or
self-employed individual.
Any business in which the official or municipal employee or member
of his/her immediate family is a director, officer, owner, employee, compensated
agent, limited or general partner or holder of stock constituting 5% or more
of the total outstanding stock of any class.
Any individual who has filed a declaration of candidacy or a petition
to appear on the ballot for election as a public official or who has raised
or expended money in furtherance of such candidacy or who has been nominated
for appointment to serve as a public official.
Information, whether transmitted orally or in writing, which is obtained
by an official or employee by reason of his/her public position or office
and is of such nature that it is not, at the time of transmission, a matter
of public record or public knowledge.
A district established pursuant to Section 7-324 of the General Statutes.
A person employed, whether full- or part-time, by the City of Derby,
including persons employed by the Board of Education.
Any interest with a monetary value of $100 or more or which generates
a financial gain or loss of $100 or more in a calendar year and is not common
to the other citizens of the City. An individual's financial interest
shall include the financial interests of all members of his/her immediate
family but shall not include any duly authorized compensation from the City.
Anything of value, including entertainment, food, beverage, travel
and lodging given or paid to a public official or public employee to the extent
that consideration of equal or greater value is not received. A gift does
not include:
A political contribution otherwise reported as required by law or a
donation or payment as described in Subdivision (9) or (11) of Subsection
(b) of Section 9-333b of the General Statutes.
Services provided by persons volunteering their time for a political
campaign.
A commercially reasonable loan made on terms not more favorable than
loans made in the ordinary course of business.
Goods or services which are provided to the municipality or district
and facilitate governmental actions or functions.
A certificate, plaque or other ceremonial award costing less than $100.
A rebate or discount on the price of anything of value given in the
ordinary course of business without regard to the recipient's status.
Printed or recorded informational material germane to governmental action
or functions.
Items of nominal value, not to exceed $10, containing or displaying
promotional material.
An honorary degree bestowed upon a public official or public employee
by a public or private university or college.
A meal provided at an event or the registration or entrance fee to attend
such an event, in which the public employee or public official participates
in said person's official capacity,
A meal provided in the home by an individual who resides in the municipality
or district.
A gift from a relative or person having a close relationship who has
given gifts in the past or would ordinarily be giving or exchanging gifts
for special occasions such as religious holidays, birthdays, the birth or
adoption of a child or weddings. Gifts from persons other than relatives,
except of nominal value, should not be accepted if the donor has a matter
pending where the recipient of the gift has decision-making authority.
Small gifts, the denial of which would appear discourteous or which
are tendered on gift-giving occasions generally recognized by the public,
including, for example, Christmas, birthdays, the birth or adoption of a child
or weddings, provided that the value of the gift does not exceed approximately
$50 from a single donor or approximately $100 per calendar year from a single
donor.
Any spouse, dependent child or dependent relative who resides in
the individual's household.
A natural person.
The City of Derby or borough thereof.
An elected or appointed official, whether paid or unpaid or full-
or part-time, of the City of Derby, or any of its agencies, including members
of the Board of Education, a political subdivision of the City, or a district.
An official includes a candidate for the office and a district officer elected
pursuant to Section 7-327 of the General Statutes.
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,
limited-liability company, firm, partnership, committee, club or other organization
or group of persons.
Includes the offer, sale or furnishing of any real or personal property,
material, supplies or services by any person, directly or indirectly, as a
vendor, prime contractor, subcontractor, or otherwise, for the use or benefit
of the City for valuable consideration.
The Code of Ethics of the City of Derby shall govern officials and employees
of the City of Derby.
A.
No City official or employee shall engage in or participate
in any business or transaction, including outside employment with a private
business, or have a financial interest, direct or indirect, that is in substantial
conflict with the proper discharge of the official's or employee's
responsibilities in the public interest.
B.
No City official or employee shall accept other employment
which will either impair his independence of judgment as to his official duties
or employment or require him or induce him to disclose confidential information
acquired by him in the course of and by reason of his official duties.
C.
Except as otherwise required by law, no City official
or employee shall disclose, without proper authorization, confidential information,
nor shall be/she use such information to advance his/her financial interests
or the financial interests of others. This subsection shall not be used to
restrict the release of information that is properly available to the public.
D.
No official or employee may inappropriately use his/her
position to seek, demand, or influence a financial interest in his/her favor
or in favor of any other person or entity.
E.
No City official or employee or candidate for public
office, or member of such individual's immediate family or business with
which he or she is associated, shall solicit or accept anything of value,
including but not limited to a gift, loan, political contribution, reward,
the promise of a gift or promise of future employment, based on any understanding
that the vote, official action or judgment of the public official or employee
or candidate for public office would be or had been influenced thereby. No
official or employee shall solicit or accept any gift from any person that,
to the official's or employee's knowledge, is interested in any pending
matter within such individual's official responsibility. If a prohibited
gift is offered, the employee or official shall refuse it, return it, pay
the donor full value of the gift or donate it to a nonprofit organization,
provided the employee or official does not take the corresponding tax deduction
or credit. If it is impossible, impracticable or inappropriate to refuse or
return a gift, the Chairman of the Board of Aldermen shall be notified of
the gift's receipt and it shall then be given to a public charitable
organization. Alternatively, the gift may be deemed to be a gift to the City,
provided it remains in the City's possession permanently or until it
is sold, transferred or used up by the City. For the purposes of this section,
a "gift" shall include the receipt of any goods or services for an amount
less than the amount charged to the general public.
A.
An official or employee 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/her official responsibilities.
B.
An official or employee has a financial 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 does not have a financial 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
to which he/she belongs.
A.
Any official or employee who has a financial interest,
direct or indirect, in any contract, transaction or decision within the purview
of his/her official responsibilities shall disclose that interest either as
a matter of public record or in writing. In the case of an official, such
disclosure is to be made to the agency of which the official is a member,
and, in the case of an employee, such disclosure is to be made to the head
of the department or agency by which he/she is employed or has been retained.
A direct or indirect financial interest which creates a conflict of interest
shall disqualify the official or employee from participation in the matter.
A City official or employee may rely on the advice of Corporation Counsel
with respect to whether a financial interest creates a disqualifying conflict
of interest.
B.
No official or employee 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 interest without
first disclosing such interest to the agency, which disclosure shall be included
in the record of the agency's proceeding.
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/her official duty.
B.
No former official or employee 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 or employee 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.
Nothing in this section shall not prohibit any current
or former official or employee from appearing before any agency on his/her
own behalf or on behalf of members of his/her immediate family. To avoid the
appearance of impropriety, officials are strongly discouraged from disqualifying
themselves and 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 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.
As authorized by Section 52 of the Charter of the City
of Derby and Section 7-148h of the Connecticut General Statutes, there shall
be a Derby Ethics Board, consisting of five members appointed by the Mayor
subject to the approval of the Derby Board of Aldermen consisting of two Democrats,
two Republicans and one unaffiliated voter. Members of the Board shall serve
for staggered five-year terms, except that members first appointed shall have
the following terms: one for one year, one for two years, one for three years,
one for four years and one for five years, provided a member may continue
to serve until a successor is appointed.
B.
The Board of Ethics shall have three alternates, one
a registered Republican, one a registered Democrat and one an unaffiliated
voter, who shall serve staggered three-year terms, except that alternate members
first appointed shall have the following terms: one for one year, one for
two years and one for three years, provided an alternate may continue to serve
until a successor is appointed. If a regular member of the Board is absent
or has a conflict of interest, the Chairperson shall designate an alternate
to so act, choosing alternates first in the same party or unaffiliated status
of the absent or conflicted regular member, and if that alternate is not available,
in rotation. If any alternate is not available in accordance with the above,
such fact shall be recorded in the minutes of the meeting.
C.
All members and alternates of the Board shall be electors
of the City of Derby. No member or alternate of the Board shall:
D.
Vacancies shall be filled within 30 days for the unexpired
term and in the same manner as the original appointment.
E.
All members and alternates shall be electors of the City
of Derby and shall serve without compensation. Any member of the Board may
be removed upon recommendation of the Mayor after a hearing before the Board
of Aldermen and by a vote of at least 80% of the Board of Aldermen present
and voting that the member has violated the provisions of this chapter or
otherwise should be removed for cause.
F.
The Board shall annually elect a Chairperson, who shall
preside at meetings of the Board, and a Vice Chairperson to preside in the
absence of the Chairperson. The Chairperson and Vice Chairperson shall not
be from the same political party. Meetings shall be held at the call of the
Chairperson, or any three members may call a meeting. Three members shall
constitute a quorum, and a majority vote of the quorum shall be required for
action of the Board, except that any meeting whose purpose is to investigate
or make a determination regarding probable cause or a violation of this code
against an official or employee shall have four members to constitute a quorum
and a finding of probable cause or a violation shall require the affirmative
vote of at least four members. The Board shall keep minutes of its meetings.
Alternates will be notified of all scheduled meetings.
A.
Rules and procedures. The Board may establish its own
rules and procedures, which shall be a matter of public record.
B.
Advisory opinions. 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 or employee pursuant to a written request. 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.
C.
Guidelines. The Board may also issue guidelines delineating
the scope or interpretations of the provisions of this code upon written request
or at its own initiative. The Board shall file such guidelines with the City
Clerk. Advisory 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 proceeding brought under the provisions of this chapter.
D.
Investigatory power and recommendations. The Board shall
have such powers to investigate complaints of alleged violations of the Code
of Ethics, to hold hearings and to make determinations and recommendations
as set forth in § 18-10 of this chapter. As required by Section
7-148h(a) of the Connecticut General Statutes, the provisions of Section 1-82(a)
through (e) of the Connecticut General Statutes shall apply to all investigations
and hearings held under this chapter.
E.
Counsel. The Board may employ staff or retain counsel
as it deems necessary within available appropriations through a designated
account or accounts.
A.
The jurisdiction of the Board's investigatory powers
is limited to alleged violations of the Code of Ethics.
(1)
Any resident, taxpayer or employee of the City may file
a complaint alleging a violation of this code. Such complaint must (1) be
in writing, (2) be signed under penalty of perjury by the individual making
the complaint, (3) specify the acts of the official or municipal employee
and the dates or approximate dates of such alleged acts, and (4) set forth
a summary of the evidence upon which the complainant will rely to support
the allegations in the complaint. In summarizing the evidence, the complainant
must summarize the nature and content of expected testimony but need not identify
any witness other than himself who may testify. The Board may also initiate
any such complaint signed by at least four members of the Board. If a complaint
alleges criminal acts, as defined by state or federal law, the Board shall
forward the complaint to the Derby Police Department, which shall have independent
and exclusive jurisdiction over the matter until such time as the records
of the investigation become public.
(2)
Not later than five business days after the receipt or
issuance of such complaint, the Board shall provide notice of such receipt
or issuance and a copy of the complaint by registered or certified mail to
any respondent against whom such complaint is filed and shall provide notice
of the receipt of the complaint to the complainant. When the Board undertakes
an evaluation of a possible violation of this code prior to the filing of
a complaint by the Board, the subject of the evaluation shall be notified
within five business days after a Board member's or Board staff member's
first contact with a third party concerning the matter.
B.
If the complaint was filed by an individual, the Board,
within 15 days of receipt of the complaint, shall review the complaint to
determine whether or not the allegations, if substantiated, would constitute
a violation of any provision of the Code of Ethics. If the Board determines
that the complaint fails to allege a violation of the code, the Board shall
dismiss the complaint and duly notify the complainant and respondent by registered
or certified mail.
C.
Probable cause investigation and determination.
(1)
If the Board determines that the complaint alleges a
violation of the code, then the Board shall conduct an investigation to determine
whether probable cause exists for a violation of the code by the respondent.
Probable cause means more than mere suspicion. There must be facts and circumstances
of which the Board possesses trustworthy information, sufficient to justify
the belief of a reasonable person that a violation of the Code of Ethics has
been or is being committed and that the respondent is the person who committed
it.
(2)
In the conduct of its investigation, the Board shall
have the power to hold hearings, administer oaths, examine witnesses, receive
oral and documentary evidence, subpoena witnesses under procedural rules adopted
by the Board as regulations in accordance with the provisions of the Uniform
Administrative Procedure Act, Chapter 54 of the Connecticut General Statutes,
to compel attendance of witnesses before the Board and require the production
for examination by the Board of any documents or tangible things which the
Board deems relevant in any matter under investigation or in question. In
the exercise of such powers, the Board may use the services of the local police,
who shall provide the same upon the Board's request. Any witness summoned
before the Board shall receive the witness fee paid to witnesses subpoenaed
to testify in the Superior Court. During the investigation, the respondent
shall have the right to appear and be heard and to offer any information which
may tend to clear him of probable cause to believe he has violated any provision
of the code. The respondent shall also have the right to be represented by
legal counsel and to examine and cross-examine witnesses. The provisions of
Sections 4-177b, 4-177c and 4-178 of the Connecticut General Statutes shall
apply to the hearing.
(3)
Meetings of the Board held for the purpose of making
probable cause determinations shall be exempt from the provisions of Sections
1-200, 1-210, 1-212, 1-213, inclusive, and Sections 1-225 to 1-240, inclusive,
of the Connecticut General Statutes. Hearings held for the purpose of determining
probable cause shall be confidential and not open to the public unless the
respondent requests that the hearing be public.
(4)
The Board shall make no finding that there is probable
cause to believe the respondent is in violation of any provision of this chapter
except upon concurring vote of at least four of its members. The Board's
probable cause investigation shall be completed within 45 days of the filing
of the complaint.
(5)
Not later than three business days after the completion
of the investigation, the Board shall inform the complainant and the respondent
of its finding and provide them with a summary of its reasons for making that
finding. If the Board finds that probable cause for a code violation does
not exist, the Board shall publish its finding upon the respondent's
request and may also publish a summary of its reasons for making such finding.
D.
Hearings to determine whether code violated.
(1)
If the Board finds, after a preliminary investigation
and hearing pursuant to this section, that probable cause exists for the violation
of any provision of the Code of Ethics, the Board shall initiate hearings
to determine whether there has been a violation of such provision. All hearings
of the Board pursuant to this subsection shall be open to the public At such
hearing, the Board shall have the same powers as under Subsection C of this
section, and the respondent shall have the right to be represented by legal
counsel, to compel attendance of witnesses and the production of documents
and things and to examine and cross-examine witnesses. The Board shall make
a record of all proceedings pursuant to this subsection. The initial hearing
date shall be scheduled to commence not more than 60 days from the filing
of the complaint.
(2)
The Board shall make no finding that there is a violation
of any provision of the code except upon the concurring vote of at least four
of its members. The hearings shall be completed within 105 days from the filing
of the complaint; and within 15 days after the close of the public hearings,
the Board shall render a written memorandum of decision containing its decision,
findings and reasons therefor.
E.
If the Board finds, after a hearing pursuant to this
section, that there is no probable cause to believe that a person has violated
any provision of the Code of Ethics or finds that a person has not violated
any such provision, the City shall pay the reasonable attorneys fees of the
respondent as determined by the Board.
F.
Any of the deadlines set forth above in this section
may be extended upon the written request of the respondent with the approval
of the Board or upon mutual agreement of the respondent and the Board. The
extension of a deadline shall automatically extend all subsequent deadlines
by the period of the extension unless specifically otherwise provided.
G.
No complaint may be made under this section except within
two years of the occurrence of the violation alleged in the complaint.
H.
If an individual files a complaint which the Board determines
was frivolous or if an individual files two consecutive complaints within
a one-year period which the Board determines lacked probable cause, the individual
shall be barred from filing a complaint for a period of one year from the
date of such determination.
A.
Unless the Board makes a finding of probable cause, a
complaint alleging a violation of the code shall be confidential except upon
the request of the respondent. If a complainant breaches this confidentiality
provision, the Board may, under appropriate circumstances, dismiss the complaint
in whole or in part. A Board evaluation of a possible violation of the code
prior to the filing of a complaint by the Board 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 Board shall not be disclosed
to any third party by a subject of the evaluation, a person contacted for
the purpose of obtaining information or a Board or staff member.
B.
An investigation conducted prior to a probable cause
finding shall be confidential, except upon the request of the respondent.
If the investigation is confidential, the allegations in the complaint and
any information supplied to or received from the Board shall not be disclosed
during the investigation to any third party by a complainant, respondent,
witness, designated party, or Board or staff member.
C.
If the Board makes a finding of no probable cause, the
complaint and the record of its investigation shall remain confidential, except
upon the request of the respondent and except that some or all of the record
may be used in subsequent proceedings. No complainant, respondent, witness,
designated party or Board or staff member shall disclose to any third party
any information learned from the investigation, including knowledge of the
existence of a complaint, which the disclosing party would not otherwise have
known. If such a disclosure is made, the Board may, after consultation with
the respondent if the respondent is not the source of any disclosure, publish
its finding and a summary of its reasons therefor.
D.
The Board shall make public a finding of probable cause
not later than five business days after the completion of the preliminary
investigation. At such time, the entire record of the investigation shall
become public.
E.
Not later than 15 days after the public hearing conducted
in accordance with Subsection D of § 18-10 hereof to determine whether
there has been a violation of this chapter, the Board shall publish a written
memorandum of decision containing its decision, findings and the reasons therefor
and shall transmit the memorandum of decision to the Derby Board of Aldermen,
except with respect to individuals under the jurisdiction of the Board of
Education, in which case the memorandum of decision shall be filed with the
Board of Education, together with its recommendations. The recommended action
may include private reprimand, public censure, a fine not to exceed $100,
removal, suspension or termination from office, or other such action as the
Board of Ethics deems appropriate. The Board of Aldermen or Board of Education
shall consider such recommendations and take such action as it may deem appropriate
in accordance with its respective responsibilities under the law, provided
that in the case of union employees, such action does not constitute a unilateral
change in conditions of employment or conflict with the disciplinary provisions
of the applicable collective bargaining agreement. No recommendation of the
Board of Ethics shall limit the authority of the Board of Aldermen or the
Board of Education under the Charter of the City of Derby or under any ordinance,
statute or any other law, and the actions hereunder shall be supplemental
to any authority the Board of Aldermen or Board of Education has under any
ordinance, statute or any other law. Any discussion by the Board of Aldermen,
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.
All deliberations of the Board shall remain confidential, and no Board
member may disclose the deliberations of the Board to any party or to members
of the public.
Any person aggrieved by any final decision of the Board of Ethics made
pursuant to this chapter may appeal such decision in accordance with the provisions
of Section 4-183 of the Connecticut General Statutes.
