Wallingford Code of Ethics updates

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CODE OF ETHICS BE IT ENACTED BY THE TOWN COUNCIL IN SESSION: That Chapter 20, "Code of Ethics", of the Code of the Town of Wallingford is hereby repealed, and the following Chapter 20, "Code of Ethics" is substituted in lieu thereof.

ยง20-1. Concept explained.

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.

ยง20-2. Purpose.

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 ยง20-1, 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.

ยง20-3. Definitions.

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:

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AGENCY - Includes the Town Council, all departments, the Board of Education and appointed commissions and committees.

INTEREST - 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 blood or marriage 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 as 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 person Town official or employee has an Indirect Interest if the person is 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 a person 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.

PERSONAL VALUE - A nonfinancial interest or special treatment/detriment that is not common to other Town citizens.

ENTITY CLOSELY ASSOCIATED -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.

OFFICIAL OR EMPLOYEE OF THE TOWN - 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.

RELATIONS: A. 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.

B. Relations by marriage shall include the current spouse and all blood relations of said spouse as defined above.

C. 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.

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PROBABLE CAUSE - Evidence that provides reasonable grounds to believe it likely that a violation has occurred . Probable ca use 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.

ยง20-4. Conflict of Interest.

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 ยง20-9 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.

ยง20-5. Prohibited actions.

A. Disorimination in appointments. No persoo--shall be appointed to or removed from or in any way fa11ored or disoriminated against to any employment by an agenoy of the Town of Wallingford beoause of his/her raee, religion, national origin, sex or physical handioap if otherwise qualified for the position or offioe.

However, this provision does not impair the administrative diseretioft--ffi determining the requirements of a position or in job assignment of a person oolding such position, subject to review by the Classified Servioe Authority established for that purpose pursuant to the Charter of the Town of Wallingford. (Note: This does not belong in this ordinance. Federal and state law govern s and it is addressed in personnel procedures.) ~

6-,_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.

~j;L_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.

ยง20-6. Concurrent service.

If an offioial or employee of the Town of Wallingford also serves as a commissioner, direotor, trustee or offioer of a second munioipal entity and such service 3

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is required or allowed by state statute, regulation or exeoutive order or required or allowed by the Charter, ordinanoe, regulation or resolution of the To1.vn of VVallingford, then the offioial or employee may aot in both oapaeities, and suoh action shall be deemed to be untainted by any oonfliot arising out of suoh dual servioe.

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.

ยง20-7. Representation before town agencies.

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.

ยง20-8. Outside and subsequent employment.

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 ยง20-9 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.

ยง20-9. Confidential information.

Except as may be required by law, no Town official or employee, without proper authorization, shall disclose confidential information concerning the property or affairs 4

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of government of the Town, nor shall he/she use such information or special knowledge to advance the financial or other private interests of himself/herself or others.

§20-10. Violations; removal and disciplinary action.

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 terminatioR-in the case of an employee, Hflless-less stringent action is 1.varranted by extenuating eircumstanees~ referra l 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 SR-alt-may be subject to disciplinary action at the discretion of tRe +awn Couneil in the ease of eleeted offieials, the appointing authority in the case of appointed officials and the individual's supervisor in the case of employees; the minimum mandatory disciplinary action shall eonstitute a formal letter of-reprimand to the individual in11olved and entered into the official reeord of the Town Council in the ease of officials or into the personnel file of the indi¥idual 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.

§20.11. Board of Ethics.

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.L. and shall eonduct ¼ts-flea.rings in aecordanee with the pro¥isions of the Charter. Additional 8-1:¼ties and responsibil+ties may be provided through amendments to th~s Code of Ethics and/or by ordinanee or resolution as deemed appropriate by the Town Couneil this Code and other applicable ord inances 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; in the event that the Chairmanship is vacated for any reason, the appointing authority shall designate an /\cting Chairperson who 5

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shall serve until the election of a new Chairperson . The Board shall establish its own rules of procedure. except that rules of procedure governing sections D and E below shall be approved by the Law Department. except as relates to the conduct of investigatory hearings as set forth in Chapter XVII, SectieR 1.B.2.b of the Charter consistent with this Code. Rules of procedure adopted by the Board shall be filed with the Town Clerk and available for public inspection. It shall keep the records of its meetings as requ ired by the Gonnecticut General Statutes and shall hold meetings at the ca ll of the Chairperson or Acting Chairperson and at such other times as the Board may require. five 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 perm itted by law. the Board shall keep the name of the requestor and any identifying information confidential. In such cases. a redacted opinon shall be made public.

GD. 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-fn accordance 1•♦1ith the pro11isions of the Town Charter. The Board shall provide a copy of the complaint to the Respondent within five (5) business days of receipt. _ ___,(-= 2..,_) The Board shall review the complaint to determine whether or not tt:ie aUegaUons contained therein co nstitute 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. _ ___._(~ =--).._If the Board determines that the complaint alleges sufficient facts to OOR-stitute a violation, then within 60 days after tAe--receipt of said oomplaint, the Board shall fix a date for the hearing on the allegation containea--l=lerein, which hearing date shall not be more than 90 days after the receipt of the complaint, and the Board shall give notice ef..the date fixed for the hearing at least 30 days before the date of the hearing, and shall so notify the complaint and respondent by registered mail.

(3) If the Board determines that the complaint alleges sufficient facts to constitute a violation. the Board shall proceed with an investigation to 6

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determine ifthere is probable cause. In co nducting 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 provided it has funding for the same. _(~)_ All complaints, probable cause investigations and hearings shall be maintained....!sfilll_confidential by all parties and the Board involved prior to~eartAg-a determination of probable cause; the Complainant's failure to maintain the confidentiality of the complaint by the complainant is may be deemed cause, at the discretion of the Board, to dismiss the complaint without investigation or ruling unless the Board, for good cause shown, determines that the complaint should not be dismissed.

All hearings shall be conducted under the rules and regulations as set fefth in the To•1m Charter of the To•Nn of 'Nallingford. Respondent may waive the confidentialitv of the complaint at anv time-:(5) Upon comp leting 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 except upon request of the Respondent.

(6) If the Board finds probable cause, it shall make such determination public within two (2) 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 ten (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-or subsequent to the hearing thereefl and prior to the close of the hearing, the Board may at its discretion amend any complaint filed with i-n-i!Jo include violations which it believes to-.l!::§Y..have been committed by the respondent,.:. eveR though such violatioos-were not originally encompassea--i-n--te complaint. Any such amendment shall be in writing, and a copy shall be 7

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sent to the comp lainant and respondent within three days of its preparation by the Board. The Board shall hold a hearing on any such amended eomplaint within 30 days after s e n ~ p y of the amendment and shall give notiee of the hear•ng at least 15 days befor-e the date of the hearing.

(3) Y-pen-the request of either the eomplainant, the respondent or any member of the Board and at the expense of the party reEfUesting it, the Board shall eause the hearings to be reeorded and , also, a transcription to be made at the expense of the party requesting it, if a transsript is requested by either the somplainant, the respondent or any member of the Board. Hearings on the complaint shall be recorded .

(4) The Board's rules and regu lations 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 with in 60 days of its commencement unless extended by the Board for reasonable cause. If the compla int is amended by the Board during the hearing, the Board shall modify the time requirements as needed or upon reasonable request of either ~

(6) The Board shall render a decision within twenty-one (21) days of the closing of the hearing. The decision shall be red uced to writing and the Complainant and the Respondent shall be provided the written decision within fifteen (1 5) days of the decision.

(7) The Board shall fHe.. 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.

D. 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.

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ยง20.12. Severability; construal; when effective; distribution.

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.

8. 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 111, 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.

I HEREBY CERTIFY that this Ordinance was enacted by the Town Council of the Town of Wallingford this day of , 2019, in accordance with the provisions of the Charter of the Town of Wallingford .

BARBARA THOMPSON Town Clerk

APPROVED: _ _ _ _ __ __ _ _ _ _ __ William W. Dickinson, Jr., Mayor

DATE: _ _ _ _ _ _ _ __ _ _ _ _ __ 9