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The ethics commission is responsible for:
1. following the powers prescribed in the Connecticut General Statutes and Town
Ordinances.
This commission is comprised of five resident electors. None shall serve the
town in any other capacity either as an elected or appointed member of any
commission or board, nor as an employee of the town or the board of education.
Members are appointed by a majority of the board of selectmen.
Two alternate members may be appointed. Of the five members initially appointed,
three are appointed for two year terms, and two members appointed for one year
terms. All subsequent appointments will carry a two year term.
CODE OF ETHICS
[HISTORY: Adopted 5-26-1998 by the Board of Selectmen of the Town of Somers,
effective 6-22-1998. Amendments noted where applicable.]
ARTICLE I
General Provisions
~ 26-1. Policy and purpose; statutory authority; repealer.
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hereby repealed.
~ 26-2. Definitions.
As used in this Code the following words shall have the following meanings:
AGENCY -- All departments, boards, commissions and committees of the Town of
Somers.
BUSINESS ASSOCIATE -- 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.
CLOSE RELATIVE -- An individual's parent, spouse, fiancee, sibling, child or
dependent relative.
COMMISSION -- The Town of Somers Ethics Commission.
CONFLICT OF INTEREST -- 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.
EMPLOYEE -- 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.
FINANCIAL INTEREST -- 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.
GIFT -- 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.
GOOD FAITH -- Honesty in fact in the conduct or actions of the parties
concerned.
INDEPENDENT CONTRACTOR -- Any person or business entity performing work or
providing services, on a per diem or contractual basis, at the time an alleged
act occurred.
KNOWINGLY, KNOWN or KNOWS -- 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.
PUBLIC OFFICIAL -- 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.
~ 26-3. Ethical standards of conduct.
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.
~ 26-4. Citizenship.
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.
ARTICLE II
Ethics Commission
~ 26-5. Establishment; membership; appointment; alternate members;
qualifications; attendance at meetings.
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.
~ 26-6. Complaints; procedure; investigation and hearings; time limits.
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:
(a) Being mailed in a sealed envelope to the:
Ethics Commission
Town of Somers
Main Street-Town Hall
Somers, CT 06071
c/o Town Clerk - Confidential
(b) Complaints may also be submitted by hand delivery of a sealed envelope,
addressed as noted above, to the Town Clerk's Office.
(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:
(a) Make a record of all proceedings conducted pursuant to this subsection.
(b) Examine witnesses and receive oral and documentary evidence it deems
relevant to the matter under investigation.
(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:
(a) Hold all hearings pursuant to this subsection open to the public.
(b) Make a record of all proceedings conducted pursuant to this Subsection.
(c) Examine witnesses and receive oral and documentary evidence it deems
relevant to the question before it.
(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.
~ 26-7. Confidentiality of complaints and investigations; publication of
findings.
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.
~ 26-8. Sanctions.
A. If the Commission finds that there is a violation of the Code, it may impose
the following sanctions:
(1) Issue an order to return any and all gifts improperly received.
(2) Issue a statement of censure to be included in the personnel file of the
respondent.
(3) Recommend that:
(a) A public official resign.
(b) An employee be terminated, demoted, transferred or suspended.
(c) An independent contractor be removed and legal action be initiated to
terminate any contract for cause.
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.
~ 26-9. Advisory opinions.
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.
~ 26-10. Adoption of rules of procedure.
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.
~ 26-11. Severability.
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.
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Members
- Tamera T. Keeney
- Frederick Petrucci
- Frederick Krein
- Allyson Vecchiarellil
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