In mid-May, the Newtown Board of Ethics closed out several months of work crafting new and updated procedures and documents to help local residents both understand the work of the board, and to make the process of requesting rulings and filing complaints more user-friendly.

At a brief of Board of Ethics meeting May 11 members unanimously accepted an updated complaint processing procedure, a complaint petition, an advisory opinion request form, and a frequently asked questions (FAQ) publication, all of which are now accessible on the Town website.

The "Complaint Petition" and "Advisory Opinion Request" forms were previously endorsed by the town attorney and ratified by the Board of Ethics.

The Complaint Petition requests the name, address, phone number, and e-mail of the individual filing the document, along with identifying the person believed to have violated the ethics code, that person's position or office, and the specific section of the code the complainant believes was violated.

The form also asks where and when the alleged violation occurred, along with a brief statement containing other facts, circumstances, and documentation supporting the complaint.

The form must then be signed and notarized. All sworn complaints remain confidential until probable cause to hold a violation hearing is established, and all meetings of the ethics board and involved parties are not subject to public notice or access until the board votes to hold a hearing.

The Advisory Opinion Request form is intended for elected or appointed officials, and is not intended or regarded as a complaint. The requestor's name, address, phone number, and e-mail are requested, along with a description of concerns, the specific section of the code that may be involved, and any other details of the potential violation.

The draft states that a return opinion should be expected within 25 business days of receipt. Probable cause investigations would commence within 20 business days of the chairperson receiving a complaint.

The complaint processing procedures defines the term "Probable Cause" for the purpose of validating a complaint as meaning more than a mere suspicion. According to the new procedures, "There must exist facts and circumstances within the Board's knowledge, and of which they have trustworthy information, sufficient to justify the belief of a reasonable person that a violation of the Code of Ethics has occurred."

Handling Of Complaints

Upon receipt of a complaint and notification to the respondent, the ethics board or designated member will confidentially investigate the complaint within 20 business days of being notified the complaint was filed.

An investigation of any complaint will remain confidential until either a determination by a majority of the board that probable cause exists that a violation of the Code of Ethics has occurred and that the complaint warrants a public hearing or the respondent demands a public hearing.

To maintain confidentiality, the complaint shall receive a number upon its receipt and will be referred to by that number. If the board determines probable cause exists, a public hearing to determine the merits of the complaint will be scheduled within 20 business days, and the board will make public the complaint and all related documents.

In the event the board determines that the circumstances complained about are subject to a collective bargaining agreement, it will transmit, within five business days of the conclusion of the investigation, copies of the complaint and the probable cause determination to the appropriate forum having jurisdiction.

The board at that point will either retain jurisdiction, but defer any further action until the appropriate forum has rendered a decision on the matter, or relinquish jurisdiction to the appropriate forum and close the file on the complaint.

Hearing Processes

Regarding ethics hearings, the updated policy permits the complainant, any witnesses called by complainant or respondent, and / or the respondent's counsel to attend, in addition to the respondent.

After being sworn in, all parties, including any witnesses, may hear the complainant present evidence, including documentation and witnesses. The respondent (and counsel, if any) then has the right to cross-examine all witnesses against him or her, and present evidence and witnesses on his or her behalf.

The board can schedule additional hearing sessions if needed, and at the conclusion of the presentation of evidence by both complainant and respondent, the board can deliberate. Such deliberation may occur immediately at the conclusion of the public hearing, or may be scheduled for another time provided that deliberation is finished within ten business days after the conclusion of the public hearing.

Deliberation may be conducted in executive session unless the respondent requests that it be conducted in public. Voting shall be conducted in public.

Within five business days after the conclusion of its deliberations, the board will publish written findings of fact, and render a decision as to the merits of the complaint.

If the board determines the complaint is with merit, the board will forward to the Board of Selectmen its findings and a recommendation as to the disposition of the complaint. Selectmen would then consider those findings and the recommendation for any complaints found to constitute a violation of the Code of Ethics.

If the ethics board determines the complaint is without merit, the matter will be closed with no further action.

Get The FAQs

Some of the most pertinent points in the FAQ section include:

Can the Board of Ethics have an elected official removed from office?

No. The Board of Ethics cannot remove an elected official from office. Chapter 303 of the Newtown Charter and the Newtown Board of Ethics Complaint Processing Procedures provides more detail.

Why are probable cause investigations confidential and/or held in executive session?

The Board of Ethics is required to do so under Connecticut statute 1-82a.

Who may file a complaint and why might they want to?

Anyone may file a complaint if they believe that a violation of the Newtown Code of Ethics (Town Charter, Chapter 27-Code of Ethics) has occurred. The Code of Ethics applies to all officials and/or employees of Town of Newtown as follows:

*Elected or appointed officials of the town, either paid or unpaid (voluntary)

*Elected members and alternates of all boards and commissions

*Appointed members and alternates of all boards, commissions and authorities, and town supported public services

*Employees, which includes paid consultants, of the town and of all boards, commissions, committees and authorities, including the Board of Education.