Chapter 2.20
CODE OF ETHICS
Sections:
2.20.010 Declaration of policy.
2.20.030 Standards of conduct.
2.20.040 Financial and personal interest disclosures.
2.20.050 Economic and personal interests statements.
2.20.080 Ethics violation complaints.
2.20.100 Miscellaneous procedural matters.
2.20.110 Findings and recommendations.
2.20.010 Declaration of policy.
The proper operation of democratic government requires that public officials and employees be independent, impartial, and responsible to the people so that the public has confidence in the integrity of its government and public office is not be used for personal gain. To achieve these goals, the City hereby establishes an ethics code for all local public officials, City employees, and candidates for local public office. The purpose of this ethics code is to establish the acts or omissions that are incompatible with the City’s best interest and direct local public officials, City employees, and candidates for local public office to disclose personal and financial interests to help avoid conflicts between their interests and public responsibilities. The provisions and purpose of this code and such rules and regulations as may be established are hereby declared to be in the best interests of the City and are promulgated pursuant to Section 19.59(1), Wisconsin Statutes. (Ord. 2838-23 § 1, 2023)
2.20.020 Definitions.
“Anything of value” means the same as in Section 19.42(1), Wisconsin Statutes, except that the term “state business” is replaced with “local business.”
“Associated” means the same as in Section 19.42(2), Wisconsin Statutes.
“Candidate for local public office” means the same as in Section 19.42(3s), Wisconsin Statutes.
“City body” means the Common Council or any other City board, committee, or commission.
“City employee” or “employee” shall mean any City of Brookfield employee. It does not include volunteers, election inspectors, independent contractors, or anyone who performs service for the City for reimbursement or a nominal fee.
“Financial interest” means any interest which yields, directly or indirectly, a monetary or other material benefit to a person.
“Gift” means the same as in Section 19.42(6), Wisconsin Statutes.
“Immediate family” means an individual’s spouse; and an individual’s relative by marriage, lineal descent, or adoption who receives, directly or indirectly, more than one-half of his or her support from the individual or from whom the individual receives, directly or indirectly, more than one-half of his or her support, except for minors.
“Income” means gross income from whatever source derived as provided in 26 U.S.C. 61.
“Interest” means right, title, legal share, or participation in the advantage and responsibility of something.
“Local public office” means an office of the City of Brookfield that is regularly filled by vote of the people, including municipal judge, or an office or position that is filled by the Common Council or the Mayor by appointment in which an individual serves for a specified term.
“Local public official” means the individual holding a local public office.
“Organization” means any corporation, partnership, proprietorship, firm, enterprise, franchise, association, trust or other legal entity other than an individual or body politic.
“Personal interest” means any interest arising from one’s self or one’s immediate family, close business or political associations, regardless of financial interest, or other associations that have the potential to influence or compromise professional judgment and objectivity.
“Probable cause” means facts and circumstances that would lead a reasonable person to believe that a person probably violated this chapter.
“Reasonable suspicion” means specific and articulable facts which, taken together with rational inferences from those facts, lead a person to reasonably suspect that a person has violated this chapter. It is a lower standard of proof than probable cause.
“Substantial value” means having more than nominal or inconsequential value or having merchantable value. Any item or service with a value of $25.00 or more is presumed to have substantial value. (Ord. 2838-23 § 1, 2023)
2.20.030 Standards of conduct.
No local public official, City employee, or candidate for local public office shall commit the following acts or omissions:
A. Use their public position or office to obtain financial gain or interest or anything of substantial value for the private benefit of themselves or their immediate family, or for an organization with which they are associated. This subsection does not prohibit a local public official from using the title or prestige of their office to obtain campaign contributions that are permitted and reported as required by Chapter 11, Wisconsin Statutes, or from obtaining anything of value from the Wisconsin Economic Development Corporation or the Department of Tourism, as provided under Section 19.56(3)(f), Wisconsin Statutes.
B. Solicit or accept from any person, directly or indirectly, anything of value if it could reasonably be expected to influence their vote, official actions or judgment, or could reasonably be considered as a reward for any official action or inaction on their part. This subsection does not prohibit outside employment.
C. Directly or indirectly, give, withhold, or offer or promise to give or withhold their vote or influence, or promise to take or refrain from taking official action with respect to any proposed or pending matter in consideration of, or upon condition that, any other person make or refrain from making a political contribution, or provide or refrain from providing any service or other thing of value, to or for the benefit of a candidate, a political party, any committee registered under Chapter 11, Wisconsin Statutes, or any person making a communication that contains a reference to a clearly identified local public official holding an elective office or to a candidate for local public office.
D. 1. Take any official action substantially affecting a matter in which the official, candidate, or employee, a member of their immediate family, or an organization with which the official is associated has a substantial financial interest.
2. Use their office or position in a way that produces or assists in the production of a substantial benefit, direct or indirect, for the official, employee, or candidate; one or more members of their immediate family either separately or together; or an organization with which they are associated.
3. This subsection does not prohibit a local public official, candidate, or employee from taking any action concerning the lawful payment of salaries or employee benefits or reimbursement of actual and necessary expenses, or prohibit a local public official, candidate, or employee from taking official action with respect to any proposal to modify a municipal ordinance.
E. With intent to influence the conduct of any local public official, candidate, or employee in relation to any matter which by law is pending or might come before the local public official, candidate, or employee in an official capacity or with intent to induce the local public official, candidate, or employee to do or omit to do any act in violation of their lawful duty, transfers or promises to the local public official, candidate, or employee or on their behalf any property or any personal advantage which the local public official, candidate, or employee is not authorized to receive.
F. Directly or indirectly accepts or offers to accept anything of value if it could reasonably be expected to influence their vote, official action, or judgment, or could reasonably be considered as a reward for any official action or inaction on their part.
G. Violates Section 946.11, Wisconsin Statutes, as it is amended from time to time and which is hereby adopted by reference as if fully set forth herein.
H. 1. Intentionally fails or refuses to perform a known mandatory, nondiscretionary, ministerial duty of their office or employment within the time or in the manner required by law; or
2. In their capacity as a local public official, candidate, or employee does an act which they know is in excess of their lawful authority or which they know is forbidden by law to do in their capacity; or
3. Whether by act of commission or omission, in their capacity as a local public official, candidate, or employee exercises a discretionary power in a manner inconsistent with the duties of their office or employment or the rights of others and with intent to obtain a dishonest advantage for themselves or another; or
4. In their capacity as a local public official, candidate, or employee makes an entry in an account or record book or return, certificate, report, or statement which in a material respect they intentionally falsify; or
5. Under color of their office or employment, a local public official, candidate, or employee intentionally solicits or accepts for the performance of any service or duty anything of value which they know is greater or less than is fixed by law.
I. Negotiate, bid for, or enter into a contract, including City employment, in which they have a private pecuniary interest, direct or indirect, if at the same time they are authorized or required by law to participate in their capacity as their official position in the making of that contract or to perform in regard to that contract some official function requiring the exercise of discretion on their part; or, in their capacity as an officer or employee, participate in the making of a contract in which they have a private pecuniary interest, direct or indirect, or perform in regard to that contract some function requiring the exercise of discretion on their part, unless excepted in Section 946.13(2) and (5) through (11), Wisconsin Statutes, which are hereby adopted by reference as if fully set forth herein and as they are amended from time to time.
J. Request, use, or permit the use of City-owned vehicles, equipment, materials, or property for personal convenience or personal profit, or for that of another, except when the same are available to the public generally.
K. Grant any special consideration, treatment, advantage, or anything of substantial value to any citizen beyond that which is available to every other citizen.
L. Engage in or accept private employment or render service for private interest when such employment or service is incompatible with the proper discharge of official duties or would tend to impair independence of judgment or action in the performance of official duties.
M. Use or disclose confidential information or information generally not available to the public gained in the course of or by reason of their official position or employment activities in any way that could result in the receipt of anything of value for themselves, their immediate family, or for any other person, if the information has not been communicated to the public or is not public information. This provision shall not be interpreted to prevent the reporting of violations of this chapter or other state, federal, or local laws to the proper authorities.
N. Appear on behalf of any private person, other than themselves or their minor children, before any City body, department, or municipal court. Notwithstanding this provision, City elected officials may convey concerns of City residents before City bodies and departments in the regular course of their duties.
O. Fail to disclose any financial interest or personal interest in any proposed legislation, agenda item, or other matter before a City body as set forth in Section 2.20.040.
P. Engage in any business or transaction or act in regard to financial or other personal interest, direct or indirect, which is incompatible with the proper discharge of official duties in the public interest contrary to the provisions of this chapter or which would tend to impair independence of judgment or action in the performance of official duties. (Ord. 2838-23 § 1, 2023)
2.20.040 Financial and personal interest disclosures.
A. A local public official shall disclose in writing to the City Clerk any financial interest or personal interest that they may have in any legislation, agenda item, or other matter before any City body. Such disclosure shall occur prior to any action the body takes on the matter and shall include the nature and extent of the interest. A local public official shall disqualify themselves from discussing and voting if the matter under consideration involves a financial or personal interest to the extent that such interests conflict or appear to conflict with their official duties or would impair or reasonably be expected to impair their independence of judgment or actions. If a disqualification occurs and another member of the body requests the disqualified official to leave the room, the local public official shall physically absent themselves from that portion of the meeting involving discussion, deliberations, or voters related to that matter, and the meeting minutes shall reflect the absence.
B. An employee shall disclose in writing to the Human Resources Director any financial or personal interest in any legislation, agenda item, or other matter before any City body. Such disclosure shall occur as soon as the employee becomes aware of the conflict of interest and prior to any action the body takes on the matter and shall include the nature and extent of the interest. The employee shall not participate, make decisions regarding, or have any involvement with the matter in their capacity as a City employee.
C. An employee shall disclose in writing to the Human Resources Director any financial or personal interest in an application filed with a City department that the employee may have job duties related thereto. Such disclosure shall occur as soon as the employee knows about the application and shall include the nature and extent of the interest. The employee shall not participate, make decisions regarding, or have any involvement with the matter in their capacity as a City employee.
D. A local public official, candidate, or employee shall disclose in writing if they are the applicant for a City permit or license. Such disclosure shall take place at the time of the filing of the application for the permit or license. The employee shall not participate, make decisions regarding, or have any involvement with the matter in their capacity as a City employee.
E. Subsections (A) and (B) of this section shall not apply to any legislation or agenda item that applies to local public officials or City employees generally such as the salary ordinance, City benefit changes, resolution approving a labor agreement, or terms and conditions of employment. (Ord. 2838-23 § 1, 2023)
2.20.050 Economic and personal interests statements.
A. All local public officials, candidates for local public office, and City employees that hold job titles listed in Section 2.24.010 shall annually complete a statement of economic and personal interests form. The form shall require information from local public officials, candidates for local public office, employees, and their spouses concerning the following items:
1. Name and address of all employers and positions of employment and sources of income over $1,000.00;
2. Real estate owned in the City, except for principal residence;
3. Business, labor union, association, or cooperative organizations in which they are an officer, director, agent, representative, or spokesperson that do business in the City or engage in any business or transaction affecting the City; this does not include charitable organizations, political organizations, nonprofit social and community service organizations, or trusts.
4. Any gift or gifts having a value of $500.00 or an aggregate value of $1,000.00 or more within the taxable year preceding the time of filing, except that the source of a gift need not be identified if the donation is permitted under Section 19.56(3)(e), (em) or (f), Wisconsin Statutes, or if the donor is the donee’s parent, grandparent, child, grandchild, brother, sister, parent-in-law, grandparent-in-law, brother-in-law, sister-in-law, uncle, aunt, niece, nephew, spouse, fiance or fiancee;
5. A list of the local public official, City employee, or candidate for local public office’s immediate family.
B. The form shall be completed accurately and shall reflect the activities from April 1st to March 31st of the previous year. For the applicable City employees, all initial filings shall be provided to the Human Resources Director upon hire and all subsequent filings shall be due to the Human Resources Director between April 1st and April 30th of each year. For all others, the initial filings shall be provided to the City Clerk upon filing nomination papers or appointment. All subsequent filings shall be due to the City Clerk between April 1st and April 30th of each year. Information required to be confidential pursuant to Sections 19.36(10) and (11), Wisconsin Statutes, shall remain confidential.
C. The Municipal Clerk shall omit the name of any candidate for a local public office from an election ballot if she or he fails to disclose his or her economic interests in accordance with the requirements of this section. (Ord. 2838-23 § 1, 2023)
2.20.060 Ethics Board.
A. The Ethics Board is responsible for the enforcement and oversight of requirements and activities set forth in this chapter.
B. The Board may make recommendations with respect to amendments to this chapter, which the Chair shall forward to the Legislative and Licensing Committee for review and recommendation and then to the Common Council for consideration and adoption.
C. The Ethics Board shall be composed of three citizens who are City residents. The Legislative and Licensing Committee shall appoint the members, subject to the Common Council’s confirmation. Terms shall be three years. No member shall be an elected official, City employee, or member of any other City board, committee, or commission.
D. The Director of Human Resources shall provide necessary staff assistance to the Board, shall serve as its secretary, and shall receive any filings for the Board, but shall not vote. The City Attorney shall furnish the Board whatever legal assistance is necessary to carry out its functions.
E. The Board shall elect its own chair and vice-chair and shall develop written meeting procedures. (Ord. 2838-23 § 1, 2023)
2.20.070 Advisory opinions.
A. Requests. Anyone personally involved in any matter that could involve conduct prohibited by this chapter may apply in writing to the Board or the City Attorney for an advisory opinion. The Board or the City Attorney shall review a request for an advisory opinion and may advise the person making the request; any advice provided being in writing. The person requesting an advisory opinion shall have an opportunity to present his or her interpretation of the facts at issue and of the applicability of provisions of this chapter before the advisory opinion is rendered.
B. Confidentiality. Unless otherwise waived by the person requesting an advisory opinion, any Board deliberations and actions upon such requests shall be conducted in closed session pursuant to Section 19.85(1)(h), Wisconsin Statutes, and any documents or opinions related to the request or opinion, along with the identity of the requester, shall be confidential. The Board’s or City Attorney’s opinion may be made public if all details which would identify the requester and other parties are removed. Confidentiality is lost, including for any records obtained or prepared by the Board or Attorney, if the person who requested the opinion makes public the substance or any portion of the opinion.
C. Conforming Behavior. It shall be prima facie evidence of intent to comply with this chapter if a person requests and abides by an advisory opinion issued under this section if the material facts are consistent as stated in the opinion request. (Ord. 2838-23 § 1, 2023)
2.20.080 Ethics violation complaints.
A. Commencement of Complaint. Any individual, either personally or on behalf of an organization or governmental body, may file with the Board a sworn written complaint that contains allegations of a violation of this chapter, setting forth the particulars thereof, against any person that is subject to this chapter. Filings must be made with the Board’s secretary.
1. No complaint shall be commenced more than two years after a violation of this chapter is alleged to have occurred.
2. If a Board member is accused of conduct contrary to this chapter, the Mayor, subject to confirmation from the Common Council, shall appoint a temporary replacement to the Board for the accused member until any proceedings regarding that member have concluded.
B. Initial Review of Complaint. Within 10 days of receipt of the complaint, the Board’s secretary shall forward to the accused a copy of the complaint and a copy of this Ethics Code and any rules of procedure and set a date, within 30 days, for a Board meeting. At the meeting, the Board will review the complaint to determine if it states reasonable suspicion. If it finds no reasonable suspicion, it shall dismiss the filing; if it so finds reasonable suspicion, it shall initiate an investigation into whether probable cause exists and shall state the nature and purpose of the investigation and the actions or activities to be investigated. Upon making its findings, the Board will notify the complainant and accused of its determination in writing.
C. Probable Cause Investigation. Pursuant to any investigation conducted under this section, the Board has the power:
1. To appoint an investigator, retain outside counsel, and other experts as needed after solicitation of recommendations from the City Attorney and upon such contract for services approved for form and content by the City Attorney.
2. To require any person to submit in writing such reports and answers to questions relevant to the proceedings conducted under this chapter, as the Board may prescribe, such submission to be made within such period and under oath, or otherwise, as the Board may determine.
3. To administer oaths and to require, by subpoena issued by it, the attendance and testimony of witnesses and the production of any documentary evidence relating to the investigation or hearing being conducted.
4. To order testimony to be taken by deposition before any person, who is designated by the Board, and has the power to administer oaths, and, in such instances, to compel testimony and the production of evidence in the same manner as authorized by subsection (C)(2) of this section.
5. To pay witnesses the same fees and mileage as are paid in like circumstances by the courts of Wisconsin.
D. Probable Cause Investigation Results. The Board shall review the investigation results and decide if probable cause exists. If the Board determines that probable cause does not exist, it shall dismiss the filing. If the Board determines that probable cause exists, it shall notify the accused and complainant of its decision in writing and schedule the matter for further proceedings.
1. If the Board finds probable cause, the Board shall direct the City Attorney to have a summons prepared and have it along with the complaint, served upon the accused, pursuant to Section 801.11 of the Wisconsin Statutes, and mailed to the complainant. The summons shall contain the date and time for the accused’s appearance; notification of the opportunity to be heard, respond to, and challenge the allegations; the right to present and cross-examine witnesses under oath; the right to be represented by counsel; and the right to file a written answer with the Board prior to the date and time designated in the summons instead of appearing.
2. Any information discovered in an investigation regarding a possible violation is subject to the same process, including a separate investigation if based on different facts and the Board may order upon its own motion the complaint to include such violations or direct the City Attorney to draft a sworn complaint with the new applicable violations. If the complaint is so amended by the Board, a copy of the amendment shall be sent to the accused and complainant within 10 days.
E. Confidential Records. Information relating to the probable cause investigation into the actions of a City employee shall remain confidential until disposition of the investigation. (Ord. 2838-23 § 1, 2023)
2.20.090 Hearing procedure.
A. If the accused fails to appear on the date and time designated in the summons or file a timely written answer, the Board may enter a default judgment, take the allegations of the complaint to be true, and deliberate on what sanction, if any, to impose.
B. If the accused appears or files a written answer and does not deny the material allegations in the complaint, the allegations in the complaint may be taken as true and the Board shall hear the arguments of the complainant and, if applicable, the accused to deliberate on what sanction, if any, to impose.
C. If the accused appears before the Board or files a written answer by the date and time designated in the summons and denies the material charges contained in the complaint, an evidentiary hearing shall be scheduled.
D. If an evidentiary hearing is scheduled before the Board, the following procedures shall apply:
1. The complainant and accused may present witnesses and request that the Chair issue subpoenas for their appearance.
2. All witnesses shall testify under oath or affirmation and shall be subject to cross-examination.
3. The complainant shall first present evidence in support of the complaint and after the complainant rests, the accused may present evidence opposing the charges. The complainant and accused shall each be limited to one hour for testimony unless the Chair, subject to approval of the Board, extends the time to assure a full and fair presentation. Questions by Board members or its advising city attorney and answers to such questions shall not be counted against the time limitations.
4. At the close of testimony, the complainant and accused shall be given a reasonable time to make arguments upon the evidence produced at hearing.
5. The Board’s Chair shall be the presiding officer and ensure that an orderly hearing is conducted in accordance with the provisions of this chapter and direct that oaths and affirmations be administered. The Chair shall rule on objections to the admissibility of evidence. Any ruling of the Chair shall be final unless appealed to the Board and a majority vote of those members present and voting reverses such ruling. In addition to its own subpoenas, the Chair shall issue subpoenas requested by either side, drafted by the requester in proper and legal form.
6. An audio recording or stenographic record shall be made of all proceedings at the hearing. Any interested party may obtain a copy of the recording or transcript at his or her own expense. (Ord. 2838-23 § 1, 2023)
2.20.100 Miscellaneous procedural matters.
A. At all stages of the proceedings, the accused is entitled to appear in person or by an attorney. If the accused is proceeded against due to acts committed while carrying out duties as an officer or employee and was acting within the scope of his/her employment at the time of the alleged offense, the accused may request the City to appoint him/her an attorney. The accused must file the request for counsel in writing with the Board’s secretary at any time, but no later than 15 days after service of the summons and complaint. If the City does appoint counsel for the accused, the accused shall cooperate with the attorney and assist in their defense.
B. If the complaint is in the name of the Board or is brought by a City employee in his/her official capacity, a prosecuting city attorney shall represent the complainant.
C. The Board shall be, when required, advised by an advisory city attorney, who shall not be the same individual as the prosecuting city attorney.
D. The accused shall have the opportunity to challenge the sufficiency of the complaint.
E. The accused and the complainant may examine any documents and records that the Board obtains or prepares in connection with the matter. (Ord. 2838-23 § 1, 2023)
2.20.110 Findings and recommendations.
A. After the close of the hearing, or upon admission of the charges under Section 2.20.090(B), the Board shall deliberate and reach a decision as to whether a violation of this chapter occurred as stated in the complaint. The Board shall prepare findings on factual matters and conclusions of law, have the Chair sign them, and file the findings with the secretary. Per the findings of fact and conclusions, the Board may take one or more of the following actions:
1. In the case of any local public official or City employee appointed pursuant to Section 2.24.010, a recommendation to the Common Council that he or she be censured, suspended, or removed from office or employment.
2. In the case of a City employee not appointed pursuant to Section 2.24.010, a recommendation to the appropriate appointing authority that the employee be warned, suspended, or discharged.
3. An order requiring the local public official, candidate for local public office, or City employee to conform his or her conduct to this chapter.
4. A recommendation that the matter be referred to the District Attorney’s office for prosecution.
5. A forfeiture requiring the accused to forfeit not less than $100.00 nor more than $1,000.00 for each violation of this chapter. Each day of violation constitutes a separate offense.
6. Such other recommendation or order as may be necessary and appropriate as consistent with the intent and purposes of this chapter.
B. The secretary shall mail or personally deliver the Board’s findings and recommendations to the accused and complainant within 15 days of the Chair signing them. (Ord. 2838-23 § 1, 2023)
2.20.120 Costs.
If the Board finds that a complaint filed under this chapter was without probable cause and willful and malicious, the Board shall dismiss it and order the complainant to pay the expenses of investigation and any proceedings. (Ord. 2838-23 § 1, 2023)
2.20.130 Appeal.
The Board’s findings are a final decision and may be appealed to the circuit court via certiorari review within 30 days of mailing the findings to the accused and complainant by certified mail. (Ord. 2838-23 § 1, 2023)
2.20.140 Return of item.
A. If a local public official or City employee receives an item that they are not permitted to accept or retain under this chapter, they shall do one of the following:
1. Give the item to the City to use or sell, except that the City may not sell the item to any government employee or official;
2. Return the item to the donor;
3. Purchase the item at its full retail value and keep the item;
4. Donate the item to a non-profit organization other than one of which the local public official or City employee is an officer, director, or agent. (Ord. 2838-23 § 1, 2023)