SECTION IX – FINANCIAL DISCLOSURE (Optional)
A. General Filing Requirements. 1. The following town officials, town employees, and candidates for office shall be required to identify any economic interests specified in this ordinance and under s. 19.44, Wis. stats., in a Statement of Economic Interest filed under this subsection: [list specific officers, employees, or candidates]. 2. The town clerk has the authority to withhold salaries or expenses from any town official or town employee who is required to file under this subsection and fails to timely file his or her Statement of Economic Interest as required by this subsection.
B. Time to File. Town officials or town employees required to file under this subsection shall file a Statement of Economic Interest with the ethics board as follows:
1. Any individual who in January of any year is a town official or town employee and is required to file under subsection A shall file with the ethics board no later than February 28 of that year a Statement of Economic Interest. The information on the statement shall be current as of December 31 of the preceding year.
2. Any newly appointed or employed individual required to file under subsection A shall file a Statement of Economic Interest within 21 days following the date he or she assumes office if the individual has not previously filed a Statement of Economic Interest with the ethics board during that year. The information on the statement shall be current as of the date he or she assumes office.
3. Any nominee to a town board, commission, committee, or other body of any type requiring town board confirmation who is required to file under subsection A shall file a Statement of Economic Interest within 21 days of being nominated unless the nominee has previously filed a statement with the ethics board for that year. The information on the statement shall be current as of the date he or she is nominated. Following the receipt of a nominee’s statement, the ethics board shall forward copies of the statement to the members of the town board. The Statement of Economic Interest shall be submitted by the nominee in advance of the meeting of the town board considering the nomination for confirmation. [If the nomination is first referred to a committee of the town board, modify to provide copies to the committee members in advance of their meeting.]
4. Any nominee to a town board, commission, committee, or other body of any type not requiring town board confirmation, who is required to file under subsection A, shall file a Statement of Economic Interest within 21 days of being nominated unless the nominee has previously filed a statement with the ethics board for that year. The information on the statement shall be current as of the date he or she is nominated.
5. A candidate for elective town office required to file under this subsection shall file a Statement of Economic Interest with the town clerk no later than 4:30 p.m. on the third day following the deadline for filing nomination papers for the office the candidate seeks at the time of filing of nomination papers. The information on the statement shall be current as of December 31 of the year preceding the filing deadline. A copy of the Statement of Economic Interest shall also be filed at the same time with the ethics board.
6. On its own motion or at the request of any individual who is required to file a Statement of Economic Interest under subsection A, the ethics board may extend the time for filing or waive any filing requirement if the ethics board determines that the literal application of the filing requirements of this section would work an unreasonable hardship on that individual or that the extension of the time for filing or waiver is in the public interest. The ethics board shall set forth in writing as a matter of public record its reason for the extension or waiver. Extensions and waivers shall not be granted to candidates for public office.
C. Failure to File. 1. If a town official or town employee who is required to file under subsection A has failed to file a Statement of Economic Interest within the required time, no salary, compensation, or reimbursement of expenses may be paid to the town official or town employee until the town official or town employee files the required statement. The ethics board shall officially inform the town treasurer when it has determined that an official’s salary, compensation, and reimbursement expenses shall be withheld. All payments shall be withheld until the ethics board notifies the town treasurer that the official has complied with this ordinance. The ethics board shall also notify the appropriate appointing authority of the failure of the town official or town employee to file a Statement of Economic Interest.
2. If a candidate for elective town office required to file under subsection A has failed to file a Statement of Economic Interest within the required time, the name of the candidate for town office shall be removed from the election ballot. The ethics board shall officially inform the town clerk when it has determined that a candidate’s name shall be removed from a ballot.
D. Form of Statement. Every Statement of Economic Interest required to be filed under subsection A shall be in the form prescribed by the ethics board. Required information shall be provided on the basis of the best knowledge, information, and belief of the person filing the statement. The statement shall contain all of the following information:
1. The identity of every organization with which the individual required to file is associated and the nature of his or her association with the organization, except that no identification need be made of any of the following:
b. An organization organized and operated primarily to influence voting at an election, including support for or opposition to an individual’s present or future candidacy or to a present or future referendum.
c. A nonprofit organization formed exclusively for social purposes and any nonprofit community service organization.
d. Any trust not owned, in whole or in part, by the individual or a member or members of the individual’s immediate family or whose assets or principal are not owned by the individual, in whole in part, or a member or members of the individual’s immediate family, or any trust. An individual is the owner of a trust and the trust’s assets and obligations if he or she is the creator of the trust and has the power to revoke the trust without obtaining the consent of all of the beneficiaries of the trust. An individual who is eligible to receive income or other beneficial use of the principal of a trust is the owner of a proportional share of the principal in the proportion that the individual’s beneficial interest in the trust bears to the total beneficial interests vested in all beneficiaries of the trust. A vested beneficial interest in a trust includes a vested reverter interest.
2. The identity of every organization or body politic in which the individual who is required to file, or members of individual’s immediate family, severally or in the aggregate, owns, directly or indirectly, securities having a value of $5,000 or more, the identity of those securities, and their approximate value, except that no identification need be made of a security or issuer of a security when it is issued by any organization not doing business in Wisconsin or by any governmental body, instrumentality or agency of a governmental body, or authority or public corporation created and regulated by an act of a governmental body other than the State of Wisconsin, its instrumentalities, agencies, political subdivisions, or authorities or public corporations created and regulated by an act of the Wisconsin legislature. For purposes of reporting under this paragraph 2, it is sufficient to report whether the amount is not more than $50,000, or more than $50,000.
3. The name of any creditor to whom the individual who is required to file, or members of the individual’s immediate family, severally or in the aggregate, owes $5,000 or more and the approximate amount owed. For purposes of reporting under this paragraph 3, it is sufficient to report whether the amount is not more than $50,000, or more than $50,000.
4. The real property located in the town in which the individual who is required to file, or members of the individual’s immediate family jointly and severally, holds an interest having an equity value of $5,000 or greater, other than the principal residence of the individual or members of his or her immediate family, and the nature of the interest held.
5. The identity of each payer from which the individual who is required to file, or a member of his or her immediate family, received $1,000 or more of his or her income for the preceding taxable year, except that if the individual who is required to file identifies the general nature of the business in which he or she, or his or her immediate family members, is engaged, then no identification need be made of a decedent’s estate or an individual not acting as a representative of an organization. In addition, no identification need be made of payers from which anything of pecuniary value was received as political contributions and reported under ch. 11, Wis. stats. 6. The identity of each giver from which the individual who is required to file received, directly or indirectly, any gift or gifts having an aggregate value of more than $50 within the taxable year preceding the time of filing, except that the source of a gift need not be identified 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, son-in-law, daughter-in-law, uncle, aunt, niece, nephew, spouse, fiancée or fiancé.
SECTION X – ETHICS BOARD
A. Organization, Composition, and Operation of the Ethics Board. 1. There is created an ethics board consisting of 5 members who are residents of the town and who shall serve without compensation unless the town board otherwise provides. Members of the ethics board shall not be elected officials or persons appointed to elective office, full-time appointed town officials, or town employees, nor shall they be currently serving on any other town board, committee, or commission, or any other town body. Ethics board members shall be selected by the town chairperson and submitted to the town board for confirmation by the town board. Terms of office shall be 3 years. The members of the ethics board shall select their own chairperson. A vacancy shall be filled within one month.
2. The town attorney shall furnish the ethics board with whatever legal assistance is necessary to carry out its functions, and the town clerk shall furnish the ethics board with whatever assistance it requires.
3. (Optional) All members of the ethics board shall file a Statement of Economic Interest with the town board and town clerk.
4. Any action by the ethics board, except an action relating to procedure of the ethics board, requires the affirmative vote of its members.
5. No later than February 15 of each year, the ethics board shall submit a report to the town board concerning its actions in the preceding year. The report shall contain a summary of its determinations and advisory opinions. The ethics board shall make sufficient alterations in the summaries to prevent disclosing the identities of individuals or organizations involved in the decision or opinions. The ethics board shall make any additional reports on matters within its jurisdiction and recommendations for further legislation, as it deems desirable.
B. Powers and Duties of the Board. 1. The ethics board shall do all of the following:
a. Accept and file, and the chairperson of the ethics board shall act as legal custodian of, any reports, information, or materials required by this ordinance and of any information or materials related to the purposes of this ordinance that is voluntarily supplied by any person.
b. (Optional) Preserve Statements of Economic Interest filed with the ethics board pursuant to applicable statutory and town ordinance provisions.
c. (Optional) Make Statements of Economic Interest filed with the ethics board available for public inspection and copying during office hours and make copying facilities available at a charge not to exceed actual cost.
d. (Optional) Compile and maintain an index to all Statements of Economic Interest currently on file with the ethics board to facilitate public access.
2. The ethics board may do all of the following:
a. Prepare and publish special reports and technical studies to further the purposes of this ordinance.
b. Adopt written rules, which shall be submitted to the town board for approval, as may be necessary to carry out this ordinance. A copy of the rules shall be filed with the town clerk. The ethics board shall give prompt notice of the contents of its rules to officials who will be affected thereby.
c. Prescribe and make available forms for use under this ordinance.
d. Retain outside counsel and other experts as needed after solicitation of recommendations from the town attorney upon a contract for services approved for form and content by the town attorney.
C. Advisory Ethics Opinion. 1. a. Any individual, specifically including former town officials and town employees, either personally or on behalf of an organization or governmental body, may request of the ethics board an advisory opinion regarding the propriety of any matter or matters to which the person is or may become a party.
b. Any appointing officer, with the consent of a prospective appointee, may request of the ethics board an advisory opinion regarding the propriety of any matter to which the prospective appointee is or may become a party.
2. The ethics board shall review a request for an advisory opinion and may advise the person making the request in writing. It is prima facie evidence of intent to comply with this ordinance when a person refers a matter to the ethics board and abides by the advisory opinion if the material facts are as stated in the opinion request.
3. Requests for confidential advisory opinions, records obtained or filed in connection with requests for confidential advisory opinions, and confidential advisory opinions rendered shall be closed in whole to public inspection. This paragraph shall not be interpreted to preclude the ethics board from doing any of the following:
a. Compiling or publishing summaries of advisory opinions rendered if no identification of the requester or any organization identified in the opinion is made.
b. Making an advisory opinion public with the consent of the individual requesting the advisory opinion or the organization or governmental body on whose behalf it is requested. A person who makes or purports to make public the substance of or any portion of an advisory opinion requested by or on behalf of the person is deemed to have waived the confidentiality of the request for an advisory opinion and of any records obtained or prepared by the ethics board in connection with the request for an advisory opinion.
D. Complaints. 1. The ethics board shall accept from any individual, either personally or on behalf of an organization or governmental body, a complaint in writing that states the name of any person alleged to have committed a violation of this ordinance and that specifically describes the alleged violation. The ethics board shall forward to the accused within 10 days a copy of the complaint and a general statement of the applicable provisions with respect to the complaint. If the ethics board determines that the complaint does not allege facts sufficient to constitute a violation of this ordinance, it shall dismiss the complaint and notify the complainant and the accused. If the ethics board determines that the complaint alleges facts sufficient to constitute a violation of this ordinance, it may make an investigation with respect to any alleged violation. If the ethics board determines that the complaint was brought for harassment purposes, the ethics board shall so state.
2. a. Following the receipt of a complaint or upon the receipt of other information, whether or not under oath, that provides a reasonable basis for the belief that a violation of this ordinance has been committed or that an investigation of a possible violation is warranted, the ethics board may investigate the circumstances concerning the possible violation. Prior to invoking any power, the ethics board shall authorize an investigation by a motion of the ethics board that shall state the nature and purpose of the investigation and the actions or activities to be investigated. Upon adoption of a motion, the ethics board shall notify each person who is the subject of the investigation.
b. If no complaint has been filed and the ethics board finds probable cause to believe that a violation of this ordinance has occurred, the ethics board may, on its own motion, make a complaint, which shall be in writing, shall state the name of the person who is alleged to have committed a violation of this ordinance, and shall specifically describe the alleged violation. The ethics board shall forward to the accused within 10 days a copy of the complaint, a general statement of the applicable provisions with respect to the complaint, and a specific statement enumerating the source or sources of information upon which the complaint is based.
c. If a complaint has been filed and the ethics board finds probable cause to believe that a violation of this ordinance, other than one contained in the compliant, has occurred, it may amend the complaint, upon its own motion, to include those other violations. If the complaint is so amended by the ethics board, a copy of the amendment shall be sent to the alleged violator within 48 hours.
3. Upon adoption of a motion authorizing an investigation, the ethics board shall mail a copy of the motion to each alleged violator who is identified in the motion together with a notice informing the alleged violator that the person is the subject of the investigation authorized by the motion and a general statement of the applicable provisions with respect to the investigation. Service of the notice is complete upon mailing.
4. No action may be taken on any complaint that is filed later than 3 years after a violation of this ordinance is alleged to have occurred.
E. Investigations. Pursuant to any investigation or hearing conducted under this ordinance, the ethics board has the power to do any of the following:
1. Require any town official or town employee to submit in writing reports and answers to questions relevant to the proceedings conducted under this ordinance as the ethics board may prescribe, within the period and under oath or otherwise as the ethics board may determine.
2. 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. Issuance of a subpoena requires action by the ethics board.
3. Order testimony to be taken by deposition before any individual who is designated by the ethics 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 paragraph 2.
4. To pay witnesses the same fees and mileage as are paid in like circumstances by the courts of this state.
5. To retain outside counsel and other experts as needed after solicitation of recommendations from the town attorney and upon such contract for services approved for form and content by the town attorney.
F. Probable Cause of Violation. 1. At the conclusion of its investigation, the ethics board shall, in preliminary written findings of fact and conclusions based on its findings, make a determination of whether probable cause exists to believe that a violation of this ordinance has occurred. If the ethics board determines that no probable cause exists, it shall immediately send written notice of the determination to the accused and to the party who made the complaint. If the ethics board determines that there is probable cause for believing that a violation of this ordinance has been committed, its preliminary findings of fact and conclusions may contain any of the following:
a. A referral to the district attorney’s office recommending further investigation and possible prosecution.
b. An order setting a date for hearing to determine whether a violation of this ordinance has occurred. The ethics board shall serve by registered mail the order upon the accused. A hearing ordered under this paragraph shall be commenced within 30 days after the date it is ordered unless the accused petitions for and the ethics board consents to a later date. Prior to any hearing ordered under this paragraph, the accused is entitled to full discovery rights, including adverse examination of witnesses who will testify at the hearing at a reasonable time before the date of the hearing.
2. The ethics board shall inform the accused, or his or her counsel, of exculpatory evidence in its possession.
G. Hearing Procedure. 1. During any investigation and during any hearing conducted to determine whether a violation of this ordinance has occurred, the accused may be represented by counsel of his or her own choosing, and the accused, or his or her representative, if any, shall have an opportunity to do all of the following:
a. Challenge the sufficiency of any complaint that has been filed against him or her.
b. Examine all documents and records obtained or prepared by the ethics board in connection with the matter heard.
c. Bring witnesses.
d. Establish all pertinent facts and circumstances.
e. Question or refute testimony or evidence, including confronting and cross-examining adverse witnesses.
f. Exercise fully any pretrial discovery procedure usually available in civil actions.
2. During any hearing conducted by the ethics board to determine whether a violation of this ordinance has occurred, all evidence, including certified copies of records that the ethics board considers, shall be fully offered and made a part of the record in the proceedings. The accused or any other person under investigation shall be afforded adequate opportunity to rebut or offer countervailing evidence. Upon request of the accused, the ethics board shall issue subpoenas to compel the attendance of necessary witnesses.
3. The ethics board may appoint a hearing examiner to conduct hearings under this ordinance. The ethics board may also retain outside counsel and other experts as needed with respect to hearings in accordance with its policies. The selection of a hearing examiner and outside counsel or other experts and any contract for such persons shall be made after solicitation of recommendations from the town attorney and the contract shall be approved for form and content by the town attorney. Any person identified during a hearing conducted by the ethics board and who, in the opinion of the ethics board, may be adversely affected by the results of the hearing, may, upon the request of the person, a representative of the person, or any member of the ethics board, appear personally or by a representative to testify, and the ethics board may permit any other person to appear and to testify at a hearing.
4. After the conclusion of the hearing, the ethics board shall as soon as practicable begin deliberations on the evidence presented at the hearing and proceed to determine whether the accused has violated this ordinance.
H. Determinations: Ethics Board Actions. If the ethics board determines that no violation of this ordinance has occurred, it shall immediately send written notice of the determination to the accused and to the party who made the complaint. If the ethics board determines that a violation of this ordinance has occurred, its findings of fact and conclusions may contain one or more of the following orders or recommendations:
1. In the case of a town official, a recommendation to the town board that the town official be censured, suspended, or removed from office or employment, subject to ss. 9.10 and 17.13, Wis. stats. The recommendation shall be made to the appropriate appointing authority who may censure, suspend, or take action to remove the official from office or employment. 2. In the case of a town employee, a recommendation to the town board that the town employee be reprimanded, disciplined, or discharged. The recommendation shall be made to the appropriate appointing authority.
3. An order requiring the accused to conform his or her conduct to this ordinance.
I. Settlements. 1. The ethics board may compromise and settle any action or potential action for a violation of this ordinance that the ethics board is authorized to take under this ordinance. An action may be settled for such sum or terms as may be agreed upon between the ethics board and the alleged violator.
2. Whenever the ethics board enters into a settlement agreement with an individual who is accused of a violation of this ordinance or who is investigated by the ethics board for a possible violation of this ordinance, the ethics board shall reduce the agreement to writing, together with a statement of the ethics board’s findings and reasons for entering into the agreement, and shall retain the agreement and statement in its office for inspection.
J. Actions by the Town Board. 1. Actions authorized. If findings relative to a town official or town employee are filed by the ethics board with the town board under subsection H, the matter shall be considered and decided upon by the town board, referred to the appropriate standing committee of the town board for a report, or the town board may appoint a special committee and the committee shall proceed in accordance with the direction of the town board and this ordinance, as the town board deems appropriate.
2. Recommendations. A committee receiving a matter under paragraph 1, in reporting the matter to the town board, may recommend a dismissal of the charges, a reprimand, discipline, or discharge of a town employee, or for a town official, censure, suspension, or removal from office, subject to ss. 9.10 and 17.13, Wis. stats. (Optional) Failure of an official to file the Statement of Economic Interest required may constitute grounds for removal from office. 3. Hearing. Any hearing by the town board or by a special or standing committee as designated by the town board, shall be conducted in accordance with the following provisions:
a. The accused town official or town employee shall be given at least 20 days’ notice of the hearing date.
b. The rules of evidence shall apply to the hearing. All evidence, including certified copies of records and documents that the town board considers shall be fully offered and made part of the record in the case. Each party shall be afforded adequate opportunity to rebut or offer countervailing evidence.
c. During the entire hearing conducted under this subsection, the accused town official or town employee shall be entitled to be represented by counsel of his or her choosing. The town board shall immediately disclose and forward to the person, or his or her counsel, any evidence that it possesses that may tend to clear the official.
d. The accused town official or town employee, or his or her representative, shall have an adequate opportunity to examine all documents and records to be used at the hearing at a reasonable time before the date of the hearing as well as during the hearing, to bring witnesses to establish all pertinent facts and circumstances, and to question or refute any testimony or evidence, including the opportunity to confront and cross-examine adverse witnesses. Upon the request of the accused, the town board shall subpoena named individuals to appear as witnesses at the hearing, if such action is necessary to compel their attendance.
e. The town board shall have the power to compel the attendance of witnesses and to issue subpoenas for books, records, documents, or papers to be designated under the authority granted to it by s. 885.01 (3), Wis. stats. 4. Town Board Action. a. The town board may dismiss the charges, reprimand, discipline, or discharge a town employee, or censure, suspend, or remove a town official from office, subject to ss. 9.10 and 17.13, Wis. stats. Town board action shall be by majority vote. (Optional) Failure of an official to file the Statement of Economic Interest required may constitute grounds for removal from office. b. The town board shall make a determination in regard to the recommendation of the Ethics Board or committee if the matter is referred to a committee under paragraph 1. Action by the town board shall be by a majority vote.
K. Reimbursement of Legal Expenses. Town funds shall be used to reimburse individuals for reasonable legal expenses incurred in their successful defense of charges filed against them with the ethics board or of charges filed with the ethics board by the ethics board.
L. Records. 1. Except as provided in paragraph 2, all records in the possession of the ethics board are open to public inspection at all reasonable times.
