Legislation & Administration Standing Committee of the RTM Special Meeting Agenda (PDF)

FIFPEEN ROPR FERRY ROAD
WATERIORD, CF 06385-2886
PHONE: 860-442-0553
wwwuvaterfordctorg
RTM LEGISLATION & ADMINISTRATION COMMITTEE
MEETING AGENDA
Thursday, Sept 17,2020 7:00 p,m.
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Call to Order ee
Public Comment
Consideration/Approval of Aug. 26, 2020, meeting minutes
Consideration and possible action on Proposed Ethics Ordinances Changes
(RTC 8/3/20)
Adjournment
encl: Ethics Ordinance Draft 2
Ethics Violation Form Draft 1

Draft #2 Aug 26, 2020
Chapter 2.50 - ETHICS COMMISSION
2.50.010 - Preamble and declaration of policy and purpose.
A. —Public office is a public-trust. conferred by public authority for a public purpose. The trust of
the public is essential for government to function effectively. Public policy developed by
government officials-and_employees_affects-every citizen-efthe- municipality, and itmust be
based on honest and fair deliberations and decisions. Policy development This precess-must
be free from threats, undue influence, and all forms of impropriety, so that the confidence of
the public is not eroded. By enacting this code of ethics, the Town of Waterford seeks to avoid
anytess-of-trustandte-maintain and increase the confidence of our citizens in the integrity and
fairness of their government.
B. —The proper operation of the-town government efthe-tewn-requires that all public officials -and
town employees; whether elected _or appointed,paid-or-unpaid, shall be impartial and
responsive to the public interest,; that public office and employment should not be used for _
personal gain or advantage, and _that that-public-office is-etrust conferred by public authority
for-a-public purpese—pPublic officials and town employees should not place themselves in
positions where private interest conflicts with public duty. Fhe-administration-oflegistative-cr
quasi-judicial power demands-the-highest public confidence_Anything- which tends te- weaken
such-cenfidence-and to-undermine-the-sense-of security of individualights which the citizens
entitledtofeel is against public policy.
C._—-In recognition of these principles and pursuant to Sections 7-148(c)(10)(B) and 7-148h of
the Connecticut General Statutes, there is established a code of ethics for all town public
officials and employees, whether elected or appointed, paid or unpaid:
ef the town:
R.T.M. 6-1-92 (part)
Amend. of 2-4-13(1))
2.50.020 - Definitions.
A. —"Business with which he-is they-are-the individual is associated" means 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 or town employee or member
of their-his-that individual's immediate family is a director, officer, owner, limited or general
partner, beneficiary of a trust, or holder of stock constituting five percent or more of the total

Draft #2 Aug 26, 2020
outstanding stock of any class;provided,a unless the public official or town employee, or
member of his-their-that individual's immediate family_-shallnetbeis deemed to be
associated with a not-for-profit entity solely by virtue of the fact that the public efficial ortown
employee they-the public official or town employee or memberof his theitimmediate family
member is an unpaid director or officer of the not-for-profit entity. "Officer" refers only to the
president, executive, ersenior vice president, or treasurer of such business.
B. —"Gift" includes, but is not necessarily limited to, means-a payment, subscription, advance,
forbearance, rendering of service, deposit of money, favorable treatment of consequence,
or anything of value -whichthat is directly and personally received.; unless-consideration-of
equalor greater value is-given in +eturn-Gift shall not include:
1.__—~A political contribution otherwise reported as required by law;
2.__—Services provided to support a political candidate or political party without
compensation by persons volunteering their time;
3... —A commercially reasonable loan made on terms not more favorable than loans made
in the ordinary course of business;
4.__—Anything of value received because of a family or close personal relationship with the
donor; ;
5-—-Foed-er-beverage-or both, consumed_on-a single occasion, the-cost of which istess
than-tifty dollars per persen;
5.6.—An-occasionalA nonpecuniary gift, including food or beverage, -insignificantin value;
not to exceed $25.00 in value; -
62. —-An award publicly presented in recognition of public service; or
78. —Any gift whieh-that would have been offered or given to the individual regardless of
the individual's status as a public official or town employee.
C. —"Immediate family" means dependent relatives who reside in the household and any
spouse, children, parents, parents-in-law, siblings, and spouses of children.
D._ —"Individual" means a natural person.
E._ —"Town employee" means an individual working for salary or wages from the town,
including board of education employees, whether on a part-time or full-time basis and
whether the position is reviewed by personnel review board or not, but does not include the
town attorney or any public official.

Draft#2 Aug 26, 2020
F._ —"Official act or action" means any legislative, administrative, appointed, or discretionary
act of any public official or town employee or of any department, agency, board, committee,
or commission of the town.
G._—"Person" means any individual, business, corporation, union, association, firm,
partnership, committee, club, or other organization or group of persons.
H._-—"Public official" means any elected official, including members of the board of education
and board of selectmen; or, any individual, including the town attorney, appointed to any
town office, commission, agency, committee, board, or department by the representative
town meeting (R.T.M.), board of finance, board of education, the-first selectman, or board of
selectmen.
(R.T.M. 6-1-92 (part))
2.50.030 - Code of ethics.
A._——Public A-public officials or town employees have fas-an interest whieh-that is in
substantial conflict with the proper discharge of duties or employment in the public interest
and of responsibilities as prescribed by the laws of this state; if they havethe public official
ertown-employee-has reason to believe or expect that the
public-officialortewn-employee;
his-spouse-ora-dependent child,they, their immediate family, or a business with which he
isthey are associated, will derive a direct monetary gain or suffer a direct monetary loss, as
the case may be, by reason of the-public official or town employee’stheir official activity.
Fhe-Public A-public-officials or town employees do dees-not have an interest whieh-that is in
substantial conflict with the proper discharge of duties in the public interest and of
responsibilities as prescribed by the laws of this state; if any benefit or detriment accrues to
the-public-official_ortown employeethem, his-their immediate family, or a business with
which he-they or-his immediate familyisare associated as a member of a profession,
occupation, or group to no greater extent than any other member of such profession,
occupation, or group.
w
BC.——A public official or town employee may not take official action on any matter where-in
which a substantial conflict (as defined in subsection A of this section) exists. If the conflict
is disclosed, a public official or town employee may participate in discussions with or give
opinions or recommendations to a town board, agency, commission, committee,
department, or another public official or town employee.

Draft#2 Aug 26, 2020
GD.——Public officials and town employees shall refrain from using their positions for personal
gain and shall wil-keep confidential all information not available to all citizens that is
acquired by virtue of their position in the town government.
DE.— Public officials and town employees shall not request, permit, or engage in the
unauthorized use of town-owned vehicles, equipment, materials, or property for personal
convenience or profit.
EF. —Public officials and town employees shall not accept any gift fromthe public-whienthat
might reasonably tend to influence the impartial discharge of their official acts.
FG.-—No public official or town employee shall enter into any non-bid contract with the town
exceeding five-hundred-dollars$500.00 or a series of non-bid contracts exceeding two
thousand-dollars$2,000.00 in any one year. Nothing contained herein shall be construed to
prevent any public official or town employee from submitting a competitive, sealed bid in
response to an invitation to bid from the town purchasing agent or any commission, board,
agency, or committee provided such person does not violate subsection A of this section.
Town employee union contracts with the town are not subject to the prohibition of this
section. Employee contracts by nonunion personnel are also not subject to the prohibition of
this section.
GH.—No public officials or town employees shall seek for themselves, or grant to any citizen,
any special consideration, treatment, or advantage te-any-citizen-beyond that which is
available to every other citizen. No town employee shall seek any special consideration
regarding the employee's employment from any town employee or public official. No town
employee shail use the employee's position to directly benefit any political party or
candidate for public office.
(R.T.M. 6-1-92 (part)
2.50.040 - Establishment of an ethics commission and operating
procedures.:
A._In accordance with the provision of Section 7-148h of the Connecticut General Statutes,
there is created an ethics commission. This commission is empowered to investigate or to
cause to be investigated allegations levied against any town board, agency, commission,
committee, official, or employee of unethical conduct, corrupting influence, or illegal
activities. Allegations of criminal misconduct or violations of the state penal code shall be
referred to the police department or State's Attorney's office whenever such allegations
come to the attention of the commission, whether upon receipt of a complaint or during the

Draft#2 Aug 26, 2020
course of an investigation. Notwithstanding provisions herein to the contrary, established
internal complaint procedures of any town board, agency, commission, or committee, as
such procedures may be amended, shall take precedence over the procedures established
herein as to allegations levied against any town employee of such board or commission.
Complaints which-that fall under the purview of an established complaint procedure of an
agency shall be referred to that agency for disposition. The commission may issue
subpoenas or subpoenas duces tecum, enforceable upon application to the superior court,
to compel the attendance of persons at hearings and the production of books, documents,
records, and papers. The commission shall not initiate investigations on its own volition.
B. The commission shall be comprised of seven resident electors, none of whom shall be town
employees or public officials. Two of the appointed members will be designated as
alternates by the representative town meeting (R.T.M.). All members shall be appointed by
majority vote of the R.T.M. No more than four members shall be members of the same
political party. Of the-five-members-initialy-appointed three shail be appointed fora term of
two-years-and-bwo-for-e-term-of- one -year-One-of the alternates-shall be appeinted fer aterm
oftwo-years-and-one-shall be_appeinted-for-aterm-efone year All subsequent
aAppointments to the commission shall be for a term of two years. 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 individuals filling a vacancy, consecutive terms of
service shall commence with the beginning of the next appointment term. The two
alternative members may 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.
C. A quorum of four members shall be present in order for the Commission to transact the
business that comes before it.
D. Notwithstanding the quorum requirement contained herein, nNo more or less than five
members shall ever vote on any decision relative to a complaint that comes before efthe
commission and, to be eligible to vote, the members must have been in attendance at all
meetings at which testimony was presented.
E._ A person will not be disqualified from serving on the commission if a member of his-their
immediate family is employed by the town or by the Waterford board of education or is a
public official.; howeverHowever, if an accused person is an immediate family member or an
immediate family member's supervisor or employed in the same department as an member
ofhis-immediate family member, the commission member will be disqualified from voting on
that particular matter. 
:
(R.T.M. 6-1-92 (part))

Draft #2 Aug 26, 2020
2.50.050 - Adoption of rules of procedure.
The commission shall adopt rules of procedure and regulations whick-that 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, unless confidential, will be made available to the public on the town’s
website and through the town clerk's office.
(R.T.M. 6-1-92 (part))
2.50.060 - Advisory opinions.
A._—The ethics commission shall issue advisory opinions with regard to the requirements of
the code of ethics of the town upon the request of any public official or town employee.
Advisory opinions rendered by the commission, until amended or revoked, shall be binding
on the commission and shall be deemed the final decisions of the commission.
B._—Any advisory opinion concerning the public official or town employee who requested the
opinion and who acted in reliance thereon, in good faith, shall be binding upon the
commission. and-lit shall be an absolute defense in any action brought under the provisions
of the code of ethics (Section 2.50.030 of this code) that the accused party acted in reliance
upon such advisory opinion, assuming there are no relevant facts of which the commission
was not aware when the opinion was rendered that would change the opinion of the
commission.
CG... —Each opinion of the ethics commission shall include a disclaimer to the effect that the
opinion may be different if different facts are presented to the commission at a later date.
(R.T.M. 6-1-92 (part))
2.50.070 - Procedure for receiving and hearing complaints.
A._—The commission shall receive complaints from any person of any-alleged violation(s) of
the code of ethics. Any Ceomplaints received by the commission must be in writing and
signed under-oathand acknowledged by the individual making the complaint and-before (1)
a judge of a court of record,; (2) a clerk or deputy clerk of a court having a seal,; (3) a
commission of deeds or town clerk,; (4) a notary public,; (5) a justice of the peace,; (6)-or (6)
an attorney admitted to the bar of this state. A town employee who discloses illegal activities
6

Draft#2 Aug 26, 2020
or unethical practices is protected by Section 31-51m of the Connecticut General Statutes
from discharge, discipline, or other penalty unless the town employee knows the report is
false. \f the person makes a false statement, the person shall be subject to fines under the
provisions of Section 53a-157 of the Connecticut General Statutes. See the recommended
complaint form in the appendix at the end of the Code.
B._—Unless_the-commission-makes-2-finding-of probable cause,A a complaint alleging a
violation of the code of ethics shall be confidential except upon the request of the
respondent. The subsequent A-cormission-evaluation of a possible violation of the code of
ethics priortethe-filing-of an-epinion-by the commission shall be confidential except upon
the request of the- respondentsubject-ef-the-evaluation, If the evaluation is confidential, any
information supplied to or received from the commission shail not be disclosed to any third
party by -the respondenta-subject-of-the-evaluation, a person contracted for the purpose of
obtaining information, -or bya commission, board or agency, or staff member. No provision
of this subsection shall prevent the ethics commission from reporting the possible
commission of a crime to the police department or State's Attorney's office as appropriate.
C._ —An investigation conducted prior to a finding of probable cause finding-shall be
confidential except upon the 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 board, commission, sragency, or
staff member.
D._ —Upon teceiving a complaint of an alleged violation of the code of ethics, the commission
shall, within seven days, notify in-writing-the respondent in writing, advising the respondent
of the specific nature of the complaint made and being investigated by the commission, and
enclosing therewith a copy of the complaint. The respondent shall have the right to file a
response within ten-10 days after receipt of the notice of complaint. After notifying the
respondent, the commission shall make a preliminary investigation of the validity of the
complaint including interviews or discussions with the complainant, town personnel, or
members of other public or private agencies. The preliminary investigation shall be
completed within ninety-90 days after notifying the respondent unless the commission
notifies the complainant and the respondent in writing that additional time is required. Any
person interviewed by the commission during its investigation shall be entitled to
representation by a union representative (where applicable) or an attorney, or both, at any
meeting or inquiry during which the person may be subject to_an interregatieninvestigatory
interview.

Draft#2 Aug 26, 2020
E. —-Not later than three business days after the termination of the investigation, the
commission shall inform the complainant and the respondent and, at the discretion of the
commission, the respondent's appointing authority or elected body, of its opinion as to
probable cause and provide them a summary of its reasons for forming that opinion. Upon
the respondent's request, the commission shall publish-announce its opinion and may also
publish-announce a summary of its reason for forming such opinion. Such an
announcement shall be made, at a minimum, on the town website.
F._—f the commission finds no probable cause for such complaint, the commission shall
dismiss the complaint. In that event the complaint and the record of its investigation shall
remain confidential, except upon the request of the respondent and except that some or alll
of the record may be used in subsequent proceedings. No complainant;; respondent;;
witness;; designated party;; or commission, board, eragency, or staff member shail disclose
to any third party any information learned from the investigation, including knowledge of the
existence of a complaint which the disclosing party would not otherwise have known. If such
a disclosure is made, the commission may, after consultation with the respondent if the
respondent is not the source of the disclosure, publish-announce its opinion and a summary
of its reasons-therefer. Such an announcement shall be made, at a minimum, on the town
website.
G._——The commission shall make public an opinion of probable cause not later than five
business days after the termination of the investigation. At such time the entire record of the
investigation shall become public, except that the commission may postpone examination or
release of such public records for a period not to exceed fourteen-14 days for the purpose of
reaching a stipulation agreement pursuant to subsection (c) of Section 4-177 of the
Connecticut General Statutes.
H._—Within ten-10 days after receipt of notice of an opinion of probable cause, the respondent
may waive the right of a hearing by the commission; such waiver must be in writing. If a
hearing is not waived, it shall be convened within thirty-30 days of the date of giving notice
of probable cause to the complainant and respondent. If a hearing is held, the hearing shall
be recorded and a written transcript made of said hearing.
The mailing address of the ethics commission shall be Ethics Commission, Town Clerk's
Office, 15 Rope Ferry Road, Waterford, Connecticut 06385-2886.
Ji. —In the event a hearing is held, the respondent shall have the right to counsel;; to the
presence of a union representative, if requested;; to confrontation of all witnesses to cross
examination; and to present evidence. The hearing shall be open. No hearing shall be
conducted with less than five members of the commission in attendance.

Draft#2 Aug 26, 2020
_d;——The-mailing-address-of the ethics-commission shall be: Ethies-Commission, town Clerk's
Office, 15-Rope-Ferry-Read, Waterford, Connecticut-06385-2886.
(R.T.M. 2-2-98 (part): R.T.M. 6-1-92 (part))
2.50.080 - Notice of hearing and decision.
A.__——All notices required under this chapter shall be sent to the complainant and the
respondent by registered or certified mail, return receipt requested.
B._ —1In the event a hearing is held, the commission shall render a decision within ten-10
business days of the final day of the hearing. In the event no hearing is held, the
commission shall render a decision within thirty-30 days of the receipt of the respondent's
waiver-of- hearing-fromthe respondent.
(R.T.M. 2-2-98 (part): R.T.M. 6-1-92 (part))
2.50.090 - Report of findings and opinions and recommendations.
A. —The ethics commission shall make its report as to_a violation of the code of ethics in the
form of findings, opinions, and recommendations. Depending on the severity of the violation,
the ethics commission's recommendations may include reprimand, suspension, dismissal,
or resignation from office.
B._ —1If requested by the respondent and prior to publicly reporting-itsfindings-and opinions
and-+recommendationssubmission of its report, the commission shall state its findings and
opinions and recommendations in the respondent's presence in executive session.
C._ —~The commission shall submit its reportits-findings-as-te-a-vielation othe code of ethies,
tegether-with its-opinions-and findings to the board, commission, or agency to which the
respondent is responsible and to the representative town meeting should the respondent be
an elected official or an R.T.M. appointee.
D._—The person or governmental body receiving the report shall consider the findings and
opinions and recommendations of the ethics commission in deciding the disposition to be
made of the ethics complaint.
E._—~The person or governmental body receiving the report shall determine the disposition of
the ethics complaint and notify the respondent orally immediately and in writing by certified
mail within thirty 30 days of the receipt of the report from the commission.

Draft#2 Aug 26, 2020
F.__——The person or governmental body receiving the report shall also report back to the ethics
the receipt of the report from the commission:
G._—lf the respondent is a member of a town employee bargaining unit or board of education
employee bargaining unit, the grievance procedures outlined in the bargaining units_unit’s
contracts shall take precedence over other procedures outlined in this chapter.
(R.T.M. 2-2-98 (part): R.T.M. 2-7-94 § Il; R.T.M. 6-1-92 (part))
2.50.100 - Finances and compensation.
A._—The financial needs of the commission shall be funded in the same manner as those of
other town boards and commissions listed in the Town _of Waterford Code of Ordinances
(Section 2.24.010).
B._ —-The members of the ethics commission shall receive no compensation for their services
as such; but shall be reimbursed for their necessary expenses incurred in the performance
of their duties.
(R.T.M. 2-5-03 (part); R.T.M. 6-1-92 (part))
2.50.110 - Effective date and reports.
A._—The ordinance codified in this chapter and any amendments thereto will be effective thirty
30 days after publication in a newspaper regularly distributed in Waterford.
B.__—-In the event any provision of this chapter is contradictory to any provision of a contract
negotiated by an organized bargaining unit, the provisions of such contract shall prevail.
C._ —In the event any provision of this chapter (other than provisions rendered ineffective as to
particular employees by reason of subsection B of this section) is contradictory to any
provision of the conflict of interest provisions of the Town of Waterford Code of Ordinances
(Section 2.08.050), the provisions of this chapter shall prevail.
D._-——By September 15th of each year, the ethics commission shall prepare and submit to the
board of selectmen and to the R.T.M. an annual report of its actions and recommendations
fromduring the preceding fiscal year, anddis-recommendations—Additional reports and
recommendations may be submitted by the commission to the board of selectmen and the
R.T.M. at any time.
(R.T.M. 2-2-98 (part): R.T.M. 6-1-92 (part))
10

Draft #2 Aug 26, 2020
2.50.120 - Distribution of the code of ethics.
The town clerk shall cause a copy of this code of ethics and any amendments thereto to be
distributed to every public official and town employee within thirty-30 days after the enactment of
this code of ethics. Each public official and town employee elected, appointed, or engaged
thereafter shall be furnished a copy before entering upon the duties of the office or employment.
Not receiving a copy of this chapter or any amendments thereto or not signing a receipt therefor
does not exempt a public official or town employee from the provisions of the code of ethics.
(R.T.M. 2-2-98 (part): R.T.M. 6-1-92 (part))
a1

Draft 1 from Ethics Commission
Town of
) Waterford
CONNECTICUT
Complaint of Violation of Code of Ethics
This completed form shall be filed with the Waterford Town Clerk’s office — 15 Rope Ferry Rd-Waterford, CT
06385.
Please answer the following questions below and attach additional sheets if necessary:
1. Identify the person who is alleged to have violated the Ethics Code.
Name:
Title or Position:
2. Specific Code of Ethics Violation:
(Contact Town Clerk for a hard copy of the Ethics Code or visit https://www.waterfordct.org/)
3, Provide a detailed explanation of the nature of the violation. include dates, places and corroborating
witnesses or documents, if any.
Signed by: Signature: Date:
Print Name:
Address:
Email:
Telephone:
So acknowledged this day of before me:
Witnessed by: Signature:
Print Name:
Position:

Draft 1 from Ethics Commission
Witness must be (1) a judge of a court of record, (2) a clerk or deputy clerk of a court having a seal, (3) a
commission of deeds or town clerk, (4) a notary public, (5) a justice of the peace, or (6) an attorney admitted to the
bar of this state.