Ethics Ordinance (PDF)

2.50.020
Chapter 2.50
ETHICS COMMISSION
Sections:
2.50.010 Preamble and declaration of policy and purpose.
2.50.020 Definitions.
2.50.030 Code of ethics.
2.50.040 Establishment of an ethics commission and operating procedures.
250.050 Adoption of rules of procedure.
2.350.060 Advisory opinions.
2.50.070 Procedure for receiving and hearing complaints.
2.50.080 Notice of hearing and decision.
2.50.090 Report of findings and opinions and recommendations.
2.50.100 Finances and compensation.
2.50.110 Effective date and reports.
2.50.120 Distribution of the code of ethics.
2.50.010 Preamble and declaration of policy and purpose.
A. Public office is a trust conferred by public authority for a public purpose. The trust of the public
is essential for government to function effectively. Public policy must be based on honest and fair
deliberations and decisions. Policy development 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 maintain and increase the confidence of our citizens in the integrity and fairness of
their government.
B. The proper operation of town government requires that all public officials and town employees
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 public officials and town employees should not place.
themselves in positions where private interest conflicts with public duty.
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 an
employees, whether elected or appointed, paid or unpaid. ;
(R.T.M. 12-7-20; Amend. of 2-4-13(1); R.T.M. 6-1-92 (part))
2.50.020 Definitions.
A. "Business with which 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 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 outstanding stock of any class unless the public official or town employee, or member of
that individual's immediate family is deemed to be associated with a not-for-profit entity solely by virtue
of the fact that the public official or town employee or of immediate family member is an unpaid director
or officer of the not-for-profit entity, "Officer" refers only to the president, executive, senior vice president,
or treasurer of such business.
42 Supp. No. 23

2,50.030
B. "Gift" includes, but is not necessarily limited to, a payment, subscription, advance, forbearance,
rendering of service, deposit of money, favorable treatment of consequence, or anything of value that is
directly and personally received. 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. Anonpecuniary gift, including food or beverage, not to exceed twenty-five dollars in value;
6. An award publicly presented in recognition of public service; or
7. Any gift 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.
F. “Official act or action" means any legislative, administrative, appointed, or discretionary actof 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, first selectman, or board of selectmen.
(R.T.M. 12-7-20; R.T.M. 6-1-92 (part))
2.50.030 Code of ethics.
A. Public officials or town employees have an interest that is in substantial conftict 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 have reason to believe or expect that they, their immediate family, or a business with
which they are associated will derive a direct monetary gain or suffer a direct monetary loss, as the case
may be, by reason of their official activity.
B. Public officials or town employees do not have an interest 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 them, their immediate family, or a business with which they are
associated as a member of a profession, occupation, or group to no greater extent than any other member
of such profession, occupation, or group.
C. A public official or town employee may not take official action on any matter 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.
43 . Supp. No. 23

2.50.040
D. Public officials and town employees shall refrain from using their positions for personal gain and
shall keep confidential ali information not available to all citizens that is acquired by virtue of their
position in the town government.
E. 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.
F. Public officials and town employees shall not accept any gift that might reasonably tend to
influence the impartial discharge of their official acts,
G. No public official or town employee shall enter into any non-bid coutract with the town exceeding
five hundred dollars or a series of non-bid contracts exceeding two thousand dollars 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 ofthis
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. :
H. No public officials or town employees shall seek for themselves, or grant to any citizen, any special
consideration, treatment, or advantage 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 shall use the employee's position to directly benefit any
political party or candidate for public office.
(R.T.M. 12-7-20; R.T.M. 6-1-92 (part))
2.506.040 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, comunittee, 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 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 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 initially
appointed in 1992, three shall be appointed for a term of two years and two for a term of one year. Of the
alternates initially appointed in 1992, one shall be appointed for a term of two years and one for a term of
one year. Subsequent appointments 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
44 Supp. No. 23

2.50.070
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, no more or less than five members
shall ever vote on any decision relative to a complaint that comes before the commission and, to beeligible |
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 their immediate -
family is émployed by the town or by the Waterford Board of Education or is a public official. However,
if an accused person is an immediate family member or an immediate family member's supervisor or
employed in the same department as an immediate family member, the commission member will be
disqualified from voting on that particular matter.
(R.T-M. 12-7-20; R.T.M. 6-1-92 (part))
2.50.050 Adoption of rules of procedure.
The commission shall adopt rules of procedure and regulations 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. 12-7-20; 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 written 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. It 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. me
C. Each opinion of the ethics commission shall inciude 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. 12-7-20; 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 alleged violation(s) of the code of
ethics. Complaints received by the commission must be in writing and signed and acknowledged by the
individual making the complaint before: (1) a judge of a court of record, (2) a clerk or deputy clerk of a
court having a seal, (3) the town clerk, (4) a notary public, (5) a justice of the peace, or (6) an attorney
admitted to the bar of this state. (Complaint of violation of code of ethics forms are available on the ethics
commission page of the town website and in the town clerk's office.) A town employee who discloses illegal
45 Supp. No, 23

2.50.070
activities 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. If 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. Acomplaint alleging a violation of the code of ethics shall be confidential except upon the request
of the respondent. The subsequent evaluation of a possible violation of the code of ethics by the
commission shall be confidential except upon the request of the respondent. If the evaluation is
confidential, any information supplied to or received from the commission shall not be disclosed to any
third party by the respondent, a person contracted for the purpose of obtaining information, or a
‘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 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, agency, -
or staff member.
D. Upon receiving a complaint of an alleged violation of the code of ethics, the commission shall,
within seven days, notify 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 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 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 cominission 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 investigatory
interview. ; :
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 announce its
opinion and may also announce a summary of its reason for forming such opinion. Such an announce-
ment shall be made, at a minimum, on the town website,
F, If 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 all of the record may be used in subsequent
proceedings. No complainant; respondent; witness; designated party; or commission, board, agency, or
staff member shall 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, announce its opinion and a summary of its reasons. Such an
announcement shall be made, at a minimum, on the town website.
46 Supp. No. 23

2.50.090
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 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 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. [f a hearing is not waived, it shall
be convened within thirty 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.
I. The mailing address of the ethics commission shall be: Ethics Commission, Town Clerk's Office, 15
Rope Ferry Road, Waterford, Connecticut 06385-2886.
J. 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.
(R.TM. 12-7-20; RTM. 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. In the event a hearing is held, the commission shall render a decision within ten business days of
the final day of the hearing. In the event no hearing is held, the commission shall render a decision within
thirty days of the receipt of the respondent's waiver of hearing.
(R.T.M. 12-7-20; 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 commis-
sion's recommendations may include reprimand, suspension, dismissal, or resignation from office.
B. If requested by the respondent and prior to submission 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 report 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 days
of the receipt of the report from the commission.
EF The person or governmental body receiving the report shall also report back to the ethics
commission the decided findings and disposition in writing within thirty days of the receipt of the report
from the commission.
47 Supp. No. 23

2.50.120
G. If 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 unit's contracts shall take
precedence over other procedures outlined in this chapter.
(R.TM. 12-7-20; R.T.M. 2-2-98 (part): R.T.M. 2-7-94 § I; R.T.M. 6-1-92 (part))
2.350.100 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. 12-7-20; R.T.M. 2-5-03 (part); R.T.M. 6-1-92 (part))
2.50110 Effective date and reports.
A. 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.
B. 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.
C. 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 from the preceding
fiscal year. 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. 12-7-20; R.T.M. 2-2-98 (part): R.T.M. 6-1-92 (part)}
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 days after the enactment of this code of ethics and
subsequent amendments. Each public official and town employee elected, appointed, or engaged there-
after 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. 12-7-20; R.T.M. 2-2-98 (part): R.T.M. 6-1-92 (part))
48 Supp. No. 23