Legislation & Administration Standing Committee of the RTM Special Meeting Materials (linked)

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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 of the municipality, and it must be 
based on honest and fair deliberations and decisions. Policy development This process 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 
any loss of trust and to maintain and increase the confidence of our citizens in the integrity and 
fairness of their government.  
B.  The proper operation of the town government of the town 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 a trust conferred by public authority 
for a public purpose. pPublic officials and town employees should not place themselves in 
positions where private interest conflicts with public duty. The administration of legislative or 
quasi-judicial power demands the highest public confidence. Anything which tends to weaken 
such confidence and to undermine the sense of security of individual rights which the citizen is 
entitled to feel 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. 
, of 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 

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outstanding stock of any class; provided, a unless the public official or town employee, or 
member of his their that individual’s immediate family , shall not beis deemed to be 
associated with a not-for-profit entity solely by virtue of the fact that the public official or town 
employee they the public official or town employee or member of his their immediate family 
member is an unpaid director or officer of the not-for-profit entity. "Officer" refers only to the 
president, executive, or senior 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 
equal or greater value is given in return. 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.  Food or beverage or both, consumed on a single occasion, the cost of which is less 
than fifty dollars per person;  
5.6.   An occasionalA nonpecuniary gift, including food or beverage, , insignificant in value; 
not to exceed $25.00 in value; 
67.   An award publicly presented in recognition of public service; or  
78.   Any gift which 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.  

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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 has an interest which 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 
or town employee has reason to believe or expect that the public official or town employee, 
his spouse or a 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.  
B. The Public A public officials or town employees do does not have an interest which 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 or town employeethem, his their immediate family, or a business with 
which he they or his immediate family isare associated as a member of a profession, 
occupation, or group to no greater extent than any other member of such profession, 
occupation, or group.  
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.  

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CD.  Public officials and town employees shall refrain from using their positions for personal 
gain and shall will 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 from the public whichthat 
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 to 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 shall 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 

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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 initially appointed, three shall be appointed for a term of 
two years and two for a term of one year. One of the alternates shall be appointed for a term 
of two years and one shall be appointed for a term of one 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 of the 
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 
of his immediate family member, the commission member will be disqualified from voting on 
that particular matter.  
(R.T.M. 6-1-92 (part)) 

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2.50.050 - Adoption of rules of procedure.  
The commission shall adopt rules of procedure and regulations which 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 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. and Iit 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.  
C.   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 Ccomplaints 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 the 
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. (Complaint of Violation of Code of Ethics forms 

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are available on the Ethics Commission page of the town website and in the town clerk’s 
office.) A town employee who discloses illegal 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.   Unless the commission makes a 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 commission evaluation of a possible violation of the code of 
ethics prior to the filing of an opinion by the commission shall be confidential except upon 
the request of the  respondentsubject of the evaluation. If the evaluation is confidential, any 
information supplied to or received from the commission shall not be disclosed to any third 
party by  the respondenta subject of the evaluation, a person contracted for the purpose of 
obtaining information,  or  by 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 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, or 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 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 

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meeting or inquiry during which the person may be subject to an interrogationinvestigatory 
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 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.   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, or 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, publish announce its opinion and a summary 
of its reasons therefor. 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.  
I. 
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 

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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.  
 J.   The mailing address of the ethics commission shall be: Ethics Commission, Town Clerk's 
Office, 15 Rope Ferry Road, 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.   In 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 from the 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.   If requested by the respondent and prior to publicly reporting its findings 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 report its findings as to a violation of the code of ethics, 
together 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.  

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F.   The person or governmental body receiving the report shall also report back to the ethics 
commission the decided findings and deposition disposition in writing within thirty 30 days of 
the receipt of the report from the commission.  
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 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 § II; 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. and its recommenda tions. 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)) 
 

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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 and subsequent amendments. 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))