Ethics Ordinance Training

1. Ethics Ordinance Training

2. Agenda • Introduce Commission Members • Overview of Ordinance (30 minutes) • Purpose, definitions, and protections • Duties and Powers • Conflicts of interest • Process for addressing ethical questions • Packet • Handbook: copy of adopted Ordinance • Forms: copy of all Ordinance forms • Ordinance and forms available @ www.portlandct.org • Questions and answers (30 minutes)

3. Certification • Reading of full text of Ethics Ordinance is required – this summary is not all inclusive • Each town representative must certify within one week of completion of Ethics Ordinance training, that he or she has received a copy of the Ordinance, has read it and will abide by it • This training session meets the requirement under Section 1-17 (a) (13) • Recertification required annually

4. Declaration of Policy • The Ethics Ordinance was adopted in accordance with the Portland Charter to assure that: • Town representatives share citizens’ community values: honesty, integrity, fairness, moral responsibility, sense of right and wrong • The interests of the public are foremost in all decisions made and actions taken • Town representatives will be supported by the community when they behave ethically and will be protected if they notify the appropriate individual or group of unethical behavior

5. Declaration of Policy (continued) • Town Representative • Means any member of the governing body or of any Town agency, board, commission, committee, or other voting body, and any agent, department head, employee, official, supervisor, or other person, whether elected or appointed, or otherwise authorized by contract to make decisions or exercise discretionary power on behalf of the Town (Section 1-3 (ee))

6. Purposes of Ordinance • To identify minimum standards of ethical conduct • To provide a process by which Town representatives may identify and resolve ethical issues • To establish a process for the Commission to determine violation of this Ordinance • To provide a just and reasonable balance among the rights of all individuals who are directly affected by the operation of this Ordinance

7. Definitions • Terms, phrases, words and their derivatives shall have the meanings given in the Ordinance in Section 1-3 • 31 definitions listed in alphabetical order

8. Town Representative Protections • Town employees are • not restricted or prohibited from negotiating, entering into or enforcing a collective bargaining agreement • not prevented from accepting other employment or following any pursuit which does not interfere with the full and faithful discharge of his or her public duties provided requirements of this Ordinance are complied with

9. Town Representative Protections (continued) • Elected officials may raise campaign contributions in any manner permitted by law • Town representatives, except members of the Commission, may endorse a political candidate or contribute to a political campaign • Town representatives may request an advisory ethics opinion to clarify potential conflict of interest situations

10. Applicability of the Ordinance • Applies to all Town representatives and former Town representatives as provided in the Ordinance • Ordinance effective January 1, 2009

11. Duties of Town Representatives • Shall maintain confidentiality in relation to any confidential information obtained in the course of holding his or her position • Shall respond fully and truthfully to any inquiries or investigation by the Commission • Shall report violations of this Ordinance • Shall abide by Town policy and federal, state and local laws

12. Conflict of Interest and Personal Benefits Prohibited • A conflict occurs when the personal interest of an individual or a group takes precedence over the interests of the Town and the public welfare of its citizens • No Town representative shall seek or knowingly accept any personal benefit where the benefit is intended to influence the representative in the performance or nonperformance of any official duty (Section 1-7)

13. Complicity • No person shall knowingly aid, abet, agree with, assist, encourage, or solicit any Town representative or Town representative’s partner-in-interest to violate this Ordinance • Partner-in-interest generally means family member or a business associated with Town representative or family member (Section 1-3 (ee))

14. Certain Prohibited Deliberations and Voting • No Town representative shall knowingly participate in the discussion, debate, deliberation or vote or otherwise take part in the decision-making process on any agenda item before any voting body in which the Town representative or partner-in-interest has a conflict of interest

15. Duty to Leave Meeting • In a conflict-of-interest matter, once all questions relating to the deemed or potential conflict have been answered, the Town representative shall recuse himself or herself and immediately leave the meeting room while the matter is under discussion • If matter is his or her matter, the Town representative may represent himself or herself in connection with the matter and remain in the room occupied by the general public

16. Public Contracts • Except through a sealed bid process, a Town representative is prohibited from entering into any contract with the Town with value in excess of that set annually in accordance with the Town Charter • Contracts in an amount below the set value may be entered into following the Town’s solicitation of 3 written quotes • Town representative shall disclose interest in contracts prior to the solicitation, bidding, negotiation, or approval of said contract

17. Disclosure of Conflict of Interest (Section 1-12) • Voting body member shall disclose the conflict or potential conflict • State clearly for the public record if he or she believes there is no conflict, allowing him or her to vote or otherwise participate • Recuse himself or herself if he or she determines that a conflict does exist • For examples of possible conflict situations, see Section 1-12 (d)

18. Outside Employment • Town employees • Town employees may be self-employed or take occasional or part-time jobs if there is no conflict with working hours, employee’s efficiency in his or her Town work, or with other interests of the Town • Administrative department heads, except the Fire Chief, shall notify the First Selectman prior to creating, contracting with, or being employed by any business other than the Town

19. Prohibited Abuses or Misuses of Position • Town representatives shall not • hold dual offices where • one office is subordinate to the other • one office carries the power of removal of the other • occupancy of both offices is prohibited by Town Charter or provisions of law • make an unauthorized policy statement • falsely represent his or her personal opinion • use official position to request privileges or avoid consequences of illegal acts

20. Prohibited Abuses or Misuses of Position (Continued) • Town representatives shall not • misuse Town fiscal or human resources • violate Town policies regarding prizes and gifts • use official authority to influence the results of any election or solicit contributions from Town employees in connection with Town elections

21. Candidates for Town Representative Positions • No person seeking to become a public official, employee or appointee to any position shall knowingly make any false statement or in any manner commit fraud, conceal wrongdoing or knowingly withhold information about wrongdoing relative to the proposed position

22. Post Service Activities • No former Town employee shall, for compensation, during the 12 months following termination: • represent anyone other than the Town before the department, agency, board, or commission on which he or she served or • act on behalf of any party other than the Town • No former Town representative shall: • use or continue to use any former official Town title, business card, or stationary or • disclose or use confidential information acquired through official duties for financial gain for himself or herself or for any other person

23. Duties and Powers of Ethics Commission (Section 1-17) • Adopt rules, administer oaths, conduct hearings, submit an annual report, conduct an annual review of operations • Educate Town representatives and the public about rights, duties and obligations of this Ordinance and arrange for annual training sessions • Respond to requests for an advisory ethics opinion

24. Filing of Ethics Complaints • Any person may file a written Complaint, signed and sworn, with the Commission alleging a violation of this Ordinance • Complaints shall be filed on a prescribed form under penalty of false statement • Complainant shall acknowledge that the allegations of the Complaint are confidential and any information supplied to or received from the Commission shall not be disclosed to any third party by the Complainant unless or until the Commission makes a finding of probable cause or the Respondent requests that the information be made public

25. Rules Applicable to Probable Cause Proceedings • All proceedings by the Commission shall be confidential • No later than 7 business days after receipt of Complaint, the Commission shall send a copy of the Complaint to the Respondent • Within 30 days the Respondent may either request a meeting with the Commission or submit a written and sworn statement

26. Proceedings to determine probable cause • All evidence shall be made available to the Complainant and Respondent • Within 10 business days after the proceedings, the Commission shall inform the Complainant and Respondent of its findings • If the Commission makes a finding of a lack of probable cause, the Complaint and the entire record of the investigation shall remain confidential • If the Commission makes a finding of probable cause, the Complaint and the entire record of the investigation shall be made public and the Commission shall immediately notify the First Selectman

27. Proceedings Following Finding of Probable Cause • The First Selectman has 14 calendar days to notify the Commission to defer the hearing if: • a grievance or disciplinary process is underway as part of the Town’s collective bargaining agreement, or • a complaint is pending with the CT Commission on Human Rights and Opportunities, or • a lawsuit is pending in state or federal court • Lacking notification from the First Selectman a hearing shall be scheduled within 60 calendar days

28. The Hearing • Shall be open to the public • Each party shall be afforded adequate opportunity to bring witnesses, rebut and offer countervailing evidence, cross-examine witnesses, and examine all documents and records • Each party is entitled to counsel of his or her choosing • The Commission shall have the power to compel the attendance of witnesses, issue subpoenas, and order testimony taken by deposition

29. The Decision • Decision shall be rendered within 30 days after the hearing • Possible action • Refer the Complaint to any appropriate authority for criminal investigation or prosecution • Refer the Complaint to any appropriate administrative authority for disciplinary or other suitable remedial action • Recommend to the Board of Selectmen that it order the Respondent to cease and desist the violation of this Ordinance

30. Limitations on the Commission’s Power • The Commission does not have the authority to reverse or modify a prior action of the Town but may advise the appropriate party that an action should be reconsidered • The Commission may request referral to the Town Attorney for review

31. Statute of Limitations • No action may be taken on any Complaint which is filed later than 2 years after a violation is alleged to have occurred, providing that a Complaint alleging the violation is filed within 6 months from the date the Complainant knew or should have known of the action alleged to be a violation

32. Construction • In the event of a conflict between this Ordinance and any applicable federal, state, or Town charter provision, the federal, state or Town charter provision shall control