ethics ordinance training

Ethics Ordinance Ethics Ordinance TrainingTraining

Revised --February 1, 2012Revised --February 1, 2012 22

AgendaAgenda

Introduce Commission MembersIntroduce Commission Members Overview of Ordinance (30 minutes)Overview of Ordinance (30 minutes)

– Purpose, definitions, and protectionsPurpose, definitions, and protections– Duties and PowersDuties and Powers– Conflicts of interestConflicts of interest– Process for addressing ethical questionsProcess for addressing ethical questions

PacketPacket– Handbook: copy of adopted OrdinanceHandbook: copy of adopted Ordinance– Forms: copy of all Ordinance formsForms: copy of all Ordinance forms– Ordinance and forms available @ Ordinance and forms available @

www.portlandct.orgwww.portlandct.org Questions and answers (30 minutes)Questions and answers (30 minutes)


CertificationCertification

Reading of full text of Ethics Ordinance Reading of full text of Ethics Ordinance is required – this summary is not all is required – this summary is not all inclusiveinclusive

Each town representative must certify Each town representative must certify within one week of completion of Ethics within one week of completion of Ethics Ordinance training, that he or she has Ordinance training, that he or she has received a copy of the Ordinance, has received a copy of the Ordinance, has read it and will abide by itread it and will abide by it

This training session meets the This training session meets the requirement under Section 1-17 (a) (13)requirement under Section 1-17 (a) (13)

Recertification required annuallyRecertification required annually


Declaration of PolicyDeclaration of Policy

The Ethics Ordinance was adopted in The Ethics Ordinance was adopted in accordance with the Portland Charter to accordance with the Portland Charter to assure that:assure that:

– Town representatives share citizens’ community values: Town representatives share citizens’ community values: honesty, integrity, fairness, moral responsibility, sense of honesty, integrity, fairness, moral responsibility, sense of right and wrongright and wrong

– The interests of the public are foremost in all decisions The interests of the public are foremost in all decisions made and actions takenmade and actions taken

– Town representatives will be supported by the Town representatives will be supported by the community when they behave ethically and will be community when they behave ethically and will be protected if they notify the appropriate individual or protected if they notify the appropriate individual or group of unethical behavior group of unethical behavior


Declaration of Policy Declaration of Policy (continued)(continued) Town RepresentativeTown Representative

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


Purposes of OrdinancePurposes of Ordinance

To identify minimum standards of To identify minimum standards of ethical conductethical conduct

To provide a process by which Town To provide a process by which Town representatives may identify and representatives may identify and resolve ethical issuesresolve ethical issues

To establish a process for the To establish a process for the Commission to determine violation of Commission to determine violation of this Ordinancethis Ordinance

To provide a just and reasonable To provide a just and reasonable balance among the rights of all balance among the rights of all individuals who are directly affected by individuals who are directly affected by the operation of this Ordinancethe operation of this Ordinance


DefinitionsDefinitions

Terms, phrases, words and their Terms, phrases, words and their derivatives shall have the derivatives shall have the meanings given in the Ordinance meanings given in the Ordinance in Section 1-3in Section 1-3

31 definitions listed in 31 definitions listed in alphabetical orderalphabetical order


Town Representative Town Representative ProtectionsProtections Town employees areTown employees are

– not restricted or prohibited from not restricted or prohibited from negotiating, entering into or enforcing a negotiating, entering into or enforcing a collective bargaining agreementcollective bargaining agreement

– not prevented from accepting other not prevented from accepting other employment or following any pursuit which employment or following any pursuit which does not interfere with the full and faithful does not interfere with the full and faithful discharge of his or her public duties discharge of his or her public duties provided requirements of this Ordinance provided requirements of this Ordinance are complied withare complied with


Town Representative Town Representative Protections Protections (continued)(continued) Elected officials may raise campaign Elected officials may raise campaign

contributions in any manner permitted contributions in any manner permitted by lawby law

Town representatives, except Town representatives, except members of the Commission, may members of the Commission, may endorse a political candidate or endorse a political candidate or contribute to a political campaigncontribute to a political campaign

Town representatives may request an Town representatives may request an advisory ethics opinion to clarify advisory ethics opinion to clarify potential conflict of interest situationspotential conflict of interest situations


Applicability of the Applicability of the OrdinanceOrdinance Applies to all Town Applies to all Town

representatives and former Town representatives and former Town representatives as provided in the representatives as provided in the OrdinanceOrdinance

Ordinance effective January 1, Ordinance effective January 1, 20092009


Duties of Town Duties of Town RepresentativesRepresentatives Shall maintain confidentiality in relation to Shall maintain confidentiality in relation to

any confidential information obtained in any confidential information obtained in the course of holding his or her positionthe course of holding his or her position

Shall respond fully and truthfully to any Shall respond fully and truthfully to any inquiries or investigation by the inquiries or investigation by the CommissionCommission

Shall report violations of this OrdinanceShall report violations of this Ordinance Shall abide by Town policy and federal, Shall abide by Town policy and federal,

state and local lawsstate and local laws


Conflict of Interest and Conflict of Interest and Personal Benefits Personal Benefits ProhibitedProhibited A conflict occurs when the personal A conflict occurs when the personal

interest of an individual or a group takes interest of an individual or a group takes precedence over the interests of the precedence over the interests of the Town and the public welfare of its Town and the public welfare of its citizenscitizens

No Town representative shall seek or No Town representative shall seek or knowingly accept any personal benefit knowingly accept any personal benefit where the benefit is intended to where the benefit is intended to influence the representative in the influence the representative in the performance or nonperformance of any performance or nonperformance of any official duty (Section 1-7)official duty (Section 1-7)


ComplicityComplicity

No person shall knowingly aid, abet, No person shall knowingly aid, abet, agree with, assist, encourage, or solicit agree with, assist, encourage, or solicit any Town representative or Town any Town representative or Town representative’s partner-in-interest to representative’s partner-in-interest to violate this Ordinanceviolate this Ordinance

Partner-in-interest generally means Partner-in-interest generally means family member or a business family member or a business associated with Town representative associated with Town representative or family member (Section 1-3 (ee))or family member (Section 1-3 (ee))


Certain Prohibited Certain Prohibited Deliberations and Deliberations and VotingVoting No Town representative shall No Town representative shall

knowingly participate in the knowingly participate in the discussion, debate, deliberation discussion, debate, deliberation or vote or otherwise take part in or vote or otherwise take part in the decision-making process on the decision-making process on any agenda item before any any agenda item before any voting body in which the Town voting body in which the Town representative or partner-in-representative or partner-in-interest has a conflict of interestinterest has a conflict of interest


Duty to Leave MeetingDuty to Leave Meeting

In a conflict-of-interest matter, once all In a conflict-of-interest matter, once all questions relating to the deemed or potential questions relating to the deemed or potential conflict have been answered, the Town conflict have been answered, the Town representative shall recuse himself or herself representative shall recuse himself or herself and immediately leave the meeting room and immediately leave the meeting room while the matter is under discussionwhile the matter is under discussion

If matter is his or her matter, the Town If matter is his or her matter, the Town representative may represent himself or representative may represent himself or herself in connection with the matter and herself in connection with the matter and remain in the room occupied by the general remain in the room occupied by the general publicpublic


Public ContractsPublic Contracts

Except through a sealed bid process, a Except through a sealed bid process, a Town representative is prohibited from Town representative is prohibited from entering into any contract with the Town entering into any contract with the Town with value in excess of that set annually with value in excess of that set annually in accordance with the Town Charterin accordance with the Town Charter

Contracts in an amount below the set Contracts in an amount below the set value may be entered into following the value may be entered into following the Town’s solicitation of 3 written quotesTown’s solicitation of 3 written quotes

Town representative shall disclose Town representative shall disclose interest in contracts prior to the interest in contracts prior to the solicitation, bidding, negotiation, or solicitation, bidding, negotiation, or approval of said contractapproval of said contract


Disclosure of Conflict Disclosure of Conflict of Interest (Section 1-of Interest (Section 1-12)12) Voting body member shall disclose the Voting body member shall disclose the

conflict or potential conflictconflict or potential conflict State clearly for the public record if he State clearly for the public record if he

or she believes there is no conflict, or she believes there is no conflict, allowing him or her to vote or allowing him or her to vote or otherwise participateotherwise participate

Recuse himself or herself if he or she Recuse himself or herself if he or she determines that a conflict does existdetermines that a conflict does exist

For examples of possible conflict For examples of possible conflict situations, see Section 1-12 (d)situations, see Section 1-12 (d)


Outside EmploymentOutside Employment

Town employeesTown employees– Town employees may be self-employed or Town employees may be self-employed or

take occasional or part-time jobs if there is take occasional or part-time jobs if there is no conflict with working hours, employee’s no conflict with working hours, employee’s efficiency in his or her Town work, or with efficiency in his or her Town work, or with other interests of the Townother interests of the Town

– Administrative department heads, except Administrative department heads, except the Fire Chief, shall notify the First the Fire Chief, shall notify the First Selectman prior to creating, contracting Selectman prior to creating, contracting with, or being employed by any business with, or being employed by any business other than the Townother than the Town


Prohibited Abuses or Prohibited Abuses or Misuses of PositionMisuses of Position Town representatives shall notTown representatives shall not

– hold dual offices wherehold dual offices where one office is subordinate to the otherone office is subordinate to the other one office carries the power of removal of the one office carries the power of removal of the

otherother occupancy of both offices is prohibited by Town occupancy of both offices is prohibited by Town

Charter or provisions of lawCharter or provisions of law

– make an unauthorized policy statementmake an unauthorized policy statement– falsely represent his or her personal opinionfalsely represent his or her personal opinion– use official position to request privileges or use official position to request privileges or

avoid consequences of illegal actsavoid consequences of illegal acts


Prohibited Abuses or Prohibited Abuses or Misuses of Position Misuses of Position (Continued)(Continued) Town representatives shall notTown representatives shall not

– misuse Town fiscal or human misuse Town fiscal or human resources resources

– violate Town policies regarding violate Town policies regarding prizes and giftsprizes and gifts

– use official authority to influence the use official authority to influence the results of any election or solicit results of any election or solicit contributions from Town employees contributions from Town employees in connection with Town electionsin connection with Town elections


Candidates for Town Candidates for Town Representative Representative PositionsPositions No person seeking to become a No person seeking to become a

public official, employee or public official, employee or appointee to any position shall appointee to any position shall knowingly make any false statement knowingly make any false statement or in any manner commit fraud, or in any manner commit fraud, conceal wrongdoing or knowingly conceal wrongdoing or knowingly withhold information about withhold information about wrongdoing relative to the proposed wrongdoing relative to the proposed positionposition


Post Service ActivitiesPost Service Activities

No former Town employee shall, for No former Town employee shall, for compensation, during the 12 months compensation, during the 12 months following termination:following termination:– represent anyone other than the Town before the represent anyone other than the Town before the

department, agency, board, or commission on department, agency, board, or commission on which he or she served orwhich he or she served or

– act on behalf of any party other than the Townact on behalf of any party other than the Town No former Town representative shall:No former Town representative shall:

– use or continue to use any former official Town use or continue to use any former official Town title, business card, or stationary ortitle, business card, or stationary or

– disclose or use confidential information acquired disclose or use confidential information acquired through official duties for financial gain for himself through official duties for financial gain for himself or herself or for any other personor herself or for any other person


Duties and Powers of Duties and Powers of Ethics Commission Ethics Commission (Section 1-17)(Section 1-17) Adopt rules, administer oaths, conduct Adopt rules, administer oaths, conduct

hearings, submit an annual report, hearings, submit an annual report, conduct an annual review of operationsconduct an annual review of operations

Educate Town representatives and the Educate Town representatives and the public about rights, duties and public about rights, duties and obligations of this Ordinance and obligations of this Ordinance and arrange for annual training sessionsarrange for annual training sessions

Respond to requests for an advisory Respond to requests for an advisory ethics opinionethics opinion


Filing of Ethics Filing of Ethics ComplaintsComplaints Any person may file a written Complaint, Any person may file a written Complaint,

signed and sworn, with the Commission signed and sworn, with the Commission alleging a violation of this Ordinancealleging a violation of this Ordinance

Complaints shall be filed on a prescribed form Complaints shall be filed on a prescribed form under penalty of false statementunder penalty of false statement

– Complainant shall acknowledge that the allegations Complainant shall acknowledge that the allegations of the Complaint are confidential and any of the Complaint are confidential and any information supplied to or received from the information supplied to or received from the Commission shall not be disclosed to any third party Commission shall not be disclosed to any third party by the Complainant unless or until the Commission by the Complainant unless or until the Commission makes a finding of probable cause or the Respondent makes a finding of probable cause or the Respondent requests that the information be made publicrequests that the information be made public


Rules Applicable to Rules Applicable to Probable Cause Probable Cause ProceedingsProceedings All proceedings by the Commission All proceedings by the Commission

shall be confidentialshall be confidential No later than 7 business days after No later than 7 business days after

receipt of Complaint, the Commission receipt of Complaint, the Commission shall send a copy of the Complaint to shall send a copy of the Complaint to the Respondentthe Respondent– Within 30 days the Respondent may either Within 30 days the Respondent may either

request a meeting with the Commission or request a meeting with the Commission or submit a written and sworn statementsubmit a written and sworn statement


Proceedings to Proceedings to determine probable determine probable causecause

All evidence shall be made available to the Complainant and All evidence shall be made available to the Complainant and RespondentRespondent

Within 10 business days after the proceedings, the Within 10 business days after the proceedings, the Commission shall inform the Complainant and Respondent of Commission shall inform the Complainant and Respondent of its findingsits findings

If the Commission makes a finding of a lack of probable If the Commission makes a finding of a lack of probable cause, the Complaint and the entire record of the cause, the Complaint and the entire record of the investigation shall remain confidentialinvestigation shall remain confidential

If the Commission makes a finding of probable cause, If the Commission makes a finding of probable cause, the Complaint and the entire record of the investigation the Complaint and the entire record of the investigation shall be made public and the Commission shall shall be made public and the Commission shall immediately notify the First Selectmanimmediately notify the First Selectman


Proceedings Following Proceedings Following Finding of Probable Finding of Probable CauseCause The First Selectman has 14 calendar The First Selectman has 14 calendar

days to notify the Commission to defer days to notify the Commission to defer the hearing if:the hearing if:

a grievance or disciplinary process is underway a grievance or disciplinary process is underway as part of the Town’s collective bargaining as part of the Town’s collective bargaining agreement, oragreement, or

a complaint is pending with the CT Commission a complaint is pending with the CT Commission on Human Rights and Opportunities, oron Human Rights and Opportunities, or

a lawsuit is pending in state or federal courta lawsuit is pending in state or federal court

Lacking notification from the First Lacking notification from the First Selectman a hearing shall be scheduled Selectman a hearing shall be scheduled within 60 calendar dayswithin 60 calendar days


The HearingThe Hearing

Shall be open to the publicShall be open to the public Each party shall be afforded adequate Each party shall be afforded adequate

opportunity to bring witnesses, rebut and opportunity to bring witnesses, rebut and offer countervailing evidence, cross-examine offer countervailing evidence, cross-examine witnesses, and examine all documents and witnesses, and examine all documents and recordsrecords

Each party is entitled to counsel of his or her Each party is entitled to counsel of his or her choosingchoosing

The Commission shall have the power to The Commission shall have the power to compel the attendance of witnesses, issue compel the attendance of witnesses, issue subpoenas, and order testimony taken by subpoenas, and order testimony taken by depositiondeposition


The DecisionThe Decision

Decision shall be rendered within 30 Decision shall be rendered within 30 days after the hearingdays after the hearing

Possible actionPossible action– Refer the Complaint to any appropriate Refer the Complaint to any appropriate

authority for criminal investigation or authority for criminal investigation or prosecutionprosecution

– Refer the Complaint to any appropriate Refer the Complaint to any appropriate administrative authority for disciplinary or administrative authority for disciplinary or other suitable remedial actionother suitable remedial action

– Recommend to the Board of Selectmen Recommend to the Board of Selectmen that it order the Respondent to cease and that it order the Respondent to cease and desist the violation of this Ordinancedesist the violation of this Ordinance


Limitations on the Limitations on the Commission’s PowerCommission’s Power The Commission does not have The Commission does not have

the authority to reverse or modify the authority to reverse or modify a prior action of the Town but may a prior action of the Town but may advise the appropriate party that advise the appropriate party that an action should be reconsideredan action should be reconsidered

The Commission may request The Commission may request referral to the Town Attorney for referral to the Town Attorney for reviewreview


Statute of LimitationsStatute of Limitations

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


ConstructionConstruction

In the event of a conflict between In the event of a conflict between this Ordinance and any applicable this Ordinance and any applicable federal, state, or Town charter federal, state, or Town charter provision, the federal, state or provision, the federal, state or Town charter provision shall Town charter provision shall controlcontrol

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