Ethics 101Ethics 101 for State Employees for State Employees

20112011 www.ct.gov/ethics 860-263-2400860-263-2400

Ethics in Government TodayEthics in Government Today

No responsibility of Government is more fundamental than the responsibility for maintaining the highest standards of ethical behavior by those who conduct the public business. There can be no dissent from the principle that all officials must act with unwavering integrity, absolute impartiality, and complete devotion to the public interest. This principle must be followed not only in reality but in appearance. For the basis of effective government is public confidence, and that confidence is endangered when ethical standards falter or appear to falter.

President John F. Kennedy, April 27, 1961.

Workshop ObjectivesWorkshop Objectives

• Introduce the Office of State Introduce the Office of State EthicsEthics

• Identify main points of the Code Identify main points of the Code of Ethics and discuss new of Ethics and discuss new developmentsdevelopments

• Review resources available to help Review resources available to help you comply with the Codeyou comply with the Code

Office of State Ethics Office of State Ethics (OSE)(OSE)

• Public Act 05-183Public Act 05-183

Created OSECreated OSE

Effective July 1, 2005Effective July 1, 2005

• Citizen’s Ethics Advisory BoardCitizen’s Ethics Advisory Board

9 appointed members9 appointed members

Monthly open meetingsMonthly open meetings

• Connecticut General Statutes, Chapter 10, Connecticut General Statutes, Chapter 10, Parts I and II, limited Part IVParts I and II, limited Part IV

Office of State Ethics Office of State Ethics (OSE)(OSE)

• Educate Regulated CommunityEducate Regulated Community

• Provide Public InformationProvide Public Information

• Interpret and Apply the CodesInterpret and Apply the Codes

• Investigate Potential Violations, Investigate Potential Violations, Prosecute ViolationsProsecute Violations

The Big PictureThe Big Picture• Who is covered by the Codes of Ethics?Who is covered by the Codes of Ethics?

All state officials and employees (except judges)All state officials and employees (except judges) Certain provisions also apply to Certain provisions also apply to formerformer public public

officials and employeesofficials and employees LobbyistsLobbyists Certain provisions apply to contractors Certain provisions apply to contractors

• What’s the point?What’s the point? The law is intended to prevent individuals The law is intended to prevent individuals

from using public position or authority for from using public position or authority for personal financial benefit.personal financial benefit.

Voting and Official ActionVoting and Official Action

• Prohibited if official expects that he, she, spouse, Prohibited if official expects that he, she, spouse, child, associated business, will derive direct monetary child, associated business, will derive direct monetary gain (or suffer direct loss) as a result of that actiongain (or suffer direct loss) as a result of that action

• OK if any resultant gain/loss is equal for any other OK if any resultant gain/loss is equal for any other member of the group affectedmember of the group affected

Reporting ViolationsReporting Violations

• Mandatory ReportersMandatory Reporters CommissionersCommissioners

Deputy CommissionersDeputy Commissioners

State Agency Heads and Deputy HeadsState Agency Heads and Deputy Heads

Quasi-public Agency Heads and Deputy Quasi-public Agency Heads and Deputy HeadsHeads

Persons in charge of state agency Persons in charge of state agency procurement and contractingprocurement and contracting

Ethics at WorkEthics at Work

On the JobOn the Job

Gifts - DefinitionGifts - Definition

• A gift is:A gift is:

Anything of valueAnything of value

Directly and personally receivedDirectly and personally received

UnlessUnless consideration of equal consideration of equal or or greater valuegreater value

Gifts - SourcesGifts - Sources

• Restricted DonorsRestricted Donors Registered lobbyistsRegistered lobbyists

Regulated by, doing or seeking to do business Regulated by, doing or seeking to do business with agency with agency

DAS “pre-qual” listDAS “pre-qual” list

• Non-restricted, given by virtue of your Non-restricted, given by virtue of your positionposition

• Non-restricted, giving not related to state Non-restricted, giving not related to state serviceservice

Gifts – From Restricted DonorsGifts – From Restricted Donors

• Any item of value; < $10 with annual Any item of value; < $10 with annual aggregate < $50aggregate < $50

• Food and beverage; < $50 and personFood and beverage; < $50 and person paying is in attendance paying is in attendance

• $1,000 limit$1,000 limit from registered lobbyist for from registered lobbyist for “major life event” “major life event”

• No limit if gift from family memberNo limit if gift from family member

• Other gift exceptionsOther gift exceptions

Gifts to the State Gifts to the State

• Goods and services provided to a Goods and services provided to a state agency or quasi-public state agency or quasi-public agency for use on state or quasi-agency for use on state or quasi-public agency’s property or that public agency’s property or that support an event, and which support an event, and which facilitate state action or functionsfacilitate state action or functions

Conferences/Workshops ProhibitedConferences/Workshops Prohibited

• It is no longer permissible for a state It is no longer permissible for a state agency to accept conference or agency to accept conference or workshop registration from restricted workshop registration from restricted donorsdonors

(certain costs for active participation at (certain costs for active participation at events may be reimbursed under events may be reimbursed under necessary expenses)necessary expenses)

Necessary ExpensesNecessary Expenses

• No fees/honorariums for articles or No fees/honorariums for articles or speeches in official capacityspeeches in official capacity

• Necessary ExpensesNecessary Expenses• Travel Travel

• LodgingLodging

• MealsMeals

• Related conference expensesRelated conference expenses

Gifts – From Non-restricted DonorsGifts – From Non-restricted Donors

• If given by virtue of one’s state position If given by virtue of one’s state position

Any item of value; < $100 per yearAny item of value; < $100 per year

All gift exceptionsAll gift exceptions

• If not given by virtue of state serviceIf not given by virtue of state service

No limitNo limit

Gift Reporting - Gift Reporting - § 1-84 (o)§ 1-84 (o)

• Gift giving to public officials or state employees must Gift giving to public officials or state employees must be reported within 10 days by providing the gift be reported within 10 days by providing the gift recipient and the head of that individual’s department recipient and the head of that individual’s department or agency a written report stating:or agency a written report stating:• name of the donor;name of the donor;

• description of item(s) given;description of item(s) given;

• value of such item(s); and value of such item(s); and

• Total cumulative value of all items to date to the recipient Total cumulative value of all items to date to the recipient during the calendar yearduring the calendar year

Gifts – Summary ChartGifts – Summary Chart

Donors Gifts Exceptions

Restricted Don’t accept §1-79(e) 1-18(lobbyists, vendors/contractors)

Non-restricted, giving motivated Up to $100 from §1-79(e) 1-18by your position each source per year

Non-restricted, giving not motivated by your position No ban, no limits N/A

Gifts to Other EmployeesGifts to Other Employees

• Gifts between Subordinates and Gifts between Subordinates and Supervisors:Supervisors:

• $99.99 limit per gift$99.99 limit per gift

• No pooling for group gifts No pooling for group gifts exceptexcept when there is a major life eventwhen there is a major life event

Ethics After HoursEthics After Hours

MoonlightingMoonlighting

Outside EmploymentOutside Employment

• Precautions:Precautions:

Cannot impair public official’s or state Cannot impair public official’s or state employee’s independence of judgmentemployee’s independence of judgment

No disclosure of confidential informationNo disclosure of confidential information

No use of state time, materials or personnelNo use of state time, materials or personnel

• Translation: employee may not accept outside Translation: employee may not accept outside employment with a business that can benefit employment with a business that can benefit from his or her state actionsfrom his or her state actions

Outside Employment NoteOutside Employment Note

Working for an entity that represents others before Working for an entity that represents others before 13 agencies below is not permitted:13 agencies below is not permitted:

State Insurance and Risk ManagementState Insurance and Risk Management Department of Motor Vehicles Department of Motor Vehicles BoardBoard

Claims CommissionerClaims Commissioner Gaming Policy BoardGaming Policy Board

Office of Health Care AccessOffice of Health Care Access Division of Special RevenueDivision of Special Revenue

Insurance DepartmentInsurance Department Connecticut Real Estate Connecticut Real Estate CommissionCommission

Department of Environmental ProtectionDepartment of Environmental Protection Connecticut Siting CouncilConnecticut Siting Council

Department of Public Utility ControlDepartment of Public Utility Control

Department of BankingDepartment of Banking

Department of Consumer Protection:Department of Consumer Protection:Liquor ControlLiquor Control

Leaving the StateLeaving the State

RetirementRetirement

New JobNew Job

Revolving DoorRevolving Door

• Disclosure of confidential information (lifetime)Disclosure of confidential information (lifetime)

• Ban on representation concerning matters in Ban on representation concerning matters in which public official or state employee which public official or state employee participated (lifetime)participated (lifetime)

__________________________________________________________________

• Representing others before former agency Representing others before former agency (1 yr.)(1 yr.)

• Contracts over $50,000 (1 yr.)Contracts over $50,000 (1 yr.)

Additional ProvisionsAdditional Provisions

Other things to keep in mind…Other things to keep in mind…

Contracting with the StateContracting with the State

• No contracts with the state No contracts with the state valued at > $100valued at > $100

• UnlessUnless awarded through open, awarded through open, public processpublic process

• Prohibition for agency headsProhibition for agency heads

Other ConsiderationsOther Considerations

• Regulation UpdatesRegulation Updates

• Recent Advisory OpinionsRecent Advisory Opinions

• Individual state agencies may have more Individual state agencies may have more restrictive ethics policies restrictive ethics policies

Enforcement Enforcement

Upon a finding that there has been violation Upon a finding that there has been violation of Code or of Code or § 1-101nn, Board may order:§ 1-101nn, Board may order:

1.1. Cease and desist;Cease and desist;

2.2. File any report or statement as required; and File any report or statement as required; and

3.3. Pay a civil penalty of no more than $10,000 Pay a civil penalty of no more than $10,000 for each violationfor each violation

Enforcement Enforcement

Confidentiality provisions and filing a Confidentiality provisions and filing a complaintcomplaint

OSE ResourcesOSE Resources

Web Site: Web Site: www.ct.gov/ethics Phone: 860-263-2400Phone: 860-263-2400 E-Mail: E-Mail: ose@ct.gov Educational OutreachEducational Outreach

Monthly Electronic NewsletterMonthly Electronic Newsletter Regular Monthly and Quarterly Sessions at Regular Monthly and Quarterly Sessions at

OSEOSE Plain-language Guides and MaterialsPlain-language Guides and Materials Online TrainingOnline Training DVD and Web-streaming VideoDVD and Web-streaming Video

RecapRecap

““Whenever you do a thing…ask Whenever you do a thing…ask yourself how you would act were yourself how you would act were all the world looking at you, and all the world looking at you, and act accordingly.”act accordingly.”

--Thomas --Thomas JeffersonJefferson