1. Ethics 101 for State Employees 2011 www.ct.gov/ethics 860-263-2400 www.ct.gov/ethics 860-263-2400www.ct.gov/ethics

2. Ethics 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.

3. Workshop Objectives Introduce the Office of State EthicsIntroduce the Office of State Ethics Identify main points of the Code of Ethics and discuss new developmentsIdentify main points of the Code of Ethics and discuss new developments Review resources available to help you comply with the CodeReview resources available to help you comply with the Code

4. Office of State Ethics (OSE) Public Act 05-183Public Act 05-183  Created OSE  Effective July 1, 2005 Citizen’s Ethics Advisory BoardCitizen’s Ethics Advisory Board  9 appointed members  Monthly open meetings Connecticut General Statutes, Chapter 10, Parts I and II, limited Part IVConnecticut General Statutes, Chapter 10, Parts I and II, limited Part IV

5. Office of State Ethics (OSE) Educate Regulated CommunityEducate Regulated Community Provide Public InformationProvide Public Information Interpret and Apply the CodesInterpret and Apply the Codes Investigate Potential Violations, Prosecute ViolationsInvestigate Potential Violations, Prosecute Violations

6. The 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)  Certain provisions also apply to former public officials and employees  Lobbyists  Certain provisions apply to contractors What’s the point?What’s the point?  The law is intended to prevent individuals from using public position or authority for personal financial benefit.

7. Voting and Official Action Prohibited if official expects that he, she, spouse, child, associated business, will derive direct monetary gain (or suffer direct loss) as a result of that action Prohibited if official expects that he, she, spouse, child, associated business, will derive direct monetary gain (or suffer direct loss) as a result of that action OK if any resultant gain/loss is equal for any other member of the group affected OK if any resultant gain/loss is equal for any other member of the group affected

8. Reporting Violations Mandatory Reporters Mandatory Reporters  Commissioners  Deputy Commissioners  State Agency Heads and Deputy Heads  Quasi-public Agency Heads and Deputy Heads  Persons in charge of state agency procurement and contracting

9. Ethics at Work On the Job

10. Gifts - Definition A gift is:A gift is:  Anything of value  Directly and personally received  Unless consideration of equal or greater value

11. Gifts - Sources Restricted DonorsRestricted Donors  Registered lobbyists  Regulated by, doing or seeking to do business with agency  DAS “pre-qual” list Non-restricted, given by virtue of your positionNon-restricted, given by virtue of your position Non-restricted, giving not related to state serviceNon-restricted, giving not related to state service

12. Gifts – From Restricted Donors Any item of value; < $10 with annual aggregate < $50Any item of value; < $10 with annual aggregate < $50 Food and beverage; < $50 and person paying is in attendance Food and beverage; < $50 and person paying is in attendance $1,000 limit from registered lobbyist for “major life event”$1,000 limit from registered lobbyist for “major life event” No limit if gift from family memberNo limit if gift from family member Other gift exceptionsOther gift exceptions

13. Gifts to the State Goods and services provided to a state agency or quasi-public agency for use on state or quasi- public agency’s property or that support an event, and which facilitate state action or functionsGoods and services provided to a state agency or quasi-public agency for use on state or quasi- public agency’s property or that support an event, and which facilitate state action or functions

14. Conferences/Workshops Prohibited It is no longer permissible for a state agency to accept conference or workshop registration from restricted donorsIt is no longer permissible for a state agency to accept conference or workshop registration from restricted donors (certain costs for active participation at events may be reimbursed under necessary expenses)

15. Necessary Expenses No fees/honorariums for articles or speeches in official capacityNo fees/honorariums for articles or speeches in official capacity Necessary ExpensesNecessary Expenses TravelTravel LodgingLodging MealsMeals Related conference expensesRelated conference expenses

16. Gifts – From Non-restricted Donors If given by virtue of one’s state positionIf given by virtue of one’s state position  Any item of value; < $100 per year  All gift exceptions If not given by virtue of state serviceIf not given by virtue of state service  No limit

17. Gift Reporting - § 1-84 (o) Gift giving to public officials or state employees must be reported within 10 days by providing the gift recipient and the head of that individual’s department or agency a written report stating:Gift giving to public officials or state employees must be reported within 10 days by providing the gift recipient and the head of that individual’s department 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); andvalue of such item(s); and Total cumulative value of all items to date to the recipient during the calendar yearTotal cumulative value of all items to date to the recipient during the calendar year

18. Gifts – Summary Chart DonorsGiftsExceptions Restricted Don’t accept§1-79(e) 1-18 (lobbyists, vendors/contractors) Non-restricted, giving motivatedUp to $100 from §1-79(e) 1-18 by your positioneach source per year Non-restricted, giving not motivated by your positionNo ban, no limitsN/A

19. Gifts to Other Employees Gifts between Subordinates and Supervisors:Gifts between Subordinates and Supervisors: $99.99 limit per gift$99.99 limit per gift No pooling for group gifts except when there is a major life eventNo pooling for group gifts except when there is a major life event

20. Ethics After Hours Moonlighting

21. Outside Employment Precautions:Precautions:  Cannot impair public official’s or state employee’s independence of judgment  No disclosure of confidential information  No use of state time, materials or personnel Translation: employee may not accept outside employment with a business that can benefit from his or her state actionsTranslation: employee may not accept outside employment with a business that can benefit from his or her state actions

22. Outside Employment Note Working for an entity that represents others before 13 agencies below is not permitted: State Insurance and Risk ManagementDepartment of Motor Vehicles Board Claims CommissionerGaming Policy Board Office of Health Care AccessDivision of Special Revenue Insurance DepartmentConnecticut Real Estate Commission Department of Environmental ProtectionConnecticut Siting Council Department of Public Utility Control Department of Banking Department of Consumer Protection: Liquor Control

23. Leaving the State Retirement New Job

24. Revolving Door Disclosure of confidential information (lifetime)Disclosure of confidential information (lifetime) Ban on representation concerning matters in which public official or state employee participated (lifetime)Ban on representation concerning matters in which public official or state employee participated (lifetime)_________________________________ Representing others before former agency (1 yr.)Representing others before former agency (1 yr.) Contracts over $50,000 (1 yr.)Contracts over $50,000 (1 yr.)

25. Additional Provisions Other things to keep in mind…

26. Contracting with the State No contracts with the state valued at > $100No contracts with the state valued at > $100 Unless awarded through open, public processUnless awarded through open, public process Prohibition for agency headsProhibition for agency heads

27. Other Considerations Regulation UpdatesRegulation Updates Recent Advisory OpinionsRecent Advisory Opinions Individual state agencies may have more restrictive ethics policiesIndividual state agencies may have more restrictive ethics policies

28. Enforcement Upon a finding that there has been violation of Code or § 1-101nn, Board may order: 1.Cease and desist; 2.File any report or statement as required; and 3.Pay a civil penalty of no more than $10,000 for each violation

29. Enforcement  Confidentiality provisions and filing a complaint

30. OSE Resources  Web Site: www.ct.gov/ethics www.ct.gov/ethics  Phone: 860-263-2400  E-Mail: ose@ct.gov ose@ct.gov  Educational Outreach  Monthly Electronic Newsletter  Regular Monthly and Quarterly Sessions at OSE  Plain-language Guides and Materials  Online Training  DVD and Web-streaming Video

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