Public Officials guide 10 - Connecticut

1 guide to the Code of Ethicsfor Public OfficialsandState Employees2010 guide for Public Officials2 INTRODUCTIONThe Connecticut Office of State Ethics (OSE) is an independent regulatory agency for thestate of Connecticut , charged with administering and enforcing the Connecticut Codes ofEthics, located intheConnecticut General Statutes, Chapter Ethics Codes under the OSE s jurisdiction are comprised of: The Code of Ethics for Public Officials (Part I); The Code ofEthics for Lobbyists (Part II); and Limited jurisdiction over Ethical Considerations Concerning Bidding and StateContracts (Part IV).This guide provides general information only. The descriptions of the law and the OSEin this guideare not intended to be exhaustive. Pleasereview the Advisory Opinions andDeclaratory Rulings on our website andcontact theLegal Division of theOSE with anyquestions regarding interpretation of the more information on the subjects discussed in this guide , call, write or visit:ConnecticutOffice of State Ethics18-20 Trinity StreetSuite 205 Hartford, CT 06106860 s Ethics Advisory Board:G.

2 Kenneth Bernhard, Chairperson(through September 2011)Thomas H. Dooley, Vice Chairperson(through September 2012)Ernest Abate(through September 2011)G. Kenneth Bernhard(through September 2011)Kathleen F. Bornhorst(through September 2012)Rebecca M. Doty(through September 2011)General David Gay (ret.)(through September 2013)Dennis Riley(throughSeptember 2013)Winthrop Smith, Jr.(through September 2013)Shawn T. Wooden(through September 2013) guide for Public Officials3 CONTENTSI ntroduction2 Office of State Ethics4 The Big Picture4 Benefits to State PersonnelGifts5 Necessary Expenses7 Fees/Honorariums8 Gifts BetweenStateEmployees9 Employment RestrictionsPost-state Employment9 Outside Employment10 Statements of FinancialInterests12 Other ProvisionsReporting Requirements12 Mandatory Reporters13 Ethics Compliance/LiaisonOfficers13 EnforcementProcedures and Penalties14 Additional Information15 guide for Public Officials4 THE OFFICE OF STATE ETHICS (OSE)The Connecticut Office of State Ethics (OSE) was officially created on July 1, 2005, byPublic Act 05-183.

3 The governing body of the OSE is the Citizen s Ethics AdvisoryBoard (CEAB), nine members appointed by the Governor and legislative leadership. TheCEAB holds monthly meetings that are open to the Public and that are often covered byCT-N. A schedule of CEAB meeting dates, times and locations is available on the OSE sWeb site, OSE is an independent watchdog agency for the state of Connecticut that administersConnecticut General Statutes, Chapter 10, Parts I and II, with limited jurisdiction overPart put, the OSEeducatesall those covered by the law (the regulated community )providesinformationto the Public ;interpretsandappliesthe codes of ethics;andinvestigatespotential violations, and otherwiseenforcesthe OSE is made up of the following components: Citizen s Ethics Advisory Board Executive Director Legal Division Enforcement DivisionTHE BIG PICTUREAll state Officials and employees (except judges) are covered by Part I of the Code ofEthics for Public Officials (henceforth, Part I, or the Code).

4 It is important to rememberthat certain provisions of the Code also apply to Public Officials and state employees afterthey leave state you read through this guide , be aware that these laws were enacted to preventindividuals from using their Public position or authority for personal, financial state agency also has its own ethics policy, which in many casesmay be more restrictive than what follows. Be sure to obtain a copy ofyour agency s for Public Officials5 BENEFITSPROVIDEDTO STATE PERSONNELG iftsAs a Public official or state employee, there are rules in place regarding accepting giftsfrom both restrictedand non-restricteddonors. In general, you may not accept gifts include: Registered lobbyists (a list is available on the OSE s Web site) or a lobbyist srepresentative; Individuals orentitiesdoing business with your state department or agency; Individuals orentitiesseeking to do business with your state department or agency; Individuals orentitiesengaged in activities regulated by your state department oragency; or Contractors pre-qualified by the Connecticut Department of Administrative Services(Conn.)

5 Gen. Stat. 4a-100).Agiftis defined as anything of value that you (or in certain circumstances a member ofyour family) directly and personally receiveunlessyou provide consideration of equal orgreater value( , pay for the item). Conn. Gen. Stat. 1-79 (e).Gift ExceptionsThere are, however, certain exceptions to this definition of gift. Not all exceptions arecovered below; see Conn. Gen. Stat. 1-79 (e) (1) (17) for the complete list. Token Items Restricteddonors such asregistered lobbyistsmay provide youwith any item of value that isnot more than$10 (such as a pen, mug, orinexpensive baseball cap), provided that the annual aggregate of such items froma single source is $50or less. Conn. Gen. Stat. 1-79 (e) (16). Food and Beverage Restricteddonors mayalsoprovide you withless than$50worth of food and beverage in a calendar year, provided that the restricteddonoror his/her representative is in attendance whenyou consume thefood and/orbeverage. Conn. Gen. Stat. 1-79 (e) (9). Training Vendors may provide you with training for a product purchased by astate or quasi- Public agency provided such training is offered to all customers ofthat Gen.

6 Stat. 1-79 (e) (17). Gifts to the State Restricteddonors may providewhat are typically referred to as gifts to the state. These gifts are goods and services provided to a state agencyor quasi- Public agency for use on state or quasi- Public agency property or thatsupport an event, and which facilitate state or quasi- Public action or Gen. Stat. 1-79 (e) (5). guide for Public Officials6 Other Exceptions There are a total of 17 separate gift exceptions in the exempt from thedefinition of gift are items such as informational materialsgermane to state action, ceremonial plaques or awards costing less than $100, orpromotional items, rebates or discounts also available to the general Gen. Stat. 1-79 (e) (1) (17).Note:Registered lobbyistsare the only restricted donors who may make use of the major life event gift restricteddonorsmay notmake use of thisexception. There isa $1,000limit on agifta registered lobbyist gives toyou or amember of your family forthe following major life events: Birth or adoption of a child; Wedding; Funeral; Ceremony commemorating induction into religious adulthood ( , bar mitzvahor confirmation); or Retirement from state list of major life events is , Conn.

7 State Agencies ProvisionsExample:You are in the process of reviewing a bidforwork atyour agency. The contractor submitting the bidprovides you with a gift certificate for $45 to a popularWest Hartford eatery foryou to use on yourown. Youhave not previously received anything of value from though the certificate is under the permissible $50food and beverage limit, this gift is not allowed becausethe contractor orhis/herrepresentative will not be inattendance while the food and beverage is for Public Officials7 Non-restrictedDonorsBesides restricteddonors outlined above, the law cites two other categories of individualsor entities that may attempt to give you gifts. These other gift-givers include: Non-restricteddonors giving you something because of who you are in stateservice If a gift-giver does not fall within the definition of a restricteddonor, butis nonetheless giving you something because of your Public position, you shouldbe aware thata dollar limit exists. From this type of donor, you may only acceptup to $100 annually from a single source, in addition to any of the items listed inthe 17 gift exceptions noted above and set forth in Conn.

8 Gen. Stat. 1-79 (e) (1) (17). Non-restricteddonors giving you something that has nothing to do with your statejob There is no limit as to what you may accept from a non-restricteddonor,such as your neighbor of 20 years or a best friend from kindergarten, who isgiving you a gift that has nothing to do with your Public position. This holdstrueas long as thedonorremains non-restricted. Should this individual become aregistered lobbyist, for example, the gift provisions regarding restricted donorswould apply, regardless of any longstanding personal ExpensesYou may receivepayment or reimbursementfor necessary expensesfrom a restricteddonoronlyif you, in your official capacity, actively participate in anevent;for exampleby giving a speech or presentation, or running a expensesare limited to: Travel (coach or economyclass); Lodging (standard cost of room for the nights before, of, and immediatelyfollowing the event); Meals; and Related conference Gen. Stat. 1-79 (9).Entertainment costs (tickets to sporting events, golf outings, night clubs, etc.)

9 Arenotnecessary expenses. Necessary expense payments alsodo notinclude payment ofexpenses for family membersor other 30 days of receiving payment or reimbursement of necessary expenses for lodgingor out-of-state travel, as a state employeeor Public official, you must file an ETH-NEformwith the OSE. Conn. Gen. Stat. 1-84 (k).A new, onlineform is available on theOSE s Web site for your form is not required if your necessaryexpenses were paid by the federal government or by another state for Public Officials8 Fees/HonorariumsAs a Public official or state employee, you maynotaccept fees orhonorariums for an article, appearance, speech or participation at anevent in your official capacity or if your state position or authority wasa significant factor in the decision to extend the or honorariums for suchactivities, if offered based solely on yourexpertise and without any regard to your official capacity, may beacceptable. Contact the OSE if you are offered such Gen. Stat. 1-84(k).

10 Necessary Expenses, Fees and HonorariumsExample: Youare invitedto travel to New York City to givethe keynoteaddressto a trade association at its annual meeting. You will be speaking inyour official capacity as a Connecticut state employee. The associationprovidesAmtrak fare foryou and your spouse, who will spend the day in thecity. The evening of the speech, youand your spouse are treated by the eventorganizerto a Broadway show in lieu of a speaking mayreceivecoachclass travelonly if you areactively participating inan event. In this case, you may onlyacceptAmtrak fare foryourself, notyourspouse. Entertainment costs, such as tickets to a show, are notconsidered necessaryexpenses and may not be accepted. Additionally, stateemployees may not accept fees or honorariums for a speech given in theirofficialcapacity. Because your trip involves out-of-state travel, you must filean ETH-NE form with the OSE within 30 days of receiving for Public Officials9 GiftsBetweenState EmployeesAdvisory Opinion No.