Guide to the Code of Ethics
for Public Officials and
State Employees
2007
Guide for Public Officials
INTRODUCTION
The Connecticut Office of State Ethics (OSE) is an independent regulatory agency for the
state of Connecticut, charged with administering and enforcing Connecticut General
Statutes, Chapter 10, Part I and Part II.
The Ethics Codes under the OSE’s jurisdiction are comprised of:
The Code of Ethics for Public Officials (Part I); and
The Code of Ethics for Lobbyists (Part II).
This guide provides general information only. The descriptions of the law and the OSE
are not intended to be exhaustive. Please contact the OSE with any questions regarding
interpretation of the law.
For more information on the subjects discussed in this guide, call, write or visit:
Connecticut Office of State Ethics
18-20 Trinity Street
Suite 205
Hartford, CT 06106
860/566-4472
www.ct.gov/ethics
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Guide for Public Officials
CONTENTS
Introduction 2
Office of State Ethics 4
The Big Picture 4
Benefits to State Personnel
Gifts 5
Necessary Expenses 7
Fees/Honorariums 8
Gifts Between State
Employees 9
Employment Restrictions
Post-state Employment 9
Outside Employment 10
Statements of Financial
Interests 12
Other Provisions
Reporting Requirements 12
Public Act 05-287 13
Ethics Compliance/Liaison
Officers 13
Additional Information 14
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Guide for Public Officials
THE OFFICE OF STATE ETHICS (OSE)
The Connecticut Office of State Ethics (OSE) was officially created on July 1, 2005, by
Public Act 05-183. The governing body of the OSE is the Citizen’s Ethics Advisory
Board (CEAB), nine members appointed by the Governor and legislative leadership. The
CEAB holds monthly meetings that are open to the public and that are often covered by
CT-N. A schedule of CEAB meeting dates, times and locations is available on the OSE’s
Web site, www.ct.gov/ethics.
The OSE is an independent watchdog agency for the state of Connecticut that administers
Connecticut General Statutes, Chapter 10, Parts I and II.
Simply put, the OSE educates all those covered by the law (the “regulated community”)
provides information to the public; interprets and applies the codes of ethics; and
investigates potential violations of the codes.
The OSE is made up of the following components:
Citizen’s Ethics Advisory Board
Executive Director
Legal Division
Enforcement Division
THE BIG PICTURE
All state officials and employees (except judges) are covered by Part I of the Code of
Ethics for Public Officials (henceforth, Part I, or the Code). It is important to remember
that certain provisions of the Code also apply to public officials and state employees after
they leave state service.
As you read through this guide, be aware that these laws were enacted to prevent
individuals from using their public position or authority for personal, financial benefit.
Each state agency also has its own ethics policy, which in many cases
may be more restrictive than what follows. Be sure to obtain a copy of
your agency’s policy.
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BENEFITS TO STATE PERSONNEL
Gifts
As a public official or state employee, there are rules in place regarding accepting gifts
from both regulated and non-regulated donors. In general, you may not accept gifts from
regulated donors.
Regulated Donors
Regulated donors include:
Registered lobbyists (the OSE can tell you who is registered);
Individuals or entities doing business with your state department or agency;
Individuals or entities seeking to do business with your state department or agency;
Individuals or entities engaged in activities regulated by your state department or
agency; or
Contractors pre-qualified by the Connecticut Department of Administrative Services
(Conn. Gen. Stat. § 4a-100).
A gift is defined as anything of value that you (or in certain circumstances a member of
your family) directly and personally receive unless you provide consideration of equal or
greater value (e.g., pay for the item). Conn. Gen. Stat. § 1-79 (e).
Gift Exceptions
There are, however, certain exceptions to this definition of gift. Not all exceptions are
covered below; see Conn. Gen. Stat. § 1-79 (e) (1) – (17) for the complete list.
Token Items – Regulated donors such as current or potential state contractors may
provide you with any item of value that is under $10 (such as a pen, mug, or
inexpensive baseball cap), provided that the annual aggregate of such items from
a single source is under $50. Conn. Gen. Stat. § 1-79 (e) (16).
Food and Beverage – Regulated donors may also provide you with up to $50
worth of food and beverage in a calendar year, provided that the regulated donor
or his/her representative is in attendance when you consume the food and/or
beverage. Conn. Gen. Stat. § 1-79 (e) (9).
Training (NEW) – Vendors may provide you with training for a product
purchased by a state or quasi-public agency provided such training is offered to
all customers of that vendor. Conn. Gen. Stat. § 1-79 (e) (17).
Gifts to the State (NEW) – Regulated donors may provide what are typically
referred to as “gifts to the state.” These gifts are goods and services provided to a
state agency or quasi-public agency for use on state or quasi-public agency
property or that support an event, and which facilitate state or quasi-public action
or functions. Conn. Gen. Stat. § 1-79 (e) (5).
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Other Exceptions – There are a total of 17 separate gift exceptions in the Code.
Also exempt from the definition of gift are items such as informational materials
germane to state action, ceremonial plaques or awards costing less than $100, or
promotional items, rebates or discounts also available to the general public. See
Conn. Gen. Stat. § 1-79 (e) (1) – (17).
Note: Registered lobbyists may make use of the oft-cited “major life event exception.”
Other regulated donors may not make use of this exception. There is no dollar limit on
an item a registered lobbyist gives to you or a member of your family for:
Birth or adoption of a child;
Wedding;
Funeral; or
Ceremony commemorating induction into religious adulthood (e.g., bar mitzvah
or confirmation).
This list of major life events is exhaustive.
Gift Provisions
Example: You are in the process of reviewing a bid for
work at your agency. The contractor submitting the bid
provides you with a gift certificate for $45 to a popular
West Hartford eatery for you to use on your own. You
have not previously received anything of value from this
individual.
Even though the certificate is under the permissible $50
food and beverage limit, this gift is not allowed because
the contractor or his/her representative will not be in
attendance while the food and beverage is being
consumed.
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Non-regulated Donors
Besides regulated donors outlined above, the law cites two other categories of individuals
or entities that may attempt to give you gifts. These other “gift-givers” include:
Non-regulated donors giving you something because of who you are in state
service – If a gift-giver does not fall within the definition of a regulated donor, but
is nonetheless giving you something because of your public position, you should
be aware that a dollar limit exists. From this type of donor, you may only accept
up to $100 annually from a single source.
Non-regulated donors giving you something that has nothing to do with your state
job – There is no limit as to what you may accept from a non-regulated donor,
such as your neighbor of 20 years or a best friend from kindergarten, who is
giving you a gift that has nothing to do with your public position. This holds true
as long as the donor remains non-regulated. Should this individual become a
registered lobbyist, for example, the gift provisions regarding regulated donors
would apply.
Necessary Expenses
You may receive compensation for necessary expenses only if you, in your official
capacity, actively participate in an event; for example by giving a speech or presentation,
or running a workshop.
Necessary expenses can include:
Travel (not first class);
Lodging (standard cost of room for the nights before, of, and immediately
following the event);
Meals; and
Related conference expenses.
Entertainment costs (tickets to sporting events, golf outings, night clubs, etc.) are not
necessary expenses. Necessary expense payments also do not include payment of
expenses for family members or other guests.
Within 30 days of receiving payment or reimbursement of necessary expenses for lodging
or out-of-state travel, as a state employee, you must file an ETH-NE form with the OSE.
Conn. Gen. Stat. § 1-84 (k).
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Guide for Public Officials
Fees/Honorariums
As a public official or state employee, you may not accept fees or
honorariums for an article, appearance, speech or participation at an
event in your official capacity.
Fees or honorariums for such activities, if offered based solely on your
expertise and without any regard to your official capacity, may be
acceptable. Contact the OSE if you are offered such payment. Conn.
Gen. Stat. § 1-84 (k).
Necessary Expenses, Fees and Honorariums
Example: You are invited to travel to New York City to give the keynote
address to a trade association at its annual meeting. You will be speaking in
your official capacity as a Connecticut state employee. The association
provides Amtrak fare for you and your spouse, who will spend the day in the
city. The evening of the speech, you and your spouse are treated by the event
organizer to a Broadway show in lieu of a speaking fee.
You may receive non-first class travel only if you are actively participating in
an event. In this case, you may only accept Amtrak fare for yourself, not
your spouse. Entertainment costs, such as tickets to a show, are not
considered necessary expenses and may not be accepted. Additionally, state
employees may not accept fees or honorariums for a speech given in their
official capacity.
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Guide for Public Officials
Gifts Between State Employees
Advisory Opinion No. 2006-6 interpreted Conn. Gen. Stat. § 1-84 (p), a recently-enacted
provision in the Code. This three-part provision limits gift-giving between certain
individuals in state service. Specifically:
The provision imposes a monetary limit of $99.99 for gifts between a public
official or state employee and his or her supervisor. This limit is a per-gift – not
a per-year – amount.
Individuals subject to this limit may still make use of the major-life-event
exception. In other words, supervisors and subordinates are not limited to $99.99
when giving gifts to each other for major life events.
The provision applies not only to direct supervisors and subordinates, but to any
individual up or down the chain of command.
In Advisory Opinion 2007-5, the Board concluded that supervisors and/or subordinates
may not pool their money to give a collective or group gift valued in excess of the $99.99
limit. Thus, except in the case of a major life event, it would be a violation for
Supervisor A to accept a gift valued at $150 from Subordinates X and Y (and for them to
give such a gift), even though the individual contributions of X and Y are less than the
$99.99 limit established in § 1-84 (p).
EMPLOYMENT RESTRICTIONS
Post-state Employment (Revolving Door)
If you are a former state employee seeking employment, you should be aware of the
Code’s post-state employment, or revolving-door, provisions.
Lifetime Bans
You may never disclose any confidential information you learned during the
course of your state service for anyone’s financial gain. Conn. Gen. Stat. § 1-84a.
You may never represent anyone other than the state regarding a particular matter
in which you were personally or substantially involved while in state service and
in which the state has a substantial interest. This prevents side-switching in the
midst of on-going state proceedings. Conn. Gen. Stat. § 1-84b (a).
One-year Bans
You may not represent your new employer for compensation
before your former agency for a period of one year after leaving
state service. Conn. Gen. Stat. § 1-84b (b). (See Advisory Opinion No.
2003-3, which provides a limited exception to this provision if you are
providing purely technical expertise; for example, to help implement a
previously-awarded contract. This exception applies to extremely limited
circumstances; contact the OSE for guidance.)
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Guide for Public Officials
You are prohibited from being hired for a period of one year after you leave state
service if you were substantially involved in, or supervised, the negotiation or
award of a state contract (that a prospective employer was a party to) valued at
$50,000 or more, and the contract was signed within your last year of state
service. Conn. Gen. Stat. § 1-84b (f).
Employees who held certain specifically-designated positions (with significant
decision-making or supervisory responsibility) at certain state regulatory agencies
are prohibited from seeking or accepting employment with any business subject to
regulation by the individual’s agency within one year of leaving the agency.
Note that there is an exception for ex-officio board or commission members.
Conn. Gen. Stat. § 1-84b (c).
Post-state Employment
Example: The head of a hospital regulated by the Office of Health Care
Access (OHCA) would like to offer a job to the former Commissioner of
OHCA, who has been out of state service for 5 months.
Because the hospital is regulated by a state agency whose Commissioner
is specifically designated in 1-84b (c), the former head of such agency
would not be permitted to accept employment with the company for one
full year after leaving state service. See Advisory Opinion No. 2003-19.
Outside Employment for Current Public Officials
and State Employees
If you are a current state employee seeking outside employment, especially from an
employer that is regulated by or does business with your agency, you should be aware of
the following rules regarding the employment of current state employees.
You may not accept outside employment that impairs your independence of
judgment regarding your state duties, or that encourages you to disclose
confidential information learned in your job. Conn. Gen. Stat. § 1-84 (b).
You may not use your position for financial gain, however inadvertent that use
may be. For example, a current state employee who exercises any contractual,
supervisory or regulatory authority over a prospective employer and/or business
may not be able to work for that employer. Conn. Gen. Stat. § 1-84 (c).
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Guide for Public Officials
You may not accept employment with an entity that represents others before the
following 13 agencies: State Insurance and Risk Management Board, Claims
Commissioner, Office of Health Care Access, Insurance Department, Department
of Environmental Protection, Department of Public Utility Control, Department of
Banking, Department of Consumer Protection: liquor control, Department of
Motor Vehicles, Gaming Policy Board, Division of Special Revenue, Connecticut
Real Estate Commission, Connecticut Siting Council. Conn. Gen. Stat. §1-84 (d).
Note: This provision does not apply to legislators.
You may not utilize state time, materials or personnel in completing tasks for
outside employment.
Other Considerations
Present or former Gaming Policy Board or Division of Special Revenue public officials
or employees should be aware of specific provisions relating to their involvement with
businesses engaged in Indian gaming activities. See Conn. Gen. Stat. §§ 1-84b (d) and
(e).
Outside Employment
Example: Your agency occasionally approves grants or
contracts from Business X. A particular contract manager with
your agency has been approached by Business X with an
employment possibility. This employee has expressed interest in
earning a little extra money for himself, while helping Business
X in the evenings and on weekends.
It would constitute an impermissible impairment of judgment for
the employee of your agency, who has contract management
responsibilities, to accept outside employment with Business X –
a business that receives grants or contracts from your agency.
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Guide for Public Officials
STATEMENTS OF FINANCIAL INTERESTS
Statements of Financial Interests
Each year, the Governor’s Office issues the standard that determines which public
officials and state employees must file a Statement of Financial Interests (SFI) with the
OSE. These statements include information such as names of all associated businesses,
income over $1,000 and a list of all real property as well as any creditors. These
examples are not exhaustive; refer to Conn. Gen. Stat. §1-83 (b) for a complete list.
The SFIs serve two purposes. First, the financial disclosure provides a checklist or
reminder to you to be mindful of potential conflicts of interest. Second, the statements
serve as a tool to maximize public confidence in governmental decision making.
In 2007, the Governor’s standard requires an SFI filing by individuals in the executive
branch and quasi-public agencies who:
Exercise significant policy-making, regulatory, or contractual authority;
Have significant decision-making and/or supervisory responsibility for the review
and/or award of state contracts;
Have significant decision-making and/or supervisory responsibility over staff that
monitors state contracts; and
All state employees and public officials who have responsibility for the review,
award, or monitoring of state contracts.
If your name appears on the list of filers, you are obligated by law to file. The OSE takes
enforcement action against delinquent filers.
OTHER PROVISIONS
Reporting Requirements
Should you receive anything of value from an entity doing business with, seeking to do
business with, or directly regulated by your department or agency, that entity must,
within 10 days, give you and the head of your department or agency a written report
stating:
Name of the donor;
Description of item(s) given;
Value of such item(s); and
Total cumulative value of all items to date given to
you by that donor during the calendar year.
This helps both you and the regulated donor keep track of the gift exceptions noted
above, so that permissible limits are not exceeded. Conn. Gen. Stat. § 1-84 (o).
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Public Act 05-287
Public Act 05-287 contains key changes to the Codes of Ethics. The most important
changes for public officials include:
Mandatory reporting requirements for certain agency heads who have “reasonable
cause to believe that a person has violated” the Codes of Ethics. Those agency
heads are now required to report that belief to the Office of State Ethics. (Note:
Ethics compliance officers and liaisons are not mandatory reporters.)
Codification of the prohibition of gift-giving between supervisors and
subordinates for gifts costing $100 or more. Conn. Gen. Stat. §1-84 (p). (See
page 9 of this guide.)
Appointments of ethics liaison officers within each state agency. Section 35 of
the Public Act codified this requirement as well as established certain roles and
responsibilities for the liaison officers. (See below.)
Ethics Compliance Officers and Ethics Liaisons
Ethics compliance officers must be appointed within each state agency and quasi-public
agency that deals with or plans large state contracts. The main responsibilities of a
compliance officer include developing an agency ethics policy as well as training agency
employees on the Code, paying attention to any changes in the law as well as provisions
specific to state contracting. Conn. Gen. Stat. §1-101rr (a).
Ethics liaisons must be appointed within each other state agency and quasi-public agency.
These officers serve as a link between the agency and the Office of State Ethics. Liaisons
are responsible for developing agency ethics policies as well as coordinating employee
training with the OSE. Conn. Gen. Stat. §1-101rr (b).
The OSE supports the responsibilities of the above officers by providing in-person
training, educational videos or training materials upon request. The OSE also sends a
monthly electronic newsletter to each officer that highlights new developments in the
law, summarizes new advisory opinions, includes handouts on complex areas of the law
and provides answers to frequently-asked questions. All such communications are
indexed on the OSE’s Web site, in the “Ethics Liaison/Compliance Officer Corner.”
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FOR MORE INFORMATION
This guide provides general information only. The descriptions of the law and the OSE
are not intended to be exhaustive. For more information regarding the Code of Ethics as
it pertains to public officials and state employees, please contact the Office of State
Ethics, Monday – Friday, 8:30 a.m. to 5:00 p.m.
Office of State Ethics
18-20 Trinity Street
Hartford, CT 06106-1660
T: 860/566-4472
F: 860/566-3806
www.ct.gov/ethics
Specific Contacts:
Questions or advice regarding the Ethics Codes: Ethics.Code@ct.gov
Lobbyist filing/reporting questions: lobbyist.OSE@ct.gov
Public official filing/reporting questions: SFI.OSE@ct.gov
Enforcement questions: Ethics.Enforcement@ct.gov
All other inquiries: ose@ct.gov
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Connecticut State University System
Ethics Statement
April 2006
PURPOSE:
It is important that members of the Board of Trustees of the Connecticut State University
System and all Connecticut State University System employees conduct themselves with
the highest degree of honor and integrity and understand that public service is a public
trust. Ethical conduct in our relationships with each other, members of the public, our
students, other state agencies, and private entities is of critical importance.
This Ethics Statement has been prepared pursuant to Section 1-83 of the Connecticut
General Statutes, which mandates the development and implementation of an Ethics
Statement by each state agency. It applies to the members of the Board of Trustees and to
all employees of the Connecticut State University System. This Statement is intended to
serve as a general guide to assist you in identifying and avoiding prohibited conduct. It
does not contain a complete listing of prohibited conduct nor is it intended to replace or
supersede the Code of Ethics for Public Officials (set forth in Chapter 10 of the
Connecticut General Statutes), other applicable sections of the Connecticut General
Statutes, or the regulations of the Office of State Ethics.
It is your responsibility to become familiar with the provisions of this Statement and
comply with them. It is also your responsibility to maintain high ethical standards and
alert your supervisor of any suspected violation of ethical standards, whether or not
specifically described in this Ethics Statement. You should be aware that violations may
result in the imposition of sanctions by agencies or systems external to the Connecticut
State University System. Whether this occurs or not, the System retains the right to
independently review and respond administratively to violations.
DEFINITIONS
1. A "business with which you are associated" means any sole proprietorship,
partnership, firm, corporation, trust or other entity through which business for profit
or not-for-profit is conducted in which you or a member of your immediate family
is a director, officer, owner, limited or general partner, beneficiary of a trust, or
holder of stock constituting five per cent (5%) or more of the total outstanding stock
of any class. Neither you nor a member of your immediate family will be deemed to
be associated with a not-for-profit entity solely by virtue of the fact that you or a
member of your immediate family is an unpaid director or officer of such entity.
The term "officer" refers only to the president, executive or senior vice president, or
treasurer of such business.
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2. A "gift" is defined as anything of value, which is directly and personally received,
unless consideration of equal or greater value is given in return. Among the sixteen
(16) exceptions to the definition of "gift" set forth in Section 1-79 of the
Connecticut General Statutes, a "gift" does not include:
(a) A certificate, plaque or other ceremonial award costing less than one hundred
dollars ($100.00);
(b) A rebate, discount or promotional item available to the general public (items
such as pencils, ball point pens, note pads and similar items used as
advertisement "give-aways" fall within this category);
(c) Food or beverage or both, costing less than fifty dollars ($50.00) in the
aggregate in a calendar year, and consumed on an occasion or occasions at
which the person paying, directly or indirectly, for your food or beverage, or
his representative, is in attendance;
(d) Admission to a charitable or civic event, including food and beverage
provided at such event (but excluding lodging or travel expenses), at which
you participate in your official capacity, provided such admission is provided
by the primary sponsoring entity; and
(e) Anything having a value of not more than ten dollars ($10.00), provided the
aggregate value of all things provided by a donor to you under this subsection
in a calendar year does not exceed fifty dollars ($50.00).
3. Your "immediate family" consists of your spouse, your children, and any dependent
relatives who reside in your household.
4. "Necessary expenses" are necessary travel expenses, lodging for the nights before,
of and after an appearance, speech or event, meals, and any related conference or
seminar registration fees.
5. A "person" means an individual, sole proprietorship, trust, corporation, limited
liability company, union, association, firm, partnership, committee, club or other
organization or group of persons.
6. You have an interest that is in "substantial conflict" with the proper discharge of
your duties as a public official or state employee if you have reason to believe or
expect that you, your spouse or dependent child, or a business with which you are
associated, will derive a direct monetary gain or suffer a direct monetary loss, by
reason of your official activity.
You do not have an interest which is in substantial conflict with the proper
discharge of your duties as a public official or state employee, if any such gain or
loss accrues to you, your spouse or dependent child, or a business with which you,
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your spouse or dependent child is associated, as a member of a profession,
occupation or group to no greater extent than any other member of such profession,
occupation or group.
1. You have a "potential conflict of interest" when you would be required to take an
action that would affect a financial interest of yours, your spouse, parent, brother,
sister, child or child's spouse, or of a business with which you are associated (other
than an interest of a de minimis nature), an interest that is not distinct from that of a
substantial segment of the general public, or an interest in substantial conflict with
the performance of your official duties.
PROHIBITED ACTIVITIES
As a public official or state employee you may not:
1. Knowingly accept any gift from any person who: (a) is known to be a registered
lobbyist or a lobbyist representative; (b) is doing business with or seeking to do
business with the System, your university or your department; (c) is engaged in
activities which are directly regulated by the System, your university or your
department; or (d) is a contractor pre-qualified under section 4a-100 of the
Connecticut General Statutes. (A list of registered lobbyists may be found on the
website maintained by the Office of State Ethics.) If an employee is offered a
benefit from someone whom is not a prohibited donor as described above (that is, a
non-regulated donor), and the benefit is offered because of the employee's position
with the System, the total value of benefits received from one source in a calendar
may not exceed $100.00.
2. Knowingly accept, directly or indirectly, any gift costing one hundred dollars
($100.00) or more either from a state employee under your supervision or from
your supervisor. Nor may you knowingly give such a gift. The prohibition against
accepting such gifts applies also to members of your immediate family.
3. Enter into a contract with the state, valued at one hundred dollars ($100.00) or more
(other than a contract of employment as a state employee), unless the contract has
been awarded through an open and public competitive process. This prohibition
applies also to members of your immediate family and businesses with which you
are associated. According to the Office of State Ethics, an immediate family
member may not be hired as an independent contractor through special payroll
unless there has been an open and public process.
4. Accept a fee or honorarium for an article, appearance, speech, or for participation at
an event in your official capacity. However, you may accept payment or
reimbursement for necessary expenses incurred for any such activity. If payment or
reimbursement is received for lodging or out-of-state travel or both, you must report
the payment or reimbursement to the Office of State Ethics within thirty (30) days
of receiving such payment or reimbursement, unless the payment or reimbursement
is provided by the federal government or another state government. You may also
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accept admission to, and food and beverages provided by the sponsor of, an in-state
event that you attend in your official capacity and as a principal speaker.
Generally, if you are asked to participate in an event, speak, appear or write an
article primarily as a result of your official position or authority, then it will be
deemed to be in your official capacity. If, however, you have developed an
academic expertise in a particular field and you are asked to participate in an event,
speak, appear or write an article as a result of such expertise, then you are not
prohibited from accepting a fee or honorarium. Note that these situations are very
fact specific and you are encouraged to contact the Office of State Ethics, as
necessary, for clarification and guidance. Note also that services for which
compensation is claimed must be provided on your own time.
5. Use your official position for personal financial benefit, or the financial benefit of a
family member or a business with which you, or a family member, are associated.
Further, you may not use state time, personnel or materials, including telephones,
computers, e-mail systems, fax machines, copy machines, state vehicles, and any
other state supplies, for personal, non-state related purposes. You may refer to the
System Office or your university's Computer Use Policy, as applicable, for
information relating to hardware and software use.
6. Engage in partisan political activities while on state time or use state funds,
supplies, materials, equipment, vehicles or facilities for such purposes.
CONFLICTS OF INTEREST
1. You may not have a financial interest or engage in a business or professional
activity that is in substantial conflict with the proper discharge of your duties as a
public official or state employee, nor may you take any official action in connection
with a matter in relation to which you have a substantial conflict.
2. You may not accept any other employment that will impair the independence of
your judgment in carrying out your official duties or induce you to disclose
confidential information acquired by you in the course of performing your official
duties. Accordingly, you should never accept employment with any consultant,
contractor, appraiser or any other organization or individual that has a contract or
other agreement with the Connecticut State University System or any System
university without full exploration of any potential conflicts of interest.
3. In accordance with the "CSU Policy Regarding Nepotism in Employment," you
should not play any role in hiring, promotion, demotion, or other personnel action
affecting your relative (defined to include your father, mother, son, daughter,
brother, sister, uncle, aunt, first cousin, nephew, niece, wife, husband, domestic
partner, grandmother, grandfather, grandson, granddaughter, father-in-law, mother-
in-law, sister-in-law, brother-in-law, stepfather, stepmother, stepson, stepdaughter,
stepbrother, stepsister, half-brother or half-sister), nor should you take any action,
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directly or indirectly, to coerce, command, or require a state employee to
improperly obtain an appointment for any individual to a position in state service.
You should be aware that your signing of certain documents may result in a
violation of the State Code of Ethics if such action results in a financial benefit
being received by a relative. Examples of such documents include personnel forms
(including performance appraisals) and vouchers. Caution should be exercised, so
that unintended violations do not occur.
4. You may not disclose, for financial gain, confidential information acquired by you
in the course of performing your official duties or use such information to obtain
financial gain for yourself, your spouse, your child, your child's spouse, your
parent, your sibling or for a business with which you are associated.
5. You may not solicit or accept anything of value (including a gift, loan or promise of
future employment) based on an understanding that your official action will be
influenced thereby.
PROCEDURE GOVERNING CONFLICTS OF INTEREST
If, in the discharge of your duties, you are required to take any action that would present
either a substantial or potential conflict of interest, you must prepare a written statement,
signed under penalty of false statement, describing the matter requiring action and the
nature of the conflict and deliver a copy of the statement to your immediate superior, who
will assign the matter to another employee, or, if you have no immediate superior, you
shall take such steps as the Office of State Ethics shall prescribe or advise. You may not
take any official action whatsoever on a matter with which you have a substantial conflict
of interest.
With regard to members of the Board of Trustees, the Chairman of the Board shall
determine whether a trustee with a substantial or potential conflict may simply recuse
him or herself from the proceeding in question, or if reassignment to another committee
is necessary. If the Chairman is personally faced with such a conflict, he or she should
deliver a written statement to the Office of State Ethics for guidance as to how to
proceed.
POST-EMPLOYMENT ACTIVITIES
The Code of Ethics for Public Officials contains several provisions regarding post-state
employment. Before leaving employment with the System, all employees should review
the applicable rules and, if necessary, seek guidance from the Office of State Ethics.
Once you have separated from state service, you may not:
1. Disclose or use confidential information acquired in the course of and by reason of
your official duties for financial gain for yourself or any other person. This is a
lifetime prohibition. "Confidential information" is any information not generally
Approved by BOT 6/9/06
CSUS Ethics Statement
Page 6 of 6
available to the public, and may be memorialized in any form (e.g., written,
photographic, tape recorded, etc.).
2. Represent any person in connection with any matter: (i) in which participated,
personally and substantially, while in state service; and (ii) in which the state has a
substantial interest.
3. For a period of one year after leaving state service, represent anyone before your
former agency, for compensation.
4. Accept employment with any person (including an individual, sole proprietorship,
corporation, limited liability company, partnership, association or any other
organization or group of persons) who was a party to a contract or agreement: (i)
valued at an amount of fifty thousand dollars ($50,000.00) or more; and (ii) in the
negotiation or award of which you substantially participated, for a period of one
year after resigning from state service, if your resignation occurs less than one year
after the contract or agreement was signed.
CODE OF ETHICS FOR PUBLIC OFFICIALS
The Code of Ethics for Public Officials is set forth in Chapter 10 of the Connecticut
General Statutes. Should you have a question regarding whether certain conduct
constitutes a violation of the Code of Ethics, you should consult with your immediate
supervisor, the Ethics Officer at your institution, or the Office of State Ethics. The Office
of State Ethics is located at 18-20 Trinity Street, Suite 205, Hartford, Connecticut 06106-
1660. The Office of State Ethics may be contacted by telephone at (860) 566-4472, by
facsimile at (860) 566-3806, and by e-mail at ose@ct.gov. The Office of State Ethics
maintains a website at "http://www.ct.gov/ethics."
REVIEW BY AUDIT COMMITTEE OF THE BOARD OF TRUSTEES
In accordance with its Charter, the Audit Committee of the Connecticut State University
System Board of Trustees will periodically review the administration of the conflict of
interest provisions set forth herein as well as the performance of Connecticut State
University System management and operating personnel under the Code of Ethics for
Public Officials. The Connecticut State University System Ethics Officer will apprise the
Audit Committee of issues arising under this Statement, including, to the extent permitted
by law, those matters reported to the Office of State Ethics.
May 10, 2006
Approved by BOT 6/9/06
4. Student Workers, Co-Op Students, Graduate Interns, Graduate
Assistants, University Assistants ( Revised 12/00)
4.1 Employment of Student Workers (BR#98-62)
The follow ing rules govern stud ent em ployment in the CSU
System :
A. 1) The stud ent m u st be m atriculated at one of the CSU System
universities and be currently enrolled in courses, or be enrolled in
the Intensive English Language Program at any of the universities.
2) In case of the System Office, the stud ent m ust be m atriculated at
a public institution of higher ed ucation in Connecticut w ith CSU
stud ents given first priority in hiring.
B. 1) The stud ent m ust not be on any State payroll other than the
stud ent em ployee payroll of the university and / or the System
Office of the Board of Trustees.
2) Em ploym ent of Intensive English Language Program non -
m atriculated stud ents w ill be fund ed internally through IELP
program fees charged by the em ploying university.
C. To be eligible for sum m er w ork the stud ent m ust have been
enrolled in the prior spring sem ester and certify in w riting an
intention to continue enrollm ent in the subsequent fall sem ester or
to com plete d egree requirem ents d uring one of the sum m er
sessions.
D. While spring and fall classes are in session a stud ent m ay w ork
no m ore than 40 hours per pay period , how ever, hours m ay be
increased to 40 hours per w eek d uring periods w hen there are no
classes.
E. The rules of the Fed eral College Work Stud y Program , or any
sim ilar Fed eral program shall prevail w hen in conflict w ith rules A -
D above.
F. In certain lim ited instances involving the sale of ad vertisem ents/
subsid ies for cam p us m ed ia or the setting of print/ type, stud ents
m ay be paid by com m ission or line inch respectively provid ed that
such paym ent is consistent w ith state and fed eral law . The specific
rates are d eterm ined by the university.
The rate structure shall be review ed at least once each fiscal year
and m ay be ad ju sted u pon approval of the CSU Chancellor w ith
notification to the Board for inform ational purposes.
Student and UA Pay Period Schedule
2008-2009
PP Begin Date PP End Date Approved by 12 PM Paid Date
70% 07-08
30% 08-09 06/20/08 07/03/08 07/07/08 07/18/08
07/04/08 07/17/08 07/21/08 08/01/08
07/18/08 07/31/08 08/04/08 08/15/08
08/01/08 08/14/08 08/18/08 08/29/08
08/15/08 08/28/08 09/01/08 09/12/08
08/29/08 09/11/08 09/15/08 09/26/08
09/12/08 09/25/08 09/29/08 10/10/08
09/26/08 10/09/08 10/13/08 10/24/08
10/10/08 10/23/08 10/27/08 11/07/08
10/24/08 11/06/08 11/10/08 11/21/08
11/07/08 11/20/08 11/24/08 12/05/08
11/21/08 12/04/08 12/08/08 12/19/08
12/05/08 12/18/08 12/22/08 01/02/09
12/19/08 01/01/09 01/05/09 01/16/09
01/02/09 01/15/09 01/19/09 01/30/09
01/16/09 01/29/09 02/02/09 02/13/09
01/30/09 02/12/09 02/16/09 02/27/09
02/13/09 02/26/09 03/02/09 03/13/09
02/27/09 03/12/09 03/16/09 03/27/09
03/13/09 03/26/09 03/30/09 04/10/09
03/27/09 04/09/09 04/13/09 04/24/09
04/10/09 04/23/09 04/27/09 05/08/09
04/24/09 05/07/09 05/11/09 05/22/09
05/08/09 05/21/09 05/25/09 06/05/09
05/22/09 06/04/09 06/08/09 06/19/09
06/05/09 06/18/09 06/22/09 07/03/09
80% 08-09
20% 09-10 06/19/09 07/02/09 07/06/09 07/17/09
Central Connecticut State University
Time Processing System (TPS)
Instructions for Student Workers,
Workstudy Students and University
Assistants
Updated 8/20/03
Introduction to the Time Processing System (TPS)
The Time Processing System (TPS) is a web-based time approval system, which utilizes
e-mail as the primary means of communication between you, the employee, and your
supervisor as well as the time sheet submittal process. It allows you to track your hours
worked for the pay period rather than clocking in and out each day. It is very important
that you keep accurate records of daily hours worked and submit your time sheet by the
due date in order to get paid for the pay period. Your time sheet must be submitted by
midnight on the last day of the pay period AND your supervisor must approve your
time sheet by noon on the Monday following the last day of the pay period in order
to be paid on time.
TPS is accessed through the main page of CentralPipeline. As a student worker, work
study employee, or university assistant, you MUST access your CentralPipeline account
and, if you are a student or work study employee you need to specify what e-mail address
TPS should use. Instructions for activating your CentralPipeline account and specifying
your preferred e-mail address are provided in a separate document (see your Supervisor
or locate the documentation online at http://www.finance.ccsu.edu/payroll/web.html).
You will receive an e-mail from the TPS Administrator containing your TPS username
and password. The first time you log into TPS with this username and password, you
will be prompted to change your password. Your new password must be 7 to 10
characters long – it can contain a combination of letters and numbers, but it CANNOT
contain spaces (Note: passwords are case-sensitive).
Accessing TPS
To access TPS:
1. Open your web browser (Internet Explorer is recommended)
2. Navigate to the CentralPipeline homepage at http://pipeline.ccsu.edu
3. Enter your campus network account username and password in the Secured
Access Login area, then click on OK
4. From the My Pipeline page (the main CentralPipeline
page), click on the Student/UA Time Processing
System link located under Employee Web Applications
5. When prompted, enter your TPS username and
password
a. The first time you log in to the system you will
be prompted to change your password. Enter a new password in both the
New Password and the Confirm Password
fields, then click on the Submit button. You
will receive a notice stating that your new
password will be active the next time you log on
(Note: your new password may take up to 15
minutes to become active)
b. After changing your password, you will receive a
Password Changed confirmation screen. Click on
the word “here” to go to the TPS home page.
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6. After logging in (and changing your password if necessary) you will be brought to
the TPS Main Menu
Creating a New Time Sheet for the Pay Period
To create a new time sheet in TPS:
1. From the TPS Main Menu, click on either of the New Time Sheet links
2. Select the Pay Period ending date from the
End Date drop-down menu, then click on
Continue
3. In the Hours column, enter the total number of
hours worked for each day. For partial hours
use the following:
.25 = 15 Minutes
.50 = 30 Minutes
.75 = 45 Minutes
The system will only let you enter a maximum of 10 hours per day and will not let
you exceed the total number of hours allowed for the pay period. If you worked
more than 10 hours on a particular day, you must enter your time as 10 hours and
enter a comment for your supervisor with the total number of hours worked for
the day.
Do not leave the total number of hours blank – if you did not work on a particular
day, leave the total number of hours at 0.
4. In the Comments field, enter any comments that you would like to send to your
supervisor regarding the hours worked for the pay period.
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5. Click on one of the following buttons to process your time sheet:
Save As Draft – to save what you have entered on the time sheet so far. Allows
you to edit the time sheet at any time during the pay period before you actually
submit it to your supervisor.
Submit – to submit your FINAL time sheet to your supervisor. Once you have
submitted your time sheet, you cannot make any changes to it. Do not submit
your time sheet until the end of the pay period (or the last day you are working for
the pay period).
Delete this Time Sheet – to delete the time sheet completely (this cannot be
undone). You will be able to complete a new time sheet for this pay period if
necessary.
6. Once you have processed your time sheet, you will see a verification screen.
From the verification screen, you can either click on the Return to the Main Menu
link to return to the TPS Main Menu (you will need to log in again) or you can
close your web browser to log out of TPS. If you have submitted your time sheet,
your supervisor will automatically receive an e-mail informing them that your
time sheet is ready to be approved.
Save as Draft Verification: Submit Verification:
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TPS Main Menu
The TPS Main Menu contains a listing of time sheets that you have submitted or have
saved as a draft. If the time sheet was saved as a draft, the status will read “Draft” and
you may continue processing it at any time during the pay period. If the time sheet has
been submitted, the status will read “Pending” and you may retrieve it to see what you
submitted, but you cannot make any edits to it. If the time sheet has been approved by
your supervisor, the status will read “Approved” and you may retrieve it to see what the
supervisor approved. To retrieve a time sheet, click on the Time Sheet link next to the
time sheet you would like to retrieve.
Submitted Time sheets
Once you submit your time sheet to your supervisor, they will automatically receive an
e-mail informing them that your time sheet is ready for approval. If there are any
changes that need to be made to your time sheet, your supervisor will make the necessary
changes and you will receive an e-mail notifying you of the changes that were made.
Logging out of TPS
To log out of TPS, you must close your web browser window. It is very important that
you close out of the web browser when you are done using TPS because navigating to
another web site does not log you out of the system.
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