Advisory Opinion No. 1995-3
Business With
Which A DCF Employee Is Associated Entering
Into Contracts With Her Agency
Ms. Ann Tuller is an investigations worker for the Department of Children and Families (DCF). Her duties include investigating referrals regarding children who have been allegedly abused or neglected and determining what services are appropriate after assessing the risk to them. As a result of this assessment, certain of the children may be committed to the custody of DCF. Although the order for supervised visitation is not made by DCF, DCF treatment workers are generally responsible for arranging for supervised visitation between these children and their non-custodial parents.
As an officer of AMPS, Inc., it is a business with which Ms.
Tuller is associated for purposes of the Code of
Ethics for Public Officials, Chapter 10, Part I, Connecticut General
Statutes. Conn. Gen. Stat.
§1-79(b). In general, a state employee
may not accept outside employment which will impair independence of judgment as
to state duties or require or induce disclosure of confidential information
acquired in state service. Conn. Gen.
Stat. §1-84(b). A state employee may not
use her official position or confidential state information for personal
financial benefit for herself or a business with which she is associated. Conn. Gen. Stat. §1-84(c). Additionally, a state employee who, in the
discharge of her official duties, would be required to take an official action
that would affect a financial interest of hers, other than an interest of an
inconsequential nature, is required to provide formal notification to her
immediate superior, who will assign the matter to another. Conn. Gen. Stat. §1-86. With an exception not pertinent, a state
employee may not have any financial interest in, or engage in, any business or
professional activity if she has reason to believe or expect that she will
derive a direct monetary gain or suffer a direct monetary loss by reason of her
official activity. Conn. Gen. Stat.
§§1-84(a), 1-85. Consequently, Ms. Tuller may not
be paid privately to do what is otherwise expected of her in her state
position. Attorney McKenna has indicated
that by and large her duties with DCF do not overlap with those of her outside
business. Ms. Tuller
has stated that as an investigations worker, she does not supervise or arrange
supervised visits nor does she know of any such investigations workers who have
been so assigned. Attorney McKenna,
however, has indicated that on rare occasions she may be required to provide
supervised visitation. Therefore, she
may not refuse to do supervised visitations so that it may be referred to her
private business. She should also not be
in a position in which either she or a subordinate has to recommend whether or
not such visitation or training needs to be provided by an outside group. Conn. Gen. Stat. §1-86;
See e.g.,
Advisory Opinion No. 90-24, 52 Conn. L.J. No. 9, p. 5C ( Many of AMPS, Inc.s clients, however, may be the result of
referrals from co-workers at DCF.
Because of the potential for misuse of office, Ms. Tuller
should not accept such clients unless her co-workers refrain from making
referrals and, alternatively, furnish these individuals with a list of all
providers in the area who are available to provide the service. See In the Matter of a Request for a
Declaratory Ruling, Laurence L. Hannafin, et. al. Applicants, Furthermore, if Ms. Tuller, during
the course of performing her official responsibilities, has access to
confidential information which provides the names of individuals who could
benefit from the services of her private business, she may not use such
information to contact potential clients.
See In the Matter of a Request for a Declaratory Ruling, Bruce S.
Beck Applicant, Finally, under Conn. Gen. Stat. §1-84(i), any contract,
valued at $100 or more, between a state agency and a state employee or a
business with which she is associated, may only be awarded through an open and
public process, including prior public offer and subsequent public disclosure
of all proposals. The public process is
required so that contract selection may be reviewed by both unsuccessful
bidders and by the Auditors of Public Accounts.
It is designed to ensure public confidence in the selection process and
prevent the use of inside information not generally available to the public or
improper use of position for the financial benefit of oneself or ones
business. Advisory Opinion No. 84-11, 46
Therefore, any arrangement valued at $100 or more between
the state and AMPS, Inc. must be done through an open and public process. Ms. Tuller, of
course, may not be involved in the contract selection process of AMPS, Inc. or
its competitors. To satisfy this
requirement, DCF may maintain a list of consultants who have either responded
to periodic advertisements or who have otherwise expressed an interest in
seeking contract work with the State.
The list (as well as any information submitted to DCF) and the
consultant selected must be a matter of public record. See In the Matter of a Request for a
Declaratory Ruling, Attorney Mark Oland Applicant, As long as the above guidelines can be followed without affecting
Ms. Tullers state responsibilities and duties, Ms. Tuller may be associated with AMPS, Inc. By order of the Commission, Rev. William Sangiovanni
Chairperson