History: P.A. 83-586, S. 6, effective January 7, 1987; P.A. 86-250 added Subsec. (e) permitting adoption of regulations
to implement provisions of Subsec. (c) prior to January 7, 1987; (Revisor's note: Pursuant to P.A. 87-9, "banking department" was changed editorially by the Revisors to "department of banking"); P.A. 88-22 substituted in Subsec. (c) the office
of consumer counsel for the division of consumer counsel; P.A. 88-225 applied provisions of Subsec. (b) to quasi-public
agency public officials and state employees, inserted new Subsec. (e) re employment prohibition for certain members and
directors of quasi-public agencies, relettered former Subsec. (e) as Subsec. (f) and added Subsec. (g) providing that Subsecs.
(a), (b) and (d) shall not apply to any quasi-public agency employee leaving agency before July 1, 1989; Nov. Sp. Sess.
P.A. 94-1 amended Subsec. (b) to exempt from the prohibition of this subsection attorneys who are former employees of
the division of criminal justice, "with respect to any representation of a criminal defendant in a matter under the jurisdiction
of a court", effective December 13, 1994; P.A. 95-144 amended Subsec. (b) by applying exception from its provisions for
attorneys to any representation in a court matter, instead of to any representation "of a criminal defendant" in a court matter,
effective July 1, 1995; P.A. 95-195 amended Subsec. (b) to substitute Department of Consumer Protection for Department
of Liquor Control, effective July 1, 1995; P.A. 95-257 amended Subsec. (c) to replace Commission on Hospitals and Health
Care with Office of Health Care Access, effective July 1, 1995; P.A. 96-156 inserted Subdiv. and Subpara. designations
in Subsec. (d) and applied its provisions to persons participating in the approval of a payroll deduction slot; June 18 Sp.
Sess. P.A. 97-6 amended Subsec. (c) to add the Department of Public Safety, inserted new Subsec. (d) re applicability of
Subsec. (e) and inserted new Subsec. (e) to prohibit certain public officials and state employees from employment with
entities engaged in Indian gaming operations and to prohibit such employment for a period of two years after leaving
certain state agencies, relettering prior Subsecs. accordingly, effective July 1, 1997; June Sp. Sess. P.A. 98-1 amended
Subsec. (f) by substituting "3-123g" for "3-123", effective June 24, 1998; P.A. 00-43 added Subsec. (j) re Treasurer's
employment with parties to certain investment services contracts, effective May 3, 2000; P.A. 00-66 changed a subsection
reference in Subsec. (d); June 30 Sp. Sess. P.A. 03-6 and P.A. 04-169 replaced Department of Consumer Protection with
Department of Agriculture and Consumer Protection, effective July 1, 2004; P.A. 04-189 repealed Sec. 146 of June 30 Sp.
Sess. P.A. 03-6, thereby reversing the merger of the Departments of Agriculture and Consumer Protection, effective June
1, 2004; P.A. 05-183 replaced "commission" and "State Ethics Commission" with "Office of State Ethics" and "Citizen's
Ethics Advisory Board" and made technical changes throughout the section, deleted former Subsec. (h) re regulations
required to implement provisions of Subsec. (c) and redesignated existing Subsecs. (i) and (j) as Subsecs. (h)and (i),
effective July 1, 2005; P.A. 05-287 added new Subsec. (j) re employment as lobbyist by former state employee or public
official convicted of a felony involving corrupt practices, effective July 13, 2005.
Sec. 1-86. Procedure when discharge of duty affects official's or state employee's financial interests. Lobbyists prohibited from accepting employment with
General Assembly and General Assembly members forbidden to be lobbyists. (a)
Any public official or state employee, other than an elected state official, who, in the
discharge of such official's or employee's official duties, would be required to take an
action that would affect a financial interest of such official or employee, such official's
or employee's spouse, parent, brother, sister, child or the spouse of a child or a business
with which such official or employee is 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 official duties as
defined in section 1-85 has a potential conflict of interest. Under such circumstances,
such official or employee shall, if such official or employee is a member of a state
regulatory agency, either excuse himself or herself from the matter or prepare a written
statement signed under penalty of false statement describing the matter requiring action
and the nature of the potential conflict and explaining why despite the potential conflict,
such official or employee is able to vote and otherwise participate fairly, objectively
and in the public interest. Such public official or state employee shall deliver a copy of
the statement to the Office of State Ethics and enter a copy of the statement in the journal
or minutes of the agency. If such official or employee is not a member of a state regulatory
agency, such official or employee shall, in the case of either a substantial or potential
conflict, 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 such official's or employee's immediate superior, if any, who shall assign the
matter to another employee, or if such official or employee has no immediate superior,
such official or employee shall take such steps as the Office of State Ethics shall prescribe
or advise.
(b) No elected state official shall be affected by subsection (a) of this section.
(c) No person required to register with the Office of State Ethics under section 1-94 shall accept employment with the General Assembly or with any member of the
General Assembly in connection with legislative action, as defined in section 1-91. No
member of the General Assembly shall be a lobbyist.
(P.A. 77-600, S. 8, 15; 77-604, S. 67, 84; P.A. 81-53, S. 1, 3; 81-472, S. 114, 159; P.A. 83-249, S. 8, 14; 83-586, S. 7,
14; P.A. 85-369; P.A. 89-97, S. 6, 7; P.A. 05-183, S. 10.)
History: P.A. 77-604 made technical changes; P.A. 81-53 amended this section to exempt public officials and state
employees from compliance with its terms with respect to actions affecting a financial interest of theirs if such interest is
not distinct from that of a substantial segment of the public where prior law provided an exemption only where the interest
affected was the same as that of the public in general; P.A. 81-472 made technical correction; P.A. 83-249 made technical
amendments; P.A. 83-586 eliminated requirement that official or employee refrain from action or decision in all instances
in which a potential conflict exists; P.A. 85-369 added Subsec. (b) which prohibits persons required to register with the
state ethics commission from accepting employment with the general assembly or a member thereof in connection with
legislative action, and prohibits members of the general assembly from being lobbyists; P.A. 89-97 amended Subsec. (a)
to limit applicability to public officials or state employees who are not elected state officials, to specify applicability in cases
of both substantial and potential conflicts of interest and to rephrase provision re voluntary withdrawal from consideration of
such matters, inserted new Subsec. (b) stating that Subsec. (a) does not apply to elected state officials, and relettered the
former Subsec. (b) as Subsec. (c); P.A. 05-183 replaced "commission" and "State Ethics Commission" with "Office of
State Ethics" throughout the section and in Subsec. (a) made technical changes for the purpose of gender neutrality, effective
July 1, 2005.
Sec. 1-86d. Legal defense fund established by or for a public official or state
employee. Reports. Contributions. (a) Any public official or state employee who establishes a legal defense fund, or for whom a legal defense fund has been established,
shall file a report on said fund with the Office of State Ethics not later than the tenth
day of January, April, July and October. Each such report shall include the following
information for the preceding calendar quarter: (1) The names of the directors and officers of the fund, (2) the name of the depository institution for the fund, (3) an itemized
accounting of each contribution to the fund, including the full name and complete address of each contributor and the amount of the contribution, and (4) an itemized accounting of each expenditure, including the full name and complete address of each payee
and the amount and purpose of the expenditure. The public official or state employee
shall sign each such report under penalty of false statement. The provisions of this
subsection shall not apply to any person who has made a contribution to a legal defense
fund before June 3, 2004.
(b) (1) In addition to the prohibitions on gifts under subsections (j) and (m) of
section 1-84 and subsection (a) of section 1-97, no public official or state employee
shall accept, directly or indirectly, any contribution to a legal defense fund established
by or for the public official or state employee, from (A) a member of the immediate
family of any person who is prohibited from giving a gift under subsection (j) or (m)
of section 1-84 or subsection (a) of section 1-97, or (B) a person who is appointed by
said public official or state employee to serve on a paid, full-time basis. No person
described in subparagraph (A) or (B) of this subdivision shall make a contribution to
such a legal defense fund, and no such person or any person prohibited from making a
gift under subsection (j) or (m) of section 1-84 or subsection (a) of section 1-97 shall
solicit a contribution for such a legal defense fund.
(2) A public official or state employee may accept a contribution or contributions
to a legal defense fund established by or for the public official or state employee from
any other person, provided the total amount of such contributions from any such person
in any calendar year shall not exceed one thousand dollars. No such person shall make
a contribution or contributions to said legal defense fund exceeding one thousand dollars
in any calendar year. The provisions of this subdivision shall not apply in 2004, to any
person who has made a contribution or contributions to a legal defense fund exceeding
one thousand dollars in 2004, before June 3, 2004, provided said legal defense fund
shall not accept any additional contributions from such person in 2004, and such person
shall not make any additional contributions to said fund in 2004.
(3) Notwithstanding the provisions of subdivision (2) of this subsection, a public
official or state employee may accept a contribution or contributions, in any amount,
to a legal defense fund established by or for the public official or state employee from
a relative of the public official or state employee or a person whose relationship with
the public official or state employee is not dependent on the official's or employee's
status as a public official or state employee. The factors that the board shall consider in
determining whether a person's relationship is so dependent shall include, but not be
limited to, whether the person may be able to benefit from the exercise of official authority of the public official or state employee and whether the person made gifts to the
public official or state employee before the official or employee began serving in such
office or position.
(P.A. 04-198, S. 1; P.A. 05-183, S. 11.)
History: P.A. 04-198 effective June 3, 2004; P.A. 05-183 replaced "State Ethics Commission" with "Office of State
Ethics" and "board" throughout the section, effective July 1, 2005.
Sec. 1-87. Aggrieved persons. Appeals. Any person aggrieved by any final decision of the board, made pursuant to this part, may appeal such decision in accordance
with the provisions of section 4-175 or section 4-183.
(P.A. 77-600, S. 9, 15; P.A. 83-586, S. 8, 14; P.A. 05-183, S. 12.)
History: P.A. 83-586 added reference to appeals under Sec. 4-175; P.A. 05-183 replaced "commission" with "board",
effective July 1, 2005.
Sec. 1-88. Authority of board after finding violation. (a) The board, upon a finding made pursuant to section 1-82 that there has been a violation of any provision of
this part or section 1-101nn, shall have the authority to order the violator to do any or
all of the following: (1) Cease and desist the violation of this part or section 1-101nn;
(2) file any report, statement or other information as required by this part or section 1-101nn; and (3) pay a civil penalty of not more than ten thousand dollars for each violation
of this part or section 1-101nn.
(b) Notwithstanding the provisions of subsection (a) of this section, the board may,
after a hearing conducted in accordance with sections 4-176e to 4-184, inclusive, upon
the concurring vote of six of its members, present and voting impose a civil penalty not
to exceed ten dollars per day upon any individual who fails to file any report, statement
or other information as required by this part or section 1-101nn. Each distinct violation
of this subsection shall be a separate offense and in case of a continued violation, each
day thereof shall be deemed a separate offense. In no event shall the aggregate penalty
imposed for such failure to file exceed ten thousand dollars.
(c) The board may also report its finding to the Chief State's Attorney for any action
deemed necessary. The board, upon a finding made pursuant to section 1-82 that a
member or member-elect of the General Assembly has violated any provision of this
part or section 1-101nn, shall notify the appropriate house of the General Assembly, in
writing, of such finding and the basis for such finding.
(d) Any person who knowingly acts in such person's financial interest in violation
of section 1-84, 1-85, 1-86 or 1-86d or any person who knowingly receives a financial
advantage resulting from a violation of any of said sections shall be liable for damages
in the amount of such advantage. If the board determines that any person may be so
liable, it shall immediately inform the Attorney General of that possibility.
(e) Any employee of the Office of State Ethics or member of the Citizen's Ethics
Advisory Board who, in violation of this part or section 1-101nn, discloses information
filed in accordance with subparagraph (F) of subdivision (1) of subsection (b) of section
1-83, shall be dismissed, if an employee, or removed from the board, if a member.
(P.A. 77-600, S. 10, 15; P.A. 79-493, S. 6, 9; P.A. 80-483, S. 3, 186; P.A. 81-53, S. 2, 3; P.A. 83-249, S. 9, 14; 83-493,
S. 2, 5; 83-586, S. 9, 14; P.A. 84-21, S. 2, 5; 84-546, S. 143, 173; P.A. 88-139, S. 3; 88-317, S. 41, 107; P.A. 94-132, S.
4; P.A. 04-38, S. 3; 04-198, S. 4; 04-204, S. 5; P.A. 05-183, S. 13; 05-287, S. 30, 42.)
History: P.A. 79-493 provided for civil penalty for failure to file required information; P.A. 80-483 made technical
changes; P.A. 81-53 amended Subsec. (c) to require the commission to notify the general assembly of its findings and their
basis in the event of a violation by a member of the general assembly; P.A. 83-249 amended Subsec. (b) to require concurring
vote of five members; P.A. 83-493 added Subsec. (d) creating liability for damages on the part of any person who knowingly
acts in his pecuniary interest in violation of certain code provisions or knowingly receives a pecuniary advantage resulting
from a violation of those sections; P.A. 83-586 added Subsec. (e) establishing penalties for disclosure of confidential
information contained in financial statements; P.A. 84-21 changed "pecuniary" interest to "financial" interest and made
technical changes in Subsecs. (d) and (e); P.A. 84-546 made technical change in Subsec. (a); P.A. 88-139 made technical
change in Subsec. (e); P.A. 88-317 substituted "4-176e" for "4-177" in Subsec. (b), effective July 1, 1989, and applicable
to all agency proceedings commencing on or after that date; P.A. 94-132 amended Subsecs. (a) and (b) by changing
maximum penalty from one thousand to two thousand dollars; P.A. 04-38 amended Subsec. (a) to increase the civil penalty
from two thousand to ten thousand dollars and amended Subsec. (b) to make a technical change and increase the maximum
aggregate penalty from two thousand to ten thousand dollars, effective July 1, 2004; P.A. 04-198 applied provisions to
Sec. 1-86d, effective June 3, 2004 (Revisor's note: In Subsec. (c) a reference to "part I of chapter 10" was changed editorially
by the Revisors to "this part" for consistency with customary statutory usage); P.A. 04-204 amended Subsec. (b) to increase
vote required for imposition of civil penalty from five to seven members and to make a technical change, effective June
3, 2004; P.A. 05-183 replaced "commission" with "board" throughout the section and amended Subsec. (b) to change the
requirement to impose a civil penalty from a concurring vote of seven members to a vote of two-thirds of the members
present and voting, Subsecs. (c) and (d) to make technical changes and Subsec. (e) to replace reference to employees or
members of the commission with reference to employees of the Office of State Ethics or members of the Citizen's Ethics
Advisory Board, effective July 1, 2005; P.A. 05-287 added references to Sec. 1-101nn throughout the section and amended
Subsec. (b) to change the number of member votes required to impose a civil penalty from seven to six, effective July 1,
2005, and amended Subsec. (e) to delete reference to Sec. 1-83(b)(1)(B), effective July 13, 2005.
Sec. 1-89. Violations; penalties. Disciplinary powers of the legislature, agencies and commissions. Civil action for damages. (a) Any person who intentionally
violates any provision of this part or section 1-101nn shall (1) for a first violation, be
guilty of a class A misdemeanor, except that, if such person derives a financial benefit
of one thousand dollars or more as a result of such violation, such person shall be guilty
of a class D felony, and (2) for a second or subsequent violation, be guilty of a class D
felony, provided no person may be found guilty of a violation of subsection (f) or (g)
of section 1-84 and bribery or bribe receiving under section 53a-147 or 53a-148 upon
the same incident, but such person may be charged and prosecuted for all or any of such
offenses upon the same information.
(b) The penalties prescribed in this part or section 1-101nn shall not limit the power
of either house of the legislature to discipline its own members or impeach a public
official, and shall not limit the power of agencies or commissions to discipline their
officials or employees.
(c) The Attorney General may bring a civil action against any person who knowingly
acts in the person's financial interest in, or knowingly receives a financial advantage
resulting from, a violation of section 1-84, 1-85, 1-86 or 1-101nn. In any such action,
the Attorney General may, in the discretion of the court, recover any financial benefit
that accrued to the person as a result of such violation and additional damages in an
amount not exceeding twice the amount of the actual damages.
(d) Any fines, penalties or damages paid, collected or recovered under section 1-88 or this section for a violation of any provision of this part or section 1-101nn applying
to the office of the Treasurer shall be deposited on a pro rata basis in any trust funds,
as defined in section 3-13c, affected by such violation.
(P.A. 77-600, S. 11, 15; 77-604, S. 69, 84; 77-605, S. 12, 21; P.A. 83-493, S. 3, 5; P.A. 94-132, S. 5; P.A. 00-43, S. 8,
19; P.A. 04-38, S. 4; 04-198, S. 5, 7; P.A. 05-287, S. 43.)
History: P.A. 77-604 made technical changes; P.A. 77-605 repealed specific provisions regarding penalties for false
swearing for obtaining financial gain through prohibited acts; P.A. 83-493 added Subsec. (c) allowing attorney general to
bring a civil action against persons liable under Subsec. (d) of Sec. 1-88 and, in the discretion of the court, to recover
double damages; P.A. 94-132 amended Subsec. (a) by changing maximum fine from one thousand to two thousand dollars;
P.A. 00-43 added Subsec. (d) re penalties for violations involving Treasurer's office, effective May 3, 2000; P.A. 04-38
amended Subsec. (a) to change the penalty for an intentional violation from a term of imprisonment not to exceed one year
or a fine not to exceed two thousand dollars, or both, to a class D felony, effective July 1, 2004; P.A. 04-198 applied
provisions to Sec. 1-86d, effective June 3, 2004, and, effective July 1, 2004, amended Subsec. (a) by making first violation
a class A misdemeanor and by designating second or subsequent violations and deriving financial benefit of one thousand
dollars or more as result of first violation a class D felony; P.A. 05-287 added references to Sec. 1-101nn throughout the
section and amended Subsec. (c) to delete provision re liability under Sec. 1-88(d) and authorize the Attorney General to
bring a civil suit against a person who knowingly acts in the person's financial interest in, or knowingly receives a financial
advantage from, a violation of Sec. 1-84, 1-85, 1-86 or 1-101nn and to recover any resulting financial benefit, effective
July 1, 2005.
Sec. 1-89a. Conferences on ethical issues. (a) In each odd-numbered calendar
year, the Office of State Ethics, the Connecticut Humanities Council and the Joint Committee on Legislative Management shall conduct a conference on ethical issues affecting
members of the General Assembly and lobbyists.
(b) In each even-numbered calendar year, the Office of State Ethics shall conduct
a conference on ethical issues affecting executive branch and quasi-public agency public
officials and state employees.
(June 12 Sp. Sess. P.A. 91-1, S. 21; P.A. 05-183, S. 14.)
History: P.A. 05-183 replaced "State Ethics Commission" with "Office of State Ethics" throughout the section, effective
July 1, 2005.
PART II
CODE OF ETHICS FOR LOBBYISTS
Sec. 1-91. Definitions. When used in this part, unless the context otherwise requires:
(a) "Administrative action" means any action or nonaction of any executive agency
of the state with respect to the proposal, drafting, development, consideration, amendment, adoption or repeal of any rule, regulation or utility rate, and any action or nonaction
of any executive agency or quasi-public agency, as defined in section 1-79, regarding
a contract, grant, award, purchasing agreement, loan, bond, certificate, license, permit
or any other matter which is within the official jurisdiction or cognizance of such an
agency.
(b) "Candidate for public office" means any person who has filed a declaration of
candidacy or a petition to appear on the ballot for election as a public official, or who
has raised or expended money in furtherance of such candidacy, or who has been nominated for appointment to serve as a public official; but shall not include a candidate for
the office of senator or representative in Congress.
(c) "Board" means the Citizen's Ethics Advisory Board established under section
1-80.
(d) "Compensation" means any value received or to be received by a person acting
as a lobbyist, whether in the form of a fee, salary or forbearance.
(e) "Executive agency" means a commission, board, agency, or other body or official in the executive branch of the state government and any independent body of the
state government that is not a part of the legislative or judicial branch.
(f) "Expenditure" means any advance, conveyance, deposit, distribution, transfer of
funds, loan, payment, unless expressly excluded; any payments for telephone, mailing,
postage, printing and other clerical or office services and materials; any paid communications, costing fifty dollars or more in any calendar year, disseminated by means of
any printing, broadcasting or other medium, provided such communications refer to
pending administrative or legislative action; any contract, agreement, promise or other
obligation; any solicitation or solicitations, costing fifty dollars or more in the aggregate
for any calendar year, of other persons to communicate with a public official or state
employee for the purpose of influencing any legislative or administrative act and any
pledge, subscription of money or anything of value. "Expenditure" shall not include the
payment of a registrant's fee pursuant to section 1-95, any expenditure made by any
club, committee, partnership, organization, business, union, association or corporation
for the purpose of publishing a newsletter or other release to its members, shareholders
or employees, or contributions, membership dues or other fees paid to associations,
nonstock corporations or tax-exempt organizations under Section 501(c) of the Internal
Revenue Code of 1986, or any subsequent corresponding internal revenue code of the
United States, as from time to time amended.
(g) "Gift" means anything of value, which is directly and personally received, unless
consideration of equal or greater value is given in return. "Gift" shall not include:
(1) A political contribution otherwise reported as required by law or a donation or
payment described in subdivision (9) or (10) of subsection (b) of section 9-333b;
(2) Services provided by persons volunteering their time, if provided to aid or promote the success or defeat of any political party, any candidate or candidates for public
office or the position of convention delegate or town committee member or any referendum question;
(3) A commercially reasonable loan made on terms not more favorable than loans
made in the ordinary course of business;
(4) A gift received from (A) the individual's spouse, fiance or fiancee, (B) the parent,
brother or sister of such spouse or such individual, or (C) the child of such individual
or the spouse of such child;
(5) Goods or services (A) which are provided to the state (i) for use on state property,
or (ii) to support an event or the participation by a public official or state employee at
an event, and (B) which facilitate state action or functions. As used in this subdivision,
"state property" means (i) property owned by the state, or (ii) property leased to an
agency in the Executive or Judicial Department of the state;
(6) A certificate, plaque or other ceremonial award costing less than one hundred
dollars;
(7) A rebate, discount or promotional item available to the general public;
(8) Printed or recorded informational material germane to state action or functions;
(9) Food or beverage or both, costing less than fifty dollars in the aggregate per
recipient in a calendar year, and consumed on an occasion or occasions at which the
person paying, directly or indirectly, for the food or beverage, or his representative, is
in attendance;
(10) Food or beverage or both, costing less than fifty dollars per person and consumed at a publicly noticed legislative reception to which all members of the General
Assembly are invited and which is hosted not more than once in any calendar year by
a lobbyist or business organization. For the purposes of such limit, (A) a reception hosted
by a lobbyist who is an individual shall be deemed to have also been hosted by the
business organization which he owns or is employed by, and (B) a reception hosted by
a business organization shall be deemed to have also been hosted by all owners and
employees of the business organization who are lobbyists. In making the calculation
for the purposes of such fifty-dollar limit, the donor shall divide the amount spent on
food and beverage by the number of persons whom the donor reasonably expects to
attend the reception;
(11) Food or beverage or both, costing less than fifty dollars per person and consumed at a publicly noticed reception to which all members of the General Assembly
from a region of the state are invited and which is hosted not more than once in any
calendar year by a lobbyist or business organization. For the purposes of such limit, (A)
a reception hosted by a lobbyist who is an individual shall be deemed to have also been
hosted by the business organization which he owns or is employed by, and (B) a reception
hosted by a business organization shall be deemed to have also been hosted by all owners
and employees of the business organization who are lobbyists. In making the calculation
for the purposes of such fifty-dollar limit, the donor shall divide the amount spent on
food and beverage by the number of persons whom the donor reasonably expects to
attend the reception. As used in this subdivision, "region of the state" means the established geographic service area of the organization hosting the reception;
(12) A gift, including but not limited to, food or beverage or both, provided by an
individual for the celebration of a major life event;
(13) Gifts costing less than one hundred dollars in the aggregate or food or beverage
provided at a hospitality suite at a meeting or conference of an interstate legislative
association, by a person who is not a registrant or is not doing business with the state
of Connecticut;
(14) Admission to a charitable or civic event, including food and beverage provided
at such event, but excluding lodging or travel expenses, at which a public official or
state employee participates in his official capacity, provided such admission is provided
by the primary sponsoring entity;
(15) Anything of value provided by an employer of (A) a public official, (B) a
state employee, or (C) a spouse of a public official or state employee, to such official,
employee or spouse, provided such benefits are customarily and ordinarily provided to
others in similar circumstances; or
(16) Anything having a value of not more than ten dollars, provided the aggregate
value of all things provided by a donor to a recipient under this subdivision in any
calendar year shall not exceed fifty dollars.
(h) "Immediate family" means any spouse, dependent children or dependent relatives who reside in the individual's household.
(i) "Individual" means a natural person.
(j) "Legislative action" means introduction, sponsorship, consideration, debate,
amendment, passage, defeat, approval, veto, overriding of a veto or any other official
action or nonaction with regard to any bill, resolution, amendment, nomination, appointment, report, or any other matter pending or proposed in a committee or in either house
of the legislature, or any matter which is within the official jurisdiction or cognizance
of the legislature.
(k) "Lobbying" means communicating directly or soliciting others to communicate
with any official or his staff in the legislative or executive branch of government or in
a quasi-public agency, for the purpose of influencing any legislative or administrative
action except that the term "lobbying" does not include (1) communications by or on
behalf of a party to, or an intervenor in, a contested case, as described in regulations
adopted by the commission in accordance with the provisions of chapter 54, before an
executive agency or a quasi-public agency, as defined in section 1-79, (2) communications by a representative of a vendor or by an employee of the registered client lobbyist
which representative or employee acts as a salesperson and does not otherwise engage
in lobbying regarding any administrative action, (3) communications by an attorney
made while engaging in the practice of law and regarding any matter other than legislative action as defined in subsection (j) of this section or the proposal, drafting, development, consideration, amendment, adoption or repeal of any rule or regulation, or (4)
other communications exempted by regulations adopted by the commission in accordance with the provisions of chapter 54.
(l) "Lobbyist" means a person who in lobbying and in furtherance of lobbying makes
or agrees to make expenditures, or receives or agrees to receive compensation, reimbursement, or both, and such compensation, reimbursement or expenditures are two
thousand dollars or more in any calendar year or the combined amount thereof is two
thousand dollars or more in any such calendar year. Lobbyist shall not include:
(1) A public official, employee of a branch of state government or a subdivision
thereof, or elected or appointed official of a municipality or his designee other than an
independent contractor, who is acting within the scope of his authority or employment;
(2) A publisher, owner or an employee of the press, radio or television while disseminating news or editorial comment to the general public in the ordinary course of
business;
(3) An individual representing himself or another person before the legislature or
a state agency other than for the purpose of influencing legislative or administrative
action;
(4) Any individual or employee who receives no compensation or reimbursement
specifically for lobbying and who limits his activities solely to formal appearances to
give testimony before public sessions of committees of the General Assembly or public
hearings of state agencies and who, if he testifies, registers his appearance in the records
of such committees or agencies;
(5) A member of an advisory board acting within the scope of his appointment;
(6) A senator or representative in Congress acting within the scope of his office;
(7) Any person who receives no compensation or reimbursement specifically for
lobbying and who spends no more than five hours in furtherance of lobbying unless
such person (A) exclusive of salary, receives compensation or makes expenditures, or
both, of two thousand dollars or more in any calendar year for lobbying or the combined
amount thereof is two thousand dollars or more in any such calendar year or (B) expends
fifty dollars or more for the benefit of a public official in the legislative or executive
branch, a member of his staff or immediate family;
(8) A communicator lobbyist who receives or agrees to receive compensation, reimbursement, or both, the aggregate amount of which is less than two thousand dollars
from each client in any calendar year.
(m) "Member of an advisory board" means any person appointed by a public official
as an advisor or consultant or member of a committee, commission or council established
to advise, recommend or consult with a public official or branch of government or
committee thereof and who receives no public funds other than per diem payments or
reimbursement for his actual and necessary expenses incurred in the performance of his
official duties and who has no authority to expend any public funds or to exercise the
power of the state.
(n) "Person" means an individual, a business, corporation, limited liability company, union, association, firm, partnership, committee, club or other organization or
group of persons.
(o) "Political contribution" has the same meaning as in section 9-333b except that
for purposes of this part, the provisions of subsection (b) of that section shall not apply.
(p) "Public official" means any state-wide elected state officer, any member or
member-elect of the General Assembly, any person appointed to any office of the legislative, judicial or executive branch of state government by the Governor, with or without
the advice and consent of the General Assembly and any person appointed or elected
by the General Assembly or any member of either house thereof; but shall not include
a member of an advisory board or a senator or representative in Congress.
(q) "Registrant" means a person who is required to register pursuant to section 1-94.
(r) "Reimbursement" means any money or thing of value received or to be received
in the form of payment for expenses as a lobbyist, not including compensation.
(s) "State employee" means any employee in the executive, judicial or legislative
branch of state government, whether in the classified or unclassified service and whether
full or part-time.
(t) "Business organization" means a sole proprietorship, corporation, limited liability company, association, firm or partnership, other than a client lobbyist, which is
owned by, or employs one or more individual lobbyists.
(u) "Client lobbyist" means a lobbyist on behalf of whom lobbying takes place and
who makes expenditures for lobbying and in furtherance of lobbying.
(v) "Communicator lobbyist" means a lobbyist who communicates directly or solicits others to communicate with an official or his staff in the legislative or executive
branch of government or in a quasi-public agency for the purpose of influencing legislative or administrative action.
(P.A. 77-605, S. 1, 21; P.A. 79-615, S. 1, 10; P.A. 81-339, S. 1, 7; 81-395, S. 7, 9; P.A. 82-120, S. 1, 2; 82-423, S. 2,
8; P.A. 83-249, S. 10-12, 14; P.A. 84-546, S. 144, 173; P.A. 85-290, S. 3, 4; P.A. 86-99, S. 30, 34; P.A. 89-211, S. 1; 89-369, S. 4; June 12 Sp. Sess. P.A. 91-1, S. 3, 22; P.A. 92-149, S. 8, 12; P.A. 94-69, S. 1, 3; P.A. 95-79, S. 5, 6, 189; 95-144,
S. 2, 11; P.A. 96-11, S. 2, 5; June 18 Sp. Sess. P.A. 97-5, S. 18, 19; June 18 Sp. Sess. P.A. 97-6, S. 6, 14; P.A. 05-183, S.
15; 05-287, S. 44.)
History: P.A. 79-615 redefined "administrative action", "candidate for public office", "expenditure", "gift", "immediate
family", "legislative action", "lobbying", "lobbyist", "member of an advisory board" and "public official"; P.A. 81-339
increased amounts requiring reporting and threshold expenditure and compensation levels from the previous levels of "in
excess of twenty-five dollars" and "three hundred dollars" to "thirty-five dollars or more" and "five hundred dollars"; P.A.
81-395 substituted reference to Sec. 9-335(18) for reference to Sec. 9-348q(a) in Subdiv. (o); P.A. 82-120 amended Subdiv.
(k) to except communications by or on behalf of public service companies in connection with rate cases; P.A. 82-423
amended Subdivs. (f) and (g) to increase amounts from thirty-five dollars to fifty dollars; P.A. 83-249 amended Subdiv.
(j) to refer to "cognizance" of legislature, included an independent contractor employed by a municipality within the
definition of lobbyist in Subdiv. (l) and amended Subdiv. (o) to expand definition of "political contribution"; P.A. 84-546
made technical change in Subdiv. (f); P.A. 85-290 redefined "gift" to include "anything of value" and amended definition
of "member of an advisory board" to refer to "per diem payments" rather than to "a flat per diem rate"; P.A. 86-99 amended
definition of "political contribution" to reflect technical changes made in chapter 150; P.A. 89-211 clarified reference to
the Internal Revenue Code of 1986; P.A. 89-369 limited exception from definition of "gift" in Subdiv. (g) for food or
beverage costing less than fifty dollars per person and consumed on a single occasion to an occasion "at which the person
paying, directly or indirectly, for the food or beverage, or his representative, is in attendance"; June 12 Sp. Sess. P.A. 91-1 substantially amended definition of "gift" and exceptions to "gift" in Subdiv. (g), substituted "one thousand" for "five
hundred" in definition of "lobbyist" in Subdiv. (l), and added Subdivs. (t) and (u), defining "business organization" and
"client lobbyist"; P.A. 92-149 redefined "client lobbyist"; P.A. 94-69 expanded definition of "administrative action" in
Subdiv. (a) by adding provision re contract, grant, award, purchasing agreement, loan, bond certificate, license, permit or
any other matter within the official jurisdiction or cognizance of the agency, and amended definition of "lobbying" in
Subdiv. (k) by adding "or in a quasi-public agency", deleting provision re public service companies, adding provision re
contested cases and adding provision re representatives of a manufacturer or employees of the registered client lobbyist,
effective January 1, 1995; P.A. 95-79 redefined "person" and "business organization" to include a limited liability company,
effective May 31, 1995; P.A. 95-144 amended Subsec. (k), defining "lobbying", by numbering subdivs., inserting "or an
intervenor in" and changing source of definition of "contested case" in Subdiv. (1), changing "manufacturer" to "vendor"
and inserting "representative" in Subdiv. (2) and adding Subdiv. (3) re communications by attorneys and Subdiv. (4) re
communications exempted by regulations, amended Subsec. (l), defining "lobbyist", by adding Subdiv. (8) re communicator
lobbyists, amended Subsec. (u), defining "client lobbyist", by changing "person" to "lobbyist" and added Subsec. (v)
defining "communicator lobbyist", effective June 28, 1995; P.A. 96-11 amended Subsec. (l) to change the threshold for
meeting the definition of "lobbyist" for purposes of part II of chapter 10 from one thousand to two thousand dollars,
effective January 1, 1997; June 18 Sp. Sess. P.A. 97-5 amended Subsec. (g)(1) by changing Sec. 9-333b(b) Subdiv. reference
from (11) to (10), effective July 1, 1997, and applicable to elections and primaries held on or after January 1, 1998; June
18 Sp. Sess. P.A. 97-6 amended Subsec. (g) by expanding Subdiv. (5), by changing limit to fifty dollars in Subdiv. (9),
inserting new Subdiv. (11) re food or beverage consumed at a publicly noticed reception, adding new Subdiv. (14) re
admission to charitable or civic event, adding new Subdiv. (15) re anything of value provided by employer and adding
new Subdiv. (16) re anything of value of not more than ten dollars, effective January 1, 1998; P.A. 05-183 amended Subsec.
(c) to replace definition of "commission" with definition of "board", effective July 1, 2005; P.A. 05-287 amended Subsec.
(g)(2) to provide that services must be provided to aid or promote the success or defeat of any political party, any candidate
or candidates for public office or the position of convention delegate or town committee member or any referendum
question and made a technical change in Subsec. (g)(10), effective July 1, 2005.
Sec. 1-92. Duties of board and Office of State Ethics. Regulations. Advisory
opinions. (a) The Citizen's Ethics Advisory Board shall adopt regulations in accordance
with chapter 54 to carry out the purposes of this part. Such regulations shall not be
deemed to govern the conduct of any judge trial referee in the performance of such judge
trial referee's duties pursuant to this chapter. Not later than January 1, 1992, the board
shall adopt regulations which further clarify the meaning of the terms "directly and
personally received" and "major life event", as used in subsection (e) of section 1-79
and subsection (g) of section 1-91;
(b) The general counsel and staff of the Office of State Ethics shall compile and
maintain an index of all reports and statements filed with the Office of State Ethics
under the provisions of this part and advisory opinions and informal staff letters issued
by the board with regard to the requirements of this part, to facilitate public access to such
reports, statements, letters and advisory opinions promptly upon the filing or issuance
thereof;
(c) The general counsel and staff of the Office of State Ethics shall prepare quarterly
and annual summaries of statements and reports filed with the Office of State Ethics
and advisory opinions and informal staff letters issued by the Office of State Ethics;
(d) The general counsel and staff of the Office of State Ethics shall preserve advisory
opinions and informal staff letters permanently; preserve memoranda filed under subsection (f) of section 1-93a, statements and reports filed by and with the Office of State
Ethics for a period of five years from the date of receipt;
(e) Upon the concurring vote of a majority of its members present and voting, the
board shall issue advisory opinions with regard to the requirements of this part, upon
the request of any person, subject to the provisions of this part, and publish such advisory
opinions in the Connecticut Law Journal. Advisory opinions rendered by the board,
until amended or revoked, shall be binding on the board and shall be deemed to be final
decisions of the board for purposes of appeal to the superior court, in accordance with
the provisions of section 4-175 or 4-183. Any advisory opinion concerning any person
subject to the provisions of this part who requested the opinion and who acted in reliance
thereon, in good faith, shall be binding upon the board, and it shall be an absolute defense
in any criminal action brought under the provisions of this part that the accused acted
in reliance upon such advisory opinion;
(f) Report annually, prior to February fifteenth, to the Governor summarizing the
activities of the commission; and
(g) The Office of State Ethics shall employ necessary staff within available appropriations.
(P.A. 77-605, S. 3, 21; P.A. 79-615, S. 2, 10; P.A. 83-493, S. 4, 5; P.A. 84-52, S. 7; P.A. 86-403, S. 95, 132: P.A. 89-97, S. 3, 7; June 12 Sp. Sess. P.A. 91-1, S. 5; June 18 Sp. Sess. P.A. 97-6, S. 10, 14; P.A. 04-204, S. 6; P.A. 05-183, S. 16;
June Sp. Sess. P.A. 05-3, S. 109.)
History: P.A. 79-615 required concurring vote of four members for issuance of advisory opinion; P.A. 83-493 amended
section to provide that advisory opinions shall be deemed to be final decisions of the commission for purposes of Sec. 1-98; P.A. 84-52 made technical amendment to reflect relettering of subsections in Sec. 1-93; P.A. 86-403 made technical
changes; P.A. 89-97 amended Subdiv. (1) by deleting language specifying regulations as those necessary to establish
procedures and forms; June 12 Sp. Sess. P.A. 91-1 amended Subdiv. (1) to require regulations clarifying "directly and
personally received" and "major life event"; June 18 Sp. Sess. P.A. 97-6 amended Subdivs. (2) and (3) to add to the list
of items the commission must compile and maintain and prepare summaries of, advisory opinions issued by the commission,
effective January 1, 1998; P.A. 04-204 amended Subdiv. (5) to increase vote required for issuance of advisory opinion
from four to five members, effective June 3, 2004; P.A. 05-183 replaced "commission" with "Citizen's Ethics Advisory
Board", "board" or "Office of State Ethics" and made conforming changes throughout the section, replaced Subdiv. designators with Subsec. designators throughout the section and amended Subsec. (b) to require maintenance of informal staff
letters, Subsec. (d) to require preservation of advisory opinions and informal staff letters, and Subsec. (e) to change the
requirement for issuance of advisory opinions from a concurring vote of five members to a majority vote of the members
present and voting and to replace reference to Sec. 1-98 with provision re appeal in accordance with Sec. 4-175 or 4-183,
effective July 1, 2005; June Sp. Sess. P.A. 05-3 amended Subsec. (a) to provide that regulations shall not be deemed to
govern the conduct of any judge trial referee, effective July 1, 2005.
Sec. 1-93. Complaints. Procedure. Time limits. Investigation; notice; hearings. Damages for complaints without foundation. (a)(1) Upon the complaint of any
person on a form prescribed by the Office of State Ethics, signed under penalty of false
statement, or upon its own complaint, the ethics enforcement officer of the Office of
State Ethics shall investigate any alleged violation of this part. Not later than five days
after the receipt or issuance of such complaint, the Office of State Ethics shall provide
notice of such receipt or issuance and a copy of the complaint by registered or certified
mail to any respondent against whom such complaint is filed and shall provide notice
of the receipt of such complaint to the complainant. When the Office of State Ethics
undertakes an evaluation of a possible violation of this part prior to the filing of a complaint, the subject of the evaluation shall be notified not later than five business days
after a staff member of the Office of State Ethics undertakes the first contact with a third
party concerning the matter.
(2) In the conduct of its investigation of an alleged violation of this part, the Office of
State Ethics shall have the power to hold hearings, administer oaths, examine witnesses,
receive oral and documentary evidence, subpoena witnesses under procedural rules
adopted by the Citizen's Ethics Advisory Board as regulations in accordance with the
provisions of chapter 54 to compel attendance before the Office of State Ethics and to
require the production for examination by the ethics enforcement officer of the Office
of State Ethics of any books and papers which the ethics enforcement officer of the
Office of State Ethics deems relevant in any matter under investigation or in question.
In the exercise of such powers, the Office of State Ethics may use the services of the
state police, who shall provide the same upon the office's request. The Office of State
Ethics shall make a record of all proceedings conducted pursuant to this subsection.
Any witness summoned before the Office of State Ethics or a judge trial referee pursuant
to this subsection shall receive the witness fee paid to witnesses in the courts of this
state. The ethics enforcement officer of the Office of State Ethics may bring any alleged
violation of this part before a judge trial referee assigned by the Chief Court Administrator for such purpose for a probable cause hearing. Such judge trial referee shall be
compensated in accordance with the provisions of section 52-434 from such funds as
may be available to the Office of State Ethics. The respondent shall have the right to
appear at any hearing held pursuant to this subsection and be heard and to offer any
information which may tend to clear the respondent of probable cause to believe the
respondent has violated any provision of this part. The respondent shall also have the
right to be represented by legal counsel and to examine and cross-examine witnesses.
Not later than ten days prior to the commencement of any hearing conducted pursuant
to this subsection, the Office of State Ethics shall provide the respondent with a list of
its intended witnesses. Any finding of probable cause to believe the respondent is in
violation of any provision of this part shall be made by a judge trial referee not later
than thirty days after the ethics enforcement officer brings such alleged violation before
such judge trail referee, except that such thirty-day limitation period shall not apply if
the judge trial referee determines that good cause exists for extending such limitation
period.
(b) If a judge trial referee indicates that probable cause exists for the violation of a
provision of this part, the board shall initiate hearings to determine whether there has
been a violation of this part. Any such hearing shall be initiated by the board not later
than thirty days after the finding of probable cause by a judge trial referee and shall be
concluded not later than ninety days after its initiation, except that such thirty-day or
ninety-day limitation period shall not apply if the judge trial referee determines that
good cause exists for extending such limitation period. A judge trial referee, who has
not taken part in the probable cause determination on the matter shall be assigned by
the Chief Court Administrator and shall be compensated in accordance with section 52-434 out of funds available to the board and shall preside over such hearing and rule on
all issues concerning the application of the rules of evidence, which shall be the same
as in judicial proceedings. The trial referee shall have no vote in any decision of the
board. All hearings of the board held pursuant to this subsection shall be open. At such
hearing the board shall have the same powers as the Office of State Ethics under subsection (a) of this section and the respondent shall have the right to be represented by
legal counsel, the right to compel attendance of witnesses and the production of books,
documents, records and papers and to examine and cross-examine witnesses. Not later
than ten days prior to the commencement of any hearing conducted pursuant to this
subsection, the Office of State Ethics shall provide the respondent with a list of its
intended witnesses. The judge trial referee shall, while engaged in the discharge of the
duties as provided in this subsection, have the same authority as is provided in section
51-35 over witnesses who refuse to obey a subpoena or to testify with respect to any
matter upon which such witness may be lawfully interrogated, and may commit any
such witness for contempt for a period no longer than thirty days. The Office of State
Ethics shall make a record of all proceedings pursuant to this subsection. The board
shall find no person in violation of any provision of this part except upon the concurring
vote of two-thirds of its members present and voting. Not later than fifteen days after
the public hearing conducted in accordance with this subsection, the board shall publish
its finding and a memorandum of the reasons therefor. Such finding and memorandum
shall be deemed to be the final decision of the board on the matter for the purposes of
chapter 54. The respondent, if aggrieved by the finding and memorandum, may appeal
therefrom to the Superior Court in accordance with the provisions of section 4-183.
(c) If any complaint brought under the provisions of this part is made with the
knowledge that it is made without foundation in fact, the respondent shall have a cause
of action against the complainant for double the amount of damage caused thereby and
if the respondent prevails in such action, the respondent may be awarded by the court
the costs of such action together with reasonable attorneys' fees.
(d) No complaint may be made under this section except within five years next after
the violation alleged in the complaint has been committed.
(e) No person shall take or threaten to take official action against an individual for
such individual's disclosure of information to the board or the general counsel, ethics
enforcement officer or staff of the Office of State Ethics under the provisions of this
part. After receipt of information from an individual under the provisions of this part,
the Office of State Ethics shall not disclose the identity of such individual without such
person's consent unless the Office of State Ethics determines that such disclosure is
unavoidable during the course of an investigation.
(P.A. 77-605, S. 4, 21; 77-614, S. 486, 587, 610; P.A. 78-303, S. 85, 136; P.A. 79-615, S. 3, 10; P.A. 81-296, S. 2; P.A.
83-586, S. 10, 14; P.A. 84-52, S. 3; 84-519, S. 2; 84-546, S. 145, 173; P.A. 85-290, S. 5; June 12 Sp. Sess. P.A. 91-1, S.
16; P.A. 92-29, S. 2; P.A. 94-132, S. 6; P.A. 95-144, S. 3; P.A. 96-37, S. 2; P.A. 04-38, S. 5; 04-204, S. 7; P.A. 05-183,
S. 17.)
History: P.A. 77-614 and P.A. 78-303 placed state police within the department of public safety, effective January 1,
1979; P.A. 79-615 required concurring vote of four members for finding of probable cause; P.A. 81-296 added Subsec.
(e) establishing a three-year time limit for complaints; P.A. 83-586 amended Subsec. (a) to apply nondisclosure requirement
to all persons having knowledge of investigation and amended Subsec. (b) concerning publication of finding and confidentiality of the record of any investigation; P.A. 84-52 eliminated provisions re confidentiality of investigations and publication
of findings; P.A. 84-519 amended section to grant subpoena power to commission at all stages of investigation, to require
commission to meet prior to commencing investigation and to exempt such meetings from the freedom of information act
and deleted provision authorizing commission witnesses to be paid witness fees awarded court witnesses; P.A. 84-546
made technical change in Subsec. (a); P.A. 85-290 amended Subsec. (a) to require that commission notify persons under
evaluation within five business days after a commission staff member's first contact with a third party concerning the
matter; June 12 Sp. Sess. P.A. 91-1 amended Subsec. (b) to require trial referee or senior judge, instead of commission,
to make determinations re violations; P.A. 92-29 amended Subsec. (b) by eliminating references to senior judges; P.A.
94-132 amended Subdiv. (1) of Subsec. (a) by deleting provisions re meeting to determine whether sufficient evidence
exists to warrant inquiry, changing notice deadline from five days after meeting to five days after receipt or issuance of
complaint, and making technical grammatical changes, amended Subdiv. (2) of Subsec. (a) by adding "of an alleged
violation of this part" after "investigation", deleting provision re deadline for adoption of regulations, and adding provisions
re record of proceedings and list of intended witnesses, amended Subsec. (b) by specifying trial referee has no vote in
commission decision, giving commission, rather than trial referee, the same powers as under Subsec. (a), adding provisions
re list of intended witnesses and vote required for finding of violation, changing publisher of finding and memorandum
from trial referee to commission, and deleting provision re commission aggrieved by finding and memorandum, and added
new Subsec. (e) re individuals who disclose information to commission; P.A. 95-144 amended Subsec. (b) by specifying
hearings as those of the commission; P.A. 96-37 amended Subsec. (b) by changing "state trial referee" to "judge trial
referee"; P.A. 04-38 amended Subsec. (d) to increase the time limit for a complaint from three to five years, effective July
1, 2004; P.A. 04-204 amended Subsec. (a)(2) to increase vote required to find probable cause of violation of part from
four to five members and amended Subsec. (b) to increase vote required to find violation of part from five to six members,
effective June 3, 2004; P.A. 05-183 replaced "commission" with "Office of State Ethics", "ethics enforcement officer"
"Citizen's Ethics Advisory Board" or "board" throughout the section, amended Subsec. (a) to authorize the ethics enforcement officer to investigate alleged violations of the ethics code and bring an alleged violation before a judge trial referee
for a probable cause hearing, and to require such judge trial referee to make any such finding of probable cause within
thirty days of presentment of such alleged violation except for good cause, amended Subsec. (b) to require a board hearing
re a violation to be initiated not later than ninety days after a finding of probable cause, to change the requirement for a
finding of a violation from a vote of six members to a vote of two-thirds of its members present and voting, and to make
technical changes for the purpose of gender neutrality, and amended Subsecs. (c) and (e) to make technical changes for
the purpose of gender neutrality, effective July 1, 2005.
Sec. 1-93a. Confidentiality of complaints, evaluations of possible violations
and investigations. Publication of findings. (a) Unless a judge trial referee makes a
finding of probable cause, a complaint alleging a violation of this part shall be confidential except upon the request of the respondent. A Office of State Ethics evaluation of
a possible violation of this part undertaken prior to a complaint being filed shall be
confidential except upon the request of the subject of the evaluation. If the evaluation
is confidential, any information supplied to or received from the Office of State Ethics
shall not be disclosed to any third party by a subject of the evaluation, a person contacted
for the purpose of obtaining information or by a board or staff member of the Office of
State Ethics. No provision of this subsection shall prevent the board or the Office of
State Ethics from reporting the possible commission of a crime to the Chief State's
Attorney or other prosecutorial authority.
(b) An investigation conducted prior to a probable cause finding shall be confidential except upon the request of the respondent. If the investigation is confidential, the
allegations in the complaint and any information supplied to or received from the Office
of State Ethics shall not be disclosed during the investigation to any third party by a
complainant, respondent, witness, designated party, or Office of State Ethics or staff
member.
(c) Not later than three business days after the termination of the investigation, the
Office of State Ethics shall inform the complainant and the respondent of its finding
and provide them a summary of its reasons for making that finding. The Office of State
Ethics shall publish its finding upon the respondent's request and may also publish a
summary of its reasons for making such finding.
(d) If a judge trial referee makes a finding of no probable cause, the complaint and
the record of its investigation shall remain confidential, except upon the request of
the respondent and except that some or all of the record may be used in subsequent
proceedings. No complainant, respondent, witness, designated party, or Office of State
Ethics or staff member shall disclose to any third party any information learned from the
investigation, including knowledge of the existence of a complaint, which the disclosing
party would not otherwise have known. If such a disclosure is made, the judge trial
referee may, after consultation with the respondent if the respondent is not the source
of the disclosure, publish its finding and a summary of its reasons therefor.
(e) The judge trial referee shall make public a finding of probable cause not later
than five business days after any such finding. At such time the entire record of the
investigation shall become public, except that the Office of State Ethics may postpone
examination or release of such public records for a period not to exceed fourteen days
for the purpose of reaching a stipulation agreement pursuant to subsection (c) of section
4-177. Any stipulation agreement or settlement entered into for a violation of this part
shall be approved by a majority if its members present and voting.
(P.A. 84-52, S. 4; P.A. 85-290, S. 6; P.A. 88-317, S. 42, 107; June 12 Sp. Sess. P.A. 91-1, S. 17; P.A. 94-132, S. 7;
P.A. 05-183, S. 18.)
History: P.A. 85-290 amended Subsec. (a) to add provisions re confidentiality of a commission evaluation prior to the
filing of a complaint; P.A. 88-317 substituted "subsection (c) of section 4-177" for "subsection (d) of section 4-177" in
Subsec. (e), effective July 1, 1989, and applicable to all agency proceedings commencing on or after that date; June 12
Sp. Sess. P.A. 91-1 repealed former Subsec. (f) re publication of commission finding and memorandum under Sec. 1-93(b); P.A. 94-132 amended Subsec. (a) by changing "an evaluation" to "a commission evaluation" and authorizing reports
to prosecutorial authority other than chief state's attorney; P.A. 05-183 replaced "commission" with "judge trial referee",
"Office of State Ethics" or "board" throughout the section and amended Subsec. (e) to add requirement that any stipulation
agreement or settlement be approved by a majority of members present and voting, effective July 1, 2005.
Sec. 1-94. Lobbyist registration with the Office of State Ethics. A lobbyist shall
register with the Office of State Ethics pursuant to this part if it or he:
(1) Receives or agrees to receive compensation or reimbursement for actual expenses, or both, in a combined amount of two thousand dollars or more in a calendar
year for lobbying, whether that receipt of compensation or reimbursement or agreement
to receive such compensation or reimbursement is solely for lobbying or the lobbying
is incidental to that person's regular employment; or
(2) Makes or incurs an obligation to make expenditures of two thousand dollars or
more in a calendar year for lobbying.
(P.A. 77-605, S. 5, 21; P.A. 79-615, S. 4, 10; P.A. 81-339, S. 2, 7; June 12 Sp. Sess. P.A. 91-1, S. 10, 22; P.A. 96-11,
S. 3, 5; P.A. 05-183, S. 19.)
History: P.A. 79-615 changed emphasis of section to require registration as lobbyist prior to actually serving as such;
P.A. 81-339 increased monetary thresholds from three hundred to five hundred dollars; June 12 Sp. Sess. P.A. 91-1
substituted "one thousand" for "five hundred" and numbered the Subdivs. instead of lettering them; P.A. 96-11 changed
registration threshold from one thousand to two thousand dollars, effective January 1, 1997; P.A. 05-183 replaced "commission" with "Office of State Ethics", effective July 1, 2005.
Sec. 1-95. Registration procedure. Fees. (a) Each registrant shall file every two
years with the Office of State Ethics on a registration form signed under penalty of
false statement on or before January fifteenth of odd-numbered years or prior to the
commencement of lobbying whichever is later. If the registrant is not an individual, an
authorized officer or agent of the registrant shall sign the form. Such registration shall
be on a form prescribed by the board and shall include:
(1) If the registrant is an individual, the registrant's name, permanent address and
temporary address while lobbying and the name, address and nature of business of
any person who compensates or reimburses, or agrees to compensate or reimburse the
registrant and the terms of the compensation, reimbursement or agreement, but shall
not include the compensation paid to an employee for his involvement in activities other
than lobbying;
(2) If the registrant is a corporation, the name, address, place of incorporation and
the principal place of business of the corporation;
(3) If the registrant is an association, group of persons or an organization, the name
and address of the principal officers and directors of such association, group of persons
or organization. If the registrant is formed primarily for the purpose of lobbying, it shall
disclose the name and address of any person contributing two thousand dollars or more
to the registrant's lobbying activities in any calendar year;
(4) If the registrant is not an individual, the name and address of each individual
who will lobby on the registrant's behalf; and
(5) The identification, with reasonable particularity, of areas of legislative or administrative action on which the registrant expects to lobby, including the names of executive
agencies and quasi-public agencies and, where applicable, solicitations for state contracts and procurements.
(b) Each registrant shall pay a reasonable fee not in excess of the cost of administering the registration form provided for in subsection (a) of this section plus the cost of
collecting, filing, copying and distributing the information filed by registrants under
section 1-96, but not less than twenty-five dollars. A registrant who commences lobbying
in an even-numbered year shall file with the Office of State Ethics, on or before January
fifteenth of such even-numbered year or prior to the commencement of lobbying, whichever is later, a registration form signed under penalty of false statement and shall pay
one-half of the biennial registration fee established by the board.
(c) Each registrant shall file a notice of termination within thirty days after he ceases
the activity that required his registration, provided the registrant does not intend to
resume the activity during the biennial period for which he is registered; but termination
shall not relieve him of the reporting requirements of section 1-96 for the period preceding the date his notice of termination is received by the Office of State Ethics or for the
period commencing on such date and ending on December thirty-first of the year in
which termination occurs.
(d) In addition to the requirements of subsections (a) to (c), inclusive, of this section,
the registration of a: (1) Client lobbyist, as defined in section 1-91, shall include: (A)
The name of such company or association, (B) the nature of such company or association,
(C) the primary business address of such company or association, (D) the name of the
person responsible for oversight of such client lobbyist's lobbying activities, (E) the job
title of such person and any applicable contact information for such person, including
but not limited to, phone number, facsimile number, electronic mail address and business
mailing address; and (2) communicator lobbyist, as defined in section 1-91, shall include
the name of the person with whom such communicator lobbyist has primary contact for
each client of such communicator lobbyist and any applicable contact information for
such person, including but not limited to, phone number, facsimile number, electronic
mail address and business mailing address.
(P.A. 77-605, S. 6, 21; P.A. 79-615, S. 5, 10; P.A. 81-339, S. 3, 7; P.A. 83-463, S. 1, 2; 83-586, S. 11, 14; P.A. 84-546,
S. 146, 173; P.A. 89-251, S. 58, 203; June 12 Sp. Sess. P.A. 91-1, S. 11, 22; P.A. 92-149, S. 2, 12; P.A. 95-144, S. 9, 11;
P.A. 96-11, S. 4, 5; P.A. 05-183, S. 20; 05-287, S. 45, 50.)
History: P.A. 79-615 required, as part of registration, the filing of information regarding lobbyist's employer and terms
of his compensation for lobbying activities and changed provisions regarding notice of termination; P.A. 81-339 amended
Subsec. (a) to raise monetary thresholds from three to five hundred dollars; P.A. 83-463 amended Subsec. (b) by allowing
the registration fee to be determined by the cost of collecting, filing, copying and distributing information filed by registrants,
as well as by the cost of administering the registration form; P.A. 83-586 amended Subsec. (c) to extend reporting requirements to the period beginning on the date of termination of registration and ending on the December thirty-first following
termination; P.A. 84-546 made technical change to Subsec. (a); P.A. 89-251 set the fee for administration at not less than
twenty-five dollars; June 12 Sp. Sess. P.A. 91-1 substituted "one thousand" for "five hundred" in Subsec. (a); P.A. 92-149
amended Subsec. (a) to require disclosure of name and address of persons contributing in excess of one thousand dollars
in any calendar year and made technical corrections for statutory consistency; P.A. 95-144 deleted provision in Subsec.
(a) re individual registrants who receive $1,000 or more for lobbying, effective June 28, 1995; P.A. 96-11 changed the
lobbyist registration period from one to two years and increased contribution amount requiring disclosure from one thousand
to two thousand dollars in Subsec. (a) and amended Subsec. (b) to provide for even-year registrations, effective January
1, 1997; P.A. 05-183 replaced "commission" with "Office of State Ethics" or "board" throughout the section, effective
July 1, 2005; P.A. 05-287 amended Subsec. (a)(5) to require inclusion of the names of executive agencies and quasi-public
agencies and, where applicable, solicitations for state contracts and procurements, effective July 1, 2005, and added Subsec.
(d) re additional registration requirements for client lobbyists and communicator lobbyists, effective July 13, 2005.
Sec. 1-96. Financial reports of registrants. Requirements. (a) Each client lobbyist registrant shall file with the Office of State Ethics between the first and tenth day of
April, July and January a financial report, signed under penalty of false statement. The
April and July reports shall cover its lobbying activities during the previous calendar
quarter and the January report shall cover its lobbying activities during the previous
two calendar quarters. In addition to such reports, each client lobbyist registrant which
attempts to influence legislative action shall file, under penalty of false statement, interim monthly reports of its lobbying activities for each month the General Assembly
is in regular session, except that no monthly report shall be required for any month in
which it neither expends nor agrees to expend one hundred dollars or more in furtherance
of lobbying. Such interim monthly reports shall be filed with the Office of State Ethics
no later than the tenth day of the month following the last day of the month reported.
If the client lobbyist registrant is not an individual, an authorized officer or agent of the
client lobbyist registrant shall sign the form. A communicator lobbyist for a municipality
or any subdivision of a municipality, a branch of state government or any subdivision
of state government or a quasi-public agency shall file the reports described in this
subsection utilizing the client lobbyist reporting schedule.
(b) Each individual communicator lobbyist registrant and each business organization communicator lobbyist registrant shall file with the Office of State Ethics between
the first and tenth day of January a report or reports, signed under penalty of false
statement, reporting the amounts of compensation and reimbursement received from
each of his clients during the previous year. In addition, each individual communicator
lobbyist registrant and each business organization communicator lobbyist registrant
shall: (1) Report the fundamental terms of contracts, agreements or promises to pay
or receive compensation or reimbursement or to make expenditures in furtherance of
lobbying, including the categories of work to be performed and the dollar value or
compensation rate of the contract, at the time of registration; (2) report, in accordance
with the schedule set forth in subsection (a) of this section, any amendments to these
fundamental terms, including any agreements to subcontract lobbying work; and (3)
report, in accordance with the provisions of subsection (a) of this section, any expenditures for the benefit of a public official in the legislative or executive branch or a member
of the staff or immediate family of such official which are unreimbursed and required
to be itemized. Such report shall not include the disclosure of food and beverage provided
by a communicator lobbyist registrant to a public official in the legislative or executive
branch or a member of his staff or immediate family at a major life event, as defined
by the Citizen's Ethics Advisory Board, of the registrant. All such information shall be
reported under penalty of false statement.
(c) An individual communicator lobbyist registrant shall file a separate report for
each person from whom he received compensation or reimbursement. Notwithstanding
any provision of this subsection to the contrary, a business organization to which one
or more individual communicator lobbyist registrants belong may file a single report
for each client lobbyist in lieu of any separate reports that individual registrants are
required to file pursuant to this subsection.
(d) Each registrant who files a notice of termination under subsection (c) of section
1-95 shall file with the Office of State Ethics a financial report, under penalty of false
statement, between the first and tenth day of January of the year following termination.
(e) Each client lobbyist registrant financial report shall be on a form prescribed by
the board and shall state expenditures made and the fundamental terms of contracts,
agreements or promises to pay compensation or reimbursement or to make expenditures
in furtherance of lobbying. Any such fundamental terms shall be reported once in the
monthly, quarterly or post-termination report next following the entering into of such
contract. Such financial report shall include an itemized statement of each expenditure
of ten dollars or more per person for each occasion made by the reporting registrant or
a group of registrants which includes the reporting registrant for the benefit of a public
official in the legislative or executive branch, a member of his staff or immediate family,
itemized by date, beneficiary, amount and circumstances of the transaction. The requirement of an itemized statement shall not apply to an expenditure made by a reporting
registrant or a group of registrants which includes the reporting registrant for (1) the
benefit of the members of the General Assembly at an event that is a reception to which
all such members are invited or all members of a region of the state, as such term is used
in subdivision (11) of subsection (g) of section 1-91, are invited, unless the expenditure is
thirty dollars or more per person, or (2) benefits personally and directly received by a
public official or state employee at a charitable or civic event at which the public official
or state employee participates in his official capacity, unless the expenditure is thirty
dollars or more per person, per event. If the compensation is required to be reported for
an individual whose lobbying is incidental to his regular employment, it shall be sufficient to report a prorated amount based on the value of the time devoted to lobbying.
On the first financial report following registration each client lobbyist registrant shall
include any expenditures incident to lobbying activities which were received or expended prior to registration and not previously reported to the Office of State Ethics.
(f) The Citizen's Ethics Advisory Board shall, by regulations adopted in accordance
with chapter 54, establish minimum amounts for each item required to be reported,
below which reporting may be made in the aggregate. The provisions of this subsection
shall not apply to expenditures made for the benefit of a public official or a member of
such person's staff or immediate family.
(g) Each former registrant shall (1) report receipts or expenditures incident to lobbying activities during his period of registration which are received or expended following termination of registration and (2) report each expenditure of ten dollars or more
per person for each occasion made by him for the benefit of a public official or a member
of such official's immediate family or staff which occurs within six months after termination of registration.
(h) The Office of State Ethics shall, within thirty days after receipt of a financial
report which contains the name of a public official in the legislative or executive branch
or a member of such official's staff or immediate family, send a written notice to such
public official, of the filing of the report and the name of the person who filed it.
(P.A. 77-605, S. 7, 21; P.A. 79-615, S. 6, 10; P.A. 81-339, S. 4, 7; P.A. 82-423, S. 3, 8; P.A. 83-586, S. 12, 14; P.A.
84-21, S. 3; 84-425; P.A. 85-290, S. 7; June 12 Sp. Sess. P.A. 91-1, S. 12, 22; P.A. 92-149, S. 3, 12; June 18 Sp. Sess. P.A.
97-6, S. 7, 14; P.A. 05-183, S. 21.)
History: P.A. 79-615 required interim monthly reports of lobbying activities during general assembly sessions, added
detail to financial report requirements and provided that minimum amounts be established for items required to be reported;
P.A. 81-339 raised level of expenditures requiring itemized reporting in Subsec. (b) from twenty-five dollars to thirty-five
dollars; P.A. 82-423 increased amount in Subsec. (b) from thirty-five to fifty dollars and authorized waiver of reporting
requirement where expenditures are less than fifty dollars; P.A. 83-586 amended Subsec. (a) to require post-termination
reports, amended Subsec. (b) to delete notarization requirement and add reporting requirement for preregistration receipts
and expenditures and added Subsec. (d) specifying certain post-termination receipts and expenditures required to be reported; P.A. 84-21 added exception in Subsec. (a) to monthly reporting requirement for months in which receipts or
expenditures or agreements relating thereto are less than fifty dollars; P.A. 84-425 amended section to permit filing of a
single financial report on behalf of all registrants in a business organization for each client, to clarify fifty dollar per occasion
reporting requirement and added Subsec. (e) to require the commission to notify public officials of financial reports which
contain the name of the official, a member of his staff or a member of his family; P.A. 85-290 amended Subsecs. (b) and
(d) to require reporting of expenditures of fifteen dollars or more per person for each occasion rather than of expenditures
of fifty dollars or more per occasion and in Subsec. (b) exempted registrants from reporting expenditures in certain cases
involving a reception for all members of the general assembly; June 12 Sp. Sess. P.A. 91-1 amended Subsec. (a) by repealing
requirement for October report, limiting monthly reports to each month general assembly is in regular session, increasing
threshold for monthly report from fifty to one hundred dollars, and allowing business organization to which one or more
registrants belong to file single financial report in lieu of separate reports for individual registrants, amended Subsecs. (b)
and (d) by decreasing threshold for itemized statement of each expenditure per person for each occasion from fifteen to
ten dollars and in Subsec. (b) repealed commission authority to waive reporting of expenditures less than fifty dollars, and
added sentence to Subsec. (c) re exemptions from requirements of Subsec. (c); P.A. 92-149 amended Subsec. (a) to add
"client lobbyist" reference, added reporting requirement for communicator lobbyist, added new Subsec. (b) re reporting
requirements of individual communicator lobbyist registrant and business organization communicator lobbyist, created a
new Subsec. (c) with language taken from the old Subsec. (a) re filing separate reports for each person in a firm receiving
compensation or reimbursement, added "individual communicator lobbyist" and "client lobbyist" references, relettered
the remaining Subsecs. as necessary and made technical corrections for statutory consistency; June 18 Sp. Sess. P.A. 97-6 amended Subsec. (e) by expanding the exception to the requirement to submit itemized statements and by changing limit
to thirty dollars, effective January 1, 1998; P.A. 05-183 replaced "commission" with "Office of State Ethics", "Citizen's
Ethics Advisory Board" or "board" throughout the section, effective July 1, 2005.
Sec. 1-96a. Maintenance of substantiating documents. Random audits of registrants. (a) Each registrant shall obtain and preserve all accounts, bills, receipts and
other documents necessary to substantiate the financial reports required by section 1-96 for a period of three years from the date of the filing of the report referring to such
financial matters, provided this section shall apply to each expenditure for the benefit
of a public official of ten dollars or more and all other expenditures of fifty dollars or
more.
(b) The Office of State Ethics may require, on a random basis, any registrant to
make all such documents substantiating financial reports concerning lobbying activities
on and after October 1, 1991, available for inspection and copying by the Office of State
Ethics for the purpose of verifying such financial reports, provided no registrant shall
be subject to such requirement more than one time during any three consecutive years.
The Office of State Ethics shall select registrants to be audited by lot in a ceremony
which shall be open to the public. Nothing in this subsection shall require a registrant
to make any documents concerning nonlobbying activities available to the Office of
State Ethics for inspection and copying.
(P.A. 79-615, S. 7, 10; P.A. 81-339, S. 5, 7; P.A. 82-423, S. 4, 8; June 12 Sp. Sess. P.A. 91-1, S. 13; P.A. 92-149, S.
4, 12; P.A. 05-183, S. 22.)
History: P.A. 81-339 increased amount of expenditures for which receipts must be kept from twenty-five to thirty-five
dollars or more; P.A. 82-423 increased amount from thirty-five dollars to fifty dollars; June 12 Sp. Sess. P.A. 91-1 added
Subsec. (b) re commission authority to require registrant to make documents available for inspection and copying; P.A.
92-149 amended Subsec. (a) to specify applicability to expenditures for benefit of public official of ten dollars or more;
P.A. 05-183 amended Subsec. (b) to replace "commission" with "Office of State Ethics" throughout the subsection, effective
July 1, 2005.
Sec. 1-96b. Filing of registrants' financial reports in electronic form. Each registrant required to file any financial reports under section 1-96 shall do so in electronic
form using the software created by the Office of State Ethics for that purpose or another
software program which meets specifications prescribed by the Office of State Ethics.
(June 18 Sp. Sess. P.A. 97-5, S. 5, 19; P.A. 02-89, S. 3; P.A. 05-183, S. 23.)
History: June 18 Sp. Sess. P.A. 97-5 effective July 1, 1997; P.A. 02-89 deleted as obsolete former Subsec. (a) requiring
the State Ethics Commission by July 1, 1998, to create a software program for the preparation of financial reports required
by Sec. 1-96, and provide training in its use, and to prescribe specifications for other software programs created by vendors
for such purpose, and made technical changes in the remaining provision; P.A. 05-183 replaced "commission" with "Office
of State Ethics" throughout the section, effective July 1, 2005.
Sec. 1-96c. Public access to computerized data from financial reports. On and
after January 1, 1999, the Office of State Ethics shall make all computerized data from
financial reports required by section 1-96 available to the public through (1) a computer
terminal in the office of the Office of State Ethics, and (2) the Internet or any other
generally available on-line computer network.
(June 18 Sp. Sess. P.A. 97-5, S. 6, 19; P.A. 05-183, S. 27.)
History: June 18 Sp. Sess. P.A. 97-5 effective July 1, 1997; P.A. 05-183 replaced "State Ethics Commission" and
"commission" with "Office of State Ethics", effective July 1, 2005.
Sec. 1-96e. Statements of necessary expenses paid or reimbursed by registrants. Each registrant who pays or reimburses a public official or state employee ten
dollars or more for necessary expenses, as defined in section 1-79, shall, within thirty
days, file a statement with the Office of State Ethics indicating the name of such individual and the amount of the expenses.
(P.A. 89-97, S. 4; June 12 Sp. Sess. P.A. 91-1, S. 9; P.A. 92-149, S. 5, 12; P.A. 05-183, S. 28.)
History: June 12 Sp. Sess. P.A. 91-1 applied section to registrant paying or reimbursing a public official or state employee
for necessary expenses instead of giving a fee or honorarium; P.A. 92-149 amended section to require registrants who pay
or reimburse public officials or state employees ten dollars or more for necessary expenses to file a statement with the
commission; P.A. 05-183 replaced "State Ethics Commission" with "Office of State Ethics", effective July 1, 2005.
Sec. 1-98. Appeal from board decision. Any person aggrieved by any final decision of the board, made pursuant to this part, may appeal such decision in accordance
with the provisions of section 4-175 or section 4-183.
(P.A. 77-605, S. 9, 21; P.A. 84-21, S. 4, 5; P.A. 05-183, S. 24.)
History: P.A. 84-21 added reference to Sec. 4-175; P.A. 05-183 replaced "commission" with "board", effective July
1, 2005.
Sec. 1-99. Authority of board after finding violation. (a) The board, upon a finding made pursuant to section 1-93 that there has been a violation of any provision of
this part, shall have the authority to order the violator to do any or all of the following:
(1) Cease and desist the violation of this part; (2) file any report, statement or other
information as required by this part; or (3) pay a civil penalty of not more than ten
thousand dollars for each violation of this part. The board may prohibit any person
who intentionally violates any provision of this part from engaging in the profession of
lobbyist for a period of not more than two years. The board may impose a civil penalty
on any person who knowingly enters into a contingent fee agreement in violation of
subsection (b) of section 1-97 or terminates a lobbying contract as the result of the
outcome of an administrative or legislative action. The civil penalty shall be equal to
the amount of compensation which the registrant was required to be paid under the
agreement.
(b) Notwithstanding the provisions of subsection (a) of this section, the board may,
after a hearing conducted in accordance with sections 4-176e to 4-184, inclusive, upon
the concurring vote of two-thirds of its members, impose a civil penalty not to exceed
ten dollars per day upon any registrant who fails to file any report, statement or other
information as required by this part. Each distinct violation of this subsection shall be
a separate offense and, in case of a continued violation, each day thereof shall be deemed
a separate offense. In no event shall the aggregate penalty imposed for such failure to
file exceed ten thousand dollars.
(c) The board may also report its finding to the Chief State's Attorney for any action
deemed necessary.
(P.A. 77-605, S. 10, 21; P.A. 79-615, S. 8, 10; P.A. 80-483, S. 4, 186; P.A. 83-249, S. 13, 14; 83-586, S. 13, 14; P.A.
84-546, S. 147, 173; P.A. 88-317, S. 43, 107; June 12 Sp. Sess. P.A. 91-1, S. 18; P.A. 94-132, S. 8; P.A. 04-38, S. 6; 04-204, S. 8; P.A. 05-183, S. 25, 29.)
History: P.A. 79-615 provided for civil penalty for failure to file required information; P.A. 80-483 made technical
changes; P.A. 83-249 amended Subsec. (b) to require concurring vote of five members; P.A. 83-586 allowed commission
to prohibit any person who intentionally violates code from engaging in the profession of lobbyist for up to two years;
P.A. 84-546 made technical change to Subsec. (a); P.A. 88-317 substituted "4-176e" for "4-177" in Subsec. (b), effective
July 1, 1989, and applicable to all agency proceedings commencing on or after that date; June 12 Sp. Sess. P.A. 91-1
amended Subsec. (a) to authorize commission to impose civil penalties re contingent fee agreements and termination of
contract due to administrative or legislative action; P.A. 94-132 amended Subsecs. (a) and (b) by changing maximum
penalty from one thousand to two thousand dollars; P.A. 04-38 amended Subsec. (a) to increase the maximum penalty
from two thousand to ten thousand dollars and amended Subsec. (b) to make a technical change and increase the maximum
aggregate penalty from two thousand to ten thousand dollars, effective July 1, 2004; P.A. 04-204 amended Subsec. (b) to
increase vote required for imposition of civil penalty from five to six members and to make a technical change, effective
June 3, 2004; P.A. 05-183 replaced "commission" with "board" throughout the section and amended Subsec. (b) to change
the requirement for a finding of a violation from a vote of six members to a vote of two-thirds of the members, effective
July 1, 2005.
Sec. 1-100b. Suspension or revocation of communicator lobbyists's registration. Finding by Office of State Ethics. (a) The Office of State Ethics, upon a finding
that a communicator lobbyist has violated the provisions of subsection (i) of section 9-333l, may suspend said lobbyist's registration for a period of not more than the remainder
of the term of such registration and may prohibit said lobbyist from engaging in the
profession of lobbyist for a period of not more than three years.
(b) The Office of State Ethics may revoke the registration of a communicator lobbyist upon a finding that the lobbyist has been convicted of a crime involving bribery, theft
or moral turpitude, which the lobbyist committed in the course of lobbying.
(c) The Office of State Ethics shall make any finding under subsection (a) or (b) of
this section in accordance with the same procedure set forth in section 1-93 for a finding
by the commission of a violation of part II of chapter 10.
(d) As used in this section, "communicator lobbyist", "lobbyist" and "lobbying"
have the same meanings as provided in section 1-91.
(Oct. 25 Sp. Sess. P.A. 05-5, S. 47.)
History: Oct. 25 Sp. Sess. P.A. 05-5 effective December 31, 2006, and applicable to elections held on or after that date.
See Sec. 9-717 re effect of court of competent jurisdiction's prohibiting or limiting the expenditure of funds from the
Citizens' Election Fund established in Sec. 9-701.
Sec. 1-101. Lobbyists to wear badges. Regulations. Each individual who is a
lobbyist shall, while engaged in lobbying, wear a distinguishing badge which shall identify him as a lobbyist. The size, color, material and other requirements of such badge
shall be prescribed by regulation of the Citizen's Ethics Advisory Board.
(P.A. 77-605, S. 17, 21; P.A. 84-546, S. 148, 173; P.A. 05-183, S. 26.)
History: P.A. 84-546 made technical change; P.A. 05-183 replaced "commission" with "Citizen's Ethics Advisory
Board", effective July 1, 2005.
Sec. 1-101a. Prohibition re employment as lobbyist by public official or state
employee convicted of a crime related to state or quasi-public agency office. (a) As
used in this section:
(1) "Crime related to state or quasi-public agency office" means larceny by state
embezzlement, or theft, as defined in subdivision (18) of section 53a-119, bribery under
section 53a-147 or bribe receiving under section 53a-148, committed by a person while
serving as a public official or state employee;
(2) "Public official" means public official as defined in section 1-79; and
(3) "State employee" means state employee as defined in section 1-79.
(b) Notwithstanding any provision of the general statutes, no public official or state
employee that is convicted of or pleads guilty or nolo contendere to a crime related to
state or quasi-public agency office, shall seek or accept employment as a lobbyist or
otherwise act as a registrant pursuant to this chapter.
(P.A. 05-287, S. 53.)
History: P.A. 05-287 effective July 1, 2005.
PART IV
ETHICAL CONSIDERATIONS
CONCERNING BIDDING AND STATE CONTRACTS
Sec. 1-101mm. Definitions. As used in this section, sections 1-82, 1-101pp and
1-101qq, subsection (e) of section 1-79 and subsection (a) of section 1-82a:
(1) "Business with which the person is 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 the person or member of the immediate family of
any person who is an individual is a director, officer, owner, limited or general partner,
beneficiary of a trust or holder of stock constituting five per cent or more of the total
outstanding stock of any class, provided, a person who is an individual or a member of
the immediate family of such individual shall not be deemed to be associated with a
not-for-profit entity solely by virtue of the fact that such individual or immediate family
member is an unpaid director or officer of the not-for-profit entity. "Officer" refers only
to the president, executive or senior vice president or treasurer of such business.
(2) "Immediate family" means any spouse, children or dependent relatives who
reside in an individual's household.
(3) "Large state construction or procurement contract" means any contract, having
a cost of more than five hundred thousand dollars, for (A) the remodeling, alteration,
repair or enlargement of any real asset, (B) the construction, alteration, reconstruction,
improvement, relocation, widening or changing of the grade of a section of a state highway or a bridge, (C) the purchase or lease of supplies, materials or equipment, as defined
in section 4a-50, or (D) the construction, reconstruction, alteration, remodeling, repair
or demolition of any public building.
(4) "Person" has the same meaning as provided in section 1-79.
(5) "Public official" has the same meaning as provided in section 1-79.
(6) "Quasi-public agency" has the same meaning as provided in section 1-79.
(7) "State employee" has the same meaning as provided in section 1-79.
(P.A. 05-287, S. 32.)
History: P.A. 05-287 effective July 1, 2005.
Sec. 1-101nn. Solicitation of information not available to other bidders from
public official or state employee by contract bidder or contractor. Charging agency
for work not performed. Prohibition re consultant to agency serving as consultant
to bidder. Nonresponsible bidder. (a) Notwithstanding any provision of the general
statutes, no person who (1) is, or is seeking to be, prequalified under section 4a-100,
(2) is a party to a large state construction or procurement contract or seeking to enter
into such a contract with a state agency, board, commission or institution or a quasi-public agency, or (3) is a party to a consultant services contract or seeking to enter into
such a contract with a state agency, board, commission or institution or a quasi-public
agency, shall:
(A) With the intent to obtain a competitive advantage over other bidders, solicit
any information from a public official or state employee that the contractor knows is
not and will not be available to other bidders for a large state construction or procurement
contract that the contractor is seeking;
(B) Intentionally, wilfully or with reckless disregard for the truth, charge a state
agency, board, commission or institution or quasi-public agency for work not performed
or goods not provided, including submitting meritless change orders in bad faith with
the sole intention of increasing the contract price without authorization and, falsifying
invoices or bills or charging unreasonable and unsubstantiated rates for services or unreasonable and unsubstantiated prices for goods to a state agency, board, commission
or institution or quasi-public agency; or
(C) Intentionally or wilfully violate or attempt to circumvent state competitive bidding and ethics laws.
(b) No person with whom a state agency, board, commission or institution or quasi-public agency has contracted to provide consulting services to plan specifications for any
contract and no business with which the person is associated may serve as a consultant to
any person seeking to obtain such contract, serve as a contractor for such contract or
serve as a subcontractor or consultant to the person awarded such contract.
(c) Any person who violates any provision of this section may be deemed a nonresponsible bidder by a state agency, board, commission or institution or quasi-public
agency.
(P.A. 05-287, S. 33.)
History: P.A. 05-287 effective July 1, 2005.
Sec. 1-101oo. Jurisdiction over nonresidents. Secretary of the State as process
agent. Service of process. (a) In addition to its jurisdiction over persons who are residents of this state, the State Ethics Commission may exercise personal jurisdiction over
any nonresident person, or the agent of such nonresident person, who makes a payment
of money or gives anything of value to a public official or state employee in violation
of section 1-101nn, or who is, or is seeking to be, prequalified under section 4a-100.
(b) Where personal jurisdiction is based solely upon this section, an appearance
does not confer personal jurisdiction with respect to causes of action not arising from
an act enumerated in this section.
(c) Any nonresident person or the agent of such person over whom the State Ethics
Commission may exercise personal jurisdiction, as provided in subsection (a) of this
section, who does not otherwise have a registered agent in this state for service of process,
shall be deemed to have appointed the Secretary of the State as the person's or agent's
attorney and to have agreed that any process in any complaint, investigation or other
matter conducted pursuant to section 1-82 or 1-82a, concerning an alleged violation of
section 1-101nn and brought against the nonresident person, or said person's agent, may
be served upon the Secretary of the State and shall have the same validity as if served
upon such nonresident person or agent personally. The process shall be served upon the
Secretary of the State by the officer to whom the same is directed by leaving with or at
the office of the Secretary of the State, at least twelve days before any required appearance day of such process, a true and attested copy of such process, and by sending to
the nonresident person or agent so served, at the person's or agent's last-known address,
by registered or certified mail, postage prepaid, return receipt requested, a like and
attested copy with an endorsement thereon of the service upon the Secretary of the State.
The Secretary of the State shall keep a record of each such process and the day and hour
of service.
(P.A. 05-287, S. 34.)
History: P.A. 05-287 effective July 1, 2005.
Sec. 1-101pp. Reporting of ethics violations by agency commissioners and persons in charge of state agency procurement and contracting. Any commissioner,
deputy commissioner, state agency or quasi-public agency head or deputy, person in
charge of state agency procurement and contracting who has reasonable cause to believe
that a person has violated the provisions of the Code of Ethics for Public Officials set
forth in part I of this chapter or any law or regulation concerning ethics in state contracting shall report such belief to the State Ethics Commission, which may further
report such information to the Auditor of Public Accounts, Chief State's Attorney or
the Attorney General.
(P.A. 05-287, S. 36.)
History: P.A. 05-287 effective July 1, 2005.
Sec. 1-101qq. State ethics laws summary provided to bidders by state agencies.
Affirmation of receipt. Summary to subcontractors by large state contractors. Affirmation of receipt. Failure to obtain affirmation. Incorporation of summary in
contract terms. (a) A state agency or institution or quasi-public agency that is seeking
a contractor for a large state construction or procurement contract shall provide the
summary of state ethics laws developed by the State Ethics Commission pursuant to
section 1-81b to any person seeking a large state construction or procurement contract.
Such person shall promptly affirm to the agency or institution, in writing, (1) receipt of
such summary, and (2) that key employees of such person have read and understand
the summary and agree to comply with the provisions of state ethics law. No state agency
or institution or quasi-public agency shall accept a bid for a large state construction or
procurement contract without such affirmation.
(b) Each large state construction or procurement contractor shall provide the summary of state ethics laws described in subsection (a) of this section to all subcontractors
and consultants and obtain an affirmation from each subcontractor and consultant that
such subcontractor and consultant has received such summary and key employees of
such subcontractor and consultant have read and understand the summary and agree to
comply with its provisions. The contractor shall provide such affirmations to the state
agency. Failure to submit such affirmations in a timely manner shall be cause for termination of the large state construction or procurement contract.
(c) Each contract with a contractor, subcontractor or consultant described in subsection (a) or (b) of this section shall incorporate such summary by reference as a part of
the contract terms.
(P.A. 05-287, S. 37.)
History: P.A. 05-287 effective July 1, 2005.
Sec. 1-101rr. State agency ethics compliance officers. Duties. Liaisons. (a)
Each state agency and quasi-public agency that is a party to a large state construction
or procurement contract or is planning such a contract shall appoint an ethics compliance
officer. Such officer shall be responsible for the development of the ethics policies of
such agency, coordination of ethics training programs for such agency and monitoring
of programs of such agency for compliance with the ethics policies of the agency and
the Code of Ethics for Public Officials set forth in part I of this chapter. At least annually,
each ethics compliance officer shall provide ethics training to agency personnel involved
in contractor selection, evaluation and supervision. Such training shall include a review
of current ethics laws and regulations and discussion of ethics issues concerning contracting. Any contractor and employee of such agency shall provide any requested information to such ethics compliance officer.
(b) Each other state agency and quasi-public agency shall designate an agency officer or employee as a liaison to the State Ethics Commission. The liaison shall coordinate
the development of ethics policies for the agency and work with the State Ethics Commission on training on ethical issues for agency personnel involved in contracting.
(P.A. 05-287, S. 35.)
History: P.A. 05-287 effective July 1, 2005.