House Bill No. 8005
House Bill No. 8005
June 18 Special Session, PUBLIC ACT NO. 97-6
AN ACT CONCERNING ETHICS REFORM AND REVOLVING DOOR
RESTRICTIONS.
Be it enacted by the Senate and House of
Representatives in General Assembly convened:
Section 1. Subsection (e) of section 1-79 of
the general statutes is repealed and the following
is substituted in lieu thereof:
(e) "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 as described in subdivision (9) or (11) of
subsection (b) of section 9-333b;
(2) Services provided by persons volunteering
their time;
(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) an 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 [one hundred] 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;
[(11)] (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; [or]
[(12)] (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.
Sec. 2. Subsection (j) of section 1-84 of the
general statutes is repealed and the following is
substituted in lieu thereof:
(j) No public official, state employee or
candidate for public office, or a member of any
such person's staff or immediate family shall
knowingly accept any gift, [or gifts known to
amount to fifty dollars or more in value in any
calendar year] AS DEFINED IN SUBSECTION (e) OF
SECTION 1-79, AS AMENDED BY THIS ACT, from a
person known to be a registrant or anyone known to
be acting on behalf of a registrant.
Sec. 3. Subsection (k) of section 1-84 of the
general statutes is repealed and the following is
substituted in lieu thereof:
(k) No public official or state employee shall
accept a fee or honorarium for an article,
appearance or speech, or for participation at an
event, in his official capacity, provided a public
official or state employee may receive payment or
reimbursement for necessary expenses for any such
activity in his official capacity. If a public
official or state employee receives such a payment
or reimbursement for lodging or out-of-state
travel or both, the official or employee shall,
within thirty days, file a report of the payment
or reimbursement with the commission, unless the
payment or reimbursement is provided by the
federal government or another state government. If
a public official or state employee does not file
such report within such period, either
intentionally or due to gross negligence on his
part, he shall return the payment or
reimbursement. If any failure to file such report
is not intentional or due to gross negligence on
the part of the public official or state employee,
he shall not be subject to any penalty under this
chapter. WHEN A PUBLIC OFFICIAL OR STATE EMPLOYEE
WHO ATTENDS AN EVENT IN THIS STATE IN HIS OFFICIAL
CAPACITY AND AS A PRINCIPAL SPEAKER AT SUCH EVENT
AND RECEIVES ADMISSION TO OR FOOD OR BEVERAGE AT
SUCH EVENT FROM THE SPONSOR OF THE EVENT, SUCH
ADMISSION OR FOOD OR BEVERAGE SHALL NOT BE
CONSIDERED A GIFT AND NO REPORT SHALL BE REQUIRED
FROM SUCH OFFICIAL OR EMPLOYEE OR FROM THE SPONSOR
OF THE EVENT.
Sec. 4. Subsection (m) of section 1-84 of the
general statutes is repealed and the following is
substituted in lieu thereof:
(m) No public official or state employee shall
knowingly accept, directly or indirectly, any
gift, [or gifts known to amount to fifty dollars
or more in value in any calendar year] AS DEFINED
IN SUBSECTION (e) OF SECTION 1-79, AS AMENDED BY
THIS ACT, from any person the official or employee
knows or has reason to know: (1) Is doing business
with or seeking to do business with the department
or agency in which the official or employee is
employed [,] OR (2) is engaged in activities which
are directly regulated by such department or
agency. [or (3) has financial interests which may
be substantially affected by the performance or
nonperformance of official duties by the official
or employee.] No person shall knowingly give,
directly or indirectly, any gift or gifts in
violation of this provision.
Sec. 5. Section 1-84 of the general statutes
is amended by adding subsection (o) as follows:
(NEW) (o) Any person who (1) (A) is doing
business with or seeking to do business with the
department or agency in which a public official or
state employee is employed or (B) is engaged in
activities which are directly regulated by such
department or agency and (2) gives to such public
official or state employee anything of value which
is subject to the reporting requirements pursuant
to subsection (e) of section 1-96 of the general
statutes, as amended by this act, shall, not later
than ten days thereafter, give such recipient a
written report stating the name of the donor, a
description of the item or items given, the value
of such items and the cumulative value of all
items given to such recipient during that calendar
year. The provisions of this subsection shall not
apply to a political contribution otherwise
reported as required by law.
Sec. 6. Subsection (g) of section 1-91 of the
general statutes is repealed and the following is
substituted in lieu thereof:
(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 (11) of
subsection (b) of section 9-333b;
(2) Services provided by persons volunteering
their time;
(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 [one hundred] 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;
[(11)] (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; [or]
[(12)] (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.
Sec. 7. Subsection (e) of section 1-96 of the
general statutes is repealed and the following is
substituted in lieu thereof:
(e) Each client lobbyist registrant financial
report shall be on a form prescribed by the
commission 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, AS AMENDED BY THIS ACT, ARE INVITED,
unless the expenditure is [twenty] 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 commission.
Sec. 8. Section 1-97 of the general statutes
is repealed and the following is substituted in
lieu thereof:
(a) No registrant or anyone acting on behalf
of a registrant shall knowingly give A GIFT, AS
DEFINED IN SUBSECTION (g) OF SECTION 1-91, AS
AMENDED BY THIS ACT, to any state employee, public
official, candidate for public office or a member
of any such person's staff or immediate family.
[any gift or gifts that amount to fifty dollars or
more in value in the aggregate in any calendar
year.] Nothing in this section shall be construed
to permit any activity prohibited under section
53a-147 or 53a-148.
(b) No person shall be employed as a lobbyist
for compensation which is contingent upon the
outcome of any administrative or legislative
action.
(c) No lobbyist may: (1) Do anything with the
purpose of placing any public official under
personal obligation; (2) attempt to influence any
legislative or administrative action for the
purpose of thereafter being employed to secure its
defeat; (3) cause any communication to be sent to
any public official in the name of any other
individual except with the consent of such
individual.
(d) ANY PERSON WHO GIVES TO A PUBLIC OFFICIAL,
STATE EMPLOYEE OR CANDIDATE FOR PUBLIC OFFICE, OR
A MEMBER OF ANY SUCH PERSON'S STAFF OR IMMEDIATE
FAMILY ANYTHING OF VALUE WHICH IS SUBJECT TO THE
REPORTING REQUIREMENTS PURSUANT TO SUBSECTION (e)
OF SECTION 1-96 OF THE GENERAL STATUTES, AS
AMENDED BY THIS ACT, SHALL, NOT LATER THAN TEN
DAYS THEREAFTER, GIVE SUCH RECIPIENT A WRITTEN
REPORT STATING THE NAME OF THE DONOR, A
DESCRIPTION OF THE ITEM OR ITEMS GIVEN, THE VALUE
OF SUCH ITEMS AND THE CUMULATIVE VALUE OF ALL
ITEMS GIVEN TO SUCH RECIPIENT DURING THAT CALENDAR
YEAR. THE PROVISIONS OF THIS SUBSECTION SHALL NOT
APPLY TO A POLITICAL CONTRIBUTION OTHERWISE
REPORTED AS REQUIRED BY LAW.
Sec. 9. Section 1-79a of the general statutes
is repealed and the following is substituted in
lieu thereof:
[For the purposes of calculating the dollar
limit on gifts in any calendar year under
subsections (j) and (m) of section 1-84 and
section 1-97, and the dollar limits under the
exceptions to the term "gift" under sections 1-79
and 1-91, gifts or benefits costing less than ten
dollars per occasion or transaction shall not be
considered. The provisions of this section shall
not apply if the donor of such gift or benefit
reduces the cost of the gift or benefit below ten
dollars per occasion or transaction by (1) sharing
such cost with one or more other donors who are
subject to the limit on gifts under said sections
1-84 or 1-97 or (2) accepting partial
reimbursement from the donee.] FOR PURPOSES OF
CALCULATING THE DOLLAR LIMITS UNDER THE EXCEPTIONS
TO THE TERM "GIFT" UNDER SECTION 1-79, AS AMENDED
BY THIS ACT, AND SECTION 1-91, AS AMENDED BY THIS
ACT, ANY EXPENDITURE PROVIDED BY A LOBBYIST WHO IS
AN INDIVIDUAL SHALL BE DEEMED TO HAVE ALSO BEEN
PROVIDED BY THE BUSINESS ORGANIZATION WHICH HE
OWNS OR BY WHICH HE IS EMPLOYED, AND ANY
EXPENDITURE PROVIDED BY A BUSINESS ORGANIZATION
SHALL BE DEEMED TO HAVE ALSO BEEN PROVIDED BY ALL
OWNERS AND EMPLOYEES OF THE BUSINESS ORGANIZATION
WHO ARE LOBBYISTS.
Sec. 10. Section 1-92 of the general statutes
is repealed and the following is substituted in
lieu thereof:
The commission shall:
(1) Adopt regulations in accordance with
chapter 54 to carry out the purposes of this part.
Not later than January 1, 1992, the commission
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, AS AMENDED BY THIS
ACT, and subsection (g) of section 1-91, AS
AMENDED BY THIS ACT;
(2) Compile and maintain an index of all
reports and statements filed with the commission
under the provisions of this part AND ADVISORY
OPINIONS ISSUED BY THE COMMISSION WITH REGARD TO
THE REQUIREMENTS OF THIS PART, to facilitate
public access to such reports, [and] statements
AND ADVISORY OPINIONS promptly upon the filing OR
ISSUANCE thereof;
(3) Prepare quarterly and annual summaries of
statements and reports filed with the commission
AND ADVISORY OPINIONS ISSUED BY THE COMMISSION;
(4) Preserve advisory opinions permanently;
preserve memoranda filed under subsection (f) of
section 1-93a, statements and reports filed by and
with the commission for a period of five years
from the date of receipt;
(5) Upon the concurring vote of four of its
members, 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 commission, until amended or
revoked, shall be binding on the commission and
shall be deemed to be final decisions of the
commission for purposes of section 1-98. 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 commission, 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;
(6) Report annually, prior to February
fifteenth, to the Governor summarizing the
activities of the commission;
(7) Employ necessary staff within available
appropriations.
Sec. 11. (NEW) Each registrant or business
organization that hosts a legislative reception to
which all members are invited, or all members of a
region in the state, as such term is used in
subdivision (11) of subsection (g) of section 1-91
of the general statutes, as amended by this act,
are invited, shall include in its invitation or
any published notice of such reception whether the
registrant or business organization reasonably
expects such expenditures to be reportable
pursuant to subsection (e) of section 1-96 of the
general statutes, as amended by this act.
Sec. 12. Section 1-83 of the general statutes
is repealed and the following is substituted in
lieu thereof:
(a) (1) All state-wide elected officers,
members of the General Assembly, department heads
and their deputies, members of the Gaming Policy
Board, the executive director of the Division of
Special Revenue within the Department of Revenue
Services, members or directors of each
quasi-public agency, sheriffs and deputy sheriffs
and such members of the executive department and
such employees of quasi-public agencies as the
Governor shall require, shall file, under penalty
of false statement, a statement of financial
interests for the preceding calendar year with the
commission on or before the May first next in any
year in which they hold such a position. Any such
individual who leaves his office or position shall
file a statement of financial interests covering
that portion of the year during which he held his
office or position. The commission shall notify
such individuals of the requirements of this
subsection within thirty days after their
departure from such office or position. Such
individuals shall file such statement within sixty
days after receipt of the notification.
(2) Each state agency, department, board and
commission shall develop and implement, in
cooperation with the Ethics Commission, an ethics
statement as it relates to the mission of the
agency, department, board or commission. The
executive head of each such agency, department,
board or commission shall be directly responsible
for the development and enforcement of such ethics
statement and shall file a copy of such ethics
statement with the Department of Administrative
Services and the Ethics Commission.
(b) (1) The statement of financial interests,
except as provided in subdivision (2) of this
subsection, shall include the following
information for the preceding calendar year in
regard to the individual required to file the
statement and his spouse and dependent children
residing in the individual's household: (A) The
names of all businesses with which associated; (B)
the category or type of all sources of income in
excess of one thousand dollars, amounts of income
shall not be specified; [the names and addresses
of specific clients, patients and customers,
except when such information is privileged against
disclosure under the law or where the ethical
standards of a professional group, society or
organization of which the individual is a member,
prohibit such disclosure without the consent of
the client, patient or customer involved, who
provided more than ten thousand dollars of net
income including clients and customers who
provided more than ten thousand dollars of net
income to any business with which the individual
was associated, amounts of income not to be
specified;] (C) the name of securities in excess
of five thousand dollars at fair market value
owned by such individual, spouse or dependent
children or held in the name of a corporation,
partnership or trust for the benefit of such
individual, spouse or dependent children; (D) the
existence of any known blind trust and the names
of the trustees; (E) all real property and its
location, whether owned by such individual, spouse
or dependent children or held in the name of a
corporation, partnership or trust for the benefit
of such individual, spouse or dependent children;
(F) the names and addresses of creditors to whom
the individual, his spouse or dependent children,
individually, owed debts of more than ten thousand
dollars; and (G) any leases or contracts with the
state held or entered into by the individual or a
business with which he was associated. (2) The
statement of financial interests filed by sheriffs
and deputy sheriffs shall include only amounts and
sources of income earned in their capacity as
sheriffs or deputy sheriffs.
(c) The statement of financial interests filed
pursuant to this section shall be a matter of
public information, except the list of names,
filed in accordance with [subparagraph (B) or]
subparagraph (F) of subdivision (1) of subsection
(b) of this section shall be sealed and
confidential and for the use of the commission
only after a complaint has been filed under
section 1-82 and such complaint has been
determined by a vote of the commission to be of
sufficient merit and gravity to justify the
unsealing of such list or lists and not open to
public inspection unless the respondent requests
otherwise. If the commission reports its findings
to the Chief State's Attorney in accordance with
subsection (c) of section 1-88, the commission
shall turn over to the Chief State's Attorney such
relevant information contained in the statement as
may be germane to the specific violation or
violations or a prosecutorial official may
subpoena such statement in a criminal action.
Unless otherwise a matter of public record, the
Ethics Commission shall not disclose to the public
any such subpoena which would be exempt from
disclosure by the issuing agency.
(d) Any individual who is unable to provide
information required under the provisions of
subdivision (1) of subsection (b) of this section
by reason of impossibility may petition the
commission for a waiver of the requirements.
Sec. 13. Section 1-84b of the general statutes
is repealed and the following is substituted in
lieu thereof:
(a) No former executive branch or quasi-public
agency public official or state employee shall
represent anyone other than the state, concerning
any particular matter (1) in which he participated
personally and substantially while in state
service and (2) in which the state has a
substantial interest.
(b) No former executive branch or quasi-public
agency public official or state employee shall,
for one year after leaving state service,
represent anyone, other than the state, for
compensation before the department, agency, board,
commission, council or office in which he served
at the time of his termination of service,
concerning any matter in which the state has a
substantial interest. The provisions of this
subsection shall not apply to an attorney who is a
former employee of the Division of Criminal
Justice, with respect to any representation in a
matter under the jurisdiction of a court.
(c) The provisions of this subsection apply to
present or former executive branch public
officials or state employees who hold or formerly
held positions which involve significant
decision-making or supervisory responsibility and
are designated as such by the STATE Ethics
Commission in consultation with the agency
concerned except that such provisions shall not
apply to members or former members of the boards
or commissions who serve ex officio, who are
required by statute to represent the regulated
industry or who are permitted by statute to have a
past or present affiliation with the regulated
industry. Designation of positions subject to the
provisions of this subsection shall be by
regulations adopted by the STATE Ethics Commission
in accordance with chapter 54. As used in this
subsection, "agency" means the Office of Health
Care Access, the Connecticut Siting Council, the
Department of Banking, the Insurance Department,
THE DEPARTMENT OF PUBLIC SAFETY, the office within
the Department of Consumer Protection that carries
out the duties and responsibilities of sections
30-2 to 30-68m, inclusive, the Department of
Public Utility Control, including the Office of
Consumer Counsel, the Division of Special Revenue
and the Gaming Policy Board and the term
"employment" means professional services or other
services rendered as an employee or as an
independent contractor.
(1) No public official or state employee, in
an executive branch position designated by the
State Ethics Commission shall negotiate for, seek
or accept employment with any business subject to
regulation by his agency.
(2) No former public official or state
employee who held such a position in the executive
branch shall within one year after leaving an
agency, accept employment with a business subject
to regulation by that agency.
(3) No business shall employ a present or
former public official or state employee in
violation of this [section] SUBSECTION.
(d) THE PROVISIONS OF SUBSECTION (e) OF THIS
SECTION APPLY TO (1) PRESENT OR FORMER GAMING
POLICY BOARD OR DIVISION OF SPECIAL REVENUE PUBLIC
OFFICIALS OR STATE EMPLOYEES WHO HOLD OR FORMERLY
HELD POSITIONS WHICH INVOLVE SIGNIFICANT
DECISION-MAKING OR SUPERVISORY RESPONSIBILITY AND
ARE DESIGNATED AS SUCH BY THE STATE ETHICS
COMMISSION, IN CONSULTATION WITH THE AGENCY
CONCERNED, AND (2) PRESENT OR FORMER PUBLIC
OFFICIALS OR STATE EMPLOYEES OF OTHER AGENCIES WHO
HOLD OR FORMERLY HELD POSITIONS WHICH INVOLVE
SIGNIFICANT DECISION-MAKING OR SUPERVISORY
RESPONSIBILITY CONCERNING THE REGULATION OR
INVESTIGATION OF (A) ANY BUSINESS ENTITY (i)
ENGAGED IN INDIAN GAMING OPERATIONS IN THE STATE
AND (ii) IN WHICH A FEDERALLY-RECOGNIZED INDIAN
TRIBE IN THE STATE OWNS A CONTROLLING INTEREST OR
(B) A GOVERNMENTAL AGENCY OF A
FEDERALLY-RECOGNIZED INDIAN TRIBE ENGAGED IN
INDIAN GAMING OPERATIONS IN THE STATE, WHICH
POSITIONS ARE DESIGNATED AS SUCH BY THE STATE
ETHICS COMMISSION, IN CONSULTATION WITH THE AGENCY
CONCERNED. DESIGNATION OF POSITIONS SUBJECT TO THE
PROVISIONS OF THIS SUBSECTION SHALL BE BY
REGULATIONS ADOPTED BY THE STATE ETHICS COMMISSION
IN ACCORDANCE WITH CHAPTER 54. AS USED IN THIS
SUBSECTION, THE TERM "EMPLOYMENT" MEANS
PROFESSIONAL SERVICES OR OTHER SERVICES RENDERED
AS AN EMPLOYEE OR AS AN INDEPENDENT CONTRACTOR.
(e) (1) NO GAMING POLICY BOARD OR DIVISION OF
SPECIAL REVENUE PUBLIC OFFICIAL OR STATE EMPLOYEE
OR OTHER PUBLIC OFFICIAL OR STATE EMPLOYEE
DESCRIBED IN SUBDIVISION (2) OF SUBSECTION (d) OF
THIS SECTION, IN A POSITION DESIGNATED BY THE
STATE ETHICS COMMISSION, SHALL NEGOTIATE FOR, SEEK
OR ACCEPT EMPLOYMENT WITH (A) A BUSINESS ENTITY
(i) ENGAGED IN INDIAN GAMING OPERATIONS IN THE
STATE AND (ii) IN WHICH A FEDERALLY-RECOGNIZED
INDIAN TRIBE IN THE STATE OWNS A CONTROLLING
INTEREST OR (B) A GOVERNMENTAL AGENCY OF A
FEDERALLY-RECOGNIZED INDIAN TRIBE ENGAGED IN
INDIAN GAMING OPERATIONS IN THE STATE.
(2) NO FORMER GAMING POLICY BOARD OR DIVISION
OF SPECIAL REVENUE PUBLIC OFFICIAL OR STATE
EMPLOYEE OR OTHER FORMER PUBLIC OFFICIAL OR STATE
EMPLOYEE DESCRIBED IN SUBDIVISION (2) OF
SUBSECTION (d) OF THIS SECTION, WHO HELD SUCH A
POSITION SHALL, WITHIN TWO YEARS AFTER LEAVING
SUCH AGENCY, ACCEPT EMPLOYMENT WITH (A) A BUSINESS
ENTITY (i) ENGAGED IN INDIAN GAMING OPERATIONS IN
THE STATE AND (ii) IN WHICH A FEDERALLY-RECOGNIZED
INDIAN TRIBE IN THE STATE OWNS A CONTROLLING
INTEREST OR (B) A GOVERNMENTAL AGENCY OF A
FEDERALLY-RECOGNIZED INDIAN TRIBE ENGAGED IN
INDIAN GAMING OPERATIONS IN THE STATE.
[(d)] (f) No former public official or state
employee (1) who participated substantially in the
negotiation or award of (A) a state contract
[obliging the state to pay] VALUED AT an amount of
fifty thousand dollars or more or (B) a written
agreement for the approval of a payroll deduction
slot described in section 3-123, or (2) who
supervised the negotiation or award of such a
contract or agreement, shall accept employment
with a party to the contract or agreement other
than the state for a period of one year after his
resignation from his state office or position if
his resignation occurs less than one year after
the contract or agreement is signed.
[(e)] (g) No member or director of a
quasi-public agency who participates substantially
in the negotiation or award of a contract
[obliging his agency to pay] VALUED AT an amount
of fifty thousand dollars or more, or who
supervised the negotiation or award of such a
contract, shall seek, accept, or hold employment
with a party to the contract for a period of one
year after the signing of the contract.
[(f)] (h) The regulations required to
implement the provisions of subsection (c) of this
section may be adopted by the State Ethics
Commission prior to January 7, 1987, but may not
take effect prior to that date.
[(g)] (i) The provisions of subsections (a),
(b) and [(d)] (f) of this section shall not apply
to any employee of a quasi-public agency who
leaves such agency before July 1, 1989.
Sec. 14. This act shall take effect July 1,
1997, except that sections 1 to 12, inclusive,
shall take effect January 1, 1998.
Approved June 30, 1997