Sec. 1-79. Definitions. The following terms, when used in this part, shall have the
following meanings unless the context otherwise requires: Sec. 1-79a. Calculation of dollar limit on gifts. For purposes of calculating the
dollar limits under the exceptions to the term "gift" under sections 1-79 and 1-91 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. 1-80. State Ethics Commission. Members; appointment; qualifications;
vacancies; compensation. Hearings. (a) There shall be a State Ethics Commission
consisting of seven members to be appointed with the advice and consent of the General
Assembly. One member shall be appointed by the speaker of the House, one member
by the president pro tempore of the Senate, one member by the minority leader of the
Senate, one member by the minority leader of the House of Representatives and three
members by the Governor. Members of the commission shall serve for four-year terms
which shall commence on October first, except that members first appointed shall have
the following terms: The Governor shall appoint two members for a term of three years
and one member for a term of four years; the minority leader of the House of Representatives and the speaker of the House of Representatives shall each appoint one member
for a term of two years; the president pro tempore of the Senate and the minority leader
of the Senate shall each appoint one member for a term of four years. No individual
shall be appointed to more than one four-year term as a member of such commission,
provided that members may continue in office until a successor has been appointed and
qualified. No more than four members shall be members of the same political party. Sec. 1-80a. Statements filed with commission. Restrictions on use. The statements of members of the General Assembly, elected state officers, commissioners and
deputy commissioners required to be filed with and maintained by the former joint
legislative ethics committee under sections 1-76 and 1-77 of the general statutes, revision
of 1958, revised to 1977, shall be transferred to the Ethics Commission established
under section 1-80 and shall be maintained by said commission during the term of office
of such persons and for a period of two years thereafter. Such statements shall not be
open to public inspection except at the direction of the person making the statement,
provided such statements may be open to the use of the Ethics Commission if probable
cause has been found under section 1-82 and for the purposes of subsection (c) of section
1-83. Sec. 1-81. Duties of the commission. Model codes of ethics. Executive director
and general counsel. (a) The commission shall: Sec. 1-82. Complaints. Procedure. Time limits. Investigation; notice; hearings. Attorneys' fees. Damages for complaints without foundation. (a)(1) Upon the
complaint of any person on a form prescribed by the commission, signed under penalty
of false statement, or upon its own complaint, the commission shall investigate any
alleged violation of this part. Not later than five days after the receipt or issuance of
such complaint, the commission 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 commission undertakes an evaluation of a possible violation of
this part prior to the filing of a complaint by the commission, the subject of the evaluation
shall be notified within five business days after a commission staff member's first contact
with a third party concerning the matter. Sec. 1-82a. Confidentiality of complaints, evaluations of possible violations
and investigations. Publication of findings. (a) Unless the commission 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 commission evaluation of a possible violation of
this part prior to the filing of a complaint by the commission 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 commission 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 commission or staff member. No provision of this subsection shall
prevent the Ethics Commission from reporting the possible commission of a crime to
the Chief State's Attorney or other prosecutorial authority. Sec. 1-83. Statements of financial interests. Filing requirements. Ethics statements. (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, members of the Investment Advisory
Council, state marshal 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 or her office or position shall file a statement of financial interests covering that portion of the year during which such individual
held his or her 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. Sec. 1-84. (Formerly Sec. 1-66). Prohibited activities. (a) No public official or
state employee shall, while serving as such, have any financial interest in, or engage in,
any business, employment, transaction or professional activity, which is in substantial
conflict with the proper discharge of his duties or employment in the public interest and
of his responsibilities as prescribed in the laws of this state, as defined in section 1-85. Sec. 1-84a. Disclosure or use of confidential information by former official or
employee. No former executive or legislative branch or quasi-public agency public
official or state employee shall disclose or use confidential information acquired in the
course of and by reason of his official duties, for financial gain for himself or another
person. Sec. 1-84b. Certain activities restricted after leaving public office or employment. (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. Sec. 1-85. (Formerly Sec. 1-68). Interest in conflict with discharge of duties.
A public official, including an elected state official, or state employee has an interest
which is in substantial conflict with the proper discharge of his duties or employment
in the public interest and of his responsibilities as prescribed in the laws of this state, if
he has reason to believe or expect that he, his spouse, a dependent child, or a business
with which he is associated will derive a direct monetary gain or suffer a direct monetary
loss, as the case may be, by reason of his official activity. A public official, including
an elected state official, or state employee does not have an interest which is in substantial
conflict with the proper discharge of his duties in the public interest and of his responsibilities as prescribed by the laws of this state, if any benefit or detriment accrues to him,
his spouse, a dependent child, or a business with which he, his spouse or such dependent
child is associated as a member of a profession, occupation or group to no greater extent
than any other member of such profession, occupation or group. A public official, including an elected state official or state employee who has a substantial conflict may not
take official action on the matter. 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 his official duties, would be required to take an action that would affect a
financial interest of himself, his spouse, parent, brother, sister, child or the spouse of a
child or a business with which he 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,
he shall, if he is a member of a state regulatory agency, either excuse himself 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, he is able to vote and otherwise participate fairly, objectively and in the public interest. He shall deliver a copy of the statement to the commission and enter a copy of the statement in the journal or minutes of the agency. If he is
not a member of a state regulatory agency, he 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 his immediate superior, if any, who shall assign the matter to another
employee, or if he has no immediate superior, he shall take such steps as the commission
shall prescribe or advise. Secs. 1-86a to 1-86d. Reserved for future use. Sec. 1-86e. Consultants and independent contractors. Prohibited activities. (a)
No person hired by the state as a consultant or independent contractor shall: Sec. 1-87. Aggrieved persons. Appeals. Any person aggrieved by any final decision of the commission, made pursuant to this part, may appeal such decision in accordance with the provisions of section 4-175 or section 4-183. Sec. 1-88. Authority of commission after finding violation. (a) The commission,
upon a finding made pursuant to section 1-82 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; and (3) pay a civil penalty of not more
than two thousand dollars for each violation of this part. 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 shall be imprisoned for a term not to exceed one year
or shall be fined an amount not to exceed two thousand dollars, or both, 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. Sec. 1-89a. Conferences on ethical issues. (a) In each odd-numbered calendar
year, the State Ethics Commission, 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. Sec. 1-91. Definitions. When used in this part, unless the context otherwise requires: Sec. 1-92. Duties of commission. Regulations. Advisory opinions. The commission shall: 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 commission, signed under penalty of false statement,
or upon its own complaint, the commission shall investigate any alleged violation of
this part. Not later than five days after the receipt or issuance of such complaint, the
commission 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
commission undertakes an evaluation of a possible violation of this part prior to the
filing of a complaint by the commission, the subject of the evaluation shall be notified
within five business days after a commission staff member's first contact with a third
party concerning the matter. Sec. 1-93a. Confidentiality of complaints, evaluations of possible violations
and investigations. Publication of findings. (a) Unless the commission 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 commission evaluation of a possible violation of
this part undertaken prior to a complaint being filed by the commission 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 commission 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 commission or staff member. No provision of this subsection shall prevent the Ethics Commission from reporting the possible commission of a
crime to the Chief State's Attorney or other prosecutorial authority. Sec. 1-94. Lobbyist registration with the commission. A lobbyist shall register
with the commission pursuant to this part if it or he: Sec. 1-95. Registration procedure. Fees. (a) Each registrant shall file every two
years with the commission 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 commission and shall include: Sec. 1-96. Financial reports of registrants. Requirements. (a) Each client lobbyist registrant shall file with the commission 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 commission 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. 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. Sec. 1-96b. Filing of registrants' financial reports in electronic form. (a) Not
later than July 1, 1998, the State Ethics Commission shall (1) create a software program
for the preparation of financial reports required by section 1-96, and (2) prescribe specifications for other software programs created by vendors for such purpose. The commission shall provide training in the use of the software program created by the commission. Sec. 1-96c. Public access to computerized data from financial reports. On and
after January 1, 1999, the State Ethics Commission 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 commission and (2) the Internet or any other
generally available on-line computer network. Sec. 1-96d. Statement whether expenditures for legislative reception are reportable. 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, 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. 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 State Ethics Commission indicating the name of such
individual and the amount of the expenses. Sec. 1-97. Restrictions on activities of registrants. Contingent fees. (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, to any state employee, public official, candidate for
public office or a member of any such person's staff or immediate family. Nothing in
this section shall be construed to permit any activity prohibited under section 53a-147
or 53a-148. Sec. 1-98. Appeal from commission decision. Any person aggrieved by any final
decision of the commission, made pursuant to this part, may appeal such decision in
accordance with the provisions of section 4-175 or section 4-183. Sec. 1-99. Authority of commission after finding violation. (a) The commission,
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
two thousand dollars for each violation of this part. The commission 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 commission 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. Sec. 1-100. Violations; penalties. (a) Any person who intentionally violates any
provision of this part shall be imprisoned for a term not to exceed one year or shall be
fined an amount not to exceed two thousand dollars, or both. 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 commission. Secs. 1-101a to 1-101z. Reserved for future use. Sec. 1-101aa. Provider participation in informal committees, task forces and
work groups of certain state agencies not deemed to be lobbying. (a) As used in this
section, "department" means the Department of Mental Retardation, the Department of
Mental Health and Addiction Services, the Department of Public Health or the Office
of Health Care Access, and "provider" means any independent contractor or private
agency under contract with the department to provide services.
(a) "Blind trust" means a trust established by a public official or state employee or
member of his immediate family for the purpose of divestiture of all control and knowledge of assets.
(b) "Business with which he 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 public official or state employee or member of his
immediate family 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 public official or state employee, or member of his immediate family, shall not be deemed to be associated with a not for profit entity solely by
virtue of the fact that the public official or state employee or member of his immediate
family 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.
(c) "Candidate for public office" means any individual 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.
(d) "Commission" means the State Ethics Commission established in section 1-80.
(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 (10) 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 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.
(f) "Immediate family" means any spouse, children or dependent relatives who
reside in the individual's household.
(g) "Individual" means a natural person.
(h) "Member of an advisory board" means any individual (1) 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, (2) 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 (3) who has no authority to expend any public funds or
to exercise the power of the state.
(i) "Person" means an individual, sole proprietorship, trust, corporation, limited
liability company, union, association, firm, partnership, committee, club or other organization or group of persons.
(j) "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.
(k) "Public official" means any state-wide elected 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 or an appointee of the
Governor, with or without the advice and consent of the General Assembly, any public
member or representative of the teachers' unions or state employees' unions appointed
to the Investment Advisory Council pursuant to subsection (a) of section 3-13b, any
person appointed or elected by the General Assembly or by any member of either house
thereof, and any member or director of a quasi-public agency, but shall not include a
member of an advisory board, a judge of any court either elected or appointed or a
senator or representative in Congress.
(l) "Quasi-public agency" means the Connecticut Development Authority, Connecticut Innovations, Incorporated, Connecticut Health and Education Facilities Authority, Connecticut Higher Education Supplemental Loan Authority, Connecticut
Housing Finance Authority, Connecticut Housing Authority, Connecticut Resources
Recovery Authority, Connecticut Hazardous Waste Management Service, Lower Fairfield County Convention Center Authority, Capital City Economic Development Authority and Connecticut Coastline Port Authority.
(m) "State employee" means any employee in the executive, legislative or judicial
branch of state government, whether in the classified or unclassified service and whether
full or part-time, and any employee of a quasi-public agency, but shall not include a
judge of any court, either elected or appointed.
(n) "Trust" means a trust in which any public official or state employee or member
of his immediate family has a present or future interest which exceeds ten per cent of
the value of the trust or exceeds fifty thousand dollars, whichever is less, but shall not
include blind trusts.
(o) "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.
(p) "Client lobbyist" means a person on behalf of whom lobbying takes place and
who makes expenditures for lobbying and in furtherance of lobbying.
(q) "Necessary expenses" means a public official's or state employee's expenses
for an article, appearance or speech or for participation at an event, in his official capacity, which shall be limited to necessary travel expenses, lodging for the nights before,
of and after the appearance, speech or event, meals and any related conference or seminar
registration fees.
(r) "Lobbyist" and "registrant" shall be construed as defined in section 1-91.
(P.A. 77-600, S. 1, 15; 77-605, S. 14, 21; P.A. 79-493, S. 1, 9; P.A. 81-395, S. 6, 9; P.A. 82-423, S. 1, 8; P.A. 83-249,
S. 1, 14; P.A. 84-335, S. 1, 4; P.A. 86-99, S. 29, 34; P.A. 88-139, S. 1; 88-225, S. 1, 14; P.A. 89-245, S. 1; 89-360, S. 8,
45; 89-369, S. 1; June Sp. Sess. P.A. 91-8, S. 54, 63; June 12 Sp. Sess. P.A. 91-1, S. 1, 20, 22; P.A. 92-149, S. 7, 12; P.A.
93-413, S. 13, 16; P.A. 95-79, S. 3, 4, 189; June 18 Sp. Sess. P.A. 97-5, S. 17, 19; June 18 Sp. Sess. P.A. 97-6, S. 1, 14;
P.A. 98-179, S. 13, 30; P.A. 99-56; P.A. 00-43, S. 16, 19; 00-99, S. 13, 154.)
History: P.A. 77-605 redefined "political contribution"; P.A. 79-493 redefined "candidate for public office", "gift",
"immediate family", "member of an advisory board" and "public official" and included treasurers as officers of businesses
in Subdiv. (a); P.A. 81-395 substituted reference to Sec. 9-335(18) for reference to Sec. 9-348q(a) in Subdiv. (i); P.A. 82-
423 amended Subdiv. (d) to change food and beverage exception from under twenty-five dollars to under fifty dollars;
P.A. 83-249 amended Subdiv. (i) to broaden the definition of "political contribution"; P.A. 84-335 amended Subdiv.
(j) to include sheriffs and deputy sheriffs in definition of "public official"; P.A. 86-99 amended definition of "political
contribution" to reflect technical changes made in chapter 150; P.A. 88-139 added definitions of "blind trust" and "trust",
redefined "business with which he is associated" to include references to sole proprietorships, firms, corporations, trusts
and other profit or nonprofit entities, and redefined "person" to include sole proprietorships and trusts, relettering Subdivs.
as necessary; P.A. 88-225 included "any member or director of a quasi-public agency" in definition of "public official",
included "any employee of a quasi-public agency" in definition of "state employee" and inserted new Subdiv. defining
"quasi-public agency", relettering former Subdivs. as necessary; P.A. 89-245 amended the definition of "quasi-public
agency" in Subdiv. (l) to rename Connecticut Product Development Corporation as Connecticut Innovations, Incorporated;
P.A. 89-360 redefined "quasi-public agency" to include the New Haven Family Alliance; P.A. 89-369 limited exception
in definition of "gift" 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 Sp. Sess. P.A. 91-8 deleted reference to New Haven Family Alliance in definition of "quasi-public agency";
June 12 Sp. Sess. P.A. 91-1 added exception to definition of "business with which he is associated" in Subdiv. (b), substantially amended definition of "gift" and exceptions to "gift" in Subdiv. (e), redefined "quasi-public agency" in Subdiv. (l)
by adding Lower Fairfield County Convention Center Authority and Connecticut Convention Center Authority, and added
Subdivs. (o) to (r), inclusive, defining "business organization", "client lobbyist", "necessary expenses" and "lobbyist"
and "registrant"; P.A. 92-149 redefined "client lobbyist"; P.A. 93-413 included Connecticut Coastline Port Authority in
definition of "quasi-public agency" in Subdiv. (l), effective July 1, 1993; P.A. 95-79 redefined "person" and "business
organization" to include a limited liability company, effective May 31, 1995; June 18 Sp. Sess. P.A. 97-5 amended Subsec.
(e)(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. (e) 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 (Revisor's note: In Subdiv. (11) of Subsec. (e) a hyphen between "publicly" and "noticed" was deleted
editorially by the Revisors for consistency with customary statutory usage); P.A. 98-179 amended Subsec. (l), defining
"quasi-public agency", by deleting the Connecticut Convention Center Authority and adding the Capital City Economic
Development Authority, effective June 1, 1998; P.A. 99-56 amended Subsec. (k) by adding an appointee of the Governor
to the definition of "public official"; P.A. 00-43 amended Subsec. (k) to include members of the Investment Advisory
Council as "public officials", effective May 3, 2000; P.A. 00-99 deleted reference to sheriff and deputy sheriff in Subsec.
(k), effective December 1, 2000.
See Sec. 1-79a re calculation of dollar limit on gifts.
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(P.A. 92-149, S. 6, 12; June 18 Sp. Sess. P.A. 97-6, S. 9, 14.)
History: June 18 Sp. Sess. P.A. 97-6 deleted provision that, for purposes of calculating dollar limit, gifts costing less
than ten dollars per occasion or transaction are not considered and added provision that, for purposes of calculating dollar
limit, expenditures provided by a lobbyist shall be considered to be provided by the business organization by which he is
employed and vice versa, effective January 1, 1998.
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(b) All members shall be electors of the state. No member or employee of such
commission shall (1) hold or campaign for any public office; (2) have held public office
or have been a candidate for public office for a three-year period prior to appointment;
(3) hold office in any political party or political committee or be a member of any
organization or association organized primarily for the purpose of influencing legislation
or decisions of public agencies; or (4) be an individual who is a registrant as defined in
subsection (q) of section 1-91.
(c) Any vacancy on the commission shall be filled for the unexpired portion of the
term by the appointing authority having the power to make the original appointment.
An individual selected by the appointing authority to fill a vacancy shall be eligible
for appointment to one full four-year term thereafter. Any vacancy occurring on the
commission shall be filled within thirty days.
(d) The commission shall elect a chairperson who shall, except as provided in subsection (b) of section 1-82 and subsection (b) of section 1-93, preside at meetings of the
commission and a vice-chairperson to preside in the absence of the chairperson. Five
members of the commission shall constitute a quorum. Except as provided in subdivision
(3) of section 1-81, subsections (a) and (b) of section 1-82, subsection (b) of section 1-
88, subdivision (5) of section 1-92, subsections (a) and (b) of section 1-93 and subsection
(b) of section 1-99, a majority vote of the quorum shall be required for action of the
commission. The chairperson or any four members may call a meeting.
(e) Any matter before the commission, except hearings held pursuant to the provisions of subsection (b) of section 1-82 or subsection (b) of section 1-93, may be assigned
by the commission to two of its members to conduct an investigation or hearing, as
the case may be, to ascertain the facts and report thereon to the commission with a
recommendation for action.
(f) Members of the commission shall be compensated at the rate of fifty dollars per
day for each day they attend a meeting or hearing and shall receive reimbursement for
their necessary expenses incurred in the discharge of their official duties.
(g) The commission shall not be construed to be a board or commission within the
meaning of section 4-9a.
(h) The members and employees of the State Ethics Commission shall adhere to
the following code of ethics under which the members and employees shall: (1) Observe
high standards of conduct so that the integrity and independence of the State Ethics
Commission may be preserved; (2) respect and comply with the law and conduct themselves at all times in a manner which promotes public confidence in the integrity and
impartiality of the commission; (3) be faithful to the law and maintain professional
competence in the law; (4) be unswayed by partisan interests, public clamor or fear of
criticism; (5) maintain order and decorum in proceedings of the commission; (6) be
patient, dignified and courteous to all persons who appear in commission proceedings
and with other persons with whom the members and employees deal in their official
capacities; (7) refrain from making any statement outside of a commission proceeding,
which would have a likelihood of prejudicing a commission proceeding; (8) refrain from
making any statement outside of a commission proceeding that a reasonable person
would expect to be disseminated by means of public communication if the member
or employee should know that such statement would have a likelihood of materially
prejudicing or embarrassing a complainant or a respondent; (9) preserve confidences
of complainants and respondents; (10) exercise independent professional judgment on
behalf of the commission; and (11) represent the commission competently.
(P.A. 77-600, S. 2, 15; 77-605, S. 2, 21; P.A. 79-493, S. 2, 9; P.A. 83-249, S. 2, 3, 14; 83-586, S. 1, 14; P.A. 84-52, S.
5; 84-334, S. 1, 3; P.A. 86-390, S. 3, 4; 86-403, S. 93, 132; P.A. 88-139, S. 4; P.A. 92-149, S. 9, 12.)
History: P.A. 77-605 changed method for making initial appointments and qualifications for members and placed
commission in the office of secretary of the state for administrative purposes only; P.A. 79-493 changed provisions concerning quorum, introduced provisions for fact-finding investigations and hearings and excluded commission from Sec. 4-9a;
P.A. 83-249 amended Subsec. (a) to clarify that terms commence on October first and that members may continue in office
until successors are appointed and qualify and made technical changes in Subsec. (d); P.A. 83-586 added Subsec. (h)
allowing appointment of executive director and general counsel upon concurring vote of five members and dismissal upon
concurring vote of four members; P.A. 84-52 made technical changes in Subsecs. (d) and (e) to reflect relettering of
subsections in sections 1-82 and 1-93; P.A. 84-334 increased members' compensation from twenty-five to fifty dollars
per day; P.A. 86-390 deleted provision in Subsec. (a) placing commission within the office of the secretary of the state for
administrative purposes only; P.A. 86-403 made technical change in Subsec. (d); P.A. 88-139, S. 4 which was codified as
Subsec. (i) established a code of ethics for members and employees of the ethics commission; P.A. 92-149 amended Subsec.
(d) to make technical corrections, deleted Subsec. (h) re appointment of executive director and general counsel, but see
Sec. 1-18(b), and relettered remaining Subsec. accordingly.
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(P.A. 78-169, S. 1, 2.)
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(1) Compile and maintain an index of all reports, advisory opinions, memoranda
filed under the provisions of subsection (f) of section 1-82a and statements filed by and
with the commission to facilitate public access to such reports and statements as provided
by this part;
(2) Preserve advisory opinions permanently; preserve memoranda filed under subsection (f) of section 1-82a, and statements and reports filed by and with the commission
for a period of five years from the date of receipt;
(3) 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 1-87. Any advisory opinion concerning the person
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;
(4) Report annually, prior to April fifteenth, to the Governor summarizing the activities of the commission;
(5) Not later than July 1, 1995, develop a model code of ethics for officials and
officers of municipalities, as defined in section 7-148, and provide a copy of said model
code to the chief elected official of each municipality in the state;
(6) Not later than July 1, 1995, develop a model code of ethics for officers of districts,
as defined in section 7-324, and provide a copy of said model code to the president of
each district in the state; and
(7) Adopt regulations in accordance with chapter 54 to carry out the purposes of
this part.
(b) The commission may employ an executive director and general counsel and
necessary staff within available appropriations.
(P.A. 77-600, S. 3, 15; 77-605, S. 15, 21; P.A. 79-493, S. 3, 9; P.A. 83-249, S. 4, 14; 83-493, S. 1, 5; P.A. 84-52, S. 6;
P.A. 86-403, S. 94, 132; P.A. 89-97, S. 1, 7; 89-369, S. 2; P.A. 92-149, S. 10, 12; P.A. 94-172; P.A. 95-291; P.A. 99-55.)
History: P.A. 77-605 specifically provided that advisory opinions be published in the Connecticut Law Journal; P.A.
79-493 limited the issuance of advisory opinions to those in which at least four members concur; P.A. 83-249 deleted the
words "subject to the provisions of this part" modifying "public official or state employee" in Subdiv. (3) of Subsec. (a);
P.A. 83-493 amended Subsec. (a) to provide that advisory opinions shall be deemed to be final decisions of the commission
for purposes of Sec. 1-87; P.A. 84-52 made technical changes to reflect relettering of subsections in Sec. 1-82; P.A. 86-
403 made technical changes in Subsec. (a); P.A. 89-97 added Subdiv. (5) requiring commission to adopt regulations; P.A.
89-369 amended Subdiv. (3) of Subsec. (a) to authorize any "person subject to the provisions of this part", instead of any
"public official or state employee", to request an advisory opinion; P.A. 92-149 amended Subsec. (b) to authorize employment of an executive director and general counsel; P.A. 94-172 inserted new Subdivs. (5) and (6) re model codes of ethics
and renumbered former Subdiv. (5) as (7); P.A. 95-291 amended Subdivs. (5) and (6) of Subsec. (a) by repealing requirement
that the commission enforce model codes for municipalities and districts (Revisor's note: In Subdiv. (6) the word "and"
was added editorially by the Revisors before "provide" to correspond with technical change enacted in Subdiv. (5)); P.A.
99-55 amended Subsec. (a)(4) by changing reporting date from February to April.
See Sec. 1-92 re commission's duties with regard to lobbyists.
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(2) In the conduct of its investigation of an alleged violation of this part, the commission shall have the power to hold hearings, administer oaths, examine witnesses, receive
oral and documentary evidence, subpoena witnesses under procedural rules adopted by
the commission as regulations in accordance with the provisions of chapter 54 to compel
attendance before the commission and to require the production for examination by the
commission of any books and papers which the commission deems relevant in any
matter under investigation or in question. In the exercise of such powers, the commission
may use the services of the state police, who shall provide the same upon the commission's request. The commission shall make a record of all proceedings conducted pursuant to this subsection. Any witness summoned before the commission shall receive the
witness fee paid to witnesses in the courts of this state. During the investigation the
respondent shall have the right to appear and be heard and to offer any information
which may tend to clear him of probable cause to believe he 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 commission shall
provide the respondent with a list of its intended witnesses. The commission shall make
no finding that there is probable cause to believe the respondent is in violation of any
provision of this part except upon the concurring vote of four of its members.
(b) If a preliminary investigation indicates that probable cause exists for the violation of a provision of this part, the commission shall initiate hearings to determine
whether there has been a violation of this part. A judge trial referee, who shall be assigned
by the Chief Court Administrator and who shall be compensated in accordance with
section 52-434 out of funds available to the commission, shall preside over such hearing
and shall rule on all matters 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 commission. All hearings of the commission held pursuant to this
subsection shall be open. At such hearing the commission shall have the same powers
as 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 commission shall provide the respondent with a list of
its intended witnesses. The judge trial referee shall, while engaged in the discharge of
his 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 commission shall
make a record of all proceedings pursuant to this subsection. The commission shall find
no person in violation of any provision of this part except upon the concurring vote of
five of its members. Not later than fifteen days after the public hearing conducted in
accordance with this subsection, the commission 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 commission 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 the commission finds, after a hearing pursuant to this section, that there is no
probable cause to believe that a public official or state employee has violated a provision
of this part or that a public official or state employee has not violated any such provision,
or if a court of competent jurisdiction overturns a finding by the commission of a violation by such a respondent, the state shall pay the reasonable legal expenses of the respondent as determined by the Attorney General or by the court if appropriate. 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, he 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 three 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 commission under the provisions of
this part. After receipt of information from an individual under the provisions of this
part, the commission shall not disclose the identity of such individual without his consent
unless the commission determines that such disclosure is unavoidable during the course
of an investigation.
(P.A. 77-600, S. 4, 15; 77-605, S. 16, 21; 77-614, S. 486, 587, 610; P.A. 78-303, S. 85, 136; P.A. 79-493, S. 4, 9; P.A.
81-296, S. 1; P.A. 83-249, S. 5, 14; 83-586, S. 2, 14; June Sp. Sess. P.A. 83-15, S. 1, 2; P.A. 84-52, S. 1; 84-519, S. 1; P.A.
85-290, S. 1; June 12 Sp. Sess. P.A. 91-1, S. 14; P.A. 92-29, S. 1; P.A. 94-132, S. 1; P.A. 96-37, S. 1.)
History: P.A. 77-605 removed subpoena power and permission to use services of state police from investigation process
in Subsec. (a) and placed these provisions in Subsec. (c) under the hearing process; P.A. 77-614 and P.A. 78-303 placed
the state police within the department of public safety, effective January 1, 1979; P.A. 79-493 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. 83-249 made technical change in Subsec. (a); P.A. 83-586 amended Subsec. (b) by adding provisions concerning publication of commission findings and confidentiality of record; June Sp. Sess. P.A. 83-15 amended Subsec. (d) to
provide for state reimbursement of legal expenses of respondent in some instances; 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. 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 Subsecs. (b) and (c) to require trial referee or senior judge, instead of
commission, to make determinations re violations; P.A. 92-29 amended Subsecs. (b) and (c) 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, adding "of the commission held" after "all hearings" 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, amended Subsec. (c) by deleting provision re trial referee overturning
finding by commission, changing finding that may be overturned by court from one of trial referee to one of commission,
and making technical changes, and added new Subsec. (e) re individuals who disclose information to commission; P.A.
96-37 amended Subsec. (b) by changing "state trial referee" to "judge trial referee".
Cited. 222 C. 799, 815. Cited. 224 C. 29, 37.
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(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 commission shall not be disclosed during the investigation to any third party by a complainant, respondent, witness, designated party, or commission or staff member.
(c) Not later than three business days after the termination of the investigation, the
commission shall inform the complainant and the respondent of its finding and provide
them a summary of its reasons for making that finding. The commission shall publish
its finding upon the respondent's request and may also publish a summary of its reasons
for making such finding.
(d) If the commission 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 commission 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 commission 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 commission shall make public a finding of probable cause not later than
five business days after the termination of the investigation. At such time the entire
record of the investigation shall become public, except that the commission may post-Ï
pone 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.
(P.A. 84-52, S. 2; P.A. 85-290, S. 2; P.A. 88-317, S. 40, 107; June 12 Sp. Sess. P.A. 91-1, S. 15; P.A. 94-132, S. 2.)
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)" for "subsection (d)" in reference to Sec. 4-177, 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. 1-82(b); P.A. 94-132
amended Subsec. (a) to authorize reports to prosecutorial authority other than chief state's attorney.
(Return to TOC) (Return to Chapters) (Return to Titles)
(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 the individual's 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, without specifying amounts of income; (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,
the individual's 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 state marshals shall include only amounts and sources of
income earned in their capacity as state marshals.
(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
(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.
(P.A. 77-600, S. 5, 15; P.A. 79-549; P.A. 80-482, S. 342, 343, 345, 348; P.A. 83-249, S. 6, 14; 83-270, S. 3; 83-586,
S. 3, 14; P.A. 84-21, S. 1, 5; 84-335, S. 2, 4; 84-546, S. 141, 173; P.A. 87-524, S. 5, 7; P.A. 88-139, S. 2; 88-225, S. 2, 14;
P.A. 89-97, S. 2, 7; 89-145; June 12 Sp. Sess. P.A. 91-1, S. 8; P.A. 94-126, S. 1; 94-132, S. 3; June 18 Sp. Sess. P.A. 97-
6, S. 12, 14; P.A. 00-43, S. 17, 19; 00-66, S. 1; 00-99, S. 14, 154.)
History: P.A. 79-549 included members of gaming policy board, executive director of division of special revenue within
the department of business regulation under filing requirements; P.A. 80-482 changed "business regulation" to "revenue
services", expanded provisions regarding the executive director and limited revenue services' control to administrative
purposes only; P.A. 83-249 changed "commissioners and deputy commissioners" to "department heads and their deputies"
and made technical amendments; P.A. 83-270 amended Subsec. (a) to include members of the board of directors of the
Connecticut resources recovery authority under filing requirements; P.A. 83-586 amended Subsec. (a) to require post-
termination filing of financial statement, amended Subsec. (b) to allow for nondisclosure of privileged information, to
clarify that reporting threshold figure of five thousand dollars refers to net income and to require disclosure of clients
providing more than five thousand dollars of net income to any business with which the individual was associated, names
of creditors and state leases and contracts, amended Subsec. (c) to allow commission access to list of names if commission
determines that a complaint is of sufficient merit and gravity to justify its unsealing and added Subsec. (d) allowing waiver
in cases in which it is impossible to comply with information requirements; P.A. 84-21 made technical correction in Subsec.
(c) to refer to list of names of creditors as sealed and confidential; P.A. 84-335 added requirement that sheriffs and deputy
sheriffs file limited financial statements; P.A. 84-546 made technical changes in Subsec. (b); P.A. 87-524 amended Subsec.
(b) to specify that Subdiv. (2) shall not permit elected official to receive gift, honorarium or compensation prohibited under
Sec. 9-333i(h); P.A. 88-139 amended Subsec. (a) by changing the filing deadline for statements of financial interests from
April fifteenth to May first, amended Subsec. (b)(1)(C) by deleting the exception for blind trusts; added Subsec. (b)(1)(D)
re blind trusts; added the language in Subsec. (b)(1)(E) re real property held for the benefit of an individual, spouse or
dependent children and relettered Subparas. (E) and (F) accordingly; P.A. 88-225 amended Subsec. (a) to require (1)
members or directors of each quasi-public agency, instead of only members of board of directors of Connecticut resources
recovery authority, and (2) such employees of quasi-public agencies as governor requires to file statement of financial
interests; P.A. 89-97 added definition of "fee" and "honorarium" in Subdiv. (2) of Subsec. (b) and required filing of such
a fee or honorarium in an amount of one hundred dollars or more received in capacity as public official or state employee
instead of fee or honorarium received for appearance or delivery of address to any meeting of an organization; P.A. 89-
145 increased threshold in Subpara. (B) of Subdiv. (1) of Subsec. (b) for reporting names and addresses of clients, patients
and customers providing income to individual, from five thousand to ten thousand dollars; June 12 Sp. Sess. P.A. 91-1
deleted former Subdiv. (2) of Subsec. (b) re disclosure of fees and honoraria and renumbered Subdiv. (3) as Subdiv. (2);
P.A. 94-126 amended Subsec. (a) by adding new Subdiv. (2) re ethics statements and clarified that Subsecs. (b) and (c)
apply to statements of financial interests; P.A. 94-132 amended Subsec. (c) by adding provision re disclosure of subpoenas;
June 18 Sp. Sess. P.A. 97-6 amended Subdiv. (1) of Subsec. (b) to delete requirement that statement of financial interests
include names and addresses of clients, patients and customers who provide more than ten thousand dollars of net income,
effective January 1, 1998; P.A. 00-43 amended Subsec. (a) to extend provisions of section to members of the Investment
Advisory Council and to make technical changes for purposes of gender neutrality, effective May 3, 2000; P.A. 00-66
made technical changes in Subsec. (b); P.A. 00-99 changed reference to sheriffs and deputy sheriffs to state marshals in
Subsecs. (a) and (b), effective December 1, 2000.
Disclosure obligations under statute not subject to disclosure requirement of Sec. 1-19(a). 18 CA 212, 213, 215−218.
Subsec. (b):
Subdivs. (1) and (3) cited. 18 CA 212, 216. Subpara. (1) (B) cited. Id., 212, 216, 217.
Subsec. (c):
Cited. 18 CA 212, 217.
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(b) No public official or state employee shall accept other employment which will
either impair his independence of judgment as to his official duties or employment or
require him, or induce him, to disclose confidential information acquired by him in the
course of and by reason of his official duties.
(c) No public official or state employee shall wilfully and knowingly disclose, for
financial gain, to any other person, confidential information acquired by him in the
course of and by reason of his official duties or employment and no public official or
state employee shall use his public office or position or any confidential information
received through his holding such public office or position to obtain financial gain for
himself, his spouse, child, child's spouse, parent, brother or sister or a business with
which he is associated.
(d) No public official or state employee or employee of such public official or state
employee shall agree to accept, or be a member or employee of a partnership, association,
professional corporation or sole proprietorship which partnership, association, professional corporation or sole proprietorship agrees to accept any employment, fee or other
thing of value, or portion thereof, for appearing, agreeing to appear, or taking any other
action on behalf of another person before the Department of Banking, the Claims Commissioner, the Office of Health Care Access, the Insurance Department, 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 Motor Vehicles, the State
Insurance and Risk Management Board, the Department of Environmental Protection,
the Department of Public Utility Control, the Connecticut Siting Council, the Division
of Special Revenue within the Department of Revenue Services, the Gaming Policy
Board within the Department of Revenue Services or the Connecticut Real Estate Commission; provided this shall not prohibit any such person from making inquiry for information on behalf of another before any of said commissions or commissioners if no fee
or reward is given or promised in consequence thereof. For the purpose of this subsection,
partnerships, associations, professional corporations or sole proprietorships refer only to
such partnerships, associations, professional corporations or sole proprietorships which
have been formed to carry on the business or profession directly relating to the employment, appearing, agreeing to appear or taking of action provided for in this subsection.
Nothing in this subsection shall prohibit any employment, appearing, agreeing to appear
or taking action before any municipal board, commission or council. Nothing in this
subsection shall be construed as applying (1) to the actions of any teaching or research
professional employee of a public institution of higher education if such actions are
not in violation of any other provision of this chapter, (2) to the actions of any other
professional employee of a public institution of higher education if such actions are not
compensated and are not in violation of any other provision of this chapter, (3) to any
member of a board or commission who receives no compensation other than per diem
payments or reimbursement for actual or necessary expenses, or both, incurred in the
performance of the member's duties or (4) to any member or director of a quasi-public
agency. Notwithstanding the provisions of this subsection to the contrary, a legislator,
an officer of the General Assembly or part-time legislative employee may be or become
a member or employee of a firm, partnership, association or professional corporation
which represents clients for compensation before agencies listed in this subsection,
provided the legislator, officer of the General Assembly or part-time legislative employee shall take no part in any matter involving the agency listed in this subsection and
shall not receive compensation from any such matter. Receipt of a previously established
salary, not based on the current or anticipated business of the firm, partnership, association or professional corporation involving the agencies listed in this subsection, shall
be permitted.
(e) No legislative commissioner or his partners, employees or associates shall represent any person subject to the provisions of part II concerning the promotion of or
opposition to legislation before the General Assembly, or accept any employment which
includes an agreement or understanding to influence, or which is inconsistent with, the
performance of his official duties.
(f) No person shall offer or give to a public official or state employee or candidate
for public office or his spouse, his parent, brother, sister or child or spouse of such child
or a business with which he is associated, anything of value, including but not limited
to, a gift, loan, political contribution, reward or promise of future employment based
on any understanding that the vote, official action or judgment of the public official,
state employee or candidate for public office would be or had been influenced thereby.
(g) No public official or state employee or candidate for public office shall solicit or
accept anything of value, including but not limited to, a gift, loan, political contribution,
reward or promise of future employment based on any understanding that the vote,
official action or judgment of the public official or state employee or candidate for public
office would be or had been influenced thereby.
(h) Nothing in subsection (f) or (g) of this section shall be construed (1) to apply
to any promise made in violation of subdivision (6) of section 9-333x or (2) to permit
any activity otherwise prohibited in section 53a-147 or 53a-148.
(i) No public official or state employee or member of his immediate family or a
business with which he is associated shall enter into any contract with the state, valued
at one hundred dollars or more, other than a contract of employment as a state employee
or pursuant to a court appointment, unless the contract has been awarded through an
open and public process, including prior public offer and subsequent public disclosure
of all proposals considered and the contract awarded. In no event shall an executive head
of an agency, as defined in section 4-166, including a commissioner of a department, or
an executive head of a quasi-public agency, as defined in section 1-79, or his immediate
family or a business with which he is associated enter into any contract with that agency
or quasi-public agency. Nothing in this subsection shall be construed as applying to any
public official who is appointed as a member of the executive branch or as a member
or director of a quasi-public agency and who receives no compensation other than per
diem payments or reimbursement for actual or necessary expenses, or both, incurred in
the performance of his duties unless such public official has authority or control over
the subject matter of the contract. Any contract made in violation of this subsection shall
be voidable by a court of competent jurisdiction if the suit is commenced within ninety
days of the making of the contract.
(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, as
defined in subsection (e) of section 1-79, from a person known to be a registrant or
anyone known to be acting on behalf of a registrant.
(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 the public official's or
state employee's 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 the public official's or state
employee's part, the public official or state employee 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, the public official or state employee
shall not be subject to any penalty under this chapter. When a public official or state
employee attends an event in this state in the public official's or state employee's 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.
(l) No public official or state employee, or any person acting on behalf of a public
official or state employee, shall wilfully and knowingly interfere with, influence, direct
or solicit existing or new lobbying contracts, agreements or business relationships for
or on behalf of any person.
(m) No public official or state employee shall knowingly accept, directly or indirectly, any gift, as defined in subsection (e) of section 1-79, 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.
No person shall knowingly give, directly or indirectly, any gift or gifts in violation of
this provision.
(n) As used in this subsection, "investment services" means legal services, investment banking services, investment advisory services, underwriting services, financial
advisory services or brokerage firm services. The Treasurer shall not pay any compensation, expenses or fees or issue any contract to any firm which provides investment services when (1) a political committee, as defined in section 9-333a, established by such
firm, or (2) an individual who is an owner of such firm or employed by such firm as a
manager, officer, director, partner or employee with managerial or discretionary responsibilities to invest, manage funds or provide investment services for brokerage, underwriting and financial advisory activities which are in the statutory and constitutional
purview of the Treasurer, has made a contribution, as defined in section 9-333b, on or
after October 1, 1995, to, or solicited contributions on or after said date on behalf of,
any exploratory committee or candidate committee, as defined in section 9-333a, established by a candidate for nomination or election to the office of Treasurer. The Treasurer
shall not pay any compensation, expenses or fees or issue any contract to such firms
and individuals during the term of office as Treasurer, including, for an incumbent
Treasurer seeking reelection, any remainder of the current term of office.
(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 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.
(1971, P.A. 822, S. 1; P.A. 75-605, S. 20, 27; P.A. 76-302, S. 1, 3; P.A. 77-600, S. 6, 15; 77-604, S. 68, 84; 77-605, S.
13, 21; 77-614, S. 165, 610; P.A. 78-303, S. 37, 136; P.A. 79-404, S. 1, 45; 79-493, S. 5, 7, 9; P.A. 80-482, S. 1, 4, 170,
191, 345, 348; 80-483, S. 2, 186; P.A. 82-423, S. 6, 8; P.A. 83-249, S. 7, 14; 83-586, S. 4, 14; P.A. 87-9, S. 2, 3; 87-234;
87-524, S. 6, 7; P.A. 88-225, S. 3, 14; P.A. 89-369, S. 3; June 12 Sp. Sess. P.A. 91-1, S. 2, 6, 22; P.A. 92-149, S. 1, 12;
P.A. 94-69, S. 2, 3; P.A. 95-188, S. 1; 95-195, S. 4, 83; 95-257, S. 39, 58; P.A. 96-11, S. 1, 5; June 18 Sp. Sess. P.A. 97-
6, S. 2−5, 14; P.A. 99-51, S. 1, 9; 99-145, S. 14, 23; P.A. 00-66, S. 2.)
History: P.A. 75-605 changed "commission on claims" to "claims commissioner"; P.A. 76-302 added Subsec. (e); P.A.
77-600 broadened scope of section regarding prohibited activities and those who are affected by the prohibitions and added
Subsecs. (f) to (i), effective January 1, 1978; P.A. 77-604 changed sections referred to in Subsec. (h), effective January 1,
1978; P.A. 77-605 expanded scope of prohibitions in Subsec. (e); in Subsec. (d) P.A. 77-614 changed "liquor control
commission" to "division of liquor control within the department of business regulation"; in Subsec. (d) P.A. 78-303
changed "state banking commission" to "banking commissioner", effective January 1, 1979; in 1979 Sec. 1-66 transferred
to Sec. 1-84; P.A. 79-404 changed "commission on special revenue" to "division of special revenue" and added the gaming
policy board in Subsec. (d); P.A. 79-493 clarified prohibited conduct in Subsec. (d) and excluded members of advisory
boards and commissions receiving per diem or reimbursement for expenses from provisions and excluded executive branch
officials from provisions of Subsec. (i) except in certain cases; P.A. 80-482 deleted references to business regulation and
reflected changes placing special revenue and the gaming policy board within the department of revenue services and
creating the banking, insurance, liquor control and public utility control departments; P.A. 80-483 made technical changes;
P.A. 82-423 added Subsec. (j) which placed fifty dollar limit on gifts accepted by public officials; P.A. 83-249 limited
prohibition to financial interest or gains; P.A. 83-586 amended Subsec. (d) to include appearance or action before commission on hospitals and health care, insurance department, department of public utility control or Connecticut siting council,
effective January 9, 1985; (Revisor's note: Pursuant to P.A. 87-9, "banking department" was changed editorially by the
Revisors to "department of banking"); P.A. 87-234 amended Subsec. (d) to exempt from provisions of Subsec. (d) actions
of teaching or research professional employees of public institutions of higher education, regardless of whether such actions
are compensated; P.A. 87-524 added provision in Subsec. (h) that Subsecs. (f) and (g) shall not apply to promise violating
Subdiv. (6) of Sec. 9-333x; P.A. 88-225 added Subdiv. (4) to Subsec. (d), exempting members and directors of quasi-
public agencies from application of Subsec. (d) and amended Subsec. (i) to exempt certain members and directors of quasi-
public agencies from application of Subsec. (i); P.A. 89-369 applied section to sole proprietorships; June 12 Sp. Sess. P.A.
91-1 amended Subsec. (j) by inserting "knowingly" and making a technical change and added Subsec. (k) re fees and
honoraria and Subsec. (l) re influence with lobbying contracts, agreements or business relationships; P.A. 92-149 amended
Subsec. (d) to allow firms employing legislators or legislative employees to represent clients before specific agencies
provided such employee derives no compensation from such representation, amended Subsec. (k) to allow public officials
or state employees to receive payment or reimbursements for necessary expenses for lodging, out-of-state travel or both
provided a report is filed with the commission and added new Subsec. (m) re acceptance of gifts in excess of fifty dollars;
P.A. 94-69 amended Subsec. (m) by deleting "serving in the executive branch or a quasi-public agency" after "state
employee", effective January 1, 1994; P.A. 95-188 added Subsec. (n) re contributions to candidates for Treasurer by
"investment services" firms or individuals associated with such firms; P.A. 95-195 amended Subsec. (d) to replace reference
to Department of Liquor Control with reference to office within the Department of Consumer Protection carrying out the
duties of Secs. 30-2 to 30-68m, inclusive, effective July 1, 1995; P.A. 95-257 amended Subsec. (d) to replace Commission
on Hospitals and Health Care with Office of Health Care Access, effective July 1, 1995; P.A. 96-11 amended Subsec. (i)
to prohibit an executive head of an agency or his immediate family or a business with which he is associated from entering
into a contract with that agency, effective January 1, 1997; June 18 Sp. Sess. P.A. 97-6 amended Subsec. (j) to delete
reference to gifts of fifty dollars or more in value, amended Subsec. (k) to provide that admission to, and food and beverage
consumed at, an event are not considered a gift if consumed at the event, if official or employee attends in official capacity
or as principal speaker, amended Subsec. (m) to delete reference to gifts of fifty dollars or more in value and to delete
Subdiv. (3) re financial interests that may be substantially affected by performance or nonperformance of duties and added
new Subsec. (o) re written reports by person who is doing business with agency and who gives something of value to a
public official or employee of that agency, effective January 1, 1998; P.A. 99-51 amended Subsec. (d) to substitute "State
Insurance and Risk Management Board" for "State Insurance Purchasing Board" and to make existing provisions gender
neutral, effective May 27, 1999; P.A. 99-145 amended Subsec. (d) to substitute "State Insurance and Risk Management
Board" for "State Insurance Purchasing Board", effective June 8, 1999; P.A. 00-66 made technical changes in Subsec. (k).
See Sec. 1-79a re calculation of dollar limit on gifts.
Subsec. (c):
Cited. 229 C. 479, 494.
Ethics Commission has jurisdiction in case involving the use of office by state employee for financial gain even if
employee's behavior could arguably subject him to discipline by Commissioner of Administrative Services pursuant to
State Personnel Act. 53 CA 808.
Not unconstitutionally void for vagueness or overbroad as applied to plaintiff, a high sheriff engaged in fee splitting.
45 CS 242.
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(P.A. 83-586, S. 5; P.A. 88-225, S. 4, 14.)
History: P.A. 88-225 applied provisions of section to quasi-public agency public officials and state employees.
(Return to TOC) (Return to Chapters) (Return to Titles)
(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 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 subsection (e)
of this section, 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.
(f) No former public official or state employee (1) who participated substantially
in the negotiation or award of (A) a state contract 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 3-123g, 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.
(g) No member or director of a quasi-public agency who participates substantially
in the negotiation or award of a contract 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.
(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.
(i) The provisions of subsections (a), (b) and (f) of this section shall not apply to
any employee of a quasi-public agency who leaves such agency before July 1, 1989.
(j) No Treasurer who authorizes, negotiates or renegotiates a contract for investment
services valued at an amount of fifty thousand dollars or more shall negotiate for, seek
or accept employment with a party to the contract prior to one year after the end of
the Treasurer's term of office within which such contract for investment services was
authorized, negotiated or renegotiated by such Treasurer.
(P.A. 83-586, S. 6, 14; P.A. 86-250, S. 3, 4; P.A. 87-9, S. 2, 3; P.A. 88-22, S. 1; 88-225, S. 5, 14; Nov. Sp. Sess. P.A.
94-1, S. 1, 2; P.A. 95-144, S. 10, 11; 95-195, S. 6, 83; 95-257, S. 39, 58; P.A. 96-156, S. 5; June 18 Sp. Sess. P.A. 97-6,
S. 13, 14; June Sp. Sess. P.A. 98-1, S. 80, 121; P.A. 00-43, S. 15, 19; 00-66, S. 3.)
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).
(Return to TOC) (Return to Chapters) (Return to Titles)
(1971, P.A. 822, S. 3; P.A. 77-600, S. 7, 15; P.A. 84-546, S. 142, 173; P.A. 89-97, S. 5, 7.)
History: P.A. 77-600 changed "person subject to this chapter" to "public official or state employee"; in 1979 Sec. 1-
68 transferred to Sec. 1-85; P.A. 84-546 made technical change; P.A. 89-97 amended section to specify applicability to
elected state officials, state employees, their spouses and dependent children and businesses with which they are associated
and to prohibit an official or employee who has substantial conflict from taking official action on the matter.
Cited. 229 C. 479, 494.
(Return to TOC) (Return to Chapters) (Return to Titles)
(b) No elected state official shall be affected by subsection (a) of this section.
(c) No person required to register with the State Ethics Commission 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.)
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).
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(Return to TOC) (Return to Chapters) (Return to Titles)
(1) Use the authority provided to the person under the contract, or any confidential
information acquired in the performance of the contract, to obtain financial gain for the
person, an employee of the person or a member of the immediate family of any such
person or employee;
(2) Accept another state contract which would impair the independent judgment of
the person in the performance of the existing contract; or
(3) Accept anything of value based on an understanding that the actions of the person
on behalf of the state would be influenced.
(b) No person shall give anything of value to a person hired by the state as a consultant or independent contractor based on an understanding that the actions of the consultant or independent contractor on behalf of the state would be influenced.
(June 12 Sp. Sess. P.A. 91-1, S. 7.)
(Return to TOC) (Return to Chapters) (Return to Titles)
(P.A. 77-600, S. 9, 15; P.A. 83-586, S. 8, 14.)
History: P.A. 83-586 added reference to appeals under Sec. 4-175.
(Return to TOC) (Return to Chapters) (Return to Titles)
(b) Notwithstanding the provisions of subsection (a), the commission may, after a
hearing conducted in accordance with sections 4-176e to 4-184, inclusive, upon the
concurring vote of five of its members, 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. 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
two thousand dollars.
(c) The commission may also report its finding to the Chief State's Attorney for
any action deemed necessary. The commission, upon a finding made pursuant to section
1-82 that a member or member-elect of the General Assembly has violated any provision
of part I of chapter 10, shall notify the appropriate house of the General Assembly, in
writing, of its finding and the basis for such finding.
(d) Any person who knowingly acts in his financial interest in violation of section
1-84, 1-85 or 1-86 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 commission determines that any person may be so liable, it shall
immediately inform the Attorney General of that possibility.
(e) Any employee or member of the commission who, in violation of this part,
discloses information filed in accordance with subparagraph (B) or subparagraph (F)
of subdivision (1) of subsection (b) of section 1-83, shall be dismissed, if an employee,
or removed from the commission, 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.)
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.
Cited. 229 C. 479, 494.
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(b) The penalties prescribed in this part 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 may be
liable for damages under the provisions of subsection (d) of section 1-88. In any such
action, the Attorney General may, in the discretion of the court, recover 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 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.)
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.
Cited. 229 C. 479, 494.
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(b) In each even-numbered calendar year, the State Ethics Commission 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.)
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(Return to TOC) (Return to Chapters) (Return to Titles)
(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) "Commission" means the State Ethics Commission 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;
(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.)
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.
See Sec. 1-79a re calculation of dollar limit on gifts.
See Sec. 1-101aa re provider participation in informal committees, task forces and work groups of certain state agencies
not deemed to be lobbying.
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(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 and subsection (g) of section 1-91;
(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,
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.
(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.)
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.
See Sec. 1-80 re State Ethics Commission generally.
See Sec. 1-81 re commission's duties with regard to public officials.
(Return to TOC) (Return to Chapters) (Return to Titles)
(2) In the conduct of its investigation of an alleged violation of this part, the commission shall have the power to hold hearings, administer oaths, examine witnesses, receive
oral and documentary evidence, subpoena witnesses under procedural rules adopted by
the commission as regulations in accordance with the provisions of chapter 54 to compel
attendance before the commission and to require the production for examination by the
commission of any books and papers which the commission deems relevant in any
matter under investigation or in question. In the exercise of such powers, the commission
may use the services of the state police, who shall provide the same upon the commission's request. The commission shall make a record of all proceedings conducted pursuant to this subsection. Any witness summoned before the commission shall receive the
witness fee paid to witnesses in the courts of this state. The respondent shall have the
right to appear and be heard and to offer any information which may tend to clear him
of probable cause to believe he 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 commission shall provide the respondent with
a list of its intended witnesses. The commission shall make no finding that there is
probable cause to believe the respondent is in violation of this part, except upon the
concurring vote of four of its members.
(b) If a preliminary investigation indicates that probable cause exists for the violation of a provision of this part, the commission shall initiate hearings to determine
whether there has been a violation of this part. A judge trial referee, who shall be assigned
by the Chief Court Administrator and who shall be compensated in accordance with
section 52-434 out of funds available to the commission, shall preside over such hearing
and shall rule on all matters 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 commission. All hearings of the commission held pursuant to this
subsection shall be open. At such hearing the commission shall have the same powers
as 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 commission shall provide the respondent with a list of
its intended witnesses. The judge trial referee shall, while engaged in the discharge of
his 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 commission shall
make a record of all proceedings pursuant to this subsection. The commission shall find
no person in violation of any provision of this part except upon the concurring vote of
five of its members. Not later than fifteen days after the public hearing conducted in
accordance with this subsection, the commission 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 commission 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, he 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 three 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 commission under the provisions of
this part. After receipt of information from an individual under the provisions of this
part, the commission shall not disclose the identity of such individual without his consent
unless the commission 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.)
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".
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(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 commission shall not be disclosed during the investigation to any third party by a complainant, respondent, witness, designated party, or commission or staff member.
(c) Not later than three business days after the termination of the investigation, the
commission shall inform the complainant and the respondent of its finding and provide
them a summary of its reasons for making that finding. The commission shall publish
its finding upon the respondent's request and may also publish a summary of its reasons
for making such finding.
(d) If the commission 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 commission 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 commission 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 commission shall make public a finding of probable cause not later than
five business days after the termination of the investigation. At such time the entire
record of the investigation shall become public, except that the commission 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.
(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.)
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.
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(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.)
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.
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(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.
(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 commission, 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 commission.
(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 commission or for the period
commencing on such date and ending on December thirty-first of the year in which
termination occurs.
(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.)
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.
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(b) Each individual communicator lobbyist registrant and each business organization communicator lobbyist registrant shall file with the commission 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 commission, 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 commission 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 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, 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 commission.
(f) The commission 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 commission 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.)
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.
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(b) The commission 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 commission 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 commission 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 commission 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.)
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.
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(b) On and after January 1, 1999, each registrant required to file any financial reports
under section 1-96 shall do so in electronic form using the software created by the
commission under subsection (a) of this section or another software program which
meets the specifications prescribed by the commission under said subsection (a).
(June 18 Sp. Sess. P.A. 97-5, S. 5, 19.)
History: June 18 Sp. Sess. P.A. 97-5 effective July 1, 1997.
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(June 18 Sp. Sess. P.A. 97-5, S. 6, 19.)
History: June 18 Sp. Sess. P.A. 97-5 effective July 1, 1997.
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(June 18 Sp. Sess. P.A. 97-6, S. 11, 14.)
History: June 18 Sp. Sess. P.A. 97-6 effective January 1, 1998.
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(P.A. 89-97, S. 4; June 12 Sp. Sess. P.A. 91-1, S. 9; P.A. 92-149, S. 5, 12.)
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.
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(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 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.
(P.A. 77-605, S. 8, 21; P.A. 81-339, S. 6, 7; P.A. 82-423, S. 5, 8; June 12 Sp. Sess. P.A. 91-1, S. 4, 22; June 18 Sp.
Sess. P.A. 97-6, S. 8, 14.)
History: P.A. 81-339 increased aggregate gift limitation from twenty-five to thirty-five dollars; P.A. 82-423 amended
Subsec. (a) to increase amount from thirty-five to fifty dollars; June 12 Sp. Sess. P.A. 91-1 amended Subsec. (a) by inserting
"knowingly" and making technical changes; June 18 Sp. Sess. P.A. 97-6 amended Subsec. (a) to delete reference to gifts
of fifty dollars or more in value and added new Subsec. (d) re written reports by person who gives to a public official, state
employee or candidate or a member of person's staff or family anything of value, effective January 1, 1998.
See Sec. 1-79a re calculation of dollar limit on gifts.
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(P.A. 77-605, S. 9, 21; P.A. 84-21, S. 4, 5.)
History: P.A. 84-21 added reference to Sec. 4-175.
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(b) Notwithstanding the provisions of subsection (a), the commission may, after a
hearing conducted in accordance with sections 4-176e to 4-184, inclusive, upon the
concurring vote of five 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
two thousand dollars.
(c) The commission 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.)
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.
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(b) Any fines, penalties or damages paid, collected or recovered under section 1-
99 or this section for a violation of any provision of this part 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. 77-605, S. 11, 21; P.A. 79-615, S. 9, 10; P.A. 94-132, S. 9; P.A. 00-43, S. 9, 19.)
History: P.A. 79-615 made no substantive changes; P.A. 94-132 changed maximum fine from one thousand to two
thousand dollars; P.A. 00-43 designated existing provisions as Subsec. (a) and added Subsec. (b) re penalties for violations
involving the Treasurer's office, effective May 3, 2000.
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(P.A. 77-605, S. 17, 21; P.A. 84-546, S. 148, 173.)
History: P.A. 84-546 made technical change.
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MISCELLANEOUS PROVISIONS
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(b) Notwithstanding any provision of part II of this chapter or any regulation adopted
or advisory opinion issued under said part, the department may invite a provider to
participate in any informal policy-making committee, task force, work group or other
ad hoc committee established by the department, and such participation shall not be
deemed to be lobbying for purposes of said part.
(P.A. 00-135, S. 15, 21.)
History: P.A. 00-135 effective May 26, 2000.
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