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.
(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).
Secs. 1-86a to 1-86c. Reserved for future use.
Sec. 1-86d. Legal defense fund established by or for a public official or state
employee. Reports. Contributions. (a) Any public official or state employee who establishes a legal defense fund, or for whom a legal defense fund has been established,
shall file a report on said fund with the State Ethics Commission not later than the tenth
day of January, April, July and October. Each such report shall include the following
information for the preceding calendar quarter: (1) The names of the directors and officers of the fund, (2) the name of the depository institution for the fund, (3) an itemized
accounting of each contribution to the fund, including the full name and complete address of each contributor and the amount of the contribution, and (4) an itemized accounting of each expenditure, including the full name and complete address of each payee
and the amount and purpose of the expenditure. The public official or state employee
shall sign each such report under penalty of false statement. The provisions of this
subsection shall not apply to any person who has made a contribution to a legal defense
fund before June 3, 2004.
(b) (1) In addition to the prohibitions on gifts under subsections (j) and (m) of
section 1-84 and subsection (a) of section 1-97, no public official or state employee
shall accept, directly or indirectly, any contribution to a legal defense fund established
by or for the public official or state employee, from (A) a member of the immediate
family of any person who is prohibited from giving a gift under subsection (j) or (m)
of section 1-84 or subsection (a) of section 1-97, or (B) a person who is appointed by
said public official or state employee to serve on a paid, full-time basis. No person
described in subparagraph (A) or (B) of this subdivision shall make a contribution to
such a legal defense fund, and no such person or any person prohibited from making a
gift under subsection (j) or (m) of section 1-84 or subsection (a) of section 1-97 shall
solicit a contribution for such a legal defense fund.
(2) A public official or state employee may accept a contribution or contributions
to a legal defense fund established by or for the public official or state employee from
any other person, provided the total amount of such contributions from any such person
in any calendar year shall not exceed one thousand dollars. No such person shall make
a contribution or contributions to said legal defense fund exceeding one thousand dollars
in any calendar year. The provisions of this subdivision shall not apply in 2004, to any
person who has made a contribution or contributions to a legal defense fund exceeding
one thousand dollars in 2004, before June 3, 2004, provided said legal defense fund
shall not accept any additional contributions from such person in 2004, and such person
shall not make any additional contributions to said fund in 2004.
(3) Notwithstanding the provisions of subdivision (2) of this subsection, a public
official or state employee may accept a contribution or contributions, in any amount,
to a legal defense fund established by or for the public official or state employee from
a relative of the public official or state employee or a person whose relationship with
the public official or state employee is not dependent on the official's or employee's
status as a public official or state employee. The factors that the State Ethics Commission
shall consider in determining whether a person's relationship is so dependent shall include, but not be limited to, whether the person may be able to benefit from the exercise
of official authority of the public official or state employee and whether the person made
gifts to the public official or state employee before the official or employee began serving
in such office or position.
(P.A. 04-198, S. 1.)
History: P.A. 04-198 effective June 3, 2004.
Sec. 1-86e. Consultants and independent contractors. Prohibited activities. (a)
No person hired by the state as a consultant or independent contractor shall:
(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.)
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.
(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.
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 ten thousand dollars for each violation of this part.
(b) Notwithstanding the provisions of subsection (a) of this section, the commission
may, after a hearing conducted in accordance with sections 4-176e to 4-184, inclusive,
upon the concurring vote of seven 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 ten 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 this part, 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, 1-86 or 1-86d or any person who knowingly receives a financial advantage
resulting from a violation of any of said sections shall be liable for damages in the
amount of such advantage. If the 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; P.A. 04-38, S. 3; 04-198, S. 4; 04-204, S. 5.)
History: P.A. 79-493 provided for civil penalty for failure to file required information; P.A. 80-483 made technical
changes; P.A. 81-53 amended Subsec. (c) to require the commission to notify the general assembly of its findings and their
basis in the event of a violation by a member of the general assembly; P.A. 83-249 amended Subsec. (b) to require concurring
vote of five members; P.A. 83-493 added Subsec. (d) creating liability for damages on the part of any person who knowingly
acts in his pecuniary interest in violation of certain code provisions or knowingly receives a pecuniary advantage resulting
from a violation of those sections; P.A. 83-586 added Subsec. (e) establishing penalties for disclosure of confidential
information contained in financial statements; P.A. 84-21 changed "pecuniary" interest to "financial" interest and made
technical changes in Subsecs. (d) and (e); P.A. 84-546 made technical change in Subsec. (a); P.A. 88-139 made technical
change in Subsec. (e); P.A. 88-317 substituted "4-176e" for "4-177" in Subsec. (b), effective July 1, 1989, and applicable
to all agency proceedings commencing on or after that date; P.A. 94-132 amended Subsecs. (a) and (b) by changing
maximum penalty from one thousand to two thousand dollars; P.A. 04-38 amended Subsec. (a) to increase the civil penalty
from two thousand to ten thousand dollars and amended Subsec. (b) to make a technical change and increase the maximum
aggregate penalty from two thousand to ten thousand dollars, effective July 1, 2004; P.A. 04-198 applied provisions to
Sec. 1-86d, effective June 3, 2004 (Revisor's note: In Subsec. (c) a reference to "part I of chapter 10" was changed editorially
by the Revisors to "this part" for consistency with customary statutory usage); P.A. 04-204 amended Subsec. (b) to increase
vote required for imposition of civil penalty from five to seven members and to make a technical change, effective June
3, 2004.
Cited. 229 C. 479, 494.
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 (1) for a first violation, be guilty of a class A
misdemeanor, except that, if such person derives a financial benefit of one thousand
dollars or more as a result of such violation, such person shall be guilty of a class D
felony, and (2) for a second or subsequent violation, be guilty of a class D felony,
provided no person may be found guilty of a violation of subsection (f) or (g) of section
1-84 and bribery or bribe receiving under section 53a-147 or 53a-148 upon the same
incident, but such person may be charged and prosecuted for all or any of such offenses
upon the same information.
(b) The penalties prescribed in this part 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; P.A. 04-38, S. 4; 04-198, S. 5, 7.)
History: P.A. 77-604 made technical changes; P.A. 77-605 repealed specific provisions regarding penalties for false
swearing for obtaining financial gain through prohibited acts; P.A. 83-493 added Subsec. (c) allowing attorney general to
bring a civil action against persons liable under Subsec. (d) of Sec. 1-88 and, in the discretion of the court, to recover
double damages; P.A. 94-132 amended Subsec. (a) by changing maximum fine from one thousand to two thousand dollars;
P.A. 00-43 added Subsec. (d) re penalties for violations involving Treasurer's office, effective May 3, 2000; P.A. 04-38
amended Subsec. (a) to change the penalty for an intentional violation from a term of imprisonment not to exceed one year
or a fine not to exceed two thousand dollars, or both, to a class D felony, effective July 1, 2004; P.A. 04-198 applied
provisions to Sec. 1-86d, effective June 3, 2004, and, effective July 1, 2004, amended Subsec. (a) by making first violation
a class A misdemeanor and by designating second or subsequent violations and deriving financial benefit of one thousand
dollars or more as result of first violation a class D felony.
Cited. 229 C. 479, 494.
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.
(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.)
Sec. 1-90. Commission to review oath of office for members of General Assembly. Section 1-90 is repealed.
(P.A. 77-600, S. 12, 15; P.A. 82-472, S. 182, 183.)
PART II
CODE OF ETHICS FOR LOBBYISTS
Sec. 1-91. Definitions. When used in this part, unless the context otherwise requires:
(a) "Administrative action" means any action or nonaction of any executive agency
of the state with respect to the proposal, drafting, development, consideration, amendment, adoption or repeal of any rule, regulation or utility rate, and any action or nonaction
of any executive agency or quasi-public agency, as defined in section 1-79, regarding
a contract, grant, award, purchasing agreement, loan, bond, certificate, license, permit
or any other matter which is within the official jurisdiction or cognizance of such an
agency.
(b) "Candidate for public office" means any person who has filed a declaration of
candidacy or a petition to appear on the ballot for election as a public official, or who
has raised or expended money in furtherance of such candidacy, or who has been nominated for appointment to serve as a public official; but shall not include a candidate for
the office of senator or representative in Congress.
(c) "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.
Sec. 1-92. Duties of commission. Regulations. Advisory opinions. The commission shall:
(1) Adopt regulations in accordance with chapter 54 to carry out the purposes of
this part. Not later than January 1, 1992, the commission shall adopt regulations which
further clarify the meaning of the terms "directly and personally received" and "major
life event", as used in subsection (e) of section 1-79 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 five 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; P.A. 04-204, S. 6.)
History: P.A. 79-615 required concurring vote of four members for issuance of advisory opinion; P.A. 83-493 amended
section to provide that advisory opinions shall be deemed to be final decisions of the commission for purposes of Sec. 1-98; P.A. 84-52 made technical amendment to reflect relettering of subsections in Sec. 1-93; P.A. 86-403 made technical
changes; P.A. 89-97 amended Subdiv. (1) by deleting language specifying regulations as those necessary to establish
procedures and forms; June 12 Sp. Sess. P.A. 91-1 amended Subdiv. (1) to require regulations clarifying "directly and
personally received" and "major life event"; June 18 Sp. Sess. P.A. 97-6 amended Subdivs. (2) and (3) to add to the list
of items the commission must compile and maintain and prepare summaries of, advisory opinions issued by the commission,
effective January 1, 1998; P.A. 04-204 amended Subdiv. (5) to increase vote required for issuance of advisory opinion
from four to five members, effective June 3, 2004.
See Sec. 1-80 re State Ethics Commission generally.
See Sec. 1-81 re commission's duties with regard to public officials.
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.
(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 five 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
six 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 five years next after
the violation alleged in the complaint has been committed.
(e) No person shall take or threaten to take official action against an individual for
such individual's disclosure of information to the 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; P.A. 04-38, S. 5; 04-204, S. 7.)
History: P.A. 77-614 and P.A. 78-303 placed state police within the department of public safety, effective January 1,
1979; P.A. 79-615 required concurring vote of four members for finding of probable cause; P.A. 81-296 added Subsec.
(e) establishing a three-year time limit for complaints; P.A. 83-586 amended Subsec. (a) to apply nondisclosure requirement
to all persons having knowledge of investigation and amended Subsec. (b) concerning publication of finding and confidentiality of the record of any investigation; P.A. 84-52 eliminated provisions re confidentiality of investigations and publication
of findings; P.A. 84-519 amended section to grant subpoena power to commission at all stages of investigation, to require
commission to meet prior to commencing investigation and to exempt such meetings from the freedom of information act
and deleted provision authorizing commission witnesses to be paid witness fees awarded court witnesses; P.A. 84-546
made technical change in Subsec. (a); P.A. 85-290 amended Subsec. (a) to require that commission notify persons under
evaluation within five business days after a commission staff member's first contact with a third party concerning the
matter; June 12 Sp. Sess. P.A. 91-1 amended Subsec. (b) to require trial referee or senior judge, instead of commission,
to make determinations re violations; P.A. 92-29 amended Subsec. (b) by eliminating references to senior judges; P.A.
94-132 amended Subdiv. (1) of Subsec. (a) by deleting provisions re meeting to determine whether sufficient evidence
exists to warrant inquiry, changing notice deadline from five days after meeting to five days after receipt or issuance of
complaint, and making technical grammatical changes, amended Subdiv. (2) of Subsec. (a) by adding "of an alleged
violation of this part" after "investigation", deleting provision re deadline for adoption of regulations, and adding provisions
re record of proceedings and list of intended witnesses, amended Subsec. (b) by specifying trial referee has no vote in
commission decision, giving commission, rather than trial referee, the same powers as under Subsec. (a), adding provisions
re list of intended witnesses and vote required for finding of violation, changing publisher of finding and memorandum
from trial referee to commission, and deleting provision re commission aggrieved by finding and memorandum, and added
new Subsec. (e) re individuals who disclose information to commission; P.A. 95-144 amended Subsec. (b) by specifying
hearings as those of the commission; P.A. 96-37 amended Subsec. (b) by changing "state trial referee" to "judge trial
referee"; P.A. 04-38 amended Subsec. (d) to increase the time limit for a complaint from three to five years, effective July
1, 2004; P.A. 04-204 amended Subsec. (a)(2) to increase vote required to find probable cause of violation of part from
four to five members and amended Subsec. (b) to increase vote required to find violation of part from five to six members,
effective June 3, 2004.
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.
(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.
Sec. 1-94. Lobbyist registration with the commission. A lobbyist shall register
with the commission pursuant to this part if it or he:
(1) Receives or agrees to receive compensation or reimbursement for actual expenses, or both, in a combined amount of two thousand dollars or more in a calendar
year for lobbying, whether that receipt of compensation or reimbursement or agreement
to receive such compensation or reimbursement is solely for lobbying or the lobbying
is incidental to that person's regular employment; or
(2) Makes or incurs an obligation to make expenditures of two thousand dollars or
more in a calendar year for lobbying.
(P.A. 77-605, S. 5, 21; P.A. 79-615, S. 4, 10; P.A. 81-339, S. 2, 7; June 12 Sp. Sess. P.A. 91-1, S. 10, 22; P.A. 96-11,
S. 3, 5.)
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.
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:
(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.
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.
(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.
Sec. 1-96a. Maintenance of substantiating documents. Random audits of registrants. (a) Each registrant shall obtain and preserve all accounts, bills, receipts and
other documents necessary to substantiate the financial reports required by section 1-96 for a period of three years from the date of the filing of the report referring to such
financial matters, provided this section shall apply to each expenditure for the benefit
of a public official of ten dollars or more and all other expenditures of fifty dollars or
more.
(b) The 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.
Sec. 1-96b. Filing of registrants' financial reports in electronic form. Each registrant required to file any financial reports under section 1-96 shall do so in electronic
form using the software created by the commission for that purpose or another software
program which meets specifications prescribed by the commission.
(June 18 Sp. Sess. P.A. 97-5, S. 5, 19; P.A. 02-89, S. 3.)
History: June 18 Sp. Sess. P.A. 97-5 effective July 1, 1997; P.A. 02-89 deleted as obsolete former Subsec. (a) requiring
the State Ethics Commission by July 1, 1998, to create a software program for the preparation of financial reports required
by Sec. 1-96, and provide training in its use, and to prescribe specifications for other software programs created by vendors
for such purpose, and made technical changes in the remaining provision.
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.
(June 18 Sp. Sess. P.A. 97-5, S. 6, 19.)
History: June 18 Sp. Sess. P.A. 97-5 effective July 1, 1997.
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.
(June 18 Sp. Sess. P.A. 97-6, S. 11, 14.)
History: June 18 Sp. Sess. P.A. 97-6 effective January 1, 1998.
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.
(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.
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.
(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.
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.
(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.
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
ten 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.
(b) Notwithstanding the provisions of subsection (a) of this section, the commission
may, after a hearing conducted in accordance with sections 4-176e to 4-184, inclusive,
upon the concurring vote of six of its members, impose a civil penalty not to exceed
ten dollars per day upon any registrant who fails to file any report, statement or other
information as required by this part. Each distinct violation of this subsection shall be
a separate offense and, in case of a continued violation, each day thereof shall be deemed
a separate offense. In no event shall the aggregate penalty imposed for such failure to
file exceed ten thousand dollars.
(c) The 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; P.A. 04-38, S. 6; 04-204, 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; P.A. 04-38 amended Subsec. (a) to increase the maximum penalty
from two thousand to ten thousand dollars and amended Subsec. (b) to make a technical change and increase the maximum
aggregate penalty from two thousand to ten thousand dollars, effective July 1, 2004; P.A. 04-204 amended Subsec. (b) to
increase vote required for imposition of civil penalty from five to six members and to make a technical change, effective
June 3, 2004.
Sec. 1-100. Violations; penalties. (a) Any person who intentionally violates any
provision of this part shall (1) for a first violation, be guilty of a class A misdemeanor,
except that, if such person derives a financial benefit of one thousand dollars or more
as a result of such violation, such person shall be guilty of a class D felony, and (2) for
a second or subsequent violation, be guilty of a class D felony.
(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; P.A. 04-38, S. 7; 04-198, S. 8.)
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; P.A. 04-38 amended Subsec. (a) to change the penalty for an
intentional violation from a term of imprisonment not to exceed one year or a fine not to exceed two thousand dollars, or
both, to a class D felony, effective July 1, 2004; P.A. 04-198 amended Subsec. (a) by making first violation a class A
misdemeanor and by designating second or subsequent violations and deriving financial benefit of one thousand dollars
or more as result of first violation a class D felony, effective July 1, 2004.
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.
(P.A. 77-605, S. 17, 21; P.A. 84-546, S. 148, 173.)
History: P.A. 84-546 made technical change.
Secs. 1-101a to 1-101z. Reserved for future use.
PART III
MISCELLANEOUS PROVISIONS
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.
(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.