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;