House Bill No. 8005
               House Bill No. 8005

   June 18 Special Session, PUBLIC ACT NO. 97-6


AN ACT CONCERNING ETHICS REFORM AND REVOLVING DOOR
RESTRICTIONS.

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the general statutes is repealed and the following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

Approved June 30, 1997