Connecticut State Office of State Ethics

The Office of State Ethics is located at 165 Capitol Avenue, Suite 1200, Hartford, CT. Staff is available via telephone 860-263-2400, M-F 8:30 am to 5:00 pm, or by email at ose@ct.gov.

Regulations

The Regulations of Connecticut State Agencies is the official codification of the administrative regulations of Connecticut state agencies.  It is published and printed by the Commission on Official Legal Publications, a department of the Connecticut Judicial Branch.  It is Connecticut’s equivalent of a state administrative code.

Prior to codification in the Regulations of Connecticut State Agencies, newly-adopted and amended regulations, noticed on and after July 1, 2013, are posted on the website of the Connecticut Secretary of the State, and are officially printed by the Commission in the Connecticut Law Journal.

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Section Numbers

Subject

Adopting Agency

Sec. 1-81-1 to 1-81-39

Code of Ethics

Office of State Ethics

Sec. 1-92-1 to 1-92-61

Description of Organization and Rules of Practice

Office of State Ethics

Sec. 5-266a-1

Conflicts of Interests

Office of State Ethics

State Of Connecticut
Office Of State Ethics
Agency Regulations

- INDEX -
Amended Effective May 11, 2023

 

Table of Contents

Description of Organization and Rules of Practice (1-92-1 to 1-92-61)

I - DESCRIPTION OF ORGANIZATION

      Creation and authority - 1-92-1

      Functions - 1-92-2

      Official address - 1-92-3

      Public information - 1-92-4

      Office of State Ethics operation-signature of documents other than subpoenas - 1-92-5

      Clerk of the Citizen’s Ethics Advisory Board -1-92-6

      Citizen’s Ethics Advisory Board - 1-92-6a

      Executive Director - 1-92-6b

      Enforcement Division - 1-92-6c

      Legal Division - 1-92-6d

      Hearing officers - 1-92-7

      Repealed - 1-92-8

      Voting - 1-92-9

      Reserved - 1-92-10

 

II - RULES OF PRACTICE

   Article 1-General Provisions

     Part 1 - Scope and Construction of Rules

      Procedure governed - 1-92-11

      Definitions - 1-92-12

      Reserved - 1-92-13

      Construction - 1-92-14

      Extensions of time - 1-92-15

      Consolidation of proceedings - 1-92-16

      Rules of conduct - 1-92-17

      Ex parte communication - 1-92-18

Part 2 - Formal Requirements

      Principal office - 1-92-19

      Date of filing - 1-92-20

      Signatures - 1-92-21

      Identification of communications to the Office of State Ethics - 1-92-22

      Subpoenas issued by the Office of State Ethics - 1-92-23

      Reimbursement of legal expenses - 1-92-23a

Article 2 - Preliminary investigations and evaluations under subsection (a) of section 1-82 and subsection (a) of section 1-93 of the Connecticut General Statutes

      Evaluations - 1-92-24

      Complaints - 1-92-24a

      Preliminary Investigations - 1-92-24b

      Repealed - 1-92-24c

Article 3 - Hearing Procedure for Determination of Violations under Subsection (b) of Section 1-82 and Subsection (b) of Section 1-93 of the Connecticut General Statutes

   Part 1 - General Rules Related to Hearings

      Repealed - 1-92-25

      Representation of parties - 1-92-26

      Reserved - 1-92-27

      Location of hearings - 1-92-28

      Notice of hearings - 1-92-29

      Filing and maintenance of papers related to hearings - 1-92-29a

   Part 2 - Probable Cause Hearings

      Probable Cause Hearings - 1-92-30  

      Repealed - 1-92-30a

   Part 4 - Hearings, Record and Decision

      Board Hearings - 1-92-31

   Part 5 - Remedies and Penalties 

      Amount of Civil Penalty to Be Imposed - 1-92-32

      Collection of Penalties and Forfeitures - 1-92-32a

      Failure to Pay Penalties or Comply with Orders - 1-92-32b

      Penalties Not a Bar to Further Action - 1-92-32c

      Procedures for Imposing Lobbyist Prohibition - 1-92-32d

Article 4 -Miscellaneous Proceedings

   Part 1 - Rule Making

      Rule-making functions - 1-92-33

      Form of petition - 1-92-34

      Procedure after petition filed - 1-92-35

      Procedure for the issuance, amendment or repeal of a regulation - 1-92-36

   Part 2 - Advisory Opinions

      General rule - 1-92-37

      Form of petition for advisory opinions - 1-92-38

      Procedure after petition for advisory opinion filed - 1-92-39

   Part 3 - Declaratory Rulings

      Requests for declaratory rulings - 1-92-39a

      Procedure after petition for declaratory ruling filed - 1-92-39b

   Part 4 - Miscellaneous Provisions

      Repealed - 1-92-40

      Repealed - 1-92-40a

      Personal data, definitions - 1-92-40b

      Categories of personal data in the Office of State Ethics’ personal data system - 1-92-40c

      General nature and purpose of personal data system - 1-92-40d

      Maintenance of personal data - 1-92-40e

      Disclosure of personal data - 1-92-40f 

      Procedures for contesting content - 1-92-40g

      Uses to be made of the personal data - 1-92-40h

Article 5 - Procedures Concerning Lobbyists Pursuant to Chapter 10, Part II of the Connecticut General Statutes

   Part 1 - Registration

      Definition of lobbyist who shall register - 1-92-41

      Application of "lobbying" and "utility rate" - 1-92-42

      Exceptions to the requirement to register as an administrative lobbyist - 1-92-42a

      Definitions of "representative of a manufacturer" and "salesperson" - 1-92-42b

      Application of contingent fee prohibition - 1-92-42c 

      Compensation, reimbursement, or expenditures requiring registration - 1-92-43

      Expert witnesses - 1-92-44

      Client lobbyist must disclose firm of retained individual communicator lobbyist - 1-92-45

      Communicator lobbyist must register as individual and disclose his firm as well as client - 1-92-46

      Registrant must disclose persons contributing three thousand dollars or more - 1-92-46a

      Issues Related to subcontractors - 1-92-46b 

      Registration fee - 1-92-47 

      Electronic payment of registration fee - 1-92-47a

   Part 2 - Financial Reports

      Financial reports of client and communicator lobbyists shall disclose compensation
      for lobbying and expenditures for the benefit of a public official, etc. - 1-92-48

      Financial reports of client lobbyists must disclose other expenditures for lobbying - 1-92-49

      When lobbyists influencing legislative or administrative action shall file financial reports - 1-92-50

      Financial reporting by former registrants - 1-92-50a

      Electronic filing of registrations and reports - 1-92-50b

   Part 3 - Miscellaneous  

      Gifts of goods and services to the state not prohibited - 1-92-51

      Distinguishing badge - 1-92-52

      Conflicts of interests - 5-266a-1

   Part 4 - Definitions

      Definition of major life event - 1-92-53

      Definition of dependent relative - 1-92-53a

      Definition of directly and personally received for purposes of benefit
      valuation - 1-92-54

   Part 5 - Random Audit of Lobbyist Financial Reports

      Records to be maintained -1-92-55

      Selection of registrants - 1-92-56

      Scope of and procedure for audit - 1-92-57

      Confidentiality of procedures - 1-92-58

      Findings - 1-92-59

      Procedures manual - 1-92-60

      Office of State Ethics action as result of audit - 1-92-61

 

Code of Ethics (1-81-1 to 1-81-39)

CODE OF ETHICS

      Definitions - 1-81-1

Article 6 -Filing of Statements Pursuant to Section 1-83 of the Connecticut General Statutes

   Part 1 - Annual Statement of Financial Interests

      Form of statement, filing requirements - 1-81-2

      Electronic filing of statement -1-81-2a

      Listing of names of those whose interests are required to be disclosed - 1-81-3

      Disclosure of businesses with which associated - 1-81-4

      Description of income - 1-81-5

      Repealed - 1-81-6 

      Disclosure of securities in excess of five thousand dollars,
      definition of "securities" - 1-81-7

      Disclosure of all real property and its location - 1-81-8

      Disclosure of the names and addresses of creditors - 1-81-9

      Disclosure of leases and contracts with the state - 1-81-10

      Disclosure of business affiliations - 1-81-10a  

      Confidentiality procedures regarding disclosures made pursuant
      to Section 1-83(b)(1)(F) of the Connecticut General Statutes - 1-81-11 

   Part 2 - Annual Statements of Financial Interests Required of State Marshals

      Repealed - 1-81-12

      Repealed - 1-81-13

Article 7 - Conflict of Interest Provisions - Sections 1-84, 1-85, and 1-86 of the Connecticut General Statutes

  Part 1 - Section 1-84, Connecticut General Statutes      

       Section 1-84(c) of the Connecticut General Statutes:
       use of inside information prohibited - 1-81-16
 
       Section 1-84(c) of the Connecticut General Statutes:
       “financial gain” defined - 1-81-16a 
 
       Section 1-84(b) and (c) of the Connecticut General Statutes:
       use of expertise for financial gain not prohibited - 1-81-17
 
       Section 1-84(d) of the Connecticut General Statutes: “appearing” or “taking any other action”
       defined, permitted activities explained - 1-81-18
 
       Section 1-84(i) of the Connecticut General Statutes:
       “open and public process” defined - 1-81-19
 
       Valuation of benefits - 1-81-20
 
      “Necessary expenses” payments do not extend to family members
       or other guests - 1-81-21
 
       Definition of “official capacity” as used in section 1-84(k)
       of the Connecticut General Statutes - 1-81-22
 
       Disclosure of necessary expenses; filing requirement, filing date - 1-81-23
 
       Form of disclosure - 1-81-24
 
       Specifics of disclosure - 1-81-25
 
       Donation of fee or honorarium - 1-81-26
 
       Gifts to the state - 1-81-27

   Part 2 - Section 1-85 of the Connecticut General Statutes

      Section 1-85 of the Connecticut General Statutes:
      substantial conflict of interest explained - 1-81-28

   Part 3 - Section 1-86 of the Connecticut General Statutes

      Subsection (a) of Section 1-86 of the Connecticut General Statutes: 
      procedure for avoiding a conflict of interest detailed - 1-81-29

      Subsection (a) of Section 1-86 of the Connecticut General Statutes: 
      definitions - 1-81-30

Article 8 - Post-State Employment Provisions - Sections 1-84a and 1-84b of the Connecticut General Statutes

   Part 1 - Section 1-84a of the Connecticut General Statutes

      Repealed - 1-81-31

   Part 2 - Section 1-84b of the Connecticut General Statutes

      Section 1-84b(a) of the Connecticut General Statutes:
      "substantial participation" defined - 1-81-32

      Subsection (a) of Section 1-84b(a) of the Connecticut General Statutes:
      "represent" defined - 1-81-33  

      Section 1-84b(a) of the Connecticut General Statutes: prohibitions apply
      to individual, not employer - 1-81-34  

      Section 1-84b(a) of the Connecticut General Statutes:
      "substantial interest" defined - 1-81-35

      Section 1-84b(b) of the Connecticut General Statutes: interpretations
      and applications to be found in advisory opinions - 1-81-36

      Repealed - 1-81-37

      Section 1-84b(f) and (g) of the Connecticut General Statutes:
      definitions provided - 1-81-38

      Section 1-84b(c) to (g), inclusive, of the Connecticut General Statutes:
      “employment” defined - 1-81-39