Connecticut State Office of State Ethics

Regulations

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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  • Repealed - 1-92-8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
  • 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
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
  • Part 2 - Probable Cause Hearings
  • Part 4 - Hearings, Record and Decision
  • 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
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
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
  • 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