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Regulations of Connecticut State Agencies (Last Updated: June 14,2023) |
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Title1 Provisions of General Application |
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SubTitle1-81-1_1-81-39. Code of Ethics |
| Sec. 1-81-1. Definitions |
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For purposes of these regulations implementing the Code of Ethics for Public Officials, the definitions contained in section 1-79 of the Connecticut General Statutes shall apply whenever pertinent. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-2. Form of statement, filing requirements |
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(a) The Annual Statement of Financial Interests required of those individuals whose positions are enumerated in section 1-83(a) of the Connecticut General Statutes, and those individuals designated by the Governor pursuant to section 1-83(a) of the Connecticut General Statutes, shall be made under penalty of false statement and filed on a form promulgated by the Citizen's Ethics Advisory Board. (b) An individual who occupies a position which requires the filing of an Annual Statement of Financial Interests shall file for the preceding year by the first of May of any year in which he or she holds such a position. However, a person assuming such a position after March thirty-first of any year shall file for the preceding year within thirty days of assuming his or her position. An individual leaving such a position shall file for the portion of the calendar year served. The person shall be notified of this requirement by the Office of State Ethics within sixty days of his or her departure, and shall file such statement within sixty days after receipt of the notification. No statement shall be considered filed until it is received by the Office of State Ethics. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-2a. Electronic filing of statement |
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(a) Any statement required pursuant to section 1-83(a) of the Connecticut General Statutes shall be filed with the Office of State Ethics electronically, provided the filer has previously submitted a properly completed Statement of Financial Interests Electronic Filing Authorization Form (ETH-4C) to the Office of State Ethics. (b) An individual with an approved ETH-4C Form on file with the Office of State Ethics will be deemed to have signed his or her statement, under penalty of false statement, when the individual: enters their assigned password to access the Office of State Ethics' filing program; completes the authorized name/certification section of the form; and electronically submits the filing to the Office of State Ethics. |
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(Adopted effective May 9, 2000; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-3. Listing of names of those whose interests are required to be disclosed |
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(a) To allow determination of the completeness and accuracy of the information required to be filed pursuant to section 1-83(b)(1) of the Connecticut General Statutes, each individual required to file shall disclose, on the form provided by the Office of State Ethics, the names of his or her spouse and dependent children residing in the individual's household. (b) In each instance of disclosure mandated by section 1-83(b)(1) of the Connecticut General Statutes, the filer shall identify by relationship (e.g., self, spouse, son) or name the owner or holder of the interest or the recipient of the income as the case may be. Additionally, whenever a reportable interest is held by another (e.g., a trustee) for the benefit of a reportable individual, the filer shall disclose both the holder and the beneficiary by either relationship or name. (c) For purposes of section 1-83(b)(1) of the Connecticut General Statutes, “dependent child” means any individual who is a son, daughter, stepson, or stepdaughter and who is a qualifying child of the filing individual within the meaning of section 152 of the Internal Revenue Code of 1986, as amended, 26 USC 152. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended June 24, 2009; Amended May 11, 2023) |
| Sec. 1-81-4. Disclosure of businesses with which associated |
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(a) When disclosing the names of all businesses with which associated, pursuant to section 1-83(b)(1)(A) of the Connecticut General Statutes, each filer shall disclose the name and address of the business, the nature of the interest held (i.e., owner, partner, director, etc.) and, with reasonable particularity, the nature of the business or activity (i.e., manufacturing of farm equipment, computer consulting, etc.). (b) Notwithstanding subsection (a) of this section, in the case of disclosure of trust interests, pursuant to section 1-83(b)(1)(A) of the Connecticut General Statutes, it shall be sufficient to disclose the name of the trust and the names of the trustees. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-5. Description of income |
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(a) As used in section 1-83(b)(1)(B) of the Connecticut General Statutes, “income” means all income from whatever source derived, including but not limited to: earned income (such as compensation for services), fees, commissions, salaries, wages, tips, bonuses, gross income derived from business, capital gains, interest, rents, royalties, dividends, annuities, gifts, honoraria, lottery or other gambling winnings, income from the investment portion of life insurance and endowment contracts, pensions, income from discharge of indebtedness or debt forgiveness, assignment or receipt of property interests or rights, distributive share of partnership income, and income from any interest in an estate or trust. The term includes all income items, whether tangible or intangible, regardless of whether they are taxable for Federal or State income tax purposes and regardless of whether legally obtained. (b) The description of each source of income identified as a gift shall include: (1) the identity and occupation of the donor. If a gift has more than one donor, the filer shall provide the necessary information for each donor; (2) a brief description of the gift. (c) For purposes of section 1-83(b)(1)(B) of the Connecticut General Statutes, political campaign funds, including campaign receipts and expenditures, need not be included in any report filed under this part. |
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(Adopted effective June 24, 2009; Amended May 11, 2023) |
| Sec. 1-81-6. [Repealed] |
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Repealed March 3, 1998. |
| Sec. 1-81-7. Disclosure of securities in excess of five thousand dollars, definition of “securities” |
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Included in the definition of “securities” for purposes of section 1-83(b)(1)(C) of the Connecticut General Statutes, and therefore required to be disclosed, are stocks, bonds, investment partnerships or trusts (including Real Estate Investment Trusts and stock trusts), hedge funds, investment “pools” or funds (including venture capital funds), and mutual funds. Also included in the definition of “securities” is the right to purchase or own any of the aforementioned securities (i.e., an “option” or “derivative”). Bank accounts, certificates of deposit, and money-market funds are not within the definition of “securities” and need not be disclosed under section 1-83(b)(1)(C) of the Connecticut General Statutes. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-8. Disclosure of all real property and its location |
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When disclosing all real property and its location pursuant to section 1-83(b)(1)(E) of the Connecticut General Statutes, the filer shall disclose the entire address of such property, including its street address. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-9. Disclosure of the names and addresses of creditors |
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For the purpose of determining creditors to whom the filer, his or her spouse or dependent children, individually, owed debts of more than ten thousand dollars, pursuant to section 1-83(b)(1)(F) of the Connecticut General Statutes, the offsetting of an account payable with a separate account receivable shall not be permitted. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-10. Disclosure of leases and contracts with the state |
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(a) When disclosing leases with the State held or entered into by the filer or a business with which the filer was associated, pursuant to section 1-83(b)(1)(G) of the Connecticut General Statutes, the filer shall include the term of the lease, the annual rent, the address of the subject property, and the names of the lessor and lessee. (b) When disclosing contracts with the State held or entered into by the filer or a business with which the filer was associated, pursuant to section 1-83(b)(1)(G) of the Connecticut General Statutes, the filer shall include the term of the contract, the contract cost or value, the subject of the contract, the names of the parties, and the contract identification number. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-10a. Disclosure of business affiliations |
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For purposes of section 1-83(b)(1)(H) of the Connecticut General Statutes, “similar business affiliation” means any association of persons jointly undertaking or owning a commercial enterprise in which there is: (1) a community of interest among such persons in the performance of the subject matter of such enterprise; (2) a right by such persons to directly influence the policies, direction and/or governance of the enterprise; and, (3) a right by such persons to share directly in any profit gained by the enterprise. |
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(Adopted effective June 24, 2009; Amended May 11, 2023) |
| Sec. 1-81-11. Confidentiality procedures regarding disclosures made pursuant to section 1-83(b)(1)(F) of the Connecticut General Statutes |
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Pursuant to section 1-83(c) of the Connecticut General Statutes, the disclosure of creditors shall not be a matter of public information. These disclosures shall be made, under penalty of false statement, on a separate form (the Confidential Addendum) promulgated by the Citizen's Ethics Advisory Board. The completed Confidential Addendum shall be submitted to the Office of State Ethics with the filer's Annual Statement of Financial Interests form. If the filer wishes the Addendum to remain confidential, he or she shall check the appropriate box under Confidentiality Addendum Filing Options. |
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(Effective June 16, 1993; Amended March 3, 1998; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-12. [Repealed] |
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Repealed May 11, 2023. |
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(Effective June 16, 1993; Amended January 2, 2008; Repealed May 11, 2023) |
| Sec. 1-81-13. [Repealed] |
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Repealed May 11, 2023. |
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(Effective March 21, 1995; Amended January 2, 2008; Repealed May 11, 2023) |
| Sec. 1-81-14. Section 1-84(b) of the Connecticut General Statutes: definition of “employment” |
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For the purposes of section 1-84(b) of the Connecticut General Statutes, the term “employment” shall be construed to include any work or endeavor, whatever its form, undertaken in order to obtain financial gain (i.e., employee of a business, sole practitioner, independent contractor, investor, etc.). The term shall not, however, include any endeavor undertaken only as a hobby or solely for charitable, educational, or public service purposes, when no compensation or other financial gain for the individual, his or her immediate family or a business with which the individual is associated is involved. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-15. [Repealed] |
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Repealed May 11, 2023. |
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(Effective June 16, 1993; Amended January 2, 2008; Repealed May 11, 2023) |
| Sec. 1-81-16. Section 1-84(c) of the Connecticut General Statutes: use of inside information prohibited |
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Under section 1-84(c) of the Connecticut General Statutes, it shall constitute a prohibited use of office for a public official or state employee to use previously confidential information acquired through state service for the financial benefit of any person listed in section 1-84(c) of the Connecticut General Statutes until either such information has been available to the general public for fifteen days or an unrelated member of the general public has made a legitimate offer regarding the economic opportunity, whichever is earlier. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-16a. Section 1-84(c) of the Connecticut General Statutes: “financial gain” defined |
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Pursuant to section 1-84(c) of the Connecticut General Statutes, “financial gain” means any benefit valued in excess of one hundred dollars per person per year that is received by or agreed to be received by a state employee or public official, his spouse, child, child's spouse, parent, brother or sister or a business with which he is associated. |
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(Adopted effective June 24, 2009; Amended May 11, 2023) |
| Sec. 1-81-17. Section 1-84(b) and (c) of the Connecticut General Statutes: use of expertise for financial gain not prohibited |
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Section 1-84(b) and (c) of the Connecticut General Statutes do not prevent a public official or state employee from using his or her expertise, including expertise gained in state service, for personal financial gain as long as no provision of the Code of Ethics for Public Officials is violated. Generally, section 1-84(b) and (c) of the Connecticut General Statutes are violated when the public official or state employee accepts outside employment with an individual or entity which can benefit from the state servant's official actions (e.g., the individual in his or her state capacity has specific regulatory, contractual, or supervisory authority over the private person). Any public official or state employee considering accepting outside employment which may be barred or restricted by section 1-84(b) and (c) of the Connecticut General Statutes should seek the Office of State Ethics' advice, in advance, pursuant to section 1-81(a)(3) of the Connecticut General Statutes. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-18. Section 1-84(d) of the Connecticut General Statutes: “appearing” or “taking any other action” defined, permitted activities explained |
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(a) It shall constitute a prohibited appearance or action under section 1-84(d) of the Connecticut General Statutes for any public official or state employee subject to that provision to transmit any document to or make any other contact with the listed agencies which reveals the identity of the individual to the agency in connection with any pending matter (e.g., appearing in person, submitting a document with one's signature or professional stamp, identifying oneself over the telephone, or submitting any materials with a letterhead which includes the individual's name). (b) Notwithstanding subsection (a) of this section, it shall not be a violation of section 1-84(d) of the Connecticut General Statutes for a public official or state employee subject to that provision to contact a listed agency for the sole purpose of obtaining generic information (e.g., copies of current rules or regulations) unrelated to any specific client or matter, regardless of whether such action is compensated. (c) Notwithstanding subsection (a) of this section, it shall not be a violation of section 1-84(d) of the Connecticut General Statutes for a public official or state employee subject to that provision to appear or take any other action before a listed agency on behalf of himself or herself, his or her family, a constituent, or any other individual provided that no compensation is received by the official or employee, or his or her firm or business, for the representation. (d) Pursuant to section 1-84(d) of the Connecticut General Statutes, the restrictions of the subsection shall not apply to a corporation, union, municipality or other entity which employs a public official or state employee but is not in the business of representing others for compensation before agencies identified in section 1-84(d) of the Connecticut General Statutes. In these instances, the provisions of the subsection shall only restrict the public official or state employee. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-19. Section 1-84(i) of the Connecticut General Statutes: “open and public process” defined |
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(a) The term “open and public process,” as used in section 1-84(i) of the Connecticut General Statutes, requires no specific offer or bid procedure provided that the process utilized allows all or most of those persons interested in and qualified to fulfill the contract to apply and compete. For example, an advertisement of the availability of the contract in the general circulation newspapers for the area in question or in trade or professional journals directed toward the business or profession qualified to do the work in question is sufficient. In every case, all proposals considered and the contract awarded must be open and available for subsequent public inspection. (b) No provision of section 1-84(i) of the Connecticut General Statutes shall require an open and public process when a person subject to the subsection applies for or is granted a statutory benefit which by law is afforded confidentiality, e.g., public assistance provided by the Department of Social Services. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-20. Valuation of benefits |
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(a) Pursuant to section 1-79(5) of the Connecticut General Statutes, certain categories of benefits are excluded from the term “Gift” if the dollar value of the benefit is limited (e.g., a certificate, plaque or other ceremonial award costing less than one hundred dollars; or food and beverage costing less than fifty dollars in the aggregate per recipient in a calendar year). (b) In determining the value of any benefit for the purposes of sections 1-84(j), 1-84(m), and 1-79(5) of the Connecticut General Statutes, the following rules shall apply: (1) the value of the benefit equals the cost to the donor or payor if the benefit was obtained by the donor or payor in a marketplace transaction; (2) when (1), above, is not applicable the value equals the fair market value of the benefit as determined by its replacement cost, i.e., the cost of purchasing the same or a similar item in a marketplace transaction; (3) when (1) and (2), above, are not applicable, the recipient may use any reasonable method to determine value (e.g., appraisal of unique item); (4) when (1), (2), and (3), above, are not applicable, the value of the benefit is indeterminable. If the value of a benefit is indeterminable, an individual subject to section 1-84(j) or (m) of the Connecticut General Statutes shall not accept the item, unless its value is clearly insignificant. (c) Notwithstanding the valuation rules set forth in subsection (b) of this section no benefit shall be deemed to accrue to any individual unless it “. . . is directly and personally received” as required by section 1-79(5) of the Connecticut General Statutes. For the meaning and application of the term “directly and personally received” see section 1-92-54 of the Regulations of Connecticut State Agencies. |
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(Effective June 16, 1993; Amended March 3, 1998; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-21. “Necessary expenses” payments do not extend to family members or other guests |
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For purposes of section 1-79(17) of the Connecticut General Statutes, “necessary expenses” do not include payment of expenses for the public official's or state employee's family or other guests. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-22. Definition of “official capacity” as used in section 1-84(k) of the Connecticut General Statutes |
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(a) Pursuant to section 1-84(k) of the Connecticut General Statutes, a public official or state employee is prohibited from accepting a fee or honorarium only if the activity is undertaken in one's “official capacity.” For example, a state employee-professor with expertise in a certain field would not be barred, under section 1-84(k) of the Connecticut General Statutes, from accepting a fee or honorarium for a speech, as long as the individual was selected because of his or her knowledge and expertise, not his or her state position. (b) When a public official or state employee is asked to give a speech, make an appearance, participate in an event, or write an article, the activity shall be deemed to be in his or her “official capacity” if the public official's or state employee's official position or authority was a significant factor in the decision to extend the invitation. Under these circumstances, no fee or honorarium may be accepted. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-23. Disclosure of necessary expenses; filing requirement, filing date |
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Pursuant to section 1-84(k) of the Connecticut General Statutes, a public official or state employee who accepts payment or reimbursement of necessary expenses for an article, appearance, speech or participation in an event in his or her official capacity shall disclose such to the Office of State Ethics, if it includes payment or reimbursement for lodging or out-of-state travel or both. Any required disclosure must be received by the Office of State Ethics within thirty days of the individual's receipt of payment or reimbursement. No disclosure shall be required, however, when the payor is the federal government or another state government. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-24. Form of disclosure |
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The disclosure of any necessary expenses required pursuant to section 1-84(k) of the Connecticut General Statutes shall be in writing, dated, and signed under penalty of false statement by the recipient. The disclosure may be made by means of a letter or memorandum to the Office of State Ethics. Alternatively, disclosure may be accomplished by using form ETH-NE promulgated by the Citizen's Ethics Advisory Board for this purpose. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-25. Specifics of disclosure |
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(a) The written disclosure of any necessary expenses required pursuant to section 1-84(k) of the Connecticut General Statutes shall describe with reasonable particularity any expense payment or reimbursement received. However, if not known, the filer need not include the specific dollar value of any such expense payment. For example, it shall be sufficient to disclose in the following terms: receipt of round trip coach air fare to (place) and meals and accommodations for (time period). (b) In the case of necessary expenses received for an appearance, speech, or participation in an event, the written disclosure shall include the name of the payor, the place, date and purpose of the activity, and the date of any expense payment or reimbursement, if different. (c) In the case of necessary expenses received for the publication of an article the written disclosure shall include the name of the payor, the date of the payment or reimbursement and subject of the article. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-26. Donation of fee or honorarium |
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Whenever a public official or state employee is prohibited under section 1-84(k) of the Connecticut General Statutes from accepting a fee or honorarium, it shall be permissible for the individual to direct or allow the payor to donate the fee or honorarium to any non-profit entity, provided the individual shall not receive any charitable tax deduction or other financial benefit for such act. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-27. Gifts to the state |
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(a) Nothing in section 1-84(j) and (m) of the Connecticut General Statutes, which prohibits the acceptance of gifts, and nothing in section 1-84(c) of the Connecticut General Statutes, which prohibits the use of public office or position for personal financial gain, shall prohibit the State from accepting gifts of goods and services as described in section 1-79(5)(E) of the Connecticut General Statutes. Nothing in chapter 10 of the Connecticut General Statutes shall prohibit the donation of the use of facilities to facilitate state agency or quasi-public agency action or functions or the donation of real property to a state agency or quasi-public agency. |
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(Effective June 16, 1993; Amended March 3, 1998; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-28. Section 1-85 of the Connecticut General Statutes: substantial conflict of interest explained |
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(a) Pursuant to section 1-85 of the Connecticut General Statutes, a public official or state employee has a substantial conflict and may not take official action if any expected benefit or detriment accrues solely to the individual, his or her spouse, dependent child, or a business with which he or she is associated. For example, a state employee required, in the course of his or her official duties, to determine whether a consulting contract should be awarded to his or her spouse has a substantial conflict, and may not take official action on the matter. For example, if a legislator is on the board of directors of a for-profit corporation, that corporation is a business with which the legislator is associated. As a result, if the corporation applied to the General Assembly for bonding, the legislator/director would have a substantial conflict, and may not take official action on the specific bonding request. (b) Additionally, pursuant to section 1-85 of the Connecticut General Statutes, a public official or state employee has a substantial conflict and may not take official action if any expected benefit or detriment accrues to the individual, his or her spouse, dependent child, or a business with which he or she is associated to a greater extent than to any other member (i.e., one or more other members) of the affected profession, occupation or group. In general, a member of an affected profession, occupation, or group may have a substantial conflict of interest when the laws regulating his or her profession, business, or industry are significantly altered. In determining whether or not a substantial conflict exists, the individual must evaluate the effect of the action on his or her interests. For example, legislation that appears neutral on its face, e.g., a bill to allow unrestricted interstate banking in Connecticut, would create a substantial conflict for a particular legislator if he or she had a financial interest in bank stock that he or she had reason to believe or expect would be affected differently by the passage of the legislation than others in the affected group, i.e., others with a financial interest in banks. Under these circumstances, a substantial conflict would exist if, for example, the bank in which the legislator held stock had a pending merger agreement that would significantly increase the value of the legislator's stock and the merger agreement was contingent on the passage of the legislation in question. This set of facts would give the legislator reason to expect a direct monetary gain greater than one or more other members of the affected group, since others with financial interests in banks, but without a specific pending beneficial merger agreement, would not have a reasonable expectation of similar gain. (c) A public official or state employee has reason to believe or expect the derivation of a direct monetary gain or loss by reason of his or her official activity under section 1-85 of the Connecticut General Statutes, when there is a written contract, agreement, or other specific information available to the individual which would clearly indicate to a reasonable person that such a direct benefit or detriment would accrue or when the language of the legislation, regulation or matter in question would so indicate. (d) Under section 1-85 of the Connecticut General Statutes, official action on legislation, or other state action, may affect more than one profession, occupation, or group. For example, legislation limiting all medical malpractice victims' rights to legal recovery could potentially affect the financial interests of at least three specific groups in addition to the victims: doctors, tort-attorneys and insurers providing medical malpractice coverage. Under these circumstances, each legislator/ member of all three groups could take official action on the matter, notwithstanding the expectation of direct financial gain or loss, provided that each legislator was affected no differently than the other members of his or her specific group. (e) A public official or state employee does not have a substantial conflict in violation of section 1-85 of the Connecticut General Statutes solely by virtue of the fact that the individual, his or her spouse, dependent child, or a business with which he or she is associated derives a greater direct monetary benefit by reason of the individual's official action than one or more other affected persons, provided that the manner in which the benefit accrues is no different than the manner in which it accrues to others in the affected profession, occupation, or group. For example, a state employee serving as a member of the Connecticut State Employees Retirement Commission would not be precluded from voting on a change in pension rules that would result in a larger financial benefit to the employee than to most other affected state employees (either because the individual has a higher base salary or more years in state service than the average state employee) provided that the rule change in question applies equally to all those in the affected group. (f) No public official or state employee shall be prohibited under section 1-85 of the Connecticut General Statutes from taking official action on any tax issue or benefit entitlement solely by virtue of the fact that the matter in question may apply different tax rates or entitlement qualifications to different groups or income levels. (g) A public official or state employee who is prohibited from taking official action on a specific matter pursuant to section 1-85 of the Connecticut General Statutes shall not be barred from taking official action on a general matter into which the specific issue creating the substantial conflict has been incorporated, provided that the individual does not speak or otherwise provide comment on the specific issue during any debate, discussion or consideration of the general matter. For example, a legislator with a substantial conflict regarding a specific bonding or appropriations issue is not precluded under section 1-85 of the Connecticut General Statutes from taking official action when the overall bonding package or budget comes before his or her committee or the General Assembly for consideration. (h) A public official or state employee who has reason to believe that he or she may have a substantial conflict of interest under section 1-85 of the Connecticut General Statutes, and subsections (a) to (g), inclusive, of this section, shall either abstain from taking official action on the matter as provided for in section 1-85 of the Connecticut General Statutes or, prior to taking any such official action, seek guidance from the Citizen's Ethics Advisory Board, pursuant to section 1-81(a)(3) of the Connecticut General Statutes, to determine whether an actual substantial conflict exists. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-29. Section 1-86(a) of the Connecticut General Statutes: procedure for avoiding a conflict of interest detailed |
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(a) Pursuant to section 1-86(a) of the Connecticut General Statutes, whenever a public official or state employee, other than an elected official, is required to inform his or her immediate superior of a potential or substantial conflict of interest, the superior shall assign the matter in question to another who is not subordinate to the individual with the conflict. (b) Pursuant to section 1-86(a) of the Connecticut General Statutes, whenever a public official or state employee, other than an elected official, would otherwise be required to inform his or her immediate superior of a potential or substantial conflict of interest, but has no immediate superior, the official or employee shall notify the Office of State Ethics of the conflict in writing under penalty of false statement, on a form approved by the Board. Prior to taking action, such official or employee shall seek advice from the Office of State Ethics and take such steps as the Office of State Ethics shall prescribe or advise. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended June 24, 2009; Amended May 11, 2023) |
| Sec. 1-81-30. Section 1-86(a) of the Connecticut General Statutes: definitions |
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For purposes of section 1-86(a) of the Connecticut General Statutes: (a) An interest of a “de minimis,” i.e., insignificant, nature is an interest resulting in a financial gain or loss of less than one hundred dollars per person per year. (b) A “substantial segment of the general public” is greater than one's profession, occupation, or group as those terms are used in section 1-85 of the Connecticut General Statutes. Consistent with the commonly understood usage of the term, such term means a considerable or large part of the general public, i.e., all licensed drivers, all homeowners, all parents, etc. (c) A “member of a state regulatory agency” is a member of any commission, board, council, authority or other similar body which is authorized by law to regulate, i.e., control, administer, or oversee, any profession, occupation, industry, activity, fund, endeavor or area of conduct. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-31. [Repealed] |
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Repealed May 11, 2023. |
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(Effective June 16, 1993; Amended January 2, 2008; Repealed May 11, 2023) |
| Sec. 1-81-32. Section 1-84b(a) of the Connecticut General Statutes: “substantial participation” defined |
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For the purposes of section 1-84b(a) of the Connecticut General Statutes, “substantial participation” in a particular matter shall be construed to mean participation that was direct, extensive and substantive, not peripheral, clerical or ministerial. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-33. Section 1-84b(a) of the Connecticut General Statutes: “represent” defined |
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For the purposes of section 1-84b(a) of the Connecticut General Statutes, “represent” shall be construed to include any action whatsoever regarding any particular matter, except that no former public official or state employee: (a) Shall be prohibited from testifying on behalf of a party other than the State in any matter in any forum, if the individual has been properly subpoenaed to so testify and receives only statutory witness fees. (b) Shall be prohibited from engaging in work that is technical in nature and that involves no matter at issue between the State, or any other party, and the entity that the individual is representing, e.g., work implementing a previously agreed upon contract between the private entity and the State. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-34. Section 1-84b(a) of the Connecticut General Statutes: prohibitions apply to individual, not employer |
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The prohibitions of section 1-84b(a) of the Connecticut General Statutes apply to former executive branch and quasi-public agency officials and state employees. The provisions shall not be construed to prohibit the former official's or employee's private employer from engaging in any representation that the former official or employee could not undertake, provided that the former official or employee shall not receive any compensation or profit resulting from the representation. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-35. Section 1-84b(a) of the Connecticut General Statutes: “substantial interest” defined |
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For the purposes of section 1-84b(a) of the Connecticut General Statutes, the State shall be deemed to have a “substantial interest” in a matter whenever the finances, health, safety, or welfare of the State or one or more of its citizens will be substantively affected by the outcome. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-36. Section 1-84b(b) of the Connecticut General Statutes: interpretations and applications to be found in advisory opinions |
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Guidance as to the parameters of section 1-84b(b) of the Connecticut General Statutes should be sought in advisory opinions issued pursuant to section 1-81(a)(3) of the Connecticut General Statutes and published in the Connecticut Law Journal. |
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(Effective June 16, 1993; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-37. [Repealed] |
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Repealed May 11, 2023. |
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(Effective June 16, 1993; Amended March 3, 1998; Amended January 2, 2008; Repealed May 11, 2023) |
| Sec. 1-81-38. Section 1-84b(f) and (g) of the Connecticut General Statutes: definitions provided |
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(a) For the purposes of section 1-84b(f) and (g) of the Connecticut General Statutes, “substantial participation” shall be construed to mean participation that was direct, extensive and substantive, not peripheral, clerical or ministerial. (b) For the purposes of section 1-84b(f) and (g) of the Connecticut General Statutes, the term “contract” shall be deemed to include, but shall not be limited to, any contract implementing a state grant or award of fifty thousand dollars or more. (c) Notwithstanding subsection (b) of this section, the provisions of section 1-84b(f) and (g) of the Connecticut General Statutes shall not be deemed to apply to any grant which is determined solely by statutory formula. (d) For the purposes of section 1-84b(f) and (g) of the Connecticut General Statutes, “employment” shall include work as an independent contractor. (e) For the purposes of section 1-84b(f) of the Connecticut General Statutes, the term “resignation” shall be construed according to its commonly understood meaning, i.e., the giving up of an office or position. Specifically, in keeping with the legislative intent of the subsection, resignation shall be interpreted to include all forms of separation from state service. |
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(Effective June 16, 1993; Amended March 3, 1998; Amended January 2, 2008; Amended May 11, 2023) |
| Sec. 1-81-39. Section 1-84b(c) to (g), inclusive, of the Connecticut General Statutes: “employment” defined |
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For the purposes of section 1-84b(c) to (g), inclusive, of the Connecticut General Statutes, the definition of “employment” shall be construed to include any work or endeavor, whatever its form, undertaken in order to obtain financial gain (i.e., employee of a business, sole practitioner, independent contractor, etc.). The term shall not, however, include any endeavor undertaken only as a hobby or solely for charitable, educational, or public service purposes, when no compensation or other financial gain for the individual, his or her immediate family or a business with which the individual is associated is involved. |
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(Adopted effective June 24, 2009; Amended May 11, 2023) |