reglab/statecodes huggingface dataset:
Connecticut Administrative Code › Title 1 - Provisions of General Application › 81 - Code of Ethics › Article 8 - Post-State Employment Provisions Sections 1-84a and 1-84b, Connecticut General Statutes › Part 1 - Section 1-84a, Connecticut General Statutes › Section 1-81-33 - Section 1-84b(a) of the Connecticut General Statutes: "represent" defined

Current through July 10, 2024
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.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 81 - Code of Ethics › Article 8 - Post-State Employment Provisions Sections 1-84a and 1-84b, Connecticut General Statutes › Part 1 - Section 1-84a, Connecticut General Statutes › Section 1-81-34 - Section 1-84b(a) of the Connecticut General Statutes: prohibitions apply to individual, not employer

Current through July 10, 2024
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.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 81 - Code of Ethics › Article 8 - Post-State Employment Provisions Sections 1-84a and 1-84b, Connecticut General Statutes › Part 1 - Section 1-84a, Connecticut General Statutes › Section 1-81-35 - Section 1-84b(a) of the Connecticut General Statutes: "substantial interest" defined

Current through July 10, 2024
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.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 81 - Code of Ethics › Article 8 - Post-State Employment Provisions Sections 1-84a and 1-84b, Connecticut General Statutes › Part 1 - Section 1-84a, Connecticut General Statutes › Section 1-81-36 - Section 1-84b(b) of the Connecticut General Statutes: interpretations and applications to be found in advisory opinions

Current through July 10, 2024
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.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 81 - Code of Ethics › Article 8 - Post-State Employment Provisions Sections 1-84a and 1-84b, Connecticut General Statutes › Part 1 - Section 1-84a, Connecticut General Statutes › Section 1-81-38 - Section 1-84b(f) and (g) of the Connecticut General Statutes: definitions provided

Current through July 10, 2024
(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.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 81 - Code of Ethics › Article 8 - Post-State Employment Provisions Sections 1-84a and 1-84b, Connecticut General Statutes › Part 1 - Section 1-84a, Connecticut General Statutes › Section 1-81-39 - Section 1-84b(c) to (g), inclusive, of the Connecticut General Statutes: "employment" defined

Current through July 10, 2024
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.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-1 - Creation and authority

Current through July 10, 2024
The Office of State Ethics was established as an independent
				  entity by section 1-80 of the Connecticut General Statutes. The Citizen's
				  Ethics Advisory Board was established within the Office of State Ethics by
				  section 1-80 of the Connecticut General Statutes. The Citizen's Ethics Advisory
				  Board consists of nine members.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-2 - Functions

Current through July 10, 2024
The Office of State Ethics is generally empowered to exercise
				  specified grants of authority for the administration of statutes which
				  establish codes of ethics for lobbyists and for public officials, as defined by
				  chapter 10 of the Connecticut General Statutes.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-3 - Official address

Current through July 10, 2024
All communications should be addressed to the Office of State
				  Ethics, 165 Capitol Avenue, Suite 1200, Hartford, Connecticut 06106.
Sec. 2. Sections
				  1-92-5 to
				  1-92-6a, inclusive, of the
				  Regulations of Connecticut State Agencies are amended to read as
				  follows:
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-4 - Public information

Current through July 10, 2024
The public may inspect the regulations, decisions and public
				  records of the Office of State Ethics at its offices in Hartford. There is no
				  prescribed form for requests for information. Written requests should be
				  submitted to the Office of State Ethics at its above-stated official
				  address.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-5 - Office of State Ethics operation-signature of documents other than subpoenas

Current through July 10, 2024
The Office of State Ethics' orders and findings with
				  memoranda of reasons therefor shall be signed on behalf of the Office of State
				  Ethics by the Chairperson or the Vice Chairperson of the Citizen's Ethics
				  Advisory Board. In the absence of the Chairperson or the Vice Chairperson, or
				  upon the delegation of the Chairperson or the board, any member of the
				  Citizen's Ethics Advisory Board shall be empowered to sign such documents on
				  the Office of State Ethics' behalf. Such a signature of any board member shall
				  be presumed to be duly authorized by the Citizen's Ethics Advisory Board unless
				  and until the contrary is demonstrated in any board proceeding or
				  hearing.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-6 - Clerk of the Citizen's Ethics Advisory Board

Current through July 10, 2024
(a) The clerk
				of the Citizen's Ethics Advisory Board carries out such duties as the Citizen's
				Ethics Advisory Board and the executive director may assign.
(b) The clerk of the Citizen's Ethics
				Advisory Board keeps and maintains all of the public records of the Citizen's
				Ethics Advisory Board and of the Office of State Ethics in an accessible
				location within the Office of State Ethics.
(c) The clerk of the Citizen's Ethics
				Advisory Board certifies documents as the acts of the Citizen's Ethics Advisory
				Board and of the Office of State Ethics. The clerk also signs and certifies
				true and correct copies of the records of the Citizen's Ethics Advisory Board
				and Office of State Ethics.
(d) At
				the direction of the executive director, the ethics enforcement officer, or the
				Chairperson or Vice-Chairperson of the Citizen's Ethics Advisory Board, or any
				other board member acting on behalf of the Citizen's Ethics Advisory Board, the
				clerk of the Citizen's Ethics Advisory Board may sign in the name of the Office
				of State Ethics or the Citizen's Ethics Advisory Board such notices,
				directives, forms, instructions, and other official acts which may be required
				under the law for the performance of the duties of the Office of State Ethics
				or the Citizen's Ethics Advisory Board.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-6a - Citizen's Ethics Advisory Board

Current through July 10, 2024
Acting in the public interest, the Citizen's Ethics Advisory
				  Board is the governing body for the Office of State Ethics. The board has
				  statutory authority to administer the Code of Ethics for Public Officials and
				  Code of Ethics for Lobbyists (Codes of Ethics), as well as part III and part IV
				  of chapter 10 of the Connecticut General Statutes. The board's responsibilities
				  consist of all those delineated by the Connecticut General Statutes and
				  sections 1-81-1 to
				  1-81-39, inclusive and 1-92-1 to
				  1-92-61, inclusive, of the Regulations of Connecticut State Agencies, and
				  include issuance of advisory opinions, adoption of agency regulations, entry
				  into contractual agreements necessary for the discharge of its duties, and the
				  appointment, evaluation and removal of the executive director. The board is
				  responsible for making legislative recommendations to the General Assembly and
				  presenting annual reports to the Governor that summarize the activities of the
				  Office of State Ethics. The board is also responsible for adjudication of
				  enforcement matters brought before it by the enforcement division. Upon a judge
				  trial referee's finding of probable cause, the board initiates hearings to
				  determine whether there has been a violation of the Codes of Ethics. The board
				  rules on all issues of fact at a board hearing, but shall defer to the judge
				  trial referee's rulings on issues of law, procedure and evidence at such
				  hearings. The board prescribes complaint forms and, through its clerk, issues
				  notices of complaints. The board has authority to accept or reject any
				  stipulated settlement following a judge trial referee's finding of probable
				  cause. Upon a board finding pursuant to sections 1-82 or 1-93 of the
				  Connecticut General Statutes that there has been a violation, the board may
				  order filing of documents required by the Codes of Ethics, impose penalties,
				  and issue cease and desist orders. The board may report its findings to the
				  Chief State's Attorney, or the General Assembly, as appropriate. The board may
				  also, in accordance with the Uniform Administrative Procedure Act, present and
				  impose penalties for non-filers of any reports, statements or other information
				  as required by the Codes of Ethics.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-6b - Executive director

Current through July 10, 2024
The executive director is the chief executive officer of the
				  Office of State Ethics. The executive director has the overall responsibility
				  for the welfare and effectiveness of the agency and is accountable to the
				  Citizen's Ethics Advisory Board regarding the execution of his or her duties
				  and responsibilities. The executive director, along with the general counsel
				  and ethics enforcement officer, has responsibility to foster effective
				  communication and coordination among all staff members. Except as otherwise set
				  forth in the Connecticut General Statutes or these regulations, the executive
				  director is responsible for, and authorized to conduct, all tasks and duties
				  necessary for the proper functioning of the agency, including, but not limited
				  to, the agency's budget, day-to-day operations, staffing needs, personnel
				  policies, hiring and firing of all Office personnel, equipment, record and
				  database maintenance and storage, both in electronic and hard-copy format. In
				  determining specific budgetary and staffing needs of the agency, the executive
				  director, in his or her discretion, may consult with the general counsel and
				  the ethics enforcement officer. The executive director is responsible for the
				  agency's external relations with the public and other state agencies on matters
				  regarding the policies, priorities and mission of the Office of State Ethics.
				  The executive director is also the principal legislative liaison of the Office
				  of State Ethics. In his or her legislative relations, the executive director is
				  responsible for coordinating the agency's legislative strategy and
				  priorities.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-6c - Enforcement division

Current through July 10, 2024
The ethics enforcement officer directs and supervises the
				  enforcement division of the Office of State Ethics. The ethics enforcement
				  officer has the obligation to assist the executive director in fostering
				  effective communication within the Office of State Ethics relative to the
				  execution of his or her statutory duties and the impact of the enforcement
				  division's activity on the agency as a whole. In the exercise of his or her
				  duties and responsibilities, the ethics enforcement officer is ultimately
				  accountable, in accordance with chapter 67 of the Connecticut General Statutes,
				  to the executive director for the quality of his or her work and that of the
				  enforcement division. The ethics enforcement officer's responsibilities consist
				  of all those delineated by the Connecticut General Statutes and sections
				  1-81-1 to
				  1-81-39, inclusive and 1-92-1 to
				  1-92-61, inclusive, of the Regulations of Connecticut State Agencies, and
				  include investigation of potential violations of the Codes of Ethics, issuance
				  of complaints, and submittal of any alleged violation before a judge trial
				  referee for a determination of probable cause. The ethics enforcement officer
				  is responsible for the enforcement of the Codes of Ethics and the content of
				  the matters pursued by the enforcement division. The enforcement division is
				  also responsible for analyzing and auditing forms required by sections 1-83,
				  1-84(k), 1-84c(b), 1-96 and 1-96e of the Connecticut General
				  Statutes.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-6d - Legal division

Current through July 10, 2024
The general counsel directs and supervises the legal division
				  of the Office of State Ethics. The general counsel has the obligation to assist
				  the executive director in fostering effective communication within the Office
				  of State Ethics relative to the execution of his or her statutory duties and
				  the impact of the legal division's activity on the agency as a whole. In the
				  exercise of his or her duties and responsibilities, the general counsel is
				  ultimately accountable, in accordance with chapter 67 of the Connecticut
				  General Statutes, to the executive director for the quality of his or her work
				  and that of the legal division. The general counsel's responsibilities consist
				  of all those delineated by the Connecticut General Statutes and sections
				  1-81-1 to
				  1-81-39, inclusive and 1-92-1 to
				  1-92-61, inclusive, of the Regulations of Connecticut State Agencies, and
				  include providing the Citizen's Ethics Advisory Board with legal advice on
				  matters before the board, and representing the board in all matters in which
				  the board is a party, unless the board requests the Attorney General to provide
				  assistance. The general counsel is responsible for the content of the draft
				  advisory opinions provided to the board and any informal staff opinions issued
				  by the legal division. Once it is final, the general counsel will promptly
				  disseminate the advisory opinion or informal staff opinion to the requesting
				  party. The general counsel is also responsible for the legal sufficiency of any
				  proposed regulatory changes or amendments, the content of all legal advice
				  given to the board, and the content of all legislative proposals submitted by
				  the Office of State Ethics. In consultation with the executive director, the
				  general counsel may testify before legislative committees regarding statutory
				  reform and legislative proposals. The general counsel is responsible for the
				  oversight of the Office of State Ethics' educational efforts, including the
				  training of all state personnel in the Code of Ethics for Public Officials and
				  public education regarding ethics. The general counsel works in consultation
				  with the executive director regarding the administration of the educational
				  programs and is responsible for the content of the educational materials
				  produced by the Office of State Ethics. Under the direction of the general
				  counsel, the legal division is responsible for the interpretation of statutes,
				  caselaw, regulations, and prior advisory and staff opinions. The legal division
				  provides written information and written and verbal opinions to persons subject
				  to the Codes of Ethics and to the general public.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-7 - Hearing officers

Current through July 10, 2024
Any administrative hearing convened pursuant to sections
				  1-88(b) and 1-99(b) of the Connecticut General Statutes may be held before (1)
				  one or more hearing officers, provided that no individual who has personally
				  carried out the function of an investigator in a case may serve as a hearing
				  officer in that case, or (2) one or more members of the Office of State Ethics.
				  The person or persons before whom an administrative hearing is to be held will
				  be selected by the Citizen's Ethics Advisory Board, or any duly authorized
				  subcommittee or representative thereof.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › I - DESCRIPTION OF ORGANIZATION › Section 1-92-9 - Voting

Current through July 10, 2024
A majority of concurring votes of members present and voting
				  (provided at least a quorum is present) is required for action of the Citizen's
				  Ethics Advisory Board, except:
(a) the
				concurring vote of two thirds of its members present and voting is necessary to
				find a person in violation of part 1 of chapter 10 of the Connecticut General
				Statutes following a board hearing;
(b) the concurring vote of two thirds of its
				members, present and voting, may impose a civil penalty pursuant to section
				1-88(b) of the Connecticut General Statutes , following a hearing conducted in
				accordance with sections 4-176e to 4-184, inclusive, of the Connecticut General
				Statutes;
(c) the concurring vote of
				two thirds of its members present and voting is necessary to find a person in
				violation of part 2 of chapter 10 of the Connecticut General Statutes following
				a board hearing;
(d) the concurring
				vote of two thirds of its members present and voting may impose a civil penalty
				pursuant to section 1-99(b) of the Connecticut General Statutes , following a
				hearing conducted in accordance with sections 4-176e to 4-184, inclusive, of
				the Connecticut General Statutes;
(e) any member of the Citizen's Ethics
				Advisory Board may administer oaths or receive oral or documentary evidence on
				behalf of the Office of State Ethics; and,
(f) as otherwise required by law.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 1 - Scope and Construction of Rules › Section 1-92-11 - Procedure governed

Current through July 10, 2024
These rules govern the administrative practice and
						procedure before the Office of State Ethics of the state of Connecticut and its
						enforcement and legal divisions under the applicable laws of the state of
						Connecticut and except where otherwise provided by statute.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 1 - Scope and Construction of Rules › Section 1-92-14 - Construction

Current through July 10, 2024
These rules shall be construed by the legal division of
						the Office of State Ethics, the Citizen's Ethics Advisory Board, and any judge
						trial referee to secure just, speedy and efficient determination of the issues
						presented.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 1 - Scope and Construction of Rules › Section 1-92-15 - Extensions of time

Current through July 10, 2024
In connection with any probable cause hearing or board
						hearing, for good cause shown, the judge trial referee or the board may extend
						any time limit prescribed or allowed by these rules except time limits
						prescribed by the Connecticut General Statutes. All requests for extensions
						shall be made before the expiration of the period originally prescribed or as
						previously extended.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 1 - Scope and Construction of Rules › Section 1-92-16 - Consolidation of proceedings

Current through July 10, 2024
Subject to respondent's rights to confidentiality,
						proceedings involving related questions of law or fact may be consolidated at
						the direction of the board, the judge trial referee or the ethics enforcement
						officer.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 1 - Scope and Construction of Rules › Section 1-92-17 - Rules of conduct

Current through July 10, 2024
Where applicable, the canons of professional ethics and
						the canons of judicial ethics adopted and approved by the judges of the
						Superior Court govern the conduct of the board members, the employees of the
						Office of State Ethics and all attorneys, agents, representatives and any other
						persons who appear before the Office of State Ethics, the board or judge trial
						referee in any hearing, meeting, or in any other enforcement
						proceeding.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 1 - Scope and Construction of Rules › Section 1-92-18 - Ex parte communication

Current through July 10, 2024
Unless required for the disposition
ex
						parte
of matters authorized by law, neither members of the Citizen's
						Ethics Advisory Board nor any person designated as a judge trial referee shall
						communicate directly or indirectly with any person or party concerning any
						issue of fact or with any party or his representative concerning any issue of
						law involved in any probable cause hearing or board hearing that has been
						commenced, except upon notice and opportunity for all parties to participate.
						During the course of any board hearing, no
ex parte
communication concerning the complaint or the respondent shall occur between
						the board, or any of its members, and:
(1) the judge trial referee,
(2) any staff member of the enforcement
					 division of the Office of State Ethics,
(3) the respondent or his representative,
					 or,
(4) intervenors or their
					 representatives (if any). The members of the board may severally communicate
					 with each other, in conformity with the Freedom of Information Act, and may
					 have the aid and advice of the general counsel of the Office of State Ethics,
					 members of the legal division of the Office of State Ethics, or the Attorney
					 General when such assistance is requested by the board or the judge trial
					 referee. The board, or the staff of the legal division on its behalf, or any
					 proper party may address the judge trial referee regarding any procedural issue
					 affecting the proceedings. This rule shall not be construed to preclude such
					 routine communications as are necessary to permit the board or the staff of the
					 Office of State Ethics to investigate facts and to conduct informal staff
					 conferences at any time during and after any hearing, meeting or other
					 enforcement proceeding provided such routine communications during a board
					 hearing do not involve
ex parte
discussions between the
					 enforcement division staff and any board member concerning the complaint or the
					 respondent.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 2 - Formal Requirements › Section 1-92-19 - Sec. Principal office

Current through July 10, 2024
The principal office of the Office of State Ethics is
						located at 165 Capitol Avenue, Suite 1200, Hartford, Connecticut 06106. The
						Office of State Ethics is open to the public from 8:30 a.m. to 4:30 p.m. each
						weekday except Saturdays, Sundays and legal holidays.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 2 - Formal Requirements › Section 1-92-20 - Date of filing

Current through July 10, 2024
All orders, decisions, findings of fact, complaints,
						correspondence, motions, petitions, and any other documents governed by these
						rules shall be deemed to have been filed or received on the date on which they
						are issued or received by the Office of State Ethics at its principal office,
						except as may hereinafter be provided.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 2 - Formal Requirements › Section 1-92-21 - Signatures

Current through July 10, 2024
Every statement, report, complaint, application, notice,
						motion, petition, brief and memorandum shall be signed on behalf of the person
						filing.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 2 - Formal Requirements › Section 1-92-22 - Identification of communications to the Office of State Ethics

Current through July 10, 2024
Communications should embrace only one matter, and should
						contain the name and address of the sender and an appropriate file reference to
						the subject of the communication. When the subject matter pertains to an
						enforcement proceeding pending before the Office of State Ethics, the title of
						the proceeding and the Office of State Ethics docket number should be
						given.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 2 - Formal Requirements › Section 1-92-23 - Subpoenas issued by the Office of State Ethics

Current through July 10, 2024
At any time after the ethics enforcement officer has
						received or filed a complaint and has determined that there is sufficient
						evidence to inquire into the complaint, he or she may seek board authority to
						subpoena witnesses to compel their attendance before the Office of State
						Ethics, or before any designated judge trial referee, and to require the
						production for examination of any books and papers which he or she deems
						relevant to the complaint. Subpoenas in preliminary investigations shall be
						issued either pursuant to a majority vote of the Citizen's Ethics Advisory
						Board or pursuant to the signature of its Chairperson or, in the case of
						unavailability of the Chairperson, the Vice Chairperson of such board. If a
						person to whom a subpoena is issued fails to appear or if, having appeared,
						refuses to testify or produce the evidence required by the subpoena, then the
						following occurs:
(1) when the failure
					 or refusal occurs in the course of a preliminary investigation the Office of
					 State Ethics may, as authorized by section 1-3b of the Connecticut General
					 Statutes, apply to the Superior Court to order such person to appear, or give
					 testimony, or produce such evidence, as the case may be, and
(2) when the failure or refusal occurs in the
					 course of a probable cause hearing or board hearing, the judge trial referee
					 will, under the authority conferred by those subsections, take the action he or
					 she deems necessary or appropriate.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 1 - GENERAL PROVISIONS › Part 2 - Formal Requirements › Section 1-92-23a - Reimbursement of legal expenses

Current through July 10, 2024
(a) When
					 reimbursement of legal expenses is authorized under section 1-82(c) of the
					 Connecticut General Statutes, the request for reimbursement shall be submitted
					 to the board within thirty days of the judge trial referee's finding (or, if
					 the Board determines that a public official or state employee has not violated
					 the Code of Ethics, within thirty days of such finding; or, if a court of
					 competent jurisdiction renders a final decision that no violation has occurred,
					 within thirty days of the time that such decision becomes final). The request
					 shall be accompanied by an itemized bill from respondent's counsel stating:
(1) the specific work performed by
					 counsel;
(2) the identity of the
					 attorney or other person performing each task;
(3) the amount of time, to the nearest tenth
					 of an hour, spent on each task:
(4)
					 the amount of compensation sought for each task:
(5) an itemized statement of disbursements;
					 and
(6) any other information
					 helpful in determining the reasonableness of the amount of reimbursement
					 requested.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 › Section 1-92-24a - Complaints

Current through July 10, 2024
(a) The ethics enforcement officer shall
				  evaluate any alleged violation of the Codes of Ethics that is written on the
				  complaint form prescribed by the board, which form shall be available at the
				  Office of State Ethics and on the web site for the Office of State Ethics
				  hosted by the State, provided that the complaint:
(1) Is signed under penalty of
				  perjury;
(2) Is delivered or mailed
				  to the Office of State Ethics at 165 Capitol Avenue, Suite 1200, Hartford,
				  Connecticut 06106;
(3) Clearly sets
				  forth facts that, if true, would constitute a violation of the Codes of
				  Ethics;
(4) Identifies a respondent
				  with sufficient particularity that the complaint may be served upon him or
				  her.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 › Section 1-92-24c - Repealed

Current through July 10, 2024
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 › Section 1-92-25 - Repealed

Current through July 10, 2024
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 › Section 1-92-26 - Representation of parties

Current through July 10, 2024
(a) Each person
					 authorized to participate in any hearing as a party shall file a written notice
					 of appearance with the enforcement division of the Office of State Ethics no
					 later than fifteen days prior to the hearing. Such appearance may be filed on
					 behalf of the parties by an attorney, an agent, or other duly authorized
					 representative subject to the rules hereinabove stated. The filing of a written
					 appearance may be excused by the enforcement division or, in the case of a
					 probable cause hearing, by the judge trial referee, for good cause
					 shown.
(b) Upon receipt of the
					 appearance, the Office of State Ethics shall direct all official notices and
					 correspondence to the party, attorney, agent, or other duly authorized
					 representative named in the written appearance form, at the address or location
					 stated therein, and any official notice received by any named attorney, agent,
					 or other duly authorized representative shall be deemed to have been received
					 by the party.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 › Section 1-92-27 - Reserved

Current through July 10, 2024
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 › Section 1-92-28 - Location of hearings

Current through July 10, 2024
Unless by statute or by direction of the Office of State
						Ethics a different place is designated, all hearings of the Office of State
						Ethics will be held at Hartford at the office of the Office of State
						Ethics.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 › Section 1-92-29 - Notice of hearings

Current through July 10, 2024
(a)
Persons
					 notified.
The enforcement division of the Office of State Ethics will
					 give written notice of a hearing in any pending matter to all parties, and to
					 all persons otherwise required by statute to be notified. Written notice shall
					 be given to such additional persons as the enforcement division directs. The
					 enforcement division may give such public notice of the hearings as the
					 enforcement division deems appropriate within the provisions of chapter 10 of
					 the Connecticut General Statutes.
(b)
Contents of notice.
Notice
					 of a hearing will include, but not be limited to, the following:
(1) a statement of the time, place and nature
					 of the hearing; (2) a statement of the legal authority and jurisdiction under
					 which the hearing is to be held and the particular sections of the statutes and
					 regulations involved; and (3) a short and plain statement of the matters
					 asserted, including the purpose of the hearing and the principal facts to be
					 asserted therein.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 › Section 1-92-29a - Filing and maintenance of papers related to hearings

Current through July 10, 2024
(a)
					 For purposes of this section, the term "paper" means a document, other than a
					 document a party intends to introduce as evidence at a hearing, that is filed
					 with the Office of State Ethics during the course of, and relating to, a
					 hearing conducted under section 1-82 or 1-93 of the Connecticut General
					 Statutes (i.e., a pleading or memorandum).
(b) Except for papers relating to the
					 settlement of contested case proceedings, any paper, howsoever designated,
					 shall be filed by delivering the original and one copy to the clerk of the
					 Board.
(c) Any such paper filed by
					 a party or intervenor with the clerk of the Board also shall be served upon all
					 other parties and intervenors or, if such other parties and intervenors appear
					 by counsel, upon such counsel, whether such requirement of service is
					 specifically recited elsewhere or not.
(d) Upon agreement by the parties and the
					 approval of the judge trial referee, the parties may file papers
					 electronically.
(e) Unless
					 otherwise ordered by the judge trial referee, the original of any paper and one
					 copy shall be filed with the judge trial referee during a hearing.
(f) The clerk of the Board shall maintain the
					 original of all such papers in the record.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 2 - Probable Cause Hearings › Section 1-92-30a - Repealed

Current through July 10, 2024
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 5 - Remedies and Penalties › Section 1-92-32 - Amount of civil penalty to be imposed

Current through July 10, 2024
In its determination of the amount of the civil penalty
						to be imposed, the board shall consider, among other mitigating or aggravating
						circumstances:
(1) the gravity of the
					 act or omission;
(2) the amount
					 necessary to insure immediate and continued compliance;
(3) the previous history of similar acts or
					 omissions; and
(4) whether the
					 person has shown good faith in attempting to comply with the applicable
					 provisions of the Connecticut General Statutes.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 5 - Remedies and Penalties › Section 1-92-32a - Collection of penalties and forfeitures

Current through July 10, 2024
Any civil penalty collected by, or monies remitted to the
						Office of State Ethics pursuant to sections
						1-88,
						1-89,
						1-99,
						1-100, or
						1-103
						of the Connecticut General Statutes shall be deposited to the general fund,
						except as otherwise expressly provided for by statute or
						regulation.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 5 - Remedies and Penalties › Section 1-92-32b - Failure to pay penalties or comply with orders

Current through July 10, 2024
Upon an order or final decision of the board that a civil
						penalty or forfeiture of money or resources shall be paid, the enforcement
						division of the Office of State Ethics shall notify the person against whom
						such order or decision has been issued in writing by certified mail return
						receipt requested, of the board's order or decision. Unless the order or
						decision otherwise directs, such notice shall include a statement to the effect
						that in the event of a failure to comply with such order or decision within
						thirty days of the date of such notice, the Office of State Ethics may apply to
						the Superior Court for the judicial district of Hartford for the enforcement of
						its decision or order.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 5 - Remedies and Penalties › Section 1-92-32c - Penalties not a bar to further action

Current through July 10, 2024
Unless the written stipulation, agreed settlement, order
						or decision expressly states otherwise, the imposition of a civil penalty or
						requirement of forfeiture by the Office of State Ethics against a person shall
						not preclude the Office from exercising its other powers and duties prescribed
						in the Connecticut General Statutes.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › 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 5 - Remedies and Penalties › Section 1-92-32d - Procedures for imposing lobbyist prohibition

Current through July 10, 2024
Pursuant to section 1-99(a) of the Connecticut General
						Statutes, the Citizen's Ethics Advisory Board may prohibit any person who
						intentionally violates any provision of chapter 10, part II, of the Connecticut
						General Statutes, from engaging in the profession of lobbyist for a period of
						not more than two years as follows:
(a) No person shall be subjected to the
					 prohibition except upon the concurring votes of two thirds of board members
					 present and voting.
(b) The
					 prohibition may be imposed:
(1) by a
					 stipulation and order, as authorized by section 4-177(c) of the Connecticut
					 General Statutes; (2) after a hearing conducted pursuant to section 1-93(b) of
					 the Connecticut General Statutes; or (3) after a finding of a criminal
					 violation of chapter 10, part II, of the Connecticut General Statutes, by a
					 court of competent jurisdiction.
Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 4 - Miscellaneous Proceedings › Part 1 - Rule Making › Section 1-92-33 - Rule-making functions

Current through July 10, 2024
Statutory authority to adopt, amend or repeal regulations
						is derived from the Acts creating the Office of State Ethics and chapter 54 of
						the Connecticut General Statutes.