Sec. 1-83. Statements of financial interests. Filing requirements. Ethics statements.
Sec. 1-83. Statements of financial interests. Filing requirements. Ethics statements. (a)(1) All state-wide elected officers, members of the General Assembly, department heads and their deputies, members of the Gaming Policy Board, the executive
director of the Division of Special Revenue within the Department of Revenue Services,
members or directors of each quasi-public agency, members of the Investment Advisory
Council, state marshals and such members of the Executive Department and such employees of quasi-public agencies as the Governor shall require, shall file, under penalty
of false statement, a statement of financial interests for the preceding calendar year with
the Office of State Ethics on or before the May first next in any year in which they hold
such a position. Any such individual who leaves his or her office or position shall file
a statement of financial interests covering that portion of the year during which such
individual held his or her office or position. The Office of State Ethics shall notify such
individuals of the requirements of this subsection not later than thirty days after their
departure from such office or position. Such individuals shall file such statement within
sixty days after receipt of the notification.
(2) Each state agency, department, board and commission shall develop and implement, in cooperation with the Office of State Ethics, an ethics statement as it relates to
the mission of the agency, department, board or commission. The executive head of
each such agency, department, board or commission shall be directly responsible for
the development and enforcement of such ethics statement and shall file a copy of such
ethics statement with the Department of Administrative Services and the Office of State
Ethics.
(b) (1) The statement of financial interests, except as provided in subdivision (2)
of this subsection, shall include the following information for the preceding calendar
year in regard to the individual required to file the statement and the individual's spouse
and dependent children residing in the individual's household: (A) The names of all
businesses with which associated; (B) all sources of income, including the name of each
employer, with a description of each source, in excess of one thousand dollars, without
specifying amounts of income; (C) the name of securities in excess of five thousand
dollars at fair market value owned by such individual, spouse or dependent children or
held in the name of a corporation, partnership or trust for the benefit of such individual,
spouse or dependent children; (D) the existence of any known blind trust and the names
of the trustees; (E) all real property and its location, whether owned by such individual,
spouse or dependent children or held in the name of a corporation, partnership or trust
for the benefit of such individual, spouse or dependent children; (F) the names and
addresses of creditors to whom the individual, the individual's spouse or dependent
children, individually, owed debts of more than ten thousand dollars; (G) any leases or
contracts with the state held or entered into by the individual or a business with which
he or she was associated; and (H) a description of any partnership, joint ownership or
similar business affiliation between (i) a business included under subparagraph (A) of
this subdivision with which the individual filing the statement, the individual's spouse
or a dependent child of the individual is associated, and (ii) a lobbyist, a person that the
individual filing the statement knows or has reason to know is doing business with or
seeking to do business with the state or is engaged in activities that are directly regulated
by the department or agency in which the individual is employed, or a business with
which such lobbyist or person is associated.
(2) The statement of financial interests filed by state marshals shall include only
amounts and sources of income earned in their capacity as state marshals.
(c) The statement of financial interests filed pursuant to this section shall be a matter
of public information, except the list of names, filed in accordance with subparagraph
(F) of subdivision (1) of subsection (b) of this section shall be sealed and confidential
and for the use of the Office of State Ethics only after a complaint has been filed under
section 1-82 and such complaint has been determined by a vote of the board to be of
sufficient merit and gravity to justify the unsealing of such list or lists and not open to
public inspection unless the respondent requests otherwise. If the board reports its findings to the Chief State's Attorney in accordance with subsection (c) of section 1-88, the
board shall turn over to the Chief State's Attorney such relevant information contained in
the statement as may be germane to the specific violation or violations or a prosecutorial
official may subpoena such statement in a criminal action. Unless otherwise a matter
of public record, the Office of State Ethics shall not disclose to the public any such
subpoena which would be exempt from disclosure by the issuing agency.
(d) Any individual who is unable to provide information required under the provisions of subdivision (1) of subsection (b) of this section by reason of impossibility may
petition the board for a waiver of the requirements.
(P.A. 77-600, S. 5, 15; P.A. 79-549; P.A. 80-482, S. 342, 343, 345, 348; P.A. 83-249, S. 6, 14; 83-270, S. 3; 83-586,
S. 3, 14; P.A. 84-21, S. 1, 5; 84-335, S. 2, 4; 84-546, S. 141, 173; P.A. 87-524, S. 5, 7; P.A. 88-139, S. 2; 88-225, S. 2, 14;
P.A. 89-97, S. 2, 7; 89-145; June 12 Sp. Sess. P.A. 91-1, S. 8; P.A. 94-126, S. 1; 94-132, S. 3; June 18 Sp. Sess. P.A. 97-6, S. 12, 14; P.A. 00-43, S. 17, 19; 00-66, S. 1; 00-99, S. 14, 154; P.A. 01-195, S. 1, 2, 181; P.A. 04-245, S. 1; P.A. 05-183, S. 8; P.A. 07-201, S. 2.)
History: P.A. 79-549 included members of gaming policy board, executive director of division of special revenue within
the department of business regulation under filing requirements; P.A. 80-482 changed "business regulation" to "revenue
services", expanded provisions regarding the executive director and limited revenue services' control to administrative
purposes only; P.A. 83-249 changed "commissioners and deputy commissioners" to "department heads and their deputies"
and made technical amendments; P.A. 83-270 amended Subsec. (a) to include members of the board of directors of the
Connecticut resources recovery authority under filing requirements; P.A. 83-586 amended Subsec. (a) to require post-termination filing of financial statement, amended Subsec. (b) to allow for nondisclosure of privileged information, to
clarify that reporting threshold figure of $5,000 refers to net income and to require disclosure of clients providing more
than $5,000 of net income to any business with which the individual was associated, names of creditors and state leases
and contracts, amended Subsec. (c) to allow commission access to list of names if commission determines that a complaint
is of sufficient merit and gravity to justify its unsealing and added Subsec. (d) allowing waiver in cases in which it is
impossible to comply with information requirements; P.A. 84-21 made technical correction in Subsec. (c) to refer to list
of names of creditors as sealed and confidential; P.A. 84-335 added requirement that sheriffs and deputy sheriffs file limited
financial statements; P.A. 84-546 made technical changes in Subsec. (b); P.A. 87-524 amended Subsec. (b) to specify that
Subdiv. (2) shall not permit elected official to receive gift, honorarium or compensation prohibited under Sec. 9-333i(h);
P.A. 88-139 amended Subsec. (a) by changing the filing deadline for statements of financial interests from April fifteenth
to May first, amended Subsec. (b)(1)(C) by deleting the exception for blind trusts; added Subsec. (b)(1)(D) re blind trusts;
added the language in Subsec. (b)(1)(E) re real property held for the benefit of an individual, spouse or dependent children
and relettered Subparas. (E) and (F) accordingly; P.A. 88-225 amended Subsec. (a) to require that members or directors
of each quasi-public agency, instead of only members of board of directors of Connecticut resources recovery authority,
and such employees of quasi-public agencies as governor requires, file statement of financial interests; P.A. 89-97 added
definition of "fee" and "honorarium" in Subsec. (b)(2) and required filing of such a fee or honorarium in an amount of
$100 or more received in capacity as public official or state employee instead of fee or honorarium received for appearance
or delivery of address to any meeting of an organization; P.A. 89-145 increased threshold in Subsec. (b)(1)(B) for reporting
names and addresses of clients, patients and customers providing income to individual, from $5,000 to $10,000; June 12
Sp. Sess. P.A. 91-1 deleted former Subsec. (b)(2) re disclosure of fees and honoraria and renumbered Subdiv. (3) as Subdiv.
(2); P.A. 94-126 added Subsec. (a)(2) re ethics statements and clarified that Subsecs. (b) and (c) apply to statements of
financial interests; P.A. 94-132 amended Subsec. (c) by adding provision re disclosure of subpoenas; June 18 Sp. Sess.
P.A. 97-6 amended Subsec. (b)(1) to delete requirement that statement of financial interests include names and addresses
of clients, patients and customers who provide more than $10,000 of net income, effective January 1, 1998; P.A. 00-43
amended Subsec. (a) to extend provisions of section to members of the Investment Advisory Council and to make technical
changes for purposes of gender neutrality, effective May 3, 2000; P.A. 00-66 made technical changes in Subsec. (b); P.A.
00-99 changed reference to sheriffs and deputy sheriffs to state marshals in Subsecs. (a) and (b), effective December 1,
2000; P.A. 01-195 substituted "marshals" for "marshal" in Subsec. (a)(1) and made a technical change in Subsec. (b)(1)(G)
for purposes of gender neutrality, effective July 11, 2001; P.A. 04-245 added Subsec. (b)(1)(H) re disclosure of business
affiliations with lobbyists, persons doing business with or seeking to do business with the state or persons engaged in
regulated activities or associated businesses; P.A. 05-183 replaced "commission" and "Ethics Commission" with "Office
of State Ethics" or "board" throughout the section and made a technical change in Subsec. (a)(1), effective July 1, 2005;
P.A. 07-201 amended Subsec. (b)(1)(B) to require the disclosure of the name of each employer and a description of each
source of income, effective July 5, 2007.
Disclosure obligations under statute not subject to disclosure requirement of Sec. 1-19(a). 18 CA 212.