Sec. 1-84. (Formerly Sec. 1-66). Prohibited activities.
Sec. 1-84. (Formerly Sec. 1-66). Prohibited activities. (a) No public official or
state employee shall, while serving as such, have any financial interest in, or engage in,
any business, employment, transaction or professional activity, which is in substantial
conflict with the proper discharge of his duties or employment in the public interest and
of his responsibilities as prescribed in the laws of this state, as defined in section 1-85.
(b) No public official or state employee shall accept other employment which will
either impair his independence of judgment as to his official duties or employment or
require him, or induce him, to disclose confidential information acquired by him in the
course of and by reason of his official duties.
(c) No public official or state employee shall wilfully and knowingly disclose, for
financial gain, to any other person, confidential information acquired by him in the
course of and by reason of his official duties or employment and no public official or
state employee shall use his public office or position or any confidential information
received through his holding such public office or position to obtain financial gain for
himself, his spouse, child, child's spouse, parent, brother or sister or a business with
which he is associated.
(d) No public official or state employee or employee of such public official or state
employee shall agree to accept, or be a member or employee of a partnership, association,
professional corporation or sole proprietorship which partnership, association, professional corporation or sole proprietorship agrees to accept any employment, fee or other
thing of value, or portion thereof, for appearing, agreeing to appear, or taking any other
action on behalf of another person before the Department of Banking, the Claims Commissioner, the Office of Health Care Access, the Insurance Department, the office within
the Department of Consumer Protection that carries out the duties and responsibilities
of sections 30-2 to 30-68m, inclusive, the Department of Motor Vehicles, the State
Insurance and Risk Management Board, the Department of Environmental Protection,
the Department of Public Utility Control, the Connecticut Siting Council, the Division
of Special Revenue within the Department of Revenue Services, the Gaming Policy
Board within the Department of Revenue Services or the Connecticut Real Estate Commission; provided this shall not prohibit any such person from making inquiry for information on behalf of another before any of said commissions or commissioners if no fee
or reward is given or promised in consequence thereof. For the purpose of this subsection,
partnerships, associations, professional corporations or sole proprietorships refer only to
such partnerships, associations, professional corporations or sole proprietorships which
have been formed to carry on the business or profession directly relating to the employment, appearing, agreeing to appear or taking of action provided for in this subsection.
Nothing in this subsection shall prohibit any employment, appearing, agreeing to appear
or taking action before any municipal board, commission or council. Nothing in this
subsection shall be construed as applying (1) to the actions of any teaching or research
professional employee of a public institution of higher education if such actions are
not in violation of any other provision of this chapter, (2) to the actions of any other
professional employee of a public institution of higher education if such actions are not
compensated and are not in violation of any other provision of this chapter, (3) to any
member of a board or commission who receives no compensation other than per diem
payments or reimbursement for actual or necessary expenses, or both, incurred in the
performance of the member's duties, or (4) to any member or director of a quasi-public
agency. Notwithstanding the provisions of this subsection to the contrary, a legislator,
an officer of the General Assembly or part-time legislative employee may be or become
a member or employee of a firm, partnership, association or professional corporation
which represents clients for compensation before agencies listed in this subsection,
provided the legislator, officer of the General Assembly or part-time legislative employee shall take no part in any matter involving the agency listed in this subsection and
shall not receive compensation from any such matter. Receipt of a previously established
salary, not based on the current or anticipated business of the firm, partnership, association or professional corporation involving the agencies listed in this subsection, shall
be permitted.
(e) No legislative commissioner or his partners, employees or associates shall represent any person subject to the provisions of part II concerning the promotion of or
opposition to legislation before the General Assembly, or accept any employment which
includes an agreement or understanding to influence, or which is inconsistent with, the
performance of his official duties.
(f) No person shall offer or give to a public official or state employee or candidate
for public office or his spouse, his parent, brother, sister or child or spouse of such child
or a business with which he is associated, anything of value, including, but not limited
to, a gift, loan, political contribution, reward or promise of future employment based
on any understanding that the vote, official action or judgment of the public official,
state employee or candidate for public office would be or had been influenced thereby.
(g) No public official or state employee or candidate for public office shall solicit or
accept anything of value, including but not limited to, a gift, loan, political contribution,
reward or promise of future employment based on any understanding that the vote,
official action or judgment of the public official or state employee or candidate for public
office would be or had been influenced thereby.
(h) Nothing in subsection (f) or (g) of this section shall be construed (1) to apply
to any promise made in violation of subdivision (6) of section 9-622, or (2) to permit
any activity otherwise prohibited in section 53a-147 or 53a-148.
(i) No public official or state employee or member of the official or employee's
immediate family or a business with which he is associated shall enter into any contract
with the state, valued at one hundred dollars or more, other than a contract of employment
as a state employee, or a contract with a public institution of higher education to support
a collaboration with such institution to develop and commercialize any invention or
discovery, or pursuant to a court appointment, unless the contract has been awarded
through an open and public process, including prior public offer and subsequent public
disclosure of all proposals considered and the contract awarded. In no event shall an
executive head of an agency, as defined in section 4-166, including a commissioner of
a department, or an executive head of a quasi-public agency, as defined in section 1-79, or the executive head's immediate family or a business with which he is associated
enter into any contract with that agency or quasi-public agency. Nothing in this subsection shall be construed as applying to any public official who is appointed as a member
of the executive branch or as a member or director of a quasi-public agency and who
receives no compensation other than per diem payments or reimbursement for actual
or necessary expenses, or both, incurred in the performance of the public official's duties
unless such public official has authority or control over the subject matter of the contract.
Any contract made in violation of this subsection shall be voidable by a court of competent jurisdiction if the suit is commenced not later than one hundred eighty days after
the making of the contract.
(j) No public official, state employee or candidate for public office, or a member
of any such person's staff or immediate family shall knowingly accept any gift, as
defined in subsection (e) of section 1-79, from a person known to be a registrant or
anyone known to be acting on behalf of a registrant.
(k) No public official, spouse of the Governor or state employee shall accept a fee
or honorarium for an article, appearance or speech, or for participation at an event, in
the public official's, spouse's or state employee's official capacity, provided a public
official, Governor's spouse or state employee may receive payment or reimbursement
for necessary expenses for any such activity in his or her official capacity. If a public
official, Governor's spouse or state employee receives such a payment or reimbursement
for lodging or out-of-state travel, or both, the public official, Governor's spouse or state
employee shall, not later than thirty days thereafter, file a report of the payment or
reimbursement with the Office of State Ethics, unless the payment or reimbursement is
provided by the federal government or another state government. If a public official,
Governor's spouse or state employee does not file such report within such period, either
intentionally or due to gross negligence on the public official's, Governor's spouse's
or state employee's part, the public official, Governor's spouse or state employee shall
return the payment or reimbursement. If any failure to file such report is not intentional
or due to gross negligence on the part of the public official, Governor's spouse or state
employee, the public official, Governor's spouse or state employee shall not be subject
to any penalty under this chapter. When a public official, Governor's spouse or state
employee attends an event in this state in the public official's, Governor's spouse's or
state employee's official capacity and as a principal speaker at such event and receives
admission to or food or beverage at such event from the sponsor of the event, such
admission or food or beverage shall not be considered a gift and no report shall be
required from such public official, spouse or state employee or from the sponsor of the
event.
(l) No public official or state employee, or any person acting on behalf of a public
official or state employee, shall wilfully and knowingly interfere with, influence, direct
or solicit existing or new lobbying contracts, agreements or business relationships for
or on behalf of any person.
(m) No public official or state employee shall knowingly accept, directly or indirectly, any gift, as defined in subsection (e) of section 1-79, from any person the public
official or state employee knows or has reason to know: (1) Is doing business with or
seeking to do business with the department or agency in which the public official or
state employee is employed; (2) is engaged in activities which are directly regulated by
such department or agency; or (3) is prequalified under section 4a-100. No person shall
knowingly give, directly or indirectly, any gift or gifts in violation of this provision. For
the purposes of this subsection, the exclusion to the term "gift" in subdivision (12) of
subsection (e) of section 1-79 for a gift for the celebration of a major life event shall
not apply. Any person prohibited from making a gift under this subsection shall report
to the Office of State Ethics any solicitation of a gift from such person by a state employee
or public official.
(n) (1) As used in this subsection, (A) "investment services" means investment
legal services, investment banking services, investment advisory services, underwriting
services, financial advisory services or brokerage firm services, and (B) "principal of
an investment services firm" means (i) an individual who is a director of or has an
ownership interest in an investment services firm, except for an individual who owns
less than five per cent of the shares of an investment services firm which is a publicly
traded corporation, (ii) an individual who is employed by an investment services firm
as president, treasurer, or executive or senior vice president, (iii) an employee of such
an investment services firm who has managerial or discretionary responsibilities with
respect to any investment services, (iv) the spouse or dependent child of an individual
described in this subparagraph, or (v) a political committee established by or on behalf
of an individual described in this subparagraph.
(2) The State Treasurer shall not pay any compensation, expenses or fees or issue
any contract to any firm which provides investment services when (A) a political committee, as defined in section 9-601, established by such firm, or (B) a principal of the
investment services firm has made a contribution, as defined in section 9-601a, to, or
solicited contributions on behalf of, any exploratory committee or candidate committee,
as defined in section 9-601, established by the State Treasurer as a candidate for nomination or election to the office of State Treasurer. The State Treasurer shall not pay any
compensation, expenses or fees or issue any contract to such firms or principals during
the term of office as State Treasurer, including, for an incumbent State Treasurer seeking
reelection, any remainder of the current term of office.
(o) If (1) any person (A) is doing business with or seeking to do business with the
department or agency in which a public official or state employee is employed, or (B)
is engaged in activities which are directly regulated by such department or agency, and
(2) such person or a representative of such person gives to such public official or state
employee anything of value which is subject to the reporting requirements pursuant to
subsection (e) of section 1-96, such person or representative shall, not later than ten
days thereafter, give such recipient and the executive head of the recipient's department
or agency a written report stating the name of the donor, a description of the item or
items given, the value of such items and the cumulative value of all items given to such
recipient during that calendar year. The provisions of this subsection shall not apply to
a political contribution otherwise reported as required by law.
(p) (1) No public official or state employee or member of the immediate family of
a public official or state employee shall knowingly accept, directly or indirectly, any
gift costing one hundred dollars or more from a public official or state employee who
is under the supervision of such public official or state employee.
(2) No public official or state employee or member of the immediate family of a
public official or state employee shall knowingly accept, directly or indirectly, any gift
costing one hundred dollars or more from a public official or state employee who is a
supervisor of such public official or state employee.
(3) No public official or state employee shall knowingly give, directly or indirectly,
any gift in violation of subdivision (1) or (2) of this subsection.
(q) No public official or state employee shall counsel, authorize or otherwise sanction action that violates any provision of this part.
(r) (1) Notwithstanding the provisions of subsections (b) and (c) of this section, a
member of the faculty or a member of a faculty bargaining unit of a constituent unit of
the state system of higher education may enter into a consulting agreement or engage
in a research project with a public or private entity, provided such agreement or project
does not conflict with the member's employment with the constituent unit, as determined
by policies established by the board of trustees for such constituent unit.
(2) The board of trustees for each constituent unit of the state system of higher
education shall establish policies to ensure that any such member who enters such a
consulting agreement or engages in such a research project (A) is not inappropriately
using university proprietary information in connection with such agreement or project,
(B) does not have an interest in such agreement or project that interferes with the proper
discharge of his or her employment with the constituent unit, and (C) is not inappropriately using such member's association with the constituent unit in connection with such
agreement or project. Such policies shall (i) establish procedures for the disclosure,
review and management of conflicts of interest relating to any such agreement or project,
(ii) require the approval by the chief academic officer of the constituent unit, or his or
her designee, prior to any such member entering into any such agreement or engaging
in any such project, and (iii) include procedures that impose sanctions and penalties on
any member for failing to comply with the provisions of the policies. Semiannually, the
internal audit office of each constituent unit shall audit the constituent unit's compliance
with such policies and report its findings to the committee of the constituent unit established pursuant to subdivision (3) of this subsection. For purposes of this subsection,
"consulting" means the provision of services for compensation to a public or private
entity by a member of the faculty or member of a faculty bargaining unit of a constituent
unit of the state system of higher education: (I) When the request to provide such services
is based on such member's expertise in a field or prominence in such field, and (II)
while such member is not acting in the capacity of a state employee, and "research"
means a systematic investigation, including, but not limited to, research development,
testing and evaluation, designed to develop or contribute to general knowledge in the
applicable field of study.
(3) There is established a committee for each constituent unit of the state system
of higher education to monitor the constituent unit's compliance with the policies and
procedures described in subdivision (2) of this subsection governing consulting
agreements and research projects with public or private entities by a member of the
faculty or a member of a faculty bargaining unit of such constituent unit. Each committee
shall consist of nine members as follows: (A) Three members, appointed jointly by the
Governor, the speaker of the House of Representatives, the president pro tempore of
the Senate, the majority leader of the House of Representatives, the majority leader of
the Senate, the minority leader of the House of Representatives and the minority leader
of the Senate, who shall serve as members for each such committee; (B) one member
appointed by the chairperson of the constituent unit's board of trustees from the membership of such board; (C) the chief academic officer of the constituent unit, or his or her
designee; (D) three members appointed by the chief executive officer of the constituent
unit, and (E) one member appointed by the chairperson of the Citizen's Ethics Advisory
Board from the membership of such board. Members shall serve for a term of two years.
Any vacancies shall be filled by the appointing authority. Each committee shall (i)
review the semiannual reports submitted by the internal audit office for the constituent
unit, pursuant to subdivision (2) of this subsection, (ii) make recommendations, annually, to the board of trustees of the constituent unit concerning the policies and procedures
of the constituent unit established pursuant to subdivision (2) of this subsection, including any changes to such policies and procedures, and (iii) send a copy of such recommendations, in accordance with section 11-4a, to the joint standing committees of the General
Assembly having cognizance of matters relating to higher education and government
administration.
(4) The provisions of subsections (b) and (c) of this section shall apply to any member of the faculty or member of a faculty bargaining unit of a constituent unit of the
state system of higher education who enters such a consulting agreement or engages in
such a research project without prior approval, as described in subdivision (2) of this
subsection.
(1971, P.A. 822, S. 1; P.A. 75-605, S. 20, 27; P.A. 76-302, S. 1, 3; P.A. 77-600, S. 6, 15; 77-604, S. 68, 84; 77-605, S.
13, 21; 77-614, S. 165, 610; P.A. 78-303, S. 37, 136; P.A. 79-404, S. 1, 45; 79-493, S. 5, 7, 9; P.A. 80-482, S. 1, 4, 170,
191, 345, 348; 80-483, S. 2, 186; P.A. 82-423, S. 6, 8; P.A. 83-249, S. 7, 14; 83-586, S. 4, 14; P.A. 87-9, S. 2, 3; 87-234;
87-524, S. 6, 7; P.A. 88-225, S. 3, 14; P.A. 89-369, S. 3; June 12 Sp. Sess. P.A. 91-1, S. 2, 6, 22; P.A. 92-149, S. 1, 12;
P.A. 94-69, S. 2, 3; P.A. 95-188, S. 1; 95-195, S. 4, 83; 95-257, S. 39, 58; P.A. 96-11, S. 1, 5; June 18 Sp. Sess. P.A. 97-6, S. 2-5, 14; P.A. 99-51, S. 1, 9; 99-145, S. 14, 23; P.A. 00-66, S. 2; P.A. 02-130, S. 13; P.A. 03-215, S. 5; June 30 Sp.
Sess. P.A. 03-6, S. 146(d); P.A. 04-38, S. 2; 04-169, S. 17; 04-189, S. 1; 04-245, S. 5, 6; P.A. 05-287, S. 41; P.A. 06-137,
S. 32; 06-196, S. 8-10; P.A. 07-1, S. 6; 07-166, S. 11, 12.)
History: P.A. 75-605 changed "commission on claims" to "claims commissioner"; P.A. 76-302 added Subsec. (e); P.A.
77-600 broadened scope of section regarding prohibited activities and those who are affected by the prohibitions and added
Subsecs. (f) to (i), effective January 1, 1978; P.A. 77-604 changed sections referred to in Subsec. (h), effective January 1,
1978; P.A. 77-605 expanded scope of prohibitions in Subsec. (e); in Subsec. (d) P.A. 77-614 changed "liquor control
commission" to "division of liquor control within the department of business regulation"; in Subsec. (d) P.A. 78-303
changed "state banking commission" to "banking commissioner", effective January 1, 1979; in 1979 Sec. 1-66 transferred
to Sec. 1-84; P.A. 79-404 changed "commission on special revenue" to "division of special revenue" and added the gaming
policy board in Subsec. (d); P.A. 79-493 clarified prohibited conduct in Subsec. (d) and excluded members of advisory
boards and commissions receiving per diem or reimbursement for expenses from provisions and excluded executive branch
officials from provisions of Subsec. (i) except in certain cases; P.A. 80-482 deleted references to business regulation and
reflected changes placing special revenue and the gaming policy board within the department of revenue services and
creating the banking, insurance, liquor control and public utility control departments; P.A. 80-483 made technical changes;
P.A. 82-423 added Subsec. (j) which placed $50 limit on gifts accepted by public officials; P.A. 83-249 limited prohibition
to financial interest or gains; P.A. 83-586 amended Subsec. (d) to include appearance or action before commission on
hospitals and health care, insurance department, department of public utility control or Connecticut siting council, effective
January 9, 1985; (Revisor's note: Pursuant to P.A. 87-9, "banking department" was changed editorially by the Revisors
to "department of banking"); P.A. 87-234 amended Subsec. (d) to exempt from provisions of Subsec. (d) actions of teaching
or research professional employees of public institutions of higher education, regardless of whether such actions are
compensated; P.A. 87-524 added provision in Subsec. (h) that Subsecs. (f) and (g) shall not apply to promise violating
Sec. 9-333x(6); P.A. 88-225 added Subsec. (d)(4), exempting members and directors of quasi-public agencies from application of Subsec. (d) and amended Subsec. (i) to exempt certain members and directors of quasi-public agencies from
application of Subsec. (i); P.A. 89-369 applied section to sole proprietorships; June 12 Sp. Sess. P.A. 91-1 amended Subsec.
(j) by inserting "knowingly" and making a technical change and added Subsec. (k) re fees and honoraria and Subsec. (l)
re influence with lobbying contracts, agreements or business relationships; P.A. 92-149 amended Subsec. (d) to allow
firms employing legislators or legislative employees to represent clients before specific agencies provided such employee
derives no compensation from such representation, amended Subsec. (k) to allow public officials or state employees to
receive payment or reimbursements for necessary expenses for lodging, out-of-state travel or both provided a report is
filed with the commission and added new Subsec. (m) re acceptance of gifts in excess of $50; P.A. 94-69 amended Subsec.
(m) by deleting "serving in the executive branch or a quasi-public agency" after "state employee", effective January 1, 1994;
P.A. 95-188 added Subsec. (n) re contributions to candidates for Treasurer by "investment services" firms or individuals
associated with such firms; P.A. 95-195 amended Subsec. (d) to replace reference to Department of Liquor Control with
reference to office within the Department of Consumer Protection carrying out the duties of Secs. 30-2 to 30-68m, inclusive,
effective July 1, 1995; P.A. 95-257 amended Subsec. (d) to replace Commission on Hospitals and Health Care with Office
of Health Care Access, effective July 1, 1995; P.A. 96-11 amended Subsec. (i) to prohibit an executive head of an agency
or his immediate family or a business with which he is associated from entering into a contract with that agency, effective
January 1, 1997; June 18 Sp. Sess. P.A. 97-6 amended Subsec. (j) to delete reference to gifts of $50 or more in value,
amended Subsec. (k) to provide that admission to, and food and beverage consumed at, an event are not considered a gift
if consumed at the event, if official or employee attends in official capacity or as principal speaker, amended Subsec. (m)
to delete reference to gifts of $50 or more in value and to delete Subdiv. (3) re financial interests that may be substantially
affected by performance or nonperformance of duties and added new Subsec. (o) re written reports by person who is doing
business with agency and who gives something of value to a public official or employee of that agency, effective January
1, 1998; P.A. 99-51 amended Subsec. (d) to substitute "State Insurance and Risk Management Board" for "State Insurance
Purchasing Board" and to make existing provisions gender neutral, effective May 27, 1999; P.A. 99-145 amended Subsec.
(d) to substitute "State Insurance and Risk Management Board" for "State Insurance Purchasing Board", effective June 8,
1999; P.A. 00-66 made technical changes in Subsec. (k); P.A. 02-130 amended Subsec. (n) by designating definitions as
Subdiv. (1) and remaining provisions as Subdiv. (2), designating definition of "investment services" in Subdiv. (1) as
Subpara. (A) and replacing "legal services" with "investment legal services" therein, adding Subdiv. (1)(B) defining
"principal of an investment services firm" and revising Subdiv. (2) to replace former provisions re individual who is
owner of firm or employed by firm as manager, officer, director, partner or employee having managerial or discretionary
investment responsibilities with "a principal of the investment services firm" and to make conforming and technical
changes, effective May 10, 2002; P.A. 03-215 added Subsec. (m)(3) re gifts from a prequalified contractor, effective
October 1, 2004; June 30 Sp. Sess. P.A. 03-6 and P.A. 04-169 replaced Department of Consumer Protection with Department
of Agriculture and Consumer Protection, effective July 1, 2004; P.A. 04-38 amended Subsec. (i) to increase the number
of days by which a lawsuit to void a contract in violation of said Subsec. may be brought from 90 days to 180 days and to
make technical changes, effective July 1, 2004; P.A. 04-189 repealed Sec. 146 of June 30 Sp. Sess. P.A. 03-6, thereby
reversing the merger of the Departments of Agriculture and Consumer Protection, effective June 1, 2004; P.A. 04-245
amended Subsec. (m) to provide that, for purposes of said Subsec., exclusion to term "gift" in Sec. 1-79(e)(12) for major
life event shall not apply, effective June 1, 2004; P.A. 05-287 made technical changes throughout the section, amended
Subsec. (m) to require any person who is prohibited from making a gift under the subsection to report any solicitation of
a gift by a state employee or public official, amended Subsec. (o) to include references to representatives and the executive
head of the recipient's department or agency and added Subsec. (p) re a public official's or state employee's acceptance
of a gift costing $100 or more from a person under supervision or a supervisor, Subsec. (q) re acceptance of gifts to the
state from persons prohibited from making gifts to public officials and state employees and Subsec. (r) re the sanctioning
of violations, effective July 1, 2005; P.A. 06-137 amended Subsec. (k) to include references to the spouse of the Governor,
effective June 6, 2006; P.A. 06-196 made technical changes in Subsecs. (k), (m) and (o), effective June 7, 2006; P.A. 07-1 deleted former Subsec. (q) re knowing acceptance of goods or services provided under Sec. 1-79(e)(5) and redesignated
existing Subsec. (r) as Subsec. (q), effective February 8, 2007; P.A. 07-166 amended Subsec. (i) to exempt contracts with
public institutions of higher education to support a collaboration with such institutions to develop and commercialize any
invention or discovery from prohibition in said Subsec. re entering into contracts and added new Subsec. (r) to exempt
from the provisions of Subsecs. (b) and (c) a member of the faculty or faculty bargaining unit of a constituent unit of the
state system of higher education who enters into a consulting agreement or engages in a research project, to have the board
of trustees of each constituent unit establish policies to govern such activities of such faculty members, and to establish a
separate committee for each constituent unit to monitor compliance with such policies, effective June 19, 2007.
See Sec. 1-79a re calculation of dollar limit on gifts.
Subsec. (c):
Cited. 229 C. 479.
Ethics Commission has jurisdiction in case involving the use of office by state employee for financial gain even if
employee's behavior could arguably subject him to discipline by Commissioner of Administrative Services pursuant to
State Personnel Act. 53 CA 808.
Not unconstitutionally void for vagueness or overbroad as applied to plaintiff, a high sheriff engaged in fee splitting.
45 CS 242.