Bill Text: CT SB00361 | 2016 | General Assembly | Comm Sub
Bill Title: An Act Revising The State Codes Of Ethics.
Spectrum: Committee Bill
Status: (Introduced - Dead) 2016-04-29 - Vote to Hold Until Next Meeting [SB00361 Detail]
Download: Connecticut-2016-SB00361-Comm_Sub.html
General Assembly |
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February Session, 2016 |
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AN ACT REVISING THE STATE CODES OF ETHICS.
Be it enacted by the Senate and House of Representatives in General Assembly convened:
Section 1. Subdivision (2) of section 1-79 of the 2016 supplement to the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(2) "Business with which he is associated" means any sole proprietorship, partnership, firm, corporation, trust or other entity through which business for profit or not for profit is conducted in which the public official or state employee or member of his or her immediate family is a director, officer, owner, limited or general partner, beneficiary of a trust or holder of stock constituting five per cent or more of the total outstanding stock of any class, provided, a public official or state employee, or member of his or her immediate family, shall not be deemed to be associated with a not for profit entity solely by virtue of the fact that the public official or state employee or member of his or her immediate family is an unpaid director or officer of the not for profit entity. ["Officer"] "Business with which he is associated" also includes a second business held by the business with which he is associated, if the business with which he is associated is a director, officer, owner, limited or general partner, beneficiary of a trust or holder of stock constituting five per cent or more of the total outstanding stock of any class of such second business. For purposes of this subsection, "officer" refers only to the president, executive or senior vice president or treasurer of such business and to any person who exercises exclusive control over such business.
Sec. 2. Subdivision (11) of section 1-79 of the 2016 supplement to the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(11) "Public official" means (A) any state-wide elected officer; [,] (B) any member or member-elect of the General Assembly; [,] (C) any person appointed to any office of the legislative, judicial or executive branch of state government by the Governor, [or] any other state-wide elected officer or an appointee of the Governor, with or without the advice and consent of the General Assembly; [,] (D) any public member or representative of the teachers' unions or state employees' unions appointed to the Investment Advisory Council pursuant to subsection (a) of section 3-13b; [,] (E) any person appointed or elected by the General Assembly or by any member of either house thereof; [,] (F) any member or director of a quasi-public agency; and (G) the spouse of the Governor. [, but] "Public official" does not include a member of an advisory board, a judge of any court either elected or appointed, any person appointed by a judge in the exercise of the judge's authority in a judicial matter or a senator or representative in Congress.
Sec. 3. Section 1-79 of the 2016 supplement to the general statutes is amended by adding subdivision (21) as follows (Effective October 1, 2016):
(NEW) (21) "Confidential information" means any information in the possession of the state, a state employee or a public official, whatever its form, which (A) is required not to be disclosed to the general public (i) under any state or federal statute, regulation, policy or provision, or (ii) pursuant to a state contract or the order of any court of competent jurisdiction; or (B) falls within a category of permissibly nondisclosable information under the Freedom of Information Act, as defined in section 1-200, and which the appropriate agency, state employee or public official has decided not to disclose to the general public.
Sec. 4. Subsection (i) of section 1-80 of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(i) No member or employee of the board or Office of State Ethics may make a contribution, as defined in section 9-601a, to any [person subject to the provisions of this part] state employee, public official or candidate for state-wide office or the General Assembly.
Sec. 5. Subsections (l) and (m) of section 1-80 of the general statutes are repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(l) No member of the board may hold any other paid position in state [employment] government for a period of one year following the end of such member's service on the board, including, but not limited to, service as a member on a state board or commission, service as a judge of the Superior Court or service as a state agency commissioner.
(m) Upon request of any aggrieved party, the board [shall] may delay the effect of any decision rendered by the board for a period not to exceed [more than] seven days following the rendering of such decision.
Sec. 6. Subsection (g) of section 1-81 of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(g) There shall be an enforcement division within the Office of State Ethics. The enforcement division shall be responsible for investigating complaints brought to or by the board. The ethics enforcement officer, described in subsection (c) of this section, shall supervise the enforcement division. The ethics enforcement officer may represent the Office of State Ethics before the Superior Court in an appeal of any ruling or finding pursuant to, or any matter arising under, section 1-82, as amended by this act, 1-93, as amended by this act, or 1-101nn, provided the board is not a party in any such appeal. The enforcement division shall employ such attorneys and investigators, as necessary, within available appropriations, and may refer matters to the office of the Chief State's Attorney, as appropriate.
Sec. 7. Section 1-82 of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(a) (1) Upon the complaint of any person on a form prescribed by the board, signed under penalty of false statement, or upon its own complaint, the ethics enforcement officer of the Office of State Ethics shall investigate any alleged violation of this part or [section 1-101nn] part IV of this chapter. Not later than five days after the receipt or issuance of such complaint, the board shall provide notice of such receipt or issuance and a copy of the complaint by registered or certified mail to any respondent against whom such complaint is filed and shall provide notice of the receipt of such complaint to the complainant. When the ethics enforcement officer of the Office of State Ethics undertakes an evaluation of a possible violation of this part or [section 1-101nn] part IV of this chapter prior to the filing of a complaint, the subject of the evaluation shall be notified not later than five business days after an Office of State Ethics staff member's first contact with a third party concerning the matter.
(2) In the conduct of its investigation of an alleged violation of this part or [section 1-101nn] part IV of this chapter, the Office of State Ethics shall have the power to hold hearings, administer oaths, examine witnesses and receive oral and documentary evidence. The Office of State Ethics may subpoena witnesses under procedural rules adopted by the Citizen's Ethics Advisory Board as regulations, in accordance with the provisions of chapter 54, to compel attendance before the Office of State Ethics and to require the production for examination by the ethics enforcement officer of the Office of State Ethics of any books and papers which the Office of State Ethics deems relevant in any matter under investigation or in question, provided any such subpoena is issued either pursuant to a majority vote of the Citizen's Ethics Advisory Board or pursuant to the signature of the chairperson of such board. The vice-chairperson of such board may sign any such subpoena if the chairperson of such board is unavailable. In the exercise of such powers, the Office of State Ethics may use the services of the state police, who shall provide the same upon the office's request. The Office of State Ethics shall make a record of all proceedings conducted pursuant to this subsection. The ethics enforcement officer of the Office of State Ethics may bring any alleged violation of this part or part IV of this chapter before a judge trial referee assigned by the Chief Court Administrator for such purpose for a probable cause hearing. Such judge trial referee shall be compensated in accordance with the provisions of section 52-434 from such funds as may be available to the Office of State Ethics. Any witness summoned before the Office of State Ethics or a judge trial referee pursuant to this subsection shall receive the witness fee paid to witnesses in the courts of this state. During any investigation conducted pursuant to this subsection or any probable cause hearing conducted pursuant to this subsection, the respondent shall have the right to appear and be heard and to offer any information which may tend to clear the respondent of probable cause to believe the respondent has violated any provision of this part or [section 1-101nn] part IV of this chapter. The respondent shall also have the right to be represented by legal counsel and to examine and cross-examine witnesses. Not later than ten days prior to the commencement of any hearing conducted pursuant to this subsection, the Office of State Ethics shall provide the respondent with a list of its intended witnesses. Any finding of probable cause to believe the respondent is in violation of any provisions of this part or part IV of this chapter shall be made by a judge trial referee not later than thirty days after the ethics enforcement officer brings such alleged violation before such judge trial referee, except that such thirty-day limitation period shall not apply if the judge trial referee determines that good cause exists for extending such limitation period.
(b) If a judge trial referee determines that probable cause exists for the violation of a provision of this part or [section 1-101nn] part IV of this chapter, the board shall initiate hearings to determine whether there has been a violation of this part or [section 1-101nn] part IV of this chapter. Any such hearing shall be initiated by the board not later than thirty days after the finding of probable cause by a judge trial referee and shall be concluded not later than ninety days after its initiation, except that such thirty or ninety-day limitation period shall not apply if the judge trial referee determines that good cause exists for extending such limitation period. A judge trial referee, who has not taken part in the probable cause determination on the matter, shall be assigned by the Chief Court Administrator and shall be compensated in accordance with section 52-434 out of funds available to the Office of State Ethics. [and] Such judge trial referee shall preside over such hearing and rule on all issues concerning the application of the rules of evidence, which shall be the same as in judicial proceedings. The judge trial referee shall have no vote in any decision of the board. All hearings of the board held pursuant to this subsection shall be open. At such hearing the board shall have the same powers as the Office of State Ethics under subsection (a) of this section and the respondent shall have the right to be represented by legal counsel, [the right] to compel attendance of witnesses and the production of books, documents, records and papers and to examine and cross-examine witnesses. Not later than ten days prior to the commencement of any hearing conducted pursuant to this subsection, the Office of State Ethics shall provide the respondent with a list of its intended witnesses. The judge trial referee shall, while engaged in the discharge of the duties as provided in this subsection, have the same authority as is provided in section 51-35 over witnesses who refuse to obey a subpoena or to testify with respect to any matter upon which such witness may be lawfully interrogated, and may commit any such witness for contempt for a period no longer than thirty days. The Office of State Ethics shall make a record of all proceedings pursuant to this subsection. During the course of any such hearing, no ex-parte communication shall occur between the board, or any of its members, and: (1) The judge trial referee, or (2) any staff member of the Enforcement Division of the Office of State Ethics, concerning the complaint or the respondent. The board shall find no person in violation of any provision of this part or [section 1-101nn] part IV of this chapter except upon the concurring vote of six of its members present and voting. No member of the board shall vote on the question of whether a violation of any provision of this part or part IV of this chapter has occurred unless such member was physically present for the duration of any hearing held pursuant to this subsection or such member has reviewed the record of the hearing and the judge trial referee determines that such member has been sufficiently informed on the matter and is competent to render judgment. Not later than fifteen days after the public hearing conducted in accordance with this subsection, the board shall publish its finding and a memorandum of the reasons therefor. Such finding and memorandum shall be deemed to be the final decision of the board on the matter for the purposes of chapter 54. The respondent, if aggrieved by the finding and memorandum, may appeal therefrom to the Superior Court in accordance with the provisions of section 4-183.
(c) If a judge trial referee finds, after a hearing pursuant to this section, that there is no probable cause to believe that a public official or state employee has violated a provision of this part or [section 1-101nn] part IV of this chapter, or if the board determines that a public official or state employee has not violated any such provision, or if a court of competent jurisdiction [overturns a finding by the board of a] rules that no violation was committed by such a respondent, the state shall pay the reasonable legal expenses of the respondent as determined by the Attorney General or by the court if appropriate. If any complaint brought under the provisions of this part or [section 1-101nn] part IV of this chapter is made with the knowledge that it is made without foundation in fact, the respondent shall have a cause of action against the complainant for double the amount of damage caused thereby and if the respondent prevails in such action, he may be awarded by the court the costs of such action together with reasonable attorneys' fees.
(d) No complaint may be made under this section later than five years after the violation alleged in the complaint has been committed.
(e) No person shall take or threaten to take official action against an individual for such individual's disclosure of information to the board or the general counsel, ethics enforcement officer or staff of the Office of State Ethics under the provisions of this part or [section 1-101nn] part IV of this chapter. After receipt of information from an individual under the provisions of this part or [section 1-101nn] part IV of this chapter, the Office of State Ethics shall not disclose the identity of such individual without such individual's consent unless the Office of State Ethics determines that such disclosure is unavoidable during the course of an investigation. No person shall be subject to civil liability for any good faith disclosure that such person makes to the Office of State Ethics.
Sec. 8. Subsection (a) of section 1-82a of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(a) Unless a judge trial referee makes a finding of probable cause, a complaint alleging a violation of this part or [section 1-101nn] part IV of this chapter shall be confidential except upon the request of the respondent. An evaluation of a possible violation of this part or [section 1-101nn] part IV of this chapter by the Office of State Ethics prior to the filing of a complaint shall be confidential except upon the request of the subject of the evaluation. If the evaluation is confidential, any information supplied to or received from the Office of State Ethics shall not be disclosed to any third party by a subject of the evaluation, a person contacted for the purpose of obtaining information or by the ethics enforcement officer or staff of the Office of State Ethics. No provision of this subsection shall prevent the Office of State Ethics from reporting the possible commission of a crime to the Chief State's Attorney or other prosecutorial authority.
Sec. 9. Subsections (i) to (k), inclusive, of section 1-84 of the general statutes are repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(i) (1) 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 or a quasi-public agency, valued at one hundred dollars or more, other than a contract (A) of employment as a state employee, (B) with the technical high school system for students enrolled in a school in the system to perform services in conjunction with vocational, technical or technological education and training any such student is receiving at a school in the system, subject to the review process under subdivision (2) of this subsection, (C) with a public institution of higher education to support a collaboration with such institution to develop and commercialize any invention or discovery, or (D) 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, as amended by this act, or the executive head's immediate family or a business with which he is associated enter into any contract with [that] such 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.
(2) The superintendent of the technical high school system shall establish an open and transparent process to review any contract entered into under subparagraph (B) of subdivision (1) of this subsection.
(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 solicit or accept any gift, as defined in subdivision (5) 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 from the sponsor of the event. 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] an active participant 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. As used in this subsection, "active participant" means a speaker, panelist, moderator of a panel or presenter of an award who provides substantive official service to the sponsor of the event.
Sec. 10. Subsection (m) of section 1-84 of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(m) No public official or state employee shall knowingly solicit or accept, directly or indirectly, any gift, as defined in subdivision (5) 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 subparagraph (L) of subdivision (5) 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 or state employee.
Sec. 11. Section 1-84c of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(a) Nothing in this chapter shall prohibit the donation of goods or services, as described in subparagraph (E) of subdivision (5) of section 1-79, to a state agency or quasi-public agency, 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. [As used in this section, "state agency" and "quasi-public agency" have the same meanings as provided in section 1-79.]
(b) If a public official or state employee receives goods or services to support such official's or employee's participation at an event as described in subparagraph (E) of subdivision (5) of section 1-79, and such goods or services (1) include lodging or out-of-state travel, or both, and (2) are not provided by the federal government or another state government, such official or employee shall, not later than thirty days after receipt of such goods or services, file a report with the Office of State Ethics. Such report shall be on an electronic form prescribed by the board and shall certify to the Office of State Ethics, under penalty of false statement, that the goods or services received in support of such official's or employee's participation at an event facilitated state action or functions. If a public official or state employee does not file a report within such thirty-day period, either intentionally or due to gross negligence on the official's or employee's part, the official or employee shall return to the donor the value of the goods or services received. If any failure to file such report is not intentional or due to gross negligence, the public official or state employee shall not be subject to any penalty under this chapter.
Sec. 12. Section 1-86e of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(a) No person hired by the state or a quasi-public agency as a consultant or independent contractor, and no person employed by such consultant or independent contractor, shall:
(1) Use the authority provided [to the person] under the contract, or any confidential information acquired in the performance of the contract, to obtain financial gain for the [person] consultant or independent contractor, an employee of the [person] consultant or independent contractor or a member of the immediate family of any such [person] consultant, contractor or employee;
(2) Accept another state or quasi-public agency contract which would impair the independent judgment of the person in the performance of the existing contract; or
(3) Accept anything of value based on an understanding that the actions of the person on behalf of the state or quasi-public agency would be influenced.
(b) No person shall give anything of value to a person hired by the state or a quasi-public agency as a consultant or independent contractor, or a person employed by such consultant or independent contractor, based on an understanding that the actions of the consultant, [or] independent contractor or employee on behalf of the state or quasi-public agency would be influenced.
Sec. 13. Section 1-88 of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(a) The board, upon a finding made pursuant to section 1-82, as amended by this act, that there has been a violation of any provision of this part or [section 1-101nn] part IV of this chapter, shall have the authority to order the violator to do any or all of the following: (1) Cease and desist the violation of this part or [section 1-101nn] part IV of this chapter; (2) file any report, statement or other information as required by this part or [section 1-101nn] part IV of this chapter; and (3) pay a civil penalty of not more than ten thousand dollars for each violation of this part or [section 1-101nn] part IV of this chapter.
(b) Notwithstanding the provisions of subsection (a) of this section, the board may, after a hearing conducted in accordance with sections 4-176e to 4-184, inclusive, upon the concurring vote of six of its members, present and voting impose a civil penalty not to exceed ten dollars per day upon any individual who fails to file any report, sta tement or other information as required by this part or [section 1-101nn] part IV of this chapter. Each distinct violation of this subsection shall be a separate offense and in case of a continued violation, each day thereof shall be deemed a separate offense. In no event shall the aggregate penalty imposed for such failure to file exceed ten thousand dollars.
(c) The board may also report its finding to the Chief State's Attorney for any action deemed necessary. The board, upon a finding made pursuant to section 1-82, as amended by this act, that a member or member-elect of the General Assembly has violated any provision of this part or [section 1-101nn] part IV of this chapter, shall notify the appropriate house of the General Assembly, in writing, of such finding and the basis for such finding.
(d) Any person who knowingly acts in such person's financial interest in violation of section 1-84, as amended by this act, 1-85, 1-86, 1-86d, 1-86e, as amended by this act, or 1-101nn or any person who knowingly receives a financial advantage resulting from a violation of any of said sections shall be liable for damages in the amount of such advantage. If the board determines that any person may be so liable, it shall immediately inform the Attorney General of that possibility.
(e) Any employee of the Office of State Ethics or member of the Citizen's Ethics Advisory Board who, in violation of this part or [section 1-101nn] part IV of this chapter, discloses information filed in accordance with subparagraph (F) of subdivision (1) of subsection (b) of section 1-83, shall be dismissed, if an employee, or removed from the board, if a member.
(f) Any civil penalty imposed by the board pursuant to this section may be enforced by the Office of State Ethics as a money judgment in accordance with chapter 906.
Sec. 14. Section 1-89 of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(a) Any person who intentionally violates any provision of this part or [section 1-101nn] part IV of this chapter shall (1) for a first violation, be guilty of a class A misdemeanor, except that, if such person derives a financial benefit of one thousand dollars or more as a result of such violation, such person shall be guilty of a class D felony, and (2) for a second or subsequent violation, be guilty of a class D felony, provided no person may be found guilty of a violation of subsection (f) or (g) of section 1-84 and bribery or bribe receiving under section 53a-147 or 53a-148 upon the same incident, but such person may be charged and prosecuted for all or any of such offenses upon the same information.
(b) The penalties prescribed in this part or [section 1-101nn] part IV of this chapter shall not limit the power of either house of the legislature to discipline its own members or impeach a public official, and shall not limit the power of agencies or commissions to discipline their officials or employees.
(c) The Attorney General may bring a civil action against any person who knowingly acts in the person's financial interest in, or knowingly receives a financial advantage resulting from, a violation of section 1-84, as amended by this act, 1-85, 1-86 or 1-101nn. In any such action, the Attorney General may, in the discretion of the court, recover any financial benefit that accrued to the person as a result of such violation and additional damages in an amount not exceeding twice the amount of the actual damages.
(d) Any fines, penalties or damages paid, collected or recovered under section 1-88, as amended by this act, or this section for a violation of any provision of this part or [section 1-101nn] part IV of this chapter applying to the office of the Treasurer shall be deposited on a pro rata basis in any trust funds, as defined in section 3-13c, affected by such violation.
Sec. 15. Subdivision (16) of section 1-91 of the 2016 supplement to the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(16) "Public official" means any (A) state-wide elected state officer, (B) any member or member-elect of the General Assembly, (C) any person appointed to any office of the legislative, judicial or executive branch of state government by the Governor or any other state-wide elected officer, with or without the advice and consent of the General Assembly, (D) the spouse of the Governor, and (E) any person appointed or elected by the General Assembly or any member of either house thereof; but does not include a member of an advisory board or a senator or representative in Congress.
Sec. 16. Section 1-93 of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(a) (1) Upon the complaint of any person on a form prescribed by the Office of State Ethics, signed under penalty of false statement, or upon its own complaint, the ethics enforcement officer of the Office of State Ethics shall investigate any alleged violation of this part or part III of this chapter. Not later than five days after the receipt or issuance of such complaint, the Office of State Ethics shall provide notice of such receipt or issuance and a copy of the complaint by registered or certified mail to any respondent against whom such complaint is filed and shall provide notice of the receipt of such complaint to the complainant. When the Office of State Ethics undertakes an evaluation of a possible violation of this part or part III of this chapter prior to the filing of a complaint, the subject of the evaluation shall be notified not later than five business days after a staff member of the Office of State Ethics undertakes the first contact with a third party concerning the matter.
(2) In the conduct of its investigation of an alleged violation of this part or part III of this chapter, the Office of State Ethics shall have the power to hold hearings, administer oaths, examine witnesses and receive oral and documentary evidence. The Office of State Ethics may subpoena witnesses under procedural rules adopted by the Citizen's Ethics Advisory Board as regulations, in accordance with the provisions of chapter 54, to compel attendance before the Office of State Ethics and to require the production for examination by the ethics enforcement officer of the Office of State Ethics of any books and papers which the ethics enforcement officer of the Office of State Ethics deems relevant in any matter under investigation or in question, provided any such subpoena is issued either pursuant to a majority vote of the Citizen's Ethics Advisory Board or pursuant to the signature of the chairperson of such board. The vice-chairperson of such board may sign any such subpoena if the chairperson of such board is unavailable. In the exercise of such powers, the Office of State Ethics may use the services of the state police, who shall provide the same upon the office's request. The Office of State Ethics shall make a record of all proceedings conducted pursuant to this subsection. Any witness summoned before the Office of State Ethics or a judge trial referee pursuant to this subsection shall receive the witness fee paid to witnesses in the courts of this state. The ethics enforcement officer of the Office of State Ethics may bring any alleged violation of this part or part III of this chapter before a judge trial referee assigned by the Chief Court Administrator for such purpose for a probable cause hearing. Such judge trial referee shall be compensated in accordance with the provisions of section 52-434 from such funds as may be available to the Office of State Ethics. The respondent shall have the right to appear at any hearing held pursuant to this subsection and be heard and to offer any information which may tend to clear the respondent of probable cause to believe the respondent has violated any provision of this part or part III of this chapter. The respondent shall also have the right to be represented by legal counsel and to examine and cross-examine witnesses. Not later than ten days prior to the commencement of any hearing conducted pursuant to this subsection, the Office of State Ethics shall provide the respondent with a list of its intended witnesses. Any finding of probable cause to believe the respondent is in violation of any provision of this part shall be made by a judge trial referee not later than thirty days after the ethics enforcement officer brings such alleged violation before such judge trial referee, except that such thirty-day limitation period shall not apply if the judge trial referee determines that good cause exists for extending such limitation period.
(b) If a judge trial referee indicates that probable cause exists for the violation of a provision of this part or part III of this chapter, the board shall initiate hearings to determine whether there has been a violation of this part or part III of this chapter. Any such hearing shall be initiated by the board not later than thirty days after the finding of probable cause by a judge trial referee and shall be concluded not later than ninety days after its initiation, except that such thirty-day or ninety-day limitation period shall not apply if the judge trial referee determines that good cause exists for extending such limitation period. A judge trial referee, who has not taken part in the probable cause determination on the matter, shall be assigned by the Chief Court Administrator and shall be compensated in accordance with section 52-434 out of funds available to the board. [and] Such judge trial referee shall preside over such hearing and rule on all issues concerning the application of the rules of evidence, which shall be the same as in judicial proceedings. The judge trial referee shall have no vote in any decision of the board. All hearings of the board held pursuant to this subsection shall be open. At such hearing the board shall have the same powers as the Office of State Ethics under subsection (a) of this section and the respondent shall have the right to be represented by legal counsel, [the right] to compel attendance of witnesses and the production of books, documents, records and papers and to examine and cross-examine witnesses. Not later than ten days prior to the commencement of any hearing conducted pursuant to this subsection, the Office of State Ethics shall provide the respondent with a list of its intended witnesses. The judge trial referee shall, while engaged in the discharge of the duties as provided in this subsection, have the same authority as is provided in section 51-35 over witnesses who refuse to obey a subpoena or to testify with respect to any matter upon which such witness may be lawfully interrogated, and may commit any such witness for contempt for a period no longer than thirty days. The Office of State Ethics shall make a record of all proceedings pursuant to this subsection. During the course of any such hearing, no ex-parte communication shall occur between the board, or any of its members, and: (1) The judge trial referee, or (2) any staff member of the Enforcement Division of the Office of State Ethics, concerning the complaint or the respondent. The board shall find no person in violation of any provision of this part or part III of this chapter except upon the concurring vote of six of its members present and voting. No member of the board shall vote on the question of whether a violation of any provision of this part or part III of this chapter has occurred unless such member was physically present for the duration of any hearing held pursuant to this subsection or such member has reviewed the record of the hearing and the judge trial referee determines that such member is sufficiently informed on the matter and is competent to render judgment. Not later than fifteen days after the public hearing conducted in accordance with this subsection, the board shall publish its finding and a memorandum of the reasons therefor. Such finding and memorandum shall be deemed to be the final decision of the board on the matter for the purposes of chapter 54. The respondent, if aggrieved by the finding and memorandum, may appeal therefrom to the Superior Court in accordance with the provisions of section 4-183.
(c) If any complaint brought under the provisions of this part or part III of this chapter is made with the knowledge that it is made without foundation in fact, the respondent shall have a cause of action against the complainant for double the amount of damage caused thereby and if the respondent prevails in such action, the respondent may be awarded by the court the costs of such action together with reasonable attorneys' fees.
(d) No complaint may be made under this section except within five years next after the violation alleged in the complaint has been committed.
(e) No person shall take or threaten to take official action against an individual for such individual's disclosure of information to the board or the general counsel, ethics enforcement officer or staff of the Office of State Ethics under the provisions of this part or part III of this chapter. After receipt of information from an individual under the provisions of this part or part III of this chapter, the Office of State Ethics shall not disclose the identity of such individual without such person's consent unless the Office of State Ethics determines that such disclosure is unavoidable during the course of an investigation.
Sec. 17. Section 1-96e of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
Each registrant who pays or reimburses a public official or state employee ten dollars or more for necessary expenses, as defined in section 1-79, as amended by this act, shall, within [thirty] forty-five days, file a statement with the Office of State Ethics indicating the name of such individual and the amount of the expenses.
Sec. 18. Section 1-99 of the general statutes is amended by adding subsection (d) as follows (Effective October 1, 2016):
(NEW) (d) Any civil penalty imposed by the board pursuant to this section may be enforced by the Office of State Ethics as a money judgment in accordance with chapter 906.
Sec. 19. Subdivision (1) of section 1-101mm of the general statutes is repealed and the following is substituted in lieu thereof (Effective October 1, 2016):
(1) "Business with which the person is associated" means any sole proprietorship, partnership, firm, corporation, trust or other entity through which business for-profit or not-for-profit is conducted in which the person or member of the immediate family of any person who is an individual is a director, officer, owner, limited or general partner, beneficiary of a trust or holder of stock constituting five per cent or more of the total outstanding stock of any class, provided, a person who is an individual or a member of the immediate family of such individual shall not be deemed to be associated with a not-for-profit entity solely by virtue of the fact that such individual or immediate family member is an unpaid director or officer of the not-for-profit entity. ["Officer"] "Business with which the person is associated" also includes a second business held by the business with which the person is associated, if the business with which the person is associated is a director, officer, owner, limited or general partner, beneficiary of a trust or holder of stock constituting five per cent or more of the total outstanding stock of any class of such second business. For purposes of this subsection, "officer" refers only to the president, executive or senior vice president or treasurer of such business and to any person who exercises exclusive control over such business.
Sec. 20. Sections 1-80b to 1-80d, inclusive, of the general statutes are repealed. (Effective October 1, 2016)
This act shall take effect as follows and shall amend the following sections: | ||
Section 1 |
October 1, 2016 |
1-79(2) |
Sec. 2 |
October 1, 2016 |
1-79(11) |
Sec. 3 |
October 1, 2016 |
1-79 |
Sec. 4 |
October 1, 2016 |
1-80(i) |
Sec. 5 |
October 1, 2016 |
1-80(l) and (m) |
Sec. 6 |
October 1, 2016 |
1-81(g) |
Sec. 7 |
October 1, 2016 |
1-82 |
Sec. 8 |
October 1, 2016 |
1-82a(a) |
Sec. 9 |
October 1, 2016 |
1-84(i) to (k) |
Sec. 10 |
October 1, 2016 |
1-84(m) |
Sec. 11 |
October 1, 2016 |
1-84c |
Sec. 12 |
October 1, 2016 |
1-86e |
Sec. 13 |
October 1, 2016 |
1-88 |
Sec. 14 |
October 1, 2016 |
1-89 |
Sec. 15 |
October 1, 2016 |
1-91(16) |
Sec. 16 |
October 1, 2016 |
1-93 |
Sec. 17 |
October 1, 2016 |
1-96e |
Sec. 18 |
October 1, 2016 |
1-99 |
Sec. 19 |
October 1, 2016 |
1-101mm(1) |
Sec. 20 |
October 1, 2016 |
Repealer section |
Statement of Legislative Commissioners:
In Section 5(m) "more than" was bracketed to eliminate redundant language, in Sections 7(b) and 16(b) "the right" was bracketed for consistency, in Section 9(k) "a sponsor" was changed to "the sponsor" for consistency, in Section 11(a) the definitions were bracketed as duplicative of existing provisions and in Section 19, references to "business with which he is associated" were changed to "business with which the person is associated" for consistency with the defined term.
GAE |
Joint Favorable Subst. -LCO |
|
JUD |
Joint Favorable |