Connecticut 2019 Regular Session

Connecticut House Bill HB07328 Compare Versions

Version 1 (Old)

Version 2 (New)

Old	New		Differences
1	1
2	2
3		-	LCO \\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-R01-
4		-	HB.docx
5		-	1 of 16
	3	+	LCO No. 5402 1 of 16
6	4
7		-	General Assembly ~~Substitute~~ Bill No. 7328
	5	+	General Assembly Raised Bill No. 7328
8	6		January Session, 2019
	7	+	LCO No. 5402
9	8
	9	+
	10	+	Referred to Committee on GOVERNMENT ADMINISTRATION
	11	+	AND ELECTIONS
	12	+
	13	+
	14	+	Introduced by:
	15	+	(GAE)
10	16
11	17
12	18
13	19
14	20		AN ACT REVISING CERTAIN ETHICS CODE DEFINITIONS AND GIFT
15	21		PROVISIONS.
16	22		Be it enacted by the Senate and House of Representatives in General
17	23		Assembly convened:
18	24
19	25		Section 1. Subdivision (2) of section 1-79 of the general statutes is 1
20	26		repealed and the following is substituted in lieu thereof (Effective 2
21	27		October 1, 2019): 3
22	28		(2) ["Business with which he is associated"] "Business with which 4
23	29		the person is associated" (A) means any sole proprietorship, 5
24	30		partnership, firm, corporation, trust or other entity through which 6
25	31		business for profit or not for profit is conducted in which the public 7
26	32		official or state employee or member of his or her immediate family is 8
27	33		a director, officer, owner, limited or general partner, beneficiary of a 9
28	34		trust or holder of stock constituting five per cent or more of the total 10
29	35		outstanding stock of any class, provided, a public official or state 11
30	36		employee, or member of his or her immediate family, shall not be 12
31	37		deemed to be associated with a not for profit entity solely by virtue of 13
32		-	the fact that the public official or state employee or member of his or 14
	38	+	the fact that the public official or state employee or member of his or 14 Raised Bill No. 7328
	39	+
	40	+
	41	+
	42	+	LCO No. 5402 2 of 16
	43	+
33	44		her immediate family is an unpaid director or officer of the not for 15
34	45		profit entity, [. "Officer" refers only to] and (B) includes a second 16
35	46		business held by the business with which the person is associated, if 17
36	47		the business with which the person is associated is a director, officer, 18
37		-	owner, limited or general partner, beneficiary of a trust or holder of 19 Substitute Bill No. 7328
38		-
39		-
40		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
41		-	R01-HB.docx }
42		-	2 of 16
43		-
	48	+	owner, limited or general partner, beneficiary of a trust or holder of 19
44	49		stock constituting five per cent or more of the total outstanding stock 20
45	50		of any class of such second business. For the purposes of this 21
46	51		subdivision, "officer" means the president, executive or senior vice 22
47	52		president or treasurer of such business or any person who exercises 23
48	53		exclusive control over such business. 24
49	54		Sec. 2. Subdivision (11) of section 1-79 of the general statutes is 25
50	55		repealed and the following is substituted in lieu thereof (Effective 26
51	56		October 1, 2019): 27
52	57		(11) "Public official" means (A) any state-wide elected officer; [,] (B) 28
53	58		any member or member-elect of the General Assembly; [,] (C) any 29
54	59		person appointed to any office of the legislative, judicial or executive 30
55	60		branch of state government, with or without the advice and consent of 31
56	61		the General Assembly, by the Governor, [or] an appointee of the 32
57	62		Governor [, with or without the advice and consent of the General 33
58	63		Assembly,] or any other state-wide elected officer; (D) any public 34
59	64		member or representative of the teachers' unions or state employees' 35
60	65		unions appointed to the Investment Advisory Council pursuant to 36
61	66		subsection (a) of section 3-13b; [,] (E) any person appointed or elected 37
62	67		by the General Assembly or by any member of either house thereof; [,] 38
63	68		(F) any member or director of a quasi-public agency; and (G) the 39
64	69		spouse of the Governor. [, but] "Public official" does not include a 40
65	70		member of an advisory board, a judge of any court either elected or 41
66	71		appointed, any person appointed by a judge in the exercise of the 42
67	72		judge's authority in a judicial matter or a senator or representative in 43
68	73		Congress. 44
69	74		Sec. 3. Section 1-84 of the general statutes is repealed and the 45
70		-	following is substituted in lieu thereof (Effective October 1, 2019): 46
	75	+	following is substituted in lieu thereof (Effective October 1, 2019): 46 Raised Bill No. 7328
	76	+
	77	+
	78	+
	79	+	LCO No. 5402 3 of 16
	80	+
71	81		(a) No public official or state employee shall, while serving as such, 47
72	82		have any financial interest in, or engage in, any business, employment, 48
73	83		transaction or professional activity, which is in substantial conflict with 49
74	84		the proper discharge of his or her duties or employment in the public 50
75		-	interest and of his or her responsibilities as prescribed in the laws of 51 Substitute Bill No. 7328
76		-
77		-
78		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
79		-	R01-HB.docx }
80		-	3 of 16
81		-
	85	+	interest and of his or her responsibilities as prescribed in the laws of 51
82	86		this state, as defined in section 1-85, as amended by this act. 52
83	87		(b) No public official or state employee shall accept other 53
84	88		employment which will either impair his or her independence of 54
85	89		judgment as to his or her official duties or employment or require 55
86	90		[him] such official or employee, or induce [him] such official or 56
87	91		employee, to disclose confidential information acquired by him or her 57
88		-	in the course of and by reason of [his] such official's or state 58
89		-	employee's official duties. 59
90		-	(c) No public official or state employee shall wilfully and knowingly 60
91		-	disclose, for financial gain, to any other person, confidential 61
92		-	information acquired by him or her in the course of and by reason of 62
93		-	his or her official duties or employment and no public official or state 63
94		-	employee shall use his or her public office or position or any 64
95		-	confidential information received through his or her holding such 65
96		-	public office or position to obtain financial gain for [himself] such 66
97		-	official or employee, his or her spouse, child, child's spouse, parent, 67
98		-	brother or sister or a business with which [he] the person is associated. 68
99		-	(d) No public official or state employee or employee of such public 69
100		-	official or state employee shall agree to accept, or be a member or 70
101		-	employee of a partnership, association, professional corporation or 71
102		-	sole proprietorship which partnership, association, professional 72
103		-	corporation or sole proprietorship agrees to accept any employment, 73
104		-	fee or other thing of value, or portion thereof, for appearing, agreeing 74
105		-	to appear, or taking any other action on behalf of another person 75
106		-	before the Department of Banking, the Office of the Claims 76
107		-	Commissioner, the Health Systems Planning Unit of the Office of 77
108		-	Health Strategy, the Insurance Department, the Department of 78
109		-	Consumer Protection, the Department of Motor Vehicles, the State 79
110		-	Insurance and Risk Management Board, the Department of Energy and 80
111		-	Environmental Protection, the Public Utilities Regulatory Authority, 81
112		-	the Connecticut Siting Council or the Connecticut Real Estate 82
113		-	Commission; provided this subsection shall not prohibit any such 83
114		-	person from [making inquiry] inquiring for information on behalf of 84 Substitute Bill No. 7328
	92	+	in the course of and by reason of his or her official duties. 58
	93	+	(c) No public official or state employee shall wilfully and knowingly 59
	94	+	disclose, for financial gain, to any other person, confidential 60
	95	+	information acquired by him or her in the course of and by reason of 61
	96	+	his or her official duties or employment and no public official or state 62
	97	+	employee shall use his or her public office or position or any 63
	98	+	confidential information received through his or her holding such 64
	99	+	public office or position to obtain financial gain for [himself] such 65
	100	+	official or employee, his or her spouse, child, child's spouse, parent, 66
	101	+	brother or sister or a business with which [he] the person is associated. 67
	102	+	(d) No public official or state employee or employee of such public 68
	103	+	official or state employee shall agree to accept, or be a member or 69
	104	+	employee of a partnership, association, professional corporation or 70
	105	+	sole proprietorship which partnership, association, professional 71
	106	+	corporation or sole proprietorship agrees to accept any employment, 72
	107	+	fee or other thing of value, or portion thereof, for appearing, agreeing 73
	108	+	to appear, or taking any other action on behalf of another person 74
	109	+	before the Department of Banking, the Of fice of the Claims 75
	110	+	Commissioner, the Health Systems Planning Unit of the Office of 76
	111	+	Health Strategy, the Insurance Department, the Department of 77
	112	+	Consumer Protection, the Department of Motor Vehicles, the State 78
	113	+	Insurance and Risk Management Board, the Department of Energy and 79 Raised Bill No. 7328
115	114
116	115
117		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
118		-	R01-HB.docx }
119		-	4 of 16
120	116
121		-	another before any of said commissions or commissioners if no fee or 85
122		-	reward is given or promised in consequence thereof. For the purpose 86
123		-	of this subsection, partnerships, associations, professional corporations 87
124		-	or sole proprietorships refer only to such partnerships, associations, 88
125		-	professional corporations or sole proprietorships which have been 89
126		-	formed to carry on the business or profession directly relating to the 90
127		-	employment, appearing, agreeing to appear or taking of action 91
128		-	provided for in this subsection. Nothing in this subsection shall 92
129		-	prohibit any employment, appearing, agreeing to appear or taking 93
130		-	action before any municipal board, commission or council. Nothing in 94
131		-	this subsection shall be construed as applying (1) to the actions of any 95
132		-	teaching or research professional employee of a public institution of 96
133		-	higher education if such actions are not in violation of any other 97
134		-	provision of this chapter, (2) to the actions of any other professional 98
135		-	employee of a public institution of higher education if such actions are 99
136		-	not compensated and are not in violation of any other provision of this 100
137		-	chapter, (3) to any member of a board or commission who receives no 101
138		-	compensation other than per diem payments or reimbursement for 102
139		-	actual or necessary expenses, or both, incurred in the performance of 103
140		-	the member's duties, or (4) to any member or director of a quasi-public 104
141		-	agency. Notwithstanding the provisions of this subsection to the 105
142		-	contrary, a legislator, an officer of the General Assembly or part-time 106
143		-	legislative employee may be or become a member or employee of a 107
144		-	firm, partnership, association or professional corporation which 108
145		-	represents clients for compensation before agencies listed in this 109
146		-	subsection, provided the legislator, officer of the General Assembly or 110
147		-	part-time legislative employee shall take no part in any matter 111
148		-	involving the agency listed in this subsection and shall not receive 112
149		-	compensation from any such matter. Receipt of a previously 113
150		-	established salary, not based on the current or anticipated business of 114
151		-	the firm, partnership, association or professional corporation involving 115
152		-	the agencies listed in this subsection, shall be permitted. 116
153		-	(e) No legislative commissioner or his or her partners, employees or 117
154		-	associates shall represent any person subject to the provisions of part II 118 Substitute Bill No. 7328
	117	+	LCO No. 5402 4 of 16
	118	+
	119	+	Environmental Protection, the Public Utilities Regulatory Authority, 80
	120	+	the Connecticut Siting Council or the Connecticut Real Estate 81
	121	+	Commission; provided this subsection shall not prohibit any such 82
	122	+	person from [making inquiry] inquiring for information on behalf of 83
	123	+	another before any of said commissions or commissioners if no fee or 84
	124	+	reward is given or promised in consequence thereof. For the purpose 85
	125	+	of this subsection, partnerships, associations, professional corporations 86
	126	+	or sole proprietorships refer only to such partnerships, associations, 87
	127	+	professional corporations or sole proprietorships which have been 88
	128	+	formed to carry on the business or profession directly relating to the 89
	129	+	employment, appearing, agreeing to appear or taking of action 90
	130	+	provided for in this subsection. Nothing in this subsection shall 91
	131	+	prohibit any employment, appearing, agreeing to appear or taking 92
	132	+	action before any municipal board, commission or council. Nothing in 93
	133	+	this subsection shall be construed as applying (1) to the actions of any 94
	134	+	teaching or research professional employee of a public institution of 95
	135	+	higher education if such actions are not in violation of any other 96
	136	+	provision of this chapter, (2) to the actions of any other professional 97
	137	+	employee of a public institution of higher education if such actions are 98
	138	+	not compensated and are not in violation of any other provision of this 99
	139	+	chapter, (3) to any member of a board or commission who receives no 100
	140	+	compensation other than per diem payments or reimbursement for 101
	141	+	actual or necessary expenses, or both, incurred in the performance of 102
	142	+	the member's duties, or (4) to any member or director of a quasi-public 103
	143	+	agency. Notwithstanding the provisions of this subsection to the 104
	144	+	contrary, a legislator, an officer of the General Assembly or part-time 105
	145	+	legislative employee may be or become a member or employee of a 106
	146	+	firm, partnership, association or professional corporation which 107
	147	+	represents clients for compensation before agencies listed in this 108
	148	+	subsection, provided the legislator, officer of the General Assembly or 109
	149	+	part-time legislative employee shall take no part in any matter 110
	150	+	involving the agency listed in this subsection and shall not receive 111
	151	+	compensation from any such matter. Receipt of a previously 112
	152	+	established salary, not based on the current or anticipated business of 113
	153	+	the firm, partnership, association or professional corporation involving 114 Raised Bill No. 7328
155	154
156	155
157		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
158		-	R01-HB.docx }
159		-	5 of 16
160	156
161		-	concerning the promotion of or opposition to legislation before the 119
162		-	General Assembly, or accept any employment which includes an 120
163		-	agreement or understanding to influence, or which is inconsistent 121
164		-	with, the performance of his or her official duties. 122
165		-	(f) No person shall offer or give to a public official or state employee 123
166		-	or candidate for public office or [his] such official's, employee's or 124
167		-	candidate's spouse, his or her parent, brother, sister or child or spouse 125
168		-	of such child or a business with which [he] the person is associated, 126
169		-	anything of value, including, but not limited to, a gift, loan, political 127
170		-	contribution, reward or promise of future employment based on any 128
171		-	understanding that the vote, official action or judgment of the public 129
172		-	official, state employee or candidate for public office would be or had 130
173		-	been influenced thereby. 131
174		-	(g) No public official or state employee or candidate for public office 132
175		-	shall solicit or accept anything of value, including, but not limited to, a 133
176		-	gift, loan, political contribution, reward or promise of future 134
177		-	employment based on any understanding that the vote, official action 135
178		-	or judgment of the public official or state employee or candidate for 136
179		-	public office would be or had been influenced thereby. 137
180		-	(h) Nothing in subsection (f) or (g) of this section shall be construed 138
181		-	(1) to apply to any promise made in violation of subdivision (6) of 139
182		-	section 9-622, or (2) to permit any activity otherwise prohibited in 140
183		-	section 53a-147 or 53a-148. 141
184		-	(i) (1) No public official or state employee or member of the official 142
185		-	or employee's immediate family or a business with which [he] the 143
186		-	person is associated shall enter into any contract with the state, valued 144
187		-	at one hundred dollars or more, other than a contract (A) of 145
188		-	employment as a state employee, (B) with the Technical Education and 146
189		-	Career System for students enrolled in a school in the system to 147
190		-	perform services in conjunction with vocational, technical, 148
191		-	technological or postsecondary education and training any such 149
192		-	student is receiving at a school in the system, subject to the review 150 Substitute Bill No. 7328
	157	+	LCO No. 5402 5 of 16
	158	+
	159	+	the agencies listed in this subsection, shall be permitted. 115
	160	+	(e) No legislative commissioner or his or her partners, employees or 116
	161	+	associates shall represent any person subject to the provisions of part II 117
	162	+	concerning the promotion of or opposition to legislation before the 118
	163	+	General Assembly, or accept any employment which includes an 119
	164	+	agreement or understanding to influence, or which is inconsistent 120
	165	+	with, the performance of his or her official duties. 121
	166	+	(f) No person shall offer or give to a public official or state employee 122
	167	+	or candidate for public office or his or her spouse, his or her parent, 123
	168	+	brother, sister or child or spouse of such child or a business with which 124
	169	+	[he] the person is associated, anything of value, including, but not 125
	170	+	limited to, a gift, loan, political contribution, reward or promise of 126
	171	+	future employment based on any understanding that the vote, official 127
	172	+	action or judgment of the public official, state employee or candidate 128
	173	+	for public office would be or had been influenced thereby. 129
	174	+	(g) No public official or state employee or candidate for public office 130
	175	+	shall solicit or accept anything of value, including, but not limited to, a 131
	176	+	gift, loan, political contribution, reward or promise of future 132
	177	+	employment based on any understanding that the vote, official action 133
	178	+	or judgment of the public official or state employee or candidate for 134
	179	+	public office would be or had been influenced thereby. 135
	180	+	(h) Nothing in subsection (f) or (g) of this section shall be construed 136
	181	+	(1) to apply to any promise made in violation of subdivision (6) of 137
	182	+	section 9-622, or (2) to permit any activity otherwise prohibited in 138
	183	+	section 53a-147 or 53a-148. 139
	184	+	(i) (1) No public official or state employee or member of the official 140
	185	+	or employee's immediate family or a business with which [he] the 141
	186	+	person is associated shall enter into any contract with the state, valued 142
	187	+	at one hundred dollars or more, other than a contract (A) of 143
	188	+	employment as a state employee, (B) with the Technical Education and 144
	189	+	Career System for students enrolled in a school in the system to 145
	190	+	perform services in conjunction with vocational, technical, 146 Raised Bill No. 7328
193	191
194	192
195		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
196		-	R01-HB.docx }
197		-	6 of 16
198	193
199		-	process under subdivision (2) of this subsection, (C) with a public 151
200		-	institution of higher education to support a collaboration with such 152
201		-	institution to develop and commercialize any invention or discovery, 153
202		-	or (D) pursuant to a court appointment, unless the contract has been 154
203		-	awarded through an open and public process, including prior public 155
204		-	offer and subsequent public disclosure of all proposals considered and 156
205		-	the contract awarded. In no event shall an executive head of an agency, 157
206		-	as defined in section 4-166, including a commissioner of a department, 158
207		-	or an executive head of a quasi-public agency, as defined in section 1-159
208		-	79, as amended by this act, or the executive head's immediate family or 160
209		-	a business with which [he] the person is associated enter into any 161
210		-	contract with [that] such agency or quasi-public agency. Nothing in 162
211		-	this subsection shall be construed as applying to any public official 163
212		-	who is appointed as a member of the executive branch or as a member 164
213		-	or director of a quasi-public agency and who receives no compensation 165
214		-	other than per diem payments or reimbursement for actual or 166
215		-	necessary expenses, or both, incurred in the performance of the public 167
216		-	official's duties unless such public official has authority or control over 168
217		-	the subject matter of the contract. Any contract made in violation of 169
218		-	this subsection shall be voidable by a court of competent jurisdiction if 170
219		-	the suit is commenced not later than one hundred eighty days after the 171
220		-	making of the contract. 172
221		-	(2) The superintendent of the Technical Education and Career 173
222		-	System shall establish an open and transparent process to review any 174
223		-	contract entered into under subparagraph (B) of subdivision (1) of this 175
224		-	subsection. 176
225		-	(j) No public official, state employee or candidate for public office, 177
226		-	or a member of any such person's staff or immediate family shall 178
227		-	knowingly solicit or accept, directly or indirectly, any gift, as defined 179
228		-	in subdivision (5) of section 1-79, from a person known to be a 180
229		-	registrant or anyone known to be acting on behalf of a registrant. 181
230		-	(k) No public official, spouse of the Governor or state employee 182
231		-	shall accept a fee or honorarium for an article, appearance or speech, or 183 Substitute Bill No. 7328
	194	+	LCO No. 5402 6 of 16
	195	+
	196	+	technological or postsecondary education and training any such 147
	197	+	student is receiving at a school in the system, subject to the review 148
	198	+	process under subdivision (2) of this subsection, (C) with a public 149
	199	+	institution of higher education to support a collaboration with such 150
	200	+	institution to develop and commercialize any invention or discovery, 151
	201	+	or (D) pursuant to a court appointment, unless the contract has been 152
	202	+	awarded through an open and public process, including prior public 153
	203	+	offer and subsequent public disclosure of all proposals considered and 154
	204	+	the contract awarded. In no event shall an executive head of an agency, 155
	205	+	as defined in section 4-166, including a commissioner of a department, 156
	206	+	or an executive head of a quasi-public agency, as defined in section 1-157
	207	+	79, as amended by this act, or the executive head's immediate family or 158
	208	+	a business with which [he] the person is associated enter into any 159
	209	+	contract with that agency or quasi-public agency. Nothing in this 160
	210	+	subsection shall be construed as applying to any public official who is 161
	211	+	appointed as a member of the executive branch or as a member or 162
	212	+	director of a quasi-public agency and who receives no compensation 163
	213	+	other than per diem payments or reimbursement for actual or 164
	214	+	necessary expenses, or both, incurred in the performance of the public 165
	215	+	official's duties unless such public official has authority or control over 166
	216	+	the subject matter of the contract. Any contract made in violation of 167
	217	+	this subsection shall be voidable by a court of competent jurisdiction if 168
	218	+	the suit is commenced not later than one hundred eighty days after the 169
	219	+	making of the contract. 170
	220	+	(2) The superintendent of the Technical Education and Career 171
	221	+	System shall establish an open and transparent process to review any 172
	222	+	contract entered into under subparagraph (B) of subdivision (1) of this 173
	223	+	subsection. 174
	224	+	(j) No public official, state employee or candidate for public office, 175
	225	+	or a member of any such person's staff or immediate family shall 176
	226	+	knowingly solicit or accept, directly or indirectly, any gift, as defined 177
	227	+	in subdivision (5) of section 1-79, from a person known to be a 178
	228	+	registrant or anyone known to be acting on behalf of a registrant. 179 Raised Bill No. 7328
232	229
233	230
234		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
235		-	R01-HB.docx }
236		-	7 of 16
237	231
238		-	for participation at an event, in the public official's, spouse's or state 184
239		-	employee's official capacity, provided a public official, Governor's 185
240		-	spouse or state employee may receive payment or reimbursement for 186
241		-	necessary expenses for any such activity in his or her official capacity. 187
242		-	If a public official, Governor's spouse or state employee receives such a 188
243		-	payment or reimbursement for lodging or out-of-state travel, or both, 189
244		-	the public official, Governor's spouse or state employee shall, not later 190
245		-	than thirty days thereafter, file a report of the payment or 191
246		-	reimbursement with the Office of State Ethics, unless the payment or 192
247		-	reimbursement is provided by the federal government or another state 193
248		-	government. If a public official, Governor's spouse or state employee 194
249		-	does not file such report within such period, either intentionally or due 195
250		-	to gross negligence on the public official's, Governor's spouse's or state 196
251		-	employee's part, the public official, Governor's spouse or state 197
252		-	employee shall return the payment or reimbursement. If any failure to 198
253		-	file such report is not intentional or due to gross negligence on the part 199
254		-	of the public official, Governor's spouse or state employee, the public 200
255		-	official, Governor's spouse or state employee shall not be subject to any 201
256		-	penalty under this chapter. When a public official, Governor's spouse 202
257		-	or state employee attends an event in this state in the public official's, 203
258		-	Governor's spouse's or state employee's official capacity and as a 204
259		-	principal speaker at such event and receives admission to or food or 205
260		-	beverage at such event from the sponsor of the event, such admission 206
261		-	or food or beverage shall not be considered a gift and no report shall 207
262		-	be required from such public official, spouse or state employee or from 208
263		-	the sponsor of the event. 209
264		-	(l) No public official or state employee, or any person acting on 210
265		-	behalf of a public official or state employee, shall wilfully and 211
266		-	knowingly interfere with, influence, direct or solicit existing or new 212
267		-	lobbying contracts, agreements or business relationships for or on 213
268		-	behalf of any person. 214
269		-	(m) No public official or state employee shall knowingly solicit or 215
270		-	accept, directly or indirectly, any gift, as defined in subdivision (5) of 216 Substitute Bill No. 7328
	232	+	LCO No. 5402 7 of 16
	233	+
	234	+	(k) No public official, spouse of the Governor or state employee 180
	235	+	shall accept a fee or honorarium for an article, appearance or speech, or 181
	236	+	for participation at an event, in the public official's, spouse's or state 182
	237	+	employee's official capacity, provided a public official, Governor's 183
	238	+	spouse or state employee may receive payment or reimbursement for 184
	239	+	necessary expenses for any such activity in his or her official capacity. 185
	240	+	If a public official, Governor's spouse or state employee receives such a 186
	241	+	payment or reimbursement for lodging or out-of-state travel, or both, 187
	242	+	the public official, Governor's spouse or state employee shall, not later 188
	243	+	than thirty days thereafter, file a report of the payment or 189
	244	+	reimbursement with the Office of State Ethics, unless the payment or 190
	245	+	reimbursement is provided by the federal government or another state 191
	246	+	government. If a public official, Governor's spouse or state employee 192
	247	+	does not file such report within such period, either intentionally or due 193
	248	+	to gross negligence on the public official's, Governor's spouse's or state 194
	249	+	employee's part, the public official, Governor's spouse or state 195
	250	+	employee shall return the payment or reimbursement. If any failure to 196
	251	+	file such report is not intentional or due to gross negligence on the part 197
	252	+	of the public official, Governor's spouse or state employee, the public 198
	253	+	official, Governor's spouse or state employee shall not be subject to any 199
	254	+	penalty under this chapter. When a public official, Governor's spouse 200
	255	+	or state employee attends an event in this state in the public official's, 201
	256	+	Governor's spouse's or state employee's official capacity and as a 202
	257	+	principal speaker at such event and receives admission to or food or 203
	258	+	beverage at such event from the sponsor of the event, such admission 204
	259	+	or food or beverage shall not be considered a gift and no report shall 205
	260	+	be required from such public official, spouse or state employee or from 206
	261	+	the sponsor of the event. 207
	262	+	(l) No public official or state employee, or any person acting on 208
	263	+	behalf of a public official or state employee, shall wilfully and 209
	264	+	knowingly interfere with, influence, direct or solicit existing or new 210
	265	+	lobbying contracts, agreements or business relationships for or on 211
	266	+	behalf of any person. 212
	267	+	(m) No public official or state employee shall knowingly solicit or 213 Raised Bill No. 7328
271	268
272	269
273		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
274		-	R01-HB.docx }
275		-	8 of 16
276	270
277		-	section 1-79, from any person the public official or state employee 217
278		-	knows or has reason to know: (1) Is doing business with or seeking to 218
279		-	do business with the department or agency in which the public official 219
280		-	or state employee is employed; (2) is engaged in activities which are 220
281		-	directly regulated by such department or agency; or (3) is prequalified 221
282		-	under section 4a-100. No person shall knowingly give, directly or 222
283		-	indirectly, any gift or gifts in violation of this provision. For the 223
284		-	purposes of this subsection, the exclusion to the term "gift" in 224
285		-	subparagraph (L) of subdivision (5) of section 1-79 for a gift for the 225
286		-	celebration of a major life event shall not apply. Any person prohibited 226
287		-	from making a gift under this subsection shall report to the Office of 227
288		-	State Ethics any solicitation of a gift from such person by a [state 228
289		-	employee or] public official or state employee. 229
290		-	(n) (1) As used in this subsection, (A) "investment services" means 230
291		-	investment legal services, investment banking services, investment 231
292		-	advisory services, underwriting services, financial advisory services or 232
293		-	brokerage firm services, and (B) "principal of an investment services 233
294		-	firm" means (i) an individual who is a director of or has an ownership 234
295		-	interest in an investment services firm, except for an individual who 235
296		-	owns less than five per cent of the shares of an investment services 236
297		-	firm which is a publicly traded corporation, (ii) an individual who is 237
298		-	employed by an investment services firm as president, treasurer, or 238
299		-	executive or senior vice president, (iii) an employee of such an 239
300		-	investment services firm who has managerial or discretionary 240
301		-	responsibilities with respect to any investment services, (iv) the spouse 241
302		-	or dependent child of an individual described in this subparagraph, or 242
303		-	(v) a political committee established by or on behalf of an individual 243
304		-	described in this subparagraph. 244
305		-	(2) The State Treasurer shall not pay any compensation, expenses or 245
306		-	fees or issue any contract to any firm which provides investment 246
307		-	services when (A) a political committee, as defined in section 9-601, 247
308		-	established by such firm, or (B) a principal of the investment services 248
309		-	firm has made a contribution, as defined in section 9-601a, to, or 249 Substitute Bill No. 7328
	271	+	LCO No. 5402 8 of 16
	272	+
	273	+	accept, directly or indirectly, any gift, as defined in subdivision (5) of 214
	274	+	section 1-79, from any person the public official or state employee 215
	275	+	knows or has reason to know: (1) Is doing business with or seeking to 216
	276	+	do business with the department or agency in which the public official 217
	277	+	or state employee is employed; (2) is engaged in activities which are 218
	278	+	directly regulated by such department or agency; or (3) is prequalified 219
	279	+	under section 4a-100. No person shall knowingly give, directly or 220
	280	+	indirectly, any gift or gifts in violation of this provision. For the 221
	281	+	purposes of this subsection, the exclusion to the term "gift" in 222
	282	+	subparagraph (L) of subdivision (5) of section 1-79 for a gift for the 223
	283	+	celebration of a major life event shall not apply. Any person prohibited 224
	284	+	from making a gift under this subsection shall report to the Office of 225
	285	+	State Ethics any solicitation of a gift from such person by a [state 226
	286	+	employee or] public official or state employee. 227
	287	+	(n) (1) As used in this subsection, (A) "investment services" means 228
	288	+	investment legal services, investment banking services, investment 229
	289	+	advisory services, underwriting services, financial advisory services or 230
	290	+	brokerage firm services, and (B) "principal of an investment services 231
	291	+	firm" means (i) an individual who is a director of or has an ownership 232
	292	+	interest in an investment services firm, except for an individual who 233
	293	+	owns less than five per cent of the shares of an investment services 234
	294	+	firm which is a publicly traded corporation, (ii) an individual who is 235
	295	+	employed by an investment services firm as president, treasurer, or 236
	296	+	executive or senior vice president, (iii) an employee of such an 237
	297	+	investment services firm who has managerial or discretionary 238
	298	+	responsibilities with respect to any investment services, (iv) the spouse 239
	299	+	or dependent child of an individual described in this subparagraph, or 240
	300	+	(v) a political committee established by or on behalf of an individual 241
	301	+	described in this subparagraph. 242
	302	+	(2) The State Treasurer shall not pay any compensation, expenses or 243
	303	+	fees or issue any contract to any firm which provides investment 244
	304	+	services when (A) a political committee, as defined in section 9-601, 245
	305	+	established by such firm, or (B) a principal of the investment services 246
	306	+	firm has made a contribution, as defined in section 9-601a, to, or 247 Raised Bill No. 7328
310	307
311	308
312		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
313		-	R01-HB.docx }
314		-	9 of 16
315	309
316		-	solicited contributions on behalf of, any exploratory committee or 250
317		-	candidate committee, as defined in section 9-601, established by the 251
318		-	State Treasurer as a candidate for nomination or election to the office 252
319		-	of State Treasurer. The State Treasurer shall not pay any compensation, 253
320		-	expenses or fees or issue any contract to such firms or principals 254
321		-	during the term of office as State Treasurer, including, for an 255
322		-	incumbent State Treasurer seeking reelection, any remainder of the 256
323		-	current term of office. 257
324		-	(o) If (1) any person (A) is doing business with or seeking to do 258
325		-	business with the department or agency in which a public official or 259
326		-	state employee is employed, or (B) is engaged in activities which are 260
327		-	directly regulated by such department or agency, and (2) such person 261
328		-	or a representative of such person gives to such public official or state 262
329		-	employee anything of value which is subject to the reporting 263
330		-	requirements pursuant to subsection (e) of section 1-96, such person or 264
331		-	representative shall, not later than ten days thereafter, give such 265
332		-	recipient and the executive head of the recipient's department or 266
333		-	agency a written report stating the name of the donor, a description of 267
334		-	the item or items given, the value of such items and the cumulative 268
335		-	value of all items given to such recipient during that calendar year. 269
336		-	The provisions of this subsection shall not apply to a political 270
337		-	contribution otherwise reported as required by law. 271
338		-	(p) (1) No public official or state employee or member of the 272
339		-	immediate family of a public official or state employee shall knowingly 273
340		-	accept, directly or indirectly, any gift costing [one] five hundred 274
341		-	dollars or more in the aggregate during a calendar year from a public 275
342		-	official or state employee who is under the supervision of such public 276
343		-	official or state employee. 277
344		-	(2) No public official or state employee or member of the immediate 278
345		-	family of a public official or state employee shall knowingly accept, 279
346		-	directly or indirectly, any gift costing [one] five hundred dollars or 280
347		-	more in the aggregate during a calendar year from a public official or 281
348		-	state employee who is a supervisor of such public official or state 282 Substitute Bill No. 7328
	310	+	LCO No. 5402 9 of 16
	311	+
	312	+	solicited contributions on behalf of, any exploratory committee or 248
	313	+	candidate committee, as defined in section 9-601, established by the 249
	314	+	State Treasurer as a candidate for nomination or election to the office 250
	315	+	of State Treasurer. The State Treasurer shall not pay any compensation, 251
	316	+	expenses or fees or issue any contract to such firms or principals 252
	317	+	during the term of office as State Treasurer, including, for an 253
	318	+	incumbent State Treasurer seeking reelection, any remainder of the 254
	319	+	current term of office. 255
	320	+	(o) If (1) any person (A) is doing business with or seeking to do 256
	321	+	business with the department or agency in which a public official or 257
	322	+	state employee is employed, or (B) is engaged in activities which are 258
	323	+	directly regulated by such department or agency, and (2) such person 259
	324	+	or a representative of such person gives to such public official or state 260
	325	+	employee anything of value which is subject to the reporting 261
	326	+	requirements pursuant to subsection (e) of section 1-96, such person or 262
	327	+	representative shall, not later than ten days thereafter, give such 263
	328	+	recipient and the executive head of the recipient's department or 264
	329	+	agency a written report stating the name of the donor, a description of 265
	330	+	the item or items given, the value of such items and the cumulative 266
	331	+	value of all items given to such recipient during that calendar year. 267
	332	+	The provisions of this subsection shall not apply to a political 268
	333	+	contribution otherwise reported as required by law. 269
	334	+	(p) (1) No public official or state employee or member of the 270
	335	+	immediate family of a public official or state employee shall knowingly 271
	336	+	accept, directly or indirectly, any gift costing [one] five hundred 272
	337	+	dollars or more in the aggregate during a calendar year from a public 273
	338	+	official or state employee who is under the supervision of such public 274
	339	+	official or state employee. 275
	340	+	(2) No public official or state employee or member of the immediate 276
	341	+	family of a public official or state employee shall knowingly accept, 277
	342	+	directly or indirectly, any gift costing [one] five hundred dollars or 278
	343	+	more in the aggregate during a calendar year from a public official or 279
	344	+	state employee who is a supervisor of such public official or state 280 Raised Bill No. 7328
349	345
350	346
351		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
352		-	R01-HB.docx }
353		-	10 of 16
354	347
355		-	employee. 283
356		-	(3) No public official or state employee shall knowingly give, 284
357		-	directly or indirectly, any gift in violation of subdivision (1) or (2) of 285
358		-	this subsection. 286
359		-	(q) No public official or state employee shall intentionally counsel, 287
360		-	authorize or otherwise sanction action that violates any provision of 288
361		-	this part. 289
362		-	(r) (1) Notwithstanding the provisions of subsections (b) and (c) of 290
363		-	this section, a member of the faculty or a member of a faculty 291
364		-	bargaining unit of a constituent unit of the state system of higher 292
365		-	education may enter into a consulting agreement or engage in a 293
366		-	research project with a public or private entity, provided such 294
367		-	agreement or project does not conflict with the member's employment 295
368		-	with the constituent unit, as determined by policies established by the 296
369		-	board of trustees for such constituent unit. 297
370		-	(2) The board of trustees for each constituent unit of the state system 298
371		-	of higher education shall establish policies to ensure that any such 299
372		-	member who enters such a consulting agreement or engages in such a 300
373		-	research project (A) is not inappropriately using university proprietary 301
374		-	information in connection with such agreement or project, (B) does not 302
375		-	have an interest in such agreement or project that interferes with the 303
376		-	proper discharge of his or her employment with the constituent unit, 304
377		-	and (C) is not inappropriately using such member's association with 305
378		-	the constituent unit in connection with such agreement or project. Such 306
379		-	policies shall (i) establish procedures for the disclosure, review and 307
380		-	management of conflicts of interest relating to any such agreement or 308
381		-	project, (ii) require the approval by the chief academic officer of the 309
382		-	constituent unit, or his or her designee, prior to any such member 310
383		-	entering into any such agreement or engaging in any such project, and 311
384		-	(iii) include procedures that impose sanctions and penalties on any 312
385		-	member for failing to comply with the provisions of the policies. 313
386		-	Annually, the internal audit office of each constituent unit shall audit 314 Substitute Bill No. 7328
	348	+	LCO No. 5402 10 of 16
	349	+
	350	+	employee. 281
	351	+	(3) No public official or state employee shall knowingly give, 282
	352	+	directly or indirectly, any gift in violation of subdivision (1) or (2) of 283
	353	+	this subsection. 284
	354	+	(q) No public official or state employee shall intentionally counsel, 285
	355	+	authorize or otherwise sanction action that violates any provision of 286
	356	+	this part. 287
	357	+	(r) (1) Notwithstanding the provisions of subsections (b) and (c) of 288
	358	+	this section, a member of the faculty or a member of a faculty 289
	359	+	bargaining unit of a constituent unit of the state system of higher 290
	360	+	education may enter into a consulting agreement or engage in a 291
	361	+	research project with a public or private entity, provided such 292
	362	+	agreement or project does not conflict with the member's employment 293
	363	+	with the constituent unit, as determined by policies established by the 294
	364	+	board of trustees for such constituent unit. 295
	365	+	(2) The board of trustees for each constituent unit of the state system 296
	366	+	of higher education shall establish policies to ensure that any such 297
	367	+	member who enters such a consulting agreement or engages in such a 298
	368	+	research project (A) is not inappropriately using university proprietary 299
	369	+	information in connection with such agreement or project, (B) does not 300
	370	+	have an interest in such agreement or project that interferes with the 301
	371	+	proper discharge of his or her employment with the constituent unit, 302
	372	+	and (C) is not inappropriately using such member's association with 303
	373	+	the constituent unit in connection with such agreement or project. Such 304
	374	+	policies shall (i) establish procedures for the disclosure, review and 305
	375	+	management of conflicts of interest relating to any such agreement or 306
	376	+	project, (ii) require the approval by the chief academic officer of the 307
	377	+	constituent unit, or his or her designee, prior to any such member 308
	378	+	entering into any such agreement or engaging in any such project, and 309
	379	+	(iii) include procedures that impose sanctions and penalties on any 310
	380	+	member for failing to comply with the provisions of the policies. 311
	381	+	Annually, the internal audit office of each constituent unit shall audit 312 Raised Bill No. 7328
387	382
388	383
389		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
390		-	R01-HB.docx }
391		-	11 of 16
392	384
393		-	the constituent unit's compliance with such policies and report its 315
394		-	findings to the committee of the constituent unit established pursuant 316
395		-	to subdivision (3) of this subsection. For purposes of this subsection, 317
396		-	"consulting" means the provision of services for compensation to a 318
397		-	public or private entity by a member of the faculty or member of a 319
398		-	faculty bargaining unit of a constituent unit of the state system of 320
399		-	higher education: (I) When the request to provide such services is 321
400		-	based on such member's expertise in a field or prominence in such 322
401		-	field, and (II) while such member is not acting in the capacity of a state 323
402		-	employee, and "research" means a systematic investigation, including, 324
403		-	but not limited to, research development, testing and evaluation, 325
404		-	designed to develop or contribute to general knowledge in the 326
405		-	applicable field of study. 327
406		-	(3) There is established a committee for each constituent unit of the 328
407		-	state system of higher education to monitor the constituent unit's 329
408		-	compliance with the policies and procedures described in subdivision 330
409		-	(2) of this subsection governing consulting agreements and research 331
410		-	projects with public or private entities by a member of the faculty or a 332
411		-	member of a faculty bargaining unit of such constituent unit. Each 333
412		-	committee shall consist of nine members as follows: (A) Three 334
413		-	members, appointed jointly by the Governor, the speaker of the House 335
414		-	of Representatives, the president pro tempore of the Senate, the 336
415		-	majority leader of the House of Representatives, the majority leader of 337
416		-	the Senate, the minority leader of the House of Representatives and the 338
417		-	minority leader of the Senate, who shall serve as members for each 339
418		-	such committee; (B) one member appointed by the chairperson of the 340
419		-	constituent unit's board of trustees from the membership of such 341
420		-	board; (C) the chief academic officer of the constituent unit, or his or 342
421		-	her designee; (D) three members appointed by the chief executive 343
422		-	officer of the constituent unit; and (E) one member appointed by the 344
423		-	chairperson of the Citizen's Ethics Advisory Board from the 345
424		-	membership of such board. Members shall serve for a term of two 346
425		-	years. Any vacancies shall be filled by the appointing authority. Each 347
426		-	committee shall (i) review the annual reports submitted by the internal 348 Substitute Bill No. 7328
	385	+	LCO No. 5402 11 of 16
	386	+
	387	+	the constituent unit's compliance with such policies and report its 313
	388	+	findings to the committee of the constituent unit established pursuant 314
	389	+	to subdivision (3) of this subsection. For purposes of this subsection, 315
	390	+	"consulting" means the provision of services for compensation to a 316
	391	+	public or private entity by a member of the faculty or member of a 317
	392	+	faculty bargaining unit of a constituent unit of the state system of 318
	393	+	higher education: (I) When the request to provide such services is 319
	394	+	based on such member's expertise in a field or prominence in such 320
	395	+	field, and (II) while such member is not acting in the capacity of a state 321
	396	+	employee, and "research" means a systematic investigation, including, 322
	397	+	but not limited to, research development, testing and evaluation, 323
	398	+	designed to develop or contribute to general knowledge in the 324
	399	+	applicable field of study. 325
	400	+	(3) There is established a committee for each constituent unit of the 326
	401	+	state system of higher education to monitor the constituent unit's 327
	402	+	compliance with the policies and procedures described in subdivision 328
	403	+	(2) of this subsection governing consulting agreements and research 329
	404	+	projects with public or private entities by a member of the faculty or a 330
	405	+	member of a faculty bargaining unit of such constituent unit. Each 331
	406	+	committee shall consist of nine members as follows: (A) Three 332
	407	+	members, appointed jointly by the Governor, the speaker of the House 333
	408	+	of Representatives, the president pro tempore of the Senate, the 334
	409	+	majority leader of the House of Representatives, the majority leader of 335
	410	+	the Senate, the minority leader of the House of Representatives and the 336
	411	+	minority leader of the Senate, who shall serve as members for each 337
	412	+	such committee; (B) one member appointed by the chairperson of the 338
	413	+	constituent unit's board of trustees from the membership of such 339
	414	+	board; (C) the chief academic officer of the constituent unit, or his or 340
	415	+	her designee; (D) three members appointed by the chief executive 341
	416	+	officer of the constituent unit; and (E) one member appointed by the 342
	417	+	chairperson of the Citizen's Ethics Advisory Board from the 343
	418	+	membership of such board. Members shall serve for a term of two 344
	419	+	years. Any vacancies shall be filled by the appointing authority. Each 345
	420	+	committee shall (i) review the annual reports submitted by the internal 346 Raised Bill No. 7328
427	421
428	422
429		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
430		-	R01-HB.docx }
431		-	12 of 16
432	423
433		-	audit office for the constituent unit, pursuant to subdivision (2) of this 349
434		-	subsection, (ii) make recommendations, annually, to the board of 350
435		-	trustees of the constituent unit concerning the policies and procedures 351
436		-	of the constituent unit established pursuant to subdivision (2) of this 352
437		-	subsection, including any changes to such policies and procedures, 353
438		-	and (iii) send a copy of such recommendations, in accordance with 354
439		-	section 11-4a, to the joint standing committees of the General 355
440		-	Assembly having cognizance of matters relating to higher education 356
441		-	and government administration. 357
442		-	(4) The provisions of subsections (b) and (c) of this section shall 358
443		-	apply to any member of the faculty or member of a faculty bargaining 359
444		-	unit of a constituent unit of the state system of higher education who 360
445		-	enters such a consulting agreement or engages in such a research 361
446		-	project without prior approval, as described in subdivision (2) of this 362
447		-	subsection. 363
448		-	(s) Notwithstanding the provisions of this section or any other 364
449		-	provision of this part, a state employee who is employed at a 365
450		-	constituent unit of the state system of higher education and a member 366
451		-	of the immediate family of such state employee may be employed in 367
452		-	the same department or division of such constituent unit, provided the 368
453		-	constituent unit has determined that procedures have been 369
454		-	implemented to ensure that any final decisions impacting the financial 370
455		-	interests of either such state employee, including decisions to hire, 371
456		-	promote, increase the compensation of or renew the employment of 372
457		-	such state employee, are made by another state employee who is not a 373
458		-	member of the immediate family of such state employee. 374
459		-	Sec. 4. Subdivision (16) of section 1-91 of the general statutes is 375
460		-	repealed and the following is substituted in lieu thereof (Effective 376
461		-	October 1, 2019): 377
462		-	(16) "Public official" means (A) any state-wide elected state officer, 378
463		-	(B) any member or member-elect of the General Assembly, (C) any 379
464		-	person appointed to any office of the legislative, judicial or executive 380 Substitute Bill No. 7328
	424	+	LCO No. 5402 12 of 16
	425	+
	426	+	audit office for the constituent unit, pursuant to subdivision (2) of this 347
	427	+	subsection, (ii) make recommendations, annually, to the board of 348
	428	+	trustees of the constituent unit concerning the policies and procedures 349
	429	+	of the constituent unit established pursuant to subdivision (2) of this 350
	430	+	subsection, including any changes to such policies and procedures, 351
	431	+	and (iii) send a copy of such recommendations, in accordance with 352
	432	+	section 11-4a, to the joint standing committees of the General 353
	433	+	Assembly having cognizance of matters relating to higher education 354
	434	+	and government administration. 355
	435	+	(4) The provisions of subsections (b) and (c) of this section shall 356
	436	+	apply to any member of the faculty or member of a faculty bargaining 357
	437	+	unit of a constituent unit of the state system of higher education who 358
	438	+	enters such a consulting agreement or engages in such a research 359
	439	+	project without prior approval, as described in subdivision (2) of this 360
	440	+	subsection. 361
	441	+	(s) Notwithstanding the provisions of this section or any other 362
	442	+	provision of this part, a state employee who is employed at a 363
	443	+	constituent unit of the state system of higher education and a member 364
	444	+	of the immediate family of such state employee may be employed in 365
	445	+	the same department or division of such constituent unit, provided the 366
	446	+	constituent unit has determined that procedures have been 367
	447	+	implemented to ensure that any final decisions impacting the financial 368
	448	+	interests of either such state employee, including decisions to hire, 369
	449	+	promote, increase the compensation of or renew the employment of 370
	450	+	such state employee, are made by another state employee who is not a 371
	451	+	member of the immediate family of such state employee. 372
	452	+	Sec. 4. Subdivision (16) of section 1-91 of the general statutes is 373
	453	+	repealed and the following is substituted in lieu thereof (Effective 374
	454	+	October 1, 2019): 375
	455	+	(16) "Public official" means (A) any state-wide elected state officer, 376
	456	+	(B) any member or member-elect of the General Assembly, (C) any 377
	457	+	person appointed to any office of the legislative, judicial or executive 378 Raised Bill No. 7328
465	458
466	459
467		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
468		-	R01-HB.docx }
469		-	13 of 16
470	460
471		-	branch of state government, with or without the advice and consent of 381
472		-	the General Assembly, by the Governor or any other state-wide elected 382
473		-	officer, [with or without the advice and consent of the General 383
474		-	Assembly,] (D) the spouse of the Governor, and (E) any person 384
475		-	appointed or elected by the General Assembly or any member of either 385
476		-	house thereof. [; but] "Public official" does not include a member of an 386
477		-	advisory board or a senator or representative in Congress. 387
478		-	Sec. 5. Subdivision (1) of section 1-101mm of the general statutes is 388
479		-	repealed and the following is substituted in lieu thereof (Effective 389
480		-	October 1, 2019): 390
481		-	(1) "Business with which the person is associated" means any sole 391
482		-	proprietorship, partnership, firm, corporation, trust or other entity 392
483		-	through which business for-profit or not-for-profit is conducted in 393
484		-	which the person or member of the immediate family of any person 394
485		-	who is an individual is a director, officer, owner, limited or general 395
486		-	partner, beneficiary of a trust or holder of stock constituting five per 396
487		-	cent or more of the total outstanding stock of any class, provided, a 397
488		-	person who is an individual or a member of the immediate family of 398
489		-	such individual shall not be deemed to be associated with a not-for-399
490		-	profit entity solely by virtue of the fact that such individual or 400
491		-	immediate family member is an unpaid director or officer of the not-401
492		-	for-profit entity. ["Officer" refers only to] "Business with which the 402
493		-	person is associated" also includes a second business held by the 403
494		-	business with which the person is associated, if the business with 404
495		-	which the person is associated is a director, officer, owner, limited or 405
496		-	general partner, beneficiary of a trust or holder of stock constituting 406
497		-	five per cent or more of the total outstanding stock of any class of such 407
498		-	second business. For the purposes of this subdivision, "officer" means 408
499		-	the president, executive or senior vice president or treasurer of such 409
500		-	business or any person who exercises exclusive control over such 410
501		-	business. 411
502		-	Sec. 6. Section 1-85 of the general statutes is repealed and the 412
503		-	following is substituted in lieu thereof (Effective October 1, 2019): 413 Substitute Bill No. 7328
	461	+	LCO No. 5402 13 of 16
	462	+
	463	+	branch of state government, with or without the advice and consent of 379
	464	+	the General Assembly, by the Governor or any other state-wide elected 380
	465	+	officer, [with or without the advice and consent of the General 381
	466	+	Assembly,] (D) the spouse of the Governor, and (E) any person 382
	467	+	appointed or elected by the General Assembly or any member of either 383
	468	+	house thereof. [; but] "Public official" does not include a member of an 384
	469	+	advisory board or a senator or representative in Congress. 385
	470	+	Sec. 5. Subdivision (1) of section 1-101mm of the general statutes is 386
	471	+	repealed and the following is substituted in lieu thereof (Effective 387
	472	+	October 1, 2019): 388
	473	+	(1) "Business with which the person is associated" means any sole 389
	474	+	proprietorship, partnership, firm, corporation, trust or other entity 390
	475	+	through which business for-profit or not-for-profit is conducted in 391
	476	+	which the person or member of the immediate family of any person 392
	477	+	who is an individual is a director, officer, owner, limited or general 393
	478	+	partner, beneficiary of a trust or holder of stock constituting five per 394
	479	+	cent or more of the total outstanding stock of any class, provided, a 395
	480	+	person who is an individual or a member of the immediate family of 396
	481	+	such individual shall not be deemed to be associated with a not-for-397
	482	+	profit entity solely by virtue of the fact that such individual or 398
	483	+	immediate family member is an unpaid director or officer of the not-399
	484	+	for-profit entity. ["Officer" refers only to] "Business with which the 400
	485	+	person is associated" also includes a second business held by the 401
	486	+	business with which the person is associated, if the business with 402
	487	+	which the person is associated is a director, officer, owner, limited or 403
	488	+	general partner, beneficiary of a trust or holder of stock constituting 404
	489	+	five per cent or more of the total outstanding stock of any class of such 405
	490	+	second business. For the purposes of this subdivision, "officer" means 406
	491	+	the president, executive or senior vice president or treasurer of such 407
	492	+	business or any person who exercises exclusive control over such 408
	493	+	business. 409
	494	+	Sec. 6. Section 1-85 of the general statutes is repealed and the 410
	495	+	following is substituted in lieu thereof (Effective October 1, 2019): 411 Raised Bill No. 7328
504	496
505	497
506		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
507		-	R01-HB.docx }
508		-	14 of 16
509	498
510		-	A public official, including an elected state official, or state 414
511		-	employee has an interest which is in substantial conflict with the 415
512		-	proper discharge of his or her duties or employment in the public 416
513		-	interest and of his or her responsibilities as prescribed in the laws of 417
514		-	this state, if [he] such official or employee has reason to believe or 418
515		-	expect that [he, his] such official or employee, such official's or 419
516		-	employee's spouse, [a] dependent child, or a business with which [he] 420
517		-	the person is associated will derive a direct monetary gain or suffer a 421
518		-	direct monetary loss, as the case may be, by reason of his or her official 422
519		-	activity. A public official, including an elected state official, or state 423
520		-	employee does not have an interest which is in substantial conflict 424
521		-	with the proper discharge of his or her duties in the public interest and 425
522		-	of his or her responsibilities as prescribed by the laws of this state, if 426
523		-	any benefit or detriment accrues to [him, his] such official or employee, 427
524		-	such official's or employee's spouse, [a] dependent child, or a business 428
525		-	with which [he, his] such official or employee, such official's or 429
526		-	employee's spouse or such dependent child is associated as a member 430
527		-	of a profession, occupation or group to no greater extent than any 431
528		-	other member of such profession, occupation or group. A public 432
529		-	official, including an elected state official or state employee who has a 433
530		-	substantial conflict may not take official action on the matter. 434
531		-	Sec. 7. Subsection (j) of section 4e-2 of the general statutes is 435
532		-	repealed and the following is substituted in lieu thereof (Effective 436
533		-	October 1, 2019): 437
534		-	(j) No employee of the State Contracting Standards Board shall hold 438
535		-	another state or municipal position. No nonclerical employee of the 439
536		-	board or any spouse, child, stepchild, parent or sibling of such 440
537		-	employee, shall be associated with an enterprise that does business 441
538		-	with the state. For purposes of this subsection, "associated with" means 442
539		-	["business with which he is associated"] "business with which the 443
540		-	person is associated", as defined in section 1-79, as amended by this 444
541		-	act. Each member and employee of the State Contracting Standards 445
542		-	Board shall file, with the board and with the Office of State Ethics, a 446 Substitute Bill No. 7328
	499	+	LCO No. 5402 14 of 16
	500	+
	501	+	A public official, including an elected state official, or state 412
	502	+	employee has an interest which is in substantial conflict with the 413
	503	+	proper discharge of his or her duties or employment in the public 414
	504	+	interest and of his or her responsibilities as prescribed in the laws of 415
	505	+	this state, if [he] such official or employee has reason to believe or 416
	506	+	expect that [he, his] such official or employee, such official's or 417
	507	+	employee's spouse, [a] dependent child, or a business with which [he] 418
	508	+	the person is associated will derive a direct monetary gain or suffer a 419
	509	+	direct monetary loss, as the case may be, by reason of his or her official 420
	510	+	activity. A public official, including an elected state official, or state 421
	511	+	employee does not have an interest which is in substantial conflict 422
	512	+	with the proper discharge of his or her duties in the public interest and 423
	513	+	of his or her responsibilities as prescribed by the laws of this state, if 424
	514	+	any benefit or detriment accrues to [him, his] such official or employee, 425
	515	+	such official's or employee's spouse, [a] dependent child, or a business 426
	516	+	with which [he, his] such official or employee, such official's or 427
	517	+	employee's spouse or such dependent child is associated as a member 428
	518	+	of a profession, occupation or group to no greater extent than any 429
	519	+	other member of such profession, occupation or group. A public 430
	520	+	official, including an elected state official or state employee who has a 431
	521	+	substantial conflict may not take official action on the matter. 432
	522	+	Sec. 7. Subsection (j) of section 4e-2 of the general statutes is 433
	523	+	repealed and the following is substituted in lieu thereof (Effective 434
	524	+	October 1, 2019): 435
	525	+	(j) No employee of the State Contracting Standards Board shall hold 436
	526	+	another state or municipal position. No nonclerical employee of the 437
	527	+	board or any spouse, child, stepchild, parent or sibling of such 438
	528	+	employee, shall be associated with an enterprise that does business 439
	529	+	with the state. For purposes of this subsection, "associated with" means 440
	530	+	["business with which he is associated",] "business with which the 441
	531	+	person is associated", as defined in section 1-79, as amended by this 442
	532	+	act. Each member and employee of the State Contracting Standards 443
	533	+	Board shall file, with the board and with the Office of State Ethics, a 444
	534	+	statement of financial interests, as described in section 1-83. Such 445 Raised Bill No. 7328
543	535
544	536
545		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
546		-	R01-HB.docx }
547		-	15 of 16
548	537
549		-	statement of financial interests, as described in section 1-83. Such 447
550		-	statement shall be a public record. Such statements for the preceding 448
551		-	calendar year shall be filed with the Office of State Ethics, as required 449
552		-	by law, if such employee or member held such a position during the 450
553		-	preceding calendar year. 451
554		-	Sec. 8. Subsection (b) of section 7-148h of the general statutes is 452
555		-	repealed and the following is substituted in lieu thereof (Effective 453
556		-	October 1, 2019): 454
557		-	(b) Notwithstanding the provisions of any special act, municipal 455
558		-	charter or ordinance, [to the contrary,] an elected official of any town, 456
559		-	city, district or borough that has established a board, commission, 457
560		-	council, committee or other agency under subsection (a) of this section, 458
561		-	has an interest that is in substantial conflict with the proper discharge 459
562		-	of the official's duties or employment in the public interest and of the 460
563		-	official's responsibilities as prescribed by the laws of this state, if the 461
564		-	official has reason to believe or expect that the official, the official's 462
565		-	spouse or dependent child, or a business with which [he] the person is 463
566		-	associated, as defined in section 1-79, as amended by this act, will 464
567		-	derive a direct monetary gain or suffer a direct monetary loss, as the 465
568		-	case may be, by reason of the official's official activity. Any such 466
569		-	elected official does not have an interest that is in substantial conflict 467
570		-	with the proper discharge of the official's duties in the public interest 468
571		-	and of the official's responsibilities as prescribed by the laws of this 469
572		-	state, if any benefit or detriment accrues to the official, the official's 470
573		-	spouse or dependent child, or a business with which [he, his] such 471
574		-	official or such official's spouse or such dependent child is associated 472
575		-	as a member of a profession, occupation or group to no greater extent 473
576		-	than to any other member of such profession, occupation or group. 474
577		-	Any such elected official who has a substantial conflict may not take 475
578		-	official action on the matter. 476
	538	+	LCO No. 5402 15 of 16
	539	+
	540	+	statement shall be a public record. Such statements for the preceding 446
	541	+	calendar year shall be filed with the Office of State Ethics, as required 447
	542	+	by law, if such employee or member held such a position during the 448
	543	+	preceding calendar year. 449
	544	+	Sec. 8. Subsection (b) of section 7-148h of the general statutes is 450
	545	+	repealed and the following is substituted in lieu thereof (Effective 451
	546	+	October 1, 2019): 452
	547	+	(b) Notwithstanding the provisions of any special act, municipal 453
	548	+	charter or ordinance, [to the contrary,] an elected official of any town, 454
	549	+	city, district or borough that has established a board, commission, 455
	550	+	council, committee or other agency under subsection (a) of this section, 456
	551	+	has an interest that is in substantial conflict with the proper discharge 457
	552	+	of the official's duties or employment in the public interest and of the 458
	553	+	official's responsibilities as prescribed by the laws of this state, if the 459
	554	+	official has reason to believe or expect that the official, the official's 460
	555	+	spouse or dependent child, or a business with which [he] the person is 461
	556	+	associated, as defined in section 1-79, as amended by this act, will 462
	557	+	derive a direct monetary gain or suffer a direct monetary loss, as the 463
	558	+	case may be, by reason of the official's official activity. Any such 464
	559	+	elected official does not have an interest that is in substantial conflict 465
	560	+	with the proper discharge of the official's duties in the public interest 466
	561	+	and of the official's responsibilities as prescribed by the laws of this 467
	562	+	state, if any benefit or detriment accrues to the official, the official's 468
	563	+	spouse or dependent child, or a business with which [he, his] such 469
	564	+	official or such official's spouse or such dependent child is associated 470
	565	+	as a member of a profession, occupation or group to no greater extent 471
	566	+	than to any other member of such profession, occupation or group. 472
	567	+	Any such elected official who has a substantial conflict may not take 473
	568	+	official action on the matter. 474
579	569		This act shall take effect as follows and shall amend the following
580	570		sections:
581		-	Substitute Bill No. 7328
	571	+
	572	+	Section 1 October 1, 2019 1-79(2)
	573	+	Sec. 2 October 1, 2019 1-79(11) Raised Bill No. 7328
582	574
583	575
584		-	LCO {\\PRDFS1\HCOUSERS\BARRYJN\WS\2019HB-07328-
585		-	R01-HB.docx }
586		-	16 of 16
587	576
588		-	~~Section 1 October 1,~~ ~~2019 1-79(2)~~
589		-	~~Sec. 2 October 1, 2019 1-79(11)~~
	577	+	LCO No. 5402 16 of 16
	578	+
590	579		Sec. 3 October 1, 2019 1-84
591	580		Sec. 4 October 1, 2019 1-91(16)
592	581		Sec. 5 October 1, 2019 1-101mm(1)
593	582		Sec. 6 October 1, 2019 1-85
594	583		Sec. 7 October 1, 2019 4e-2(j)
595	584		Sec. 8 October 1, 2019 7-148h(b)
596	585
597		-	Statement of Legislative Commissioners:
598		-	In Section 3(b), "his or her" was changed to "[his] such official's or state
599		-	employee's" and in section 3(f), "his or her" was changed to "[his] such
600		-	official's, employee's or candidate's" for consistency.
601		-
602		-	GAE Joint Favorable Subst. -LCO
	586	+	Statement of Purpose:
	587	+	To (1) amend the state code of ethics for public officials and lobbyists
	588	+	to redefine "business with which the person is associated", and "public
	589	+	official", (2) prohibit the soliciting of gifts by those prohibited from
	590	+	accepting gifts, and (3) limit gift giving between supervisors and
	591	+	subordinates.
	592	+	[Proposed deletions are enclosed in brackets. Proposed additions are indicated by underline,
	593	+	except that when the entire text of a bill or resolution or a section of a bill or resolution is new, it is
	594	+	not underlined.]
603	595