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General Assembly Committee Bill No. 296
January Session, 2021
LCO No. 4964
Referred to Committee on GOVERNMENT ADMINISTRATION
AND ELECTIONS
Introduced by:
(GAE)
AN ACT ESTABLISHING A RIGHT TO APPEAL THE DECISION OF A
MUNICIPAL ETHICS BOA RD TO THE OFFICE OF STATE ETHICS.
Be it enacted by the Senate and House of Representatives in General
Assembly convened:
Section 1. Section 7-148h of the general statutes is repealed and the 1
following is substituted in lieu thereof (Effective October 1, 2021): 2
(a) Any town, city, district, as defined in section 7-324, or borough 3
may, by charter provision or ordinance, establish a board, commission, 4
council, committee or other agency to investigate allegations of 5
unethical conduct, corrupting influence or illegal activities levied 6
against any official, officer or employee of such town, city, district or 7
borough. The provisions of subsections (a) to (e), inclusive, of section 8
1-82a, as amended by this act, shall apply to allegations before any such 9
agency of such conduct, influence or activities, to an investigation of 10
such allegations conducted prior to a probable cause finding, and to a 11
finding of probable cause or no probable cause. Any board, commission, 12
council, committee or other agency established pursuant to this section 13
may issue subpoenas or subpoenas duces tecum, enforceable upon 14
application to the Superior Court, to compel the attendance of persons 15
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at hearings and the production of books, documents, records and 16
papers. 17
(b) Notwithstanding the provisions of any special act, municipal 18
charter or ordinance to the contrary, an elected official of any town, city, 19
district or borough that has established a board, commission, council, 20
committee or other agency under subsection (a) of this section, has an 21
interest that is in substantial conflict with the proper discharge of the 22
official's duties or employment in the public interest and of the official's 23
responsibilities as prescribed by the laws of this state, if the official has 24
reason to believe or expect that the official, the official's spouse or 25
dependent child, or a business with which he is associated, as defined 26
in section 1-79, will derive a direct monetary gain or suffer a direct 27
monetary loss, as the case may be, by reason of the official's official 28
activity. Any such elected official does not have an interest that is in 29
substantial conflict with the proper discharge of the official's duties in 30
the public interest and of the official's responsibilities as prescribed by 31
the laws of this state, if any benefit or detriment accrues to the official, 32
the official's spouse or dependent child, or a business with which he, his 33
spouse or such dependent child is associated as a member of a 34
profession, occupation or group to no greater extent than to any other 35
member of such profession, occupation or group. Any such elected 36
official who has a substantial conflict may not take official action on the 37
matter. 38
(c) Any person who is aggrieved by the decision of a board, 39
commission, council, committee or other agency established under 40
subsection (a) of this section that presents an issue of law shall have a 41
right to appeal such decision to the Office of State Ethics under part I of 42
chapter 10. 43
Sec. 2. Subsection (a) of section 1-81 of the general statutes is repealed 44
and the following is substituted in lieu thereof (Effective October 1, 2021): 45
(a) The board and general counsel and staff of the Office of State 46
Ethics shall: 47
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(1) Compile and maintain an index of all reports, advisory opinions, 48
informal staff letters, memoranda issued in accordance with subsection 49
(b) of section 1-82, as amended by this act, and statements filed by and 50
with the Office of State Ethics to facilitate public access to such reports 51
and advisory opinions, informal staff letters, memoranda statements as 52
provided by this part; 53
(2) Preserve advisory opinions and informal staff letters, 54
permanently; preserve memoranda issued in accordance with 55
subsection (b) of section 1-82, as amended by this act, and statements 56
and reports filed by and with the board for a period of five years from 57
the date of receipt; 58
(3) Upon the concurring vote of a majority of the board present and 59
voting, issue advisory opinions with regard to the requirements of this 60
part or part IV of this chapter, upon the request of any person subject to 61
the provisions of this part or part IV of this chapter, and publish such 62
advisory opinions in the Connecticut Law Journal. Advisory opinions 63
rendered by the board, until amended or revoked, shall be binding on 64
the board and shall be deemed to be final decisions of the board for 65
purposes of appeal to the superior court, in accordance with the 66
provisions of section 4-175 or 4-183. Any advisory opinion concerning 67
the person who requested the opinion and who acted in reliance 68
thereon, in good faith, shall be binding upon the board, and it shall be 69
an absolute defense in any criminal action brought under the provisions 70
of this part or part IV of this chapter, that the accused acted in reliance 71
upon such advisory opinion; 72
(4) Respond to inquiries and provide advice regarding the code of 73
ethics either verbally or through informal letters; 74
(5) Hear appeals filed by an aggrieved person concerning decisions 75
of a municipal board, commission, council, committee or other agency 76
established under subsection (a) of section 7-148h, as amended by this 77
act, that present an issue of law; 78
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[(5)] (6) Provide yearly training to all state employees regarding the 79
code of ethics; 80
[(6)] (7) Make legislative recommendations to the General Assembly 81
and report annually, not later than February fifteenth, to the Governor 82
summarizing the activities of the Office of State Ethics; and 83
[(7)] (8) Meet not less than once per month with the office's executive 84
director and ethics enforcement officer. 85
Sec. 3. Section 1-82 of the general statutes is repealed and the 86
following is substituted in lieu thereof (Effective October 1, 2021): 87
(a) (1) Upon the complaint of any person on a form prescribed by the 88
board, signed under penalty of false statement, or upon its own 89
complaint, the ethics enforcement officer of the Office of State Ethics 90
shall investigate any alleged violation of this part, section 1-101bb or 91
section 1-101nn or an appeal of a decision made under section 7-148h, 92
as amended by this act. Not later than five days after the receipt or 93
issuance of such complaint, the board shall provide notice of such 94
receipt or issuance and a copy of the complaint by registered or certified 95
mail to any respondent against whom such complaint is filed and shall 96
provide notice of the receipt of such complaint to the complainant. 97
When the ethics enforcement officer of the Office of State Ethics 98
undertakes an evaluation of a possible violation of this part, section 1-99
101bb or section 1-101nn or an appeal of a decision made under section 100
7-148h, as amended by this act, prior to the filing of a complaint, the 101
subject of the evaluation shall be notified not later than five business 102
days after an Office of State Ethics staff member's first contact with a 103
third party concerning the matter. 104
(2) In the conduct of its investigation of an alleged violation of this 105
part, section 1-101bb or section 1-101nn or an appeal of a decision made 106
under section 7-148h, as amended by this act, the Office of State Ethics 107
shall have the power to hold hearings, administer oaths, examine 108
witnesses and receive oral and documentary evidence. The Office of 109
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State Ethics may subpoena witnesses under procedural rules adopted 110
by the Citizen's Ethics Advisory Board as regulations in accordance with 111
the provisions of chapter 54 to compel attendance before the Office of 112
State Ethics and to require the production for examination by the ethics 113
enforcement officer of the Office of State Ethics of any books and papers 114
which the Office of State Ethics deems relevant in any matter under 115
investigation or in question, provided any such subpoena is issued 116
either pursuant to a majority vote of the Citizen's Ethics Advisory Board 117
or pursuant to the signature of the chairperson of such board. The vice-118
chairperson of such board may sign any such subpoena if the 119
chairperson of such board is unavailable. In the exercise of such powers, 120
the Office of State Ethics may use the services of the state police, who 121
shall provide the same upon the office's request. The Office of State 122
Ethics shall make a record of all proceedings conducted pursuant to this 123
subsection. The ethics enforcement officer of the Office of State Ethics 124
may bring any alleged violation of this part before a judge trial referee 125
assigned by the Chief Court Administrator for such purpose for a 126
probable cause hearing. Such judge trial referee shall be compensated in 127
accordance with the provisions of section 52-434 from such funds as 128
may be available to the Office of State Ethics. Any witness summoned 129
before the Office of State Ethics or a judge trial referee pursuant to this 130
subsection shall receive the witness fee paid to witnesses in the courts 131
of this state. During any investigation conducted pursuant to this 132
subsection or any probable cause hearing conducted pursuant to this 133
subsection, the respondent shall have the right to appear and be heard 134
and to offer any information which may tend to clear the respondent of 135
probable cause to believe the respondent has violated any provision of 136
this part, section 1-101bb or section 1-101nn or made an incorrect 137
decision on an issue of law under section 7-148h, as amended by this act. 138
The respondent shall also have the right to be represented by legal 139
counsel and to examine and cross-examine witnesses. Not later than ten 140
days prior to the commencement of any hearing conducted pursuant to 141
this subsection, the Office of State Ethics shall provide the respondent 142
with a list of its intended witnesses. Any finding of probable cause to 143
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believe the respondent is in violation of any provisions of this part shall 144
be made by a judge trial referee not later than thirty days after the ethics 145
enforcement officer brings such alleged violation before such judge trial 146
referee, except that such thirty-day limitation period shall not apply if 147
the judge trial referee determines that good cause exists for extending 148
such limitation period. 149
(b) If a judge trial referee determines that probable cause exists for 150
the violation of a provision of this part, section 1-101bb or section 1-151
101nn or an incorrect decision on an issue of law under section 7-148h, 152
as amended by this act, the board shall initiate hearings to determine 153
whether there has been a violation of this part, section 1-101bb or section 154
1-101nn or an incorrect decision on an issue of law under section 7-148h, 155
as amended by this act. Any such hearing shall be initiated by the board 156
not later than thirty days after the finding of probable cause by a judge 157
trial referee and shall be concluded not later than ninety days after its 158
initiation, except that such thirty or ninety-day limitation period shall 159
not apply if the judge trial referee determines that good cause exists for 160
extending such limitation period. A judge trial referee, who has not 161
taken part in the probable cause determination on the matter shall be 162
assigned by the Chief Court Administrator and shall be compensated in 163
accordance with section 52-434 out of funds available to the Office of 164
State Ethics. Such judge trial referee shall preside over such hearing and 165
rule on all issues concerning the application of the rules of evidence, 166
which shall be the same as in judicial proceedings. The judge trial referee 167
shall have no vote in any decision of the board. All hearings of the board 168
held pursuant to this subsection shall be open. At such hearing the 169
board shall have the same powers as the Office of State Ethics under 170
subsection (a) of this section and the respondent shall have the right to 171
be represented by legal counsel, to compel attendance of witnesses and 172
the production of books, documents, records and papers and to examine 173
and cross-examine witnesses. Not later than ten days prior to the 174
commencement of any hearing conducted pursuant to this subsection, 175
the Office of State Ethics shall provide the respondent with a list of its 176
intended witnesses. The judge trial referee shall, while engaged in the 177
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discharge of the duties as provided in this subsection, have the same 178
authority as is provided in section 51-35 over witnesses who refuse to 179
obey a subpoena or to testify with respect to any matter upon which 180
such witness may be lawfully interrogated, and may commit any such 181
witness for contempt for a period no longer than thirty days. The Office 182
of State Ethics shall make a record of all proceedings pursuant to this 183
subsection. During the course of any such hearing, no ex-parte 184
communication shall occur between the board, or any of its members, 185
and: (1) The judge trial referee, or (2) any staff member of the 186
Enforcement Division of the Office of State Ethics, concerning the 187
complaint or the respondent. The board shall find no person in violation 188
of any provision of this part, section 1-101bb or section 1-101nn or a 189
finding of an incorrect decision on an issue of law under section 7-148h, 190
as amended by this act, except upon the concurring vote of two-thirds 191
of its members present and voting. No member of the board shall vote 192
on the question of whether a violation of any provision of this part has 193
occurred unless such member was physically present for the duration 194
of any hearing held pursuant to this subsection. Not later than fifteen 195
days after the public hearing conducted in accordance with this 196
subsection, the board shall publish its finding and a memorandum of 197
the reasons therefor. Such finding and memorandum shall be deemed 198
to be the final decision of the board on the matter for the purposes of 199
chapter 54. The respondent, if aggrieved by the finding and 200
memorandum, may appeal therefrom to the Superior Court in 201
accordance with the provisions of section 4-183, except a finding 202
concerning an issue of law for an appeal filed under section 7-148h, as 203
amended by this act, shall not be appealable to the Superior Court. 204
(c) If a judge trial referee finds, after a hearing pursuant to this 205
section, that there is no probable cause to believe that a public official or 206
state employee has violated a provision of this part, section 1-101bb or 207
section 1-101nn, or if the board determines that a public official or state 208
employee has not violated any such provision, or if a court of competent 209
jurisdiction overturns a finding by the board of a violation by such a 210
respondent, the state shall pay the reasonable legal expenses of the 211
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respondent as determined by the Attorney General or by the court if 212
appropriate. If any complaint brought under the provisions of this part, 213
section 1-101bb or section 1-101nn is made with the knowledge that it is 214
made without foundation in fact, the respondent shall have a cause of 215
action against the complainant for double the amount of damage caused 216
thereby and, if the respondent prevails in such action, the respondent 217
may be awarded by the court the costs of such action together with 218
reasonable attorneys' fees. 219
(d) No complaint may be made under this section later than five years 220
after the violation alleged in the complaint has been committed. 221
(e) No person shall take or threaten to take official action against an 222
individual for such individual's disclosure of information to the board 223
or the general counsel, ethics enforcement officer or staff of the Office of 224
State Ethics under the provisions of this part, section 1-101bb or section 225
1-101nn or an appeal under section 7-148h, as amended by this act. After 226
receipt of information from an individual under the provisions of this 227
part, section 1-101bb or section 1-101nn or an appeal under section 7-228
148h, as amended by this act, the Office of State Ethics shall not disclose 229
the identity of such individual without such individual's consent unless 230
the Office of State Ethics determines that such disclosure is unavoidable 231
during the course of an investigation. No person shall be subject to civil 232
liability for any good faith disclosure that such person makes to the 233
Office of State Ethics. 234
Sec. 4. Section 1-82a of the general statutes is repealed and the 235
following is substituted in lieu thereof (Effective October 1, 2021): 236
(a) Unless a judge trial referee makes a finding of probable cause, a 237
complaint alleging a violation of this part, section 1-101bb or section 1-238
101nn or an incorrect decision on an issue of law under section 7-148h, 239
as amended by this act, shall be confidential except upon the request of 240
the respondent. An evaluation of a possible violation of this part, section 241
1-101bb or section 1-101nn or a possible incorrect decision on an issue of 242
law under section 7-148h, as amended by this act, by the Office of State 243
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Ethics prior to the filing of a complaint shall be confidential except upon 244
the request of the subject of the evaluation. If the evaluation is 245
confidential, any information supplied to or received from the Office of 246
State Ethics shall not be disclosed to any third party by a subject of the 247
evaluation, a person contacted for the purpose of obtaining information 248
or by the ethics enforcement officer or staff of the Office of State Ethics. 249
No provision of this subsection shall prevent the Office of State Ethics 250
from reporting the possible commission of a crime to the Chief State's 251
Attorney or other prosecutorial authority. 252
(b) An investigation conducted prior to a probable cause finding shall 253
be confidential except upon the request of the respondent. If the 254
investigation is confidential, the allegations in the complaint and any 255
information supplied to or received from the Office of State Ethics shall 256
not be disclosed during the investigation to any third party by a 257
complainant, respondent, witness, designated party, or board or staff 258
member of the Office of State Ethics. 259
(c) Not later than three business days after the termination of the 260
investigation, the Office of State Ethics shall inform the complainant and 261
the respondent of its finding and provide them a summary of its reasons 262
for making that finding. The Office of State Ethics shall publish its 263
finding upon the respondent's request and may also publish a summary 264
of its reasons for making such finding. 265
(d) If a judge trial referee makes a finding of no probable cause, the 266
complaint and the record of the Office of State Ethics' investigation shall 267
remain confidential, except upon the request of the respondent and 268
except that some or all of the record may be used in subsequent 269
proceedings. No complainant, respondent, witness, designated party, or 270
board or staff member of the Office of State Ethics shall disclose to any 271
third party any information learned from the investigation, including 272
knowledge of the existence of a complaint, which the disclosing party 273
would not otherwise have known. If such a disclosure is made, the judge 274
trial referee may, after consultation with the respondent if the 275
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respondent is not the source of the disclosure, publish the judge trial 276
referee's finding and a summary of the judge trial referee's reasons 277
therefor. 278
(e) The judge trial referee shall make public a finding of probable 279
cause not later than five business days after any such finding. At such 280
time the entire record of the investigation shall become public, except 281
that the Office of State Ethics may postpone examination or release of 282
such public records for a period not to exceed fourteen days for the 283
purpose of reaching a stipulation agreement pursuant to subsection (c) 284
of section 4-177. Any such stipulation agreement or settlement shall be 285
approved by a majority of those members present and voting. 286
Sec. 5. Section 1-88 of the general statutes is repealed and the 287
following is substituted in lieu thereof (Effective October 1, 2021): 288
(a) (1) The board, upon a finding made pursuant to section 1-82, as 289
amended by this act, that there has been a violation of any provision of 290
this part, section 1-101bb or section 1-101nn, shall have the authority to 291
order the violator to do any or all of the following: [(1)] (A) Cease and 292
desist the violation of this part, section 1-101bb or section 1-101nn; [(2)] 293
(B) file any report, statement or other information as required by this 294
part, section 1-101bb or section 1-101nn; and [(3)] (C) pay a civil penalty 295
of not more than ten thousand dollars for each violation of this part, 296
section 1-101bb or section 1-101nn. 297
(2) The board, upon a finding made pursuant to section 1-82, as 298
amended by this act, that there has been an incorrect decision on an 299
issue of law under section 7-148h, as amended by this act, shall remand 300
the case to the municipal board, commission, council, committee or 301
other agency established under subsection (a) of section 7-148h, as 302
amended by this act, for any remedies authorized by law. 303
(b) Notwithstanding the provisions of subsection (a) of this section, 304
the board may, after a hearing conducted in accordance with sections 4-305
176e to 4-184, inclusive, upon the concurring vote of two-thirds of its 306
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members present and voting, impose a civil penalty not to exceed ten 307
dollars per day upon any individual who fails to file any report, 308
statement or other information as required by this part, section 1-101bb 309
or section 1-101nn. Each distinct violation of this subsection shall be a 310
separate offense and in case of a continued violation, each day thereof 311
shall be deemed a separate offense. In no event shall the aggregate 312
penalty imposed for such failure to file exceed ten thousand dollars. 313
(c) The board may also report its finding to the Chief State's Attorney 314
for any action deemed necessary. The board, upon a finding made 315
pursuant to section 1-82, as amended by this act, that a member or 316
member-elect of the General Assembly has violated any provision of 317
this part, section 1-101bb or section 1-101nn, shall notify the appropriate 318
house of the General Assembly, in writing, of such finding and the basis 319
for such finding. 320
(d) Any person who knowingly acts in such person's financial interest 321
in violation of section 1-84, 1-85, 1-86, 1-86d, 1-86e or 1-101nn or any 322
person who knowingly receives a financial advantage resulting from a 323
violation of any of said sections shall be liable for damages in the 324
amount of such advantage. If the board determines that any person may 325
be so liable, it shall immediately inform the Attorney General of that 326
possibility. 327
(e) Any employee of the Office of State Ethics or member of the 328
Citizen's Ethics Advisory Board who, in violation of this part or section 329
1-101nn, discloses information filed in accordance with subparagraph 330
(F) of subdivision (1) of subsection (b) of section 1-83, shall be dismissed, 331
if an employee, or removed from the board, if a member. 332
(f) Any civil penalty imposed by the board pursuant to this section 333
may be enforced by the Office of State Ethics as a money judgment in 334
accordance with chapter 906. 335
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This act shall take effect as follows and shall amend the following
sections:
Section 1 October 1, 2021 7-148h
Sec. 2 October 1, 2021 1-81(a)
Sec. 3 October 1, 2021 1-82
Sec. 4 October 1, 2021 1-82a
Sec. 5 October 1, 2021 1-88
Statement of Purpose:
To permit aggrieved parties to appeal a local municipal ethics board
decision to the Office of State Ethics.
[Proposed deletions are enclosed in brackets. Proposed additions are indicated by underline, except
that when the entire text of a bill or resolution or a section of a bill or resolution is new, it is not
underlined.]
Co-Sponsors: SEN. LOPES, 6th Dist.; REP. FISHBEIN, 90th Dist.
S.B. 296