Office of State Ethics › 1-92 Description of Organization and Rules of Practice

Regulations of Connecticut State AgenciesSec. 1-92-12. DefinitionsThe definitions provided by section 4-166 and chapter 10 of the Connecticut General Statutes govern the interpretation and application of these rules. In addition, and except as otherwise required by the context: (…

Regulations of Connecticut State AgenciesSec. 1-92-13. Reserved

Regulations of Connecticut State AgenciesSec. 1-92-14. ConstructionThese rules shall be construed by the legal division of the Office of State Ethics, the Citizen's Ethics Advisory Board, and any judge trial referee to secure just, speedy and efficient determination of the issues…

Regulations of Connecticut State AgenciesSec. 1-92-15. Extensions of timeIn connection with any probable cause hearing or board hearing, for good cause shown, the judge trial referee or the board may extend any time limit prescribed or allowed by these rules except time limits pr…

Regulations of Connecticut State AgenciesSec. 1-92-16. Consolidation of proceedingsSubject to respondent's rights to confidentiality, proceedings involving related questions of law or fact may be consolidated at the direction of the board, the judge trial referee or the ethics en…

Regulations of Connecticut State AgenciesSec. 1-92-17. Rules of conductWhere applicable, the canons of professional ethics and the canons of judicial ethics adopted and approved by the judges of the Superior Court govern the conduct of the board members, the employees of the Offi…

Regulations of Connecticut State AgenciesSec. 1-92-18. Ex parte communicationUnless required for the disposition ex parte of matters authorized by law, neither members of the Citizen's Ethics Advisory Board nor any person designated as a judge trial referee shall communicate dire…

Regulations of Connecticut State AgenciesSec. 1-92-19. Principal officeThe principal office of the Office of State Ethics is located at 165 Capitol Avenue, Suite 1200, Hartford, Connecticut 06106. The Office of State Ethics is open to the public from 8:30 a.m. to 4:30 p.m. each w…

Regulations of Connecticut State AgenciesSec. 1-92-2. FunctionsThe Office of State Ethics is generally empowered to exercise specified grants of authority for the administration of statutes which establish codes of ethics for lobbyists and for public officials, as defined by chap…

Regulations of Connecticut State AgenciesSec. 1-92-20. Date of filingAll orders, decisions, findings of fact, complaints, correspondence, motions, petitions, and any other documents governed by these rules shall be deemed to have been filed or received on the date on which they a…

Regulations of Connecticut State AgenciesSec. 1-92-21. SignaturesEvery statement, report, complaint, application, notice, motion, petition, brief and memorandum shall be signed on behalf of the person filing. (Effective May 24, 1978; Amended January 2, 2008)

Regulations of Connecticut State AgenciesSec. 1-92-22. Identification of communications to the Office of State EthicsCommunications should embrace only one matter, and should contain the name and address of the sender and an appropriate file reference to the subject of the commun…

Regulations of Connecticut State AgenciesSec. 1-92-23. Subpoenas issued by the Office of State EthicsAt any time after the ethics enforcement officer has received or filed a complaint and has determined that there is sufficient evidence to inquire into the complaint, he or she ma…

Regulations of Connecticut State AgenciesSec. 1-92-23a. Reimbursement of legal expenses(a) When reimbursement of legal expenses is authorized under section 1-82(c) of the Connecticut General Statutes, the request for reimbursement shall be submitted to the board within thirty day…

Regulations of Connecticut State AgenciesSec. 1-92-24. Evaluations(a) Prior to the filing of a complaint, the ethics enforcement officer may conduct an evaluation of any person or entity for the purpose of determining whether there is probable cause to believe that the person or …

Regulations of Connecticut State AgenciesSec. 1-92-24a. Complaints(a) The ethics enforcement officer shall evaluate any alleged violation of the Codes of Ethics that is written on the complaint form prescribed by the board, which form shall be available at the Office of State Eth…

Regulations of Connecticut State AgenciesSec. 1-92-24b. Preliminary investigations(a) Upon the receipt of a valid complaint pursuant to 1-92-24a (a) of the Regulations of Connecticut State Agencies, or upon the filing of its own complaint, the ethics enforcement officer shall con…

Regulations of Connecticut State AgenciesSec. 1-92-26. Representation of parties(a) Each person authorized to participate in any hearing as a party shall file a written notice of appearance with the enforcement division of the Office of State Ethics no later than fifteen days pri…

Regulations of Connecticut State AgenciesSec. 1-92-27. Reserved

Regulations of Connecticut State AgenciesSec. 1-92-28. Location of hearingsUnless by statute or by direction of the Office of State Ethics a different place is designated, all hearings of the Office of State Ethics will be held at Hartford at the office of the Office of State Eth…

Regulations of Connecticut State AgenciesSec. 1-92-29. Notice of hearings(a) Persons notified. The enforcement division of the Office of State Ethics will give written notice of a hearing in any pending matter to all parties, and to all persons otherwise required by statute to be…

Regulations of Connecticut State AgenciesSec. 1-92-29a. Filing and maintenance of papers related to hearings(a) For purposes of this section, the term “paper” means a document, other than a document a party intends to introduce as evidence at a hearing, that is filed with the Off…

Regulations of Connecticut State AgenciesSec. 1-92-3. Official addressAll communications should be addressed to the Office of State Ethics, 165 Capitol Avenue, Suite 1200, Hartford, Connecticut 06106. (Effective March 13, 1996; Amended January 2, 2008; Amended May 11, 2023)

Regulations of Connecticut State AgenciesSec. 1-92-30. Probable cause hearings(a) The enforcement division of the Office of State Ethics may request a probable cause hearing at any time following the notice of complaint and shall provide notice of at least forty five days prior t…

Regulations of Connecticut State AgenciesSec. 1-92-31. Board hearings(a) Within thirty days of a finding of probable cause pursuant to sections 1-82 (a)(2) or 1-93 (a)(2) of the Connecticut General Statutes, the Citizen's Ethics Advisory Board shall initiate a hearing pursuant to…

Regulations of Connecticut State AgenciesSec. 1-92-32. Amount of civil penalty to be imposedIn its determination of the amount of the civil penalty to be imposed, the board shall consider, among other mitigating or aggravating circumstances: (1) the gravity of the act or omission…

Regulations of Connecticut State AgenciesSec. 1-92-32a. Collection of penalties and forfeituresAny civil penalty collected by, or monies remitted to the Office of State Ethics pursuant to sections 1-88, 1-89, 1-99, 1-100, or 1-103 of the Connecticut General Statutes shall be depo…

Regulations of Connecticut State AgenciesSec. 1-92-32b. Failure to pay penalties or comply with ordersUpon an order or final decision of the board that a civil penalty or forfeiture of money or resources shall be paid, the enforcement division of the Office of State Ethics shall …

Regulations of Connecticut State AgenciesSec. 1-92-32c. Penalties not a bar to further actionUnless the written stipulation, agreed settlement, order or decision expressly states otherwise, the imposition of a civil penalty or requirement of forfeiture by the Office of State Ethi…

Regulations of Connecticut State AgenciesSec. 1-92-32d. Procedures for imposing lobbyist prohibitionPursuant to section 1-99(a) of the Connecticut General Statutes, the Citizen's Ethics Advisory Board may prohibit any person who intentionally violates any provision of chapter 10,…

Regulations of Connecticut State AgenciesSec. 1-92-33. Rule-making functionsStatutory authority to adopt, amend or repeal regulations is derived from the Acts creating the Office of State Ethics and chapter 54 of the Connecticut General Statutes. (Effective May 24, 1978; Amended …

Regulations of Connecticut State AgenciesSec. 1-92-34. Form of petitionAny person may at any time petition the Citizen's Ethics Advisory Board to promulgate, amend, or repeal any regulation. The petition shall conform to the applicable rules hereinabove stated and shall set forth…

Regulations of Connecticut State AgenciesSec. 1-92-35. Procedure after petition filed(a) Decision on petition. Upon receipt of the petition the Citizen's Ethics Advisory Board shall within thirty days determine to deny the petition or to initiate regulation-making proceedings. (b…

Regulations of Connecticut State AgenciesSec. 1-92-36. Procedure for the issuance, amendment, or repeal of a regulation(a) Proceedings for the issuance, amendment, or repeal of a regulation may be commenced by the Citizen's Ethics Advisory Board on its own initiative or pursuant …

Regulations of Connecticut State AgenciesSec. 1-92-37. General ruleThese rules set forth the procedure to be followed by the Citizen's Ethics Advisory Board in the disposition of a request for an advisory opinion as to the applicability of any provision of chapter 10 of the Conne…

Regulations of Connecticut State AgenciesSec. 1-92-38. Form of petition for advisory opinionsAny person subject to chapter 10 of the Connecticut General Statutes may at any time request an advisory opinion of the Citizen's Ethics Advisory Board with respect to the applicability o…

Regulations of Connecticut State AgenciesSec. 1-92-39. Procedure after petition for advisory opinion filed(a) Notice to persons. The Citizen's Ethics Advisory Board may give notice to any person that such an advisory opinion has been requested and may receive and consider facts, …

Regulations of Connecticut State AgenciesSec. 1-92-39a. Requests for declaratory rulingsThe Citizen's Ethics Advisory Board will accept a petition for a declaratory ruling as to the applicability of any statutory provision or of any regulation or order of the Citizen's Ethics Adv…

Regulations of Connecticut State AgenciesSec. 1-92-39b. Procedures after petition for declaratory ruling filed(a) Notice to persons. The Citizen's Ethics Advisory Board may give notice to any person that such a declaratory ruling has been requested and may receive and consider fa…

Regulations of Connecticut State AgenciesSec. 1-92-4. Public informationThe public may inspect the regulations, decisions and public records of the Office of State Ethics at its offices in Hartford. There is no prescribed form for requests for information. Written requests should…

Regulations of Connecticut State AgenciesSec. 1-92-40b. Personal data, definitionsWhen used in sections 1-92-40b to 1-92-40h, inclusive, the following terms shall have the meanings herein specified, unless the context otherwise indicates. (a) “Agency” means each state or municipa…

Regulations of Connecticut State AgenciesSec. 1-92-40c. Categories of personal data in the Office of State Ethics' personal data systemThe categories of personal data maintained by the Office of State Ethics consist of case files, employment records, personnel files, statements o…

Regulations of Connecticut State AgenciesSec. 1-92-40d. General nature and purpose of personal data system(a) The Office of State Ethics has a single designated personal data system consisting of six parts and whose nature and purpose is to maintain accurate and current informati…

Regulations of Connecticut State AgenciesSec. 1-92-40e. Maintenance of personal data(a) The Office of State Ethics shall strive to collect and maintain all personal data with accuracy and completeness. Any personal data not relevant and necessary to accomplish the lawful purpose …

Regulations of Connecticut State AgenciesSec. 1-92-40f. Disclosure of personal data(a) Any individual may request from the Office of State Ethics whether it maintains personal data on that individual; the category and location of the personal data maintained on that individual an…

Regulations of Connecticut State AgenciesSec. 1-92-40g. Procedures for contesting contentThe following procedure shall be used in order to provide an opportunity to contest the accuracy, completeness or relevancy of personal data: (a) Any individual may file a written request wit…

Regulations of Connecticut State AgenciesSec. 1-92-40h. Uses to be made of the personal data(a) Case files are routinely used in the performance of the Office of State Ethics' statutory mandate to administer and enforce the Codes of Ethics under chapters 10 and 54 of the Connecti…