Section 1-92-42a - Exceptions to the requirement to register as an administrative lobbyist(a) In accordance with the provisions section 1-91(11) of the Connecticut General Statutes and consistent with legislative intent, the following categories of activity shall not require registration as an administrative lobbyist:(1) Communications with executive agencies incident to the representation of a criminal defense client or a client in a juvenile matter; regardless of whether such communications are made by an attorney or another individual, e.g., a member of the clergy.(2) Communications with executive or quasi-public agencies on behalf of a person affected by a court order or an action pending before a court; e.g., representation of an individual seeking assistance from the Department of Children and Families or the Department of Mental Health and Addiction Services pursuant to a court decree.(3) Communications with executive or quasi-public agencies in contested cases or other proceedings in which the rights, duties or privileges of a party are to be determined (i.e., proceedings, including but not restricted to, rate-making, price fixing and licensing, in which the legal rights, duties or privileges of a party are required by statute to be determined by an agency after an opportunity for a hearing in which a hearing is in fact held). Included in this contested case exemption are: (A) representation during an agency investigation prior to the possible initiation of a contested case in which the imposition of criminal or civil penalties, monetary or otherwise, are possible (e.g., Office of State Ethics on civil penalty or physician's license revocation);(B) representation during an agency proceeding prior to the possible initiation of a contested case in which the award of damages or other benefits are possible (e.g., workers' compensation award or utility rate increase); and(C) representation during proceedings analogous to those set forth in subparagraphs (A) and (B) of this subdivision in which the legal rights, duties or privileges of a party are to be determined by an agency, without the right to an immediate hearing, but involving facts or circumstances which could ultimately result in the initiation of a contested case.(4) Communications with the enforcement division of the Office of State Ethics by, or on behalf of, a person who is the subject of an ethics investigation, evaluation, or complaint.(b) Not exempt from the definition of "Lobbying," however, are communications regarding contested cases, or other matters in which the rights, duties or privileges of a party are to be determined, made to persons outside the agency with official jurisdiction in the case or matter for the purpose of influencing the decision in such a case or matter; e.g., contact with the Governor's Office or Office of Policy and Management regarding a contested case at an executive agency, whether such case is in fact pending or has yet to be initiated.(c) Also not exempt from the definition of "Lobbying" are communications regarding an agency's adoption of generic policies, analogous to rules or regulations, which affect the rights, duties or privileges of classes of persons.(d) The exceptions enumerated in subsection (a) of this section shall apply regardless of whether the representation is pro se, provided by an attorney, or provided by another individual (e.g., an accountant) and regardless of whether the representative is registered, or may be required to register, as a lobbyist in another matter.(e) The following activities shall not be included when determining whether a person is required to register as a client or communicator administrative lobbyist: (1) the preparation of submissions required by, or filed pursuant to, statute, regulation, or agency rule (e.g., the preparation of a rate increase submission, permit application or response to a request for contract proposals) or otherwise requested by the agency;(2) ordinary and customary communications made to the agency, or a related entity, including, but not limited to, communications made incident to the performance of a contract or implementation of a permit; and(3) contacts with an executive branch or quasi-public agency, whether formal or informal, for informational purposes, including, but not limited to, the application of that agency's rules, regulations, or statutes to a specific fact situation, regardless of whether the contact is initiated by the private party or the agency (e.g., request by an individual for an advisory opinion or declaratory ruling from the Office of State Ethics; or request by an agency for product or client information from a regulated industry).Conn. Agencies Regs. § 1-92-42a
Effective March 21, 1995; Amended January 2, 2008; amended 5/11/2023