reglab/statecodes huggingface dataset:
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 1 - Parties, Intervention and Participation › Section 12-562-23a - Participation by persons admitted to participate as inter-venors

Current through July 10, 2024
The intervenor's participation shall be limited to those
						particular issues, that state of the proceeding, and that degree of involvement
						in the presentation of evidence and argument that the presiding officer shall
						permit at the time such intervention is allowed, and thereafter by express
						order upon further application by the said intervenor.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 1 - Parties, Intervention and Participation › Section 12-562-24a - Procedure concerning added parties

Current through July 10, 2024
(a)
During
					 hearing
. In addition to the designation of parties in the initial notice
					 and in response to board or division petition, the presiding officer may act in
					 behalf of the board or division to add parties at any time during the pendency
					 of any hearing upon the presiding officer's finding that the legal rights,
					 duties or privileges of any person will be determined by the decision after the
					 hearing or that the participation of such person as a party is necessary to the
					 proper disposition of the contested case.
(b)
Notice of designation
. In
					 the event that the presiding officer thus designates or admits any party after
					 service of the initial notice of hearing in a contested case, the board or
					 division shall give notice thereof to all parties theretofore designated or
					 admitted. The form of the notice shall be a copy of the order of the presiding
					 officer naming or admitting such added party and a copy of any petition filed
					 by such added party requesting designation as a party. Service of such notice
					 shall be in the manner provided in Section
					 12-562-19a of
					 the Regulations of Connecticut State Agencies.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 1 - Parties, Intervention and Participation › Section 12-562-25a - Status of party and of intervenor as party in interest

Current through July 10, 2024
(a)
Party as party in interest
.
					 By the decision of a contested case the board or division shall dispose of the
					 legal rights, duties and privileges of each party designated or admitted to
					 participate as a party in the proceeding. Each such party is deemed to be a
					 party in interest who may be aggrieved by any final decision, order or ruling
					 of the board or division.
(b)
Status of a nonparty that has been admitted to participate
.
Status as a nonparty or as an intervenor shall not be
						deemed to be an expression by the board or division that the person permitted
						to intervene is a party in interest who may be aggrieved by any final decision,
						order or ruling of the board or division unless the presiding officer
						explicitly so states.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 1 - Parties, Intervention and Participation › Section 12-562-26a - Representation of parties and intervenors

Current through July 10, 2024
Each person authorized to participate in a contested case
						as a party or as an intervenor shall file a written notice of appearance with
						the presiding officer. Such appearance may be filed in behalf of parties and
						intervenors by an attorney who is not required to be a member of the
						Connecticut bar or other duly authorized representative subject to the rules
						hereinabove stated.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-27a - Place of hearings

Current through July 10, 2024
All hearings conducted by the board or the division shall
						be held at their principal offices, unless a different location is designated
						by statute or by direction of the board or division.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-29a - Notice of hearings

Current through July 10, 2024
(a)
Persons
					 notified
. Except when the presiding officer shall otherwise direct, the
					 presiding officer shall give written notice of a hearing in any pending matter
					 to all persons designated as parties, to all persons who have been permitted to
					 participate as intervenors, to all persons otherwise required by statute to be
					 notified, and to such other persons as have filed with the presiding officer
					 their written request for notice of hearing in the particular matter. Written
					 notice shall be given to such additional persons as the presiding officer shall
					 direct.
(b)
Contents of
					 notice
. Notice of a hearing shall include but shall not be limited to
					 the following:
(1) a statement of the time,
					 place, and nature of the hearing;
(2) a statement of the legal authority under
					 which the hearing is to be held and the identification of statutes or
					 regulations that are involved;
(3)
					 a short and plain statement of fact describing the purpose of the hearing.
					 Notice of all board or division hearings shall comply with the requirements of
					 Section
					 4-177(b)
					 C.G.S.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-30a - General provisions

Current through July 10, 2024
(a)
Purpose
					 of hearing
. The purpose of any hearing that the board or executive
					 director conducts under Chapter 54 C.G.S. shall be to provide to all parties an
					 opportunity to present evidence and argument on all issues to be
					 considered.
(b)
Order of
					 presentation
. In hearings on requests and petitions, the party that
					 shall open and close the presentation of any part of the matter shall be the
					 complainant or the petitioner unless otherwise provided by the presiding
					 officer. In hearings concerning license denials, suspensions or revocations,
					 the party that shall open and close the presentation of any part of the matter
					 shall be the division's representative unless otherwise provided by the
					 presiding officer.
(c)
Limiting number of witnesses
. To avoid unnecessary cumulative
					 evidence, the presiding officer may limit the number of witnesses or the time
					 for testimony upon a particular issue in the course of any hearing.
(d)
Burden of proof
. The
					 respondent, complainant or petitioner shall have the burden of proving with
					 substantial evidence that his or her position is justified in any hearing,
					 except in any hearing conducted to revoke or suspend a license.
(e)
Discovery
. The board and
					 division are not required to respond to pre-hearing interrogatories or to other
					 requests for discovery other than public records in the possession of the
					 division.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-31a - Witnesses, subpoenas, and production of records

Current through July 10, 2024
(a) The
					 board, the executive director, or any presiding officer authorized to conduct
					 any inquiry, investigation or hearing shall have power to administer oaths and
					 affirmations and take testimony under oath relative to the matter under
					 inquiry, investigation or hearing.
(b) At any hearing ordered by the board or
					 exective director the presiding officer, or any agent authorized by law to
					 issue such process, may subpoena witnesses and require the production of
					 records, papers and documents pertinent to such inquiry. Any party, not
					 represented by a member of the bar of the state of Connecticut, may request
					 that such process be issued. The request shall be in writing and contain the
					 following: the name and address of each person upon whom such process is to be
					 served; an adequate description of any records, papers and documents sought to
					 be produced; and a short explanation of the testimony or evidence to be offered
					 at the hearing and its materiality to the subject thereof. It shall be the sole
					 responsibility of the party requesting such process to cause it to be served in
					 accordance with law.
(c) If any
					 person disobeys such process or, having appeared in obedience thereto, refuses
					 to answer any pertinent question put to him or to produce any records and
					 papers pursuant thereto, the presiding officer may apply to the superior court
					 setting forth such disobedience to process or refusal to answer, as provided by
					 Section
					 12-565
					 C.G.S.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-32a - Rules of evidence

Current through July 10, 2024
The following rules of evidence shall be followed in the
						admission of testimony and exhibits in all hearings held under Chapter 54
						C.G.S.
(a)
General
. Any
					 oral or documentary evidence may be received; but the presiding officer shall,
					 as a matter of policy, exclude irrelevant, immaterial, or unduly repetitious
					 evidence. The presiding officer shall give effect to the rules of privilege
					 recognized by law in Connecticut where appropriate to the conduct of the
					 hearing. Subject to these requirements any testimony may be received in written
					 form as herein provided.
(b)
Documentary evidence, copies
. Documentary evidence should be
					 submitted in original form, but may be received in the form of copies or
					 excerpts at the discretion of the presiding officer. Upon request by any party
					 an opportunity shall be granted to compare the copy with the original if
					 available, which shall be produced for this purpose by the person offering such
					 copy as evidence.
(c)
Cross-examination
. Cross-examination may be conducted as the
					 presiding officer shall find to be required for a full and true disclosure of
					 the facts.
(d)
Facts noticed,
					 scope and procedure
. The presiding officer may take administrative
					 notice of generally recognized technical or scientific facts within the
					 presiding officer's specialized knowledge. Parties shall be afforded an
					 opportunity to contest the material so noticed by being notified before or
					 during the hearing, or by an appropriate reference in preliminary reports or
					 otherwise of the material noticed. The presiding officer shall nevertheless
					 employ his or her experience, technical competence, and specialized knowledge
					 in evaluating the evidence presented at the hearing for the purpose of making
					 his or her finding of facts and arriving at a final decision.
(e)
Facts noticed, board or division
					 records
. The presiding officer may take administrative notice of
					 judicially cognizable facts, including the records and the prior decisions and
					 orders of the board or division. Any exhibit admitted as evidence by the board
					 or division in a prior hearing may be offered as evidence and admitted as an
					 exhibit in a subsequent hearing; but the presiding officer shall not deem such
					 exhibit to be cognizable in whole or in part for this purpose and shall not
					 consider any facts set forth therein unless such exhibit is duly admitted as
					 evidence in the matter then being heard.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-33a - Filing of added exhibits and testimony

Current through July 10, 2024
Upon order of the presiding officer before, during, or
						after the hearing any party shall prepare and file added exhibits and written
						testimony. Such added exhibits and testimony shall be deemed to be an offer of
						evidence and shall be subject to such comment, reply, and contest as due
						process shall require.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-34a - Uncontested disposition of case

Current through July 10, 2024
Unless precluded by law, any contested case may be
						resolved by stipulation, agreed settlement, consent order or default, upon the
						order of the presiding officer. Upon such disposition a copy of the order of
						the presiding officer shall be served on each party.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-35a - Record in a contested case

Current through July 10, 2024
The record before the presiding officer in a contested
						case shall include:
(1) All motions,
					 applications, petitions, requests for action, pleadings, notices of hearing,
					 and intermediate rulings;
(2) The
					 evidence received and considered by the presiding officer;
(3) Questions and offers of proof,
					 objections, and the rulings thereon during the hearing;
(4) The decision, opinion or report by the
					 presiding officer. The presiding officer may designate other documents or
					 portions of the proceedings as part of the record in a contested case. Requests
					 to so designate other material as part of the record should be made to the
					 presiding officer within thirty (30) days after the final decision is
					 issued.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-36a - Final decision in a contested case

Current through July 10, 2024
All decisions and orders of the presiding officer
						concluding a contested case shall be in writing. Findings of fact and
						conclusions of law shall be separately stated. The presiding officer shall
						serve a copy of his final decision on each party in the manner required by
						Sections
						12-562-1a
						through
						12-562-19a,
						inclusive, of the Regulations of Connecticut State Agencies and by Chapter 54
						C.G.S.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 2 - Hearings, General Provisions › Section 12-562-37a - Transcript of contested case proceedings

Current through July 10, 2024
(a)
Proceedings recorded
. All hearings in contested case proceedings
					 shall be either electronically or stenographically recorded.
(b)
Written transcript
. At the
					 close of the reception of evidence, the respondent or any other party of record
					 may file a written request with the presiding officer for a written transcript
					 of the proceedings. If no such written request is filed, the presiding officer
					 may order that a written transcript be prepared.
(c)
Reasonable costs
. If any
					 party of record desires a copy of the transcript, it will be made available
					 upon written request and payment of the reasonable cost to the
					 division.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 3 - Hearings, Enforcement Proceedings › Section 12-562-38a - Scope and applicability

Current through July 10, 2024
In addition to the general provisions of this article
						governing hearings, the following special provisions shall apply to all
						proceedings instituted by the board or division which might result in the
						revocation or suspension of any license, or in the imposition of a
						fine.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 3 - Hearings, Enforcement Proceedings › Section 12-562-39a - Opportunity to show compliance

Current through July 10, 2024
(a) No revocation,
					 suspension, annulment or withdrawal of any license is lawful unless prior to
					 the institution of proceedings, the agency gave notice to the licensee of facts
					 or conduct which warrant the intended action, and the licensee was given the
					 opportunity to show compliance with all lawful requirements for the retention
					 of the certificate, license or registration.
(b) Notification of such compliance
					 conference shall be by first class mail or personal delivery. Said notice shall
					 contain:
(1) A statement of the time, date
					 and place of the compliance conference;
(2) A reference to any statute or regulation
					 allegedly violated;
(3) A clear and
					 concise factual statement sufficient to inform each respondent of the acts or
					 practices alleged to be in violation of the law; and
(4) A statement informing each respondent
					 that he may be represented by counsel.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 3 - Hearings, Enforcement Proceedings › Section 12-562-40a - Summary suspension

Current through July 10, 2024
If the board or the division finds that public health,
						safety, or welfare imperatively requires emergency action, and incorporates a
						finding to that effect in its order, summary suspension of a license may be
						ordered pending proceedings for revocation or other action. These proceedings
						shall be promptly instituted and determined by the board or the
						division.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 3 - Hearings, Enforcement Proceedings › Section 12-562-41a - Disposition by consent decree

Current through July 10, 2024
(a) A respondent
					 may agree to enter into a written consent decree in lieu of an adjudicated
					 hearing on an issue. The acceptance of a consent decree is within the complete
					 discretion of the board or the division.
(b) A consent decree shall contain:
(1) An admission of all jurisdictional
					 facts;
(2) An express waiver of the
					 requirement that the decision of the board or the division contain findings of
					 fact and conclusions of law, stated separately;
(3) An express waiver of the right to appeal
					 or otherwise challenge or contest the validity of the decree;
(4) A statement that the consent decree shall
					 have the same force and effect as provided by statute for other final decisions
					 or decrees and shall become final when issued;
(5) The signature of the presiding
					 officer.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 3 - Hearings, Enforcement Proceedings › Section 12-562-42a - Conduct of show cause hearings

Current through July 10, 2024
(a) As the matter
					 may require, show cause hearings shall be presided over by at least four board
					 members where the respondent is a board licensee or by the executive director,
					 the deputy executive director, any unit head, assistant unit head or executive
					 assistant appointed by the executive director as a hearing officer where the
					 respondent is a division licensee.
(b) The board members and the executive
					 director and other authorized presiding officers shall have the power:
(1) To administer oaths and
					 affirmations;
(2) To rule upon
					 offers of proof and receive evidence and exclude irrelevant, immaterial, or
					 unduly repetitious evidence;
(3) To
					 regulate the course of the hearing and the conduct of the parties and their
					 counsel therein;
(4) To hold
					 conferences for informal dispositions and simplification of issues;
(5) To consider stays and rule upon, as
					 justice may require, all procedural and other motions appropriate in a show
					 cause proceeding;
(6) To make and
					 file final decisions, recommendations, and orders;
(7) To exercise any and all other powers as
					 provided in the Connecticut General Statutes;
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 3 - Hearings, Enforcement Proceedings › Section 12-562-43a - Notice and manner of service

Current through July 10, 2024
(a)
Contents
					 of notice
. A notice of the institution of a show cause hearing by the
					 board or division shall contain all the informational requirements set forth in
					 Section
					 4-177(b)
					 C.G.S. and Section
					 12-562-29a(b)
					 of the Regulations of Connecticut State Agencies.
(b)
Manner of service
.
					 Notwithstanding any other provisions of Sections
					 12-562-1a
					 through
					 12-562-19a,
					 inclusive, of the Regulations of Connecticut State Agencies regarding the
					 method or manner of service of documents by the board or division to the
					 contrary, service of notice and particulars upon respondents in show cause
					 hearings shall be by either:
(1) Certified
					 mail, return receipt requested, directed to respondent at the last known home
					 or business address on file with the board or division; or,
(2) Personal delivery by an agent of the
					 board or division which may include in hand service to respondent or service at
					 the premises of respondent's last known home or business address on file with
					 the division or the board. The board or division serving agent shall endorse a
					 copy of the notice of show cause hearing and make return to the board or
					 division.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 3 - Hearings, Enforcement Proceedings › Section 12-562-44a - Default

Current through July 10, 2024
In any duly noticed proceeding when the respondent fails
						to appear, the presiding officer, upon a finding of actual or constructive
						notice of the pendency of such proceedings, may note such failure upon the
						record, and render a decision by default.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article II - Contested Cases › Part 3 - Hearings, Enforcement Proceedings › Section 12-562-45a - Continuances, extensions of time

Current through July 10, 2024
If a respondent can reasonably show a need for additional
						time to prepare a defense to alleged statutory or regulatory violations, the
						presiding officer may, in his or her complete discretion, grant an extension of
						time for a reasonable period. Such continuances or extensions of time will be
						granted for good cause only. A second request for a continuance or extension of
						time advanced by a respondent in any show cause hearing proceeding will only be
						granted in consequence of extraordinary circumstances.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article IV - Rule Making › Section 12-562-47a - Authority to promulgate regulations

Current through July 10, 2024
The executive director derives the statutory authority from
					 Chapters 226, 226b, 98 and 229a C.G.S. to adopt, amend, or repeal regulations
					 with the advice and consent of the board.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article IV - Rule Making › Section 12-562-48a - Form of petition

Current through July 10, 2024
Any person may at any time petition the executive director
					 to promulgate, amend, or repeal any regulation. The petition shall set forth
					 clearly and concisely the text of the proposed regulation, amendment, or
					 repeal. Such petition shall also state the facts and arguments that favor the
					 action it proposes by including such facts and arguments in the petition or in
					 a brief annexed thereto. The petition shall be addressed to the executive
					 director and sent by mail or delivered in person during normal business hours.
					 The petition shall be signed by the petitioner and shall furnish the address of
					 the petitioner and the name and address of petitioner's attorney, if
					 applicable.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article IV - Rule Making › Section 12-562-49a - Procedure after petition filed

Current through July 10, 2024
(a)
Decision
				  on petition
. Upon receipt of the petition, the executive director shall
				  within thirty (30) days, deny the petition or initiate regulation-making
				  proceedings.
(b)
Procedure on
				  denial
. If the executive director denies the petition, the executive
				  director shall give the petitioner notice in writing, stating the reasons for
				  the denial based upon the facts and arguments submitted with the petition and
				  upon such additional facts and arguments as the executive director deems
				  appropriate.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article IV - Rule Making › Section 12-562-50a - Procedure for the issuance, amendment or repeal of a regulation

Current through July 10, 2024
(a)
Initiation
. Proceedings for
				  the issuance, amendment, or repeal of a regulation may be commenced by the
				  division on its own initiative, on the initiative of the board, or pursuant to
				  a petition submitted by an interested person.
(b)
Notice
. Notice of the
				  proposed issuance, amendment or repeal of a regulation will appear in the
				  Connecticut Law Journal at least thirty (30) days prior to the intended action.
				  The notice will contain:
(1) A statement of
				  the purpose of the proposed action.
(2) A statement of the terms or substance of
				  the intended action.
(3) A
				  statement of the time, place and date of the public hearing or other
				  opportunity for the presentation of views, and the manner in which said views
				  may be presented.
(4) Reference to
				  the statutory authority under which the division is acting.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article V - Miscellaneous Proceedings › Part 1 - Declaratory Rulings › Section 12-562-51a - General rule

Current through July 10, 2024
Sections 12-562-51a through
						12-562-53a
						inclusive, of the Regulations of Connecticut State Agencies set forth the
						procedure to be followed by the board and division in the disposition of a
						request for declaratory rulings as to the validity or applicability of any
						statutory provision or of any regulation or order of the board or division.
						Such a ruling of the board or division disposing of a petition for a
						declaratory ruling shall have the same status as any decision or order of the
						board or division in a contested case.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article V - Miscellaneous Proceedings › Part 1 - Declaratory Rulings › Section 12-562-52a - Form of petition for declaratory ruling

Current through July 10, 2024
Any person may at any time request a declaratory ruling
						of the division with respect to the validity or applicability to such person of
						any statute, regulation or order enforced, administered, or promulgated by the
						board or division. Such request shall be addressed to the division and sent by
						mail or delivered in person during normal business hours. The request shall be
						signed by the person in whose behalf the inquiry is made. It shall give the
						address of the person requesting the declaratory ruling and the name and
						address of such person's attorney, if applicable. The request shall state
						clearly and concisely the substance and nature of the request; it shall
						identify the statute, regulation or order concerning which the request is made
						and shall identify the particular aspect thereof to which the request is
						directed. The request for a declaratory ruling shall be accompanied by a
						statement of any supporting data, facts and arguments that support the position
						of the person making the inquiry.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article V - Miscellaneous Proceedings › Part 1 - Declaratory Rulings › Section 12-562-53a - Procedure after petition for declaratory ruling filed

Current through July 10, 2024
(a)
Notice to other persons
. The
					 board or division may give notice to any person that such a declaratory ruling
					 has been requested and may receive and consider data, facts, argument and
					 opinions from persons other than the person requesting such ruling.
(b)
Provision for hearing
. If
					 the division deems a hearing necessary or helpful in determining any issue
					 concerning the request for declaratory ruling, the division shall schedule such
					 hearing and give such notice thereof as shall be appropriate. The provisions of
					 Sections 12-576-20a through 12-576-45a, inclusive, of the Regulations of
					 Connecticut State Agencies govern the practice and procedure of the division in
					 any hearing concerning the issuance of a declaratory ruling.
(c)
Decision on petition, ruling
					 denied
. If the board or division determines that a declaratory ruling
					 will not be rendered, the board or division shall within thirty (30) days
					 thereafter notify the person so inquiring that the request has been denied and
					 furnish a statement of the reasons on which the board or division relied in so
					 declining.
(d)
Decision on
					 petition, ruling granted
. If the board or division renders a declaratory
					 ruling, a copy of the ruling shall be sent to the person requesting it and to
					 that person's attorney, if applicable, and to any other person who has filed a
					 written request for a copy with the board or division.
(e)
Approval of board
. If the
					 request for a declaratory ruling is directed to the division and the division
					 determines to issue such ruling in compliance with such request, the approval
					 of the board to such recommended ruling is a prerequisite to its issuance by
					 the division.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article V - Miscellaneous Proceedings › Part 2 - Investigations and Inquiries › Section 12-562-54a - Investigations and inspections

Current through July 10, 2024
The board or the executive director may at any time
						institute investigations in order to carry out their statutory
						responsibilities. Statutory authority to conduct investigations and inspections
						is derived from, but not limited to, Sections
						12-562,
						12-565,
						12-574,
						12-575,
						12-577 and
						12-584
						C.G.S. Upon direction of the board or executive director, the person being
						investigated shall file such data, facts, arguments and statements of position
						as shall be necessary to respond to the inquiry of the board or the executive
						director, subject to the subpoena authority set forth in Section
						12-565
						C.G.S.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article V - Miscellaneous Proceedings › Part 2 - Investigations and Inquiries › Section 12-562-55a - Investigative hearings or inquiries

Current through July 10, 2024
(a) For the
					 purposes of carrying out the provisions of Chapters 226, 226b, 98 and 229a
					 C.G.S., the Mashantucket Pequot Gaming Procedures and the Mohegan Tribe and
					 State of Connecticut Tribal-State Compact, the executive director or the board
					 may convene any inquiry or investigative hearing pursuant to the provisions of
					 Section
					 12-565
					 C.G.S. The provisions of Sections
					 12-562-27a
					 through
					 12-562-45a
					 of the Regulations of Connecticut State Agencies concerning procedures in
					 contested case hearing proceedings do not apply to such investigative hearings.
					 The board or the executive director shall have the following powers in
					 convening any such investigative hearing:
(1)
					 To subpoena witnesses and require the production of records, papers and
					 documents pertinent to such inquiry;
(2) To administer oaths and
					 affirmations;
(3) To regulate the
					 course of the investigative hearing and the conduct of the parties and their
					 counsel therein;
(4) To require the
					 sequestration of witnesses therein;
(5) To limit or restrict entirely the
					 cross-examination of witnesses;
(6)
					 To issue reports and recommendations at the conclusion of said investigative
					 hearing for further action by the board or executive director.
Connecticut Administrative Code › Title 12 - Taxation › 562 - Administrative Procedures › Rules of Practice › Article VI - Miscellaneous ProvisionsPersonal Data › Personal Data › Section 12-562-56a - Personal data

Current through July 10, 2024
(a) Definitions
(1) The following definitions shall apply to
					 Section 12-562-56a of these regulations:
(A)
					 Category of personal data. Classifications of personal information set forth in
					 the Personal Data Act, Connecticut General Statutes Section
					 4-190(9).
(B) Other data. Any information which because
					 of name, identifying number, mark or description can be readily associated with
					 a particular person.
(C) Division.
					 The division of special revenue.
(D) Board. The gaming policy board.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-3 - Department of Consumer Protection

Current through July 10, 2024
(a)
Powers
			 and duties.
The department shall have the power to carry out the intent
			 of chapters 226, 226b and 229a of the Connecticut General Statutes. The duties
			 of the department shall include, but not be limited to, the following:
(1) The enforcement of the provisions of
			 chapters 226 and 229a of the Connecticut General Statutes and the regulations
			 adopted thereunder.
(2) The
			 adoption, amendment, repeal, and publication of all regulations necessary to
			 carry out the intent of chapters 226 and 229a of the Connecticut General
			 Statutes.
(3) Doing whatever is
			 reasonably necessary to carry out the intent of chapters 226 and 229a of the
			 Connecticut General Statutes.
(4)
			 Working with, or seeking information and assistance from, other federal, state,
			 local and municipal government entities or individuals when the department
			 deems it appropriate for the performance of its duties.
(5) The conducting of any necessary inquiry,
			 investigation or hearing, including the administration of oaths, the taking of
			 testimony, and the subpoena of witnesses.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-4 - Purchasers

Current through July 10, 2024
(a)
Official
			 procedures.
A purchaser shall be bound by the official procedures of the
			 lottery game associated with the purchaser's ticket.
(b) Claims.
(1) Prizes may be claimed only in accordance
			 with the official procedures or any emergency procedures as prescribed by the
			 CLC and approved in writing by the department.
(2) To be valid, claims shall be presented to
			 the CLC within the time periods described in the official procedures. Any
			 subsequent change in the time period allowed for presenting valid claims shall
			 be applied to the category of lottery game as a whole and shall not be applied
			 on an individual basis for individual claims.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-6 - Special agents

Current through July 10, 2024
(a)
Special
			 agent licenses, conditions.
The department may issue a special agent
			 license to an applicant whom the department determines will best serve the
			 public interest and convenience of the state. A special agent license may be
			 issued to the CLC, a temporary agent, or an agent that is currently licensed
			 and that will conduct lottery business from a location as determined by the
			 CLC. The department may attach such reasonable conditions to a special agent
			 license as will assure the integrity of the CLC and lottery. Such conditions
			 may include, but are not limited to, the following:
(1) Length of licensure;
(2) Establishment of hours and days of
			 sale;
(3) Locations of sales as
			 will be permitted; and
(4)
			 Limitation as to specific charitable, social, or other special
			 events.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-7 - Lottery sales

Current through July 10, 2024
(a)
Categories of sales.
The CLC, in its discretion, shall determine
			 the categories of tickets including:
(1)
			 instant game,
(2) terminal game,
			 and
(3) other types of games that
			 an agent is permitted to sell. An agent shall sell and redeem all categories of
			 tickets unless otherwise instructed by the CLC.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-9 - Agent employees

Current through July 10, 2024
(a)
Permitted.
An agent may utilize the services of its employees in
			 the activities authorized under such agent's license. An agent shall assume
			 full responsibility for the activities of the agent's employees and the
			 consequences of their activities. The department reserves the right to order
			 that an employee not engage in the sale or exchange of tickets. Any such
			 determination of non-eligibility shall be final and shall be complied with
			 immediately upon order from the department.
(b)
Designated employee.
Where
			 the agent itself will not be directly involved in the sale or exchange of
			 tickets, the agent shall notify the department of a designated employee who
			 shall be responsible for managing the agent's lottery business. Such designated
			 employee shall be subject to the approval of the department. An agent shall
			 notify the department in writing within fifteen (15) days whenever such
			 designated employee is replaced.
(1) Any
			 designated employee shall provide information as required by the
			 department.
(2) The agent shall
			 ensure that all employees involved in the conduct of lottery business are
			 adequately trained. Any designated employee may be authorized to train other
			 employees at that location in the conduct of lottery business.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-10 - Accountability

Current through July 10, 2024
(a)
Agent's
			 responsibility.
Tickets before sale remain exclusively the property of
			 the CLC held in trust by the agent. Any loss or theft of tickets shall be
			 reported immediately to the CLC.
(b)
Cash.
Cash received by the
			 agent from the sale of tickets is solely the responsibility of the
			 agent.
(c)
Responsibility of
			 the CLC.
The CLC shall notify the department immediately of all lost,
			 stolen or otherwise unaccounted for tickets.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-11 - The CLC's proceeds, property

Current through July 10, 2024
As used in this section, "proceeds" means any moneys received
				from the sale, both actual and presumed, of tickets. In accordance with the
				provisions of section 12-813(b) of the Connecticut General Statutes, all moneys
				received by agents from the sale of tickets constitute property of the CLC
				while in such agent's possession and shall be held in trust for the CLC by such
				agents. During the time period tickets are held in trust for the CLC by such
				agents, such tickets shall remain the property of the CLC. Agents shall hold in
				trust for the CLC the proceeds generated from the sale of tickets minus the
				authorized agent compensation. During the time period such proceeds are held in
				trust for the CLC by such agents, such proceeds shall remain the property of
				the CLC.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-12 - Agent delinquencies

Current through July 10, 2024
(a)
Collection agents.
The president may designate any person as a
			 collection agent to oversee the assessment, collection and receipt of
			 settlements and delinquencies and any other debts owed to the CLC. Such
			 collection agent shall be bonded in an amount established by the department.
			 The president shall designate a specific employee of the CLC as the collections
			 liaison for the department, which individual shall coordinate with the
			 department on collections activity, including preparation of documents for, and
			 testifying in, enforcement proceedings.
(b)
Determination of the CLC, notices
			 to agent.
If the CLC determines that a settlement is improper in that
			 all moneys due and owing the CLC have not been remitted or that an agent has
			 failed to render a timely settlement, the agent shall be so notified by the CLC
			 and shall be afforded a reasonable period of time, as determined by the CLC,
			 within which to render a proper settlement. If after such period of time the
			 agent remains delinquent, the president shall make a finding of delinquency and
			 notify said agent and the commissioner. Thereafter, the commissioner shall
			 charge the delinquent agent:
(1) The amount
			 due but unremitted as of the stated past settlement date;
(2) A delinquency assessment penalty equal to
			 ten percent of the amount due and unremitted or ten dollars, whichever is
			 greater; and
(3) Interest at the
			 rate of one and one half percent of the amount due for each month or fraction
			 of a month computed from the date settlement was due to the date of
			 payment.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-13 - Sales suspension

Current through July 10, 2024
(a) The president
			 may suspend for cause any agent subject to a final determination through a
			 hearing provided in accordance with sections
			 12-568a-1
			 to
			 12-568a-24,
			 inclusive, of the Regulations of Connecticut State Agencies, and the department
			 rules of practice and hearing procedures.
(b) Upon suspension, the CLC shall conduct a
			 final settlement and no additional lottery materials or tickets shall be
			 delivered to the agent, and any lottery equipment on the agent's premises shall
			 be rendered inoperative pending a department hearing to be scheduled for said
			 agent. Notice of such suspension shall be provided by the CLC to the department
			 within two (2) working days of the sales suspension.
(c) No agent shall be entitled to a hearing
			 by the department for any sales suspension by the CLC on the basis of
			 insufficient agent sales or failure to adhere to marketing criteria, as
			 determined by the CLC.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-14 - Summary suspension

Current through July 10, 2024
If the commissioner determines that public health, safety or
				welfare imperatively requires emergency action, a licensee may be suspended
				without the necessity of a prior hearing. The notice to the licensee of such
				action shall detail the reasons for the emergency action and shall afford the
				licensee an opportunity for a subsequent hearing to contest the suspension. Any
				licensee, vendor employee, or employee or officer of the CLC who is alleged to
				have: defrauded, produced, altered, forged, passed or counterfeited a ticket;
				tampered with the CLC's files; or inappropriately accessed the lottery gaming
				system may be summarily suspended, and such licensee may be subject to further
				discipline at an administrative hearing.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-15 - Occupational badges and licenses

Current through July 10, 2024
(a)
Badges.
(1) The department, as
			 it deems necessary, shall require occupational licensees to obtain a badge at
			 the expense of the CLC. Such badges shall be displayed or carried upon such
			 licensee as required by the department. All badges are the property of the
			 department and shall be returned to the department upon request in the event of
			 license termination, suspension or revocation.
(2) The CLC shall file a list of persons and
			 specific duties of such persons not licensed as occupational licensees who may
			 enter the facilities of the CLC for reasons connected with the operation of the
			 lottery. In such instances, the CLC shall provide nontransferable visitor
			 badges to individuals on such lists.
(3) The department, at its discretion, may
			 provide temporary badges to facilitate operations when an occupational licensee
			 does not have such badge available.
(4) No licensee shall permit any other person
			 to use such licensee's badge or license.
Connecticut Administrative Code › Title 12 - Taxation › 568a - Operation of Lottery › Section 12-568a-16 - Violations of rules and regulations; fine, suspension or revocation

Current through July 10, 2024
(a)
Liability.
Any licensee violating chapter 226 or chapter 229a of
			 the Connecticut General Statutes or sections
			 12-568a-1
			 to
			 12-568a-24,
			 inclusive, of the Regulations of Connecticut State Agencies, shall be liable
			 for the penalties in this section. It is the duty and responsibility of all
			 licensees to know sections
			 12-568a-1
			 to
			 12-568a-24,
			 inclusive, of the Regulations of Connecticut State Agencies. Nothing in
			 sections
			 12-568a-1
			 to
			 12-568a-24,
			 inclusive, of the Regulations of Connecticut State Agencies shall be deemed to
			 lessen the responsibility of the CLC to enforce and adhere to chapters 226 and
			 229a of the Connecticut General Statutes and sections
			 12-568a-1
			 to
			 12-568a-24,
			 inclusive, of the Regulations of Connecticut State Agencies.
(b)
Fine, suspension or revocation.
A violation of chapters 226 and 229a of the Connecticut General
			 Statutes or sections
			 12-568a-1
			 to
			 12-568a-24,
			 inclusive, of the Regulations of Connecticut State Agencies, shall be good
			 cause for the commissioner to fine any licensee in an amount not to exceed two
			 thousand five hundred dollars, and suspend or revoke any lottery sales agent
			 license issued by the department.
(1) The
			 commissioner may for good cause fine a licensee or deny issuance of, suspend,
			 revoke or place conditions upon any license. Any licensee, vendor employee, or
			 employee or officer of the CLC who is alleged to have, with intent to defraud,
			 produced, altered, forged, passed or counterfeited a ticket may be summarily
			 suspended from involvement with the lottery.
(2) All parties cited for violations of this
			 section shall be given the opportunity for a hearing in accordance with
			 sections
			 12-568a-1
			 to
			 12-568a-24,
			 inclusive, of the Regulations of Connecticut State Agencies, and the department
			 rules of practice and hearing procedures.
(3) All decisions of the department may be
			 appealed pursuant to section 4-183 of the Connecticut General
			 Statutes.