Connecticut Administrative Code › Title 1 - Provisions of General Application › 92 - Description of Organization and Rules of Practice › II - RULES OF PRACTICE › Article 2 - Preliminary investigations and evaluations under subsection (a) of section 1-82 and subsection (a) of section 1-93 of the Connecticut General Statutes › Section 1-92-24b - Preliminary investigations

Current through July 10, 2024
(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 conduct a preliminary investigation of the
				  violation(s) alleged in the complaint and, if necessary, of any other related
				  violations of the Codes of Ethics that are alleged or discovered during the
				  course of the preliminary investigation.
(b) In the conduct of its preliminary
				  investigation of an alleged violation of the Codes of Ethics, the enforcement
				  division shall have the power to hold hearings, administer oaths, examine
				  witnesses, receive oral and documentary evidence, subpoena witnesses, and
				  conduct such other reasonable and lawful tasks as are necessary to determine
				  whether there is probable cause to believe that a violation of the Codes of
				  Ethics has taken place.
(c) In the
				  conduct of a preliminary investigation, subject to section
				  1-92-23 of the Regulations of
				  Connecticut State Agencies, the enforcement division may issue a subpoena
duces tecum
to any person or entity in the state of
				  Connecticut who may be in possession of documents that are pertinent to a
				  determination of whether an alleged violation of the Codes of Ethics has
				  occurred, or in possession of documents that may lead to the discovery of other
				  persons in possession of pertinent documents or information. Such subpoena
				  shall compel the person or entity named therein to produce such documents
				  within a reasonable time period in the time, manner, and place set forth in the
				  subpoena. Any subpoena issued hereunder shall be served by personal service,
				  certified mail, or any other means agreed upon by the person being served or
				  his counsel.
(d) In the conduct of
				  a preliminary investigation, subject to section
				  1-92-23 of the Regulations of
				  Connecticut State Agencies, the enforcement division may issue subpoena
ad testificandum
to any person or entity in the state of
				  Connecticut who may be in possession of information that is pertinent to a
				  determination of whether an alleged violation of the Codes of Ethics has
				  occurred, or in possession of documents that may lead to the discovery of other
				  persons in possession of pertinent documents or information. Such subpoena
				  shall compel the person or entity named therein to appear at the Office of
				  State Ethics, or such other place selected by the ethics enforcement officer,
				  at the specific time and date set forth in the subpoena. Any subpoena issued
				  hereunder shall be served by personal service, certified mail, or any other
				  means agreed upon by the person being served or his counsel. Except upon the
				  direction of the Office of State Ethics, for good cause shown, the taking of
				  testimony pursuant to a subpoena issued hereunder shall be as follows:
(1) The testimony shall be under
				  oath.
(2) Any board member, notary
				  public, court reporter, judge, judge trial referee, commissioner of the
				  superior court, and any member of the Office of State Ethics who is a licensed
				  attorney in the state of Connecticut, shall have the power and authority to
				  administer an oath.
(3) The
				  testimony may be recorded by stenographer, court reporter, video recorder, tape
				  recorder, digital recorder, or such other means. The means of recording shall
				  be at the sole discretion of the ethics enforcement officer or his or her
				  designee.
(4) The witness shall be
				  entitled to have counsel present at all times during examination.
(5) Other than the witness, the witness's
				  counsel, and representatives of the enforcement division, no person shall
				  attend any deposition or hearing under this subsection except with the express
				  permission of the ethics enforcement officer.
(6) Any transcript or recording of any
				  deposition hereunder shall remain confidential pursuant to sections 1-82,
				  1-82a, 1-93, and 1-93a of the Connecticut General Statutes.