reglab/statecodes huggingface dataset:
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-6 - Submissions and filings

Current through July 10, 2024
(a) Applications,
				motions, petitions, requests for advisory opinions or interpretations and other
				materials submitted to the department shall be filed with the commissioner at
				the office of the department or with any person authorized or designated by the
				commissioner to receive a filing.
(b) Materials submitted to the department may
				be subject to disclosure to the public under the Freedom of Information Act.
				Persons submitting materials may request that some or all of the materials
				submitted be held confidential. Such materials shall be marked "confidential"
				and the reasons or legal authority supporting the request for confidential
				treatment shall be provided in a cover letter. The commissioner, in accordance
				with sections
				1-210
				and
				36a-21
				of the Connecticut General Statutes, shall determine whether such material will
				be held confidential.
(c) A filing
				may be made by personal delivery, first-class, registered or certified mail or
				any express delivery service. Where permitted by the commissioner or presiding
				officer, a filing may be made by facsimile or any other electronic means
				provided the department can print such filing. The commissioner or presiding
				officer may require that a signed original of any document filed by electronic
				means be filed with the department.
(d) All applications, petitions,
				correspondence, motions or other documents shall be deemed filed when received
				by the commissioner or any person authorized or designated by the commissioner
				to receive a filing.
(e) Upon the
				filing of any application or petition, the commissioner shall require
				publication or notice of such filing as may be required by law or as the
				commissioner may deem appropriate.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-7 - Fees, fines, civil penalties or other payments

Current through July 10, 2024
(a)
				Any fee, fine, civil penalty or other payment required or authorized by law to
				be paid to the commissioner shall be paid by check or money order, payable to
				"Treasurer, State of Connecticut".
(b) Any fee for an application, license,
				registration, notice or other request for approval shall be paid at the time
				the application or request for approval is filed, unless otherwise required by
				law.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-8 - Advisory opinions or other legal interpretations

Current through July 10, 2024
The commissioner or any authorized employee of the department
				  may issue advisory opinions or other legal interpretations regarding any laws
				  or regulations that the commissioner is charged with administering. Such
				  opinions or interpretations may take the form of a no-action letter or
				  confirmation of the applicability of an exclusion or exemption. Requests for
				  written opinions or interpretations of the laws or regulations that the
				  commissioner is charged with administering shall be in writing and shall state
				  the facts and questions of law that are the subject of the request. The
				  commissioner may, in accordance with section
				  3-125
				  of the Connecticut General Statutes, submit questions of law to the Attorney
				  General.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-9 - Construction and waiver of rules

Current through July 10, 2024
The rules of practice shall be construed by the commissioner
				  and the presiding officer to secure a just, speedy and efficient determination
				  of the issues presented. Where good cause exists, the commissioner or presiding
				  officer may permit deviation from the rules of practice, except where precluded
				  by statute.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-10 - Computation of time

Current through July 10, 2024
Except as otherwise provided by law, computation of any
				  period of time referenced in the rules of practice begins with the first day
				  following the day on which the act that triggers such period of time occurs,
				  and ends on the last day of the period so computed. If the last day falls on a
				  day the department is closed, the period shall run to the end of the next
				  business day.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-11 - Extensions of time

Current through July 10, 2024
Except as otherwise provided by law, the commissioner or
				  presiding officer may, for good cause shown, extend any time limit prescribed
				  or allowed by the rules of practice or by any notice or order issued in a
				  contested case or other proceeding. The commissioner or presiding officer may
				  grant extensions upon motion of a party or the department, after notice and
				  opportunity to respond is afforded to all non-moving parties and the
				  department, if the department is not the movant, or on the commissioner's or
				  presiding officer's own motion. All motions for extensions shall be made before
				  the expiration of the period prescribed.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-12 - Effect of filing

Current through July 10, 2024
The filing with the commissioner or presiding officer of any
				  application, petition, request for declaratory ruling or any other document
				  shall not relieve any person of the obligation to comply with any statute,
				  regulation or order of the commissioner. Acceptance of such filing by the
				  commissioner or presiding officer shall not constitute a waiver of any failure
				  to comply with the rules of practice. Where appropriate, the commissioner or
				  presiding officer may require the amendment of any filing.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-13 - Service

Current through July 10, 2024
(a) Service of all documents by the
				commissioner or presiding officer pursuant to the rules of practice shall be by
				personal service, first-class, registered or certified mail, any express
				delivery service, facsimile or by any other electronic means, except as
				otherwise provided by law. The commissioner or presiding officer may make
				service to the address last known to the commissioner.
(b) A copy of any document served by the
				commissioner or presiding officer showing the addresses to which the document
				or other paper was served shall be placed in the department's files and shall
				be prima facie evidence of such service and the date of such service.
(c) A party, intervenor or the department
				filing documents with the commissioner or presiding officer in a contested case
				shall serve a copy of such documents upon the counsel or representative of
				record for all parties or intervenors that are represented by counsel or
				representative, upon any party or intervenor not represented and upon counsel
				for the department. Certification of such service shall be endorsed on all
				documents when filed with the commissioner or presiding officer.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-14 - Activities of former commissioners and employees

Current through July 10, 2024
Former commissioners, deputy commissioners and employees of
				  the department shall comply with section
				  1-84b
				  of the Connecticut General Statutes regarding restrictions on activities of
				  former public officials and employees.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-15 - Witnesses and subpoenas

Current through July 10, 2024
The commissioner or any authorized employee of the department
				  may at any time summon and examine under oath such witnesses and may direct the
				  production and examination of such books, records, financial statements,
				  vouchers, memoranda, documents, correspondence, agreements, diaries, logs,
				  notes, ledgers, journals, visual, audio, magnetic or electronic recordings,
				  computer printouts and software, contracts or other papers relative to the
				  affairs of any person subject to the general supervision of the commissioner,
				  as the commissioner finds advisable.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 1 - GENERAL › Section 36a-1-16 - Rights of witnesses

Current through July 10, 2024
(a) Any person who
				appears and testifies in a deposition or a contested case may be accompanied,
				represented and advised by counsel. The right to be accompanied, represented
				and advised by counsel means the right of a person testifying to have counsel
				present at all times while testifying and to have counsel:
(1) Advise the person before and after the
				conclusion of testimony;
(2)
				Question the person briefly at the conclusion of testimony to clarify any of
				the answers given; and
(3) Make
				summary notes during the testimony solely for the use of the person.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-19 - Scope

Current through July 10, 2024
Except as otherwise required by law, the rules of practice
				  govern practice and procedure applicable to contested cases under titles 36a
				  and 36b and all other laws within the jurisdiction of the commissioner
				  including:
(1) Proceedings under
				section
				36a-24 of the
				Connecticut General Statutes;
(2)
				Civil penalty proceedings under section
				36a-50
				of the Connecticut General Statutes;
(3) Suspension, revocation or refusal to
				renew license proceedings under section
				36a-51
				of the Connecticut General Statutes;
(4) Cease and desist proceedings under
				section
				36a-52 of
				the Connecticut General Statutes;
(5) Removal proceedings under section
				36a-53
				of the Connecticut General Statutes;
(6) Proceedings to organize a Connecticut
				bank under section
				36a-70
				of the Connecticut General Statutes;
(7) Hearings concerning an application by a
				Connecticut bank for a name change under section
				36a-82
				of the Connecticut General Statutes;
(8) Proceedings under subdivision (4) of
				subsection (d) of section
				36a-684
				of the Connecticut General Statutes;
(9) Denial, suspension, revocation or
				cancellation of registration proceedings under section
				36b-15
				of the Connecticut General Statutes;
(10) Stop order proceedings under section
				36b-20
				of the Connecticut General Statutes;
(11) Denial or revocation of exemption
				proceedings under section
				36b-21
				of the Connecticut General Statutes;
(12) Cease and desist, restitution,
				disgorgement and fine proceedings under section
				36b-27
				of the Connecticut General Statutes;
(13) Hearings concerning tender offers under
				section
				36b-44
				of the Connecticut General Statutes;
(14) Stop order proceedings under section
				36b-68
				of the Connecticut General Statutes; and
(15) Cease and desist and fine proceedings
				under section
				36b-72
				of the Connecticut General Statutes.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-20 - Commencement of contested case

Current through July 10, 2024
A matter that is a contested case by operation of law
				  commences when the agency so designates, but in no event not later than the
				  date when the commissioner issues a notice of hearing in accordance with
				  section
				  4-177
				  of the Connecticut General Statutes.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-21 - Notice of hearings

Current through July 10, 2024
(a) All notices of
				hearing in all contested cases shall comply with the provisions of subsection
				(b) of section
				4-177
				of the Connecticut General Statutes.
(b) Unless otherwise provided by statute,
				notice of a hearing shall be given at least fourteen days prior to the
				hearing.
(c) The commissioner may
				issue a notification of hearing and designation of hearing officer that
				acknowledges receipt of a request for a hearing, designates a presiding officer
				and sets the date of the hearing.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-22 - Amendment of notice of hearing

Current through July 10, 2024
The commissioner may amend the notice of hearing at any stage
				  of the contested case prior to the close of evidence. The presiding officer
				  shall provide parties and intervenors with notice of the amendment and shall
				  provide them with sufficient time to prepare their case in light of the
				  amendment. A party that has requested a hearing on the original notice need not
				  request a hearing on the amended notice and any such hearing shall proceed on
				  the amended notice as if it were the original notice.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-24 - Bill of particulars

Current through July 10, 2024
Not later than seven days after a party requests a hearing in
				  a contested case, the party may apply to the presiding officer for a bill of
				  particulars containing a more definite and detailed statement of any facts
				  alleged. If the presiding officer determines that a more definite and detailed
				  statement of any facts alleged is necessary or appropriate, a bill of
				  particulars shall be prepared as directed by the presiding officer and served
				  on all parties and intervenors.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-25 - Hearings

Current through July 10, 2024
(a) A hearing shall be held in all contested
				cases whenever required by statute, when requested by any party that files a
				notice of appearance and a request for a hearing, and otherwise as the
				commissioner may authorize pursuant to section
				36a-24 of the
				Connecticut General Statutes.
(b)
				Hearings shall be conducted in accordance with the contested case provisions of
				the Uniform Administrative Procedure Act, chapter 54, sections
				4-177
				to
				4-182,
				inclusive, of the Connecticut General Statutes.
(c) All hearings shall be open to the public,
				except that the presiding officer may hold an executive session as provided in
				subsection (f) of section
				1-225
				of the Connecticut General Statutes.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-26 - Recording, broadcasting or photographing hearings

Current through July 10, 2024
Any person may record, photograph, broadcast or record for
				  broadcast any part of a hearing that is open to the public, in accordance with
				  the provisions of subsection (a) of section
				  1-226
				  of the Connecticut General Statutes, provided such person notifies the
				  commissioner at least five days prior to the commencement of the hearing and
				  the recording or broadcasting would not so disturb the hearing as to impair any
				  person's ability to hear or be heard or to present evidence or argument. In
				  order to minimize disruption of the hearing, the presiding officer may impose
				  reasonable limits on any person engaged in recording, photographing,
				  broadcasting or recording for broadcast. Any such recordings shall not be
				  deemed to be an official record of the hearing.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-27 - Powers of the presiding officer

Current through July 10, 2024
The presiding officer shall have all the powers necessary to
				  conduct the proceeding in a fair and impartial manner and to avoid unnecessary
				  delay. The powers of the presiding officer include, but are not limited to, the
				  following:
(1) Administering oaths and
				affirmations;
(2) Issuing subpoenas
				as authorized by section
				4-177b
				of the Connecticut General Statutes and section
				36a-1-42 of the
				Regulations of Connecticut State Agencies and quashing or modifying any such
				subpoenas;
(3) Regulating the
				course of the hearing and the conduct of the parties and their counsel or
				representative, including the power to receive relevant, material and
				nonrepetitious evidence, rule upon the admissibility of evidence and offers of
				proof, and exclude or suspend a party's counsel or representative from the
				proceedings for dilatory, obstructionist, egregious, contemptuous or
				contumacious conduct;
(4)
				Scheduling and holding prehearing conferences and conferences prior to and
				during the course of a hearing as set forth in section
				36a-1-41 of the
				Regulations of Connecticut State Agencies;
(5) Considering and ruling upon all
				procedural and other motions appropriate in a proceeding, including petitions
				to add a party or intervenor pursuant to section
				4-177a
				of the Connecticut General Statutes, provided only the commissioner shall have
				the power to grant any motion to dismiss the matter or to decide any other
				motion that requires a final determination on the merits of the
				proceeding;
(6) Recusing for bias
				or conflict of interest himself or herself on a motion made by the presiding
				officer, a party or the department;
(7) Establishing time, place and manner
				limitations on the attendance of the public and the media for any public
				hearing;
(8) Preparing and
				presenting to the commissioner a proposed decision pursuant to section
				4-179
				of the Connecticut General Statutes; and
(9) Performing all other functions necessary
				and appropriate to discharge the duties of a presiding officer.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-28 - Consolidation and severance

Current through July 10, 2024
(a) The presiding
				officer may, for good cause, upon the presiding officer's own motion or upon
				motion by a party or the department, consolidate proceedings involving related
				questions of law or fact.
(b) The
				presiding officer may, for good cause, upon the presiding officer's own motion
				or upon motion by a party or the department, sever the proceeding for separate
				resolution of the matter as to any party or issue. In determining whether to
				sever the proceeding, the presiding officer shall consider whether any undue
				prejudice or injustice that would result from not severing the proceeding
				outweighs the interests of judicial economy and expeditiousness in the complete
				and final resolution of the proceeding.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-29 - Motions

Current through July 10, 2024
(a)
(1) A
				motion may be made in writing or orally, unless the presiding officer directs
				that such motion be reduced to writing.
(2) All written motions shall state with
				particularity the relief sought and may be accompanied by a proposed
				order.
(3) No oral arguments may be
				held on written motions except as otherwise directed by the presiding officer.
				Written memoranda, briefs, affidavits or other relevant materials or documents
				may be filed in support of or in opposition to a motion.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-30 - Continuances

Current through July 10, 2024
The presiding officer may continue the hearing on the motion
				  of the presiding officer, any party or the department on such terms as the
				  presiding officer may require. A hearing may be continued three times prior to
				  the commencement of a hearing. The presiding officer may grant any additional
				  requests for a continuance for settlement purposes or in the event that the
				  denial of a continuance request would substantially prejudice a party's or the
				  department's case.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-31 - Failure to request or appear at a hearing

Current through July 10, 2024
(a)
				When a party fails to request a hearing within the time specified in the
				notice, the allegations against the party may be deemed admitted. Without
				further proceedings or notice to the party, the commissioner shall issue a
				final decision in accordance with section
				4-180
				of the Connecticut General Statutes and section
				36a-1-52 of the
				Regulations of Connecticut State Agencies, provided the commissioner may, if
				deemed necessary, receive evidence from the department, as part of the record,
				concerning the appropriateness of the amount of any civil penalty, fine,
				restitution or disgorgement sought in the notice.
(b) When a party fails to appear at a
				scheduled hearing, the allegations against the party may be deemed admitted.
				Without further proceedings or notice to the party, the presiding officer shall
				submit to the commissioner a proposed final decision containing the relief
				sought in the notice, provided the presiding officer may, if deemed necessary,
				receive evidence from the department, as part of the record, concerning the
				appropriateness of the amount of any civil penalty, fine or restitution sought
				in the notice. The commissioner shall issue a final decision in accordance with
				section
				4-180
				of the Connecticut General Statutes and section
				36a-1-52 of the
				Regulations of Connecticut State Agencies.
(c) A party that failed to request or appear
				at a hearing may file a petition for reconsideration of a final decision
				pursuant to section
				4-181a
				of the Connecticut General Statutes and section
				36a-1-53 of the
				Regulations of Connecticut State Agencies.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-32 - Appearances and withdrawals

Current through July 10, 2024
(a) Attorneys duly
				admitted to practice law in the state of Connecticut and in good standing may
				represent others before the department.
(b) Attorneys in good standing from other
				jurisdictions may request and, for good cause shown, be allowed to appear in a
				contested case, provided an attorney admitted to practice in Connecticut is
				present during the entire proceeding, signs all pleadings and other papers
				filed in the proceeding and agrees to take full responsibility for supervising
				the conduct of the attorney.
(c) An
				individual may appear on his or her own behalf in a contested case; a partner,
				member or manager of a partnership or limited liability company may appear and
				represent the partnership or limited liability company; and a duly authorized
				officer, director or employee of any agency, institution, corporation or
				authority may appear and represent the agency, institution, corporation or
				authority.
(d) Each person making
				an appearance before the commissioner as counsel or representative in
				connection with any contested case shall promptly notify the commissioner or
				presiding officer in writing by filing a notice of appearance at or before the
				time such person submits papers or otherwise appears on behalf of a party in
				the contested case. The notice of appearance shall include a declaration that
				the individual is currently qualified as provided in this section and is
				authorized to represent and accept service on behalf of the represented
				party.
(e) Any party acting pro se
				shall so notify the commissioner or presiding officer in writing by filing a
				notice of appearance with the commissioner.
(f) After a notice of appearance is filed by
				a party, counsel or representative, copies of all subsequent pleadings,
				notices, rulings or decisions shall be provided to the person named in the
				notice of appearance and designated to represent the department.
(g) A person that has filed a notice of
				appearance may withdraw the notice of appearance by filing a written notice of
				withdrawal with the presiding officer and by providing a copy to all parties,
				intervenors and the department.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-33 - Ex parte communications

Current through July 10, 2024
(a) For purposes of
				this section, an "ex parte communication" means a communication prohibited by
				section
				4-181
				of the Connecticut General Statutes. "Ex parte communication" does not include
				inquiries about the status of a proceeding or administrative functions or
				procedures.
(b) If an ex parte
				communication occurs between the time the commissioner issues a notice of
				hearing and the time the final decision is issued by the commissioner, the
				presiding officer shall cause such written communication, or if the
				communication is oral, a memorandum stating the substance of the communication,
				to be placed on the record of the proceeding and served on all parties and the
				department who shall have an opportunity to promptly file a response to the
				written communication or memorandum with the presiding officer, and to
				recommend any sanctions in accordance with subsection (c) of this section that
				such parties or the department believe to be appropriate under the
				circumstances.
(c) Any party or any
				party's counsel or representative who makes an ex parte communication, or who
				encourages or solicits another to make any such communication, may be subject
				to any appropriate sanction imposed by the commissioner or the presiding
				officer, including, but not limited to, exclusion from the proceedings and an
				adverse ruling on the issue which is the subject of the prohibited
				communication.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-34 - Record in a contested case

Current through July 10, 2024
In a contested case, the agency shall create a record of the
				  proceeding in accordance with subsection (d) of section
				  4-177
				  of the Connecticut General Statutes.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-35 - Requests for inspection and copying

Current through July 10, 2024
(a) In a contested
				case, a party, the department or an intervenor who pursuant to section
				4-177a
				of the Connecticut General Statutes has been granted the right to inspect and
				copy records by the presiding officer, may, in accordance with section
				4-177c
				of the Connecticut General Statutes and the provisions of this section, inspect
				and copy records, papers and documents relevant and material to the subject
				matter of the proceeding, except as otherwise provided by federal law or any
				other provision of the Connecticut General Statutes. A request to inspect or
				copy records made upon or by an intervenor shall be limited as defined by the
				presiding officer pursuant to section
				4-177a
				of the Connecticut General Statutes.
(b) At the earliest possible time in a
				contested case, a party, the department or an intervenor granted the right to
				inspect and copy records may serve upon any other party, intervenor or the
				department a request to inspect or copy designated records, papers and
				documents in the possession, custody or control of the requestee. A person who
				files a petition for intervenor or party status not more than ten calendar days
				prior to the commencement of a hearing and who wishes to serve a request to
				inspect or copy records, papers or documents shall serve the request at the
				same time the petition is filed.
(c) The request shall clearly designate the
				items to be inspected either individually or by category and shall specify a
				reasonable time, place and manner of making the inspection or copies.
(d) The requester shall file a notice with
				the presiding officer which states that the requester has served a request for
				inspection or copying, the name of the requestee that has been served and the
				date service was made.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-36 - Responses to requests for inspection and copying; objections

Current through July 10, 2024
(a) The requestee to whom the request for
				inspection or copying is directed pursuant to section
				36a-1-35
				of the Regulations of Connecticut State Agencies shall serve a written response
				upon the requester not more than thirty calendar days after the filing of the
				notice required by subsection (d) of section
				36a-1-35
				of the Regulations of Connecticut State Agencies, or not more than thirty
				calendar days after the mailing by the presiding officer of a notice that the
				requestee has been made a party or intervenor with inspection and copying
				rights, whichever is later, unless the requester or, upon motion, the presiding
				officer allows a longer time.
(b)
				The response shall state, with respect to each item or category, that
				inspection and copying will be permitted as requested, unless the request or
				any part of the request is objected to, in which event the reasons for
				objection shall be stated in the response. Objection by a requestee to certain
				parts of the request shall not relieve that requestee from the obligation to
				respond to those portions to which no objection was made within the thirty-day
				period.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-37 - Motions for compliance

Current through July 10, 2024
(a) A requester
				serving a request for inspection and copying pursuant to section
				36a-1-35
				of the Regulations of Connecticut State Agencies may move for an order by the
				presiding officer under this section to require the production of those
				records, papers and documents not provided by the requestee or with respect to
				any disagreement over objections filed to the request.
(b) If the presiding officer orders
				compliance as to any part of a request for inspection and copying, compliance
				with the order shall be made at the time set by the presiding
				officer.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-38 - Rulings on motions for compliance

Current through July 10, 2024
(a) The presiding
				officer shall consider the following factors in ruling on a motion for
				compliance with a request to inspect or copy records, papers and documents:
(1) The timeliness of the request or the
				motion for compliance, and whether granting the request would prejudice any
				party, intervenor or the department, or would interfere with the orderly
				conduct of the proceedings;
(2) The
				relevance and materiality of the requested material;
(3) The failure of the requestee to file
				timely and proper objections;
(4)
				The existence of any privilege or other bar to disclosure pursuant to federal
				or state law; and
(5) Any other
				relevant factors.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-39 - Failure to comply with an order on a motion for compliance

Current through July 10, 2024
(a) If a requestee fails to comply with an
				order of the presiding officer requiring production of records, papers and
				documents, the presiding officer may make such orders as the ends of justice
				require. Such orders may include the following:
(1) The entry of an order that the matters
				relating to the records, papers or documents sought or other related facts
				shall be taken to be established for the purposes of the action in accordance
				with the claim of the requester;
(2) The entry of an order prohibiting the
				requestee from introducing designated matters or items into evidence;
(3) The limitation of participation by the
				requestee in the hearing on issues or facts relating to the records, papers or
				documents sought; and
(4) An
				adverse ruling on the issue that is the subject of the request.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-40 - Continuing duty to disclose

Current through July 10, 2024
(a) If after
				complying with any request for the inspection and copying of records, papers
				and documents pursuant to section
				4-177c
				of the Connecticut General Statutes and section
				36a-1-35
				of the Regulations of Connecticut State Agencies, and prior to or during a
				hearing, a requestee discovers additional or new material or information
				previously requested or discovers that prior compliance was totally or
				partially incorrect, or though correct when made is no longer correct, the
				requestee shall promptly notify the requester and shall file and serve a
				supplemental or corrected response not more than five days after such discovery
				to the requester that made the initial request.
(b) A requester may file a motion for
				sanctions with the presiding officer if a requestee fails to comply with
				subsection (a) of this section. The presiding officer may issue such orders or
				sanctions as the ends of justice require, including those specified in
				subsection (a) of section
				36a-1-39
				of the Regulations of Connecticut State Agencies.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-41 - Conferences

Current through July 10, 2024
(a) Prior to the hearing, the parties, the
				department and their counsel or representative may meet with the presiding
				officer, at the direction of the presiding officer or by mutual consent, in
				person at a specified time and place or confer with the presiding officer by
				telephone for the purpose of scheduling the course and conduct of the
				proceeding. The identification of potential witnesses, the time for and manner
				of inspecting and copying documents, and the exchange of any prehearing
				materials including witness lists, exhibits and any other materials may also be
				determined at the scheduling conference.
(b) The presiding officer may, in addition to
				the scheduling conference, upon motion by the presiding officer, any party or
				the department, order the parties, the department and their counsel or
				representative to meet with the presiding officer in person or by telephone at
				a prehearing conference or may recess the hearing to address any or all of the
				following:
(1) Simplification and
				clarification of the issues;
(2)
				Exchange of witness and exhibit lists and copies of exhibits;
(3) Stipulations, admissions of fact, and the
				contents, authenticity and admissibility into evidence of documents;
(4) Matters of which official notice may be
				taken pursuant to section
				4-178
				of the Connecticut General Statutes and subsection (e) of section
				36a-1-46 of the
				Regulations of Connecticut State Agencies;
(5) Issues relating to witnesses and
				exhibits;
(6) Summary disposition
				of any and all issues;
(7)
				Resolution of document production issues or disputes;
(8) Amendments to pleadings; and
(9) Such other matters as may aid in the
				orderly disposition of the proceeding.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-42 - Hearing subpoenas

Current through July 10, 2024
(a)
(1) Upon application for a hearing subpoena
				by a pro se party or pro se intervenor showing general relevance and
				reasonableness of scope of the testimony or other evidence sought, the
				presiding officer may issue a subpoena requiring the attendance of a witness at
				the hearing or the production of documentary or physical evidence at such
				hearing. The application for the hearing subpoena may also contain a proposed
				subpoena specifying the attendance of a witness or the production of evidence
				at any designated place where the hearing is being conducted.
(2) If a pro se party applies for a hearing
				subpoena during a hearing, such application may be made orally on the record
				before the presiding officer.
(3)
				If the presiding officer grants an application for a hearing subpoena requested
				pursuant to this section, the presiding officer shall promptly issue the
				hearing subpoena. If the presiding officer determines that the application does
				not set forth a valid basis for the issuance of the subpoena, or that any of
				its terms are unreasonable, vague, oppressive, excessive in scope or unduly
				burdensome, the presiding officer may refuse to issue the subpoena or may issue
				it in modified form.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-43 - Conduct of hearings

Current through July 10, 2024
(a) Hearings shall
				be conducted so as to provide a fair and expeditious presentation of the
				relevant disputed issues. The department and each party has the right to
				present its case or defense by oral examination and documentary evidence and to
				conduct such cross-examination as may be required for full disclosure of the
				facts.
(b) The department shall
				present its case-in-chief first, unless otherwise ordered by the presiding
				officer or expressly specified by law. The department shall be the first to
				present an opening statement and a closing statement, and may make a rebuttal
				statement after the party's closing statement or, in the case of multiple
				parties, after the closing statements of all parties.
(c) The commissioner or presiding officer
				may, at any time prior to the rendering of a final decision, reopen the hearing
				upon the motion of the commissioner, presiding officer, any party or the
				department for good cause shown. The parties, intervenors and the department
				shall be notified of the reopening and the hearing shall be convened not less
				than five days after the sending of such notice unless waived by the parties
				and the department.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-44 - Recording of hearings

Current through July 10, 2024
All hearings shall be recorded either stenographically or
				  electronically. The presiding officer shall serve notice upon the department
				  and all parties of receipt of the certified transcript. Any party may request a
				  copy of the transcript from the court reporter and such copy shall be made
				  available to any party upon payment of the cost of the
				  transcript.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-45 - Transcript corrections

Current through July 10, 2024
The presiding officer shall have the authority to order the
				  transcript corrected upon a motion to correct, upon stipulation of the
				  department and the parties, or upon the presiding officer's own motion
				  following notice to the department and the parties. The presiding officer may
				  call for the submission of proposed corrections and may order the corrections
				  at appropriate times during the course of the proceedings. Corrections in the
				  official transcript may be made only to make it conform to the evidence
				  presented at the hearing. Transcript corrections may be incorporated into the
				  record at any time during the hearing or after the close of evidence, but not
				  more than ten days from the date of receipt of the transcript by the presiding
				  officer.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-46 - Evidence

Current through July 10, 2024
(a) The rules of evidence shall be as
				prescribed in section
				4-178
				of the Connecticut General Statutes.
(b) The presiding officer may allow witnesses
				to use existing or newly created charts, exhibits, calendars, calculations,
				outlines or other graphic material to summarize, illustrate or simplify the
				presentation of testimony, provided that upon request by the presiding officer,
				a party or the department, the witness shall provide the books, papers,
				documents or sources from which the information contained in such materials is
				derived prior to its use or admission as evidence.
(c) Formal exceptions to rulings on evidence
				and procedure are unnecessary. It is sufficient that a party or the department,
				at the time a ruling of the presiding officer is made or sought, makes known to
				the presiding officer the action that the party or the department desires taken
				or the objections to such action and the grounds for such action or objection.
				Failure to object to the admission of evidence or any ruling constitutes a
				waiver of the objection.
(d) Any
				offer of proof made in connection with an objection taken to a ruling of the
				presiding officer rejecting or excluding proffered oral testimony shall consist
				of a statement of the substance of the evidence that would be adduced by such
				testimony. If the excluded evidence consists of evidence in documentary or
				written form or refers to documents or records, a copy of such evidence shall
				be marked for identification and shall constitute the offer of proof.
(e) Pursuant to subdivision (6) of section
				4-178
				of the Connecticut General Statutes, the presiding officer may take
				administrative notice of judicially cognizable facts and generally recognized
				technical or scientific facts within the agency's specialized
				knowledge.
(f) The presiding
				officer shall afford the parties and the department an opportunity to contest
				the material noticed before or during the hearing.
(g) The presiding officer and the
				commissioner shall have the authority to employ the agency's experience,
				technical competence and specialized knowledge in evaluating the evidence
				presented at the hearing for the purpose of making findings of fact and
				arriving at a decision in any contested case.
(h) The parties and the department may
				stipulate as to any relevant matters of fact or the authentication of any
				relevant documents that may be entered as evidence at the commencement of or
				during the hearing.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-47 - In camera inspection and nonpublic information

Current through July 10, 2024
(a)
				Any party or the department may file a motion with the presiding officer
				requesting an in camera inspection of any document claimed to be exempt from
				disclosure in a contested case or confidential, and the presiding officer may
				order and make such an inspection to determine whether or not such document is
				exempt from disclosure or confidential. If an in camera inspection is ordered,
				the person having custody of the document claimed to be exempt or confidential
				shall submit a copy of the document to the presiding officer.
(b) If the presiding officer determines that
				a document filed in connection with a proceeding is confidential, the presiding
				officer may continue the hearing in executive session and shall provide
				adequate safeguards designed to prevent further dissemination of such document
				in accordance with law, including making any proper order for its
				protection.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-48 - Filing of additional evidence

Current through July 10, 2024
At any stage of the hearing, the commissioner or presiding
				  officer may call for further evidence upon any issue and require that such
				  evidence be produced by the party or parties concerned or by the department, or
				  may authorize any party or the department to file specific documentary evidence
				  as part of the record, either at the hearing or within a specified time,
				  provided every other party and the department shall be afforded a reasonable
				  opportunity to review and rebut or object to such evidence.
Connecticut Administrative Code › Title 36a - The Banking Law of Connecticut › 1 - Administrative Procedures › Article 2 - RULES OF PRACTICE IN CONTESTED CASES › Section 36a-1-49 - Briefs

Current through July 10, 2024
Briefs may be filed by a party or the department either
				  before or during the course of a hearing or within such time as the
				  commissioner or presiding officer designates. Failure to file a brief shall in
				  no way prejudice the rights of any party or the department. The order of filing
				  briefs or reply briefs shall be designated by the presiding officer. The
				  presiding officer shall provide the parties and the department at least seven
				  days to file a brief after it is requested. A party or the department may
				  request an extension of the briefing schedule set by the presiding officer
				  prior to the due date. Late briefs may be returned by the presiding officer to
				  the filing party or the department.