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 1-92-24 - Evaluations

Current through July 10, 2024
(a) Prior to the filing of a complaint, the
				  ethics enforcement officer may conduct an evaluation of any person or entity
				  for the purpose of determining whether there is probable cause to believe that
				  the person or entity has violated the Codes of Ethics. An evaluation may begin
				  at any time that the enforcement division has reasonable suspicion that a
				  violation of the Codes of Ethics has occurred, but in any event no later than
				  the date on which the enforcement division contacts a third party for
				  information regarding the subject of the investigation.
(b) During the course of an evaluation, the
				  ethics enforcement officer may request information, including documents from
				  any person believed to be in possession of information relevant to the
				  evaluation. The ethics enforcement officer or his or her designee may, during
				  the course of an evaluation, meet with any person believed to be in possession
				  of relevant information, conduct investigative or research tasks as deemed
				  necessary and appropriate, and may otherwise collect information and evidence
				  from the potential respondent(s) and other potential witnesses.
(c) Within five business days after the
				  enforcement division of the Office of State Ethics first has contact with a
				  third party that involves the disclosure of information concerning the matter
				  sufficient to permit identification of the subject, notice shall be given to
				  the subject of the evaluation as required by section 1-82(a) or section 1-93(a)
				  of the Connecticut General Statutes. The notice shall state the fact of the
				  evaluation; advise that the evaluation is confidential unless the subject
				  requests in writing that it be public; and, in general terms, identify the
				  possible violation or violations of the Codes of Ethics under review.
(d) The ethics enforcement officer may
				  terminate any evaluation upon his or her determination that there is not
				  probable cause to believe that a violation of the Codes of Ethics has occurred.
				  If, prior to such determination, a notice of evaluation has been given to the
				  subject of the evaluation pursuant to subsection (c) of this section, the
				  ethics enforcement officer shall, upon his or her determination of no probable
				  cause, notify the subject that the evaluation has been terminated.
(e) Any investigation conducted as a result
				  of reports received by the enforcement division pursuant to section 1-101pp of
				  the Connecticut General Statutes shall be deemed to be an evaluation of the
				  person or entity about whom the report is made. The enforcement division's
				  receipt of information from a report filed pursuant to section 1-101pp of the
				  Connecticut General Statutes shall not be deemed to be contact with a third
				  party pursuant to sections 1-82(a) or 1-93(a). The confidentiality provisions
				  of section 1-82a of the Connecticut General Statutes shall not apply to the
				  reporting agency's subsequent disclosure of information to:
(1) the Auditor of Public Accounts;
(2) the Chief State's Attorney;
(3) the Attorney General;
(4) the United States Attorney;
(5) to others within the reporting agency,
				  where the failure to do so would substantially impair the agency's ability to
				  operate; or
(6) any other person
				  that is entitled, by statute or court order, to receive such information.
				  Nothing herein shall prohibit the reporting agency from conducting normal,
				  legal business relations with the subject of a report.