Section 1-92-24b - Preliminary investigations(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.(e) In the conduct of a preliminary investigation, the enforcement division may issue an investigative demand upon any person or entity 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. The investigative demand shall set forth questions to be answered, under oath, by the recipient, and provide sufficient space following each question for the answerer to insert the answer to the question.(f) The enforcement division may terminate a preliminary investigation at any time prior to the conclusion of a probable cause hearing if it determines that probable cause is not likely to be found on the facts available to the enforcement division or if the ethics enforcement officer determines it is not in the State's best interest to proceed with the preliminary investigation. Not later than three business days after termination of the preliminary investigation the Office of State Ethics will notify the complainant and the respondent of its finding and provide them a summary of its reasons for making that finding. The Office of State Ethics shall publish the finding upon the respondent's request and may also publish a summary of its reasons for making such finding. Any such publication shall be within thirty days after receipt of the respondent's request, which request shall be addressed to the ethics enforcement officer, in writing.(g) As soon as the board determines that any person may have knowingly acted in his or her financial interest in violation of sections 1-84, 1-85, 1-86 or 1-86d of the Connecticut General Statutes, or that any person may have knowingly received a financial advantage resulting from a violation of those sections, it shall inform the Attorney General of that possibility. The board's determination that there is a possibility of illegal gain may be made in the course of a preliminary investigation or during subsequent proceedings.Conn. Agencies Regs. § 1-92-24b
Effective January 1, 1984; Amended January 2, 2008; Amended June 24, 2009; amended 5/11/2023