Sec. 1-82. Complaints. Procedure. Time limits. Investigation; notice; hearings. Attorneys' fees. Damages for complaints without foundation.
Sec. 1-82. Complaints. Procedure. Time limits. Investigation; notice; hearings. Attorneys' fees. Damages for complaints without foundation. (a)(1) Upon the
complaint of any person on a form prescribed by the board, signed under penalty of
false statement, or upon its own complaint, the ethics enforcement officer of the Office
of State Ethics shall investigate any alleged violation of this part or section 1-101nn.
Not later than five days after the receipt or issuance of such complaint, the board shall
provide notice of such receipt or issuance and a copy of the complaint by registered or
certified mail to any respondent against whom such complaint is filed and shall provide
notice of the receipt of such complaint to the complainant. When the ethics enforcement
officer of the Office of State Ethics undertakes an evaluation of a possible violation of
this part or section 1-101nn prior to the filing of a complaint, the subject of the evaluation
shall be notified not later than five business days after an Office of State Ethics staff
member's first contact with a third party concerning the matter.
(2) In the conduct of its investigation of an alleged violation of this part or section
1-101nn, the Office of State Ethics shall have the power to hold hearings, administer
oaths, examine witnesses and receive oral and documentary evidence. The Office of
State Ethics may subpoena witnesses under procedural rules adopted by the Citizen's
Ethics Advisory Board as regulations in accordance with the provisions of chapter 54
to compel attendance before the Office of State Ethics and to require the production for
examination by the ethics enforcement officer of the Office of State Ethics of any books
and papers which the Office of State Ethics deems relevant in any matter under investigation or in question, provided any such subpoena is issued either pursuant to a majority
vote of the Citizen's Ethics Advisory Board or pursuant to the signature of the chairperson of such board. The vice-chairperson of such board may sign any such subpoena if
the chairperson of such board is unavailable. In the exercise of such powers, the Office
of State Ethics may use the services of the state police, who shall provide the same upon
the office's request. The Office of State Ethics shall make a record of all proceedings
conducted pursuant to this subsection. The ethics enforcement officer of the Office of
State Ethics may bring any alleged violation of this part before a judge trial referee
assigned by the Chief Court Administrator for such purpose for a probable cause hearing.
Such judge trial referee shall be compensated in accordance with the provisions of section 52-434 from such funds as may be available to the Office of State Ethics. Any
witness summoned before the Office of State Ethics or a judge trial referee pursuant to
this subsection shall receive the witness fee paid to witnesses in the courts of this state.
During any investigation conducted pursuant to this subsection or any probable cause
hearing conducted pursuant to this subsection, the respondent shall have the right to
appear and be heard and to offer any information which may tend to clear the respondent
of probable cause to believe the respondent has violated any provision of this part or
section 1-101nn. The respondent shall also have the right to be represented by legal
counsel and to examine and cross-examine witnesses. Not later than ten days prior to
the commencement of any hearing conducted pursuant to this subsection, the Office of
State Ethics shall provide the respondent with a list of its intended witnesses. Any finding
of probable cause to believe the respondent is in violation of any provisions of this part
shall be made by a judge trial referee not later than thirty days after the ethics enforcement
officer brings such alleged violation before such judge trial referee, except that such
thirty-day limitation period shall not apply if the judge trial referee determines that good
cause exists for extending such limitation period.
(b) If a judge trial referee determines that probable cause exists for the violation of
a provision of this part or section 1-101nn, the board shall initiate hearings to determine
whether there has been a violation of this part or section 1-101nn. Any such hearing
shall be initiated by the board not later than thirty days after the finding of probable
cause by a judge trial referee and shall be concluded not later than ninety days after its
initiation, except that such thirty or ninety-day limitation period shall not apply if the
judge trial referee determines that good cause exists for extending such limitation period.
A judge trial referee, who has not taken part in the probable cause determination on the
matter shall be assigned by the Chief Court Administrator and shall be compensated in
accordance with section 52-434 out of funds available to the Office of State Ethics and
shall preside over such hearing and rule on all issues concerning the application of the
rules of evidence, which shall be the same as in judicial proceedings. The trial referee
shall have no vote in any decision of the board. All hearings of the board held pursuant
to this subsection shall be open. At such hearing the board shall have the same powers
as the Office of State Ethics under subsection (a) of this section and the respondent shall
have the right to be represented by legal counsel, the right to compel attendance of
witnesses and the production of books, documents, records and papers and to examine
and cross-examine witnesses. Not later than ten days prior to the commencement of any
hearing conducted pursuant to this subsection, the Office of State Ethics shall provide
the respondent with a list of its intended witnesses. The judge trial referee shall, while
engaged in the discharge of the duties as provided in this subsection, have the same
authority as is provided in section 51-35 over witnesses who refuse to obey a subpoena
or to testify with respect to any matter upon which such witness may be lawfully interrogated, and may commit any such witness for contempt for a period no longer than thirty
days. The Office of State Ethics shall make a record of all proceedings pursuant to this
subsection. During the course of any such hearing, no ex-parte communication shall
occur between the board, or any of its members, and: (1) The judge trial referee, or (2)
any staff member of the Enforcement Division of the Office of State Ethics, concerning
the complaint or the respondent. The board shall find no person in violation of any
provision of this part or section 1-101nn except upon the concurring vote of six of its
members present and voting. No member of the board shall vote on the question of
whether a violation of any provision of this part has occurred unless such member was
physically present for the duration of any hearing held pursuant to this subsection. Not
later than fifteen days after the public hearing conducted in accordance with this subsection, the board shall publish its finding and a memorandum of the reasons therefor. Such
finding and memorandum shall be deemed to be the final decision of the board on the
matter for the purposes of chapter 54. The respondent, if aggrieved by the finding and
memorandum, may appeal therefrom to the Superior Court in accordance with the provisions of section 4-183.
(c) If a judge trial referee finds, after a hearing pursuant to this section, that there
is no probable cause to believe that a public official or state employee has violated a
provision of this part or section 1-101nn, or if the board determines that a public official
or state employee has not violated any such provision, or if a court of competent jurisdiction overturns a finding by the board of a violation by such a respondent, the state shall
pay the reasonable legal expenses of the respondent as determined by the Attorney
General or by the court if appropriate. If any complaint brought under the provisions
of this part or section 1-101nn is made with the knowledge that it is made without
foundation in fact, the respondent shall have a cause of action against the complainant
for double the amount of damage caused thereby and if the respondent prevails in such
action, he may be awarded by the court the costs of such action together with reasonable
attorneys' fees.
(d) No complaint may be made under this section later than five years after the
violation alleged in the complaint has been committed.
(e) No person shall take or threaten to take official action against an individual for
such individual's disclosure of information to the board or the general counsel, ethics
enforcement officer or staff of the Office of State Ethics under the provisions of this
part or section 1-101nn. After receipt of information from an individual under the provisions of this part or section 1-101nn, the Office of State Ethics shall not disclose the
identity of such individual without such individual's consent unless the Office of State
Ethics determines that such disclosure is unavoidable during the course of an investigation. No person shall be subject to civil liability for any good faith disclosure that such
person makes to the commission.
(P.A. 77-600, S. 4, 15; 77-605, S. 16, 21; 77-614, S. 486, 587, 610; P.A. 78-303, S. 85, 136; P.A. 79-493, S. 4, 9; P.A.
81-296, S. 1; P.A. 83-249, S. 5, 14; 83-586, S. 2, 14; June Sp. Sess. P.A. 83-15, S. 1, 2; P.A. 84-52, S. 1; 84-519, S. 1; P.A.
85-290, S. 1; June 12 Sp. Sess. P.A. 91-1, S. 14; P.A. 92-29, S. 1; P.A. 94-132, S. 1; P.A. 96-37, S. 1; P.A. 04-38, S. 1;
04-198, S. 3; 04-204, S. 4; P.A. 05-183, S. 6; 05-287, S. 39; June 11 Sp. Sess. P.A. 08-3, S. 16.)
History: P.A. 77-605 removed subpoena power and permission to use services of state police from investigation process
in Subsec. (a) and placed these provisions in Subsec. (c) under the hearing process; P.A. 77-614 and P.A. 78-303 placed
the state police within the department of public safety, effective January 1, 1979; P.A. 79-493 required concurring vote of
four members for finding of probable cause; P.A. 81-296 added Subsec. (e) establishing a three-year time limit for complaints; P.A. 83-249 made technical change in Subsec. (a); P.A. 83-586 amended Subsec. (b) by adding provisions concerning publication of commission findings and confidentiality of record; June Sp. Sess. P.A. 83-15 amended Subsec. (d) to
provide for state reimbursement of legal expenses of respondent in some instances; P.A. 84-52 eliminated provisions re
confidentiality of investigations and publication of findings; P.A. 84-519 amended section to grant subpoena power to
commission at all stages of investigation, to require commission to meet prior to commencing investigation and to exempt
such meetings from the freedom of information act, and deleted provision authorizing commission witnesses to be paid
witness fees awarded court witnesses; P.A. 85-290 amended Subsec. (a) to require that commission notify persons under
evaluation within 5 business days after a commission staff member's first contact with a third party concerning the matter;
June 12 Sp. Sess. P.A. 91-1 amended Subsecs. (b) and (c) to require trial referee or senior judge, instead of commission,
to make determinations re violations; P.A. 92-29 amended Subsecs. (b) and (c) by eliminating references to senior judges;
P.A. 94-132 amended Subsec. (a)(1) by deleting provisions re meeting to determine whether sufficient evidence exists to
warrant inquiry, changing notice deadline from 5 days after meeting to 5 days after receipt or issuance of complaint, and
making technical grammatical changes, amended Subsec. (a)(2) by adding "of an alleged violation of this part" after
"investigation", deleting provision re deadline for adoption of regulations, and adding provisions re record of proceedings
and list of intended witnesses, amended Subsec. (b) by specifying trial referee has no vote in commission decision, adding
"of the commission held" after "all hearings" giving commission, rather than trial referee, the same powers as under Subsec.
(a), adding provisions re list of intended witnesses and vote required for finding of violation, changing publisher of finding
and memorandum from trial referee to commission, and deleting provision re commission aggrieved by finding and memorandum, amended Subsec. (c) by deleting provision re trial referee overturning finding by commission, changing finding
that may be overturned by court from one of trial referee to one of commission, and making technical changes, and added
new Subsec. (e) re individuals who disclose information to commission; P.A. 96-37 amended Subsec. (b) by changing
"state trial referee" to "judge trial referee"; P.A. 04-38 amended Subsec. (d) to increase the time limit for complaints from
three to five years, effective July 1, 2004; P.A. 04-198 applied provisions to Sec. 1-86d, effective June 3, 2004; P.A. 04-204 amended Subsec. (a)(2) to increase vote required to find probable cause of violation of part from four to five members,
and amended Subsec. (b) to increase vote required to find violation of part from five to seven members, effective June 3,
2004; P.A. 05-183 amended Subsec. (a) to change references from the State Ethics Commission to the Office of State
Ethics and the Citizen's Ethics Advisory Board, authorize the ethics enforcement officer to bring alleged violations of the
code of ethics to a judge trial referee for a probable cause hearing, provide 30 days for a judge trial referee to make any
such probable cause finding and make conforming and technical changes, amended Subsec. (b) to provide for the timing
of a hearing by the board on a violation, make technical changes, and change the requirement for a finding of a violation
from a vote of seven members to a vote of two-thirds of those members present and voting, and amended Subsecs. (c) and
(e) to make conforming and technical changes, effective July 1, 2005; P.A. 05-287 made technical changes and included
references to Sec. 1-101nn throughout the section, amended Subsec. (b) to require a vote of six members, rather than seven,
for a finding of a violation and amended Subsec. (e) to provide that persons who make good faith disclosures to the
commission shall not be subject to civil liability for such disclosures, effective July 1, 2005; June 11 Sp. Sess. P.A. 08-3
amended Subsec. (a)(2) to provide that Office of State Ethics may subpoena witnesses provided subpoena is issued either
pursuant to majority vote of board or pursuant to signature of chairperson, or vice-chairperson of board if chairperson
unavailable, and amended Subsec. (b) to provide prohibition re ex-parte communications during course of hearings between
board or its members and judge trial referee or any staff member of Enforcement Division of the Office of State Ethics
and to prohibit a board member from voting on question of whether violation had occurred if such member was not
physically present for duration of any hearing.
Cited. 222 C. 799. Cited. 224 C. 29.