2018 Connecticut General Statutes
Title 4 - Management of State Agencies
Chapter 54 - Uniform Administrative Procedure Act
Section 4-166 - Definitions.

Universal Citation: CT Gen Stat § 4-166 (2018)

As used in this chapter:

(1) “Agency” means each state board, commission, department or officer authorized by law to make regulations or to determine contested cases, but does not include either house or any committee of the General Assembly, the courts, the Council on Probate Judicial Conduct, the Governor, Lieutenant Governor or Attorney General, or town or regional boards of education, or automobile dispute settlement panels established pursuant to section 42-181;

(2) “Approved regulation” means a regulation submitted to the Secretary of the State in accordance with the provisions of section 4-172;

(3) “Certification date” means the date the Secretary of the State certifies, in writing, that the eRegulations System is technologically sufficient to serve as the official compilation and electronic repository in accordance with section 4-173b;

(4) “Contested case” means a proceeding, including but not restricted to rate-making, price fixing and licensing, in which the legal rights, duties or privileges of a party are required by state statute or regulation to be determined by an agency after an opportunity for hearing or in which a hearing is in fact held, but does not include proceedings on a petition for a declaratory ruling under section 4-176, hearings referred to in section 4-168 or hearings conducted by the Department of Correction or the Board of Pardons and Paroles;

(5) “Final decision” means (A) the agency determination in a contested case, (B) a declaratory ruling issued by an agency pursuant to section 4-176, or (C) an agency decision made after reconsideration. The term does not include a preliminary or intermediate ruling or order of an agency, or a ruling of an agency granting or denying a petition for reconsideration;

(6) “Hearing officer” means an individual appointed by an agency to conduct a hearing in an agency proceeding. Such individual may be a staff employee of the agency;

(7) “Intervenor” means a person, other than a party, granted status as an intervenor by an agency in accordance with the provisions of subsection (d) of section 4-176 or subsection (b) of section 4-177a;

(8) “License” includes the whole or part of any agency permit, certificate, approval, registration, charter or similar form of permission required by law, but does not include a license required solely for revenue purposes;

(9) “Licensing” includes the agency process respecting the grant, denial, renewal, revocation, suspension, annulment, withdrawal or amendment of a license;

(10) “Party” means each person (A) whose legal rights, duties or privileges are required by statute to be determined by an agency proceeding and who is named or admitted as a party, (B) who is required by law to be a party in an agency proceeding, or (C) who is granted status as a party under subsection (a) of section 4-177a;

(11) “Person” means any individual, partnership, corporation, limited liability company, association, governmental subdivision, agency or public or private organization of any character, but does not include the agency conducting the proceeding;

(12) “Personal delivery” means delivery directly to the intended recipient or a recipient's designated representative and includes, but is not limited to, delivery by electronic mail to an electronic mail address identified by the recipient as an acceptable means of communication;

(13) “Presiding officer” means the member of an agency or the hearing officer designated by the head of the agency to preside at the hearing;

(14) “Proposed final decision” means a final decision proposed by an agency or a presiding officer under section 4-179;

(15) “Proposed regulation” means a proposal by an agency under the provisions of section 4-168 for a new regulation or for a change in, addition to or repeal of an existing regulation;

(16) “Regulation” means each agency statement of general applicability, without regard to its designation, that implements, interprets, or prescribes law or policy, or describes the organization, procedure, or practice requirements of any agency. The term includes the amendment or repeal of a prior regulation, but does not include (A) statements concerning only the internal management of any agency and not affecting private rights or procedures available to the public, (B) declaratory rulings issued pursuant to section 4-176, or (C) intra-agency or interagency memoranda;

(17) “Regulation-making” means the process for formulation and adoption of a regulation;

(18) “Regulation-making record” means the documents specified in subsection (b) of section 4-168b and includes any other documents created, received or considered by an agency during the regulation-making process; and

(19) “Regulations of Connecticut state agencies” means the official compilation of all permanent regulations adopted by all state agencies subsequent to October 27, 1970, organized by title number, subtitle number and section number.

(1971, P.A. 854, S. 1; P.A. 73-620, S. 1–3, 19; P.A. 75-529, S. 2, 4; P.A. 78-379, S. 24, 27; P.A. 80-471, S. 1; P.A. 82-338, S. 7; P.A. 87-522, S. 1, 6; P.A. 88-317, S. 1, 107; P.A. 92-160, S. 16, 19; P.A. 95-79, S. 9, 189; P.A. 04-94, S. 1; 04-234, S. 2; P.A. 14-187, S. 1; P.A. 15-61, S. 1.)

History: P.A. 73-620 redefined “agency”, specifically excepting the governor, lieutenant governor and attorney general, redefined “contested case”, excluding cases involving hearings referred to in Sec. 4-168 and redefined “regulation”, specifically excluding interagency memoranda; P.A. 75-529 redefined “agency” to exclude town or regional boards of education; P.A. 78-379 redefined “agency” to exclude judicial review council; P.A. 80-471 redefined “regulation” in Subdiv. (7), changed numbered subdivisions to lettered subdivisions and added Subdiv. (8) defining “proposed regulation”; P.A. 82-338 redefined “agency” to specifically exclude council on probate judicial conduct; P.A. 87-522 redefined “agency” to exclude automobile dispute settlement panels; P.A. 88-317 rephrased definition of “agency” in Subdiv. (1), amended definition of “contested case” in Subdiv. (2) to exclude proceedings on declaratory ruling petition, added new Subdivs. (3), (4) and (5), defining “final decision”, “hearing officer” and “intervenor”, renumbered former Subdivs. (3) and (4), defining “license” and “licensing”, to (6) and (7), renumbered former Subdiv. (5), defining “party”, to Subdiv. (8) and substantially amended the definition, renumbered former Subdiv. (6), defining “person”, to Subdiv. (9) and excluded “the agency conducting the proceeding” from the definition in lieu of “an agency”, added new Subdivs. (10), (11) and (12), defining “presiding officer”, “proposed final decision” and “proposed regulation”, renumbered former Subdiv. (7), defining “regulation”, to Subdiv. (13), repealed former Subdiv. (8) defining “proposed regulation” and added new Subdiv. (14) defining “regulation-making”, effective July 1, 1989, and applicable to agency proceedings commenced on or after said date; P.A. 92-160 amended Subdiv. (1) by deleting reference to judicial review council; P.A. 95-79 redefined “person” to include a limited liability company, effective May 31, 1995; P.A. 04-94 amended definition of “contested case” in Subdiv. (2) by replacing “required by statute” with “required by state statute or regulation” and adding exception for hearings conducted by Department of Correction or Board of Parole; P.A. 04-234 replaced Board of Parole with Board of Pardons and Paroles in Subdiv. (2), effective July 1, 2004; P.A. 14-187 added new Subdivs. (2) and (3) defining “approved regulation” and “certification date”, redesignated existing Subdivs. (2) to (14) as Subdivs. (4) to (16) and added Subdivs. (17) and (18) defining “regulation-making record” and “regulations of Connecticut state agencies”, effective June 11, 2014; P.A. 15-61 added new Subdiv. (12) defining “personal delivery” and redesignated existing Subdivs. (12) to (18) as Subdivs. (13) to (19).

Cited. 166 C. 337. The term “state board” includes such entities as the Berlin board of education when acting as agent of the state. 167 C. 368. Cited. 168 C. 435; 172 C. 263; 173 C. 462; 176 C. 82; 184 C. 311; 186 C. 153; 191 C. 173; 198 C. 445; 207 C. 346; 211 C. 690; 212 C. 83; 213 C. 184; 214 C. 560; 215 C. 517; 216 C. 228; 220 C. 516; 231 C. 391; 238 C. 361; 239 C. 32. Because Sec. 22a-371 does not require Commissioner of Environmental Protection to conduct hearing to determine whether an application is complete, commissioner's rejection notice for plaintiff's insufficient application did not constitute a final decision in contested case. 263 C. 692. Plaintiff determined to have no statutory right of appeal from decision of Department of Social Services with respect to liens imposed pursuant to Secs. 17b-93 and 17b-94 which provide for reimbursement of Medicaid and public assistance benefits previously paid by state to plaintiff, and therefore hearing is not a “contested case” as defined under Uniform Administrative Procedure Act; trial court judgment reversed and case remanded with direction to dismiss plaintiff's administrative appeal for lack of subject matter jurisdiction. 273 C. 434. Department of Public Works was not under a statutory or regulatory mandate to conduct a hearing regarding alleged violations of bidding process; there was no agency determination in a contested case; plaintiff had no right to judicial review of commissioner's decision because it was not aggrieved by a final decision required to trigger judicial review under Uniform Administrative Procedure Act. 282 C. 764.

Cited. 1 CA 1; 9 CA 622; 19 CA 713; 25 CA 555. Harmless error analysis is available in the administrative context. 57 CA 767. Plaintiff was not aggrieved by final decision because the hearing, which was not required by statute, did not constitute contested case within meaning of statute. 75 CA 215. Plaintiff was not barred from pursuing unpaid wages despite investigation conducted pursuant to Sec. 31-76a because res judicata only applies to a final judgment in a contested case and plaintiff withdrew claim prior to final determination; an administrative tribunal's decision is not entitled to res judicata effect in subsequent proceedings between the parties if the initial decision was not subject to judicial review. 141 CA 110.

Question whether personnel policies of state colleges are “regulations” within meaning of chapter. 32 CS 153. Cited. 34 CS 225; 36 CS 1; Id., 18; 38 CS 24; 40 CS 365; 44 CS 21.

Subdiv. (1):

Berlin board of education held authorized by law to determine contested cases. 167 C. 368. Cited. 170 C. 668. Exclusions of governor, lieutenant governor and attorney general from definition of “agency” constitute exemptions from chapter. 172 C. 603. Cited. 176 C. 318; Id., 466. Indian affairs council is an “agency” within the meaning of statute. 180 C. 474. Cited. 181 C. 69; 183 C. 76; 193 C. 379; 195 C. 174; 207 C. 77; Id., 674; 208 C. 709; 217 C. 130; 228 C. 651; 231 C. 308; 235 C. 128. Adoption review board is an “agency”. 247 C. 474.

Cited. 3 CA 464; 6 CA 473; 13 CA 1; 17 CA 429; 18 CA 13; 22 CA 181; 35 CA 769.

Cited. 39 CS 443.

Subdiv. (4) (Former Subdiv. (2)):

Hearing under Sec. 10-151(b) is a “contested case”. 167 C. 368. Cited. 171 C. 348; Id., 691; 183 C. 76; Id., 128; 191 C. 497; 193 C. 379; 214 C. 726; 221 C. 422; 224 C. 693; 226 C. 105. Court found legislative intent to limit contested case status to proceedings in which agency is required by statute to provide opportunity for hearing determining party's legal rights or privileges. Id., 792. Cited. 231 C. 403; 234 C. 411; 235 C. 128; 239 C. 124. Proceeding of adoption review board constitutes a “contested case”. 247 C. 474. Decision, after hearing, terminating authorized vendor from participation in federal Special Supplemental Food Program for Women, Infants and Children (WIC) was not final decision in a contested case since hearing not required by state statute. 262 C. 222. Trial court properly determined that P.A. 04-94, which amended definition of contested case to include a hearing required by “state” statute “or regulation”, did not apply retroactively because that act implements a substantive change in the law. 283 C. 156.

Cited. 2 CA 196; 28 CA 674; 37 CA 653; judgment reversed, see 238 C. 361; Id., 777; 44 CA 143.

Cited. 30 CS 118; 39 CS 202; 42 CS 413; 43 CS 386.

Subdiv. (5) (Former Subdiv. (3)):

Cited. 221 C. 422; 224 C. 693; 227 C. 545; 231 C. 391; 232 C. 181; 234 C. 411; Id., 424; 239 C. 124. Denial of petition to intervene pursuant to Sec. 22a-19 was not a final decision within meaning of statute because it is not the agency determination in a contested case because, in turn, it does not determine the legal rights, duties or privileges of a party and instead, it is more properly considered as a preliminary or intermediate ruling of the agency. 259 C. 131.

Cited. 37 CA 653; judgment reversed, see 238 C. 361; Id., 777; 44 CA 143. Commissioner's decision denying plaintiff's petition for reconsideration is not a final decision. 61 CA 137.

Subdiv. (7) (Former Subdiv. (5)):

Cited. 205 C. 324; 207 C. 674; 212 C. 157.

Cited. 3 CA 416; 14 CA 376.

Parties admitted at a Blue Cross rate hearing, need only be served notice of an appeal, not necessarily made parties to the appeals. 31 CS 257.

Subdiv. (8) (Former Subdiv. (6)):

Cited. 226 C. 792; 235 C. 128.

Subdiv. (9) (Former Subdiv. (7)):

Former Sec. 4-41 defined “regulation” as “designed to implement, interpret or prescribe law or to establish the general policy of such department or agency”; not mandatory that such regulations be adopted by motor vehicle department relative to hearings on suspension or revocation of dealers' licenses, but hearings not to violate the fundamentals of natural justice. 165 C. 559. Cited. 177 C. 356; 183 C. 76. Applicability of statute to regulations promulgated under Sec. 14-298 discussed. Id., 313. Cited. 187 C. 458; 191 C. 384; 200 C. 133; Id., 489; 204 C. 287.

Cited. 41 CS 271.

Subdiv. (10) (Former Subdiv. (8)):

Cited. 30 CA 85.

Subdiv. (11) (Former Subdiv. (9)):

Cited. 37 CA 653; judgment reversed, see 238 C. 361.

Subdiv. (16) (Former Subdiv. (15)):

Department's use of “one year frequency tidal flood elevation” in proceeding under Sec. 22a-359 did not constitute a regulation or improper rule making since it is not a rule of general applicability and was applied in addition to other evidence. 308 C. 359.

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