You asked (1) who appoints state department heads, and for how long; (2) whether department heads must act in concert with staff or if they are solely responsible for decision-making; (3) what their powers are in relation to the departments; and (4) who reviews their work. We limited our discussion of departments those listed in Title 4 on management of state agencies (CGS § 4-5) with special attention to the departments of public health and public utility control, which you specifically mentioned.

SUMMARY

The governor appoints, and the legislature confirms, state department heads. The department heads, who must be qualified by education and experience, serve at the governor's pleasure, and can be removed without notice or hearing. Generally, although not always, an incoming governor replaces department heads appointed by his predecessor with his own appointees.

Department heads represent the governor in carrying out the missions of their departments. They must promote administrative economy and efficiency, and are authorized to reorganize their departments, hire deputies and other employees, make regulations, enter into contracts, and receive money from the federal government, corporations, associations or individuals (CGS § 4-8).

Department heads are ultimately responsible for their departments' policy and programmatic decisions. They may make these decisions completely on their own; in consultation with staff (usually career employees); or delegate matters completely to staff members. It is difficult to objectively determine to what extent and how often political considerations affect such decisions. But no matter how such matters are decided, it is the department head, as the department's "CEO," who usually takes the credit or bears the blame.

Departmental review takes place at many levels. We list in this report those entities that review various aspects of departmental activity, not just those with the power to stop or undo department actions. Each branch of government has authority to review department action.

In the executive branch, the Office of Policy and Management (OPM) controls budgeting and planning for agencies and departments, and the State Ethics Commission enforces the state Code of Ethics for legislators, lobbyists, and state employees. Any interested person may petition an executive branch agency requesting the promulgation, amendment or repeal of a regulation.

In the legislative branch, the General Assembly's committees of cognizance have the power to look into matters pertaining to the departments under their purview. In addition, the Legislative Program Review and Investigations Committee can investigate state agencies and programs and evaluate their efficiency and statutory compliance. The legislature's Regulations Review Committee reviews and must approve state agency regulations; the Government Administration and Elections Committee oversees governmental organization and reorganization, and the Auditors of Public Accounts routinely audit all state agencies.

Finally, the courts can issue declaratory rulings on state laws and regulations, or hear challenges to laws and regulations in contested cases.

We have attached a number of OLR Reports that go into more detail on various aspects of your questions: Report 94-R-1123 discusses the nomination process; Report 96-R-0443 examines the controls over state agencies' financial and budgetary operations; Report 98-R-0756 contains general information about other state departments and commissions; Report 98-R-1352 provides a history of the state health department; and Report 2000-R-0039 offers more information on the Department of Public Utility Control (DPUC).

GOVERNOR'S APPOINTMENT OF DEPARTMENT HEADS

By law, the governor appoints the heads of 26 state departments with the advice and consent of the General Assembly. Even though the law (CGS § 4-5) refers to them collectively as "department heads," most such appointees are commonly referred to as commissioners. In the case of the DPUC, the governor names five commissioners (the Public Utility Control Authority), who select a chair from among their number. The chair, with the consent of at least two other commissioners, then appoints an executive director to run the department.

Unless otherwise specified by law, each department head serves at the governor's pleasure for up to four years, starting on March 1 in the year of his appointment. Department heads can serve longer if reappointed (CGS § 4-6).

QUALIFICATIONS AND DUTIES OF SPECIFIC COMMISSIONERS

Department heads must be qualified by training and experience. They act as the governor's executive officers to accomplish their department's purposes. They must plan comprehensively, organize the agency to promote economy and efficiency, and make regulations. They must designate deputies and hire other employees according to law; may abolish, transfer or consolidate parts of the department; enter into contracts; receive money, revenue or services from the federal government, corporations, associations or individuals; and create advisory boards (CGS § 4-8). We list below specific responsibilities of the public health commissioner and DPUC executive director.

Public Health Commissioner

By law, the public health commissioner must either (1) be an experienced physician, "skilled in sanitary science and experienced in public health administration" with at least one year of graduate instruction in public health administration, or (2) hold a graduate public health degree. He cannot hold another job (CGS § 19a-1d).

He must use efficient and practical means to prevent and suppress disease, and administer the laws under the department's jurisdiction as well as the Public Health Code. Specifically, he must:

1. administer, coordinate and direct the department's operations;

2. adopt and enforce the regulations needed to carry out DPH's purposes;

3. set rules for DPH's internal operation and administration;

4. establish and develop programs and services;

5. contract for facilities, services and programs;

6. designate a deputy commissioner or other DPH employee to sign DPH-issued certificates, licenses or permit;

7. hold any hearing, issue subpoenas, administer oaths, compel testimony and render a final decision where a hearing is required or authorized under DPH laws;

8. obtain information on prevention and control of epidemics and conditions affecting or endangering the public health, and compile and disseminate the information among health authorities and the public;

9. annually publish a list of reportable diseases and laboratory findings, amending it as needed, and distribute it to licensed doctors and laboratories. He must prepare forms for use by health directors and boards and registrars of vital statistics;

10. specify uniform methods of keeping statistics by public and private agencies, organizations and individuals, including a confidential client identifier system; and collect and make available relevant statistical information, including the number of people treated, frequency of admission and readmission, and frequency and duration of treatment; and

11. inspect at least annually, all public hospitals, asylums, prisons, schools and other institutions, as the budget allows.

He also must oversee local health directors and may establish state-wide and regional advisory councils (CGS § 19a-2a).

DPH also has jurisdiction over all matters concerning the purity and adequacy of any water supply source used by any municipality, public institution or water company for obtaining water; the safety, for public health purposes, of any distributing plant and system; the adequacy of methods used to assure water purity, and other matters relating to building and operating distributing plants and systems that may affect public health (CGS § 25-2(a)).

DPUC

DPUC is charged with regulating investor-owned utilities, including electric, gas, water, and telecommunications companies. Among other things, it regulates the rates these companies charge, licenses or franchises certain utility companies, implements consumer protection and information laws, and administers several programs.

DPUC is run by five commissioners, collectively known as the Public Utility Control Authority (PUCA). The commissioners are appointed by the governor and subject to confirmation by both houses of the legislature. CGS §16-2 specifies the fields of expertise that must be represented on the authority. No more than three commissioners can be of the same political party. The law also contains conflict of interest and "revolving door" provisions. The authority chairman appoints the DPUC executive director.

The executive director must:

1. conduct comprehensive planning with respect to department functions;

2. coordinate department activities;

3. promote administrative economy and efficiency;

4. organize, in concurrence with the chairman, necessary departmental bureaus and divisions;

5. decide who will participate in rate amendment proceedings as a party and who will serve the authority;

6. enter into necessary contracts; and

7. receive money from the federal government, corporations, associations or individuals.

He may appoint a secretary and may hire necessary employees, within available funds and according to law. He must require the staff to have expertise in public utility engineering, accounting, finance, economics, computers and rate design (CGS § 16-2(f)).

Office of Consumer Counsel. Under CGS § 16-2a, the Office of Consumer Counsel (OCC) is an independent agency that is located within the DPUC for administrative purposes only. OCC's role is to act as the advocate for consumer interests with respect to companies regulated by the DPUC. It is entitled to party status in all contested cases before the DPUC. It can appeal a DPUC decision even if it did not participate in the case. Except as provided under the Uniform Administrative Procedure Act, OCC has access to all of DPUC's records, other than internal documents and information not available to parties in the case.

OVERSIGHT

There are a number of mechanisms by which the executive, legislative, and judicial branches review department actions.

Executive Branch

Office of Policy and Management (OPM). OPM is responsible for all aspects of state staff planning and analysis in the areas of budget, management, and planning. OPM reviews and helps develop department budgets. In consultation with each department, it develops biennial goals and objectives and "outcome measures" for each program, service and state grant administered or provided by each agency. The OPM secretary provides an annual report on these goals, objectives, and measures to the Appropriations Committee and the committee of cognizance for each agency (CGS § 4-67m). OPM's web site is http: //www. opm. state. ct. us/

State Ethics Commission. This commission enforces the Code of Ethics for public officials and state employees (CGS § 1-80 et seq. ). The code includes conflict of interest provisions, post-state employment restrictions and financial disclosure requirements. The Ethics Commission's web site is http: //www. ethics. state. ct. us/

Individual Petitions

Any interested person may petition a state agency requesting the promulgation, amendment or repeal of a regulation (CGS § 4-174). A person also may petition an agency for, or an agency can on its own issue, a declaratory ruling concerning the validity of a regulation, or the specific application of a law, regulation or agency decision on a matter within the agency's jurisdiction (CGS § 4-176).

Legislative Branch

Standing Committees of Cognizance. Legislative committees comprised of both senators and representatives oversee each state department and, under CGS § 2-46, have the power to subpoena witnesses and compel testimony on matters pertaining to their area of jurisdiction.

For example, the Public Health Committee has cognizance of matters relating to DPH, the departments of Mental Retardation and Mental Health and Addiction Services, the Commission on Hospitals and Health Care, the Office of Health Care Access and "all other matters relating to health, including emergency medical services, all licensing boards within DPH, nursing homes, pure food and drugs, and controlled substances, including the treatment of substance abuse. "

The Energy and Technology Committee has cognizance of all matters relating to the DPUC and energy planning and activities.

The Government Administration and Elections Committee oversees all government organization and reorganization and the transfer, allocation or consolidation of any state department or agency (CGS § 2-35a).

Legislative Program Review and Investigations Committee. This joint bipartisan committee of six senators and six representatives, created by statute in 1972, can investigate, and evaluate the efficiency and statutory compliance of, state agencies and programs. The committee, which is served by nonpartisan staff, determines if state agencies and programs are effective, efficient and serving their intended purpose. It can recommend modification, restructuring, or elimination of agencies and programs (CGS § 2-53d et seq. ).

The committee has the power to obtain the public records, data and other information it needs to perform its duties. It cannot disclose the identity of any public employee providing it information, and all information obtained in the course of an investigation is exempt from disclosure until it finishes the investigation (CGS § 2-53g(b)).

Whenever a committee review cites inadequate operating or administrative system controls or procedures, inaccuracies, waste, extravagance, unauthorized or unintended activities or programs or other deficiencies, the department head or appropriate program officer whose agency or program is the subject of the review must take necessary corrective action. If the committee is not satisfied with the corrective action, the committee must report and make recommendations to the legislature. The committee must report the results of each investigation and any recommendations for further action to the legislature (CGS § 2-53h). The committee's website is http: //cgalites/pri/PRIweb/PRIhome. htm

Regulation Review Committee. This standing committee reviews and must approve regulations promulgated by all state departments. It may hold public hearings on the regulations, and may approve, disapprove or reject all or part of any proposed regulations. Failure to take action within 65 days of the regulation's submittal is considered approval (CGS § 4-170). We have attached OLR Report 93-R-0046, which has more information on regulations, the committee and the Uniform Administrative Procedure Act, which dictates the procedures states must follow in adopting regulations.

Auditors of Public Accounts. This office's primary mission is to audit the books and accounts for state agencies, boards and commissions, as well as those of the treasurer and comptroller. It is under the direction of two State Auditors, one from each party, appointed by the legislature (CGS § 2-89 et seq. ). They must report any unauthorized illegal, irregular, or unsafe handling or expenditure of state funds and any breakdown in the safekeeping of any state resources to the governor, comptroller, legislature, the legislative program review and investigations committee and the attorney general. They must review complaints of corruption, unethical practices, state law or regulation violations, mismanagement, gross waste of funds, abuse of authority or danger to public safety occurring in any state department, agency or quasi-public agency. They must report their findings and recommendations to the attorney general and may assist him in any investigation. They cannot reveal the name of an informant without his consent, unless it is unavoidable during the course of an investigation (CGS § 6-61dd).

Judicial Branch

By law, anyone can seek a declaratory judgment in Superior Court if a provision of the law, a regulation or final decision, or its threatened application, interferes with or impairs, or threatens to interfere with or impair, the plaintiff's legal rights or privileges. The court must decide the validity of the regulation or law in question or its applicability to the particular plaintiff (CGS § 4-175).

Agencies also may hold hearings on matters that are contested, and individuals who have exhausted their administrative remedies may appeal to Superior Court. The law (CGS § 4-176 et seq. ) sets out the procedures for these hearings and appeals.

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