Licensing Data Inventory & Paper-Based
Process Identification

3. Legal Framework

3.1 CGS Section 4-166: Definition of “License”

The EO’s Section 5 defines “license, permit, or certification” by reference to CGS 4-166(8):

This is a broad definition encompassing permits, certificates, approvals, registrations, charters, and any similar form of permission required by law.

Exclusions:

• Licenses required solely for revenue purposes (e.g., tax registrations)
• Grant application processes (per EO Section 5)
• Applications from state, quasi-public, or municipal agencies (EO Section 5)

Source: CGS § 4-166 (2024), via Justia

3.2 CGS Section 4-37: Comptroller Refund Process

EO Section 4 references CGS 4-37 for the refund mechanism. Under this statute, an agency must apply to the Comptroller for a refund to be issued. The refund does not affect the ultimate disposition of the underlying application.

Refund Exceptions (EO Section 4.b):

1. Fee is designated as nonrefundable by statute or regulation
2. Fee is designated for deposit into a special fund or particular account with restricted uses
3. A refund would otherwise be prohibited by law

Source: CGS § 4-37, via Casetext

3.3 Key CT Statutory Titles Governing Licenses

4. CT Executive Branch Agencies Subject to EO 26-1

The EO applies to “each state agency under the authority of the Governor.” Based on the CT.gov Departments and Agencies listing and Ballotpedia’s Connecticut executive offices data, the following agencies are subject to EO 26-1:

4.1 Agencies That Issue Licenses/Permits/Certifications (Primary Respondents)

Sources: CT.gov Departments and Agencies • Ballotpedia: CT State Executive Offices • CT eLicense Portal

4.2 Agencies Likely NOT Subject to EO 26-1

The following are either constitutional offices, judicial entities, legislative bodies, or quasi-public agencies not “under the authority of the Governor”:

5. Section 1 Response: Licensing Data Inventory Framework

5.1 Required Data Points (EO Section 1, a–k)

Each agency must submit the following for every license, permit, or certification it issues:

5.2 Recommended Submission Template

Below is a recommended CSV/spreadsheet structure agencies should use:

Agency Code, License Name, License Code, Description, Authorizing Statute,
Authorizing Regulation, Application Methods, Fee Required (Y/N), Fee Amount,
Fee Authority (Statute/Regulation/Administrative), Applications Received 2024,
Applications Approved 2024, Applications Denied 2024, Applications Pending,
Avg Processing Days 2024, Proposed Max Days, Exceptions Notes,
Federal Requirements Notes, Refund Obstacles Notes,
IT Modernization Priority (High/Medium/Low), IT Modernization Notes

6. Agency-by-Agency Licensing Inventory

6.1 Department of Consumer Protection (DCP)

Overview: DCP is Connecticut’s largest licensing agency, processing over 208,000 licenses annually through its License Services Division. DCP administers the statewide eLicense portal and oversees occupational/professional licensing, business licensing, liquor control, gaming, and weights & measures.

eLicense Status: Primary agency; most licenses available for online initial application and renewal.

Notable: Connecticut eliminated licensing fees for many trades and professions under the Lamont administration, which reduces the pool of fee-refund-eligible licenses but does not eliminate the processing time accountability requirement.

Paper Processes Identified: Very few remaining at DCP. The transition of liquor permits to mandatory online filing (January 1, 2024) eliminated one of the last major paper-based categories.

6.2 Department of Public Health (DPH)

Overview: DPH licenses healthcare practitioners and healthcare facilities. Practitioner licensing is largely handled through eLicense; facility licensing has more paper-based elements.

Paper Processes Identified: Facility licensing (hospitals, nursing homes, labs); initial practitioner applications requiring original documents; some continuing education verifications.

6.3 Department of Energy & Environmental Protection (DEEP)

Overview: DEEP administers Connecticut’s environmental permitting programs. DEEP operates its own ezFile portal for electronic filings, separate from the statewide eLicense system. Only DEEP’s pesticide program licenses are on eLicense.

6.4 Department of Motor Vehicles (DMV)

Overview: DMV has been the flagship of Connecticut’s “online, not in line” digital transformation. Online license renewals now outpace in-person transactions. DMV won a NASCIO recognition award for its digital experience modernization. Primarily online via dmv.service.ct.gov (Salesforce-based platform).

Paper Processes Identified: Minimal. DMV is the most digitally mature agency. Some dealer/repairer licensing may still involve paper elements.

6.5 Department of Emergency Services & Public Protection (DESPP)

Overview: DESPP’s Special Licensing and Firearms Unit (SLFU) issues state pistol permits, eligibility certificates, and licenses for bail bondsmen, private investigators, private security companies, and security officers. These processes are notably paper-intensive.

6.6 Department of Banking (DOB)

6.7 Department of Insurance (CID)

CID licenses insurance producers (agents/brokers), adjusters, and companies. Primarily online via NIPR/Sircon for individual producers; company licensing may involve paper elements.

6.8 Department of Agriculture (DOAG)

Most DOAG licenses are available through eLicense. Some specialized licenses (dairy processor, raw milk producer) have supplementary paper requirements including facility inspections.

6.9 State Department of Education (SDE)

SDE operates its own certification system separate from eLicense. Online via SDE’s certification portal, but with significant paper supplement requirements (transcripts, test scores, employment verification).

6.10 Other Agencies

7. Section 3 Response: IT Improvement Assessment

7.1 Scope of Section 3

The key question is: Which licenses/permits/certifications are still paper-based, and which should be prioritized for digitization?

7.2 Assessment Criteria

We recommend DAS evaluate each paper-based process using four criteria:

1. Volume — How many applications are received annually?
2. Fee Revenue — Is there a fee, and what is the annual revenue impact?
3. Economic Impact — Does processing delay impede business activity or workforce entry?
4. Ease of Digitization — Can it be added to existing platforms (eLicense, ezFile), or does it require a new system?

8. Current-State Technology Landscape

8.1 CT eLicense System

The eLicense system is the backbone of Connecticut’s licensing infrastructure. Its coverage across 13+ agencies makes it the natural platform for onboarding additional paper-based processes.

8.2 DEEP ezFile System

8.3 DMV Digital Platform

8.4 Other Agency Systems

9. Paper-Based Process Identification

9.1 Summary of Paper-Based Processes by Agency

This is the core Section 3 deliverable — identifying which processes are still paper-based.

9.2 Estimated Paper-Based Process Count

10. Pennsylvania PAyback Case Study

10.1 Background

Connecticut’s EO 26-1 is explicitly modeled after Pennsylvania Governor Josh Shapiro’s licensing reform initiative. Per CBIA reporting: “The Lamont administration modeled the executive order after a recent initiative launched by Pennsylvania Governor Josh Shapiro.”

10.2 PA Executive Order 2023-02

• Signed: January 31, 2023 (Shapiro’s first month in office)
• Directive: All Commonwealth agencies to standardize timeframes for issuing permits, licenses, and certifications
• Key Innovation: Creation of a “money-back guarantee” — if the Commonwealth doesn’t process an application within the published timeframe, the applicant can request a fee refund

10.3 PAyback Portal

• Launched: November 2023 (~10 months after the EO)
• URL: payback.pa.gov
• Developed by: Commonwealth Office of Digital Experience (CODE PA) and Office of Transformation and Opportunity (OTO)
• Capabilities: View standard processing times for all permits; check eligibility for a refund; request a refund online; single portal across all state agencies (“no wrong door” philosophy)

10.4 Results and Recognition

• StateScoop 50 Award (2024): PAyback won “State IT Innovation of the Year” — selected from hundreds of nominations with over 1 million peer votes
• Processing Time Improvements: PA’s DEP and Department of State made “significant progress to reduce their processing times and eliminate backlogs”
• Organizational Innovation: CODE PA was established as a dedicated digital services office, modeled on USDS / 18F

10.5 Lessons for Connecticut

10.6 PA Timeline as a Model

11. Other State Benchmarks

11.1 Colorado — DORA (Department of Regulatory Agencies)

Colorado’s DORA is the state’s umbrella regulatory agency managing licensing for multiple professions and businesses. DORA has invested in digital licensing platforms and publishes performance data. Similar to how CT’s DCP and DPH cover most professional licensing through eLicense.

11.2 Digital States Survey (2024)

The Center for Digital Government’s 2024 Digital States Survey highlighted states that have put “resident experience at the center of their work while also embracing cutting-edge” technology. Key themes: whole-of-state services, digital-first delivery, resident experience optimization, and cross-agency data sharing.

11.3 National Trends

The Granicus 2026 State of Digital Government report notes agencies are modernizing permitting, compliance, and licensing processes to reduce processing times and improve efficiency. Key trends include online application portals, automated status tracking, data-driven processing time benchmarks, and refund/accountability mechanisms.

11.4 Regulatory Software Vendors

12. Legal Considerations: Fee Refunds & Federal Preemption

12.1 Fee Refund Exceptions

EO Section 4.b identifies three categories where refunds do NOT apply:

1. Statutorily Nonrefundable Fees

Agencies must identify any license fee designated as “nonrefundable” in the authorizing statute or regulation. Examples may include some DPH practitioner application fees and certain DEEP permit application fees.

2. Special Fund Designations

Connecticut maintains numerous special revenue funds (fund codes 12001–12068 per the Comptroller’s office). Fees deposited into these restricted-use accounts may not be refundable. Examples include environmental remediation funds (DEEP), insurance guaranty funds (CID), and workers’ compensation funds (WCC).

3. Other Legal Prohibitions

Some federal program requirements may restrict fee refunds for delegated programs.

12.2 Federal Preemption Issues (Section 1.i)

Several CT license types involve federal oversight that may prevent the state from meeting self-set processing deadlines:

13. Recommendations & Prioritization Framework

13.1 Quick Wins (0–6 months post-data collection)

1. Onboard DESPP licenses to eLicense — Security officer registrations, private detective licenses, bail bondsman licenses, and private security company licenses are straightforward credential types that could be added to the existing eLicense platform.
2. Extend DEEP ezFile — Add document upload capabilities for air emissions and water discharge individual permit applications.
3. Enable electronic document uploads for DPH — Allow practitioners to upload transcripts, exam scores, and supervision verification electronically.
4. Publish processing time data — Even before the December 2026 deadline, agencies should begin tracking and publishing average processing times.

13.2 Medium-Term (6–12 months)

5. Build a CT PAyback-equivalent portal — A public-facing website (modeled on PA’s payback.pa.gov) showing processing times and refund eligibility for all license types.
6. Digitize DESPP pistol permit pre-application — Online pre-application and appointment scheduling system.
7. Consolidate DPH facility licensing — Move hospital, nursing home, and lab licensing to an online portal with integrated inspection scheduling.

13.3 Long-Term (12–24 months)

8. Evaluate a centralized digital services office — Following PA’s CODE PA model, establish a “CODE CT” within DAS.
9. Implement automated status tracking — Allow applicants to track application status online.
10. Explore AI/automation for application review — For high-volume, standardized license types, automated completeness checks and preliminary reviews.

13.4 Prioritization Matrix

14. Appendices

Appendix A: Complete CT Agency List with EO 26-1 Applicability

Appendix B: eLicense Top Credential Types (by Record Count)

Source: OpenGovUS CT License Data (~1.76M total records)

Appendix C: Key Source URLs