Senate Bill No. 359
Public Act No. 19-69
AN ACT EXTENDING WHI STLEBLOWER PROTECTIO NS TO
EMPLOYEES OF BUSINES SES RECEIVING FINANC IAL
ASSISTANCE FROM THE STATE.
Be it enacted by the Senate and House of Representatives in General
Assembly convened:
Section 1. Section 4-61dd of the general statutes is repealed and the
following is substituted in lieu thereof (Effective October 1, 2019):
(a) Any person having knowledge of any matter involving (1)
corruption, unethical practices, violation of state laws or regulations,
mismanagement, gross waste of funds, abuse of authority or danger to
the public safety occurring in any state department or agency, any
quasi-public agency, as defined in section 1-120, or any Probate Court,
[or any person having knowledge of any matter involving] (2)
corruption, violation of state or federal laws or regulations, gross
waste of funds, abuse of authority or danger to the public safety
occurring in any large state contract, or (3) corruption by an entity
receiving financial assistance pursuant to title 32 that has failed to meet
its contractual obligations or has failed to satisfy any condition
regarding such financial assistance, may transmit all facts and
information in such person's possession concerning such matter to the
Auditors of Public Accounts. The Auditors of Public Accounts shall
review such matter and report their findings and any Senate Bill No. 359
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recommendations to the Attorney General. Upon receiving such a
report, the Attorney General shall make such investigation as the
Attorney General deems proper regarding such report and any other
information that may be reasonably derived from such report. Prior to
conducting an investigation of any information that may be reasonably
derived from such report, the Attorney General shall consult with the
Auditors of Public Accounts concerning the relationship of such
additional information to the report that has been issued pursuant to
this subsection. Any such subsequent inves tigation deemed
appropriate by the Attorney General shall only be conducted with the
concurrence and assistance of the Auditors of Public Accounts. At the
request of the Attorney General or on their own initiative, the auditors
shall assist in the investigation.
(b) (1) The Auditors of Public Accounts may reject any complaint
received pursuant to subsection (a) of this section if the Auditors of
Public Accounts determine one or more of the following:
(A) There are other available remedies that the complainant can
reasonably be expected to pursue;
(B) The complaint is better suited for investigation or enforcement
by another state agency;
(C) The complaint is trivial, frivolous, vexatious or not made in
good faith;
(D) Other complaints have greater priority in terms of serving the
public good;
(E) The complaint is not timely or is too long delayed to justify
further investigation; or
(F) The complaint could be handled more appropriately as part of
an ongoing or scheduled regular audit. Senate Bill No. 359
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(2) If the Auditors of Public Accounts reject a complaint pursuant to
subdivision (1) of this subsection, the Auditors of Public Accounts
shall provide a report to the Attorney General setting out the basis for
the rejection.
(3) If at any time the Auditors of Public Accounts determine that a
complaint is more appropriately investigated by another state agency,
the Auditors of Public Accounts shall refer the complaint to such
agency. The investigating agency shall provide a status report
regarding the referred complaint to the Auditors of Public Accounts
upon request.
(c) Notwithstanding the provisions of section 12 -15, the
Commissioner of Revenue Services may, upon written request by the
Auditors of Public Accounts, disclose return or return information, as
defined in section 12-15, to the Auditors of Public Accounts for
purposes of preparing a report under subsection (a) or (b) of this
section. Such return or return information shall not be published in
any report prepared in accordance with subsection (a) or (b) of this
section, and shall not otherwise be redisclosed, except that such
information may be redisclosed to the Attorney General for purposes
of an investigation authorized by subsection (a) of this section. Any
person who violates the provisions of this subsection shall be subject to
the provisions of subsection (g) of section 12-15.
(d) The Attorney General may summon witnesses, require the
production of any necessary books, papers or other documents and
administer oaths to witnesses, where necessary, for the purpose of an
investigation pursuant to this section or for the purpose of
investigating a suspected violation of subsection (a) of section 4-275
until such time as the Attorney General files a civil action pursuant to
section 4-276. Service of a subpoena ad testificandum, subpoena duces
tecum and a notice of deposition, may be made by: (1) Personal service
or service at the usual place of abode; or (2) registered or certified mail, Senate Bill No. 359
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return receipt requested, a duly executed copy thereof addressed to the
person to be served at such person's principal place of business in this
state, or, if such person has no principal place of business in this state,
at such person's principal office or such person's residence. Upon the
conclusion of the investigation, the Attorney General shall where
necessary, report any findings to the Governor, or in matters involving
criminal activity, to the Chief State's Attorney. In addition to the
exempt records provision of section 1-210, the Auditors of Public
Accounts and the Attorney General shall not, after receipt of any
information from a person under the provisions of this section or
sections 4-276 to 4-280, inclusive, disclose the identity of such person
without such person's consent unless the Auditors of Public Accounts
or the Attorney General determines that such disclosure is
unavoidable, and may withhold records of such investigation, during
the pendency of the investigation. All documentary material or other
information furnished to the Attorney General, his or her deputy or
any assistant attorney general designated by the Attorney General,
pursuant to a demand issued under this subsection for the purpose of
investigating a suspected violation of subsection (a) of section 4-275,
shall be returned to the person furnishing such documentary material
or other information upon the termination of the Attorney General's
investigation or final determination of any action or proceeding
commenced thereunder.
(e) (1) No state officer or employee, as defined in section 4-141, no
quasi-public agency officer or employee, no officer or employee of a
large state contractor and no appointing authority shall take or
threaten to take any personnel action against any state or quasi-public
agency employee or any employee of a large state contractor in
retaliation for (A) such employee's or contractor's disclosure of
information to (i) an employee of the Auditors of Public Accounts or
the Attorney General under the provisions of subsection (a) of this
section; (ii) an employee of the state agency or quasi-public agency Senate Bill No. 359
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where such state officer or employee is employed; (iii) an employee of
a state agency pursuant to a mandated reporter statute or pursuant to
subsection (b) of section 17a-28; (iv) an employee of the Probate Court
where such employee is employed; or (v) in the case of a large state
contractor, an employee of the contracting state agency concerning
information involving the large state contract; or (B) such employee's
testimony or assistance in any proceeding under this section.
(2) (A) Not later than ninety days after learning of the specific
incident giving rise to a claim that a personnel action has been
threatened or has occurred in violation of subdivision (1) of this
subsection, a state or quasi-public agency employee, an employee of a
large state contractor or the employee's attorney may file a complaint
against the state agency, quasi-public agency, Probate Court, large
state contractor or appointing authority concerning such personnel
action with the Chief Human Rights Referee designated under section
46a-57. Such complaint may be amended if an additional incident
giving rise to a claim under this subdivision occurs subsequent to the
filing of the original complaint. The Chief Human Rights Referee shall
assign the complaint to a human rights referee appointed under
section 46a-57, who shall conduct a hearing and issue a decision
concerning whether the officer or employee taking or threatening to
take the personnel action violated any provision of this section. The
human rights referee may order a state agency, quasi-public agency or
Probate Court to produce (i) an employee of such agency, quasi-public
agency or Probate Court to testify as a witness in any proceeding
under this subdivision, or (ii) books, papers or other documents
relevant to the complaint, without issuing a subpoena. If such agency,
quasi-public agency or Probate Court fails to produce such witness,
books, papers or documents, not later than thirty days after such order,
the human rights referee may consider such failure as supporting
evidence for the complainant. If, after the hearing, the human rights
referee finds a violation, the referee may award the aggrieved Senate Bill No. 359
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employee reinstatement to the employee's former position, back pay
and reestablishment of any employee benefits for which the employee
would otherwise have been eligible if such violation had not occurred,
reasonable attorneys' fees, and any other damages. For the purposes of
this subsection, such human rights referee shall act as an independent
hearing officer. The decision of a human rights referee under this
subsection may be appealed by any person who was a party at such
hearing, in accordance with the provisions of section 4-183.
(B) The Chief Human Rights Referee shall adopt regulations, in
accordance with the provisions of chapter 54, establishing the
procedure for filing complaints and noticing and conducting hearings
under subparagraph (A) of this subdivision.
(3) As an alternative to the provisions of subdivision (2) of this
subsection: (A) A state or quasi-public agency employee who alleges
that a personnel action has been threatened or taken may file an appeal
not later than ninety days after learning of the specific incident giving
rise to such claim with the Employees' Review Board under section 5-
202, or, in the case of a state or quasi-public agency employee covered
by a collective bargaining contract, in accordance with the procedure
provided by such contract; or (B) an employee of a large state
contractor alleging that such action has been threatened or taken may,
after exhausting all available administrative remedies, bring a civil
action in accordance with the provisions of subsection (c) of section 31-
51m.
(4) In any proceeding under subdivision (2) or (3) of this subsection
concerning a personnel action taken or threatened against any state or
quasi-public agency employee or any employee of a large state
contractor, which personnel action occurs not later than two years after
the employee first transmits facts and information concerning a matter
under subsection (a) of this section or discloses information under
subdivision (1) of this subsection to the Auditors of Public Accounts, Senate Bill No. 359
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the Attorney General or an employee of a state agency, quasi-public
agency or Probate Court, as applicable, there shall be a rebuttable
presumption that the personnel action is in retaliation for the action
taken by the employee under subsection (a) of this section or
subdivision (1) of this subsection.
(5) If a state officer or employee, as defined in section 4-141, a quasi-
public agency officer or employee, an officer or employee of a large
state contractor or an appointing authority takes or threatens to take
any action to impede, fail to renew or cancel a contract between a state
agency and a large state contractor, or between a large state contractor
and its subcontractor, in retaliation for the disclosure of information
pursuant to subsection (a) of this section or subdivision (1) of this
subsection to any agency listed in subdivision (1) of this subsection,
such affected agency, contractor or subcontractor may, not later than
ninety days after learning of such action, threat or failure to renew,
bring a civil action in the superior court for the judicial district of
Hartford to recover damages, attorney's fees and costs.
(f) Any employee of a state agency, quasi-public agency, Probate
Court or large state contractor, who is found by the Auditors of Public
Accounts, the Attorney General, a human rights referee or the
Employees' Review Board to have knowingly and maliciously made
false charges under subsection (a) of this section, shall be subject to
disciplinary action by such employee's appointing authority up to and
including dismissal. In the case of a state or quasi-public agency
employee, such action shall be subject to appeal to the Employees'
Review Board in accordance with section 5-202, or in the case of state
or quasi-public agency employees included in collective bargaining
contracts, the procedure provided by such contracts.
(g) On or before September first, annually, the Auditors of Public
Accounts shall submit, in accordance with the provisions of section 11-
4a, to the clerk of each house of the General Assembly a report Senate Bill No. 359
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indicating the number of matters for which facts and information were
transmitted to the auditors pursuant to this section during the
preceding state fiscal year and the disposition of each such matter.
(h) Each contract between a state or quasi-public agency and a large
state contractor shall provide that, if an officer, employee or
appointing authority of a large state contractor takes or threatens to
take any personnel action against any employee of the contractor in
retaliation for such employee's disclosure of information to any
employee of the contracting state or quasi-public agency or the
Auditors of Public Accounts or the Attorney General under the
provisions of subsection (a) or subdivision (1) of subsection (e) of this
section, the contractor shall be liable for a civil penalty of not more
than five thousand dollars for each offense, up to a maximum of
twenty per cent of the value of the contract. Each violation shall be a
separate and distinct offense and in the case of a continuing violation
each calendar day's continuance of the violation shall be deemed to be
a separate and distinct offense. The executive head of the state or
quasi-public agency may request the Attorney General to bring a civil
action in the superior court for the judicial district of Hartford to seek
imposition and recovery of such civil penalty.
(i) Each state agency or quasi-public agency shall post a notice of the
provisions of this section relating to state employees and quasi-public
agency employees in a conspicuous place that is readily available for
viewing by employees of such agency or quasi-public agency. Each
Probate Court shall post a notice of the provisions of this section
relating to Probate Court employees in a conspicuous place that is
readily available for viewing by employees of such court. Each large
state contractor shall post a notice of the provisions of this section
relating to large state contractors in a conspicuous place which is
readily available for viewing by the employees of the contractor.
(j) No person who, in good faith, discloses information in Senate Bill No. 359
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accordance with the provisions of this section shall be liable for any
civil damages resulting from such good faith disclosure.
(k) As used in this section:
(1) "Large state contract" means a contract having a value of five
million dollars or more (A) between an entity and a state or quasi-
public agency, [having a value of five million dollars or more] or (B)
for the receipt of financial assistance by an entity from the state
pursuant to title 32; and
(2) "Large state contractor" means an entity that has entered into a
large state contract with a state or quasi-public agency.
(l) (1) No officer or employee of a state shellfish grounds lessee shall
take or threaten to take any personnel action against any employee of a
state shellfish grounds lessee in retaliation for (A) such employee's
disclosure of information to an employee of the leasing agency
concerning information involving the state shellfish grounds lease, or
(B) such employee's testimony or assistance in any proceeding under
this section.
(2) (A) Not later than ninety days after learning of the specific
incident giving rise to a claim that a personnel action has been
threatened or has occurred in violation of subdivision (1) of this
subsection, an employee of a state shellfish grounds lessee or the
employee's attorney may file a complaint against the state shellfish
grounds lessee concerning such personnel action with the Chief
Human Rights Referee designated under section 46a -57. Such
complaint may be amended if an additional incident giving rise to a
claim under this subdivision occurs subsequent to the filing of the
original complaint. The Chief Human Rights Referee shall assign the
complaint to a human rights referee appointed under section 46a-57,
who shall conduct a hearing and issue a decision concerning whether Senate Bill No. 359
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the officer or employee taking or threatening to take the personnel
action violated any provision of this subsection. The human rights
referee may order a state shellfish grounds lessee to produce (i) an
employee of such lessee to testify as a witness in any proceeding under
this subdivision, or (ii) books, papers or other documents relevant to
the complaint, without issuing a subpoena. If such state shellfish
grounds lessee fails to produce such witness, books, papers or
documents, not later than thirty days after such order, the human
rights referee may consider such failure as supporting evidence for the
complainant. If, after the hearing, the human rights referee finds a
violation, the referee may award the aggrieved employee
reinstatement to the employee's former position, back pay and
reestablishment of any employee benefits for which the employee
would otherwise have been eligible if such violation had not occurred,
reasonable attorneys' fees and any other damages. For the purposes of
this subsection, such human rights referee shall act as an independent
hearing officer. The decision of a human rights referee under this
subsection may be appealed by any person who was a party at such
hearing, in accordance with the provisions of section 4-183.
(B) The Chief Human Rights Referee shall adopt regulations, in
accordance with the provisions of chapter 54, establishing the
procedure for filing complaints and noticing and conducting hearings
under subparagraph (A) of this subdivision.
(3) As an alternative to the provisions of subdivision (2) of this
subsection, an employee of a state shellfish grounds lessee who alleges
that a personnel action has been threatened or taken may, after
exhausting all available administrative remedies, bring a civil action in
accordance with the provisions of subsection (c) of section 31-51m.
(4) In any proceeding under subdivision (2) or (3) of this subsection
concerning a personnel action taken or threatened against any
employee of a state shellfish grounds lessee, which personnel action Senate Bill No. 359
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occurs not later than two years after the employee first transmits facts
and information to an employee of the leasing agency concerning the
state shellfish grounds lease, there shall be a rebuttable presumption
that the personnel action is in retaliation for the action taken by the
employee under subdivision (1) of this subsection.