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OLR Bill Analysis
sHB 6474
AN ACT CONCERNING COLLATERAL EMPLOYMENT
CONSEQUENCES OF A CRIMINAL RECORD.
SUMMARY
This bill generally makes it a discriminatory practice for employers
with at least three employees to deny employment to someone solely
because of their “criminal history record information” (i.e., criminal
records). It similarly makes it a discriminatory practice for state
licensing agencies to deny an occupational license, permit, certificate,
or registration to someone solely because of their criminal records. By
law, someone aggrieved by a discriminatory practice may file a
discrimination complaint with the Commission on Human Rights and
Opportunities, which investigates and enforces anti-discrimination
laws.
However, the bill allows employers and licensing agencies to deny
employment or a license if an individualized assessment shows that
the denial is consistent with business necessity because (1) there is a
substantial nexus between the circumstances of the person’s criminal
records and prospective employment or license; (2) there is substantial
evidence that the person has not been rehabilitated; and (3) insufficient
time has passed since the acts underlying the criminal records.
The bill also exempts certain positions, such as those in law
enforcement agencies and those for which a law specifically
disqualifies someone because of a prior criminal conviction. And it
allows a law that requires an employer to discriminate based on
criminal records to be a defense to a discriminatory practice claim.
The bill also makes it a discriminatory practice for any professional
or trade association, board, or other organization representing a
profession, trade, or occupation that requires a state license to refuse to 2021HB-06474-R000386-BA.DOCX
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accept someone as a member because of his or her criminal records.
The bill limits the circumstances under which various occupational
licensing agencies, boards, and commissions, may take disciplinary
action against a practitioner (e.g., by revoking or suspending a license)
because the practitioner was found guilty or convicted of a felony. It
allows them to do so only when the felony is reasonably related to
practitioner’s ability to safely or competently perform the duties or
responsibilities associated with the license, certificate, permit,
registration, or practice.
The bill establishes the 10-member Council on the Elimination of
Occupational License Collateral Consequences and requires it to
identify state laws that create barriers for someone to obtain an
occupational license based on their criminal records. The bill also
requires several state agencies to report certain information about their
practices and procedures for performing background checks.
It also makes various minor, technical, and conforming changes.
EFFECTIVE DATE: October 1, 2021, except the provision
establishing the Council on the Elimination of Occupational License
Collateral Consequences (§ 8) is effective July 1, 2021.
§ 2 — DEFINITIONS
Under the bill, “criminal history record information” includes court
records and information obtained from the Judicial Department about
(1) arrests, releases, detentions, indictments, and information; (2) other
formal criminal charges or any events and outcomes arising from
them, including pleas, trials, convictions, sentences, appeals,
incarcerations, correctional supervision, paroles and releases, and
outstanding judgments; and (3) any other conviction information or
any records, documents, and information based on them.
“Occupational license” means any license, permit, certificate,
registration, or other means to engage in an occupation, trade,
vocation, business, or profession. A “licensing agency” is a board,
agency, department, commission, or other state agency authorized to 2021HB-06474-R000386-BA.DOCX
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grant or deny occupational licenses.
“Employers” under the bill are all employers with at least three
employees, including the state and its political subdivisions.
§§ 3-4 & 6 — DENIALS OF EMPLOYMEN T OR OCCUPATIONAL
LICENSES
Denial Solely Because of Criminal Records (§ 3(a))
Current law generally prohibits the state from disqualifying
someone from state employment or from practicing, pursuing, or
engaging in an occupation, trade, vocation, profession, or business that
requires a state-issued license, permit, certificate, or registration solely
because of the person’s prior conviction of a crime.
The bill expands this prohibition to cover all “employers” and the
actions taken directly or through their agents. It also broadens the
protections to prohibit (1) discrimination in terms, conditions, or
privileges of employment and (2) actions taken solely based on the
person’s criminal records, rather than only convictions.
Exceptions. Under the bill, as under current law, the above
prohibitions do not apply to (1) licenses for a mortgage lender,
mortgage correspondent lender, or mortgage broker or (2) law
enforcement agencies (see below).
Denial by Reason of Criminal Records (§ 3(b)-(c))
Current law generally allows the state to deny employment or an
occupational license to someone by reason of their prior criminal
conviction only after considering (1) the nature of the crime and its
relationship to the job for which the person applied; (2) information
about the extent of the person’s rehabilitation; and (3) how much time
has passed since the person’s conviction or release from incarceration.
The bill instead generally prohibits employers and employment
agencies from denying employment, and the state and state agencies
from denying an occupational license, to someone by reason of their
criminal records unless they first conduct an individualized
assessment. As under current law, the prohibition does not apply to 2021HB-06474-R000386-BA.DOCX
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positions for which a state law specifically disqualifies someone from
employment because of their criminal records for a prior criminal
conviction.
Individualized Assessment. Under the bill, employment may be
denied if, after conducting an individualized assessment, the employer
or employment agency determines in good faith that the denial is
consistent with business necessity because:
1. there is a substantial nexus between the circumstances of the
person’s criminal records and prospective employment,
considering the specific facts of the criminal records and the
job’s essential functions and specific circumstances;
2. there is substantial evidence that the person has not been
rehabilitated; and
3. insufficient time has passed since the acts underlying the
criminal records.
As current law requires for the state, the bill requires that an
employer (but not an employment agency), in determining whether
the person has been rehabilitated, presume that a provisional pardon
or certificate of rehabilitation establishes that the person has been
rehabilitated.
Denials. Under the bill, if the employer denies the application
based in whole or in part on someone’s criminal records, it must give
the applicant a written statement of its reasons for doing so. Current
law requires the state to do this when it denies an application based on
a conviction for which the applicant received a provisional pardon or
certificate of rehabilitation.
Similar to the current law for the state, if criminal records are used
as a basis for rejecting an applicant, the rejection must (1) be in writing,
(2) specifically state the evidence presented and reasons for rejection,
and (3) be sent to the applicant by registered mail.
The bill also prohibits any state department, board, or agency from 2021HB-06474-R000386-BA.DOCX
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permitting any discriminatory practice that violates the provisions
described above (§ 6).
Denial of Occupational License on the Basis of Criminal Records
(§ 4(a))
Under the bill, an occupational license must not be denied to
someone on the basis of their criminal records unless the licensing
agency responsible for issuing the license conducts an individualized
assessment. (It is unclear how denying a license “on the basis of”
criminal records differs from denying one “by reason of” criminal
records, as previously described.)
As with the employment provision, the bill allows a licensing
agency to deny an occupational license if, after conducting an
individualized assessment, the agency determines in good faith that:
1. there is a substantial nexus between the circumstances of the
person’s criminal records and the occupational license,
considering the specific facts of the criminal records and the
license holder’s essential functions;
2. there is substantial evidence that the person has not been
rehabilitated; and
3. insufficient time has passed since the acts underlying the
criminal records.
In determining whether the person has been rehabilitated, the
licensing agency must presume that a provisional pardon or certificate
of rehabilitation establishes that the person has been rehabilitated. If
the licensing agency denies the application, based in whole or in part
on criminal records, it must give the applicant a written statement of
its reasons for doing so.
Relation to Other State Laws. Current law provides that the laws
that generally prohibit the state from denying employment or an
occupational license to someone because of a prior criminal conviction
prevail over other laws that govern the (1) denial of occupational 2021HB-06474-R000386-BA.DOCX
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licenses on the grounds of someone’s good moral character or (2)
suspension or revocation of occupational licenses on the grounds of a
criminal conviction. The bill broadens this provision to also cover
when these actions are taken on the grounds of someone’s criminal
records. As under the current law, this does not cover licenses for a
mortgage lender, mortgage correspondent lender, or mortgage broker
(§ 4).
Job Ads (§ 3(c))
The bill generally prohibits employers and employment agencies
from advertising employment opportunities in a way that restricts the
employment for applicants with criminal records. But it exempts
positions for which state law specifically disqualifies someone form
employment because of their criminal records.
§ 4 — LAW ENFORCEMENT EXCE PTION
Current law exempts law enforcement agencies from the laws that
generally prohibit the state from denying employment to someone
because of a prior criminal conviction. The bill further specifies that it
is not a discriminatory practice for a law enforcement agency to take
the following actions against someone based on their criminal records:
(1) refuse to hire or employ; (2) bar or discharge from employment; or
(3) discriminate in compensation or terms, conditions, or privileges of
employment.
As under current law, the bill specifies that it does not preclude law
enforcement agencies from adopting the policy set forth in the
provisions of the bill described above or in the statutory statement on
discrimination based on criminal records (see § 1 below; the bill also
references several other statutes and sections of the bill that do not
appear to be applicable).
§ 7 — DEFENSES TO DISCRIMINATION CLAIMS
Under the bill, to the extent that another governing law, including
federal law, requires an employer to discriminate based on criminal
records, the other governing law is a defense to a claim of
discriminatory practice. 2021HB-06474-R000386-BA.DOCX
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The bill also requires that in a civil action for the death to, injury of,
or damage to a third person caused by the intentional act of someone
with criminal records, anyone who employs a person with criminal
records must be presumed to have been not negligent in entering into
transactions mandated by state law’s relevant provisions.
§§ 9-31 — OCCUPATIONAL LICENSE DISCIPLINARY ACTIONS
Embalmers and Funeral Directors (§ 9)
The law generally authorizes the Department of Health (DPH) to
deny an occupational permit or license for an applicant who has been
found guilty or convicted of a felony (in Connecticut, under federal
law, or in any other jurisdiction if it would have been a felony in
Connecticut). Under current law, however, DPH cannot do this for
barbers, hairdressers, or cosmeticians. The bill broadens this exception
to also cover licenses for embalmers and funeral directors.
Immediate Disciplinary Actions (§ 10)
Current law allows various occupational licensing boards or
commissions, and DPH, to take certain actions against a practitioner
summarily (immediately) if they receive proof that the practitioner
was found guilty or convicted of a felony. These disciplinary actions
include summarily revoking or suspending a license or permit,
censuring or reprimanding the practitioner, limiting or restricting the
practitioner’s practice, placing the practitioner on probationary status,
and assessing a civil penalty up to $25,000.
Under the bill, these disciplinary actions cannot be taken summarily
against licensed clinical social workers and master social workers,
professional counselors, art therapists, dietician-nutritionists,
embalmers or funeral directors, barbers, hairdressers, cosmeticians,
estheticians, eyelash technicians, or nail technicians who were found
guilty or convicted of a felony.
Regular Disciplinary Actions (§§ 11-30)
Current law also allows the various occupational licensing boards
or commissions and state agencies to take certain actions (but not
summarily) against a practitioner who was convicted of a felony. 2021HB-06474-R000386-BA.DOCX
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These actions may include the full range of disciplinary actions
discussed above or be limited to revoking or suspending the applicable
license, permit, or certification. In some instances, they also include
denying a license or license renewal.
The bill limits the circumstances under which these actions may be
taken by allowing them only when the felony conviction is reasonably
related to practitioner’s ability to safely or competently perform the
duties or responsibilities associated with the license, certificate, permit,
registration, or practice (as applicable). Table 1 shows the occupations
to which the bill applies these limitations.
Table 1: Occupations with Disciplinary Actions Limited by the Bill
Bill
Section
Statute
(CGS §)
Occupation
11 20-195p Clinical social worker and master social worker
12 20-195ee Professional counselor
13 20-195qqq Art therapist
14 20-206s Dietician-nutritionist
15 20-265b Esthetician
16 20-265c Eyelash technician
17 20-265d Nail technician
18 20-281a Public accountant
19 20-294 Architect
20 20-334 Tradesperson in electrical; plumbing and piping; solar;
heating, piping, cooling, and sheet metal; fire
protection sprinkler systems; elevator installation,
repair, and maintenance; irrigation; automotive glass;
flat glass; or gas hearth work field
Residential stair lift technician; swimming pool builder
(and other occupations covered by Chapter 393) 2021HB-06474-R000386-BA.DOCX
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21 20-341gg Major contractor
22 20-363 Sanitarian
23 20-442a Asbestos contractor and consultant
24 20-481 Lead abatement consultant, contractor, and worker
25 20-540 Public service gas technician
26 22a-66e Pesticide application business
(also similarly limits the ability to deny a registration)
27 23-61i Arborist business
(also similarly limits the ability to deny a certificate or
registration)
28 29-158 Private detective business
29 29-161v Security service, security officer, and security officer
instructor
30 30-47 Liquor permittee
(also similarly limits the ability to grant or renew a
permit)
Trades Licenses (§ 31)
The bill eliminates a current requirement that applicants for certain
licenses be of “good moral character” (see occupations under § 20 in
Table 1 above).
It also allows the DCP commissioner to issue a license (presumably
for these occupations) under a consent order that sets conditions an
applicant must meet if the applicant was convicted of a felony and the
crime is reasonably related to the applicant's ability to safely or
competently perform the duties or responsibilities associated with the
license.
§ 8 — COUNCIL ON THE ELIMI NATION OF OCCUPATION AL
LICENSE COLLATERAL C ONSEQUENCES
The bill establishes the Council on the Elimination of Occupational
License Collateral Consequences as part of the Legislative Department. 2021HB-06474-R000386-BA.DOCX
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The council must identify state statutes, regulations, and other laws
that create barriers for someone to obtain an occupational license based
on their criminal records or that otherwise conflict with § 4 of the bill.
The council must also develop recommendations for amending or
eliminating these laws to ensure their compliance with § 3 of the bill
and the statutory statement on discrimination based on criminal
records (see § 1 summary below; the bill also references several other
statutes and sections of the bill that do not appear to be applicable).
The bill requires the council, by February 1, 2021, to submit a report
on its recommendations to Labor Committee (the council will be
unable to meet this deadline as it has already passed).
Council Members
The bill establishes the council with seven ex-officio members and
three appointed members. The ex-officio members are the (1)
chairpersons and ranking members of the Labor Committee; (2) the
labor commissioner; (3) the consumer protection commissioner; and (4)
the executive director of the Commission on Human Rights and
Opportunities. All of the ex-officio members may appoint designees to
the council; however, the designees of the Labor Committee’s
chairpersons and ranking members must be members of the General
Assembly.
The three appointed council members are as follows: the Labor
Committee’s House chairperson must appoint a justice-impacted
person and a representative from the Institute for Municipal and
Regional Policy, and the Labor Committee’s Senate chairperson must
appoint a representative from the American Civil Liberties Union of
Connecticut.
The bill requires the Labor Committee’s House and Senate
chairpersons to serve as the council’s chairpersons and hold its first
meeting by August 29, 2021. After that, the council must meet upon
the call of the chairpersons or upon the call of a majority of the council
members. The Labor Committee’s administrative staff must serve as
the council’s administrative staff. 2021HB-06474-R000386-BA.DOCX
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§ 32 — STATE AGENCY REPORTS ON BACKGROUND CHECKS
The bill requires several state agencies to report certain information
about background checks to the Office of Policy and Management
within 90 days (presumably after the provision becomes effective on
October 1, 2021). The agencies that must report are the departments of
Administrative Services, Agriculture, Consumer Protection,
Correction, Emergency Services and Public Protection, Public Health,
Labor, and the Office of Early Childhood.
The agencies must report on the following topics:
1. the number of employees that perform background checks
related to the agency's licensing functions, their job
classifications, and the type or level of clearance of the
background checks that are being performed;
2. the number of hours each employee spends on average per
week performing background checks; and
3. for any licenses that require an applicant to already have some
education or training, the feasibility of establishing a criminal
history preclearance assessment before the applicants begin the
education or training.
They must also (1) assess the feasibility of centralizing and
standardizing the background checks performed by state agencies and
(2) address any related issues of delegating authority by the agencies.
§ 1 — STATEMENT ON EMPLOYMENT OF CRIMIN AL OFFENDERS
Current law states that the legislature finds that the public is best
protected when criminal offenders are rehabilitated and returned to
society prepared to take their places as productive citizens and that
their ability to find meaningful employment is directly related to their
normal functioning in the community. It further states that it is the
state’s policy to encourage all employers to favorably consider
providing jobs to qualified individuals, including those who may have
criminal conviction records. 2021HB-06474-R000386-BA.DOCX
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The bill expands this statement to (1) also cover people who have
been arrested or convicted and (2) specify that their normal
functioning in the community is also directly related to their ability to
find meaningful occupations, housing, and higher education. It adds
that the legislature finds that African-Americans and Hispanics are
arrested and incarcerated at rates disproportionate to their
representation in the general population and that discrimination in
occupation, employment, housing, and higher education based on
criminal history records has a disparate impact based on race, ancestry,
and national origin.
It also revises the statement on state policy to say that it prohibits all
employers, landlords, and higher education institutions from
discriminating on the basis of criminal history records, except as
otherwise allowed under the laws on human rights and opportunities.
(It does not appear that this section’s provisions have a legal effect.)
BACKGROUND
Related Bills
sHB 6431, favorably reported by the Housing Committee, generally
prohibits discrimination in rental housing based on an individual's
criminal record and allows aggrieved individuals to report alleged
violations to the Commission on Human Rights and Opportunities.
HB 6445, favorably reported by the General Law Committee, also
requires several state agencies to report certain information about their
practices and procedures for performing background checks.
SB 355, reported favorably by the Housing Committee, requires the
Department of Housing to adopt regulations establishing a limited
time period immediately preceding a rental application during which
landlords and housing authorities may consider a prospective tenant’s
criminal records in evaluating his or her application.
COMMITTEE ACTION
Labor and Public Employees Committee
Joint Favorable Substitute 2021HB-06474-R000386-BA.DOCX
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Yea 10 Nay 3 (03/23/2021)