Substitute Senate Bill No. 619
Substitute Senate Bill No. 619
PUBLIC ACT NO. 97-60
AN ACT CONCERNING THE PROTECTION OF
WHISTLE-BLOWERS.
Be it enacted by the Senate and House of
Representatives in General Assembly convened:
Section 1. Section 16-8a of the general
statutes is repealed and the following is
substituted in lieu thereof:
(a) NO PUBLIC SERVICE COMPANY, AS DEFINED IN
SECTION 16-1, HOLDING COMPANY, AS DEFINED IN
SECTION 16-47, OR NUCLEAR REGULATORY COMMISSION
LICENSEE OPERATING A NUCLEAR POWER GENERATING
FACILITY IN THIS STATE, OR PERSON, FIRM,
CORPORATION, CONTRACTOR OR SUBCONTRACTOR DIRECTLY
OR INDIRECTLY PROVIDING GOODS OR SERVICES TO SUCH
PUBLIC SERVICE COMPANY, HOLDING COMPANY OR
LICENSEE, MAY TAKE OR THREATEN TO TAKE ANY
RETALIATORY ACTION AGAINST AN EMPLOYEE FOR HIS
DISCLOSURE OF ANY MATTER INVOLVING THE SUBSTANTIAL
MISFEASANCE, MALFEASANCE OR NONFEASANCE IN THE
MANAGEMENT OF SUCH PUBLIC SERVICE COMPANY, HOLDING
COMPANY OR LICENSEE OR THE DISCLOSURE OF
INFORMATION PURSUANT TO SECTION 31-51m. ANY
EMPLOYEE FOUND TO HAVE KNOWINGLY MADE A FALSE
DISCLOSURE SHALL BE SUBJECT TO DISCIPLINARY ACTION
BY HIS EMPLOYER, UP TO AND INCLUDING DISMISSAL.
[(a)] (b) Any employee of SUCH a public
service company, [as defined in section 16-1, or
of any holding company, as defined in section
16-47, or of any Nuclear Regulatory Commission
licensee operating a nuclear power generating
facility in this state] HOLDING COMPANY OR
LICENSEE, or of any person, firm, corporation,
contractor or subcontractor directly or indirectly
providing goods or services to such a PUBLIC
SERVICE COMPANY, HOLDING company or licensee,
having knowledge of any OF THE FOLLOWING MAY
TRANSMIT ALL FACTS AND INFORMATION IN HIS
POSSESSION TO THE DEPARTMENT OF PUBLIC UTILITY
CONTROL: (1) ANY matter involving substantial
misfeasance, malfeasance or nonfeasance [, or of
the discharge, discipline or other penalizing of a
person reporting] IN THE MANAGEMENT OF SUCH PUBLIC
SERVICE COMPANY, HOLDING COMPANY OR LICENSEE; OR
(2) ANY MATTER INVOLVING RETALIATORY ACTION OR THE
THREAT OF RETALIATORY ACTION TAKEN AGAINST AN
EMPLOYEE WHO HAS REPORTED the misfeasance,
malfeasance or nonfeasance, in the management of
[the company or facility may transmit all facts
and information in his possession concerning such
matter to the Department of Public Utility
Control. The] SUCH PUBLIC SERVICE COMPANY, HOLDING
COMPANY OR LICENSEE. WITH REGARD TO ANY MATTER
DESCRIBED IN SUBDIVISION (1) OF THIS SUBSECTION,
THE department shall investigate such matter in
accordance with the provisions of section 16-8 [.
The department] AND shall not disclose the
identity of such employee without his consent
unless it determines that such disclosure is
unavoidable during the course of the
investigation. WITH REGARD TO ANY MATTER DESCRIBED
IN SUBDIVISION (2) OF THIS SUBSECTION, THE MATTER
SHALL BE HANDLED IN ACCORDANCE WITH THE PROCEDURES
SET FORTH IN SUBSECTIONS (c) AND (d) OF THIS
SECTION.
[(b) No such company or licensee or person,
firm, corporation, contractor or subcontractor
directly or indirectly providing goods or services
to such a company or licensee may take or threaten
to take any retaliatory action against any
employee for the disclosure of information
pursuant to this section and section 31-51m,
provided any employee found to have knowingly made
a false report shall be subject to disciplinary
action by his employer, up to and including
dismissal.]
(c) (1) NOT MORE THAN THIRTY BUSINESS DAYS
AFTER RECEIPT OF A WRITTEN COMPLAINT, IN A FORM
PRESCRIBED BY THE DEPARTMENT, BY AN EMPLOYEE
ALLEGING HIS EMPLOYER HAS RETALIATED AGAINST AN
EMPLOYEE IN VIOLATION OF SUBSECTION (a) OF THIS
SECTION, AND NOT MORE THAN THIRTY BUSINESS DAYS
AFTER THE EFFECTIVE DATE OF THIS ACT FOR ANY SUCH
PENDING WRITTEN COMPLAINT WHICH THE DEPARTMENT
RECEIVED BEFORE THE EFFECTIVE DATE OF THIS ACT,
THE DEPARTMENT SHALL MAKE A PRELIMINARY FINDING IN
ACCORDANCE WITH SUBDIVISION (3) OF THIS
SUBSECTION. THE DEPARTMENT SHALL MAKE ITS FINDINGS
BASED ON SWORN AFFIDAVITS AND VERIFIED DOCUMENTS,
WITHOUT A PUBLIC HEARING.
(2) NOT MORE THAN FIVE BUSINESS DAYS AFTER
RECEIVING A WRITTEN COMPLAINT, IN A FORM
PRESCRIBED BY THE DEPARTMENT, THE DEPARTMENT SHALL
NOTIFY THE EMPLOYER BY CERTIFIED MAIL. SUCH
NOTIFICATION SHALL INCLUDE A COPY OF THE COMPLAINT
OR A DESCRIPTION OF THE ALLEGATIONS MADE IN THE
COMPLAINT IN SUFFICIENT DETAIL TO ALLOW THE
EMPLOYER THE OPPORTUNITY TO RESPOND, ALONG WITH A
NOTICE THAT THE DEPARTMENT MUST RECEIVE ANY
RESPONSE FROM THE EMPLOYER NOT MORE THAN FIVE
BUSINESS DAYS AFTER THE EMPLOYER RECEIVES SUCH
NOTIFICATION. THE DEPARTMENT SHALL CONSIDER ANY
RESPONSE IT HAS TIMELY RECEIVED FROM THE EMPLOYER
IN MAKING ITS PRELIMINARY FINDING. ANY FILING
RECEIVED AFTER FIVE BUSINESS DAYS SHALL BE
CONSIDERED BY THE DEPARTMENT ONLY UPON A SHOWING
OF GOOD CAUSE AND AT THE DISCRETION OF THE
DEPARTMENT.
(3) THERE SHALL BE A REBUTTABLE PRESUMPTION
THAT AN EMPLOYEE WAS RETALIATED AGAINST IN
VIOLATION OF SUBSECTION (a) OF THIS SECTION IF THE
DEPARTMENT FINDS THAT: (A) THE EMPLOYEE HAD
REPORTED SUBSTANTIAL MISFEASANCE, MALFEASANCE OR
NONFEASANCE IN THE MANAGEMENT OF THE PUBLIC
SERVICE COMPANY, HOLDING COMPANY OR LICENSEE; (B)
THE EMPLOYEE WAS SUBSEQUENTLY DISCHARGED,
SUSPENDED, DEMOTED OR OTHERWISE PENALIZED BY
HAVING HIS STATUS OF EMPLOYMENT CHANGED BY HIS
EMPLOYER; AND (C) THE EMPLOYEE'S REPORT WAS NOT
KNOWINGLY FALSE.
(4) IF SUCH FINDINGS ARE MADE, THE DEPARTMENT
SHALL ISSUE AN ORDER REQUIRING THE EMPLOYER TO
IMMEDIATELY RETURN THE EMPLOYEE TO THE EMPLOYEE'S
PREVIOUS POSITION OF EMPLOYMENT OR AN EQUIVALENT
POSITION.
[(c)] (d) AFTER MAKING A PRELIMINARY FINDING
IN ACCORDANCE WITH THE PROVISIONS OF SUBSECTION
(c) OF THIS SECTION, THE DEPARTMENT SHALL CONDUCT
A FULL INVESTIGATORY PROCEEDING IN ACCORDANCE WITH
THE PROVISIONS OF SECTION 16-8, AT WHICH TIME THE
EMPLOYER SHALL HAVE THE OPPORTUNITY TO REBUT THE
PRESUMPTION. The Department of Public Utility
Control may issue orders [, including cease and
desist orders, under section 16-9] or impose CIVIL
penalties [under section 16-41] IN A MANNER THAT
CONFORMS WITH THE NOTICE AND HEARING PROVISIONS IN
SECTION 16-41 AGAINST A PUBLIC SERVICE COMPANY,
HOLDING COMPANY OR LICENSEE OR A PERSON, FIRM,
CORPORATION, CONTRACTOR OR SUBCONTRACTOR DIRECTLY
OR INDIRECTLY PROVIDING GOODS OR SERVICES TO SUCH
PUBLIC SERVICE COMPANY, HOLDING COMPANY OR
LICENSEE, IN ORDER to enforce the provisions of
this section.
(e) IF AN EMPLOYEE OR FORMER EMPLOYEE OF SUCH
A PUBLIC SERVICE COMPANY, HOLDING COMPANY OR
LICENSEE, OR OF A PERSON, FIRM, CORPORATION,
CONTRACTOR OR SUBCONTRACTOR DIRECTLY OR INDIRECTLY
PROVIDING GOODS OR SERVICES TO SUCH A PUBLIC
SERVICE COMPANY, HOLDING COMPANY OR LICENSEE,
HAVING KNOWLEDGE OF ANY MATTER INVOLVING THE
SUBSTANTIAL MISFEASANCE, MALFEASANCE OR
NONFEASANCE IN THE MANAGEMENT OF SUCH PUBLIC
SERVICE COMPANY, HOLDING COMPANY OR LICENSEE,
ENTERS INTO AN AGREEMENT WITH HIS EMPLOYER THAT
CONTAINS A PROVISION DIRECTLY OR INDIRECTLY
DISCOURAGING THE EMPLOYEE FROM PRESENTING A
WRITTEN COMPLAINT OR TESTIMONY CONCERNING SUCH
MISFEASANCE, MALFEASANCE OR NONFEASANCE IN ANY
LEGISLATIVE, ADMINISTRATIVE OR JUDICIAL
PROCEEDING, SUCH PROVISION SHALL BE VOID AS
AGAINST PUBLIC POLICY.
[(d)] (f) [Not later than January 1, 1997,
the] THE Department of Public Utility Control
shall adopt regulations, in accordance with
chapter 54, to carry out the provisions of this
section. Such regulations shall include the
following: (1) The procedures by which a complaint
may be brought pursuant to subsection (a) of this
section; (2) the time period in which such a
complaint may be brought; [and] (3) the time
period by which the department shall render a
decision PURSUANT TO SUBSECTION (d) OF THIS
SECTION; (4) THE FORM ON WHICH WRITTEN COMPLAINTS
SHALL BE SUBMITTED TO THE DEPARTMENT BY AN
EMPLOYEE PURSUANT TO SUBSECTION (c) OF THIS
SECTION; and (5) the requirement that a notice be
posted in the workplace informing all employees [,
and] OF ANY PUBLIC SERVICE COMPANY, HOLDING
COMPANY AND LICENSEE AND OF any person, firm,
corporation, contractor or subcontractor directly
or indirectly providing goods or services to a
company or licensee, as defined in subsection
[(a)] (b) of this section, of their rights under
this section, INCLUDING THE RIGHT TO BE REINSTATED
IN ACCORDANCE WITH SUBSECTION (c) OF THIS SECTION.
Sec. 2. This act shall take effect from its
passage.
Approved May 27, 1997