SB 1071 — AN ACT IMPLEMENTING THE RECOMMENDATIONS OF THE AUDITORS OF PUBLIC ACCOUNTS.

Subsection (d) of section 17a-10c of the general statutes is repealed andthefollowing issubstituted inlieuthereof(EffectiveOctober sSB10711, /2021): File No.

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523 1, 2021):

The caseworker shall certify to the commissioner on a form prescribed by the commissioner that such caseworker has complied with the provisions of thisPublic subsection.Act No.

21-145 9 of 11 Substitute Senate Bill No.

1071 this subsection.

(d) The caseworker of any child placed in an out-of-home placement by the Commissioner of Children and Families pursuant to an order of temporary custody or commitment shall meet in private with the child annually and any time the child is placed in a new out-of-home sSB1071placement, /providedthe Filechild No.is of an appropriate age.

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523 placement, providedthe child is of an appropriate age.

(1) Provide the child with a copy of the Children in Care Bill of Rights and Expectations, (2) review the Children in Care Bill of Rights and Expectations with the child, (3) explain to the child that the child may contact the caseworker, the child's attorney, the Department of Children and Families regional office, the Office of Community Relations within the Department of Children and Families [Office of the Ombudsman] or the Office of the Child Advocate if the child feels that his or her rights have been violated or expectations have not been met under theChildren in Care Bill of Rights and Expectations, and provide the child with contact information for such caseworker, such regional office, the Office of Community Relations within the Department of Children and Families [Office of the Ombudsman] and the Office of the Child Advocate, and (4) explain to the child that if the childisinphysicaldangerorexperiencesamedicalemergency,thechildchildisinphysicaldangerorexperiencesa medicalemergency,thechild may dial or send a text message to 9-1-1.

Such formPublic shallAct includeNo. (A) an acknowledgment, for signature by the child, if appropriate, that such caseworker provided a copy of the Children in Care Bill of Rights and Expectations to the child and reviewed the Children in Care Bill of Rights and Expectations with the child, and (B) notice that, if the child refuses to sign such acknowledgment, such caseworker shall indicate on the form that the child refused to sign such acknowledgment.

21-145 10 of 11 Substitute Senate Bill No.

1071 form shall include (A) an acknowledgment, for signature by the child, if appropriate, that such caseworker provided a copy of the Children in Care Bill of Rights and Expectations to the child and reviewed the Children in Care Bill of Rights and Expectations with the child, and (B) notice that, if the child refuses to sign such acknowledgment, such caseworker shall indicate on the form that the child refused to sign such acknowledgment.

(Effective October 1, 2021) ThisApproved actJuly shall7, take2021 effectPublic asAct followsNo. and shall amend the following sections:

Section21-145 111 Octoberof 1,11 2021 2-90(g) Sec.

2 October 1, 2021 New section Sec.

3 October 1, 2021 2-90(c) Sec.

4 October 1, 2021 New section Sec.

5 October 1, 2021 10-91g(a) sSB1071 / File No.

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523 Sec.

6 October 1, 2021 1-122 Sec.

7 October 1, 2021 31-426 Sec.

8 July 1, 2021 4b-21(e) Sec.

9 October 1, 2021 8-260 Sec.

10 October 1, 2021 15-120kk Sec.

11 October 1, 2021 32-42 Sec.

12 October 1, 2021 1-86e Sec.

13 October 1, 2021 10-292(a) Sec.

14 October 1, 2021 22a-263 Sec.

15 October 1, 2021 10-357b(c) October 1, 2021 Sec.

16 17a-10c(d) Sec.

17 October 1, 2021 17a-10e(d) Sec.

18 October 1, 202 Repealer section GAE Joint Favorable Subst.

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523 The following Fiscal Impact Statement and Bill Analysis are prepared for the benefit of the members of the General Assembly, solely for purposes of information, summarization and explanation and do not represent the intent of the General Assembly or either chamber thereof for any purpose.

In general, fiscal impacts are based upon a variety of informational sources, including the analyst’s professional knowledge.

Whenever applicable, agency data is consulted as part of the analysis, however final products do not necessarily reflect an assessment from any specific department.

OFA Fiscal Note State Impact:

None Municipal Impact:

None Explanation The bill makes various changes to statutes concerning the state auditors that have no fiscal impact.

The bill explicitly prohibits state agencies from denying the auditors access to their records or accounts.

It requires state agencies to notify the auditors at least 15 days before contracting for auditing services and prohibits agencies from entering into these contracts until the auditors advise whether they can perform the work instead.

Beginning October 1, 2021, the bill requires any executed, renewed, or amended contract between a state contracting agency and a contractor to contain a data access provision.

This provision must authorize the state agency to access any contract-related data that the contractor possesses or controls upon demand and in the agency’s prescribed format at no additional cost.

The bill also reduces the amount of time by which a municipality must notify the Department of Administrative Services (DAS) of its intention to acquire surplus state property from 120 days to 60 days.

This has no fiscal impact.

The Out Years State Impact:

None sSB1071 / File No.

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523 Municipal Impact:

None sSB1071 / File No.

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523 OLR Bill Analysis sSB 1071 AN ACT IMPLEMENTING THE RECOMMENDATIONS OF THE AUDITORS OF PUBLIC ACCOUNTS.

SUMMARY This bill makes various changes in statutes about state auditors, auditing, and other related topics.

Among other things, the bill:

1.

explicitly prohibits state agencies from denying the auditors access to their records or accounts (§ 1);

2.

(a) requires certain new or amended state contracts to contain a provision allowing the agency to access any relevant data upon demand, at no additional cost, and in the agency’s prescribed format and (b) similarly allows the auditors access to this data when auditing the agency (§§ 2 & 3);

3.

requires state agencies to notify the auditors at least 15 days before contracting for auditing services and prohibits agencies from entering into these contracts until the auditors advise whether they can perform the work instead (§ 4);

4.

specifies that private providers of special education services are subject to auditing requirements regardless of whether they receive state or local funds directly or indirectly (§ 5);

5.

eliminates provisions (a) requiring the state auditors to approve an annual report by the Connecticut Retirement Security Authority and (b) authorizing the state auditors to prescribe the authority’s accounting methods and rendering of periodical reports (§ 7);

6.

reduces the (a) amount of time by which a municipality must sSB1071 / File No.

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523 notify the Department of Administrative Services (DAS) of its intention to acquire surplus state property from 120 days to 60 days and (b) maximum extension that DAS may grant on this deadline from 60 days to 30 days (§ 8);

7.

conforms certain quasi-public statutes to the general biennial audit requirement (§§ 6, 9-11 & 14-15);

8.

extends provisions on prohibited activities that apply to state- hired consultants and independent contractors under the ethics code to also apply to people they employ (§ 12);

9.

requires DAS, when reviewing final plans any phase of a school building project for conformity with certain requirements (e.g., theState Building Code),to also reviewthem for conformity with school safety infrastructure criteria (§ 13);

10.

replaces references to the Office of the Ombudsman within the Department of Children and Families with its Office of Community Relations (§§ 16 & 17);

and 11.

repeals a provision requiring state auditors to audit Bradley Enterprise Fund reimbursements to the Department of Emergency Services and Public Protection (§ 18).

The bill also makes technical and conforming changes.

EFFECTIVE DATE:

October 1, 2021, except the change to surplus property deadlines is effective July 1, 2021.

§§ 2 & 3 — DATA ACCESS UNDER STATE CONTRACTS State Agency Access (§ 2) Beginning October 1, 2021, the bill requires any executed, renewed, or amended contract between a state contracting agency and a contractor to contain a data access provision.

This provision must authorize the state agency to access any contract-related data that the contractor possesses or controls upon demand and in the agency’s prescribed format at no additional cost.

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523 It applies to any executive branch agency, board, commission, department, office, institutionor council.It doesnot applytothejudicial branch,legislativebranch,ortheofficesofthesecretaryofthestate,state comptroller, attorney general, or state treasurer, with respect to their constitutional functions, or any state agency with respect to contracts specific to the constitutional and statutory functions of the state treasurer‘s office.

Auditors’ Access (§ 3) Under current law, the state auditors must audit, on a biennial basis or as frequently as they deem necessary, the books and accounts of each officer, department, commission, board, and court of state government;

all institutions supported by the state;

and all public and quasi-public bodies, politic and corporate, created by public or special act of the General Assembly and not required to be audited or subject to reporting requirements under the municipal auditing act.

The bill expands this requirement to also include an audit of records of operations and activities and systems and data of these entities.

It specifies that each audit may include an examination of any relevant information about the department, commission, board, or court of state government being audited that is possessed or controlled by a private entity contracted with these entities.

The bill requires this information to be provided upon demand in a format prescribed by the auditors at no cost to the auditors or the department, commission, board or court.

§ 4 — AUDITING CONTRACTS Beginning October 1, 2021, any state agency must notify the state auditors at least 15 days before entering into or amending a contract to purchase auditing services.

It prohibits agencies from entering into or amending such a contract until the auditors have advised whether they can provide the auditing services instead.

The bill applies this requirement to each state board, authority, commission, department, office, institution, council or other agency of the state, including public higher education institution.

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523 It excludes personal service agreements that (1) have a cost between $20,000 to $50,000 and a term of up to one year and (2) cost more than $50,000 or exceed a one-year term.

Under existing law, the Office of Policy and Management secretary must immediately notify the state auditors of any application that she receives for approval of a non- competitively bid personal service agreement for audit services.

She must give the auditors the opportunity to advise her as to whether the services (1) are necessary and, if so, (2) could be provided by the auditors (CGS § 4-215).

§ 12 — CONFLICTS OF INTEREST FOR CONSULTANTS AND INDEPENDENT CONTRACTORS Currently, the law addressing conflicts of interest involving consultants and independent contractors is limited to those hired by state agencies.

The bill similarly extends these prohibitions to persons employed by these consultants and independent contractors.

The prohibited activities include:

1.

using the person’s contractual authority, or any confidential informationacquiredintheperformanceofthecontract,toobtain financial gain for the person, their employee, or their immediate family member;

2.

accepting another state contract that would impair the person’s independent judgment in the performance of the existing contract;

or 3.

accepting anything of value based on an understanding that the actions of the person on behalf of the state would be influenced.

Current law similarly prohibits a person from giving anything of value to a consultant or independent contractor hired by the state based on an understanding that the actions of such consultant or independent contractor would be influenced.

Under the bill, this prohibition extends to giving anything of value to a consultant’s or an independent contractor’s employee under these circumstances.

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523 BACKGROUND Related Bills sSB1015 (§4),favorably reportedby theGovernment Administration and Elections Committee, contains the same surplus property provision as in (§ 8).

sHB 6426 (§ 2) (File 87), favorably reported by the Transportation Committee, amends the same statute being repealed by (§ 18).

sHB 6574, favorably reported by the Government Administration and Elections Committee, contains the same ethics code expansion to people hired by state-hired consultants and independent contractors (§ 12).

COMMITTEE ACTION Government Administration and Elections Committee Joint Favorable Substitute Yea 19 Nay 0 (03/31/2021) sSB1071 / File No.

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