Bill Text: NY S06433 | 2009-2010 | General Assembly | Introduced
Bill Title: Relates to establishing the whistleblower empowerment and notification act, requiring certain disclosures to be made covered parties and provides penalties for violations of this act.
Spectrum: Partisan Bill (Democrat 1-0)
Status: (Engrossed - Dead) 2010-06-16 - referred to labor [S06433 Detail]
Download: New_York-2009-S06433-Introduced.html
S T A T E O F N E W Y O R K
________________________________________________________________________
6433
I N S E N A T E
January 8, 2010
___________
Introduced by Sen. SCHNEIDERMAN -- read twice and ordered printed, and
when printed to be committed to the Committee on Finance
AN ACT to amend the state finance law, in relation to establishing the
whistleblower empowerment and notification act and to repeal section
1269-g of the public authorities law relating to requiring certain
contractors to post information on employee rights
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
1 Section 1. This act shall be known and may be cited as the "whistle-
2 blower empowerment and notification act".
3 S 2. The state finance law is amended by adding a new article 13-A to
4 read as follows:
5 ARTICLE 13-A
6 MANDATORY NOTIFICATION OF WHISTLEBLOWER RIGHTS
7 SECTION 195. DEFINITIONS.
8 196. DISCLOSURE REQUIREMENTS.
9 197. MANDATORY CONTRACT CLAUSES AND PENALTIES.
10 S 195. DEFINITIONS. AS USED IN THIS ARTICLE:
11 1. "STATE" SHALL INCLUDE THE STATE OF NEW YORK AND ANY STATE DEPART-
12 MENT, BOARD, BUREAU, DIVISION, COMMISSION, COMMITTEE, PUBLIC BENEFIT
13 CORPORATION, PUBLIC AUTHORITY, COUNCIL, OFFICE OR OTHER GOVERNMENTAL
14 ENTITY PERFORMING A GOVERNMENTAL OR PROPRIETARY FUNCTION FOR THE STATE.
15 2. "LOCAL GOVERNMENT" SHALL INCLUDE ANY COUNTY, CITY, TOWN, VILLAGE,
16 SCHOOL DISTRICT, BOARD OF COOPERATIVE EDUCATIONAL SERVICES, LOCAL PUBLIC
17 BENEFIT CORPORATION OR OTHER MUNICIPAL CORPORATION OR POLITICAL SUBDIVI-
18 SION OF THE STATE.
19 3. A. "COVERED PARTY" INCLUDES ANY CONTRACTOR, SUBCONTRACTOR OR GRAN-
20 TEE, WHETHER AN INDIVIDUAL, PARTNERSHIP, CORPORATION OR OTHER BUSINESS
21 ENTITY, THAT:
22 (1) RECEIVES, OR PURSUANT TO ONE OR MORE CONTRACTS OR GRANTS SHALL
23 RECEIVE, FUNDS OR PROPERTY VALUED IN THE AGGREGATE IN AN AMOUNT EQUAL TO
24 OR GREATER THAN THREE HUNDRED THOUSAND DOLLARS IN ANY TWELVE-MONTH PERI-
25 OD FROM:
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD15363-02-0
S. 6433 2
1 (A) THE STATE, ONE OR MORE LOCAL GOVERNMENTS, OR ANY COMBINATION THER-
2 EOF; OR
3 (B) ANY OTHER CONTRACTOR, SUBCONTRACTOR, GRANTEE OR OTHER RECIPIENT OF
4 FUNDS OR PROPERTY THAT IS SPENT OR USED ON THE STATE OR A LOCAL GOVERN-
5 MENT'S BEHALF OR TO ADVANCE A STATE OR LOCAL GOVERNMENT PROGRAM OR
6 INTEREST, WHERE SUCH STATE OR LOCAL GOVERNMENT EITHER (I) PROVIDES OR
7 HAS PROVIDED ANY PORTION OF SUCH FUNDS OR PROPERTY, OR (II) WILL REIM-
8 BURSE SUCH CONTRACTOR, SUBCONTRACTOR, GRANTEE OR OTHER RECIPIENT FOR ANY
9 PORTION OF THE MONEY OR PROPERTY RECEIVED; OR
10 (2) IS OBLIGATED TO PAY OR TRANSMIT FUNDS OR PROPERTY, OTHER THAN
11 TAXES, TO THE STATE, ONE OR MORE LOCAL GOVERNMENTS, OR ANY COMBINATION
12 THEREOF VALUED IN THE AGGREGATE IN AN AMOUNT EQUAL TO OR GREATER THAN
13 THREE HUNDRED THOUSAND DOLLARS IN ANY TWELVE-MONTH PERIOD, PURSUANT TO
14 OBLIGATIONS ARISING FROM ONE OR MORE EXPRESS OR IMPLIED CONTRACTUAL,
15 GRANTOR-GRANTEE OR LICENSOR-LICENSEE RELATIONSHIPS, OR FROM FEE-BASED OR
16 SIMILAR RELATIONSHIPS, OR FROM STATUTES OR REGULATIONS.
17 B. NOTWITHSTANDING PARAGRAPH A OF THIS SUBDIVISION:
18 (1) AN INDIVIDUAL SHALL NOT BE DEEMED TO BE A COVERED PARTY SOLELY
19 BECAUSE OF ANY FUNDS RECEIVED AS COMPENSATION FOR WORK PERFORMED AS AN
20 EMPLOYEE OF THE STATE OR A LOCAL GOVERNMENT, OR AS AN INCOME SUBSIDY
21 WITH NO RESTRICTIONS ON THAT INDIVIDUAL'S USE OF THE MONEY OR PROPERTY.
22 (2) A CONTRACTOR, SUBCONTRACTOR, GRANTEE OR OTHER RECIPIENT SHALL NOT
23 BE DEEMED TO BE A COVERED PARTY IF SUBJECT TO THE NOTIFICATION REQUIRE-
24 MENTS SET FORTH IN SECTION SIX THOUSAND THIRTY-TWO OF THE UNITED STATES
25 DEFICIT REDUCTION ACT OF TWO THOUSAND FIVE, PUBLIC LAW 109-171.
26 S 196. DISCLOSURE REQUIREMENTS. 1. COVERED PARTIES SHALL:
27 A. POST INFORMATION CONFORMING TO THE PROVISIONS OF SUBDIVISION TWO OF
28 THIS SECTION, IN A PROMINENT AND ACCESSIBLE PLACE AT ANY WORKPLACE SITE
29 AND OFFICE WHERE PERSONS WHO PERFORM WORK ON THE CONTRACT OR ANY SUBCON-
30 TRACT, INCLUDING MANAGEMENT, ARE LIKELY TO SEE SUCH POSTING. THIS
31 REQUIREMENT SHALL BE SATISFIED BY THE DISPLAYING OF SUCH INFORMATION
32 ALONG WITH OTHER NOTICES THAT INFORM PERSONS OF RIGHTS UNDER FEDERAL OR
33 STATE LAWS OR RULES, HUMAN RESOURCES POLICIES, OR COLLECTIVE BARGAINING
34 AGREEMENTS. SUCH POSTED STATEMENTS SHALL BE WRITTEN IN PLAIN ENGLISH AND
35 ENTITLED IN FONT NO SMALLER THAN TWO INCHES IN HEIGHT AND TWO INCHES IN
36 WIDTH WITH THE PHRASE "NY WHISTLEBLOWER PROTECTIONS AND REWARDS", AND IF
37 POSTED OUTDOORS, CONSTRUCTED OF MATERIALS CAPABLE OF WITHSTANDING
38 ADVERSE WEATHER CONDITIONS;
39 B. POST INFORMATION CONFORMING TO THE PROVISIONS OF SUBDIVISION TWO OF
40 THIS SECTION ON THE HOME PAGE OF AN INTERNET AND INTRANET WEBSITE, IF
41 ANY, OF THAT PERSON OR BUSINESS ORGANIZATION; PROVIDED THAT THIS
42 REQUIREMENT SHALL BE SATISFIED BY PROVIDING ON THE HOME PAGE OF SUCH
43 WEBSITE A CONSPICUOUS HYPERLINK TO THE WEBSITE MAINTAINED PURSUANT TO
44 SUBDIVISION THREE OF THIS SECTION, WHICH HYPERLINK SHALL BE LABELED "NY
45 WHISTLEBLOWER PROTECTIONS AND REWARDS";
46 C. DISTRIBUTE INFORMATION SPECIFIED IN SUBDIVISION TWO OF THIS SECTION
47 TO THOSE PERSONS, INCLUDING EMPLOYEES AND MANAGERS, WHO PERFORM WORK ON
48 THE CONTRACT; PROVIDED THAT THIS REQUIREMENT SHALL BE SATISFIED BY
49 DISTRIBUTING SUCH INFORMATION IN AN EMPLOYEE HANDBOOK AND THROUGH A
50 SPECIFIC ELECTRONIC COMMUNICATION CONTAINING THE INFORMATION TO A KNOWN
51 ELECTRONIC MAIL ADDRESS, IF ANY, PROVIDED TO THE PERSON BY THE COVERED
52 PARTY; AND
53 D. PROVIDE EVIDENCE OF COMPLIANCE WITH THIS ARTICLE TO THE STATE OR
54 LOCAL GOVERNMENT AGENCY PAYING THE MONEY OR PROPERTY TO THE COVERED
55 PARTY, OR TO WHICH THE COVERED PARTY HAS AN OBLIGATION TO PAY OR TRANS-
56 MIT MONEY OR PROPERTY.
S. 6433 3
1 2. THE DISCLOSURES REQUIRED BY SUBDIVISION ONE OF THIS SECTION SHALL:
2 A. PROVIDE THE TELEPHONE NUMBERS OF (I) THE PUBLIC INTEGRITY BUREAU OR
3 FRAUD HOTLINE OF THE ATTORNEY GENERAL OF THE STATE; (II) THE INSPECTOR
4 GENERAL, IF ANY, OF THE STATE OR LOCAL GOVERNMENT AGENCY OR AUTHORITY
5 PAYING MONEY RECEIVED BY THE COVERED PARTY, OR TO WHICH THE COVERED
6 PARTY OWES AN OBLIGATION; AND (III) THE DEPARTMENT OF INVESTIGATION OF
7 ANY CITY WITH A POPULATION OF ONE MILLION OR MORE IF THE SUBJECT FUNDS
8 OR PROPERTY ARE PAID, TO BE PAID OR RECEIVED OR TO BE RECEIVED BY SUCH
9 CITY;
10 B. DESCRIBE IN DETAIL CONDUCT PROHIBITED BY SECTION ONE HUNDRED EIGHT-
11 Y-NINE OF THIS CHAPTER, AND THE ROLE OF THAT ACT IN PREVENTING AND
12 DETECTING FRAUD AND ABUSE IN WORK PAID FOR BY THE STATE OR A LOCAL
13 GOVERNMENT;
14 C. NOTIFY PROSPECTIVE QUI TAM PLAINTIFFS ON HOW TO FILE A QUI TAM
15 ACTION, INCLUDING THE NECESSITY TO CONTACT PRIVATE COUNSEL SKILLED IN
16 FILING SUCH ACTIONS AND OF THE POTENTIAL FOR CASH AWARDS OF UP TO THE
17 MAXIMUM PERCENTAGE OF AWARDS ALLOWED UNDER SUBDIVISION SIX OF SECTION
18 ONE HUNDRED NINETY OF THIS CHAPTER; AND
19 D. DESCRIBE THE PROHIBITIONS AGAINST EMPLOYER RETALIATION SPECIFIED IN
20 SECTION ONE HUNDRED NINETY-ONE OF THIS CHAPTER AGAINST PERSONS WHO FILE
21 OR ASSIST ACTIONS UNDER ARTICLE THIRTEEN OF THIS CHAPTER OR WHO REPORT
22 ILLEGAL CONDUCT THAT THREATENS THE HEALTH OR SAFETY OF THE PUBLIC PURSU-
23 ANT TO SECTION SEVEN HUNDRED FORTY OF THE LABOR LAW.
24 3. NO LATER THAN THIRTY DAYS AFTER THE EFFECTIVE DATE OF THIS ARTICLE,
25 THE ATTORNEY GENERAL SHALL ESTABLISH AND CONTINUOUSLY MAINTAIN ON ITS
26 PUBLIC WEBSITE A PAGE THAT SHALL PROVIDE THE INFORMATION SPECIFIED IN
27 SUBDIVISION TWO OF THIS SECTION, AND THAT SHALL ALSO PROVIDE SAMPLE
28 STATEMENTS, DISPLAYS AND OTHER MATERIALS THAT COVERED PARTIES SHALL USE
29 TO SATISFY THE DISCLOSURE REQUIREMENTS OF THIS SECTION.
30 S 197. MANDATORY CONTRACT CLAUSES AND PENALTIES. 1. ON AND AFTER THE
31 EFFECTIVE DATE OF THIS SECTION, NEITHER THE STATE NOR A LOCAL GOVERNMENT
32 SHALL ENTER INTO ANY CONTRACT WITH A COVERED PARTY THAT DOES NOT REQUIRE
33 COMPLIANCE WITH SECTION ONE HUNDRED NINETY-SIX OF THIS ARTICLE AND ANNU-
34 AL CERTIFICATION OF SUCH COMPLIANCE.
35 2. ON AND AFTER THE EFFECTIVE DATE OF THIS SECTION, A COVERED PARTY
36 SHALL NOT ENTER INTO ANY SUBCONTRACT WITH ANY OTHER PARTY IN ORDER TO
37 ADVANCE A STATE OR LOCAL GOVERNMENT PROGRAM THAT DOES NOT REQUIRE THE
38 SUBCONTRACTOR TO COMPLY WITH SECTION ONE HUNDRED NINETY-SIX OF THIS
39 ARTICLE; PROVIDED THAT SUCH SUBCONTRACTOR, IF NOT A COVERED PARTY, DOES
40 NOT HAVE TO COMPLY WITH PARAGRAPH D OF SUBDIVISION TWO OF SUCH SECTION.
41 3. IN ANY SUCH CONTRACT THAT REQUIRES A PARTY TO COMPLY WITH SECTION
42 ONE HUNDRED NINETY-SIX OF THIS ARTICLE OR DISCLOSE THE INFORMATION SPEC-
43 IFIED IN SUBDIVISION TWO OF SUCH SECTION, SUCH COMPLIANCE SHALL BE A
44 MATERIAL CONDITION OF PAYMENT FOR THE PROVISION OF GOODS OR SERVICES BY
45 THE STATE OR A LOCAL GOVERNMENT.
46 4. IF THE STATE OR A LOCAL GOVERNMENT FINDS THAT ANY PARTY SUBJECT TO
47 THE NOTIFICATION REQUIREMENTS OF SECTION ONE HUNDRED NINETY-SIX OF THIS
48 ARTICLE HAS FAILED TO COMPLY WITH SUCH REQUIREMENTS, THE STATE OR LOCAL
49 GOVERNMENT SHALL NOTIFY THE COVERED PARTY OF THE ALLEGED NON-COMPLIANCE
50 BY UNITED STATES MAIL RETURN RECEIPT REQUESTED. THE PARTY SHALL WITHIN
51 THIRTY DAYS OF RECEIVING OF SUCH NOTIFICATION COMPLY WITH SECTION ONE
52 HUNDRED NINETY-SIX OF THIS ARTICLE AND PROVIDE THE STATE AND LOCAL
53 GOVERNMENT WITH EVIDENCE OF SUCH COMPLIANCE, OR BE SUBJECT TO A CIVIL
54 PENALTY NOT TO EXCEED THE LESSER OF TEN PERCENT OF THE VALUE OF THE
55 CONTRACT OR FIVE THOUSAND DOLLARS, TO BE ASSESSED BY APPROPRIATE ADMIN-
S. 6433 4
1 ISTRATIVE ACTION OR BY SUMMARY PROCEEDING IN ANY COURT OF COMPETENT
2 JURISDICTION.
3 S 3. Section 1269-g of the public authorities law is REPEALED.
4 S 4. This act shall take effect on the one hundred eightieth day after
5 it shall have become a law.
