Whistleblower Complaints
Section 4-61dd of the Connecticut General Statutes, known as the Whistleblower Act, provides that any person may file a whistleblower complaint with the Auditors of Public Accounts (APA). Our office investigates such matters related to a state department or state agency, quasi-public agency, Probate Court, or large state contracts (contracts valued at $5 million or more between a private entity and a state or quasi-public agency). However, we generally do not investigate private entities, the federal government or municipalities. See the full list of state departments and agencies we do investigate.
| We DO Investigate... | State Department/State Agency, Quasi-Public Agency, or Probate Court | Large State Contract | Entity Receiving Economic and Community Development Funds per CGS Title 32 |
|---|---|---|---|
| Corruption | |||
| Unethical Practices | |||
| Violation of State Laws or Regulations | |||
| Violation of Federal Laws or Regulations | |||
| Mismanagement | |||
| Gross Waste of Funds | |||
| Abuse of Authority | |||
| Danger to Public Safety |
Please see our Whistleblower FAQ for additional clarification. Depending on the nature of your complaint, there may be other authorities better suited to assist you:
| We generally DO NOT investigate... | Reason we DO NOT investigate | You can contact |
|---|---|---|
| Municipalities (cities or towns) | Municipalities generally do not fall within our jurisdiction under Section 4-61dd of the General Statutes. Our office does not audit municipalities. We audit the state agencies responsible for monitoring state funds allocated to municipalities. |
|
| Legal Matters | Our office does not evaluate legal matters adjudicated through state or federal courts. | |
| Judicial Decisions | Our office does not interfere with the legal process. Complaints can use the appeals process. | |
| Probate Court Matters | Individual probate courts and the Office of the Probate Court Administrator fall within our whistleblower jurisdiction. However, our office does not interfere with ongoing probate court matters. Complaints can use the appeals process. | |
| Discrimination and Retaliation | The Commission on Human Rights and Opportunities has jurisdiction over these matters. | |
| Unfair Treatment in State Personnel Decisions | Employment matters have a separate administrative and legal process. | |
| State Code of Ethics Violations | The Office of State Ethics investigates allegations of violations of the State Ethics Codes. | |
| Nonprofit Organizations | Our office does not review nonprofit organizations unless the matter relates to a specific state contract or grant award. Other state agencies handle the monitoring of state funds allocated to nonprofits. |
|
| State Tax Avoidance | The Department of Revenue Services has jurisdiction over these matters. | |
| Freedom of Information Act (FOIA) Violations | The Freedom of Information Commission has jurisdiction over these matters. | |
| Workplace Safety Violations | The Federal Occupational Safety and Health Administration and Connecticut Department of Labor have jurisdiction over these matters. | |
| False Claims Act | The Office of the Attorney General has jurisdiction over these matters. | |
| Issue or Legislative Advocacy | Advocates can present concerns to their legislators or other members of the General Assembly. |
COMPLAINT EVALUATION FORM
Our office can reject complaints
The Auditors of Public Accounts may reject any complaint if we determine:
- There are other available remedies that the complainant can reasonably be expected to pursue.
- The complaint could be handled more appropriately as part of a scheduled audit.
- The complaint is better suited for investigation or enforcement by another state agency. In those cases, we will refer it to that agency and request a status report on its resolution.
- The complaint is not timely or is too long delayed to justify further investigation.
- Other complaints have greater priority in terms of serving the public good.
- The complaint is trivial, frivolous, vexatious, or not made in good faith.
When our office rejects a complaint, we report the basis for the rejection to the Attorney General.
FAQ
How do I file a complaint and what should I include?
Our office will not commence an investigation of your complaint unless we determine it has sufficient merit. You should, therefore, include a clear and concise statement of what you believe is the improper activity; what state law, regulation, or policy was violated; who was involved; and what evidence we may examine to validate your allegation. You should note each allegation separately and support it with specific information.
To submit your complaint, please use the Complaint Evaluation Form. You may also submit a whistleblower complaint by phone 959-710-5605 or mail:
Auditors of Public Accounts
165 Capitol Avenue
Hartford, CT 06106
Your complaint should include, but not be limited to:
- A clear and concise statement of the alleged improper activity and why you believe it is improper.
- The name and title of the subjects of the complaint.
- The agency, division, and location the action(s) occurred.
- If you reported the complaint to an entity, what entity, and who at the entity did you report to and when.
- When the action(s) occurred.
- The specific state or federal law, state regulation, or policy violated.
- The names and contact information of any witnesses who can confirm your allegation.
- Copies of any documents that support your allegation. Do not submit original documents. We cannot return them.
- Your name, phone or email. You may file your complaint anonymously but we can address it better if you provide some form of contact information. The FAQ question "What if I am concerned someone will find out I filed a complaint?" explains why.
What if I am concerned someone will find out I filed a complaint?
You may file a complaint without providing our office with your name or contact information. However, we may not be able to thorougly review your complaint if we cannot communicate with you to clarify your information or obtain additional facts or evidence. Be mindful that some of the information you may provide may allow the entity to identify you. The law provides remedies for retaliation for filing a whistleblower complaint. The identity of a person making a complaint is strictly confidential under state law. Our office will not release a whistleblower's identity without their consent, unless we determine that such disclosure is unavoidable.
What to do if retaliated against
The Whistleblower Act prohibits retaliation against any state or quasi-public agency employee or employees of a large state contractor. Retaliation would include taking or threatening to take any personnel action against the employee for disclosure of information to the Auditors of Public Accounts.
State, quasi-public, or large state contractor employees should NOT submit a whistleblower retaliation complaint to the Auditors of Public Accounts. An employee who feels they have been retaliated against may file a retaliation complaint with the Chief Human Rights Referee of the Commission on Human Rights and Opportunities (CHRO). For additional information on this process, please visit CHRO Whistleblower Retaliation Complaints to obtain a complaint form.
State employees may also contact their union, file an appeal with the Employees' Review Board, or contact an employment lawyer. Our office summarily rejects whistleblower retaliation complaints.
What happens after I file a complaint?
- Our office evaluates the complaint to determine whether it warrants further review. If it does, we conduct a review. Our office only reports the results of our review to the Attorney General, as required by Section 4-61dd of the Connecticut General Statutes.
- We will contact you if we need additional information or a waiver of confidentially.
- State law requires our office to report the results of our investigation to the office of the Attorney General. The Attorney General may decide to concur with our review or conduct its own investigation.
- The investigation and its outcome generally remain confidential. Our office often includes findings and recommendations related to the results of our review in our audit reports.
What can the Auditors of Public Accounts do if improper activity is substantiated?
Our office is a reporting entity. We report our findings and recommendations to the Attorney General. We do not have enforcement powers and cannot order a department or official to take any action. After receiving our report, the Attorney General may decide to concur with our review or conduct its own investigation.
How can I receive the status or results of an investigation?
Our office does not provide progress updates to complainants. We only reveal whether our review is ongoing or that we referred it to the Attorney General. Section 1-210 (b) (13) of the General Statues exempts the records of a whistleblower investigation from disclosure under the Freedom of Information Act. Those records include the complaint or the name of the complainant.