19.42(10)(j)
(j) A member or the executive director of the judicial commission.
19.42(10)(k)
(k) A division administrator of an office created under
ch. 14 or a department or independent agency created or continued under
ch. 15.
19.42(10)(L)
(L) The executive director, executive assistant to the executive director, internal auditor, chief investment officer, chief financial officer, chief legal counsel, chief risk officer and investment directors of the investment board.
19.42(10)(m)
(m) The executive director, members and employes of the world dairy center authority, except clerical employes.
19.42(10)(n)
(n) The chief executive officer and members of the board of directors of the University of Wisconsin Hospitals and Clinics Authority.
19.42(11)
(11) "Organization" means any corporation, partnership, proprietorship, firm, enterprise, franchise, association, trust or other legal entity other than an individual or body politic.
19.42(12)
(12) "Security" has the meaning given under
s. 551.02 (13), except that the term does not include a certificate of deposit or a deposit in a savings and loan association, savings bank, credit union or similar association organized under the laws of any state.
19.42(13)(a)
(a) All positions to which individuals are regularly appointed by the governor, except the position of trustee of any private higher educational institution receiving state appropriations and the position of member of the district board of a local professional baseball park district created under
subch. III of ch. 229.
19.42(13)(b)
(b) The positions of associate and assistant vice presidents of the university of Wisconsin system and vice chancellors identified in
s. 20.923 (5).
19.42(13)(e)
(e) The chief clerk and sergeant at arms of each house of the legislature or a full-time, permanent employe occupying the position of auditor for the legislative audit bureau.
19.42(13)(f)
(f) A member of a technical college district board or district director of a technical college, or any position designated as assistant, associate or deputy district director of a technical college.
19.42(13)(g)
(g) The members and employes of the Wisconsin housing and economic development authority, except clerical employes.
19.42(13)(i)
(i) A member or the executive director of the judicial commission.
19.42(13)(j)
(j) A division administrator of an office created under
ch. 14 or a department or independent agency created or continued under
ch. 15.
19.42(13)(k)
(k) The executive director, executive assistant to the executive director, internal auditor, chief investment officer, chief financial officer, chief legal counsel, chief risk officer and investment directors of the investment board.
19.42(13)(L)
(L) The members and employes of the world dairy center authority.
19.42(13)(m)
(m) The chief executive officer and members of the board of directors of the University of Wisconsin Hospitals and Clinics Authority.
19.42(14)
(14) "State public official" means any individual holding a state public office.
19.42 History
History: 1973 c. 90; Stats. 1973 s. 11.02;
1973 c. 333;
1973 c. 334 ss.
33,
57; Stats. 1973 s. 19.42;
1977 c. 29,
223,
277;
1977 c. 447 ss.
35,
209;
1979 c. 34,
177,
221;
1981 c. 20,
269,
349,
391;
1983 a. 27;
1983 a. 81 s.
11;
1983 a. 83 s.
20;
1983 a. 166 ss.
1 to
4,
16;
1983 a. 484,
538;
1985 a. 26;
1985 a. 29 s.
3202 (46);
1985 a. 304;
1987 a. 72,
119;
1987 a. 312 s.
17;
1987 a. 340,
365,
399,
403;
1989 a. 31,
338;
1991 a. 39,
189,
221,
269;
1993 a. 16,
263,
399;
1995 a. 27,
56,
274;
1997 a. 27;
1997 a. 237 ss.
19m,
722q;
1997 a. 298.
19.42 Annotation
Law Revision Committee Note, 1983: This bill establishes consistency in the usage of the terms "person", "individual" and "organization" in the code of ethics for state public officials. The term "person" is the broadest of these terms, and refers to any legal entity. The use of the term "person" in the bill is consistent with the definition of the word in s. 990.01 (26), stats., which provides that "person" includes all partnerships, associations and bodies politic or corporate". The term "organization" is narrower, and is defined in s. 19.42 (11), stats., as "any corporation, partnership, proprietorship, firm, enterprise, franchise, association, trust or other legal entity other than an individual or body politic". "Individual", although not specifically defined in the current statutes or in this bill, is used consistently in this bill to refer to natural persons.
19.42 Annotation
The term "income" is used several times in the code of ethics for state public officials. This bill clarifies the current definition of income by providing a specific cross-reference to the internal revenue code and by providing that the definition refers to the most recent version of the internal revenue code which has been adopted by the legislature for state income tax purposes.
19.42 Annotation
When person holds 2 government positions, one included in and the other exempted from the (8) definition of state public official, the applicability of subch. III depends upon the capacity in which the person acted. 64 Atty. Gen. 143.
19.43
19.43
Financial disclosure. 19.43(1)
(1) Each individual who in January of any year is an official required to file shall file with the board no later than April 30 of that year a statement of economic interests meeting each of the requirements of
s. 19.44 (1). The information contained on the statement shall be current as of December 31 of the preceding year.
19.43(2)
(2) An official required to file shall file with the board a statement of economic interests meeting each of the requirements of
s. 19.44 (1) no later than 21 days following the date he or she assumes office if the official has not previously filed a statement of economic interests with the board during that year. The information on the statement shall be current as per the date he or she assumes office.
19.43(3)
(3) A nominee shall file with the board a statement of economic interests meeting each of the requirements of
s. 19.44 (1) within 21 days of being nominated unless the nominee has previously filed a statement of economic interests with the board during that year. The information on the statement shall be current as per the date he or she was nominated. Following the receipt of a nominee's statement of economic interests, the board shall forward copies of such statement to the members of the committee of the senate to which the nomination is referred.
19.43(4)
(4) A candidate for state public office shall file with the board a statement of economic interests meeting each of the requirements of
s. 19.44 (1) no later than 4:30 p.m. on the 3rd day following the last day for filing nomination papers for the office which the candidate seeks, or no later than 4:30 p.m. on the next business day after the last day whenever that candidate is granted an extension of time for filing nomination papers or a declaration of candidacy under
s. 8.05 (1) (j),
8.10 (2) (a),
8.15 (1) or
8.20 (8) (a), no later than 4:30 p.m. on the 5th day after notification of nomination is mailed or personally delivered to the candidate by the municipal clerk in the case of a candidate who is nominated at a caucus, or no later than 4:30 p.m. on the 3rd day after notification of nomination is mailed or personally delivered to the candidate by the appropriate official or agency in the case of a write-in candidate or candidate who is appointed to fill a vacancy in nomination under
s. 8.35 (2) (a). The information contained on the statement shall be current as of December 31 of the year preceding the filing deadline. Before certifying the name of any candidate for state public office under
s. 7.08 (2) (a), the elections board, municipal clerk or board of election commissioners shall ascertain whether that candidate has complied with this subsection. If not, the elections board, municipal clerk or board of election commissioners may not certify the candidate's name for ballot placement.
19.43(5)
(5) Each member of the investment board and each employe of the investment board who is a state public official shall complete and file with the ethics board a quarterly report of economic transactions no later than the last day of the month following the end of each calendar quarter during any portion of which he or she was a member or employe of the investment board. Such reports of economic transactions shall be in the form prescribed by the ethics board and shall identify the date and nature of any purchase, sale, put, call, option, lease, or creation, dissolution or modification of any economic interest made during the quarter for which the report is filed and disclosure of which would be required by
s. 19.44 if a statement of economic interests were being filed.
19.43(7)
(7) If an official required to file fails to make a timely filing, the board shall promptly provide notice of the delinquency to the state treasurer, and to the chief executive of the department of which the official's office or position is a part, or, in the case of a district attorney, to the chief executive of that department and to the county clerk of each county served by the district attorney or in the case of a municipal judge to the clerk of the municipality of which the official's office is a part, or in the case of a justice, court of appeals judge or circuit judge, to the director of state courts. Upon such notification both the state treasurer and the department, municipality or director shall withhold all payments for compensation, reimbursement of expenses and other obligations to the official until the board notifies the officers to whom notice of the delinquency was provided that the official has complied with this section.
19.43(8)
(8) On its own motion or at the request of any individual who is required to file a statement of economic interests, the board may extend the time for filing or waive any filing requirement if the board determines that the literal application of the filing requirements of this subchapter would work an unreasonable hardship on that individual or that the extension of the time for filing or waiver is in the public interest. The board shall set forth in writing as a matter of public record its reason for the extension or waiver.
19.43 Annotation
Extent of confidentiality of investment board nominees' statement of economic interests rests in sound discretion of senate committee to which nomination is referred under sub. (3). 68 Atty. Gen. 378.
19.43 Annotation
Discussion of possible conflict between requirements of financial disclosure and confidentiality requirements for lawyers. 68 Atty. Gen. 411.
19.43 Annotation
Sub. (8) does not authorize the ethics board to extend the date by which a candidate must file a statement of economic interest and cannot waive the filing requirement.
81 Atty. Gen. 85.
19.44
19.44
Form of statement. 19.44(1)(1) Every statement of economic interests which is required to be filed under this subchapter shall be in the form prescribed by the board, and shall contain the following information:
19.44(1)(a)
(a) The identity of every organization with which the individual required to file is associated and the nature of his or her association with the organization, except that no identification need be made of:
19.44(1)(a)1.
1. Any organization which is described in section
170 (c) of the internal revenue code.
19.44(1)(a)2.
2. Any organization which is organized and operated primarily to influence voting at an election including support for or opposition to an individual's present or future candidacy or to a present or future referendum.
19.44(1)(a)3.
3. Any nonprofit organization which is formed exclusively for social purposes and any nonprofit community service organization.
19.44(1)(b)
(b) The identity of every organization or body politic in which the individual who is required to file or that individual's immediate family, severally or in the aggregate, owns, directly or indirectly, securities having a value of $5,000 or more, the identity of such securities and their approximate value, except that no identification need be made of a security or issuer of a security when it is issued by any organization not doing business in this state or by any government or instrumentality or agency thereof, or an authority or public corporation created and regulated by an act of such government, other than the state of Wisconsin, its instrumentalities, agencies and political subdivisions, or authorities or public corporations created and regulated by an act of the legislature.
19.44(1)(c)
(c) The name of any creditor to whom the individual who is required to file or such individual's immediate family, severally or in the aggregate, owes $5,000 or more and the approximate amount owed.
19.44(1)(d)
(d) The real property located in this state in which the individual who is required to file or such individual's immediate family holds an interest, other than the principal residence of the individual or his or her immediate family, and the nature of the interest held. An individual's interest in real property does not include a proportional share of interests in real property if the individual's proportional share is less than 10% of the outstanding shares or is less than an equity value of $5,000.
19.44(1)(e)
(e) The identity of each payer from which the individual who is required to file or a member of his or her immediate family received $1,000 or more of his or her income for the preceding taxable year, except that if the individual who is required to file identifies the general nature of the business in which he or she or his or her immediate family is engaged, then no identification need be made of a decedent's estate or an individual, not acting as a representative of an organization, unless the individual is a lobbyist as defined in
s. 13.62. In addition, no identification need be made of payers from which only dividends or interest, anything of pecuniary value reported under
s. 19.56 or reportable under
s. 19.57, or political contributions reported under
ch. 11 were received.
19.44(1)(f)
(f) If the individual who is required to file or a member of his or her immediate family received $1,000 or more of his or her income for the preceding taxable year from a partnership, limited liability company, corporation electing to be taxed as a partnership under subchapter S of the internal revenue code or service corporation under
ss. 180.1901 to
180.1921 in which the individual or a member of his or her immediate family, severally or in the aggregate, has a 10% or greater interest, the identity of each payer from which the organization received $1,000 or more of its income for its preceding taxable year, except that if the individual who is required to file identifies the general nature of the business in which he or she or his or her immediate family is engaged then no identification need be made of a decedent's estate or an individual, not acting as a representative of an organization, unless the individual is a lobbyist as defined in
s. 13.62. In addition, no identification need be made of payers from which dividends or interest are received.
19.44(1)(g)
(g) The identity of each person from which the individual who is required to file received, directly or indirectly, any gift or gifts having an aggregate value of more than $50 within the taxable year preceding the time of filing, except that the source of a gift need not be identified if the donation is permitted under
s. 19.56 (3) (e),
(em) or
(f) or if the donor is the donee's parent, grandparent, child, grandchild, brother, sister, parent-in-law, grandparent-in-law, brother-in-law, sister-in-law, uncle, aunt, niece, nephew, spouse, fiance or fiancee.
19.44(1)(h)
(h) Lodging, transportation, money or other things of pecuniary value reportable under
s. 19.56 (2).
19.44(2)
(2) Whenever a dollar amount is required to be reported pursuant to this section, it is sufficient to report whether the amount is not more than $50,000, or more than $50,000.
19.44(3)(a)(a) An individual is the owner of a trust and the trust's assets and obligations if he or she is the creator of the trust and has the power to revoke the trust without obtaining the consent of all of the beneficiaries of the trust.
19.44(3)(b)
(b) An individual who is eligible to receive income or other beneficial use of the principal of a trust is the owner of a proportional share of the principal in the proportion that the individual's beneficial interest in the trust bears to the total beneficial interests vested in all beneficiaries of the trust. A vested beneficial interest in a trust includes a vested reverter interest.
19.44(4)
(4) Information which is required by this section shall be provided on the basis of the best knowledge, information and belief of the individual filing the statement.
19.44 Annotation
Law Revision Committee Note, 1983: Under the ethics code, each state public official and candidate for state public office must file a statement of economic interests with the ethics board listing the businesses, organizations and other legal entities from which they and their families received substantial income during the preceding taxable year. However, the ethics code does not require identification of individual persons from whom the income is received. This bill provides that if the individual filing the statement of economic interests identifies the general nature of the business in which the individual or a member of his or her family is engaged, then no identification need be made of the estate of any deceased individual from which income was received. This bill makes it unnecessary to identify a decedent's estate which was indebted to a state public official or candidate for state public office, and makes it unnecessary to identify decedents' estates which are represented by lawyer-public officials.
19.44 Annotation
Beneficiary of future interest in a trust must identify the securities held by the trust if the individual's interest in the securities is valued at $5,000 or more.
80 Atty. Gen. 183.
19.45
19.45
Standards of conduct; state public officials. 19.45(1)(1) The legislature hereby reaffirms that a state public official holds his or her position as a public trust, and any effort to realize substantial personal gain through official conduct is a violation of that trust. This subchapter does not prevent any state public official from accepting other employment or following any pursuit which in no way interferes with the full and faithful discharge of his or her duties to this state. The legislature further recognizes that in a representative democracy, the representatives are drawn from society and, therefore, cannot and should not be without all personal and economic interest in the decisions and policies of government; that citizens who serve as state public officials retain their rights as citizens to interests of a personal or economic nature; that standards of ethical conduct for state public officials need to distinguish between those minor and inconsequential conflicts that are unavoidable in a free society, and those conflicts which are substantial and material; and that state public officials may need to engage in employment, professional or business activities, other than official duties, in order to support themselves or their families and to maintain a continuity of professional or business activity, or may need to maintain investments, which activities or investments do not conflict with the specific provisions of this subchapter.
19.45(2)
(2) No state public official may use his or her public position or office to obtain financial gain or anything of substantial value for the private benefit of himself or herself or his or her immediate family, or for an organization with which he or she is associated. This subsection does not prohibit a state public official from using the title or prestige of his or her office to obtain contributions permitted and reported as required by
ch. 11.
19.45(3)
(3) No person may offer or give to a state public official, directly or indirectly, and no state public official may solicit or accept from any person, directly or indirectly, anything of value if it could reasonably be expected to influence the state public official's vote, official actions or judgment, or could reasonably be considered as a reward for any official action or inaction on the part of the state public official. This subsection does not prohibit a state public official from engaging in outside employment.
19.45(3m)
(3m) No state public official may accept or retain any transportation, lodging, meals, food or beverage, or reimbursement therefor, except in accordance with
s. 19.56 (3).
19.45(4)
(4) No state public official may intentionally use or disclose information gained in the course of or by reason of his or her official position or activities in any way that could result in the receipt of anything of value for himself or herself, for his or her immediate family, or for any other person, if the information has not been communicated to the public or is not public information.
19.45(5)
(5) No state public official may use or attempt to use the public position held by the public official to influence or gain unlawful benefits, advantages or privileges personally or for others.
19.45(6)
(6) No state public official, member of a state public official's immediate family, nor any organization with which the state public official or a member of the official's immediate family owns or controls at least 10% of the outstanding equity, voting rights, or outstanding indebtedness may enter into any contract or lease involving a payment or payments of more than $3,000 within a 12-month period, in whole or in part derived from state funds unless the state public official has first made written disclosure of the nature and extent of such relationship or interest to the board and to the department acting for the state in regard to such contract or lease. Any contract or lease entered into in violation of this subsection may be voided by the state in an action commenced within 3 years of the date on which the ethics board, or the department or officer acting for the state in regard to the allocation of state funds from which such payment is derived, knew or should have known that a violation of this subsection had occurred. This subsection does not affect the application of
s. 946.13.
19.45(7)(a)(a) No state public official who is identified in
s. 20.923 may represent a person for compensation before a department or any employe thereof, except:
19.45(7)(a)1.
1. In a contested case which involves a party other than the state with interests adverse to those represented by the state public official; or
19.45(7)(a)2.
2. At an open hearing at which a stenographic or other record is maintained; or
19.45(7)(a)3.
3. In a matter that involves only ministerial action by the department; or
19.45(7)(a)4.
4. In a matter before the department of revenue or tax appeals commission that involves the representation of a client in connection with a tax matter.
19.45(7)(b)
(b) This subsection does not apply to representation by a state public official acting in his or her official capacity.
19.45(8)
(8) Except in the case where the state public office formerly held was that of legislator, legislative employe under
s. 20.923 (6) (bp),
(f),
(g) or
(h), chief clerk of a house of the legislature, sergeant at arms of a house of the legislature or a permanent employe occupying the position of auditor for the legislative audit bureau:
19.45(8)(a)
(a) No former state public official, for 12 months following the date on which he or she ceases to be a state public official, may, for compensation, on behalf of any person other than a governmental entity, make any formal or informal appearance before, or negotiate with, any officer or employe of the department with which he or she was associated as a state public official within 12 months prior to the date on which he or she ceased to be a state public official.
19.45(8)(b)
(b) No former state public official, for 12 months following the date on which he or she ceases to be a state public official, may, for compensation, on behalf of any person other than a governmental entity, make any formal or informal appearance before, or negotiate with, any officer or employe of a department in connection with any judicial or quasi-judicial proceeding, application, contract, claim, or charge which might give rise to a judicial or quasi-judicial proceeding which was under the former official's responsibility as a state public official within 12 months prior to the date on which he or she ceased to be a state public official.
19.45(8)(c)
(c) No former state public official may, for compensation, act on behalf of any party other than the state in connection with any judicial or quasi-judicial proceeding, application, contract, claim, or charge which might give rise to a judicial or quasi-judicial proceeding in which the former official participated personally and substantially as a state public official.
19.45(9)
(9) The attorney general may not engage in the private practice of law during the period in which he or she holds that office. No justice of the supreme court and no judge of any court of record may engage in the private practice of law during the period in which he or she holds that office. No full-time district attorney may engage in the private practice of law during the period in which he or she holds that office, except as authorized in
s. 978.06 (5).
19.45(10)
(10) This section does not prohibit a legislator from making inquiries for information on behalf of a person or from representing a person before a department if he or she receives no compensation therefor beyond the salary and other compensation or reimbursement to which the legislator is entitled by law, except as authorized under
sub. (7).
19.45(11)
(11) The legislature recognizes that all state public officials and employes and all employes of the University of Wisconsin Hospitals and Clinics Authority should be guided by a code of ethics and thus:
19.45(11)(a)
(a) The administrator of the division of merit recruitment and selection in the department of employment relations shall, with the board's advice, promulgate rules to implement a code of ethics for classified and unclassified state employes except state public officials subject to this subchapter, unclassified personnel in the university of Wisconsin system and officers and employes of the judicial branch.
19.45(11)(b)
(b) The board of regents of the university of Wisconsin system shall establish a code of ethics for unclassified personnel in that system who are not subject to this subchapter.
19.45(11)(c)
(c) The supreme court shall promulgate a code of judicial ethics for officers and employes of the judiciary and candidates for judicial office which shall include financial disclosure requirements. All justices and judges shall, in addition to complying with this subchapter, adhere to the code of judicial ethics.
19.45(11)(d)
(d) The board of directors of the University of Wisconsin Hospitals and Clinics Authority shall establish a code of ethics for employes of the authority who are not state public officials.
19.45(12)
(12) No agency, as defined in
s. 16.52 (7), or officer or employe thereof may present any request, or knowingly utilize any interests outside the agency to present any request, to either house of the legislature or any member or committee thereof, for appropriations which exceed the amount requested by the agency in the agency's most recent request submitted under
s. 16.42.
