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.
19.45 Annotation
County board may provide for a penalty in the nature of a forfeiture for violation of a code of ethics ordinance but may not bar violators from running for office. Violation is not a neglect of duties under s. 59.15 or ipso facto cause for removal under s. 17.09 (1). See also 67 Atty. Gen. 164. 66 Atty. Gen. 148.
19.45 Annotation
Ethics law does not prohibit a state public official from purchasing items and services that are available to the official because he or she holds public office. If the opportunity to purchase the item or service itself has substantial value, the purchase of the item or service is prohibited.
80 Atty. Gen. 201.
19.45 Annotation
Sub. (12) is an unconstitutional infringement on free speech. Barnett v. State Ethics Bd. 817 F Supp 67 (1993).
19.451
19.451
Discounts at certain stadiums. No person serving in a national, state or local office, as defined in
s. 5.02, may accept any discount on the price of admission or parking charged to members of the general public, including any discount on the use of a sky box or private luxury box, at a stadium that is exempt from general property taxes under
s. 70.11 (36).
19.451 History
History: 1991 a. 37.
19.46
19.46
Conflict of interest prohibited; exception. 19.46(1)(1) Except in accordance with the board's advice under
sub. (2) and except as otherwise provided in
sub. (3), no state public official may:
19.46(1)(a)
(a) Take any official action substantially affecting a matter in which the official, a member of his or her immediate family, or an organization with which the official is associated has a substantial financial interest.
19.46(1)(b)
(b) Use his or her office or position in a way that produces or assists in the production of a substantial benefit, direct or indirect, for the official, one or more members of the official's immediate family either separately or together, or an organization with which the official is associated.
19.46(2)
(2) Any individual, either personally or on behalf of an organization or governmental body, may request of the board an advisory opinion regarding the propriety of any matter to which the person is or may become a party; and any appointing officer, with the consent of a prospective appointee, may request of the board an advisory opinion regarding the propriety of any matter to which the prospective appointee is or may become a party. The board shall review a request for an advisory opinion and may advise the person making the request. Advisory opinions and requests therefor shall be in writing. The board's deliberations and actions upon such requests shall be in meetings not open to the public. It is prima facie evidence of intent to comply with this subchapter or
subch. III of ch. 13 when a person refers a matter to the board and abides by the board's advisory opinion, if the material facts are as stated in the opinion request. The board may authorize the executive director to act in its stead in instances where delay is of substantial inconvenience or detriment to the requesting party. No member or employe of the board may make public the identity of the individual requesting an advisory opinion or of individuals or organizations mentioned in the opinion.
19.46(3)
(3) This section does not prohibit a state public official from taking any action concerning the lawful payment of salaries or employe benefits or reimbursement of actual and necessary expenses, or prohibit a state public official from taking official action with respect to any proposal to modify state law or the state administrative code.
19.46 History
History: 1973 c. 90; Stats. 1973 s. 11.06;
1973 c. 334 ss.
33,
57,
58; Stats. 1973 s. 19.46;
1975 c. 422;
1977 c. 223,
277,
449;
1983 a. 166;
1985 a. 29;
1989 a. 338.
19.47(1)(1) The office of the board shall be in Madison, but the board may, after proper public notice and in compliance with
subch. V, meet or exercise any or all of its powers at any other place in this state.
19.47(2)
(2) The board shall appoint an executive director outside the classified service to serve at the pleasure of the board. The executive director shall appoint such other personnel as he or she requires to carry out the duties of the board. The executive director shall perform such duties as the board assigns to him or her in the administration of this subchapter and
subch. III of ch. 13.
19.47(3)
(3) All members and employes of the board shall file statements of economic interests with the board.
19.47(4)
(4) Any action by the board, except an action relating to procedure of the board, requires the affirmative vote of 4 of its members.
19.47(5)
(5) No later than September 1 of each year, the board shall submit a report concerning its actions in the preceding fiscal year to the governor and the chief clerk of each house of the legislature, for distribution to the legislature under
s. 13.172 (2). Such report shall contain the names and duties of all individuals employed by the board and a summary of its determinations and advisory opinions. The board shall make sufficient alterations in the summaries to prevent disclosing the identities of individuals or organizations involved in the decisions or opinions. The board shall make such further reports on the matters within its jurisdiction and such recommendations for further legislation as it deems desirable.
19.47(6)
(6) The joint committee on legislative organization shall be advisory to the board on all matters relating to operation of the board.
19.47 History
History: 1973 c. 90; Stats. 1973 s. 11.07;
1973 c. 334 ss.
33,
57; Stats. 1973 s. 19.47;
1975 c. 426 s.
3;
1977 c. 26,
277;
1983 a. 27,
166,
378;
1987 a. 186;
1989 a. 338;
1991 a. 39,
189.
19.48
19.48
Duties of the board. The board shall:
19.48(1)
(1) Promulgate rules necessary to carry out this subchapter and
subch. III of ch. 13. The board shall give prompt notice of the contents of its rules to state public officials who will be affected thereby.
19.48(2)
(2) Prescribe and make available forms for use under this subchapter and
subch. III of ch. 13, including the forms specified in
s. 13.685 (1).
19.48(3)
(3) Accept and file any information related to the purposes of this subchapter or
subch. III of ch. 13 which is voluntarily supplied by any person in addition to the information required by this subchapter.
19.48(4)
(4) Preserve the statements of economic interests filed with it for a period of 6 years from the date of receipt in such form, including microfilming, optical imaging or electronic formatting, as will facilitate document retention, except that:
19.48(4)(a)
(a) Upon the expiration of 3 years after an individual ceases to be a state public official the board shall, unless the former state public official otherwise requests, destroy any statement of economic interests filed by him or her and any copies thereof in its possession.
19.48(4)(b)
(b) Upon the expiration of 3 years after any election at which a candidate for state public office was not elected, the board shall destroy any statements of economic interests filed by him or her as a candidate for state public office and any copies thereof in the board's possession, unless the individual continues to hold another position for which he or she is required to file a statement, or unless the individual otherwise requests.
19.48(4)(c)
(c) Upon the expiration of 3 years from the action of the senate upon a nomination for state public office at which the senate refused to consent to the appointment of the nominee, the board shall destroy any statements of economic interests filed by him or her as a nominee and any copies thereof in the board's possession, unless the individual continues to hold another position for which he or she is required to file a statement, or unless the nominee otherwise requests. This paragraph does not apply to any individual who is appointed to state public office under
s. 17.20 (2).
19.48(5)
(5) Except as provided in
s. 19.55 (2) (c), make statements of economic interests filed with the board available for public inspection and copying during regular office hours and make copying facilities available at a charge not to exceed actual cost.
19.48(6)
(6) Compile and maintain an index to all the statements of economic interests currently on file with the board to facilitate public access to such statements of economic interests.
19.48(7)
(7) Prepare and publish special reports and technical studies to further the purposes of this subchapter and
subch. III of ch. 13.
19.48(8)
(8) Report the full name and address of any individual and the full name and address of any person represented by an individual seeking to copy or obtain information from a statement of economic interests in writing to the individual who filed it, as soon as possible.
19.48(9)
(9) Administer programs to explain and interpret this subchapter and
subch. III of ch. 13 for state public officials, and for elective state officials, candidates for state public office, legislative officials, agency officials, lobbyists, as defined in
s. 13.62, local public officials, corporation counsels and attorneys for local governmental units. The programs shall provide advice regarding appropriate ethical and lobbying practices, with special emphasis on public interest lobbying. The board may delegate creation and implementation of any such program to a group representing the public interest. The board may charge a fee to participants in any such program.
19.48(10)
(10) Compile and make available information filed with the board in ways designed to facilitate access to the information. The board may charge a fee to a person requesting information for compiling, disseminating or making available such information, except that the board shall not charge a fee for inspection at the board's office of any record otherwise open to public inspection under
s. 19.35 (1).
19.49(1)(1) The board shall accept from any individual, either personally or on behalf of an organization or governmental body, a verified complaint in writing which states the name of any person alleged to have committed a violation of this subchapter or
subch. III of ch. 13 and which sets forth the particulars thereof. The board shall forward to the accused within 10 days a copy of the complaint and a general statement of the applicable statutes with respect to such verified complaint. If the board determines that the verified complaint does not allege facts sufficient to constitute a violation of this subchapter or
subch. III of ch. 13, it shall dismiss the complaint and notify the complainant and the accused. If the board determines that the verified complaint alleges facts sufficient to constitute a violation of this subchapter or
subch. III of ch. 13, it may make an investigation with respect to any alleged violation. If the board determines that the verified complaint was brought for harassment purposes, the board shall so state.
19.49(2)
(2) Any person to whom this subchapter or
subch. III of ch. 13 may have application may request the board to make an investigation of his or her own conduct or of allegations made by other persons as to his or her conduct. Such a request shall be made in writing and shall set forth in detail the reasons therefor.
19.49(3)
(3) Following the receipt of a verified complaint or upon the receipt of other information, whether or not under oath, that provides a reasonable basis for the belief that a violation of this subchapter or
subch. III of ch. 13 has been committed or that an investigation of a possible violation is warranted, the board may investigate the circumstances concerning the possible violation. Prior to invoking any power under
s. 19.50, the board shall authorize an investigation by resolution, which shall state the nature and purpose of the investigation and the actions or activities to be investigated. Upon adoption of a resolution, the board shall notify each person who is the subject of the investigation pursuant to
sub. (4). If the board, during the course of an investigation, finds probable cause to believe that a violation of this subchapter or
subch. III of ch. 13 has occurred, it may:
19.49(3)(a)
(a) If no verified complaint has been filed, make upon its own motion a verified complaint, which shall be in writing, shall state the name of the person who is alleged to have committed a violation of this subchapter or
subch. III of ch. 13 and shall set forth the particulars thereof. The board shall forward to the accused within 10 days a copy of the complaint, a general statement of the applicable statutes with respect to such verified complaint and a specific statement enumerating the source or sources of information upon which the complaint is based.
19.49(3)(b)
(b) If a verified complaint has been filed and the board finds probable cause to believe that a violation of this subchapter or
subch. III of ch. 13, other than one contained in the complaint, has occurred, it may amend the complaint, upon its own motion, to include such violations. If the complaint is so amended by the board, the board shall send a copy of the amendment to the person complained against within 48 hours.
19.49(4)
(4) Upon adoption of a resolution authorizing an investigation under
sub. (3), the board shall mail a copy of the resolution to each alleged violator who is identified in the resolution, together with a notice informing the alleged violator that the person is the subject of the investigation authorized by the resolution and a general statement of the applicable statutes with respect to such investigation. Service of the notice is complete upon mailing.
19.49(5)
(5) No action may be taken on any complaint which is filed later than 3 years after a violation of this subchapter or
subch. III of ch. 13 is alleged to have occurred.
19.49 Annotation
Law Revision Committee Note, 1983: Under current sub. (4), stats., when the ethics board authorizes the investigation of a violation of the code of the ethics for state public officials, the executive director of the ethics board is required to "forward" a copy of the resolution of the board to the alleged violator. This bill makes it clear that the executive director is required to mail a copy of the resolution to the alleged violator, and that mailing the resolution to the violator constitutes service of the notice. The bill thereby makes it clear that personal delivery of the notice is not required.
19.50
19.50
Investigations. Pursuant to any investigation authorized under
s. 19.49 (3) or any hearing conducted under this subchapter or
subch. III of ch. 13, the board has the power:
19.50(1)
(1) To require any person to submit in writing such reports and answers to questions relevant to the proceedings conducted under this subchapter or
subch. III of ch. 13 as the board may prescribe, such submission to be made within such period and under oath or otherwise as the board may determine.
19.50(2)
(2) To administer oaths and to require by subpoena issued by it the attendance and testimony of witnesses and the production of any documentary evidence relating to the investigation or hearing being conducted. Notwithstanding
s. 885.01 (4), the issuance of a subpoena requires action by the board in accordance with
s. 19.47 (4).
19.50(3)
(3) To order testimony to be taken by deposition before any individual who is designated by the board and has the power to administer oaths, and, in such instances, to compel testimony and the production of evidence in the same manner as authorized by
sub. (2).
19.50(4)
(4) To pay witnesses the same fees and mileage as are paid in like circumstances by the courts of this state.
19.50(5)
(5) To request and obtain from the department of revenue copies of state income or franchise tax returns and access to other appropriate information under
s. 71.78 (4) regarding all persons who are the subject of such investigation.
19.51
19.51
Probable cause of violation. 19.51(1)
(1) At the conclusion of its investigation, the board shall, in preliminary written findings of fact and conclusions based thereon, make a determination of whether or not probable cause exists to believe that a violation of this subchapter or
subch. III of ch. 13 has occurred. If the board determines that no probable cause exists, it shall immediately send written notice of such determination to the accused and to the party who made the complaint. If the board determines that there is probable cause for believing that a violation of this subchapter or
subch. III of ch. 13 has been committed, its preliminary findings of fact and conclusions may contain:
19.51(1)(a)
(a) A recommendation for criminal prosecution which shall be referred to the district attorney in whose jurisdiction the alleged violation occurred or to the attorney general if the violation concerns the district attorney, and, if the district attorney fails to commence a prosecution within 30 days, to the attorney general, who may then commence a prosecution; or
