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Personal Financial Disclosure State Connections

Ethics: Personal Financial Disclosure for Legislators: State Agency Connection Requirements

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This table is intended to provide general information and does not necessarily address all aspects of this topic.  Because the facts of each situation may vary, this information may need to be supplemented by consulting legal advisors.  It reflects in summary form statutes in effect as of 12/31/13 or statutes set to take effect shortly thereafter. This research list states' disclosure requirements. It does not comprehensively list bans states may have on practices other states require to be disclosed. For example, one state may ban honoraria, while another requires legislators to report any they receive. Read numbers written "$5,000+" as "at least $5,000," or "$5,000 or more." 

AL | AK | AZ | AR | CA | CO | CT | DE | FL | GA | HI | ID | IL | IN | IA | KS | KY | LA | ME | MD | MA | MI | MN | MS | MO | MT | NE | NV | NH | NJ | NM | NY | NC | ND | OH | OK | OR | PA | RI | SC | SD | TN | TX | UT | VT | VA | WA | WV | WI | WY

State/Reference

State Agency Connections Required to be Disclosed

Alabama
36-25-5.2
36-25-10
36-25-14
36-25-16

Must report according to financial categories listed in income requirements if providing services or engaged in business with governmental associations, associations of public employees or public officials, counties (along with other categories).

Details of any rent or lease income from a state agency.

On a separate form, if legislator, family member or associated business represents another person for a fee before a state agency or board, notice must be given in a manner prescribed by the ethics commission within 10 days of the first representation. Legislators are prohibited from representing before the Public Service Commission and the State Board of Adjustment. On a separate form, any citizen of the state or associated business who represents another before a regulatory agency of the executive branch or who enters into a contract worth >$7,500 with the state or a city or county must report to the commission the names of any child, parent, spouse, brother or sister who is an employee of that agency. Publicly noticed, competitive bidding contracts excepted.

Public officials, including legislators, and their spouses, and candidates and their spouses, who are employed by the state or the federal government or who has a contract with the state or federal government, or who works for a company that receives 50% or more of its revenue from the state, must disclose employment or contracts with the state or federal government within 30 days of beginning employment or beginning the contract. The disclosure must include names of public officials, candidates and spouses, if applicable; the entity with which the public official, etc... is employed or has contracted; an exact job description or description of the contract; and the dates for the term of the contract, the compensation, including any and all salary, allowances, and fees, received by the public official or his or her spouse or the candidate or his or her spouse.

If the terms of employment or of the contract change, the public official or his or her spouse or the candidate or his or her spouse shall provide updated information concerning the change with the commission. Filings collected by the commission pursuant to this section are public record and shall be made available on the commission's website.

Alaska
39.50.030
24.60.040
24.60.070
24.60.100

List of contracts and offers to contract with the state or an instrumentality of the state held, bid or offered by the legislator, a reportable member of his family or a corporation in which any of the above hold a controlling interest.

Legislators or legislative employees, or a member of their immediate family, may not be a party to or have an interest in a state contract or lease unless the contract or lease is let under AS 36.30 (State Procurement Code) or, for agencies that are not subject to AS 36.30, under similar procedures, or the total annual amount of the state contract or lease is $5,000 or less, or is a standardized contract or lease that was developed under publicly established guidelines and is generally available to the public at large, members of a profession, occupation, or group. A person has an interest in a state contract or lease under this section if the person receives direct or indirect financial benefits. A legislator or legislative employee who participates in, or who knows or reasonably should know that a family member is participating in, a state contract or lease that has an annual value of $5,000 or more shall disclose the participation to the committee by the date required under AS 24.60.105 . The legislator or legislative employee shall also disclose the renegotiation of a state contract or lease if the original had to be disclosed under this section or if, as a result of renegotiation, disclosure is required under this section. State the amount of the contract or lease, name of the state agency issuing the contract or lease and must identify the procedures under which the contract or lease was issued. If the disclosure concerns a contract or lease in which a family member of the discloser is participating, the disclosure must identify the relationship between the participant and the discloser.

On a separate form, close economic associations with other legislators, public officials required to file financial disclosures and legislative employees.

On a separate form, name of any person whom the legislator represented for compensation before a state agency; subject matter and agency involved. The disclosure shall be forwarded to the appropriate house for inclusion in the journal. A legislator or legislative employee may not represent another person for compensation before an agency, committee, or other entity of the legislative branch.

Arizona
38-542

Business licenses; Value of state bonds worth >$1,000 according to categories found in income requirements.

Arkansas
19-11-264
21-8-701

 

All contracts with a state agency and a member of the General Assembly, his or her spouse or business in which the person owns >10% interest, shall be presented to the Joint Budget Committee or Legislative Council for review of its propriety.

Mention if occupation is regulated by state. Disclose any positions in state-regulated businesses. If a business in which >10% interest is held sells >$1,000 of goods to state body that employs filer, name goods, price, agency sold to. Note all $ awards received as a state employee in one of several agencies.

Every office or directorship held by the public servant or candidate or his or her spouse in any business, corporation, firm, or enterprise subject to jurisdiction of a regulatory agency of this state or of any of its political subdivisions.

California

None found.

Colorado
24-6-202
24-6-203

Names of businesses filer is associated with that do business with or are regulated by the state; nature of business or regulation.

Salary earned from other government employment, in addition to that earned from being a member of the general assembly or by reason of service in other public office is specifically exempted.

Connecticut
Title 1
Chapter 10
Section 1-83

Name leases the filer or a business with which the filer is associated had with state. Description of partnerships or similar affiliations between businesses associated with the filer, his or her spouse or dependent children and any businesses or person doing business with the state, or seeking to do business with the state or is engaged in activities that are directly regulated by the department or agency in which the filer is employed, or business with which they are associated.

Delaware

None found.

District of Columbia Council members, the Mayor, and Council staff must disclose relationships with business entities.

Florida

112.3114

Per state constitution, legislators are prohibited from representing a person or entity before any state agency for compensation. Public officers, including legislators, and candidates may not accept public employment if they know that the person is being offered  or promoted to a position to gain influence or advantage. Former legislators may not lobby before the executive branch for two years. However reporting provisions apply for state and local elected officials and employees, including certain legislative employees. Each elected constitutional officer and each candidate for such office, any other public officer required pursuant to s. 8, Art. II of the State Constitution to file a full and public disclosure of his or her financial interests, and each state officer, local officer, specified state employee, and candidate for elective public office who is or was during the disclosure period an officer, director, partner, proprietor, or agent, other than a resident agent solely for service of process, of, or owns or owned during the disclosure period a material interest in, any business entity which is granted a privilege to operate in this state shall disclose such facts as a part of the disclosure form filed pursuant to s. 8, Art. II of the State Constitution or this section, as applicable. The statement shall give the name, address, and principal business activity of the business entity and shall state the position held with such business entity or the fact that a material interest is owned and the nature of that interest.

Georgia
21-5-50
45-10-24

Source of any payments to filer from the state >$10,000, name of agency, general description of services. Legislators, their family members and associated businesses are banned from transacting business with the state when a single transaction is for more than $250 and a year's aggregate transactions are more than $9,000 unless the contract is let by sealed competitive bidding. Other exceptions exist in 45-10-24 and 45-10-25.

Hawaii
84-17

Names of clients represented before state agencies for payment and the names of the agencies.

Idaho

No financial disclosure requirements.

Illinois
5 ILCS420/4A-102

Name of any governmental units that employ the filer, other than the legislature.

Name and instrument of ownership in any entity doing business in the state, in which an ownership interest held by the person at the date of filing is in excess of $5,000 fair market value or from which dividends of in excess of $1,200 were derived during the preceding calendar year. (In the case of real estate, location thereof shall be listed by street address, or if none, then by legal description). Except for professional service entities, the name of any entity and any position held therein from which income of in excess of $1,200 was derived during the preceding calendar year, if the entity does business in the state. No time or demand deposit in a financial institution, nor any debt instrument need be listed in either circumstance.

Indiana
IC 2-2.1-3-2

Name the state agency which licenses or regulates the filer's profession or proprietorship. Names of those on whose behalf the legislator or legislator's spouse has appeared before or transacted with a state agency for payment; nature of service.

Iowa

None found.

Kansas
446-239

In a separate filing, within 10 days of accepting such employment, the names of any clients represented before state agency, and other information.

Kentucky
KRS 6.787

Answer to the question of whether a business partner has appeared before or represented a state agency in a way that a legislator is prohibited from under KRS 6.744. If affirmative, a list of clients represented and agencies involved.

Louisiana

Name, address, type, and amount of each source of income received by the individual or spouse, or by any business in which the individual or spouse, either individually or collectively, owns an interest which exceeds ten percent of that business, which is received from any of the following:
the state or any political subdivision as defined in Article VI of the Constitution of Louisiana or services performed for or in connection with a gaming interest as defined in R.S. 18:1505.2(L)(3)(a). Must report according to categories found in income requirements.

Maine
Title 1
Chapter 25
Subchapter 2
Section 1016-D
Section 1016-G
Section 1021

Must file a bid disclosure statement when bidding on a contract with a state governmental agency no later than 5:00 p.m. on the day the bid is submitted that discloses the subject of the bid and the names of the legislator, associated organization and state governmental agency.

Each executive branch agency before which filer or immediate family member has represented or assisted others for compensation. Each state governmental agency, board or commission to which the legislator, an immediate family member or an associated organization has sold, rented or leased goods or services with a value of $10,000 or more during the preceding calendar year and a description of the goods or services sold, rented or leased.

It shall not be a conflict of interest for a legislator to serve on a public board, authority or commission created by the Legislature so long as there is no consideration paid other than his actual expenses.

Maryland
15-607
15-513

See "Creditors/ Debtors," & "Gifts/ Honoraria" Name, address of business doing business with the state in which the filer holds an interest, with some exceptions; include the state agency, the nature of business; and amount of interest, including any conditions to and encumbrances on the interest. Additional information is required about the position or interest, including dates of acquisition or transfer. All offices, directorships, and salaried employment, or any similar interest not otherwise disclosed, in business entities doing business with the state, with some exceptions, including name, nature of position or interest and date it commenced, the name of the pertinent governmental unit and the nature of the business with the state. Each debt, excluding retail credit accounts, owed at any time during the applicable period to entities doing business with the State, including information such as the amount, the date the debt was incurred and the terms of the debt.

List family members employed by state. On another form, list information about representing others before state agencies.

List family members employed by state. On another form, list information about representing others before state agencies.

Disclose all offices, directorships, and salaried employment, or any similar interest not otherwise disclosed, in business entities doing business with the State, both for filer and family. Include name and address of business, nature of position, date of commencement, name of governmental entity with which the entity is doing business, nature of business with the state.

With exceptions, a legislator may not receive earned income from an executive unit; or a political subdivision of the state. Exemptions include income that is received for educational instruction, a position that is subject to a merit system hiring process; a human services position; or a career promotion, change, or progression from certain specified circumstances.

If representing a person for compensation before a state or local government agency, except in a judicial proceeding or in a quasi-judicial proceeding, the name of the person represented, the services performed, and the consideration.  May keep confidential the name if that information is privileged or confidential pursuant to any provision of law.

If representing a state or local government agency for compensation, the name of the agency, the services performed, and the consideration.

Name of any business enterprise subject to regulation by a state agency in which the legislator and a member of the legislator's immediate family (spouse and children living with the legislator), together or separately, have the lesser of: 10 percent or more of the capital stock of any corporation; or capital stock of any corporation with a cumulative value of $ 25,000 or more; and any interest in a partnership, limited liability partnership, or limited liability company. Details of any contractual relationship with the state, or a local government in the State, including the subject matter and the consideration.

Details of any transaction with state involving a monetary consideration.

Any primary employment or business interest and the employer of the legislator or the spouse of the legislator, except for employment as a legislator.

Massachusetts
Part IV
Title I
Chapter 268B, Section 5

Amounts and sources of any securities or investments >$1,000 issued by the state or a political subdivision.

 

Michigan

Michigan has no personal financial disclosure requirements, but interests in state contracts are prohibited, with several exceptions, under 15.302.

Minnesota
10A.09
10A.08
10A.071

Any participation in representing a client before a state agency for a fee must be disclosed within 14 days of the incident on a separate statement.

Mississippi
25-4-27

Name of person, nature of business involved in any representation by filer involving one of 8 state agencies. All public bodies from which >$1,000 compensation received.

Missouri
105.483
105.485

Name, position, relationship of any first-degree relative who is employed by state or political subdivision, or is a fee agent for the department of revenue.

Montana

None found.

Nebraska

49-1493

The name, address, and nature of business of a person or government body from whom any income in the value of $1,000 or more was received and the nature of the services rendered, except that the identification of patrons, customers, patients, or clients of such person from which employment income was received is not required.

Nevada
281A.410

A legislator or certain other officials and employees whose public service requires less than half of his or her time, may represent or counsel a private person before an agency in which he or she does not serve. If this occurs, legislator or officer must disclose for each such representation or counseling during the previous calendar year the name of the client; the nature of the representation; and the name of the state agency.

New Hampshire

15A:5

Statement of whether there is a special interest in a list of 17 businesses, professions, occupations, groups, or matters, including: any profession, occupation, or business licensed or certified by the state of New Hampshire, listing each such profession, occupation, or category of business; state of New Hampshire, county, or municipal employment; or the New Hampshire retirement system. A person has a reportable special interest in an item on this list if a change in law, a change in administrative rule, a decision whether or not to award a contract, grant a license or permit, discipline a licensee or permittee, or other decision by government affecting the listed business, profession, occupation, group, or matter would potentially have a greater financial effect on the person reporting the financial interest or a family member than it would on the general public.

New Jersey

None found.

New Mexico

10-16A-3

New Mexico professional licenses held. State agencies to which filer or spouse sold >$5,000 worth of goods or services. State agencies, other than a court, before which a client was assisted or represented by the filer.

New York
Consolidated Laws
Chapter 47
Article 4
Section 73a

For filer, if occupation or employment  was licensed by any state or local agency, was regulated by any state regulatory agency or local agency, or, as a regular and significant part of the business or activity of said entity, did business with, or had matters other than ministerial matters before, any state or local agency, list the name of any such agency. If the spouse or unemancipated child of  filer was engaged in any occupation, employment, trade, business or profession which activity was licensed by any state or local agency, was regulated by any state regulatory agency or local agency, or, as a regular and significant part of the business or activity of said entity, did business with, or had matters other than ministerial
matters before, any state or local agency, list the name, address and description of such occupation, employment, trade, business or profession and the name of any such agency.

List any interest, in excess of $1,000, held by the filer, spouse or unemancipated child, or partnership of which any such person is a member, or corporation, 10% or more of the stock of which is owned or controlled by any such person, whether vested or contingent, in any contract made or executed by a state or local agency and include the name of the entity which holds such interest and the relationship of the reporting individual or such individual's spouse or such child to such entity and the interest in such contract. Interest in a contract made or executed by a local agency after public notice and pursuant to a process for competitive bidding or a process for competitive requests for proposals is exempted.

Applicable only to new clients/customers/matters after July 1, 2012, if filer provides services to any person or entity, or works as a member or employee of a partnership or corporation that provides such services (referred to hereinafter as a "firm"), then identify each client or customer to whom the reporting individual personally provided services, or who was referred to the firm by the reporting individual, and from whom the reporting individual or his or her firm earned fees in excess of $10,000 during the reporting period for such services rendered in direct connection with: a proposed bill or resolution in the legislature during the reporting period; a contract in an amount totaling $50,000 or more from the state or any state agency for services, materials, or property; a grant of $25,000 or more from the state or any state agency during the reporting period; a grant obtained through a legislative initiative during the reporting period; or a case, proceeding, application or other matter that is not a ministerial matter before a state agency during the reporting period.

North Carolina
138A-24

Real estate that is currently leased or rented to or from the state. Personal property sold to or bought from the state within the preceding two years. Personal property currently leased or rented to or from the state. A brief description of business activity for certain listed companies or businesses that have material business dealings, contracts, or other involvement with the state, or are regulated by the state. A list of those nonprofit corporations or organizations with which associated, if they do business with the state or receive state funds and a brief description of the nature of the business, if known or with which due diligence could reasonably be known.

North Dakota

None found.

Ohio
102.02

Identity, amount of income received from a source that is doing or seeking to do business with the public official's agency.

Oklahoma
Rule 257:15-1-7

Name, address, income type for all government sources of income paying >$5,000. Name, address of clients filer or spouse represented before state agency for >$1,000. Positions such as officer, director, trustee held in entity doing business with a government entity; term. Professional licenses held.

Oregon

244.060 and 244.070

Rights of any kind in real property located within the geographic boundaries of the governmental agency of which the public official holds an official position or over which the public official exercises any authority.

The name, principal address and brief description of each source of income exceeding an aggregate amount of $1,000 received by the filer or household member if the source of that income is derived from an individual or business that has a legislative or administrative interest or that has been doing business, does business or could reasonably be expected to do business with the governmental agency of which the public official holds, an official position or over which the public official exercises any authority.

A public official shall report on additional economic interest only if the source of that interest is derived from an individual or business that has a legislative or administrative interest or that has been doing business, does business or could reasonably be expected to do business with the governmental agency of which the public official holds an official position or over which the public official exercises any authority.

Those additional economic interests are:
Each person to whom the public official or candidate or a member of the household of the public official or candidate owes or has owed money in excess of $1,000, the interest rate on money owed and the date of the loan, except for debts owed to any federal or state regulated financial institution or retail contracts; the name, principal address and brief description of the nature of each business in which the public official or candidate or a member of the household of the public official or candidate has or has had a personal, beneficial interest or investment, including stocks or other securities, in excess of $1,000, except for individual items involved in a mutual fund or a blind trust, or a time or demand deposit in a financial institution, shares in a credit union, or the cash surrender value of life insurance; each person for whom the public official or candidate has performed services for a fee in excess of $1,000, except for any disclosure otherwise prohibited by law or by a professional code

Pennsylvania

See "Property"

Rhode Island
36-14-17
36-14-18

Disclose if filer held a 10% or greater equity interest or $5,000 or greater cash value interest or has done business with a state or municipal agency or a business which is subject to direct regulation greater than of a de minimis nature by a state or municipal agency and disclose the date and nature of the business. If income was received from a state or municipal agency, the name and address of the agency and the nature of the services rendered, according to categories listed in income requirements.

Filers who have acquired or divested themselves of 10%+ equity interest or $5,000 cash value in a business regulated by or doing business with the state or a city must file a separate affidavit with related information under 36-14-18.

South Carolina
Article 11
Section 8-13-1110

See "Occupation/ Income" and "Property." Attach copies of contracts involving the sale, lease or rental of personal or real property to a governmental agency. If income received from a person or business that contracts with state entity employing the filer, report name, address of that source, income amount.

See "Creditors/ Debtors." Legislators shall not represent clients before state agencies for payment under 8-13-745.

South Dakota

None found.

Tennessee

None found.

Texas
Chapter 572.025

Legislators may not lease property to the state. Legislators cannot represent others before a state agency for compensation except under certain circumstances. Those who do represent others under these circumstances allowed by law must disclose the name of the agency involved, the name of the person represented and the category of the amount of compensation received.

Utah

None found.

Vermont

No financial disclosure requirements.

Virginia
30-111

For real estate contracts with the state, location; agency involved; income and relationship to contract. See "Property."

If filer or persons with whom filer has close financial association represented any businesses before or furnished services for any state governmental agencies for over $1,000 in compensation, excluding paperwork, report on name of business, type of business, purpose of representation/services, name of agency, according to amount categories (see income requirements).

Washington
RCW 42.17A.710

The name and address of each governmental entity from whom compensation has been received in any form of a total value of $500 or more; the value of the compensation; and the consideration given or performed in exchange for the compensation.

If a business entity in which the filer has held an office, directorship or partnership has received compensation in any form from the governmental unit in which the filer holds office, disclose the value of the compensation and the consideration given or performed in exchange for the compensation; the name of each governmental unit, corporation, partnership, joint venture, sole proprietorship, association, union, or other business or commercial entity from which the entity has received compensation in any form in the amount of $2,500 or more and the consideration given or performed in exchange for the compensation.

No state officer can assist another person in a transaction involving the state under RCW 42.52.040.

West Virginia
6B-2-6

If filer or business in which filer owns >10% interest sold goods or services to the state, describe the nature of the goods and name the agencies that purchased them.

Wisconsin

19.44

Securities having a value of $5,000 or more issued by the state or a local government entity, the identity of such securities and their approximate value.

Wyoming

None

 

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