DRAFT: 10/30/2002

From Susan Bysiewicz, Secretary of the State

Overview

The Office of the Secretary of the State was established by the adoption of the Fundamental Orders in 1638/39, which established the principal that the legitimacy of any government is based on the consent of the governed. That idea has become the blueprint for democratic government in what would become our state.

From its inception, the Office of the Secretary of the State has been the official keeper of the public record. The office maintains millions of pages of documents related to law, regulation, elections and business enterprises, all to insure that members of the public will always have access to the information those documents contain. The office responds to more than 600,000 requests for information annually. As Commissioner of Elections for the state, the secretary is charged with administering election law and ensuring a fair and impartial election system.

The executive office of the Secretary of State is located in the State Capitol. The administrative offices are located at 30 Trinity Street, in Hartford, across the street from the State Capitol. Secretary of the State Susan Bysiewicz, elected in 1998, is Connecticut's 72nd Secretary.

Vision Statement

Our vision is to be the leader in providing prompt quality service, increasing access to information, and promoting participation in the democratic process.

Mission Statement

Through the commitment of a knowledgeable staff and advanced technology, the Office of the Secretary of the State works as a team to provide a wide range of services for the people and businesses of Connecticut.

· We are a repository of records for the State, and provide important information and resources regarding business and commercial filings, elections, accountancy, and authentication as prescribed by the Constitution, and federal and state laws
· We seek to support business development opportunities, and foster a more inclusive political process by educating, informing and engaging communities in youth and civic participation.

Message from the Secretary

DRAFT (Report to the people of Connecticut/Secretary's message) - 07/01

Here at the Office of the Secretary of the State we are charged with a wide variety of responsibilities. Overseeing elections, registering businesses, and publishing the state Register & Manual (a.k.a. the "Blue Book") are some of our biggest and more well known duties.

Get Involved By Voting

As Connecticut's chief elections official, one of my most important challenges is to promote interest in our democracy by encouraging civic participation and community involvement. This begins with voting. The ability to shape tomorrow through voting is the foundation of our democracy and an important part of citizenship.

It is truly amazing to think that it has been only 35 years since the federal Voting Rights Act guaranteed access to the polls for all citizens, and only 80 years since women gained the right to vote. If there is one lesson we all learned from election 2000 and the historic Florida recount, it is that every vote is precious.

Information You Can Use

Since taking office in 1999, one of my ongoing priorities has been to increase public access to the vast amount of information housed at our office. As a result, we have made all campaign finance reports beginning with the 2000 election maintained by our Elections Division and business filings from our Commercial Recording Division available to the public free of charge via the Internet on the Secretary of State's web site at www.ct.gov/sots

Business Development

Our office registers about 2,000 new companies each month. We believe it is vital to the future economy of our state that we work to promote continued growth by taking advantage of this natural contact we maintain with these businesses.

One way we do this is by sponsoring Small & Minority Business Showcases and Import/Export trade seminars. Through these events, we have been able to help numerous business owners network with government agencies and other companies to learn more about financing, partnerships, and new market opportunities.
We Hope To Hear From You
From our essay contest for fourth graders to voter registration drives and business development assistance, the Office of the Secretary of the State has something for everyone. I hope this Report to the People of Connecticut provides you with the necessary guidance as to how we can help you.

Susan Bysiewicz
Secretary of the State

Organization of the Office

The office is organized into six divisions, the Human Resources Office, and the Executive Staff:

Commercial Recording Division

Diane Steir, Manager. Division Employees: 58
Annual Division Budget: $
Annual Division Revenue: $ 22,639,041.34

(CGS Titles 1, 3, 12, 13b, 16, 20, 29, 31, 45, 47, 47a, 49, 52)

This division receives, approves, indexes and provides information about commercial transactions and businesses.

Business Organizations
(CGS Titles 33 and 34)

Uniform Commercial Code
(CGS Title 42a)

Trademark and Service Mark Registrations
(CGS Title 35)

Elections Division

Thomas Ferguson, Manager. Division Employees: 14
Annual Division Budget: $ 940,067.00
Annual Division Revenue: $ 19,818.37

This division administers implements and interprets all state and some federal laws pertaining to elections, primaries, nominating procedures, campaign finances and the acquisition and exercise of voting rights.

Voter Registration
(CGS 9-1 to 9-67)

Absentee Voting
(CGS 9-133f to 9-159r)

Elections General
(CGS 9-164 to 9-174)

Particular Officers
(9-175 to 9-224)

Vacancies
(CGS 9-211 to 9-224)

Conduct of Elections and Voting Machines
(CGS 9-228 to 9-269)

Election canvass and returns
(CGS 9-307 to 9-322)

Campaign Financing
(CGS 9-333-9-348gg)

Nominations and Political Parties
(CGS 9-372 to 9-486)

Human Resources

Pamela Morrison, Human Resources Manager
Human Resources/Payroll Staff: 3

The Human Resources Department of the Office of the Secretary of the State is committed to recruiting, hiring, enhancing, and retaining competent staff to carry out the agency's mission. The department provides and/or facilitates staff development activities. It also coordinates payroll, classification and compensation functions, Workers' Compensation administration, and employee benefits. The department interprets and administers collective bargaining agreements, including investigations, discipline, and grievances. The Affirmative Action Plan development and oversight is the responsibility of the Human Resources Department under the direction of the Secretary of the State.

Information Technology

Terry Babcock, Manager
Division Employees: 7
Annual Division Budget: $ 578,988.00

This division is responsible for the administration, support, development and maintenance of all computer systems and their related applications within the agency. It also provides support to the Centralized Voter Registration System, CONCORD, the Campaign Finance Information System (CFIS), the Secretary of the State's Office Web Site and all E-Government initiatives within the agency.

Management and Support Service

Blanche Reeves, Fiscal Administrative Supervisor
Division Employees: 8
Annual Division Budget: $
Annual Division Revenue: $ 840,702.00 [Capitol 619,326.00]

This division prepares and submits the biennial budget, adjustments, budget options, and reports as required. It processes and deposits revenue received for filing fees and services provided. The division is also responsible for procurement of all supplies, services, and equipment; processes vendor payments, prepares bid specifications, and manages vendor communication. The division also distributes/sells state publications.

Records and Legislative Services

Peter J. Bartucca, Manager
Division Employees: 10
Annual Division Budget: $ 633,157.00
Annual Division Revenue: $ 912,426.00

This division edits and publishes the Connecticut State Register & Manual, receives and maintains legislation, regulations and other essential public records as required by statute, and also administers the Notary Public program for the State of Connecticut.

Legislation
(CT Cons. Art. III, Sec 2 & 6; Art. IV, Sec 15 & 23; CGS Sec 2-14, 2-29, 2-30,
3-77, 3-79, 3-80a, 3-82, 3-84, 3-86)

Regulations
(CGS Sec 4-172)

Notary Public Administration
(CGS 3-91 through 3-95)

Authentications
(CGS Sec 3-99a)

Connecticut State Register and Manual
(CGS 3-90)

Records Management
(CT Cons. Art. IV, Sec 23; CGS Sec 3-77)

The State Board of Accountancy

David L. Guay, Executive Director
Division Employees: 5
Annual Division Budget: $ 458,801.00
Annual Division Revenue: $ 1,862,010.70

This division licenses and regulates certified public accountants, operates within the Office of the Secretary of the State.

The Board, established in 1907, oversees and regulates the accounting profession in Connecticut. The Board was established in large part to financial failures and scandals of the late 19th century, which created a demand for a regulated profession to provide the audit function. In today's complicated financial world it is the accountant who is entrusted to provide independent, ethical and objective analysis of financial data. The regulated profession of accountancy is a cornerstone of our U.S. and Connecticut economy.

Licensure and Regulation of Accountancy
(CGS Chapter 389)

The function of State Boards of Accountancy is to protect the public interest by regulating the practice of public accountancy. The regulatory authority of the State Board of Accountancy includes:

The Board is comprised of seven members, all unpaid who individually contribute hundreds of hours to the State, with only a staff of five.

In the fiscal years 1984/1985 we licensed 2242 accountants and 847 accounting firms in Connecticut. In fiscal years 2001/2002 we've licensed 5841 accountants and 1721 accounting firms.

In recent years our enforcement docket is comprised of several hundred cases. In the Board's largest case of the decade, the Board of Accountancy, in cooperation with the Attorney General's Office, conducted a year-long investigation of the relationship between the failed billion-dollar real estate syndicator, Colonial Realty, and the world largest accounting firm, Arthur Andersen. That investigation resulted in a settlement with Andersen, which distributed $2.5 million to Colonial investors and $1 million to state coffers, as cost reimbursement. Even more importantly, that investigation served as a road map for inquiries of numerous other agencies and private litigants.

Business in Connecticut

Connecticut Business Starts Index 2002

Small & Minority Business Showcase

The Small & Minority Business Showcase is an exhibition of small businesses hosted by the CT Secretary of the State's office. Due to its success in reaching the core of each community, the project has been duplicated in several cities. The idea was formulated in 1999 by Secretary Bysiewicz to increase the opportunity for small and micro businesses to gain access to state and federal resources. The Showcase's tag line is:
"Small Business is Big Business sm."

The Secretary of the State's office embarked on the showcase project to bring small and micro businesses together with lending institutions and government agencies directly involved in small business development. The overall concept allows businesses to exhibit their products and services to a wide audience of varying interests at the Showcase. The event brings various businesses under the same roof as lending institutions (both private and state), and allows for strong networking opportunities.

The first showcase was held at the West Indian American Center in Hartford on March 23, 2000. Since then, showcases have been held each year in Bridgeport, New Britain and New London. Although this event is designed to attract small and micro businesses, it also appeals to businesses of all classes including Fortune 500's. The opportunity for networking, finding new business opportunities and accessing resources all under one roof has become more appealing to businesses because it saves them time and provides value.

Secretary of the State Susan Bysiewicz attends each showcase and greets its participants. The event's popularity has encouraged several businesses to register with the Secretary of the State's office as corporations, limited liability companies or non-profit corporations. Hundreds of potential entrepreneurs look forward to attending each program.

The partners and organizing committee comprise representatives from state and federal agencies as well as many private and public organizations.

The Secretary of the State remains focused on the fundamental contact point with the state's business community to promote Connecticut's business development. The office maintains yearly contact with these state businesses and initiatives have been implemented using this contact point as a bridge, helping companies learn about a number of state, federal and private business development opportunities.

The showcase venues are selected based on their accessibility and proximity to downtown areas or economic zones. The downtown locations allow area residents to attend the event and to visit businesses created and developed by entrepreneurs within their community and gain new ideas in order to create or expand their own businesses. Special invitations are extended to high school and college business students to attend the event. Students have the opportunity to speak with representatives of state agencies involved in business development, and with representatives of local businesses at the event. The events include panel discussions, business workshops and individual counseling sessions.

Micro and small businesses or business organizations that would benefit from exhibiting at the showcase, or individuals who may be interested in attending, should call the coordinator, Harland Henry, at the Connecticut Secretary of the State's office. Our contact phone number is 860-509-6258 and email address is harland.henry@po.state.ct.us.

The showcases attract 400 to 600 people to each event. All programs are FREE to the public and a nominal fee is charged for booth display.

The aim of the showcase is to provide a one-stop opportunity to learn, start and grow a business as well as provide government resources to all participants.

Highlight on Technology

Technology is not an end in itself, but rather a means to an end. The Secretary of the State's Office as keeper of the public record has enthusiastically employed a broad range of technologies to enhance our ability to provide information to the public. The office maintains a web site, www.ct.gov/sots, that has evolved and grown over the years, offering the public information and services, literally at the touch of a button, or the click of a mouse.

Business Registry On-Line (Concord)

The CONCORD (Connecticut on-line Commercial Recording Database) system offers the public free real time access to business and Uniform Commercial Code (UCC) records on file with the office of the Secretary of the State. Visitors to the site are able to access business information such as agent for service, officer(s) and director(s), and a list of filings for the particular entity. Also available on-line is information about personal property liens that are filed with the Secretary of the State.

The CONCORD system allows the public access to the most commonly requested information at their convenience without the necessity of having to speak with a member of the staff.

Campaign Finance On-Line

In September of 1997, The Secretary of the State entered into an agreement with an outside vendor to design an electronic campaign finance filing system. This contract represented the second attempt by the Secretary to develop such a filing system. In the first attempt, the vendor defaulted under the terms of the first agreement and the Secretary was forced to rewrite the request for proposal, mainly due to the advancement of technology.

The system is custom designed, in order to meet the specific requirements of Connecticut campaign finance laws. A browser-based system was built in order to give all types of committee treasurer's access to filing, as well as allow the media and the general public to view information from candidate, political and town committees. The browser-based product was chosen, as the alternative would have to be a custom software system, which could limit the accessibility to some users. We felt that it was necessary to have a system that directly met our laws, rather than modify a "canned" product.

The CFIS system was up and ready for the 1998 state election cycle. At that time, we had 35 committees file electronically, even though there was no requirement that they use the system at that time. The elections division staff also registered each committee on file with CFIS in order to make the use of the system easier for the committee treasurers. Under the act, candidate committees formed for the nomination for Governor, Lt. Governor, Attorney General, State Comptroller, State Treasurer and Secretary of the State must file statements electronically, on or after January 1, 1999, if they raised or spent the threshold amount of $250,000. If the committees have not been utilizing CFIS, they are required to re-file using the computerized format by the following filing date. The required January 1, 1999 date for electronic filing was extended in the 1998 legislative session to January 1, 2000.

Most recently, CFIS is in production in a new format. As technology advanced, we saw a need to enhance and upgrade CFIS to meet today's computer demands. The screens have been re-designed and the system is much more user friendly. We have seen an increased number of users on the system, although the $250,000 required filing threshold still exists. In order to allow all campaign finance information to be accessible to the general public, we designed the "File-It" system. This allows for paper reports to be scanned into a browser and allow viewing of all reports from the Secretary of the State web site. Any reports received by the Secretary of the State after January 1, 2000 are viewable through the Secretary's web site at www.ct.gov/sots. This is a temporary solution to campaign finance disclosure, until more specific requirements are enacted by the legislature, which will require electronic filing through the CFIS system.

Interactive State Register & Manual

The Connecticut State Register & Manual is a 900-page compendium of federal, state, and local government in Connecticut. The "Blue Book," as it is known, is published annually by the Secretary of the State's Office. It is considered by many to be an essential tool for navigating the sometimes complex structure of government and it is available to anyone -- at not cost -- on the Secretary of the State's web site. Taking advantage of the potential of this technology, we have incorporated hyperlinks and e-mail links to a broad range of government office and other institutions. In addition, the information in the web version of the book is updated on a weekly basis, making it the most current "Blue Book" imaginable. We encourage you to visit the site soon and familiarize yourself with the information it contains. It is an excellent method for keeping yourself informed about your government.

Forms On-line

Request for forms are among the most common requests received by the office. In response, we have published the most commonly requested forms on our web site. The forms are available by a simple download procedure and can be printed at any time, 24 hours a day, 365 days a year.

It All Begins With the Voter

Our democracy depends for its strength on the participation of an informed electorate. We are living in the "information age" and in the country with the most sophisticated information technology and the longest tradition of democratic institutions. However, we have seen voter turnout decline with the passage of time as evidenced by the most recent national election.

SUMMARY OF ELECTION DAY REGISTRATION, TURNOUT AND
ABSENTEE BALLOT STATISTICS BY CONGRESSIONAL DISTRICT
November 7, 2000

                          *Includes Presidential Ballot and Overseas Ballot voters

SUMMARY OF ELECTION DAY REGISTRATION, TURNOUT AND
ABSENTEE BALLOT STATISTICS BY COUNTY
November 7, 2000

                          *Includes Presidential Ballot and Overseas Ballot voters

(Comments regarding voter registration statistics)

SUMMARY OF REGISTRATION AND
PARTY ENROLLMENT IN CONNECTICUT
BY CONGRESSIONAL DISTRICT
October 23, 2001

SUMMARY OF REGISTRATION AND
PARTY ENROLLMENT IN CONNECTICUT
BY COUNTY
October 23, 2001

Voter Outreach Effort

The Secretary of the State, as the chief election official of Connecticut, is responsible for the implementation, coordination and administration of the "National Voter Registration Act of 1993" (NVRA), which became effective on January 1, 1995. This office works with all agencies that administer programs such as: the Food Stamp, Medicaid, "WIC", and Temporary Family Assistance. We also work with offices providing services to persons with disabilities, as well as Public Libraries and, The Department of Motor Vehicles, which implemented voter registration in 1994, popularly known as the "Motor Voter" law. In addition, this office continues to implement NVRA through voter registration efforts directed at students with disabilities, at state-funded colleges and universities.

Connecticut's Public Act 99-112, "An Act Concerning Voter Registration at Public Colleges and Universities," requires that all state funded colleges and universities must distribute mail-in voter registration application forms. The secretary's office works regularly with the colleges and universities to ensure compliance with this law.

The Elections Services Division also works with more than 1000 non-profit organizations and churches, holding voter registration sessions and conducting outreach efforts. A presence at group functions, such as carnivals, parades and festivals has proven to be quite successful. These outreach efforts have taken Elections Division staff throughout the state, usually during evenings and weekends.

The Immigration and Naturalization Service conducts citizenship ceremonies three times a month in Hartford, Bridgeport and New Haven. Elections Division staff members attend each of the ceremonies, providing an opportunity for new citizens to register to vote immediately upon taking the oath of allegiance.

This office also provides bilingual assistance and written materials during all stages of the election process from registration to voting -- in federal, state and local elections. The US Census Bureau determines the language requirements, under the guidance of the federal "Voting Rights Act of 1965."

The Youth Connection

Excellence in Citizenship Awards - grades 8 and 12

Students are recognized for active participation in civic community activities, good scholarship and leadership activities. Each school nominates one student and has the option of having the Secretary of the State, Secretary staff, or other elected official present the award in person. One student per congressional district is then chosen to receive a $250.00 scholarship.

Citizenship Poster Contest - grade 5

Designed to heighten awareness of good citizenship and its significance in a healthy democracy. 2000/2001 Theme: "Good citizenship is happening in my community."

Citizenship Essay Contest - grade 4

A writing and citizenship program jointly sponsored by the Secretary of the State and the Connecticut Tourism Council. This program complements school curriculum on writing skills and Connecticut history. 2000/2001 Essay topic: "Describe a unique place in Connecticut, and why you would recommend this place to someone visiting our state".

First Vote Connecticut - grades 11 & 12

A program providing information on the importance of voting, voting procedures, and democratic principles. Culminates in the opportunity to register or pre-register to vote. First Vote is a national program, coordinated in CT by the Secretary of the State and the Registrar of Voters Association. Teachers receive a video, curriculum guide, First Vote guide and registration cards free-of-charge.

Student Mock Election - grades K-12

This is a national program sponsored in Connecticut by the Secretary of the State, Hartford Courant and League of Women Voters. It provides teachers and students with a curriculum on voting and culminates in a mock election the week preceding the November election.

Workshops and Classes

The Secretary of the State's office provides classroom visitations and lectures throughout the state at the elementary, middle school, high school and college levels. Age-appropriate workshops address the role of the Secretary of the State, the importance of voting and civic participation, and demonstrate the relationship between government and issues that affect everyday life in CT.

Internship Program

The Secretary of the State has openings for graduate or undergraduate students seeking internship opportunities in the Fall, Spring and Summer. Placements are project oriented and can be structured to meet course credit or field placement requirements. Internships are unpaid. Students interested in law, government, public policy and business are particularly encouraged to apply.

Youth Vote

This program, with the approval and cooperation of local elected officials, enables students to visit official polling sites on election day, accompanied by parent or guardian, to cast a ballot similar in content to the official ballot. Accompanying curriculum for participating teachers and school districts is also available.

State of Democracy Report and Conference

This biennial Report on the State of Democracy in Connecticut studies various topics that influence voting and civic participation in the state. The latest edition focuses on programs for young people, and how to re-engage their interest and activity. The report is followed with a conference on the state of democracy.

If you have any questions about these programs, suggestions for future programs, or would like to inform us of citizenship efforts already happening in your community, please contact Tammy Martin, at 860.509.6269. You can also contact us by email at tammy.martin@po.state.ct.us.

Public Service Awards

Most often, local officials serve as volunteers. Their commitment to public service, without pay (or adequate pay), without recognition and without personal advancement, is a gift to their communities and fellow citizens. It is important to take the time to thank our officials for their contribution to our communities and the State of Connecticut.

Throughout the year, the Secretary of the State's Office honors long serving appointed and elected officials in each congressional district as part of this program. The purpose of the program is twofold - it gives our dedicated local officials the recognition they deserve and, by highlighting the vital role our public servants play in our towns, it will hopefully encourage others to serve. Honoring the efforts of Connecticut's local officials is an important step toward building stronger communities.

Over the course of a year, the Secretary of the State's Office holds ceremonies to present certificates of recognition and/or plaques to the qualifying local officials. To qualify for the award, individuals must have served as an elected or appointed local official for 25 years or more. The awards ceremonies include a brief program and are followed by a reception for the award recipients and their families or guests.

(From Voter Outreach - may use or not)
The Office of the Secretary of the State conducts voter outreach efforts in order to bring voter registration opportunities to citizens who may not have the time or occasion to go to their town hall. Also, it was necessary for this office to empowered citizens with voter registration opportunities. This was due to implications of citizens being disenfranchised for various reasons in the past. In our busy society, it is apparent that citizens need this service brought to them.