Advisory Opinion No. 2004-8

Application Of The Statement Of Financial Interests Filing Requirement
To Individuals Who Temporarily Occupy A Designated Position

The Commission has been asked whether individuals who temporarily occupy positions which have been designated to file Annual Statements of Financial Interests (SFIs) with the Ethics Commission must comply with this filing requirement.  The answer is yes.

In addition to positions enumerated by statute (e.g., Commissioners and deputy commissioners, legislators, etc.), the Governor has statutory authority to designate positions in the Executive Branch and the Quasi-Public Agencies to file annual SFIs.  Conn. Gen. Stat. §1-83(a).  Former Governor Rowland had delegated this authority to his agency heads under a standard requiring filings from those state servants “…who exercise significant policy-making, regulatory or contractual authority.”  See letter from Governor John G. Rowland to Alan S. Plofsky, dated February 6, 1995.  The individuals in question are those who occupy a designated position on a temporary, acting or durational basis.

Simply stated, these individuals occupy positions whose incumbents, without limitation, have been designated to file SFIs pursuant to statute.  Furthermore, during their tenure they have the general capacity to exercise essentially all the authority of a permanent incumbent.  As a consequence, these individuals are required to file SFIs.

By order of the Commission,

Rosemary Giuliano
Chairperson