Any State officer or employee who is involved in the procurement process at his/her State agency or any agency for which the employee is engaged in the procurement process.

The majority of State officers and employees will only be required to disclose involvement in their own agencies’ procurement process. However, there will be situations where State officers and employees will be required to disclose their involvement in the procurement processes of more than one State agency. This will be necessary in the case of Division of Purchase and Property employees because they are involved in the procurement process of most State agencies. This may also be the case for employees of the Department of Law and Public Safety who draft and/or review Requests for Proposals and/or contracts for other agencies. Finally, it will also be necessary when a State employee sits on the board of other agencies and approves contracts as a member of that board.

Involvement in the procurement process means drafting, reviewing, evaluating or making contract award decisions, or substantively assisting in any of those tasks, whether or not the officer or employee works in a financial services position.

You are required to disclose any interest in a firm, association, partnership, corporation or other business organization that is either (1) a current vendor of the agency; or (2) currently seeking to become a vendor of the agency.

You are also required to disclose any professional relationship with any person, firm, association, partnership, corporation or other business organization that is either (1) a current vendor of the agency; or (2) currently seeking to become a vendor of the agency.

You are also required to disclose any personal relationship with any principal officer or director of any firm, association, partnership, corporation or other business organization that is either (1) a current vendor of the agency; or (2) currently seeking to become a vendor of the agency.

Interest means any ownership or control of any profits or assets of a business organization. You must disclose the name of the business organization and the nature of your interest (number of shares held, percentage ownership, etc.).

Professional relationships include, but are not limited to, your lawyer, accountant, physician, landscaper, or plumber. It does not include professional relationships that exist only as a result of your official State duties.

Friends, family, neighbors you interact with regularly, work colleagues, classmates or members of professional and trade organizations who you see on a regular basis.

No, you are required to disclose business, personal, or professional relationships for the period covering five years prior to the date of your statement.

After your initial filing of the Form, you must review it on an annual basis to ensure that it is correct and complete. You must complete a new Form any time there is a material change to any response.

It is the responsibility of the agency head to determine the procedure for review of the Form.

No, however, copies of the Form must be forwarded to the Commission.

Seek advice from your Ethics Liaison Officer (ELO), the SEC or your agency counsel to determine if you are required to recuse yourself from any involvement in the procurement process involving the entity or individual. Such recusal must be in writing.

The Form is available in a fillable PDF format on the State Ethics Commission’s website.