Expands the definition of children for financial disclosures made by public officers to include all ages of children, even if married or not living in the same household of the reporting individual.
STATE OF NEW YORK
________________________________________________________________________
8671
2019-2020 Regular Sessions
IN ASSEMBLY
October 23, 2019
___________
Introduced by M. of A. LiPETRI -- read once and referred to the Commit-
tee on Governmental Operations
AN ACT to amend the public officers law, in relation to expanding the
definition of children for financial disclosures made by public offi-
cers
The People of the State of New York, represented in Senate and Assem-bly, do enact as follows:
1 Section 1. Paragraph (g) of subdivision 1 of section 73-a of the
2 public officers law, as amended by section 5 of part A of chapter 399 of
3 the laws of 2011, is amended to read as follows:
4 (g) The term "[unemancipated] child" shall mean any son, daughter,
5 stepson or stepdaughter [who is under age eighteen, unmarried and living
6 in the household of the reporting individual].
7 § 2. Subdivision 3 of section 73-a of the public officers law, as
8 amended by section 5 of part A of chapter 399 of the laws of 2011, para-
9 graph 8 as amended by section 6 of part K of chapter 286 of the laws of
10 2016 and paragraph 13 as amended by section 1 of part CC of chapter 56
11 of the laws of 2015, is amended to read as follows:
12 3. The annual statement of financial disclosure shall contain the
13 information and shall be in the form set forth hereinbelow:
14 ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)
15 1. Name ______________________________________________________________
16 2. (a) Title of Position _____________________________________________
17 (b) Department, Agency or other Governmental Entity _______________
18 (c) Address of Present Office _____________________________________
19 (d) Office Telephone Number _______________________________________
20 3. (a) Marital Status ______________. If married, please give spouse's
21 full name including maiden name where applicable.
22 _____________________________________________________________ .
EXPLANATION--Matter in italics (underscored) is new; matter in brackets
[] is old law to be omitted.
LBD13944-02-9
A. 8671 2
1 (b) List the names of all [unemancipated] children.
2 ____________________________________________________________________
3 ____________________________________________________________________
4 ____________________________________________________________________
5 ____________________________________________________________________
6 ____________________________________________________________________
7 Answer each of the following questions completely, with respect to
8 calendar year _________, unless another period or date is otherwise
9 specified. If additional space is needed, attach additional pages.
10 Whenever a "value" or "amount" is required to be reported herein, such
11 value or amount shall be reported as being within one of the following
12 Categories in Table I or Table II of this subdivision as called for in
13 the question: A reporting individual shall indicate the Category by
14 letter only.
15 Whenever "income" is required to be reported herein, the term "income"
16 shall mean the aggregate net income before taxes from the source identi-
17 fied.
18 The term "calendar year" shall mean the year ending the December 31st
19 preceding the date of filing of the annual statement.
20 4. (a) List any office, trusteeship, directorship, partnership, or
21 position of any nature, whether compensated or not, held by the
22 reporting individual with any firm, corporation, association, part-
23 nership, or other organization other than the State of New York.
24 Include compensated honorary positions; do NOT list membership or
25 uncompensated honorary positions. If the listed entity was licensed
26 by any state or local agency, was regulated by any state regulatory
27 agency or local agency, or, as a regular and significant part of the
28 business or activity of said entity, did business with, or had
29 matters other than ministerial matters before, any state or local
30 agency, list the name of any such agency.
31 State or
32 Position Organization Local Agency
33 ____________________________________________________________________
34 ____________________________________________________________________
35 ____________________________________________________________________
36 ____________________________________________________________________
37 ____________________________________________________________________
38 (b) List any office, trusteeship, directorship, partnership, or position
39 of any nature, whether compensated or not, held by the spouse or
40 [unemancipated] child of the reporting individual, with any firm,
41 corporation, association, partnership, or other organization other
42 than the State of New York. Include compensated honorary positions;
43 do NOT list membership or uncompensated honorary positions. If the
44 listed entity was licensed by any state or local agency, was regu-
45 lated by any state regulatory agency or local agency, or, as a regu-
46 lar and significant part of the business or activity of said entity,
47 did business with, or had matters other than ministerial matters
48 before, any state or local agency, list the name of any such agency.
A. 8671 3
1 State or
2 Position Organization Local Agency
3 ____________________________________________________________________
4 ____________________________________________________________________
5 ____________________________________________________________________
6 ____________________________________________________________________
7 ____________________________________________________________________
8 5. (a) List the name, address and description of any occupation,
9 employment (other than the employment listed under Item 2 above),
10 trade, business or profession engaged in by the reporting individ-
11 ual. If such activity was licensed by any state or local agency, was
12 regulated by any state regulatory agency or local agency, or, as a
13 regular and significant part of the business or activity of said
14 entity, did business with, or had matters other than ministerial
15 matters before, any state or local agency, list the name of any such
16 agency.
17 State or
18 Name & Address Local
19 Position of Organization Description Agency
20 ____________________________________________________________________
21 ____________________________________________________________________
22 ____________________________________________________________________
23 ____________________________________________________________________
24 ____________________________________________________________________
25 (b) If the spouse or [unemancipated] child of the reporting individual
26 was engaged in any occupation, employment, trade, business or
27 profession which activity was licensed by any state or local agency,
28 was regulated by any state regulatory agency or local agency, or, as
29 a regular and significant part of the business or activity of said
30 entity, did business with, or had matters other than ministerial
31 matters before, any state or local agency, list the name, address
32 and description of such occupation, employment, trade, business or
33 profession and the name of any such agency.
34 State or
35 Name & Address Local
36 Position of Organization Description Agency
37 ____________________________________________________________________
38 ____________________________________________________________________
39 ____________________________________________________________________
40 ____________________________________________________________________
41 ____________________________________________________________________
42 6. List any interest, in EXCESS of $1,000, held by the reporting indi-
43 vidual, such individual's spouse or [unemancipated] child, or part-
44 nership of which any such person is a member, or corporation, 10% or
45 more of the stock of which is owned or controlled by any such
46 person, whether vested or contingent, in any contract made or
47 executed by a state or local agency and include the name of the
48 entity which holds such interest and the relationship of the report-
A. 8671 4
1 ing individual or such individual's spouse or such child to such
2 entity and the interest in such contract. Do NOT include bonds and
3 notes. Do NOT list any interest in any such contract on which final
4 payment has been made and all obligations under the contract except
5 for guarantees and warranties have been performed, provided, howev-
6 er, that such an interest must be listed if there has been an ongo-
7 ing dispute during the calendar year for which this statement is
8 filed with respect to any such guarantees or warranties. Do NOT list
9 any interest in a contract made or executed by a local agency after
10 public notice and pursuant to a process for competitive bidding or a
11 process for competitive requests for proposals.
12 Entity Relationship Contracting Category
13 Self, Which Held to Entity State or of
14 Spouse or Interest in and Interest Local Value of
15 Child Contract in Contract Agency Contract
16 (In Table II)
17 ____________________________________________________________________
18 ____________________________________________________________________
19 ____________________________________________________________________
20 ____________________________________________________________________
21 ____________________________________________________________________
22 7. List any position the reporting individual held as an officer of any
23 political party or political organization, as a member of any poli-
24 tical party committee, or as a political party district leader. The
25 term "party" shall have the same meaning as "party" in the election
26 law. The term "political organization" means any party or independ-
27 ent body as defined in the election law or any organization that is
28 affiliated with or a subsidiary of a party or independent body.
29 ____________________________________________________________________
30 ____________________________________________________________________
31 ____________________________________________________________________
32 ____________________________________________________________________
33 ____________________________________________________________________
34 8. (a) If the reporting individual practices law, is licensed by the
35 department of state as a real estate broker or agent or practices a
36 profession licensed by the department of education, or works as a member
37 or employee of a firm required to register pursuant to section one-e of
38 the legislative law as a lobbyist, describe the services rendered for
39 which compensation was paid including a general description of the prin-
40 cipal subject areas of matters undertaken by such individual and princi-
41 pal duties performed. Specifically state whether the reporting individ-
42 ual provides services directly to clients. Additionally, if such an
43 individual practices with a firm or corporation and is a partner or
44 shareholder of the firm or corporation, give a general description of
45 principal subject areas of matters undertaken by such firm or corpo-
46 ration.
47 ____________________________________________________________________
48 ____________________________________________________________________
49 ____________________________________________________________________
A. 8671 5
1 ____________________________________________________________________
2 ____________________________________________________________________
3 (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
4 PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
5 THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING
6 CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
7 OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
8 THIRTY-FIRST, TWO THOUSAND FIFTEEN:
9 If the reporting individual personally provides services to any person
10 or entity, or works as a member or employee of a partnership or corpo-
11 ration that provides such services (referred to hereinafter as a
12 "firm"), then identify each client or customer to whom the reporting
13 individual personally provided services, or who was referred to the firm
14 by the reporting individual, and from whom the reporting individual or
15 his or her firm earned fees in excess of $10,000 during the reporting
16 period for such services rendered in direct connection with:
17 (i) A contract in an amount totaling $50,000 or more from the state or
18 any state agency for services, materials, or property;
19 (ii) A grant of $25,000 or more from the state or any state agency
20 during the reporting period;
21 (iii) A grant obtained through a legislative initiative during the
22 reporting period; or
23 (iv) A case, proceeding, application or other matter that is not a
24 ministerial matter before a state agency during the reporting period.
25 For purposes of this question, "referred to the firm" shall mean:
26 having intentionally and knowingly taken a specific act or series of
27 acts to intentionally procure for the reporting individual's firm or
28 knowingly solicit or direct to the reporting individual's firm in whole
29 or substantial part, a person or entity that becomes a client of that
30 firm for the purposes of representation for a matter as defined in
31 subparagraphs (i) through (iv) of this paragraph, as the result of such
32 procurement, solicitation or direction of the reporting individual. A
33 reporting individual need not disclose activities performed while
34 lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
35 sion seven of section seventy-three of this article.
36 The disclosure requirement in this question shall not require disclo-
37 sure of clients or customers receiving medical or dental services,
38 mental health services, residential real estate brokering services, or
39 insurance brokering services from the reporting individual or his or her
40 firm. The reporting individual need not identify any client to whom he
41 or she or his or her firm provided legal representation with respect to
42 investigation or prosecution by law enforcement authorities, bankruptcy,
43 or domestic relations matters. With respect to clients represented in
44 other matters, where disclosure of a client's identity is likely to
45 cause harm, the reporting individual shall request an exemption from the
46 joint commission pursuant to paragraph (i-1) of subdivision nine of
47 section ninety-four of the executive law, provided, however, that a
48 reporting individual who first enters public office after July first,
49 two thousand twelve, need not report clients or customers with respect
50 to matters for which the reporting individual or his or her firm was
51 retained prior to entering public office.
52 Client Nature of Services Provided
53 ________________________________________________________________________
54 ________________________________________________________________________
55 ________________________________________________________________________
A. 8671 6
1 ________________________________________________________________________
2 ________________________________________________________________________
3 (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
4 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
5 FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
6 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
7 SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
8 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
9 If the reporting individual receives income from employment reportable
10 in question 8(a) and personally provides services to any person or enti-
11 ty, or works as a member or employee of a partnership or corporation
12 that provides such services (referred to hereinafter as a "firm"), the
13 reporting individual shall identify each client or customer to whom the
14 reporting individual personally provided services, or who was referred
15 to the firm by the reporting individual, and from whom the reporting
16 individual or his or her firm earned fees in excess of $10,000 during
17 the reporting period in direct connection with:
18 (i) A contract in an amount totaling $10,000 or more from the state or
19 any state agency for services, materials, or property;
20 (ii) A grant of $10,000 or more from the state or any state agency
21 during the reporting period;
22 (iii) A grant obtained through a legislative initiative during the
23 reporting period; or
24 (iv) A case, proceeding, application or other matter that is not a
25 ministerial matter before a state agency during the reporting period.
26 For such services rendered by the reporting individual directly to
27 each such client, describe each matter that was the subject of such
28 representation, the services actually provided and the payment received.
29 For payments received from clients referred to the firm by the reporting
30 individual, if the reporting individual directly received a referral fee
31 or fees for such referral, identify the client and the payment so
32 received.
33 For purposes of this question, "referred to the firm" shall mean:
34 having intentionally and knowingly taken a specific act or series of
35 acts to intentionally procure for the reporting individual's firm or
36 having knowingly solicited or directed to the reporting individual's
37 firm in whole or substantial part, a person or entity that becomes a
38 client of that firm for the purposes of representation for a matter as
39 defined in clauses (i) through (iv) of this subparagraph, as the result
40 of such procurement, solicitation or direction of the reporting individ-
41 ual. A reporting individual need not disclose activities performed while
42 lawfully acting in his or her capacity as provided in paragraphs (c),
43 (d), (e) and (f) of subdivision seven of section seventy-three of this
44 article.
45 Client Matter Nature of Services Provided Category
46 of Amount
47 (in Table I)
48 ________________________________________________________________________
49 ________________________________________________________________________
50 ________________________________________________________________________
51 ________________________________________________________________________
52 ________________________________________________________________________
A. 8671 7
1 (b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
2 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
3 FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
4 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
5 SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
6 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
7 (i) With respect to reporting individuals who receive ten thousand
8 dollars or more from employment or activity reportable under question
9 8(a), for each client or customer NOT otherwise disclosed or exempted in
10 question 8 or 13, disclose the name of each client or customer known to
11 the reporting individual to whom the reporting individual provided
12 services: (A) who paid the reporting individual in excess of five thou-
13 sand dollars for such services; or (B) who had been billed with the
14 knowledge of the reporting individual in excess of five thousand dollars
15 by the firm or other entity named in question 8(a) for the reporting
16 individual's services.
17 Client Services Category of Amount
18 Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
19 FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
20 DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
21 * REVIEWED DOCUMENTS AND CORRESPONDENCE;
22 * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
23 * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
24 * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
25 OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
26 * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
27 NAME);
28 * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
29 REPRESENTATION OR CONSULTATION;
30 * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
31 * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
32 RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
33 * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
34 (ii) With respect to reporting individuals who disclosed in question
35 8(a) that the reporting individual did not provide services to a client
36 but provided services to a firm or business, identify the category of
37 amount received for providing such services and describe the services
38 rendered.
39 Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
40 A reporting individual need not disclose activities performed while
41 lawfully acting in his or her capacity as provided in paragraphs (c),
42 (d), (e) and (f) of subdivision seven of section seventy-three of this
43 article.
44 The disclosure requirement in questions (b-1) and (b-2) shall not
45 require disclosing clients or customers receiving medical, pharmaceu-
46 tical or dental services, mental health services, or residential real
47 estate brokering services from the reporting individual or his or her
A. 8671 8
1 firm or if federal law prohibits or limits disclosure. The reporting
2 individual need not identify any client to whom he or she or his or her
3 firm provided legal representation with respect to investigation or
4 prosecution by law enforcement authorities, bankruptcy, family court,
5 estate planning, or domestic relations matters, nor shall the reporting
6 individual identify individuals represented pursuant to an insurance
7 policy but the reporting individual shall in such circumstances only
8 report the entity that provides compensation to the reporting individ-
9 ual; with respect to matters in which the client's name is required by
10 law to be kept confidential (such as matters governed by the family
11 court act) or in matters in which the reporting individual represents or
12 provides services to minors, the client's name may be replaced with
13 initials. To the extent that the reporting individual, or his or her
14 firm, provided legal representation with respect to an initial public
15 offering, and professional disciplinary rules, federal law or regu-
16 lations restrict the disclosure of information relating to such work,
17 the reporting individual shall (i) disclose the identity of the client
18 and the services provided relating to the initial public offering to the
19 office of court administration, who will maintain such information
20 confidentially in a locked box; and (ii) include in his or her response
21 to questions (b-1) and (b-2) that pursuant to this paragraph, a disclo-
22 sure to the office of court administration has been made. Upon such time
23 that the disclosure of information maintained in the locked box is no
24 longer restricted by professional disciplinary rules, federal law or
25 regulation, the reporting individual shall disclose such information in
26 an amended disclosure statement in response to the disclosure require-
27 ments in questions (b-1) and (b-2). The office of court administration
28 shall develop and maintain a secure portal through which information
29 submitted to it pursuant to this paragraph can be safely and confiden-
30 tially stored. With respect to clients represented in other matters not
31 otherwise exempt, the reporting individual may request an exemption to
32 publicly disclosing the name of that client from the joint commission
33 pursuant to paragraph (i-1) of subdivision nine of section ninety-four
34 of the executive law, or from the office of court administration. In
35 such application, the reporting individual shall state the following:
36 "My client is not currently receiving my services or seeking my services
37 in connection with:
38 (i) A proposed bill or resolution in the senate or assembly during the
39 reporting period;
40 (ii) A contract in an amount totaling $10,000 or more from the state
41 or any state agency for services, materials, or property;
42 (iii) A grant of $10,000 or more from the state or any state agency
43 during the reporting period;
44 (iv) A grant obtained through a legislative initiative during the
45 reporting period; or
46 (v) A case, proceeding, application or other matter that is not a
47 ministerial matter before a state agency during the reporting period."
48 In reviewing the request for an exemption, the joint commission or the
49 office of court administration may consult with bar or other profes-
50 sional associations and the legislative ethics commission for individ-
51 uals subject to its jurisdiction and may consider the rules of profes-
52 sional conduct. In making its determination, the joint commission or the
53 office of court administration shall conduct its own inquiry and shall
54 consider factors including, but not limited to: (i) the nature and the
55 size of the client; (ii) whether the client has any business before the
56 state; and if so, how significant the business is; and whether the
A. 8671 9
1 client has any particularized interest in pending legislation and if so
2 how significant the interest is; (iii) whether disclosure may reveal
3 trade secrets; (iv) whether disclosure could reasonably result in retal-
4 iation against the client; (v) whether disclosure may cause undue harm
5 to the client; (vi) whether disclosure may result in undue harm to the
6 attorney-client relationship; and (vii) whether disclosure may result in
7 an unnecessary invasion of privacy to the client.
8 The joint commission or, as the case may be, the office of court
9 administration shall promptly make a final determination in response to
10 such request, which shall include an explanation for its determination.
11 The office of court administration shall issue its final determination
12 within three days of receiving the request. Notwithstanding any other
13 provision of law or any professional disciplinary rule to the contrary,
14 the disclosure of the identity of any client or customer in response to
15 this question shall not constitute professional misconduct or a ground
16 for disciplinary action of any kind, or form the basis for any civil or
17 criminal cause of action or proceeding. A reporting individual who first
18 enters public office after January first, two thousand sixteen, need not
19 report clients or customers with respect to matters for which the
20 reporting individual or his or her firm was retained prior to entering
21 public office.
22 (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
23 PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
24 NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
25 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
26 SAND FIFTEEN:
27 If the reporting individual receives income of ten thousand dollars or
28 greater from any employment or activity reportable under question 8(a),
29 identify each registered lobbyist who has directly referred to such
30 individual a client who was successfully referred to the reporting indi-
31 vidual's business and from whom the reporting individual or firm
32 received a fee for services in excess of five thousand dollars. Report
33 only those referrals that were made to a reporting individual by direct
34 communication from a person known to such reporting individual to be a
35 registered lobbyist at the time the referral is made. With respect to
36 each such referral, the reporting individual shall identify the client,
37 the registered lobbyist who has made the referral, the category of value
38 of the compensation received and a general description of the type of
39 matter so referred. A reporting individual need not disclose activities
40 performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
41 (f) of subdivision seven of section seventy-three of this article. The
42 disclosure requirements in this question shall not require disclosing
43 clients or customers receiving medical, pharmaceutical or dental
44 services, mental health services, or residential real estate brokering
45 services from the reporting individual or his or her firm or if federal
46 law prohibits or limits disclosure. The reporting individual need not
47 identify any client to whom he or she or his or her firm provided legal
48 representation with respect to investigation or prosecution by law
49 enforcement authorities, bankruptcy, family court, estate planning, or
50 domestic relations matters, nor shall the reporting individual identify
51 individuals represented pursuant to an insurance policy but the report-
52 ing individual shall in such circumstances only report the entity that
53 provides compensation to the reporting individual; with respect to
54 matters in which the client's name is required by law to be kept confi-
55 dential (such as matters governed by the family court act) or in matters
56 in which the reporting individual represents or provides services to
A. 8671 10
1 minors, the client's name may be replaced with initials. To the extent
2 that the reporting individual, or his or her firm, provided legal repre-
3 sentation with respect to an initial public offering, and federal law or
4 regulations restricts the disclosure of information relating to such
5 work, the reporting individual shall (i) disclose the identity of the
6 client and the services provided relating to the initial public offering
7 to the office of court administration, who will maintain such informa-
8 tion confidentially in a locked box; and (ii) include in his or her
9 response a statement that pursuant to this paragraph, a disclosure to
10 the office of court administration has been made. Upon such time that
11 the disclosure of information maintained in the locked box is no longer
12 restricted by federal law or regulation, the reporting individual shall
13 disclose such information in an amended disclosure statement in response
14 to the disclosure requirements of this paragraph. The office of court
15 administration shall develop and maintain a secure portal through which
16 information submitted to it pursuant to this paragraph can be safely and
17 confidentially stored. With respect to clients represented in other
18 matters not otherwise exempt, the reporting individual may request an
19 exemption to publicly disclosing the name of that client from the joint
20 commission pursuant to paragraph (i-1) of subdivision nine of section
21 ninety-four of the executive law, or from the office of court adminis-
22 tration. In such application, the reporting individual shall state the
23 following: "My client is not currently receiving my services or seeking
24 my services in connection with:
25 (i) A proposed bill or resolution in the senate or assembly during the
26 reporting period;
27 (ii) A contract in an amount totaling $10,000 or more from the state
28 or any state agency for services, materials, or property;
29 (iii) A grant of $10,000 or more from the state or any state agency
30 during the reporting period;
31 (iv) A grant obtained through a legislative initiative during the
32 reporting period; or
33 (v) A case, proceeding, application or other matter that is not a
34 ministerial matter before a state agency during the reporting period."
35 In reviewing the request for an exemption, the joint commission or the
36 office of court administration may consult with bar or other profes-
37 sional associations and the legislative ethics commission for individ-
38 uals subject to its jurisdiction and may consider the rules of profes-
39 sional conduct. In making its determination, the joint commission or the
40 office of court administration shall conduct its own inquiry and shall
41 consider factors including, but not limited to: (i) the nature and the
42 size of the client; (ii) whether the client has any business before the
43 state; and if so, how significant the business is; and whether the
44 client has any particularized interest in pending legislation and if so
45 how significant the interest is; (iii) whether disclosure may reveal
46 trade secrets; (iv) whether disclosure could reasonably result in retal-
47 iation against the client; (v) whether disclosure may cause undue harm
48 to the client; (vi) whether disclosure may result in undue harm to the
49 attorney-client relationship; and (vii) whether disclosure may result in
50 an unnecessary invasion of privacy to the client.
51 The joint commission or, as the case may be, the office of court
52 administration shall promptly make a final determination in response to
53 such request, which shall include an explanation for its determination.
54 The office of court administration shall issue its final determination
55 within three days of receiving the request. Notwithstanding any other
56 provision of law or any professional disciplinary rule to the contrary,
A. 8671 11
1 the disclosure of the identity of any client or customer in response to
2 this question shall not constitute professional misconduct or a ground
3 for disciplinary action of any kind, or form the basis for any civil or
4 criminal cause of action or proceeding. A reporting individual who first
5 enters public office after December thirty-first, two thousand fifteen,
6 need not report clients or customers with respect to matters for which
7 the reporting individual or his or her firm was retained prior to enter-
8 ing public office.
9 Client Name of Lobbyist Description Category of Amount
10 of Matter (in Table 1)
11 ________________________________________________________________________
12 ________________________________________________________________________
13 ________________________________________________________________________
14 ________________________________________________________________________
15 ________________________________________________________________________
16 (d) List the name, principal address and general description or the
17 nature of the business activity of any entity in which the reporting
18 individual or such individual's spouse had an investment in excess of
19 $1,000 excluding investments in securities and interests in real proper-
20 ty.
21 9. List each source of gifts, EXCLUDING campaign contributions, in
22 EXCESS of $1,000, received during the reporting period for which
23 this statement is filed by the reporting individual or such individ-
24 ual's spouse or [unemancipated] child from the same donor, EXCLUDING
25 gifts from a relative. INCLUDE the name and address of the donor.
26 The term "gifts" does not include reimbursements, which term is
27 defined in item 10. Indicate the value and nature of each such
28 gift.
29 Category
30 Self, of
31 Spouse or Name of Nature Value of
32 Child Donor Address of Gift Gift
33 (In Table I)
34 ____________________________________________________________________
35 ____________________________________________________________________
36 ____________________________________________________________________
37 ____________________________________________________________________
38 ____________________________________________________________________
39 10. Identify and briefly describe the source of any reimbursements for
40 expenditures, EXCLUDING campaign expenditures and expenditures in
41 connection with official duties reimbursed by the state, in EXCESS
42 of $1,000 from each such source. For purposes of this item, the term
43 "reimbursements" shall mean any travel-related expenses provided by
44 nongovernmental sources and for activities related to the reporting
45 individual's official duties such as, speaking engagements, confer-
46 ences, or factfinding events. The term "reimbursements" does NOT
47 include gifts reported under item 9.
48 Source Description
A. 8671 12
1 ____________________________________________________________________
2 ____________________________________________________________________
3 ____________________________________________________________________
4 ____________________________________________________________________
5 ____________________________________________________________________
6 11. List the identity and value, if reasonably ascertainable, of each
7 interest in a trust, estate or other beneficial interest, including
8 retirement plans (other than retirement plans of the state of New
9 York or the city of New York), and deferred compensation plans
10 (e.g., 401, 403(b), 457, etc.) established in accordance with the
11 internal revenue code, in which the REPORTING INDIVIDUAL held a
12 beneficial interest in EXCESS of $1,000 at any time during the
13 preceding year. Do NOT report interests in a trust, estate or other
14 beneficial interest established by or for, or the estate of, a rela-
15 tive.
16 Category
17 Identity of Value*
18 (In Table II)
19 ____________________________________________________________________
20 ____________________________________________________________________
21 ____________________________________________________________________
22 ____________________________________________________________________
23 ____________________________________________________________________
24 * The value of such interest shall be reported only if reasonably ascer-
25 tainable.
26 12. (a) Describe the terms of, and the parties to, any contract, prom-
27 ise, or other agreement between the reporting individual and any
28 person, firm, or corporation with respect to the employment of such
29 individual after leaving office or position (other than a leave of
30 absence).
31 ____________________________________________________________________
32 ____________________________________________________________________
33 ____________________________________________________________________
34 ____________________________________________________________________
35 ____________________________________________________________________
36 (b) Describe the parties to and the terms of any agreement providing
37 for continuation of payments or benefits to the REPORTING INDIVIDUAL
38 in EXCESS of $1,000 from a prior employer OTHER THAN the State.
39 (This includes interests in or contributions to a pension fund,
40 profit-sharing plan, or life or health insurance; buy-out agree-
41 ments; severance payments; etc.)
42 ____________________________________________________________________
43 ____________________________________________________________________
44 ____________________________________________________________________
45 ____________________________________________________________________
46 ____________________________________________________________________
47 13. List below the nature and amount of any income in EXCESS of $1,000
48 from EACH SOURCE for the reporting individual and such individual's
A. 8671 13
1 spouse for the taxable year last occurring prior to the date of
2 filing. Each such source must be described with particularity.
3 Nature of income includes, but is not limited to, all income (other
4 than that received from the employment listed under Item 2 above)
5 from compensated employment whether public or private, directorships
6 and other fiduciary positions, contractual arrangements, teaching
7 income, partnerships, honorariums, lecture fees, consultant fees,
8 bank and bond interest, dividends, income derived from a trust, real
9 estate rents, and recognized gains from the sale or exchange of real
10 or other property. Income from a business or profession and real
11 estate rents shall be reported with the source identified by the
12 building address in the case of real estate rents and otherwise by
13 the name of the entity and not by the name of the individual custom-
14 ers, clients or tenants, with the aggregate net income before taxes
15 for each building address or entity. The receipt of maintenance
16 received in connection with a matrimonial action, alimony and child
17 support payments shall not be listed.
18 Self/ Category
19 Spouse Source Nature of Amount
20 (In Table I)
21 ____________________________________________________________________
22 ____________________________________________________________________
23 ____________________________________________________________________
24 ____________________________________________________________________
25 ____________________________________________________________________
26 14. List the sources of any deferred income (not retirement income) in
27 EXCESS of $1,000 from each source to be paid to the reporting indi-
28 vidual following the close of the calendar year for which this
29 disclosure statement is filed, other than deferred compensation
30 reported in item 11 hereinabove. Deferred income derived from the
31 practice of a profession shall be listed in the aggregate and shall
32 identify as the source, the name of the firm, corporation, partner-
33 ship or association through which the income was derived, but shall
34 not identify individual clients.
35 Category
36 Source of Amount
37 (In Table I)
38 ____________________________________________________________________
39 ____________________________________________________________________
40 ____________________________________________________________________
41 ____________________________________________________________________
42 ____________________________________________________________________
43 15. List each assignment of income in EXCESS of $1,000, and each trans-
44 fer other than to a relative during the reporting period for which
45 this statement is filed for less than fair consideration of an
46 interest in a trust, estate or other beneficial interest, securities
47 or real property, by the reporting individual, in excess of $1,000,
48 which would otherwise be required to be reported herein and is not
49 or has not been so reported.
A. 8671 14
1 Item Assigned Assigned or Category
2 or Transferred Transferred to of Value
3 (In Table I)
4 ____________________________________________________________________
5 ____________________________________________________________________
6 ____________________________________________________________________
7 ____________________________________________________________________
8 ____________________________________________________________________
9 16. List below the type and market value of securities held by the
10 reporting individual or such individual's spouse from each issuing
11 entity in EXCESS of $1,000 at the close of the taxable year last
12 occurring prior to the date of filing, including the name of the
13 issuing entity exclusive of securities held by the reporting indi-
14 vidual issued by a professional corporation. Whenever an interest in
15 securities exists through a beneficial interest in a trust, the
16 securities held in such trust shall be listed ONLY IF the reporting
17 individual has knowledge thereof except where the reporting individ-
18 ual or the reporting individual's spouse has transferred assets to
19 such trust for his or her benefit in which event such securities
20 shall be listed unless they are not ascertainable by the reporting
21 individual because the trustee is under an obligation or has been
22 instructed in writing not to disclose the contents of the trust to
23 the reporting individual. Securities of which the reporting individ-
24 ual or the reporting individual's spouse is the owner of record but
25 in which such individual or the reporting individual's spouse has no
26 beneficial interest shall not be listed. Indicate percentage of
27 ownership ONLY if the reporting person or the reporting person's
28 spouse holds more than five percent (5%) of the stock of a corpo-
29 ration in which the stock is publicly traded or more than ten
30 percent (10%) of the stock of a corporation in which the stock is
31 NOT publicly traded. Also list securities owned for investment
32 purposes by a corporation more than fifty percent (50%) of the stock
33 of which is owned or controlled by the reporting individual or such
34 individual's spouse. For the purpose of this item the term "securi-
35 ties" shall mean mutual funds, bonds, mortgages, notes, obligations,
36 warrants and stocks of any class, investment interests in limited or
37 general partnerships and certificates of deposits (CDs) and such
38 other evidences of indebtedness and certificates of interest as are
39 usually referred to as securities. The market value for such secu-
40 rities shall be reported only if reasonably ascertainable and shall
41 not be reported if the security is an interest in a general partner-
42 ship that was listed in item 8 (a) or if the security is corporate
43 stock, NOT publicly traded, in a trade or business of a reporting
44 individual or a reporting individual's spouse.
45 Percentage
46 of corporate
47 stock owned
48 or controlled Category of
49 (if more than Market Value
50 5% of pub- as of the close
51 licly traded of the
52 stock, or taxable year
53 more than last occurring
A. 8671 15
1 10% if stock prior to
2 Self/ Issuing Type of not publicly the filing of
3 Spouse Entity Security traded, is held) this statement
4 (In Table II)
5 ____________________________________________________________________
6 ____________________________________________________________________
7 ____________________________________________________________________
8 ____________________________________________________________________
9 ____________________________________________________________________
10 17. List below the location, size, general nature, acquisition date,
11 market value and percentage of ownership of any real property in
12 which any vested or contingent interest in EXCESS of $1,000 is held
13 by the reporting individual or the reporting individual's spouse.
14 Also list real property owned for investment purposes by a corpo-
15 ration more than fifty percent (50%) of the stock of which is owned
16 or controlled by the reporting individual or such individual's
17 spouse. Do NOT list any real property which is the primary or
18 secondary personal residence of the reporting individual or the
19 reporting individual's spouse, except where there is a co-owner who
20 is other than a relative.
21 Category
22 Self/ Percentage of
23 Spouse/ General Acquisition of Market
24 Corporation Location Size Nature Date Ownership Value
25 (In
26 Table
27 II)
28 ____________________________________________________________________
29 ____________________________________________________________________
30 ____________________________________________________________________
31 ____________________________________________________________________
32 ____________________________________________________________________
33 18. List below all notes and accounts receivable, other than from goods
34 or services sold, held by the reporting individual at the close of
35 the taxable year last occurring prior to the date of filing and
36 other debts owed to such individual at the close of the taxable year
37 last occurring prior to the date of filing, in EXCESS of $1,000,
38 including the name of the debtor, type of obligation, date due and
39 the nature of the collateral securing payment of each, if any,
40 excluding securities reported in item 16 hereinabove. Debts, notes
41 and accounts receivable owed to the individual by a relative shall
42 not be reported.
43 Type of Obligation, Category
44 Date Due, and Nature of
45 Name of Debtor of Collateral, if any Amount
46 (In Table II)
47 ____________________________________________________________________
48 ____________________________________________________________________
49 ____________________________________________________________________
A. 8671 16
1 ____________________________________________________________________
2 ____________________________________________________________________
3 19. List below all liabilities of the reporting individual and such
4 individual's spouse, in EXCESS of $10,000 as of the date of filing
5 of this statement, other than liabilities to a relative. Do NOT list
6 liabilities incurred by, or guarantees made by, the reporting indi-
7 vidual or such individual's spouse or by any proprietorship, part-
8 nership or corporation in which the reporting individual or such
9 individual's spouse has an interest, when incurred or made in the
10 ordinary course of the trade, business or professional practice of
11 the reporting individual or such individual's spouse. Include the
12 name of the creditor and any collateral pledged by such individual
13 to secure payment of any such liability. A reporting individual
14 shall not list any obligation to pay maintenance in connection with
15 a matrimonial action, alimony or child support payments. Any loan
16 issued in the ordinary course of business by a financial institution
17 to finance educational costs, the cost of home purchase or improve-
18 ments for a primary or secondary residence, or purchase of a
19 personally owned motor vehicle, household furniture or appliances
20 shall be excluded. If any such reportable liability has been guaran-
21 teed by any third person, list the liability and name the guarantor.
22 Category
23 Name of Creditor Type of Liability of
24 or Guarantor and Collateral, if any Amount
25 (In Table II)
26 ____________________________________________________________________
27 ____________________________________________________________________
28 ____________________________________________________________________
29 ____________________________________________________________________
30 ____________________________________________________________________
31 The requirements of law relating to the reporting of financial
32 interests are in the public interest and no adverse inference of
33 unethical or illegal conduct or behavior will be drawn merely from
34 compliance with these requirements.
35 ___________________________________ _________________________
36 (Signature of Reporting Individual) Date (month/day/year)
37 TABLE I
38 Category A none
39 Category B $ 1 to under $ 1,000
40 Category C $ 1,000 to under $ 5,000
41 Category D $ 5,000 to under $ 20,000
42 Category E $ 20,000 to under $ 50,000
43 Category F $ 50,000 to under $ 75,000
44 Category G $ 75,000 to under $ 100,000
45 Category H $ 100,000 to under $ 150,000
46 Category I $ 150,000 to under $ 250,000
47 Category J $ 250,000 to under $ 350,000
48 Category K $ 350,000 to under $ 450,000
49 Category L $ 450,000 to under $ 550,000
50 Category M $ 550,000 to under $ 650,000
A. 8671 17
1 Category N $ 650,000 to under $ 750,000
2 Category O $ 750,000 to under $ 850,000
3 Category P $ 850,000 to under $ 950,000
4 Category Q $ 950,000 to under $1,050,000
5 Category R $1,050,000 to under $1,150,000
6 Category S $1,150,000 to under $1,250,000
7 Category T $1,250,000 to under $1,350,000
8 Category U $1,350,000 to under $1,450,000
9 Category V $1,450,000 to under $1,550,000
10 Category W $1,550,000 to under $1,650,000
11 Category X $1,650,000 to under $1,750,000
12 Category Y $1,750,000 to under $1,850,000
13 Category Z $1,850,000 to under $1,950,000
14 Category AA $1,950,000 to under $2,050,000
15 Category BB $2,050,000 to under $2,150,000
16 Category CC $2,150,000 to under $2,250,000
17 Category DD $2,250,000 to under $2,350,000
18 Category EE $2,350,000 to under $2,450,000
19 Category FF $2,450,000 to under $2,550,000
20 Category GG $2,550,000 to under $2,650,000
21 Category HH $2,650,000 to under $2,750,000
22 Category II $2,750,000 to under $2,850,000
23 Category JJ $2,850,000 to under $2,950,000
24 Category KK $2,950,000 to under $3,050,000
25 Category LL $3,050,000 to under $3,150,000
26 Category MM $3,150,000 to under $3,250,000
27 Category NN $3,250,000 to under $3,350,000
28 Category OO $3,350,000 to under $3,450,000
29 Category PP $3,450,000 to under $3,550,000
30 Category QQ $3,550,000 to under $3,650,000
31 Category RR $3,650,000 to under $3,750,000
32 Category SS $3,750,000 to under $3,850,000
33 Category TT $3,850,000 to under $3,950,000
34 Category UU $3,950,000 to under $4,050,000
35 Category VV $4,050,000 to under $4,150,000
36 Category WW $4,150,000 to under $4,250,000
37 Category XX $4,250,000 to under $4,350,000
38 Category YY $4,350,000 to under $4,450,000
39 Category ZZ $4,450,000 to under $4,550,000
40 Category AAA $4,550,000 to under $4,650,000
41 Category BBB $4,650,000 to under $4,750,000
42 Category CCC $4,750,000 to under $4,850,000
43 Category DDD $4,850,000 to under $4,950,000
44 Category EEE $4,950,000 to under $5,050,000
45 Category FFF $5,050,000 to under $5,150,000
46 Category GGG $5,150,000 to under $5,250,000
47 Category HHH $5,250,000 to under $5,350,000
48 Category III $5,350,000 to under $5,450,000
49 Category JJJ $5,450,000 to under $5,550,000
50 Category KKK $5,550,000 to under $5,650,000
51 Category LLL $5,650,000 to under $5,750,000
52 Category MMM $5,750,000 to under $5,850,000
53 Category NNN [$5,580,000] $5,850,000 to under $5,950,000
54 Category OOO $5,950,000 to under $6,050,000
55 Category PPP $6,050,000 to under $6,150,000
56 Category QQQ $6,150,000 to under $6,250,000
A. 8671 18
1 Category RRR $6,250,000 to under $6,350,000
2 Category SSS $6,350,000 to under $6,450,000
3 Category TTT $6,450,000 to under $6,550,000
4 Category UUU $6,550,000 to under $6,650,000
5 Category VVV $6,650,000 to under $6,750,000
6 Category WWW $6,750,000 to under $6,850,000
7 Category XXX $6,850,000 to under $6,950,000
8 Category YYY $6,950,000 to under $7,050,000
9 Category ZZZ $7,050,000 to under $7,150,000
10 Category AAAA $7,150,000 to under $7,250,000
11 Category BBBB $7,250,000 to under $7,350,000
12 Category CCCC $7,350,000 to under $7,450,000
13 Category DDDD $7,450,000 to under $7,550,000
14 Category EEEE $7,550,000 to under $7,650,000
15 Category FFFF $7,650,000 to under $7,750,000
16 Category GGGG $7,750,000 to under $7,850,000
17 Category HHHH $7,850,000 to under $7,950,000
18 Category IIII $7,950,000 to under $8,050,000
19 Category JJJJ $8,050,000 to under $8,150,000
20 Category KKKK $8,150,000 to under $8,250,000
21 Category LLLL $8,250,000 to under $8,350,000
22 Category MMMM $8,350,000 to under $8,450,000
23 Category NNNN $8,450,000 to under $8,550,000
24 Category OOOO $8,550,000 to under $8,650,000
25 Category PPPP $8,650,000 to under $8,750,000
26 Category QQQQ $8,750,000 to under $8,850,000
27 Category RRRR $8,850,000 to under $8,950,000
28 Category SSSS $8,950,000 to under $9,050,000
29 Category TTTT $9,050,000 to under $9,150,000
30 Category UUUU $9,150,000 to under $9,250,000
31 Category VVVV $9,250,000 to under $9,350,000
32 Category WWWW $9,350,000 to under $9,450,000
33 Category XXXX $9,450,000 to under $9,550,000
34 Category YYYY $9,550,000 to under $9,650,000
35 Category ZZZZ $9,650,000 to under $9,750,000
36 Category AAAAA $9,750,000 to under $9,850,000
37 Category BBBBB $9,850,000 to under $9,950,000
38 Category CCCCC $9,950,000 to under $10,000,000
39 Category DDDDD $10,000,000 or over
40 TABLE II
41 Category A none
42 Category B $ 1 to under $ 1,000
43 Category C $ 1,000 to under $ 5,000
44 Category D $ 5,000 to under $ 20,000
45 Category E $ 20,000 to under $ 50,000
46 Category F $ 50,000 to under $ 75,000
47 Category G $ 75,000 to under $ 100,000
48 Category H $ 100,000 to under $ 150,000
49 Category I $ 150,000 to under $ 250,000
50 Category J $ 250,000 to under $ 500,000
51 Category K $ 500,000 to under $ 750,000
52 Category L $ 750,000 to under $1,000,000
53 Category M $1,000,000 to under $1,250,000
54 Category N $1,250,000 to under $1,500,000
55 Category O $1,500,000 to under $1,750,000
A. 8671 19
1 Category P $1,750,000 to under $2,000,000
2 Category Q $2,000,000 to under $2,250,000
3 Category R $2,250,000 to under $2,500,000
4 Category S $2,500,000 to under $2,750,000
5 Category T $2,750,000 to under $3,000,000
6 Category U $3,000,000 to under $3,250,000
7 Category V $3,250,000 to under $3,500,000
8 Category W $3,500,000 to under $3,750,000
9 Category X $3,750,000 to under $4,000,000
10 Category Y $4,000,000 to under $4,250,000
11 Category Z $4,250,000 to under $4,500,000
12 Category AA $4,500,000 to under $4,750,000
13 Category BB $4,750,000 to under $5,000,000
14 Category CC $5,000,000 to under $5,250,000
15 Category DD $5,250,000 to under $5,500,000
16 Category EE $5,500,000 to under $5,750,000
17 Category FF $5,750,000 to under $6,000,000
18 Category GG $6,000,000 to under $6,250,000
19 Category HH $6,250,000 to under $6,500,000
20 Category II $6,500,000 to under $6,750,000
21 Category JJ $6,750,000 to under $7,000,000
22 Category KK $7,000,000 to under $7,250,000
23 Category LL $7,250,000 to under $7,500,000
24 Category MM $7,500,000 to under $7,750,000
25 Category NN $7,750,000 to under $8,000,000
26 Category OO $8,000,000 to under $8,250,000
27 Category PP $8,250,000 to under $8,500,000
28 Category QQ $8,500,000 to under $8,750,000
29 Category RR $8,750,000 to under $9,000,000
30 Category SS $9,000,000 to under $9,250,000
31 Category TT $9,250,000 to under $9,500,000
32 Category UU $9,500,000 or over
33 § 3. This act shall take effect on the thirtieth day after it shall
34 have become a law.
