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Assembly Actions -
Lowercase Senate Actions - UPPERCASE |
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|---|---|
| Jan 06, 2016 |
referred to finance |
| Feb 26, 2015 |
referred to rules |
Senate Bill S4096
2015-2016 Legislative Session
Requires members of entities providing advice or recommendations to state officers or state agencies to file financial disclosure statements; repealer
download bill text pdfSponsored By
There are no sponsors of this bill.
Archive: Last Bill Status - In Senate Committee Finance Committee
- Introduced
-
- In Committee Assembly
- In Committee Senate
-
- On Floor Calendar Assembly
- On Floor Calendar Senate
-
- Passed Assembly
- Passed Senate
- Delivered to Governor
- Signed By Governor
Actions
2015-S4096 (ACTIVE) - Details
- Current Committee:
- Senate Finance
- Law Section:
- Public Officers Law
- Laws Affected:
- Amd §73-a, rpld sub 1 ¶¶ (e) & (g), amd §74, Pub Off L
2015-S4096 (ACTIVE) - Summary
Requires members of entities providing advice or recommendations to state officers or state agencies to file financial disclosure statements; requires such members to comply with the state code of ethics; requires persons required to file financial disclosure statements to include information on any person they reside with, rather than just their spouse and unemancipated children; requires timely compliance with requirements of this act by members of advisory entities prior to such entities being authorized to provide advice.
2015-S4096 (ACTIVE) - Sponsor Memo
BILL NUMBER:S4096
TITLE OF BILL: An act to amend the public officers law, in relation
to financial disclosure by certain members of entities advising or
making recommendations to a state officer or state agency, requiring
financial disclosure relating to persons residing with a reporting
individual and expanding the application of the code of ethics to
entities which advise or make recommendations to a state officer or
state agency; limiting the power of such entities until certain
requirements have been fulfilled; and to repeal paragraphs (e) and (g)
of subdivision 1 of section 73-a of the public officers law relating
to the definitions of "spouse" and "unemancipated child"
PURPOSE: To increase transparency of entities providing advice or
recommendations to a state officer, agency, authority or public
benefit corporation on the allocation or disbursement of state or
federal moneys and ensure that members of such entities, and relatives
of the member and people in the member's household, do not have
conflicts of interest related to the moneys for which they have
advised the state officer, agency, authority, or public benefit
corporation.
SUMMARY OF PROVISIONS:
Section 1 amends the definition of "state officer or employee" in
Public Officers Law § 73-a to include any member of an entity created
or in existence at any time during the reporting period to advise or make recommendations to a state officer, agency, authority or public benefit corporation on the allocation or disbursement of state or federal moneys, not already required by law to file such disclosure. Sections 2 and 3 amend Public Officers Law § 73-a to expand the class of individuals that must be included on the Annual Statement of Financial Disclosure to include any person residing in the primary residence of the reporting individual. Section 4 amends Public Officers Law § 74 to expand the definition of "state agency" to include any entity created or in existence to advise or make recommendations to a state officer, agency, authority or public benefit corporation on the allocation or disbursement of state or federal moneys. These entities will now be covered by the State Code of Ethics. Section 5 provides that no member in such an entity will be able to take any action related to such entity until he or she has filed the appropriate financial disclosure form with the Joint Commission on Public Ethics. It also provides that no state officer, agency, authority or public benefit corporation may execute any contract or grant, upon the advice or recommendation of any entity until all members, the members' spouses, the natural or adopted descendants of the members or of the members' spouses, any person sharing the home of any of the foregoing, or any staff member, employee or agent of the members have (1) no direct or indirect financial interest in the requested contract or grant (2) not received and will not receive any direct or indirect financial benefit from the contractor or grantee and (3) no known conflicts of interest as set forth in Public Officers Law § 74. EXISTING LAW: Public Officers Law §§ 73-a and 74 govern financial disclosure and conflict of interest rules for various state officers and employees. JUSTIFICATION: There is a need to increase transparency throughout State and local government. Currently, many individuals who have significant input into the distribution of billions of state funds are not covered by existing financial disclosure and conflict of interest rules. As just one example, over the past four years, the Regional Economic Development Councils (REDC) have provided advice and recommendations on projects that have applied for and been awarded billions of dollars in state funding. On December 11, 2014, it was announced that $709.2 million dollars had been awarded through Round IV of the REDC initiative. The 2015-16 Executive Budget includes recommendations that the REDCs have input into billions of dollars in additional spending. Despite having influence over billions of dollars of state moneys, members of the REDCs do not file any financial disclosure statements nor are they governed by the conflict of interest provisions in the Public Officers Law. LEGISLATIVE HISTORY: New bill FISCAL IMPLICATIONS: None LOCAL FISCAL IMPLICATIONS: None EFFECTIVE DATE: Effective immediately, provided that sections one, two, three and four of this act shall apply to annual statements of financial disclosure filed for calendar years commencing on or after January 1, 2015.
2015-S4096 (ACTIVE) - Bill Text download pdf
S T A T E O F N E W Y O R K
________________________________________________________________________
4096
2015-2016 Regular Sessions
I N S E N A T E
February 26, 2015
___________
Introduced by COMMITTEE ON RULES -- read twice and ordered printed, and
when printed to be committed to the Committee on Rules
AN ACT to amend the public officers law, in relation to financial
disclosure by certain members of entities advising or making recommen-
dations to a state officer or state agency, requiring financial
disclosure relating to persons residing with a reporting individual
and expanding the application of the code of ethics to entities which
advise or make recommendations to a state officer or state agency;
limiting the power of such entities until certain requirements have
been fulfilled; and to repeal paragraphs (e) and (g) of subdivision 1
of section 73-a of the public officers law relating to the definitions
of "spouse" and "unemancipated child"
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Subparagraphs (ii) and (iii) of paragraph (c) of subdivi-
sion 1 of section 73-a of the public officers law, as amended by section
5 of part A of chapter 399 of the laws of 2011, are amended and a new
subparagraph (iv) is added to read as follows:
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions, commis-
sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-
vision or who hold policy-making positions, as annually determined by
the appointing authority and set forth in a written instrument which
shall be filed with the joint commission on public ethics established by
section ninety-four of the executive law during the month of February,
provided, however, that the appointing authority shall amend such writ-
ten instrument after such date within thirty days after the undertaking
of policy-making responsibilities by a new employee or any other employ-
ee whose name did not appear on the most recent written instrument;
[and]
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD09505-04-5
S. 4096 2
(iii) members or directors of public authorities, other than multi-
state authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, and employees of such
authorities, corporations and commissions who receive annual compen-
sation in excess of the filing rate established by paragraph (l) of this
subdivision or who hold policy-making positions, as determined annually
by the appointing authority and set forth in a written instrument which
shall be filed with the joint commission on public ethics established by
section ninety-four of the executive law during the month of February,
provided, however, that the appointing authority shall amend such writ-
ten instrument after such date within thirty days after the undertaking
of policy-making responsibilities by a new employee or any other employ-
ee whose name did not appear on the most recent written instrument[.];
AND
(IV) FOR THE PURPOSES OF THIS SECTION ONLY, SUCH TERM SHALL ALSO
INCLUDE MEMBERS OF ANY ENTITY CREATED OR IN EXISTENCE AT ANY TIME DURING
THE REPORTING PERIOD THAT ADVISES OR MAKES RECOMMENDATIONS TO A STATE
OFFICER OR STATE AGENCY ON THE ALLOCATION OR DISBURSEMENT OF STATE OR
FEDERAL MONEYS, NOT ALREADY REQUIRED BY LAW TO FILE SUCH DISCLOSURE.
S 2. Paragraphs (e) and (g) of subdivision 1 of section 73-a of the
public officers law are REPEALED.
S 3. Subdivision 3 of section 73-a of the public officers law, as
amended by section 5 of part A of chapter 399 of the laws of 2011, para-
graph 8 as amended by section 37 of subpart A of part H of chapter 55 of
the laws of 2014, is amended to read as follows:
3. The annual statement of financial disclosure shall contain the
information and shall be in the form set forth hereinbelow:
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)
1. Name ______________________________________________________________
2. (a) Title of Position _____________________________________________
(b) Department, Agency or other Governmental Entity _______________
(c) Address of Present Office _____________________________________
(d) Office Telephone Number _______________________________________
3. [(a) Marital Status ______________. If married, please give
spouse's full name including maiden name where applicable.
_____________________________________________________________ .
(b)] List the names of all [unemancipated children] THE PERSONS
RESIDING WITH THE REPORTING INDIVIDUAL IN THE FILER'S PRIMARY RESIDENCE
DURING THE REPORTING PERIOD AND THEIR RELATIONSHIP TO THE REPORTING
INDIVIDUAL.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Answer each of the following questions completely, with respect to
calendar year _________, unless another period or date is otherwise
specified. If additional space is needed, attach additional pages.
Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported as being within one of the following
S. 4096 3
Categories in Table I or Table II of this subdivision as called for in
the question: A reporting individual shall indicate the Category by
letter only.
Whenever "income" is required to be reported herein, the term "income"
shall mean the aggregate net income before taxes from the source identi-
fied.
The term "calendar year" shall mean the year ending the December 31st
preceding the date of filing of the annual statement.
4. (a) List any office, trusteeship, directorship, partnership, or
position of any nature, whether compensated or not, held by the
reporting individual with any firm, corporation, association, part-
nership, or other organization other than the State of New York.
Include compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity 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.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) List any office, trusteeship, directorship, partnership, or position
of any nature, whether compensated or not, held by [the spouse or
unemancipated child] ANY PERSON RESIDING IN THE PRIMARY RESIDENCE of
the reporting individual, with any firm, corporation, association,
partnership, or other organization other than the State of New York.
Include compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity 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.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
5. (a) List the name, address and description of any occupation,
employment (other than the employment listed under Item 2 above),
trade, business or profession engaged in by the reporting individ-
ual. If such activity was licensed by any state or local agency, was
S. 4096 4
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.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) If [the spouse or unemancipated child] ANY PERSON RESIDING IN THE
PRIMARY RESIDENCE of the reporting individual 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.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
6. List any interest, in EXCESS of $1,000, held by the reporting indi-
vidual[, such individual's spouse or unemancipated child] OR ANY
PERSON RESIDING IN THE PRIMARY RESIDENCE OF THE REPORTING
INDIVIDUAL, or partnership of which SUCH INDIVIDUAL OR 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 individ-
ual's spouse or such child] ANY PERSON RESIDING IN THE PRIMARY RESI-
DENCE OF THE REPORTING INDIVIDUAL to such entity and the interest in
such contract. Do NOT include bonds and notes. Do NOT list any
interest in any such contract on which final payment has been made
and all obligations under the contract except for guarantees and
warranties have been performed, provided, however, that such an
interest must be listed if there has been an ongoing dispute during
the calendar year for which this statement is filed with respect to
any such guarantees or warranties. Do NOT list any interest in a
contract made or executed by a local agency after public notice and
S. 4096 5
pursuant to a process for competitive bidding or a process for
competitive requests for proposals.
Entity Relationship Contracting Category
Self[, Which Held to Entity State or of
Spouse] or Interest in and Interest Local Value of
[Child] Contract in Contract Agency Contract
MEMBER OF (In Table II)
HOUSEHOLD
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
7. List any position the reporting individual held as an officer of any
political party or political organization, as a member of any poli-
tical party committee, or as a political party district leader. The
term "party" shall have the same meaning as "party" in the election
law. The term "political organization" means any party or independ-
ent body as defined in the election law or any organization that is
affiliated with or a subsidiary of a party or independent body.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
8. (a) If the reporting individual practices law, is licensed by the
department of state as a real estate broker or agent or practices a
profession licensed by the department of education, or works as a
member or employee of a firm required to register pursuant to
section one-e of the legislative law as a lobbyist, give a general
description of the principal subject areas of matters undertaken by
such individual. Additionally, if such an individual practices with
a firm or corporation and is a partner or shareholder of the firm or
corporation, give a general description of principal subject areas
of matters undertaken by such firm or corporation.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE, OR FOR NEW MATTERS
FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT
ARE PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE:
If the reporting individual personally provides services to any person
or entity, or works as a member or employee of a partnership or corpo-
ration that provides such services (referred to hereinafter as a
"firm"), then identify each client or customer to whom the reporting
S. 4096 6
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:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $50,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
knowingly solicit or direct to the reporting individual's firm in whole
or substantial part, a person or entity that becomes a client of that
firm for the purposes of representation for a matter as defined in
subparagraphs (i) through (v) of this paragraph, as the result of such
procurement, solicitation or direction of the reporting individual. A
reporting individual need not disclose activities performed while
lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
sion seven of section seventy-three of this article.
The disclosure requirement in this question shall not require disclo-
sure of clients or customers receiving medical or dental services,
mental health services, residential real estate brokering services, or
insurance brokering services from the reporting individual or his or her
firm. The reporting individual need not identify any client to whom he
or she or his or her firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
or domestic relations matters. With respect to clients represented in
other matters, where disclosure of a client's identity is likely to
cause harm, the reporting individual shall request an exemption from the
joint commission pursuant to paragraph (i) of subdivision nine of
section ninety-four of the executive law. Only a reporting individual
who first enters public office after July first, two thousand twelve,
need not report clients or customers with respect to matters for which
the reporting individual or his or her firm was retained prior to enter-
ing public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW
MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES
THAT ARE PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN:
If the reporting individual receives income of fifty thousand dollars
or greater from any employment or activity reportable under question
8(a), identify each registered lobbyist who has directly referred to
such individual a client who was successfully referred to the reporting
S. 4096 7
individual's business and from whom the reporting individual or firm
received a fee for services in excess of ten thousand dollars. Report
only these referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to be a
registered lobbyist at the time the referral is made. With respect to
each such referral, the reporting individual shall identify the regis-
tered lobbyist who has made the referral, the category of value of the
compensation received and a general description of the type of matter so
referred. A reporting individual need not disclose activities performed
while lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of
subdivision seven of section seventy-three of this article. The disclo-
sure requirements in this question shall not require disclosure of
clients or customers receiving medical or dental services, mental health
services, residential real estate brokering services, or insurance
brokering services from the reporting individual or his or her firm. The
reporting individual need not identify any client to whom he or she or
his or her firm provided legal representation with respect to investi-
gation or prosecution by law enforcement authorities, bankruptcy, or
domestic relations matters. With respect to clients represented in other
matters, the reporting individual shall request an exemption from the
joint commission, which shall be granted for good cause shown. For the
purposes of this question, good cause may be shown by circumstances
including, but not limited to, where disclosure of a client's identity
would reveal trade secrets or have a negative impact on the client's
business interests, would cause embarrassment for the client, could
reasonably result in retaliation against the client, or would tend to
reveal non-public matters regarding a criminal investigation. Only a
reporting individual who first enters public office after January first,
two thousand fifteen, need not report clients or customers with respect
to matters for which the reporting individual or his or her firm was
retained prior to entering public office.
Client Name of Lobbyist Category of Amount (in Table 1)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(d) List the name, principal address and general description or the
nature of the business activity of any entity in which the reporting
individual or such [individual's spouse] PERSON RESIDING IN THE PRIMARY
RESIDENCE OF THE REPORTING INDIVIDUAL had an investment in excess of
$1,000 excluding investments in securities and interests in real proper-
ty.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
9. List each source of gifts, EXCLUDING campaign contributions, in
EXCESS of $1,000, received during the reporting period for which
this statement is filed by the reporting individual or [such indi-
vidual's spouse or unemancipated child] ANY PERSON RESIDING IN THE
PRIMARY RESIDENCE OF THE REPORTING INDIVIDUAL from the same donor,
S. 4096 8
EXCLUDING gifts from a relative. INCLUDE the name and address of the
donor. The term "gifts" does not include reimbursements, which term
is defined in item 10. Indicate the value and nature of each such
gift.
Category
Self[, of
Spouse] or Name of Nature Value of
[Child] Donor Address of Gift Gift
MEMBER OF (In Table I)
HOUSEHOLD
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
10. Identify and briefly describe the source of any reimbursements for
expenditures, EXCLUDING campaign expenditures and expenditures in
connection with official duties reimbursed by the state, in EXCESS
of $1,000 from each such source. For purposes of this item, the term
"reimbursements" shall mean any travel-related expenses provided by
nongovernmental sources and for activities related to the reporting
individual's official duties such as, speaking engagements, confer-
ences, or factfinding events. The term "reimbursements" does NOT
include gifts reported under item 9.
Source Description
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
11. List the identity and value, if reasonably ascertainable, of each
interest in a trust, estate or other beneficial interest, including
retirement plans (other than retirement plans of the state of New
York or the city of New York), and deferred compensation plans
(e.g., 401, 403(b), 457, etc.) established in accordance with the
internal revenue code, in which the REPORTING INDIVIDUAL held a
beneficial interest in EXCESS of $1,000 at any time during the
preceding year. Do NOT report interests in a trust, estate or other
beneficial interest established by or for, or the estate of, a rela-
tive.
Category
Identity of Value*
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 4096 9
* The value of such interest shall be reported only if reasonably
ascertainable.
12. (a) Describe the terms of, and the parties to, any contract, prom-
ise, or other agreement between the reporting individual and any
person, firm, or corporation with respect to the employment of such
individual after leaving office or position (other than a leave of
absence).
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) Describe the parties to and the terms of any agreement providing
for continuation of payments or benefits to the REPORTING INDIVIDUAL
in EXCESS of $1,000 from a prior employer OTHER THAN the State.
(This includes interests in or contributions to a pension fund,
profit-sharing plan, or life or health insurance; buy-out agree-
ments; severance payments; etc.)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
13. List below the nature and amount of any income in EXCESS of $1,000
from EACH SOURCE for the reporting individual and [such individual's
spouse] ANY PERSON RESIDING IN THE PRIMARY RESIDENCE OF THE REPORT-
ING INDIVIDUAL for the taxable year last occurring prior to the date
of filing. Nature of income includes, but is not limited to, all
income (other than that received from the employment listed under
Item 2 above) from compensated employment whether public or private,
directorships and other fiduciary positions, contractual arrange-
ments, teaching income, partnerships, honorariums, lecture fees,
consultant fees, bank and bond interest, dividends, income derived
from a trust, real estate rents, and recognized gains from the sale
or exchange of real or other property. Income from a business or
profession and real estate rents shall be reported with the source
identified by the building address in the case of real estate rents
and otherwise by the name of the entity and not by the name of the
individual customers, clients or tenants, with the aggregate net
income before taxes for each building address or entity. The
receipt of maintenance received in connection with a matrimonial
action, alimony and child support payments shall not be listed.
Self/ Category
[Spouse] Source Nature of Amount
MEMBER OF (In Table I)
HOUSEHOLD
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 4096 10
____________________________________________________________________
____________________________________________________________________
14. List the sources of any deferred income (not retirement income) in
EXCESS of $1,000 from each source to be paid to the reporting indi-
vidual following the close of the calendar year for which this
disclosure statement is filed, other than deferred compensation
reported in item 11 hereinabove. Deferred income derived from the
practice of a profession shall be listed in the aggregate and shall
identify as the source, the name of the firm, corporation, partner-
ship or association through which the income was derived, but shall
not identify individual clients.
Category
Source of Amount
(In Table I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
15. List each assignment of income in EXCESS of $1,000, and each trans-
fer other than to a relative during the reporting period for which
this statement is filed for less than fair consideration of an
interest in a trust, estate or other beneficial interest, securities
or real property, by the reporting individual, in excess of $1,000,
which would otherwise be required to be reported herein and is not
or has not been so reported.
Item Assigned Assigned or Category
or Transferred Transferred to of Value
(In Table I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16. List below the type and market value of securities held by the
reporting individual or [such individual's spouse] ANY PERSON RESID-
ING IN THE PRIMARY RESIDENCE OF THE REPORTING INDIVIDUAL from each
issuing entity in EXCESS of $1,000 at the close of the taxable year
last occurring prior to the date of filing, including the name of
the issuing entity exclusive of securities held by the reporting
individual issued by a professional corporation. Whenever an inter-
est in securities exists through a beneficial interest in a trust,
the securities held in such trust shall be listed ONLY IF the
reporting individual has knowledge thereof except where the report-
ing individual or [the reporting individual's spouse] ANY PERSON
RESIDING IN THE PRIMARY RESIDENCE OF THE REPORTING INDIVIDUAL has
transferred assets to such trust for his or her benefit in which
event such securities shall be listed unless they are not ascertain-
able by the reporting individual because the trustee is under an
S. 4096 11
obligation or has been instructed in writing not to disclose the
contents of the trust to the reporting individual. Securities of
which the reporting individual or [the reporting individual's
spouse] ANY PERSON RESIDING IN THE PRIMARY RESIDENCE OF THE REPORT-
ING INDIVIDUAL is the owner of record but in which such individual
or [the reporting individual's spouse] ANY PERSON RESIDING IN THE
PRIMARY RESIDENCE OF THE REPORTING INDIVIDUAL has no beneficial
interest shall not be listed. Indicate percentage of ownership ONLY
if the reporting person or [the reporting person's spouse] ANY
PERSON RESIDING IN THE PRIMARY RESIDENCE OF THE REPORTING INDIVIDUAL
holds more than five percent (5%) of the stock of a corporation in
which the stock is publicly traded or more than ten percent (10%) of
the stock of a corporation in which the stock is NOT publicly trad-
ed. Also list securities owned for investment purposes by a corpo-
ration more than fifty percent (50%) of the stock of which is owned
or controlled by the reporting individual or [such individual's
spouse] ANY PERSON RESIDING IN THE PRIMARY RESIDENCE OF THE REPORT-
ING INDIVIDUAL. For the purpose of this item the term "securities"
shall mean mutual funds, bonds, mortgages, notes, obligations,
warrants and stocks of any class, investment interests in limited or
general partnerships and certificates of deposits (CDs) and such
other evidences of indebtedness and certificates of interest as are
usually referred to as securities. The market value for such secu-
rities shall be reported only if reasonably ascertainable and shall
not be reported if the security is an interest in a general partner-
ship that was listed in item 8 (a) or if the security is corporate
stock, NOT publicly traded, in a trade or business of a reporting
individual or [a reporting individual's spouse] ANY PERSON RESIDING
IN THE PRIMARY RESIDENCE OF THE REPORTING INDIVIDUAL.
Percentage
of corporate
stock owned
or controlled Category of
(if more than Market Value
5% of pub- as of the close
licly traded of the
stock, or taxable year
more than last occurring
10% if stock prior to
Self/ Issuing Type of not publicly the filing of
[Spouse]Entity Security traded, is held) this statement
MEMBER OF (In Table II)
HOUSEHOLD
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
17. List below the location, size, general nature, acquisition date,
market value and percentage of ownership of any real property in
which any vested or contingent interest in EXCESS of $1,000 is held
by the reporting individual or [the reporting individual's spouse]
ANY PERSON RESIDING IN THE PRIMARY RESIDENCE OF THE REPORTING INDI-
S. 4096 12
VIDUAL. Also list real property owned for investment purposes by a
corporation more than fifty percent (50%) of the stock of which is
owned or controlled by the reporting individual or such [individ-
ual's spouse] PERSON RESIDING IN THE PRIMARY RESIDENCE OF THE
REPORTING INDIVIDUAL. Do NOT list any real property which is the
primary or secondary personal residence of the reporting individual
or [the reporting individual's spouse] ANY PERSON RESIDING IN THE
PRIMARY RESIDENCE OF THE REPORTING INDIVIDUAL, except where there is
a co-owner who is other than a relative.
Category
Self/ of
[Spouse] Market
MEMBER OF Percentage (In
HOUSEHOLD/ General Acquisition of Table
Corporation Location Size Nature Date Ownership II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
18. List below all notes and accounts receivable, other than from goods
or services sold, held by the reporting individual at the close of
the taxable year last occurring prior to the date of filing and
other debts owed to such individual at the close of the taxable year
last occurring prior to the date of filing, in EXCESS of $1,000,
including the name of the debtor, type of obligation, date due and
the nature of the collateral securing payment of each, if any,
excluding securities reported in item 16 hereinabove. Debts, notes
and accounts receivable owed to the individual by a relative shall
not be reported.
Type of Obligation, Category
Date Due, and Nature of
Name of Debtor of Collateral, if any Amount
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and [such
individual's spouse] ANY PERSON RESIDING IN THE PRIMARY RESIDENCE OF
THE REPORTING INDIVIDUAL, in EXCESS of $10,000 as of the date of
filing of this statement, other than liabilities to a relative. Do
NOT list liabilities incurred by, or guarantees made by, the report-
ing individual or [such individual's spouse] ANY PERSON RESIDING IN
THE PRIMARY RESIDENCE OF THE REPORTING INDIVIDUAL or by any proprie-
torship, partnership or corporation in which the reporting individ-
ual or such [individual's spouse] PERSON RESIDING IN THE PRIMARY
RESIDENCE OF THE REPORTING INDIVIDUAL has an interest, when incurred
or made in the ordinary course of the trade, business or profes-
S. 4096 13
sional practice of the reporting individual or such [individual's
spouse] PERSON RESIDING IN THE PRIMARY RESIDENCE OF THE REPORTING
INDIVIDUAL. Include the name of the creditor and any collateral
pledged by such individual to secure payment of any such liability.
A reporting individual shall not list any obligation to pay mainte-
nance in connection with a matrimonial action, alimony or child
support payments. Any loan issued in the ordinary course of business
by a financial institution to finance educational costs, the cost of
home purchase or improvements for a primary or secondary residence,
or purchase of a personally owned motor vehicle, household furniture
or appliances shall be excluded. If any such reportable liability
has been guaranteed by any third person, list the liability and name
the guarantor.
Category
Name of Creditor Type of Liability of
or Guarantor and Collateral, if any Amount
(In Table II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
The requirements of law relating to the reporting of financial
interests are in the public interest and no adverse inference of
unethical or illegal conduct or behavior will be drawn merely from
compliance with these requirements.
___________________________________ _________________________
(Signature of Reporting Individual) Date (month/day/year)
TABLE I
Category A none
Category B $ 1 to under $ 1,000
Category C $ 1,000 to under $ 5,000
Category D $ 5,000 to under $ 20,000
Category E $ 20,000 to under $ 50,000
Category F $ 50,000 to under $ 75,000
Category G $ 75,000 to under $ 100,000
Category H $ 100,000 to under $ 150,000
Category I $ 150,000 to under $ 250,000
Category J $ 250,000 to under $ 350,000
Category K $ 350,000 to under $ 450,000
Category L $ 450,000 to under $ 550,000
Category M $ 550,000 to under $ 650,000
Category N $ 650,000 to under $ 750,000
Category O $ 750,000 to under $ 850,000
Category P $ 850,000 to under $ 950,000
Category Q $ 950,000 to under $1,050,000
Category R $1,050,000 to under $1,150,000
Category S $1,150,000 to under $1,250,000
Category T $1,250,000 to under $1,350,000
Category U $1,350,000 to under $1,450,000
Category V $1,450,000 to under $1,550,000
S. 4096 14
Category W $1,550,000 to under $1,650,000
Category X $1,650,000 to under $1,750,000
Category Y $1,750,000 to under $1,850,000
Category Z $1,850,000 to under $1,950,000
Category AA $1,950,000 to under $2,050,000
Category BB $2,050,000 to under $2,150,000
Category CC $2,150,000 to under $2,250,000
Category DD $2,250,000 to under $2,350,000
Category EE $2,350,000 to under $2,450,000
Category FF $2,450,000 to under $2,550,000
Category GG $2,550,000 to under $2,650,000
Category HH $2,650,000 to under $2,750,000
Category II $2,750,000 to under $2,850,000
Category JJ $2,850,000 to under $2,950,000
Category KK $2,950,000 to under $3,050,000
Category LL $3,050,000 to under $3,150,000
Category MM $3,150,000 to under $3,250,000
Category NN $3,250,000 to under $3,350,000
Category OO $3,350,000 to under $3,450,000
Category PP $3,450,000 to under $3,550,000
Category QQ $3,550,000 to under $3,650,000
Category RR $3,650,000 to under $3,750,000
Category SS $3,750,000 to under $3,850,000
Category TT $3,850,000 to under $3,950,000
Category UU $3,950,000 to under $4,050,000
Category VV $4,050,000 to under $4,150,000
Category WW $4,150,000 to under $4,250,000
Category XX $4,250,000 to under $4,350,000
Category YY $4,350,000 to under $4,450,000
Category ZZ $4,450,000 to under $4,550,000
Category AAA $4,550,000 to under $4,650,000
Category BBB $4,650,000 to under $4,750,000
Category CCC $4,750,000 to under $4,850,000
Category DDD $4,850,000 to under $4,950,000
Category EEE $4,950,000 to under $5,050,000
Category FFF $5,050,000 to under $5,150,000
Category GGG $5,150,000 to under $5,250,000
Category HHH $5,250,000 to under $5,350,000
Category III $5,350,000 to under $5,450,000
Category JJJ $5,450,000 to under $5,550,000
Category KKK $5,550,000 to under $5,650,000
Category LLL $5,650,000 to under $5,750,000
Category MMM $5,750,000 to under $5,850,000
Category NNN [$5,580,000] $5,850,000 to under $5,950,000
Category OOO $5,950,000 to under $6,050,000
Category PPP $6,050,000 to under $6,150,000
Category QQQ $6,150,000 to under $6,250,000
Category RRR $6,250,000 to under $6,350,000
Category SSS $6,350,000 to under $6,450,000
Category TTT $6,450,000 to under $6,550,000
Category UUU $6,550,000 to under $6,650,000
Category VVV $6,650,000 to under $6,750,000
Category WWW $6,750,000 to under $6,850,000
Category XXX $6,850,000 to under $6,950,000
Category YYY $6,950,000 to under $7,050,000
Category ZZZ $7,050,000 to under $7,150,000
S. 4096 15
Category AAAA $7,150,000 to under $7,250,000
Category BBBB $7,250,000 to under $7,350,000
Category CCCC $7,350,000 to under $7,450,000
Category DDDD $7,450,000 to under $7,550,000
Category EEEE $7,550,000 to under $7,650,000
Category FFFF $7,650,000 to under $7,750,000
Category GGGG $7,750,000 to under $7,850,000
Category HHHH $7,850,000 to under $7,950,000
Category IIII $7,950,000 to under $8,050,000
Category JJJJ $8,050,000 to under $8,150,000
Category KKKK $8,150,000 to under $8,250,000
Category LLLL $8,250,000 to under $8,350,000
Category MMMM $8,350,000 to under $8,450,000
Category NNNN $8,450,000 to under $8,550,000
Category OOOO $8,550,000 to under $8,650,000
Category PPPP $8,650,000 to under $8,750,000
Category QQQQ $8,750,000 to under $8,850,000
Category RRRR $8,850,000 to under $8,950,000
Category SSSS $8,950,000 to under $9,050,000
Category TTTT $9,050,000 to under $9,150,000
Category UUUU $9,150,000 to under $9,250,000
Category VVVV $9,250,000 to under $9,350,000
Category WWWW $9,350,000 to under $9,450,000
Category XXXX $9,450,000 to under $9,550,000
Category YYYY $9,550,000 to under $9,650,000
Category ZZZZ $9,650,000 to under $9,750,000
Category AAAAA $9,750,000 to under $9,850,000
Category BBBBB $9,850,000 to under $9,950,000
Category CCCCC $9,950,000 to under $10,000,000
Category DDDDD $10,000,000 or over
TABLE II
Category A none
Category B $ 1 to under $ 1,000
Category C $ 1,000 to under $ 5,000
Category D $ 5,000 to under $ 20,000
Category E $ 20,000 to under $ 50,000
Category F $ 50,000 to under $ 75,000
Category G $ 75,000 to under $ 100,000
Category H $ 100,000 to under $ 150,000
Category I $ 150,000 to under $ 250,000
Category J $ 250,000 to under $ 500,000
Category K $ 500,000 to under $ 750,000
Category L $ 750,000 to under $1,000,000
Category M $1,000,000 to under $1,250,000
Category N $1,250,000 to under $1,500,000
Category O $1,500,000 to under $1,750,000
Category P $1,750,000 to under $2,000,000
Category Q $2,000,000 to under $2,250,000
Category R $2,250,000 to under $2,500,000
Category S $2,500,000 to under $2,750,000
Category T $2,750,000 to under $3,000,000
Category U $3,000,000 to under $3,250,000
Category V $3,250,000 to under $3,500,000
Category W $3,500,000 to under $3,750,000
Category X $3,750,000 to under $4,000,000
S. 4096 16
Category Y $4,000,000 to under $4,250,000
Category Z $4,250,000 to under $4,500,000
Category AA $4,500,000 to under $4,750,000
Category BB $4,750,000 to under $5,000,000
Category CC $5,000,000 to under $5,250,000
Category DD $5,250,000 to under $5,500,000
Category EE $5,500,000 to under $5,750,000
Category FF $5,750,000 to under $6,000,000
Category GG $6,000,000 to under $6,250,000
Category HH $6,250,000 to under $6,500,000
Category II $6,500,000 to under $6,750,000
Category JJ $6,750,000 to under $7,000,000
Category KK $7,000,000 to under $7,250,000
Category LL $7,250,000 to under $7,500,000
Category MM $7,500,000 to under $7,750,000
Category NN $7,750,000 to under $8,000,000
Category OO $8,000,000 to under $8,250,000
Category PP $8,250,000 to under $8,500,000
Category QQ $8,500,000 to under $8,750,000
Category RR $8,750,000 to under $9,000,000
Category SS $9,000,000 to under $9,250,000
Category TT $9,250,000 to under $9,500,000
Category UU $9,500,000 or over
S 4. Subdivision 1 of section 74 of the public officers law, as
amended by chapter 1012 of the laws of 1965, the opening paragraph as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
1. [Definition] DEFINITIONS. As used in this section:
A. The term "state agency" shall mean any state department, or divi-
sion, board, commission, or bureau of any state department or any public
benefit corporation or public authority at least one of whose members is
appointed by the governor or corporations closely affiliated with
specific state agencies as defined by paragraph (d) of subdivision five
of section fifty-three-a of the state finance law or their successors.
B. FOR THE PURPOSES OF THIS SECTION ONLY, THE TERM "STATE AGENCY"
SHALL ALSO INCLUDE ANY ENTITY CREATED THAT ADVISES OR MAKES RECOMMENDA-
TIONS TO A STATE OFFICER OR STATE AGENCY ON THE ALLOCATION OR DISBURSE-
MENT OF STATE OR FEDERAL MONEYS.
C. The term "legislative employee" shall mean any officer or employee
of the legislature but it shall not include members of the legislature.
S 5. No member of any entity in existence upon the effective date of
this section or created thereafter that was created for the purpose of
advising or making recommendations to a state officer, agency, authority
or public benefit corporation on the allocation or disbursement of state
or federal moneys may take any action including, but not limited to
discussing and voting on such advice or recommendations, until the joint
commission on public ethics certifies, in writing, to the director of
the budget that the member has filed the financial disclosure form
contained in section 73-a of the public officers law with such commis-
sion. No state officer, agency, authority or public benefit corporation
may execute any contract or grant, on or after July 15, 2015, upon the
advice or recommendation of any entity until such time as the members of
such entity providing such advice or recommendations certifies that all
members, the members' spouses, the natural or adopted descendants of the
members or of the members' spouses, any sibling of the members or of the
members' spouses, any person sharing the home of any of the foregoing,
S. 4096 17
or any staff member, employee or agent of the members have (i) no finan-
cial interest, direct or indirect, in connection with the requested
contract or grant agreement, (ii) not received and will not receive any
financial benefit, either directly or indirectly from the contractor or
grantee that is a party to the requested contract or grant agreement and
(iii) no known conflicts of interest as set forth in section 74 of the
public officers law in connection with the requested contract or grant
agreement.
S 6. This act shall take effect immediately; provided, that sections
one, two, three and four of this act shall apply to annual statements of
financial disclosure filed for calendar years commencing on or after
January 1, 2015.
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