senate Bill S382

2011-2012 Legislative Session

Amends the required financial disclosure forms

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Archive: Last Bill Status - In Committee


  • Introduced
  • In Committee
  • On Floor Calendar
    • Passed Senate
    • Passed Assembly
  • Delivered to Governor
  • Signed/Vetoed by Governor

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Assembly Actions - Lowercase
Senate Actions - UPPERCASE
Jan 04, 2012 referred to finance
Jan 05, 2011 referred to finance

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S382 - Bill Details

Current Committee:
Senate Finance
Law Section:
Public Officers Law
Laws Affected:
Amd §73-a, add §74-b, Pub Off L; amd §94, Exec L; add §81, Leg L

S382 - Bill Texts

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Amends the financial disclosure forms required to be filed by every statewide elected official, state officer or employee, member of the legislature, legislative employee and political party chairman and every candidate for statewide elected office.

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BILL NUMBER:S382

TITLE OF BILL:
An act
to amend the public officers law, the executive law and the legislative
law, in relation to financial disclosure
forms

PURPOSE:
This legislation will lead to greater transparency of its public
officers (including legislators and many legislative employees) with
the required disclosure of attorney clients and other professions'
clients within the annual financial disclosure statement, by creating
new income disclosure categories in the statement, and by requiring
public officers to report business dealings with lobbyists.

SUMMARY OF PROVISIONS:
Section 1 amends subdivision 3 of section 73-a of the public officers
law to make changes to the annual financial disclosure form to, among
other things, include attorney-client disclosures and new categories
of value for reporting income.

Section 2 adds a new section 74-b to the public officers law requiring
reporting of business dealings with lobbyists.

Sections 3 and 4 provide for an exemption for disclosure of clients on
the annual disclosure form if disclosure would violate a privilege or
create an unreasonable hardship and includes prohibitions on
disclosure of clients on financial disclosure forms when doing so
would violate a privilege.

Section 5 contains a severability clause.

Section 6 contains the effective dates.

EXISTING LAW:
This act amends section 73-a of the public officers law, adds a new
section, 74-b, to the public officers law, and amends the executive
and legislative laws relating to financial disclosure.

JUSTIFICATION:
This bill will help create much-needed transparency in state
government by eliminating blanket exemptions of disclosure currently
available to elected officials. All elected officials will now have
to disclose all their clients as well as any business dealings they
may have with lobbyists, with limited exceptions. Requiring increased
disclosure by public officials will avoid appearances of conflicts of
interest or questions about outside business
relationships, and will hopefully increase the public's confidence in
our elected officials.

LEGISLATIVE HISTORY:
This is new legislation.

FISCAL IMPLICATIONS:
To be determined.


EFFECTIVE DATE:
The first of January next succeeding the date upon which it shall have
become a law.

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                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                   382

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                               (PREFILED)

                             January 5, 2011
                               ___________

Introduced  by Sens. RIVERA, SQUADRON -- read twice and ordered printed,
  and when printed to be committed to the Committee on Finance

AN ACT to amend the public officers  law,  the  executive  law  and  the
  legislative law, in relation to financial disclosure forms

  THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section 1.  Subdivision 3 of section 73-a of the public officers  law,
as added by chapter 813 of the laws of 1987, the third and fourth undes-
ignated paragraphs of paragraph 3 as added and paragraph 4, subparagraph
(a)  of  paragraph 5, paragraphs 6, 9, 10, 11, subparagraph (b) of para-
graph 12 and paragraphs 13, 14, 15, 16, 17, 18  and  19  as  amended  by
chapter 242 of the laws of 1989, is amended to read as follows:
  3.  The  annual  statement  of  financial disclosure shall contain the
[information and shall be in the form] LANGUAGE 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,  OR  IN  A  DOMESTIC
         PARTNERSHIP,  please  give  spouse's OR DOMESTIC PARTNER'S full
         name including maiden name where applicable.
         _____________________________________________________________ .

     (b) List the names of all unemancipated children.

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD05460-04-1

S. 382                              2

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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
Categories: Category A - under $5,000; Category  B  -  $5,000  to  under
$20,000;  Category  C - $20,000 to under [$60,000] $50,000; Category D -
[$60,000] $50,000 to under $100,000; Category  E  -  $100,000  to  under
[$250,000]  $150,000;  [and]  Category  F - [$250,000] $150,000 TO UNDER
$200,000; CATEGORY G - $200,000 TO UNDER $300,000; CATEGORY H - $300,000
TO UNDER $400,000; CATEGORY I - $400,000 TO UNDER $500,000; CATEGORY J -
$500,000 TO UNDER $600,000; CATEGORY K -  $600,000  TO  UNDER  $700,000;
CATEGORY  L - $700,000 TO UNDER $800,000; CATEGORY M - $800,000 TO UNDER
$900,000; CATEGORY N - $900,000 TO UNDER $1,000,000; AND  CATEGORY  O  -
$1,000,000  or  over. 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,
    DOMESTIC PARTNER or unemancipated child 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

S. 382                              3

    positions.  If  the listed entity was licensed by any state or local
    agency, was regulated by any state regulatory agency or local  agen-
    cy,  or, as a regular and significant part of the business or activ-
    ity  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 OR OCCUPATION  engaged  in  by  the
    reporting  individual. If such activity was licensed by any state or
    local agency[,] OR 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
               Name & Address                                 Local
    Position   of Organization          Description          Agency

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(b)  IF  THE REPORTING INDIVIDUAL DID BUSINESS WITH OR HAD MATTERS OTHER
    THAN MINISTERIAL MATTERS BEFORE ANY STATE OR  LOCAL  AGENCY  IN  THE
    COURSE  OF ANY EMPLOYMENT, TRADE, BUSINESS, PROFESSION OR OCCUPATION
    ENGAGED IN BY THE REPORTING INDIVIDUAL, LIST THE NAME AND ADDRESS OF
    THE ENTITY, A BRIEF DESCRIPTION OF THE ACTIVITY AND THE NAME OF  ANY
    SUCH AGENCY.
                                                            STATE OR
    NAME & ADDRESS                                            LOCAL
    OF ORGANIZATION           DESCRIPTION                    AGENCY

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(C)  If  the  spouse,  DOMESTIC  PARTNER  or  unemancipated child 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

S. 382                              4

    or  local agency, or, as a regular and significant part of the busi-
    ness 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, employ-
    ment, 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, SUCH INDIVIDUAL'S DOMESTIC PARTNER
    or unemancipated child, or partnership of which 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 relation-
    ship of the reporting individual or such individual's  spouse,  SUCH
    INDIVIDUAL'S  DOMESTIC  PARTNER or such child 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  guaran-
    tees  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 inter-
    est  in  a  contract made or executed by a local agency after public
    notice and pursuant to a process for competitive bidding or a  proc-
    ess for competitive requests for proposals.

                 Entity       Relationship      Contracting   Category
     Self,     Which Held      to Entity          State or       of
    Spouse,    Interest in    and Interest         Local      Value of
    DOMESTIC    Contract      in Contract          Agency     Contract
    PARTNER,
    or Child

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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.

S. 382                              5

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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, give] LIST THE
    NAME AND ADDRESS OF EACH CLIENT, PERSON OR ENTITY FOR WHOM LEGAL  OR
    CONSULTING SERVICES WERE RENDERED; THE VALUE OF THE COMPENSATION FOR
    THE  TAXABLE  YEAR LAST OCCURRING PRIOR TO THE DATE OF FILING, AND a
    general description of  the  [principal  subject  areas  of  matters
    undertaken by such individual] SERVICES RENDERED.  [Additionally, if
    such  an]  IN ADDITION, IF THE REPORTING individual practices LAW OR
    PROVIDES CONSULTING SERVICES with a LAW firm or [corporation and  is
    a  partner  or  shareholder  of  the  firm  or corporation] BUSINESS
    ENTITY, [give]  PROVIDE  a  general  description  of  THE  principal
    subject  areas  of  matters  undertaken  by such LAW firm or [corpo-
    ration] BUSINESS ENTITY.  Do not list the [name  of  the  individual
    clients,  customers  or  patients]  VALUE  OF  COMPENSATION  IF  THE
    SERVICES RENDERED INVOLVE A CONTINGENCY FEE AS PROVIDED BY LAW.
    CLIENT/                   SERVICES      PRINCIPAL         CATEGORY
    PERSON/OR    ADDRESS      RENDERED      SUBJECT AREA      OF VALUE
    ENTITY
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
(b) [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 had an investment in excess
    of $1,000 excluding investments in securities and interests in  real
    property] IF THE REPORTING INDIVIDUAL PRACTICES LAW AND IS A PARTNER
    OR  SHAREHOLDER  OF A LAW FIRM OR CORPORATION ("LAW FIRM"), LIST THE
    NAME AND ADDRESS OF EACH CLIENT OF SUCH LAW FIRM THAT  IS  A  CORPO-
    RATION,  PARTNERSHIP,  JOINT  VENTURE,  SOLE PROPRIETORSHIP, ASSOCI-
    ATION, BUSINESS OR  COMMERCIAL  ENTITY  OR  ORGANIZATION  FROM  WHOM
    COMPENSATION  IS  RECEIVED  BY SUCH LAW FIRM IN EXCESS OF $5,000 FOR
    THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE  DATE  OF  FILING;  THE
    VALUE OF THE COMPENSATION; AND A GENERAL DESCRIPTION OF THE SERVICES
    RENDERED OR CONSIDERATION GIVEN IN EXCHANGE FOR THE COMPENSATION. DO
    NOT  LIST  CLIENTS  OR  COMPENSATION REQUIRED TO BE REPORTED IN ITEM
    8(A) ABOVE.
    CLIENT     ADDRESS        SERVICES/         CATEGORY
                              CONSIDERATION     OF VALUE
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
(C) IF THE REPORTING INDIVIDUAL IS LICENSED BY THE DEPARTMENT  OF  STATE
    AS A REAL ESTATE BROKER OR AGENT, PRACTICES A PROFESSION LICENSED BY
    THE  DEPARTMENT  OF  EDUCATION OR PERFORMS CONSULTING SERVICES, LIST
    THE NAME AND ADDRESS OF EACH CLIENT FROM WHOM COMPENSATION HAS  BEEN

S. 382                              6

    RECEIVED  BY  SUCH  REPORTING  INDIVIDUAL  FOR  A VALUE IN EXCESS OF
    $1,000 FOR THE TAXABLE YEAR LAST OCCURRING  PRIOR  TO  THE  DATE  OF
    FILING; THE VALUE OF THE COMPENSATION RECEIVED FROM EACH CLIENT; AND
    A  GENERAL  DESCRIPTION  OF  THE  SERVICES RENDERED OR CONSIDERATION
    GIVEN IN EXCHANGE FOR THE COMPENSATION. DO NOT  LIST  THE  NAMES  OF
    CLIENTS  OF  CONSULTING  OR  OTHER  SERVICES RENDERED AS PART OF ANY
    PRACTICE OR ACTIVITY REQUIRED TO BE REPORTED IN ITEM 8(A) ABOVE.
    CLIENT     ADDRESS    SERVICES/CONSIDERATION    CATEGORY OF VALUE
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
(D) IF THE REPORTING INDIVIDUAL  RECEIVED  COMPENSATION  FROM  A  CORPO-
    RATION,  PARTNERSHIP,  JOINT  VENTURE,  SOLE PROPRIETORSHIP, ASSOCI-
    ATION, BUSINESS OR COMMERCIAL ENTITY OR ORGANIZATION  ("COMPENSATING
    ENTITY")  AND THE REPORTING INDIVIDUAL SOLICITED BUSINESS OF ANOTHER
    CORPORATION, PARTNERSHIP, JOINT VENTURE, SOLE PROPRIETORSHIP,  ASSO-
    CIATION, BUSINESS OR COMMERCIAL ENTITY OR ORGANIZATION ("THIRD-PARTY
    ENTITY")  FOR  COMPENSATION, FEES OR OTHER CONSIDERATION PAID TO THE
    COMPENSATING ENTITY IN EXCESS OF $1,000 FOR THE  TAXABLE  YEAR  LAST
    OCCURRING  PRIOR  TO  THE DATE OF FILING, LIST THE NAME AND BUSINESS
    ADDRESS OF, AND THE VALUE OF THE COMPENSATION, FEES OR OTHER CONSID-
    ERATION PAID BY, THE THIRD-PARTY ENTITY TO THE COMPENSATING  ENTITY.
    ALSO,  LIST THE NAME AND ADDRESS OF THE COMPENSATING ENTITY AND GIVE
    A GENERAL DESCRIPTION OF  THE  SERVICES  RENDERED  OR  CONSIDERATION
    GIVEN  BY  THE  COMPENSATING  ENTITY  TO  THE  THIRD-PARTY ENTITY IN
    EXCHANGE FOR SUCH COMPENSATION.

    COMPENSATING    THIRD PARTY      SERVICES/          CATEGORY
    ENTITY/ ADDRESS ENTITY/ADDRESS   CONSIDERATION      OF VALUE

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
(E) IF THE REPORTING INDIVIDUAL OR THE INDIVIDUAL'S SPOUSE OR THE  INDI-
    VIDUAL'S  DOMESTIC PARTNER HAD AN INVESTMENT IN EXCESS OF $1,000 FOR
    THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE DATE  OF  FILING,  LIST
    THE NAME, PRINCIPAL ADDRESS AND GENERAL DESCRIPTION OR THE NATURE OF
    THE  BUSINESS ACTIVITY AND THE CATEGORY OF VALUE OF SUCH INVESTMENT.
    DO NOT LIST INVESTMENTS IN SECURITIES OR REAL PROPERTY.

    INVESTMENT      ADDRESS        GENERAL DESCRIPTION,     CATEGORY
                                   OR NATURE OF BUSINESS    OF VALUE

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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 individ-
    ual's spouse, SUCH INDIVIDUAL'S DOMESTIC  PARTNER  or  unemancipated
    child  from the same donor, EXCLUDING gifts from a relative. INCLUDE

S. 382                              7

    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,    Name of                          Nature        Value of
    DOMESTIC   Donor          Address           of Gift         Gift
    PARTNER,
    or Child

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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*

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
  * The value of such interest shall  be  reported  only  if  reasonably
ascertainable.

S. 382                              8

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  OR  SUCH  INDIVIDUAL'S DOMESTIC PARTNER 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   arrangements,   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[,] OR clients [or tenants], with the aggregate net  income
    before  taxes  for each building address or [entity] CLIENT. [The] A
    SOURCE IS IDENTIFIED AS THE ORIGINAL PAYER OF  COMPENSATION  TO  THE
    REPORTING INDIVIDUAL OR AN ENTITY ESTABLISHED BY THE REPORTING INDI-
    VIDUAL,  NOT  AN  INTERMEDIARY  ENTITY  ESTABLISHED BY THE REPORTING
    INDIVIDUAL TO RECEIVE SUCH COMPENSATION. DO  NOT  LIST  COMPENSATION
    RECEIVED  FROM  THE EMPLOYMENT LISTED UNDER ITEM 2 ABOVE, OR CLIENTS
    AND COMPENSATION REQUIRED TO BE REPORTED IN ITEMS 8(A), 8(B) OR 8(C)
    ABOVE, OR THE receipt of maintenance received in connection  with  a
    matrimonial action, alimony and child support payments [shall not be
    listed].

    Self/
    Spouse, OR
    DOMESTIC                                                   Category
    PARTNER         Source                   Nature            of Amount

S. 382                              9

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

16. List below the type and market  value  of  securities  held  by  the
    reporting individual [or], such individual's spouse OR THE REPORTING
    INDIVIDUAL'S  DOMESTIC PARTNER 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  profes-
    sional  corporation.  Whenever  an  interest  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 reporting  individual  [or],  the
    reporting individual's spouse OR THE REPORTING INDIVIDUAL'S DOMESTIC
    PARTNER  has transferred assets to such trust for his or her benefit
    in which event such securities shall be listed unless they  are  not

S. 382                             10

    ascertainable  by  the  reporting  individual because the trustee is
    under an 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 OR THE REPORTING INDIVIDUAL'S  DOMESTIC  PARTNER
    is  the  owner  of  record  but  in  which such individual [or], the
    reporting individual's spouse OR THE REPORTING INDIVIDUAL'S DOMESTIC
    PARTNER has no beneficial interest shall not be  listed.    Indicate
    percentage  of  ownership  ONLY  if  the  reporting person [or], the
    reporting person's spouse OR  THE  REPORTING  INDIVIDUAL'S  DOMESTIC
    PARTNER  holds  more than five percent (5%) of the stock of a corpo-
    ration 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 traded.  Also  list  securities  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 individual's spouse OR SUCH INDIVIDUAL'S DOMESTIC PARTNER.  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  securities  shall  be
    reported  only if reasonably ascertainable and shall not be reported
    if the security is an interest in a  general  partnership  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 OR A REPORTING INDIVIDUAL'S
    DOMESTIC PARTNER.

                                     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
    OR
    DOMESTIC
    PARTNER

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

S. 382                             11

    OR THE REPORTING INDIVIDUAL'S DOMESTIC PARTNER. Also list real prop-
    erty 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 individual's spouse OR THE REPORTING
    INDIVIDUAL'S  DOMESTIC PARTNER.  Do NOT list any real property which
    is the primary or secondary  personal  residence  of  the  reporting
    individual  [or], the reporting individual's spouse OR THE REPORTING
    INDIVIDUAL'S DOMESTIC PARTNER, except where there is a co-owner  who
    is other than a relative.

    Self/
    Spouse                                                     Category
    DOMESTIC                                        Percentage    of
    PARTNER/                   General  Acquisition    of       Market
    Corporation Location Size  Nature     Date      Ownership   Value

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

19. List  below  all  liabilities  of  the reporting individual and such
    individual's spouse[,] OR  SUCH  INDIVIDUAL'S  DOMESTIC  PARTNER  in
    EXCESS  of  $5,000 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 reporting individual [or], such  individ-
    ual's  spouse  OR  SUCH  INDIVIDUAL'S  DOMESTIC  PARTNER  or  by any
    proprietorship, partnership or corporation in  which  the  reporting
    individual  [or],  such  individual's  spouse  OR  SUCH INDIVIDUAL'S
    DOMESTIC PARTNER has an interest, when incurred or made in the ordi-
    nary course of the trade, business or professional practice  of  the
    reporting individual [or], such individual's spouse OR SUCH INDIVID-
    UAL'S  DOMESTIC  PARTNER.   Include the name of the creditor and any
    collateral pledged by such individual to secure payment of any  such

S. 382                             12

    liability.  A  reporting individual shall not list any obligation to
    pay maintenance 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,  house-
    hold  furniture or appliances shall be excluded. If any such report-
    able 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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

    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)

  S 2. The public officers law is amended by adding a new  section  74-b
to read as follows:
  S 74-B. REPORTS OF BUSINESS DEALINGS WITH LOBBYISTS. 1. A PUBLIC OFFI-
CER WHO IS SUBJECT TO THE JURISDICTION OF THE RELEVANT ETHICS COMMISSION
WHO  RETAINS,  EMPLOYS,  DESIGNATES  OR  OTHERWISE  DOES BUSINESS WITH A
LOBBYIST OR LOBBYISTS SHALL, WITHIN THIRTY DAYS OF THE DATE  UPON  WHICH
SUCH  BUSINESS  DEALINGS  COMMENCE,  FILE  WITH THE EXECUTIVE ETHICS AND
COMPLIANCE COMMISSION A REPORT OF SUCH BUSINESS DEALINGS.  SUCH  REPORTS
SHALL BE FILED ON FORMS SUPPLIED BY SUCH COMMISSION AND SHALL CONTAIN:
  (A) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE PUBLIC OFFICER;
  (B)  THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED,
EMPLOYED OR DESIGNATED BY SUCH PUBLIC OFFICER OR WITH WHOM  SUCH  PUBLIC
OFFICER DID BUSINESS;
  (C)  A  DESCRIPTION  OF  THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE PUBLIC OFFICER AND THE LOBBYIST OR LOBBYISTS; AND
  (D) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF  THE
BUSINESS DEALINGS.
  2.  A  LEGISLATOR OR LEGISLATIVE EMPLOYEE WHO RETAINS, EMPLOYS, DESIG-
NATES OR OTHERWISE DOES BUSINESS WITH A  LOBBYIST  OR  LOBBYISTS  SHALL,
WITHIN  THIRTY  DAYS  OF  THE  DATE  UPON  WHICH  SUCH BUSINESS DEALINGS
COMMENCE, FILE WITH THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS
A REPORT OF SUCH BUSINESS DEALINGS. SUCH REPORTS SHALL BE FILED ON FORMS
SUPPLIED BY SUCH COMMISSION AND SHALL CONTAIN:
  (A) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE PUBLIC OFFICER;
  (B) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST  RETAINED,
EMPLOYED  OR  DESIGNATED BY SUCH PUBLIC OFFICER OR WITH WHOM SUCH PUBLIC
OFFICER DID BUSINESS;

S. 382                             13

  (C) A DESCRIPTION OF THE GENERAL SUBJECT OR  SUBJECTS  OF  THE  TRANS-
ACTIONS BETWEEN THE PUBLIC OFFICER AND THE LOBBYIST OR LOBBYISTS; AND
  (D)  THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF THE
BUSINESS DEALINGS.
  3. ALL SUCH REPORTS SHALL BE SUBJECT TO REVIEW BY THE RELEVANT  ETHICS
COMMISSION.
  4.  SUCH  REPORTS  SHALL  BE KEPT ON FILE FOR A PERIOD OF THREE YEARS,
SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD AND ACCESS TO SUCH
INFORMATION SHALL ALSO BE  MADE  AVAILABLE  FOR  REMOTE  COMPUTER  USERS
THROUGH THE INTERNET NETWORK.
  S  3.   Subdivision 9 of section 94 of the executive law is amended by
adding a new paragraph (n) to read as follows:
  (N) A STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR  CANDI-
DATE FOR STATEWIDE ELECTED OFFICE MAY NOT DISCLOSE INFORMATION REGARDING
A  CLIENT,  PERSON,  OR  ENTITY  REQUIRED  UNDER THE ANNUAL STATEMENT OF
FINANCIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C)  OF  PARA-
GRAPH  EIGHT  OF  SUBDIVISION  THREE  OF  SECTION SEVENTY-THREE-A OF THE
PUBLIC OFFICERS LAW, IF SUCH DISCLOSURE OF THE CLIENT, PERSON, OR  ENTI-
TY'S  REQUIRED  INFORMATION WOULD VIOLATE A LEGALLY RECOGNIZED PRIVILEGE
UNDER NEW YORK LAW OR WITHIN THE PURVIEW OF THE  ATTORNEY-CLIENT  PRIVI-
LEGE,  DISCLOSURE  WOULD  CREATE  AN UNREASONABLE HARDSHIP, IN THAT SUCH
DISCLOSURE WOULD CONVEY THE SUBSTANCE OF  A  CONFIDENTIAL  COMMUNICATION
BETWEEN  CLIENT  AND  ATTORNEY.    SUCH  A  CLIENT,  PERSON, OR ENTITY'S
REQUIRED INFORMATION UNDER SUBPARAGRAPH (A), (B)  OR  (C)  OF  PARAGRAPH
EIGHT  OF  SUBDIVISION  THREE  OF  SECTION SEVENTY-THREE-A OF THE PUBLIC
OFFICERS LAW MAY BE WITHHELD IN ACCORDANCE WITH THE FOLLOWING PROCEDURE:
  (I) A STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR  CANDI-
DATE FOR STATEWIDE ELECTED OFFICE WHO BELIEVES THAT A CLIENT, PERSON, OR
ENTITY'S  REQUIRED  INFORMATION  UNDER THE ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF  PARAGRAPH  EIGHT
OF  SUBDIVISION  THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS
LAW IS PROTECTED BY A LEGALLY RECOGNIZED PRIVILEGE OR UNREASONABLE HARD-
SHIP MAY DECLINE TO REPORT THE REQUIRED INFORMATION, BUT SHALL FILE WITH
HIS OR HER ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AN  EXPLANATION  FOR
SUCH  NONDISCLOSURE.  THE  EXPLANATION  SHALL  SEPARATELY STATE FOR EACH
UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE LEGAL BASIS FOR ASSERTION  OF
THE  PRIVILEGE OR UNREASONABLE HARDSHIP AND, AS SPECIFICALLY AS POSSIBLE
WITHOUT DEFEATING THE PRIVILEGE OR UNREASONABLE  HARDSHIP,  FACTS  WHICH
DEMONSTRATE WHY THE PRIVILEGE OR UNREASONABLE HARDSHIP IS APPLICABLE.
  (II)  WITH  RESPECT TO EACH UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE
STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR  CANDIDATE  FOR
STATEWIDE  ELECTED  OFFICE  SHALL  STATE  THAT TO THE BEST OF HIS OR HER
KNOWLEDGE HE OR SHE HAS NOT AND WILL NOT MAKE, PARTICIPATE IN MAKING, OR
IN ANY WAY ATTEMPT TO USE AN OFFICIAL POSITION TO  INFLUENCE  A  GOVERN-
MENTAL DECISION WHEN TO DO SO CONSTITUTED OR WOULD CONSTITUTE A CRIME OR
VIOLATION OF ANY LOCAL, STATE OR FEDERAL LAW.
  (III)  THE EXECUTIVE DIRECTOR MAY REQUEST FURTHER INFORMATION FROM THE
STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR  CANDIDATE  FOR
STATEWIDE  ELECTED  OFFICE  AND,  IF  NO  LEGAL OR FACTUAL JUSTIFICATION
SUFFICIENT TO SUPPORT ASSERTION OF THE PRIVILEGE OR  UNREASONABLE  HARD-
SHIP  IS  SHOWN,  MAY  ORDER  THAT THE DISCLOSURE REQUIRED BY THE ANNUAL
STATEMENT OF FINANCIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A),  (B)  OR
(C)  OF  PARAGRAPH EIGHT OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A
OF THE PUBLIC OFFICERS LAW BE  MADE.  THE  STATEWIDE  ELECTED  OFFICIAL,
STATE  OFFICER  OR  EMPLOYEE  OR  CANDIDATE FOR STATEWIDE ELECTED OFFICE
SHALL, WITHIN FOURTEEN DAYS AFTER RECEIPT OF AN ORDER FROM THE EXECUTIVE

S. 382                             14

DIRECTOR, EITHER COMPLY WITH THE ORDER OR, IF HE OR SHE WANTS  TO  CHAL-
LENGE  THE  DETERMINATION  OF THE EXECUTIVE DIRECTOR APPEAL THE DETERMI-
NATION, IN WRITING, TO THE COMMISSION. THE EXECUTIVE DIRECTOR  MAY,  FOR
GOOD CAUSE, EXTEND ANY OF THE TIME FOR A PERIOD OF FOURTEEN DAYS.
  (IV) IF THE EXECUTIVE DIRECTOR DETERMINES THAT NONDISCLOSURE IS JUSTI-
FIED  BECAUSE  OF THE EXISTENCE OF A PRIVILEGE OR UNREASONABLE HARDSHIP,
THE MATTER SHALL BE REFERRED TO THE COMMISSION.
  (V) THE COMMISSION SHALL REVIEW AN  APPEAL  FILED  UNDER  SUBPARAGRAPH
(III) OF THIS PARAGRAPH OR A RECOMMENDATION MADE BY THE EXECUTIVE DIREC-
TOR  UNDER SUBPARAGRAPH (IV) OF THIS PARAGRAPH AT A MEETING HELD NO LESS
THAN FOURTEEN DAYS AFTER NOTICE OF THE MEETING IS MAILED TO  THE  STATE-
WIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR CANDIDATE FOR STATE-
WIDE  ELECTED  OFFICE. THE COMMISSION SHALL DECIDE WHETHER NONDISCLOSURE
IS WARRANTED BY ISSUING AN OPINION PURSUANT TO  SUBDIVISION  FIFTEEN  OF
THIS  SECTION AND SHALL TREAT THE EXPLANATION FOR NONDISCLOSURE ACCOMPA-
NYING THE STATEWIDE ELECTED  OFFICIAL,  STATE  OFFICER  OR  EMPLOYEE  OR
CANDIDATE  FOR  STATEWIDE ELECTED OFFICE'S ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE AS AN OPINION REQUEST.
  (VI) IF THE COMMISSION ORDERS  A  STATEWIDE  ELECTED  OFFICIAL,  STATE
OFFICER  OR  EMPLOYEE  OR  CANDIDATE  FOR  STATEWIDE  ELECTED  OFFICE TO
DISCLOSE, THE STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR  EMPLOYEE  OR
CANDIDATE FOR STATEWIDE ELECTED OFFICE MUST COMPLY WITHIN FOURTEEN DAYS.
THE  COMMISSION,  IN  ITS  NOTIFICATION TO DISCLOSE A CLIENT, PERSON, OR
ENTITY'S INFORMATION REQUIRED  BY  THE  ANNUAL  STATEMENT  OF  FINANCIAL
DISCLOSURE  PURSUANT  TO SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT
OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A OF THE  PUBLIC  OFFICERS
LAW,  SHALL  INFORM THE PERSON OF HIS OR HER RIGHT TO APPEAL THE COMMIS-
SION'S  DETERMINATION  PURSUANT  TO  ITS  RULES  GOVERNING  ADJUDICATORY
PROCEEDINGS AND APPEALS ADOPTED PURSUANT TO SUBDIVISION THIRTEEN OF THIS
SECTION;
  S 4. The legislative law is amended by adding a new section 81 to read
as follows:
  S  81.  EXCEPTIONS  TO FINANCIAL DISCLOSURE.  A MEMBER OF THE LEGISLA-
TURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER  OF  THE  LEGISLATURE
MAY  NOT  DISCLOSE  INFORMATION  REGARDING  A  CLIENT, PERSON, OR ENTITY
REQUIRED UNDER THE ANNUAL STATEMENT OF FINANCIAL DISCLOSURE PURSUANT  TO
SUBPARAGRAPH  (A), (B) OR (C) OF PARAGRAPH EIGHT OF SUBDIVISION THREE OF
SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW, IF  SUCH  DISCLOSURE
OF  THE CLIENT, PERSON, OR ENTITY'S REQUIRED INFORMATION WOULD VIOLATE A
LEGALLY RECOGNIZED PRIVILEGE UNDER NEW YORK LAW OR WITHIN THE PURVIEW OF
THE ATTORNEY-CLIENT PRIVILEGE, DISCLOSURE WOULD CREATE  AN  UNREASONABLE
HARDSHIP,  IN  THAT SUCH DISCLOSURE WOULD CONVEY THE SUBSTANCE OF CONFI-
DENTIAL COMMUNICATION BETWEEN CLIENT  AND  ATTORNEY.    SUCH  A  CLIENT,
PERSON,  OR ENTITY'S REQUIRED INFORMATION UNDER SUBPARAGRAPH (A), (B) OR
(C) OF PARAGRAPH EIGHT OF SUBDIVISION THREE OF  SECTION  SEVENTY-THREE-A
OF  THE  PUBLIC  OFFICERS  LAW  MAY  BE  WITHHELD IN ACCORDANCE WITH THE
FOLLOWING PROCEDURE:
  1. A MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE  FOR
MEMBER  OF  THE LEGISLATURE WHO BELIEVES THAT A CLIENT, PERSON, OR ENTI-
TY'S REQUIRED  INFORMATION  UNDER  THE  ANNUAL  STATEMENT  OF  FINANCIAL
DISCLOSURE  PURSUANT  TO SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT
OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A OF THE  PUBLIC  OFFICERS
LAW IS PROTECTED BY A LEGALLY RECOGNIZED PRIVILEGE OR UNREASONABLE HARD-
SHIP MAY DECLINE TO REPORT THE REQUIRED INFORMATION, BUT SHALL FILE WITH
HIS  OR  HER ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AN EXPLANATION FOR
SUCH NONDISCLOSURE. THE EXPLANATION  SHALL  SEPARATELY  STATE  FOR  EACH

S. 382                             15

UNDISCLOSED  CLIENT,  PERSON, OR ENTITY THE LEGAL BASIS FOR ASSERTION OF
THE PRIVILEGE OR UNREASONABLE HARDSHIP AND, AS SPECIFICALLY AS  POSSIBLE
WITHOUT  DEFEATING  THE  PRIVILEGE OR UNREASONABLE HARDSHIP, FACTS WHICH
DEMONSTRATE WHY THE PRIVILEGE OR UNREASONABLE HARDSHIP IS APPLICABLE.
  2.  WITH  RESPECT  TO  EACH UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR  MEMBER
OF  THE LEGISLATURE SHALL STATE THAT TO THE BEST OF HIS OR HER KNOWLEDGE
HE OR SHE HAS NOT AND WILL NOT MAKE, PARTICIPATE IN MAKING,  OR  IN  ANY
WAY  ATTEMPT  TO  USE  AN  OFFICIAL POSITION TO INFLUENCE A GOVERNMENTAL
DECISION WHEN TO DO SO  CONSTITUTED  OR  WOULD  CONSTITUTE  A  CRIME  OR
VIOLATION OF ANY LOCAL, STATE OR FEDERAL LAW.
  3.  THE  EXECUTIVE  DIRECTOR  MAY REQUEST FURTHER INFORMATION FROM THE
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR  MEMBER
OF  THE LEGISLATURE AND, IF NO LEGAL OR FACTUAL JUSTIFICATION SUFFICIENT
TO SUPPORT ASSERTION OF THE PRIVILEGE OR UNREASONABLE HARDSHIP IS SHOWN,
MAY ORDER THAT THE DISCLOSURE REQUIRED BY THE ANNUAL STATEMENT OF FINAN-
CIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR  (C)  OF  PARAGRAPH
EIGHT  OF  SUBDIVISION  THREE  OF  SECTION SEVENTY-THREE-A OF THE PUBLIC
OFFICERS LAW BE MADE. THE MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOY-
EE OR CANDIDATE FOR MEMBER OF THE  LEGISLATURE  SHALL,  WITHIN  FOURTEEN
DAYS  AFTER  RECEIPT  OF  AN  ORDER  FROM THE EXECUTIVE DIRECTOR, EITHER
COMPLY WITH THE ORDER OR, IF HE OR SHE WANTS TO CHALLENGE  THE  DETERMI-
NATION  OF THE EXECUTIVE DIRECTOR, APPEAL THE DETERMINATION, IN WRITING,
TO THE COMMISSION. THE EXECUTIVE DIRECTOR MAY, FOR  GOOD  CAUSE,  EXTEND
ANY OF THE TIME FOR A PERIOD OF FOURTEEN DAYS.
  4.  IF  THE EXECUTIVE DIRECTOR DETERMINES THAT NONDISCLOSURE IS JUSTI-
FIED BECAUSE OF THE EXISTENCE OF A PRIVILEGE OR  UNREASONABLE  HARDSHIP,
THE MATTER SHALL BE REFERRED TO THE COMMISSION.
  5. THE COMMISSION SHALL REVIEW AN APPEAL FILED UNDER SUBDIVISION THREE
OF THIS SECTION OR A RECOMMENDATION MADE BY THE EXECUTIVE DIRECTOR UNDER
SUBDIVISION FOUR OF THIS SECTION AT A MEETING HELD NO LESS THAN FOURTEEN
DAYS AFTER NOTICE OF THE MEETING IS MAILED TO THE MEMBER OF THE LEGISLA-
TURE,  LEGISLATIVE  EMPLOYEE OR CANDIDATE FOR MEMBER OF THE LEGISLATURE.
THE COMMISSION SHALL DECIDE WHETHER SUCH NONDISCLOSURE IS  WARRANTED  BY
ISSUING  AN  OPINION PURSUANT TO SUBDIVISION FIFTEEN OF THIS SECTION AND
SHALL TREAT THE EXPLANATION FOR NONDISCLOSURE ACCOMPANYING THE MEMBER OF
THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE  FOR  MEMBER  OF  THE
LEGISLATURE'S  ANNUAL  STATEMENT  OF  FINANCIAL DISCLOSURE AS AN OPINION
REQUEST.
  6. IF THE COMMISSION ORDERS A MEMBER OF THE  LEGISLATURE,  LEGISLATIVE
EMPLOYEE  OR  CANDIDATE  FOR  MEMBER OF THE LEGISLATURE TO DISCLOSE, THE
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR  MEMBER
OF  THE LEGISLATURE MUST COMPLY WITHIN FOURTEEN DAYS. THE COMMISSION, IN
ITS NOTIFICATION TO DISCLOSE A CLIENT, PERSON, OR  ENTITY'S  INFORMATION
REQUIRED  BY  THE  ANNUAL  STATEMENT OF FINANCIAL DISCLOSURE PURSUANT TO
SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT OF SUBDIVISION THREE  OF
SECTION  SEVENTY-THREE-A, SHALL INFORM THE PERSON OF HIS OR HER RIGHT TO
APPEAL THE COMMISSION'S DETERMINATION PURSUANT TO  ITS  RULES  GOVERNING
ADJUDICATORY  PROCEEDINGS  AND  APPEALS  ADOPTED PURSUANT TO SUBDIVISION
THIRTEEN OF THIS SECTION.
  S 5. Severability. If any clause, sentence, paragraph, section or part
of this act shall be adjudged by any court of competent jurisdiction  to
be  invalid,  such  judgment  shall not affect, impair or invalidate the
reminder thereof, but shall be confined in its operation to the  clause,
sentence,  paragraph,  section  or part thereof directly involved in the
controversy in which such judgment shall have been rendered.

S. 382                             16

  S 6.  This act shall take effect on the first of January next succeed-
ing the date upon which it shall have become a law, and shall  apply  to
all fiscal years commencing on or after such date.

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