|
Assembly Actions -
Lowercase Senate Actions - UPPERCASE |
|
|---|---|
| Jun 03, 2022 |
committed to rules |
| May 05, 2022 |
advanced to third reading |
| May 04, 2022 |
2nd report cal. |
| May 03, 2022 |
1st report cal.1048 |
| Apr 26, 2022 |
print number 6263a |
| Apr 26, 2022 |
amend and recommit to ethics and internal governance |
| Jan 05, 2022 |
referred to ethics and internal governance |
| Jun 10, 2021 |
committed to rules |
| Apr 28, 2021 |
advanced to third reading |
| Apr 27, 2021 |
2nd report cal. |
| Apr 26, 2021 |
1st report cal.768 |
| Apr 19, 2021 |
referred to ethics and internal governance |
Senate Bill S6263A
2021-2022 Legislative Session
Modifies the requirements for financial disclosures for certain state and legislative officials, officers and employees
download bill text pdfSponsored By
(D, WF) Senate District
Archive: Last Bill Status - In Senate Committee Rules 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
Votes
Bill Amendments
2021-S6263 - Details
- Current Committee:
- Senate Rules
- Law Section:
- Public Officers Law
- Laws Affected:
- Amd §73-a, Pub Off L
- Versions Introduced in 2023-2024 Legislative Session:
-
S6817
2021-S6263 - Sponsor Memo
BILL NUMBER: S6263
SPONSOR: BIAGGI
TITLE OF BILL:
An act to amend the public officers law, in relation to required finan-
cial disclosures for certain state and legislative officials, officers
and employees
PURPOSE:
To remove out of date questions from the financial disclosure form.
SUMMARY OF PROVISIONS:
An act to amend paragraph 8 and table I of subdivision 3 of section 73-a
of 2 the public officers law, paragraph 8 as amended by section 6 of
part K 3 of chapter 286 of the laws of 2016, table I as amended by
section 5 of 4 part A of chapter 399 of the laws of 2011 to remove ques-
tion 8-b from the financial disclosure form.
Section 2 sets forth the effective date. JUSTIFICATION: Members of the legislature, state-wide elected officials, candidates for office, and state employees who are designated policy makers or receive a high salary are required to fill out an annual financial disclosure form. The form includes questions about whether the individual is a licensed professional and their business relationships. Question 8b, which relates to professional business relationships, is no longer applicable because it applies only to clients for whom services were provided between 2012-2015. JCOPE instructs all filers to respond "N/A." This bill would remove question 8-b to reduce confusion for filers. The bill also makes a correction to Category NNN in Table I which erro- neously overlapped with Category MMM. LEGISLATIVE HISTORY: New bill. FISCAL IMPLICATIONS: None. EFFECTIVE DATE: This act shall take effect on January 1, 2022.
2021-S6263 - Bill Text download pdf
S T A T E O F N E W Y O R K
________________________________________________________________________
6263
2021-2022 Regular Sessions
I N S E N A T E
April 19, 2021
___________
Introduced by Sen. BIAGGI -- read twice and ordered printed, and when
printed to be committed to the Committee on Ethics and Internal Gover-
nance
AN ACT to amend the public officers law, in relation to required finan-
cial disclosures for certain state and legislative officials, officers
and employees
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Paragraph 8 and table I of subdivision 3 of section 73-a of
the public officers law, paragraph 8 as amended by section 6 of part K
of chapter 286 of the laws of 2016, table I as amended by section 5 of
part A of chapter 399 of the laws of 2011, are amended to read as
follows:
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, describe the services rendered for
which compensation was paid including a general description of the prin-
cipal subject areas of matters undertaken by such individual and princi-
pal duties performed. Specifically state whether the reporting individ-
ual provides services directly to clients. 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 corpo-
ration.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD10922-01-1
S. 6263 2
____________________________________________________________________
____________________________________________________________________
(b) [APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN, 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 AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN:
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
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 contract in an amount totaling $50,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) 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 (iv) 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-1) of subdivision nine of
section ninety-four of the executive law, provided, however, that 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 entering public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
S. 6263 3
________________________________________________________________________
________________________________________________________________________
(b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):]
If the reporting individual receives income from employment reportable
in question 8(a) and personally provides services to any person or enti-
ty, or works as a member or employee of a partnership or corporation
that provides such services (referred to hereinafter as a "firm"), the
reporting individual shall identify each client or customer to whom the
reporting 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 in direct connection with:
(i) A contract in an amount totaling $10,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For such services rendered by the reporting individual directly to
each such client, describe each matter that was the subject of such
representation, the services actually provided and the payment received.
For payments received from clients referred to the firm by the reporting
individual, if the reporting individual directly received a referral fee
or fees for such referral, identify the client and the payment so
received. FOR THE PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES.
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
having knowingly solicited or directed 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 clauses (i) through (iv) of this subparagraph, as the result
of such procurement, solicitation or direction of the reporting individ-
ual. A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
Client Matter Nature of Services Provided Category
of Amount
(in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
S. 6263 4
[(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):]
(B-1) FOR THE PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN CONSUL-
TATION, REPRESENTATION, ADVICE OR OTHER SERVICES.
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five thou-
sand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services Category of Amount
Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
The disclosure requirement in questions (B) AND (b-1) [and (b-2)] shall
not require disclosing clients or customers receiving medical, pharma-
S. 6263 5
ceutical or dental services, mental health services, or residential real
estate brokering services from the reporting individual or his or her
firm or if federal law prohibits or limits disclosure. 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, family court,
estate planning, or domestic relations matters, nor shall the reporting
individual identify individuals represented pursuant to an insurance
policy but the reporting individual shall in such circumstances only
report the entity that provides compensation to the reporting individ-
ual; with respect to matters in which the client's name is required by
law to be kept confidential (such as matters governed by the family
court act) or in matters in which the reporting individual represents or
provides services to minors, the client's name may be replaced with
initials. To the extent that the reporting individual, or his or her
firm, provided legal representation with respect to an initial public
offering, and professional disciplinary rules, federal law or regu-
lations restrict the disclosure of information relating to such work,
the reporting individual shall (i) disclose the identity of the client
and the services provided relating to the initial public offering to the
office of court administration, who will maintain such information
confidentially in a locked box; and (ii) include in his or her response
to questions (B) AND (b-1) [and (b-2)] that pursuant to this paragraph,
a disclosure to the office of court administration has been made. Upon
such time that the disclosure of information maintained in the locked
box is no longer restricted by professional disciplinary rules, federal
law or regulation, the reporting individual shall disclose such informa-
tion in an amended disclosure statement in response to the disclosure
requirements in questions (B) AND (b-1) [and (b-2)]. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the joint
commission pursuant to paragraph (i-1) of subdivision nine of section
ninety-four of the executive law, or from the office of court adminis-
tration. In such application, the reporting individual shall state the
following: "My client is not currently receiving my services or seeking
my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 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."
In reviewing the request for an exemption, the joint commission or the
office of court administration may consult with bar or other profes-
sional associations and the legislative ethics commission for individ-
uals subject to its jurisdiction and may consider the rules of profes-
sional conduct. In making its determination, the joint commission or the
office of court administration shall conduct its own inquiry and shall
consider factors including, but not limited to: (i) the nature and the
S. 6263 6
size of the client; (ii) whether the client has any business before the
state; and if so, how significant the business is; and whether the
client has any particularized interest in pending legislation and if so
how significant the interest is; (iii) whether disclosure may reveal
trade secrets; (iv) whether disclosure could reasonably result in retal-
iation against the client; (v) whether disclosure may cause undue harm
to the client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
The joint commission or, as the case may be, the office of court
administration shall promptly make a final determination in response to
such request, which shall include an explanation for its determination.
The office of court administration shall issue its final determination
within three days of receiving the request. Notwithstanding any other
provision of law or any professional disciplinary rule to the contrary,
the disclosure of the identity of any client or customer in response to
this question shall not constitute professional misconduct or a ground
for disciplinary action of any kind, or form the basis for any civil or
criminal cause of action or proceeding. A reporting individual who first
enters public office after January first, two thousand sixteen, 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.
(c) [APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN:]
If the reporting individual receives income of ten 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 indi-
vidual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those 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 client,
the registered 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
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or his or her firm or if federal
law prohibits or limits disclosure. 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, family court, estate planning, or
domestic relations matters, nor shall the reporting individual identify
individuals represented pursuant to an insurance policy but the report-
ing individual shall in such circumstances only report the entity that
provides compensation to the reporting individual; with respect to
matters in which the client's name is required by law to be kept confi-
S. 6263 7
dential (such as matters governed by the family court act) or in matters
in which the reporting individual represents or provides services to
minors, the client's name may be replaced with initials. To the extent
that the reporting individual, or his or her firm, provided legal repre-
sentation with respect to an initial public offering, and federal law or
regulations restricts the disclosure of information relating to such
work, the reporting individual shall (i) disclose the identity of the
client and the services provided relating to the initial public offering
to the office of court administration, who will maintain such informa-
tion confidentially in a locked box; and (ii) include in his or her
response a statement that pursuant to this paragraph, a disclosure to
the office of court administration has been made. Upon such time that
the disclosure of information maintained in the locked box is no longer
restricted by federal law or regulation, the reporting individual shall
disclose such information in an amended disclosure statement in response
to the disclosure requirements of this paragraph. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the joint
commission pursuant to paragraph (i-1) of subdivision nine of section
ninety-four of the executive law, or from the office of court adminis-
tration. In such application, the reporting individual shall state the
following: "My client is not currently receiving my services or seeking
my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 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."
In reviewing the request for an exemption, the joint commission or the
office of court administration may consult with bar or other profes-
sional associations and the legislative ethics commission for individ-
uals subject to its jurisdiction and may consider the rules of profes-
sional conduct. In making its determination, the joint commission or the
office of court administration shall conduct its own inquiry and shall
consider factors including, but not limited to: (i) the nature and the
size of the client; (ii) whether the client has any business before the
state; and if so, how significant the business is; and whether the
client has any particularized interest in pending legislation and if so
how significant the interest is; (iii) whether disclosure may reveal
trade secrets; (iv) whether disclosure could reasonably result in retal-
iation against the client; (v) whether disclosure may cause undue harm
to the client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
The joint commission or, as the case may be, the office of court
administration shall promptly make a final determination in response to
such request, which shall include an explanation for its determination.
The office of court administration shall issue its final determination
S. 6263 8
within three days of receiving the request. Notwithstanding any other
provision of law or any professional disciplinary rule to the contrary,
the disclosure of the identity of any client or customer in response to
this question shall not constitute professional misconduct or a ground
for disciplinary action of any kind, or form the basis for any civil or
criminal cause of action or proceeding. A reporting individual who first
enters public office after December thirty-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 enter-
ing public office.
Client Name of Lobbyist Description Category of Amount
of Matter (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 had an investment in excess of
$1,000 excluding investments in securities and interests in real proper-
ty.
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
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
S. 6263 9
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
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
S. 6263 10
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
§ 2. This act shall take effect January 1, 2022.
2021-S6263A (ACTIVE) - Details
- Current Committee:
- Senate Rules
- Law Section:
- Public Officers Law
- Laws Affected:
- Amd §73-a, Pub Off L
- Versions Introduced in 2023-2024 Legislative Session:
-
S6817
2021-S6263A (ACTIVE) - Sponsor Memo
BILL NUMBER: S6263A
SPONSOR: BIAGGI
TITLE OF BILL:
An act to amend the public officers law, in relation to required finan-
cial disclosures for certain state and legislative officials, officers
and employees
PURPOSE:
To remove out of date questions from the financial disclosure form.
SUMMARY OF PROVISIONS:
Section 1 amends paragraphs 8 and table I of subdivision 3 of section
73-a of 2 the public officers law, paragraph 8 as amended by section 6
of part K 3 of chapter 286 of the laws of 2016, table I as amended by
section 5 of 4 part A of chapter 399 of the laws of 2011 to remove ques-
tion 8-b from the financial disclosure form.
Section 2 amends paragraphs 8 of subdivision 3 of section 73-a of the
public officers law, as amended by section 18 of part QQ of chapter 56 of the laws of 2022, subparagraphs (b), (b-2) and (c) as separately amended by section of part QQ of chapter 56 of the laws of 2022 Section 3 sets forth the effective date. JUSTIFICATION: Members of the legislature, state-wide elected officials, candidates for office, and state employees who are designated policy makers or recieve a high salary are required to fill out an annual financial disclosure form. The form includes questions about whether the individual is a licensed professional and their business relationships. Question 8b, which relates to professional business relationships, is no longer applicable because it applies only to clients for whom services were provided between 2012-2015. JCOPE instructs all filers to respond "N/A." This bill would remove question 8-b to reduce confusion for filers. LEGISLATIVE HISTORY: New bill. FISCAL IMPLICATIONS: None. EFFECTIVE DATE: This act shall take effect on July 8, 2022; provided, however, that if part QQ of chapter 56 of the laws of 2022 shall not have taken effect on or before such date then section two of this act shall take effect on the same date and in the same manner as such part of such chapter of the laws of 2022 takes effect.
2021-S6263A (ACTIVE) - Bill Text download pdf
S T A T E O F N E W Y O R K
________________________________________________________________________
6263--A
2021-2022 Regular Sessions
I N S E N A T E
April 19, 2021
___________
Introduced by Sen. BIAGGI -- read twice and ordered printed, and when
printed to be committed to the Committee on Ethics and Internal Gover-
nance -- recommitted to the Committee on Ethics and Internal Gover-
nance in accordance with Senate Rule 6, sec. 8 -- committee
discharged, bill amended, ordered reprinted as amended and recommitted
to said committee
AN ACT to amend the public officers law, in relation to required finan-
cial disclosures for certain state and legislative officials, officers
and employees
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Paragraph 8 and table I of subdivision 3 of section 73-a of
the public officers law, paragraph 8 as amended by section 6 of part K
of chapter 286 of the laws of 2016, table I as amended by section 5 of
part A of chapter 399 of the laws of 2011, are amended to read as
follows:
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, describe the services rendered for
which compensation was paid including a general description of the prin-
cipal subject areas of matters undertaken by such individual and princi-
pal duties performed. Specifically state whether the reporting individ-
ual provides services directly to clients. 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 corpo-
ration.
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD10922-02-2
S. 6263--A 2
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) [APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN, 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 AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN:
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
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 contract in an amount totaling $50,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) 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 (iv) 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-1) of subdivision nine of
section ninety-four of the executive law, provided, however, that 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 entering public office.
Client Nature of Services Provided
S. 6263--A 3
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):]
If the reporting individual receives income from employment reportable
in question 8(a) and personally provides services to any person or enti-
ty, or works as a member or employee of a partnership or corporation
that provides such services (referred to hereinafter as a "firm"), the
reporting individual shall identify each client or customer to whom the
reporting 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 in direct connection with:
(i) A contract in an amount totaling $10,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For such services rendered by the reporting individual directly to
each such client, describe each matter that was the subject of such
representation, the services actually provided and the payment received.
For payments received from clients referred to the firm by the reporting
individual, if the reporting individual directly received a referral fee
or fees for such referral, identify the client and the payment so
received. FOR THE PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES.
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
having knowingly solicited or directed 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 clauses (i) through (iv) of this subparagraph, as the result
of such procurement, solicitation or direction of the reporting individ-
ual. A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
Client Matter Nature of Services Provided Category
of Amount
(in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
S. 6263--A 4
________________________________________________________________________
________________________________________________________________________
[(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):]
(B-1) FOR THE PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN CONSUL-
TATION, REPRESENTATION, ADVICE OR OTHER SERVICES.
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five thou-
sand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services Category of Amount
Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
S. 6263--A 5
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
The disclosure requirement in questions (B) AND (b-1) [and (b-2)] shall
not require disclosing clients or customers receiving medical, pharma-
ceutical or dental services, mental health services, or residential real
estate brokering services from the reporting individual or his or her
firm or if federal law prohibits or limits disclosure. 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, family court,
estate planning, or domestic relations matters, nor shall the reporting
individual identify individuals represented pursuant to an insurance
policy but the reporting individual shall in such circumstances only
report the entity that provides compensation to the reporting individ-
ual; with respect to matters in which the client's name is required by
law to be kept confidential (such as matters governed by the family
court act) or in matters in which the reporting individual represents or
provides services to minors, the client's name may be replaced with
initials. To the extent that the reporting individual, or his or her
firm, provided legal representation with respect to an initial public
offering, and professional disciplinary rules, federal law or regu-
lations restrict the disclosure of information relating to such work,
the reporting individual shall (i) disclose the identity of the client
and the services provided relating to the initial public offering to the
office of court administration, who will maintain such information
confidentially in a locked box; and (ii) include in his or her response
to questions (B) AND (b-1) [and (b-2)] that pursuant to this paragraph,
a disclosure to the office of court administration has been made. Upon
such time that the disclosure of information maintained in the locked
box is no longer restricted by professional disciplinary rules, federal
law or regulation, the reporting individual shall disclose such informa-
tion in an amended disclosure statement in response to the disclosure
requirements in questions (B) AND (b-1) [and (b-2)]. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the joint
commission pursuant to paragraph (i-1) of subdivision nine of section
ninety-four of the executive law, or from the office of court adminis-
tration. In such application, the reporting individual shall state the
following: "My client is not currently receiving my services or seeking
my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 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."
In reviewing the request for an exemption, the joint commission or the
office of court administration may consult with bar or other profes-
sional associations and the legislative ethics commission for individ-
S. 6263--A 6
uals subject to its jurisdiction and may consider the rules of profes-
sional conduct. In making its determination, the joint commission or the
office of court administration shall conduct its own inquiry and shall
consider factors including, but not limited to: (i) the nature and the
size of the client; (ii) whether the client has any business before the
state; and if so, how significant the business is; and whether the
client has any particularized interest in pending legislation and if so
how significant the interest is; (iii) whether disclosure may reveal
trade secrets; (iv) whether disclosure could reasonably result in retal-
iation against the client; (v) whether disclosure may cause undue harm
to the client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
The joint commission or, as the case may be, the office of court
administration shall promptly make a final determination in response to
such request, which shall include an explanation for its determination.
The office of court administration shall issue its final determination
within three days of receiving the request. Notwithstanding any other
provision of law or any professional disciplinary rule to the contrary,
the disclosure of the identity of any client or customer in response to
this question shall not constitute professional misconduct or a ground
for disciplinary action of any kind, or form the basis for any civil or
criminal cause of action or proceeding. A reporting individual who first
enters public office after January first, two thousand sixteen, 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.
(c) [APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN:]
If the reporting individual receives income of ten 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 indi-
vidual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those 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 client,
the registered 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
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or his or her firm or if federal
law prohibits or limits disclosure. 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, family court, estate planning, or
domestic relations matters, nor shall the reporting individual identify
S. 6263--A 7
individuals represented pursuant to an insurance policy but the report-
ing individual shall in such circumstances only report the entity that
provides compensation to the reporting individual; with respect to
matters in which the client's name is required by law to be kept confi-
dential (such as matters governed by the family court act) or in matters
in which the reporting individual represents or provides services to
minors, the client's name may be replaced with initials. To the extent
that the reporting individual, or his or her firm, provided legal repre-
sentation with respect to an initial public offering, and federal law or
regulations restricts the disclosure of information relating to such
work, the reporting individual shall (i) disclose the identity of the
client and the services provided relating to the initial public offering
to the office of court administration, who will maintain such informa-
tion confidentially in a locked box; and (ii) include in his or her
response a statement that pursuant to this paragraph, a disclosure to
the office of court administration has been made. Upon such time that
the disclosure of information maintained in the locked box is no longer
restricted by federal law or regulation, the reporting individual shall
disclose such information in an amended disclosure statement in response
to the disclosure requirements of this paragraph. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the joint
commission pursuant to paragraph (i-1) of subdivision nine of section
ninety-four of the executive law, or from the office of court adminis-
tration. In such application, the reporting individual shall state the
following: "My client is not currently receiving my services or seeking
my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 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."
In reviewing the request for an exemption, the joint commission or the
office of court administration may consult with bar or other profes-
sional associations and the legislative ethics commission for individ-
uals subject to its jurisdiction and may consider the rules of profes-
sional conduct. In making its determination, the joint commission or the
office of court administration shall conduct its own inquiry and shall
consider factors including, but not limited to: (i) the nature and the
size of the client; (ii) whether the client has any business before the
state; and if so, how significant the business is; and whether the
client has any particularized interest in pending legislation and if so
how significant the interest is; (iii) whether disclosure may reveal
trade secrets; (iv) whether disclosure could reasonably result in retal-
iation against the client; (v) whether disclosure may cause undue harm
to the client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
S. 6263--A 8
The joint commission or, as the case may be, the office of court
administration shall promptly make a final determination in response to
such request, which shall include an explanation for its determination.
The office of court administration shall issue its final determination
within three days of receiving the request. Notwithstanding any other
provision of law or any professional disciplinary rule to the contrary,
the disclosure of the identity of any client or customer in response to
this question shall not constitute professional misconduct or a ground
for disciplinary action of any kind, or form the basis for any civil or
criminal cause of action or proceeding. A reporting individual who first
enters public office after December thirty-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 enter-
ing public office.
Client Name of Lobbyist Description Category of Amount
of Matter (in Table [1] I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(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 had an investment in excess of
$1,000 excluding investments in securities and interests in real proper-
ty.
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
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
S. 6263--A 9
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
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
S. 6263--A 10
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
§ 2. Paragraph 8 of subdivision 3 of section 73-a of the public offi-
cers law, as amended by section 18 of part QQ of chapter 56 of the laws
of 2022, subparagraphs (b), (b-2) and (c) as separately amended by
section 8 of part QQ of chapter 56 of the laws of 2022, is amended to
read as follows:
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, describe the services rendered for
which compensation was paid including a general description of the prin-
cipal subject areas of matters undertaken by such individual and princi-
pal duties performed. Specifically state whether the reporting individ-
ual provides services directly to clients. 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 corpo-
ration.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) [APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN, 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 AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN:
S. 6263--A 11
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
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 contract in an amount totaling $50,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) 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 (iv) 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
commission on ethics and lobbying in government pursuant to section
ninety-four of the executive law, provided, however, that 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
entering public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):]
S. 6263--A 12
If the reporting individual receives income from employment reportable
in question 8(a) and personally provides services to any person or enti-
ty, or works as a member or employee of a partnership or corporation
that provides such services (referred to hereinafter as a "firm"), the
reporting individual shall identify each client or customer to whom the
reporting 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 in direct connection with:
(i) A contract in an amount totaling $10,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For such services rendered by the reporting individual directly to
each such client, describe each matter that was the subject of such
representation, the services actually provided and the payment received.
For payments received from clients referred to the firm by the reporting
individual, if the reporting individual directly received a referral fee
or fees for such referral, identify the client and the payment so
received. FOR THE PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES.
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
having knowingly solicited or directed 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 clauses (i) through (iv) of this subparagraph, as the result
of such procurement, solicitation or direction of the reporting individ-
ual. A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
Client Matter Nature of Services Provided Category
of Amount
(in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
[(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):]
(B-1) FOR THE PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES.
S. 6263--A 13
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five thou-
sand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services Category of Amount
Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article.
The disclosure requirement in questions (B) AND (b-1) [and (b-2)] shall
not require disclosing clients or customers receiving medical, pharma-
ceutical or dental services, mental health services, or residential real
estate brokering services from the reporting individual or his or her
firm or if federal law prohibits or limits disclosure. 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, family court,
estate planning, or domestic relations matters, nor shall the reporting
individual identify individuals represented pursuant to an insurance
S. 6263--A 14
policy but the reporting individual shall in such circumstances only
report the entity that provides compensation to the reporting individ-
ual; with respect to matters in which the client's name is required by
law to be kept confidential (such as matters governed by the family
court act) or in matters in which the reporting individual represents or
provides services to minors, the client's name may be replaced with
initials. To the extent that the reporting individual, or his or her
firm, provided legal representation with respect to an initial public
offering, and professional disciplinary rules, federal law or regu-
lations restrict the disclosure of information relating to such work,
the reporting individual shall (i) disclose the identity of the client
and the services provided relating to the initial public offering to the
office of court administration, who will maintain such information
confidentially in a locked box; and (ii) include in his or her response
to questions (B) AND (b-1) [and (b-2)] that pursuant to this paragraph,
a disclosure to the office of court administration has been made. Upon
such time that the disclosure of information maintained in the locked
box is no longer restricted by professional disciplinary rules, federal
law or regulation, the reporting individual shall disclose such informa-
tion in an amended disclosure statement in response to the disclosure
requirements in questions (B) AND (b-1) [and (b-2)]. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the
commission on ethics and [lobbyiing] LOBBYING in government pursuant to
section ninety-four of the executive law, or from the office of court
administration. In such application, the reporting individual shall
state the following: "My client is not currently receiving my services
or seeking my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 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."
In reviewing the request for an exemption, the commission on ethics
and lobbying in government or the office of court administration may
consult with bar or other professional associations and the legislative
ethics commission for individuals subject to its jurisdiction and may
consider the rules of professional conduct. In making its determination,
the commission on ethics and lobbying in government or the office of
court administration shall conduct its own inquiry and shall consider
factors including, but not limited to: (i) the nature and the size of
the client; (ii) whether the client has any business before the state;
and if so, how significant the business is; and whether the client has
any particularized interest in pending legislation and if so how signif-
icant the interest is; (iii) whether disclosure may reveal trade
secrets; (iv) whether disclosure could reasonably result in retaliation
against the client; (v) whether disclosure may cause undue harm to the
client; (vi) whether disclosure may result in undue harm to the attor-
S. 6263--A 15
ney-client relationship; and (vii) whether disclosure may result in an
unnecessary invasion of privacy to the client.
The commission on ethics and lobbying in government or, as the case
may be, the office of court administration shall promptly make a final
determination in response to such request, which shall include an expla-
nation for its determination. The office of court administration shall
issue its final determination within three days of receiving the
request. Notwithstanding any other provision of law or any professional
disciplinary rule to the contrary, the disclosure of the identity of any
client or customer in response to this question shall not constitute
professional misconduct or a ground for disciplinary action of any kind,
or form the basis for any civil or criminal cause of action or proceed-
ing. A reporting individual who first enters public office after January
first, two thousand sixteen, 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.
(c) [APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN:]
If the reporting individual receives income of ten 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 indi-
vidual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those 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 client,
the registered 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
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or his or her firm or if federal
law prohibits or limits disclosure. 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, family court, estate planning, or
domestic relations matters, nor shall the reporting individual identify
individuals represented pursuant to an insurance policy but the report-
ing individual shall in such circumstances only report the entity that
provides compensation to the reporting individual; with respect to
matters in which the client's name is required by law to be kept confi-
dential (such as matters governed by the family court act) or in matters
in which the reporting individual represents or provides services to
minors, the client's name may be replaced with initials. To the extent
that the reporting individual, or his or her firm, provided legal repre-
sentation with respect to an initial public offering, and federal law or
regulations restricts the disclosure of information relating to such
work, the reporting individual shall (i) disclose the identity of the
S. 6263--A 16
client and the services provided relating to the initial public offering
to the office of court administration, who will maintain such informa-
tion confidentially in a locked box; and (ii) include in his or her
response a statement that pursuant to this paragraph, a disclosure to
the office of court administration has been made. Upon such time that
the disclosure of information maintained in the locked box is no longer
restricted by federal law or regulation, the reporting individual shall
disclose such information in an amended disclosure statement in response
to the disclosure requirements of this paragraph. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the
commission on ethics and lobbying in government pursuant to section
ninety-four of the executive law, or from the office of court adminis-
tration. In such application, the reporting individual shall state the
following: "My client is not currently receiving my services or seeking
my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 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."
In reviewing the request for an exemption, the commission on ethics
and lobbying in government or the office of court administration may
consult with bar or other professional associations and the legislative
ethics commission for individuals subject to its jurisdiction and may
consider the rules of professional conduct. In making its determination,
the commission on ethics and lobbying in government or the office of
court administration shall conduct its own inquiry and shall consider
factors including, but not limited to: (i) the nature and the size of
the client; (ii) whether the client has any business before the state;
and if so, how significant the business is; and whether the client has
any particularized interest in pending legislation and if so how signif-
icant the interest is; (iii) whether disclosure may reveal trade
secrets; (iv) whether disclosure could reasonably result in retaliation
against the client; (v) whether disclosure may cause undue harm to the
client; (vi) whether disclosure may result in undue harm to the attor-
ney-client relationship; and (vii) whether disclosure may result in an
unnecessary invasion of privacy to the client.
The commission on ethics and lobbying in government or, as the case
may be, the office of court administration shall promptly make a final
determination in response to such request, which shall include an expla-
nation for its determination. The office of court administration shall
issue its final determination within three days of receiving the
request. Notwithstanding any other provision of law or any professional
disciplinary rule to the contrary, the disclosure of the identity of any
client or customer in response to this question shall not constitute
professional misconduct or a ground for disciplinary action of any kind,
or form the basis for any civil or criminal cause of action or proceed-
S. 6263--A 17
ing. A reporting individual who first enters public office after Decem-
ber thirty-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 Description Category of Amount
of Matter (in Table [1] I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(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 or domestic partner had an
investment in excess of $1,000 excluding investments in securities and
interests in real property.
§ 3. This act shall take effect July 8, 2022; provided, however, that
if part QQ of chapter 56 of the laws of 2022 shall not have taken effect
on or before such date then section two of this act shall take effect on
the same date and in the same manner as such part of such chapter of the
laws of 2022 takes effect.
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