2023 New York Laws › GMU - General Municipal › Article 18 - Conflicts of Interest of Municipal Officers and Employees › 812 - Financial Disclosure for Local Elected Officials and Certain Officers and Employees of Counties, Cities, Towns and Villages.

§  812.  Financial  disclosure for local elected officials and certain
officers and employees of counties, cities, towns and villages.
1. (a) Any political  subdivision  or  other  county,  city,  town  or
village  to  which  all  of  the  provisions  of  this  section are made
applicable, whether  as  the  result  of  the  provisions  contained  in
subdivision  two of section eight hundred eleven of this article or as a
result of an election to be subject to the provisions of this section as
permitted by subdivision two of this section, shall require (i) each  of
its  local elected officials and local officers and employees, (ii) each
local political party  official  and  (iii)  each  candidate  for  local
elected  official with respect to such political subdivision, to file an
annual statement of financial disclosure containing the information  and
in  the  form  set forth in subdivision five of this section except that
disclosure requirements for  assessors  who  are  not  covered  by  this
article  shall  be governed by the requirements of section three hundred
thirty-six of the real property tax law. Such statement shall  be  filed
on  or  before  the  fifteenth  day of May with respect to the preceding
calendar year, except that:
(i) a person who is subject to  the  reporting  requirements  of  this
subdivision  and  who  timely filed with the internal revenue service an
application for automatic extension of time in which to file his or  her
individual  income  tax return for the immediately preceding calendar or
fiscal  year  shall  be  required  to  file  such  financial  disclosure
statement on or before May fifteenth but may, without being subjected to
any  civil  penalty  on  account of a deficient statement, indicate with
respect to any item of the disclosure statement  that  information  with
respect  thereto  is  lacking  but  will  be supplied in a supplementary
statement of financial disclosure, which shall be filed on or before the
seventh day after  the  expiration  of  the  period  of  such  automatic
extension  of  time  within  which  to  file  such individual income tax
return,  provided  that  failure  to  file  or  to  timely   file   such
supplementary  statement  of  financial  disclosure  or the filing of an
incomplete or deficient supplementary statement of financial  disclosure
shall  be  subject  to the notice and penalty provisions of this section
respecting  annual  statements  of  financial  disclosure  as  if   such
supplementary statement were an annual statement;
(ii)  candidates  for  local  elected  official  who  file designating
petitions for nomination at a primary election shall file such statement
within seven days after the last day allowed by law for  the  filing  of
designating  petitions naming them as candidates for the next succeeding
primary election;
(iii) candidates for independent nomination for local elected official
who have not been designated by a party to receive  a  nomination  shall
file  such statement within seven days after the last day allowed by law
for the filing  of  independent  nominating  petitions  naming  them  as
candidates  for local elected official in the next succeeding general or
special or village election; and
(iv) candidates for local elected official who receive the  nomination
of  a  party  for  a special election or who receive the nomination of a
party  other  than  at  a  primary  election  (whether  or  not  for  an
uncontested  office)  shall  file such statement within seven days after
the date of the meeting  of  the  party  committee  at  which  they  are
nominated.
(b)  As used in this subdivision, the terms "party", "committee" (when
used in conjuction with the  term  "party"),  "designation",  "primary",
"primary election", "nomination", "independent nomination", "ballot" and
"uncontested  office" shall have the same meanings as those contained in
section 1-104 of the election law.
(c) Such statement shall  be  filed  with  the  appropriate  body,  as
defined in section eight hundred ten of this article.
(d)  The  appropriate body, as defined in section eight hundred ten of
this article, shall obtain from the "board of elections", as  such  term
is defined in section 1-104 of the election law, lists of all candidates
for  local  elected  official,  and from such lists, shall determine and
publish lists of those candidates who have not, within  ten  days  after
the  required  date  for  filing  such  statement,  filed  the statement
required by this subdivision.
(e) Local political party officials and any person  required  to  file
such  statement who commences employment after May fifteenth of any year
shall file such statement within thirty days after commencing employment
or of taking the position of local political party official, as the case
may be.
(f) A person who  is  subject  to  the  filing  requirements  of  both
subdivision  two  of  section seventy-three-a of the public officers law
and of this subdivision may satisfy the requirements of this subdivision
by  filing  a  copy  of  the  statement  filed   pursuant   to   section
seventy-three-a of the public officers law with the appropriate body, as
defined  in  section eight hundred ten of this article, on or before the
filing   deadline   provided   in    such    section    seventy-three-a,
notwithstanding   the   filing   deadline   otherwise  imposed  by  this
subdivision.
(g) A person who  is  subject  to  the  filing  requirements  of  this
subdivision  from  more  than  one political subdivision within the same
county may satisfy the requirements of this subdivision by  filing  only
one  annual  statement of financial disclosure with the appropriate body
(as is required in that county) for the county in which  such  political
subdivisions  are located or if such political subdivisions cross one or
more county boundary lines, then such single filing may be made for  any
of  the  counties in which one of such political subdivisions is located
provided, however, that the appropriate  bodies  (as  required  by  such
other  counties)  are  notified  of  the  name  of  the  county  of such
compliance by the person who is subjected to the filing requirements  of
this  subdivision,  within  the  time limit for filing specified in this
subdivision.
(h) A local elected official who is  simultaneously  a  candidate  for
local elected official shall satisfy the filing deadline requirements of
this  subdivision  by complying only with the deadline applicable to one
who holds such local elected office.
(i) A candidate whose name will appear on  both  a  party  designating
petition  and  on an independent nominating petition for the same office
or who will be listed on the election ballot for the  same  office  more
than  once  shall  satisfy  the  filing  deadline  requirements  of this
subdivision by complying with the earliest applicable deadline only.
2. The governing body of a county, city,  town  or  village  having  a
population  of  less  than  fifty thousand may by local law or ordinance
elect to be subject to the provisions of this section.  In  such  event,
any such city, county, town or village shall be deemed to be a political
subdivision under this section.
3. Any political subdivision or other county, city, town or village to
which all of the provisions of this section are made applicable, whether
as  a  result  of the provisions contained in subdivision two of section
eight hundred eleven of this article or as a result of an election to be
subject to the provisions of this section as  permitted  by  subdivision
two  of  this  section, may elect to remove itself from the ambit of all
(but not some) provisions of this section (other than this  subdivision)
by  adopting a local law, ordinance or resolution specifically referring

to the authority conferred by this subdivision. Provided, however,  that
the terms of such local law, ordinance or resolution shall be subject to
the following conditions and limitations:
(a)  Such  local  law,  ordinance  or  resolution must provide for the
promulgation of a form of an annual statement  of  financial  disclosure
described  in  subdivision  one  of section eight hundred eleven of this
article for use with respect to information the governing body  requires
to  be  reported for the calendar year next succeeding the year in which
such local law, ordinance or resolution is  adopted  and  for  use  with
respect  to  information required to be reported for subsequent calendar
years; and shall provide for the filing of completed statements with the
board of ethics of the political subdivision or other municipality.
(b) Such removal shall not be effective with  respect  to  the  annual
financial  disclosure statement for the calendar year in which the local
law, ordinance or resolution is adopted (the filing of  which  statement
is  due  on  May  fifteenth  of  the  next  succeeding year with certain
exceptions), nor shall such removal be effective  with  respect  to  any
required  annual  financial  disclosure  statement  for  the immediately
preceding calendar year (the filing of which statement  is  due  on  May
fifteenth  (with  certain exceptions) of the calendar year in which such
local law, ordinance or resolution is adopted), nor shall  such  removal
be  effective  with respect to any other preceding year but such removal
shall apply first to the statement which would  have  been  due  on  May
fifteenth  (with  certain exceptions) of the second year next succeeding
the year in which such local law, ordinance or  resolution  is  adopted,
and  such  removal  shall  apply  thereafter  to  subsequent  statements
otherwise due pursuant to this section.
(c) Such removal  shall  not  affect  the  power  to  impose,  or  the
imposition  of,  a  penalty for failure to file, or for false filing, of
any required annual financial disclosure statement.
(d) The local law, ordinance or resolution referred  to  in  paragraph
(a)  of  this  subdivision  or  any  other  such local law, ordinance or
resolution so adopted may make provision for any other right,  power  or
privilege  granted  by  subdivision  one  of  such section eight hundred
eleven.
4. Nothing contained in this section shall be construed as  precluding
the  governing body of a political subdivision from requiring additional
and/or more detailed items of financial disclosure than are set forth in
subdivision five hereinbelow.
5. The annual statement of  financial  disclosure  shall  contain  the
information and shall be in the form set forth hereinbelow:
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE FOR
Insert Name of Political Subdivision) - (For calendar year ________)
 
1. Name ________________________________________________________________
2. (a) Title of Position _______________________________________________
(b) Department, Agency or other Governmental Entity _________________
(c) Address of Present Office _______________________________________
(d) Office Telephone Number _________________________________________
3. (a) Marital  Status  ______________. If married, please give spouse's
full name including maiden name where applicable.
________________________________________ .
(b) List the names of all unemancipated children.
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
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; Category D -
$60,000 to under $100,000; Category E - $100,000 to  under  $250,000;
and  Category  F  -  $250,000  or  over. A reporting individual shall
indicate the Category by letter only.
For the purposes  of  this  statement,  anywhere  the  term  "local
agency"  shall appear such term shall mean a local agency, as defined
in section eight hundred ten of the general  municipal  law,  of  the
political  subdivision  for which this financial disclosure statement
has been filed.
 
4. (a) List  any  office,  trusteeship,  directorship,  partnership,  or
position  of  any  nature including honorary positions, if known, and
excluding membership positions, whether compensated or not,  held  by
the  reporting  individual  with  any firm, corporation, association,
partnership, or other organization other than the State of  New  York
or  (insert  name  of  political  subdivision).  If  said  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 including honorary positions, if known, and
excluding membership positions, whether compensated or not,  held  by
the  spouse  or unemancipated child of the reporting individual, with
any   firm,   corporation,   association,   partnership,   or   other
organization  other  than  the  State of New York. If said entity was
licensed by any state or local agency, was  regulated  by  any  state
regulatory  agency  or local agency, or, as a regular and significant
part of the business or activity of said entity, did  business  with,
or  had  matters  other than ministerial matters before, any state or
local agency, list the name of any such agency.
State or
Position             Organization                        Local Agency
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
 
5. (a) List  the  name,  address  and  description  of  any  occupation,
employment, trade, business or profession engaged in by the reporting
individual. If such activity was  licensed  by  any  state  or  local
agency, was regulated by any state regulatory agency or local agency,
or,  as a regular and significant part of the business or activity of
said entity, did business with, or had matters other than ministerial
matters before, any state or local agency, list the name of any  such
agency.
State or
Name & Address                          Local
Position       of Organization       Description       Agency
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
(b) If  the spouse 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 or local agency, or,  as
a  regular  and  significant part of the business or activity of said
entity, did business with, or  had  matters  other  than  ministerial
matters before, any state or local agency, list the name, address and
description  of  such  occupation,  employment,  trade,  business  or
profession and the name of any such agency.
State or
Name & Address                          Local
Position       of Organization       Description       Agency
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
 
6. List any interest, in excess of $1,000, excluding  bonds  and  notes,
held  by  the  reporting  individual,  such  individual's  spouse  or
unemancipated child, or partnership of which any  such  person  is  a
member,  or corporation, ten per centum or more of the stock of which
is owned  or  controlled  by  any  such  person,  whether  vested  or
contingent,  in  any  contract  made  or executed by a state or local
agency and include the name of the entity which holds  such  interest
and the relationship of the reporting individual or such individual's
spouse  or  such  child  to  such  entity  and  the  interest in such
contract. Do not list any interest in  any  such  contract  on  which
final  payment  has  been made and all obligations under the contract
except from guarantees and warranties have been performed,  provided,
however,  that  such  an interest must be listed if there has been an
ongoing dispute during the calendar year for which this statement  is
filed  with respect to any such guarantees or warranties. Do not list
any interest in a contract made or executed by a state  agency  after
public  notice and pursuant to a process for competitive bidding or a
process for competitive requests for proposals.
Entity        Relationship    Contracting     Category
Self,     Which Held       to Entity        State or         of
Spouse or   Interest in     and Interest       Local        Value of
Child      Contract       in Contract        Agency       Contract
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
 
7. List any position the reporting individual held as an officer of  any
political  party  or  political  organization,  as  a  member  of any
political 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
independent  body  as defined in the election law or any organization
that is affiliated with or a subsidiary of  a  party  or  independent
body.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
 
8. (a) If  the  reporting  individual  practices law, is licensed by the
department of state as a real estate broker or agent or  practices  a
profession  licensed  by  the department of education, give a general
description of the principal subject areas of matters  undertaken  by
such  individual.  Additionally, if such an individual practices with
a firm or corporation and is a partner or shareholder of the firm  or
corporation, give a general description of principal subject areas of
matters  undertaken by such firm or corporation. Do not list the name
of the individual clients, customers or patients.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
(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.
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
 
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  individual's
spouse  or  unemancipated  child from the same donor, excluding gifts
from a relative. Include the name and address of the donor. The  term
"gifts"  does  not  include  reimbursements, which term is defined in
item 10.  Indicate the value and nature of each such gift.
Category
Self,                                                           of
Spouse or      Name of                       Nature          Value of
Child           Donor         Address        of Gift           Gift
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
_____________________________________________________________________
 
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   political
subdivision  for  which  this statement has been filed, 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,
conferences, 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
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 relative.
Category
of
Identity                             Value*
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
_______________
* The  value  of  such interest shall be reported only if reasonably
ascertainable.
 
12. (a) Describe the  terms  of,  and  the  parties  to,  any  contract,
promise, 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
political subdivision for  which  this  statement  is  filed.  (This
includes   interests   in   or  contributions  to  a  pension  fund,
profit-sharing  plan,  or  life   or   health   insurance;   buy-out
agreements; 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  for  the  taxable  year  last occurring prior to the date of
filing.  Nature of income includes, but is not  limited  to,  salary
for  government employment, income from other 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,  clients  or
tenants,  with  the  aggregate  net  income  before  taxes  for each
building address or entity. The receipt of maintenance  received  in
connection  with  a  matrimonial  action,  alimony and child support
payments shall not be listed.
Category
Self/                                                of
Spouse         Source         Nature               Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
 
14. List  the  sources  of  any deferred income in excess of $1,000 from
each source to be paid to the  reporting  individual  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, partnership or
association through which the income  was  derived,  but  shall  not
identify individual clients.
Category
of
Source                                    Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
 
15. List each assignment of income in excess of $1000, and each transfer
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  $1000,  which
would  otherwise be required to be reported herein and is not or has
not been so reported.
Category
Item Assigned                 Assigned or                  of
or Transferred                Transferred to             Value
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
 
16. List below the type and market  value  of  securities  held  by  the
reporting  individual  or such individual's spouse from each issuing
entity in excess of $1,000 at the close of  the  taxable  year  last
occurring  prior  to  the  date of filing, including the name of the
issuing  entity  exclusive  of  securities  held  by  the  reporting
individual   issued  by  a  professional  corporation.  Whenever  an
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  has
transferred  assets  to  such  trust for his or her benefit in which
event  such  securities  shall  be  listed  unless  they   are   not
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  is  the  owner  of  record  but  in which such
individual or the reporting individual's spouse  has  no  beneficial
interest  shall  not  be listed. Indicate percentage of ownership if
the  reporting  person  or  the reporting person's spouse holds more
than five percent of the stock of a corporation in which  the  stock
is  publicly  traded  or  more  than  ten  percent 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 of the stock of which is owned or  controlled  by  the
reporting individual or such individual's spouse. For the purpose of
this  item the term "securities" shall mean bonds, mortgages, notes,
obligations, warrants and stocks of any class, investment  interests
in  limited or general partnerships and certificates of deposits 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.
Category of
Market Value as
of the close of
the taxable year
last occurring   Percentage
prior to the     of corporate
Self/       Issuing    Type of     filing of this   stock owned or
Spouse      Entity     Security    statement        controlled
__________  _________  __________  ______________   ______________
__________  _________  __________  ______________   ______________
__________  _________  __________  ______________   ______________
__________  _________  __________  ______________   ______________
__________  _________  __________  ______________   ______________
 
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.
Also   list  real  property  owned  for  investment  purposes  by  a
corporation more than fifty percent of the stock of which  is  owned
or  controlled  by  the  reporting  individual  or such individual's
spouse. Do not list any  real  property  which  is  the  primary  or
secondary  personal  residence  of  the  reporting individual or the
reporting individual's spouse, except where there is a co-owner  who
is other than a relative.
Self/                                           Category
Spouse/                                            of     Percentage
Other                    General  Acquisition    Market       of
Party    Location  Size  Nature      Date        Value    Ownership
______   ________  ____  ______   ___________  ________  ___________
______   ________  ____  ______   ___________  ________  ___________
______   ________  ____  ______   ___________  ________  ___________
______   ________  ____  ______   ___________  ________  ___________
______   ________  ____  ______   ___________  ________  ___________

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, 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  individual's  spouse or by any proprietorship,
partnership or corporation in which the reporting individual or such
individual's spouse has an interest, when incurred or  made  in  the
ordinary  course  of the trade, business or professional practice of
the reporting individual or such individual's  spouse.  Include  the
name  of  the creditor and any collateral pledged by such individual
to secure payment of any  such  liability.  A  reporting  individual
shall  not list any obligation to pay maintenance in connection with
a matrimonial action, alimony or child support  payments.  Revolving
charge  account  information  shall  only  be set forth if liability
thereon is in excess of $5,000 at  the  time  of  filing.  Any  loan
issued in the ordinary course of business by a financial institution
to   finance  educational  costs,  the  cost  of  home  purchase  or
improvements for a primary or secondary residence, or purchase of  a
personally  owned  motor  vehicle, household furniture or appliances
shall be  excluded.  If  any  such  reportable  liability  has  been
guaranteed  by  any  third  person,  list the liability and name the
guarantor.
Category
Name of Creditor      Type of Liability              of
or Guarantor        and Collateral, if any         Amount
__________________ ____________________________ __________________
__________________ ____________________________ __________________
__________________ ____________________________ __________________
__________________ ____________________________ __________________
__________________ ____________________________ __________________
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)
6.  A reporting individual who knowingly and wilfully fails to file an
annual statement of financial disclosure or who knowingly  and  wilfully
with  intent  to  deceive  makes  a false statement or gives information
which such individual knows to be false on such statement  of  financial
disclosure  filed  pursuant  to  this  section shall be assessed a civil
penalty in an amount not to exceed ten thousand dollars. Assessment of a
civil penalty hereunder shall be made by the appropriate body,  as  such
term  is  defined  in  section  eight hundred ten of this article. For a
violation of this subdivision, other than for conduct which  constitutes
a violation of subdivision twelve of section seventy-three of the public
officers  law, the board of ethics of the political subdivision or other
municipality may, in lieu of a civil penalty, refer a violation  to  the
appropriate  prosecutor  and  upon  such conviction, but only after such
referral, such violation shall be punishable as a class A misdemeanor. A
civil penalty for false filing may not be imposed hereunder in the event
a category of "value" or "amount" reported hereunder is incorrect unless
such reported information is falsely  understated.  Notwithstanding  any
other  provision  of  law  to  the  contrary, no other penalty, civil or
criminal may be imposed for a failure to file, or for a false filing, of
such  statement,  except  that  the  appointing  authority  may   impose
disciplinary action as otherwise provided by law. Each appropriate body,
as  such  term  is defined in section eight hundred ten of this article,
shall adopt rules governing the conduct of adjudicatory proceedings  and
appeals  relating  to  the  assessment  of  the  civil  penalties herein
authorized.  Such  rules  shall  provide  for  due  process   procedural
mechanisms  substantially similar to those set forth in article three of
the state administrative procedure act but such mechanisms need  not  be
identical  in  terms  or  scope.  Assessment of a civil penalty shall be
final unless modified,  suspended  or  vacated  within  thirty  days  of
imposition  and  upon  becoming  final shall be subject to review at the
instance of the affected reporting individual in a proceeding  commenced
against  the  appropriate body, pursuant to article seventy-eight of the
civil practice law and rules.