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2003 SESSION
Be it enacted by the General Assembly of Virginia:
1. That § 30-111 of the Code of Virginia is amended and reenacted as follows:
§ 30-111. Disclosure form.
A. The disclosure form to be used for filings required by subsections A and B of § 30-110 shall be substantially as follows:
STATEMENT OF ECONOMIC INTERESTS. Name .............................................................. Office or position held or sought ................................. Home address ...................................................... Names of members of immediate family .............................. DEFINITIONS AND EXPLANATORY MATERIAL. "Immediate family" means (i) a spouse and (ii) any other person residing in the same household as the legislator, who is a dependent of the legislator or of whom the legislator is a dependent. "Dependent" means any person, whether or not related by blood or marriage, who receives from the legislator, or provides to the legislator, more than one-half of his financial support. "Business" means a corporation, partnership, sole proprietorship, firm, enterprise, franchise, association, trust or foundation, or any other individual or entity carrying on a business or profession, whether or not for profit.
"Close financial association" does not mean an association based on the receipt of retirement benefits or deferred compensation from a business by which the legislator is no longer employed. "Close financial association" does not include an association based on the receipt of compensation for work performed by the legislator as an independent contractor of a business that represents an entity before any state governmental agency when the legislator has had no communications with the state governmental agency. "Gift" means any gratuity, favor, discount, entertainment, hospitality, loan, forbearance, or other item having monetary value. It includes services as well as gifts of transportation, local travel, lodgings and meals, whether provided in-kind, by purchase of a ticket, payment in advance or reimbursement after the expense has been incurred. "Gift" shall not include any offer of a ticket or other admission or pass unless the ticket, admission, or pass is used. "Gift" shall not include honorary degrees and presents from relatives. "Relative" means the donee's spouse, child, uncle, aunt, niece, or nephew; a person to whom the donee is engaged to be married; the donee's or his spouse's parent, grandparent, grandchild, brother, or sister; or the donee's brother's or sister's spouse. "Lobbyist relationship" means (i) an engagement, agreement, or representation that relates to legal services, consulting services, or public relations services, whether gratuitous or for compensation, between a member or member-elect and any person who is, or has been within the prior calendar year, registered as a lobbyist with the Secretary of the Commonwealth, or (ii) a greater than three percent ownership interest by a member or member- elect in a business that employs, or engages as an independent contractor, any person who is, or has been within the prior calendar year, registered as a lobbyist with the Secretary of the Commonwealth. The disclosure of a lobbyist relationship shall not (i) constitute a waiver of any attorney-client or other privilege, (ii) require a waiver of any attorney-client or other privilege for a third party, or (iii) be required where a member or member-elect is employed or engaged by a person and such person also employs or engages a person in a lobbyist relationship so long as the member or member-elect has no financial interest in the lobbyist relationship. TRUST. If you or your immediate family, separately or together, are the only beneficiaries of a trust, treat the trust's assets as if you own them directly. If you or your immediate family has a proportional interest in a trust, treat that proportion of the trust's assets as if you own them directly. For example, if you and your immediate family have a one-third interest in a trust, complete your Statement as if you own one-third of each of the trust's assets. If you or a member of your immediate family created a trust and can revoke it without the beneficiaries' consent, treat its assets as if you own them directly. REPORT TO THE BEST OF INFORMATION AND BELIEF. Information required on this Statement must be provided on the basis of the best knowledge, information and belief of the individual filing the Statement as of the date of this report unless otherwise stated. COMPLETE ITEMS 1 THROUGH 10. REFER TO SCHEDULES ONLY IF DIRECTED. You may attach additional explanatory information. 1. Offices and Directorships. Are you or a member of your immediate family a paid officer or paid director of a business? EITHER check NO / / OR check YES / / and complete Schedule A. 2. Personal Liabilities. Do you or a member of your immediate family owe more than $10,000 to any one creditor including contingent liabilities? (Exclude debts to any government and loans secured by recorded liens on property at least equal in value to the loan.) EITHER check NO / / OR check YES / / and complete Schedule B. 3. Securities. Do you or a member of your immediate family, directly or indirectly, separately or together, own securities valued in excess of $10,000 invested in one business? Account for mutual funds, limited partnerships and trusts. EITHER check NO / / OR check YES / / and complete Schedule C. 4. Payments for Talks, Meetings, and Publications. During the past 12 months did you receive lodging, transportation, money, or anything else of value with a combined value exceeding $200 for a single talk, meeting, or published work in your capacity as a legislator? EITHER check NO / / OR check YES / / and complete Schedule D. 5. Gifts. During the past 12 months did a business, government, or individual other than a relative or personal friend (i) furnish you with any gift or entertainment at a single event, and the value received by you exceeded $50 in value or (ii) furnish you
with gifts or entertainment in any combination and the value
received by you exceeded $100 in total value; and for
which you neither paid nor rendered services in exchange? Account for entertainment events only if the average value
per person attending the event exceeded $50 in value.
Account for all business entertainment (except if related to
your private profession or occupation) even if unrelated
to your official duties. EITHER check NO / / OR check YES / / and complete Schedule E. 6. Salary and Wages. List each employer that pays you or a member of your immediate family salary or wages in excess of $10,000 annually. (Exclude state or local government or advisory agencies.) If no reportable salary or wages, check here / /. .............................................................. .............................................................. .............................................................. 7. Business Interests and Lobbyist Relationships. 7A. Do you or a member of your immediate family, separately or together, operate your own business, or own or control an interest in excess of $10,000 in a business? EITHER check NO / / OR check YES / / and complete Schedule F-1. 7B. Do you have a lobbyist relationship as that term is defined above? EITHER check NO / / OR check YES / / and complete Schedule F-2. 8. Payments for Representation and Other Services. 8A. Did you represent any businesses before any state governmental agencies, excluding courts or judges, for which you received total compensation during the past 12 months in excess of $1,000, excluding compensation for other services to such businesses and representation consisting solely of the filing of mandatory papers and subsequent representation regarding the mandatory papers? EITHER check NO / / OR check YES / / and complete Schedule G-1. 8B. Subject to the same exceptions as in 8A, did persons with whom you have a close financial association (partners, associates or others) represent any businesses before any state governmental agency for which total compensation was received during the past 12 months in excess of $1,000? EITHER check NO / / OR check YES / / and complete Schedule G-2. 8C. Did you or persons with whom you have a close financial association furnish services to businesses operating in Virginia for which total compensation in excess of $1,000 was received during the past 12 months? EITHER check NO / / OR check YES / / and complete Schedule G-3. 9. Real Estate. Do you or a member of your immediate family hold an interest, including a partnership interest, valued at $10,000 or more in real property (other than your principal residence) for which you have not already listed the full address on Schedule F? Account for real estate held in trust. EITHER check NO / / OR check YES / / and complete Schedule H. 10. Real Estate Contracts with State Governmental Agencies. Do you or a member of your immediate family hold an interest valued at more than $10,000 in real estate, including a corporate, partnership, or trust interest, option, easement, or land contract, which real estate is the subject of a contract, whether pending or completed within the past 12 months, with a state governmental agency? If the real estate contract provides for the leasing of the property to a state governmental agency, do you or a member of your immediate family hold an interest in the real estate, including a corporate, partnership, or trust interest, option, easement, or land contract valued at more than $1,000? Account for all such contracts whether or not your interest is reported in Schedule F or H. This requirement to disclose an interest in a lease does not apply to an interest derived through an ownership interest in a business unless the ownership interest exceeds three percent of the total equity of the business. EITHER check NO / / OR check YES / / and complete Schedule I. Statements of Economic Interests are open for public inspection. AFFIRMATION. In accordance with the rules of the house in which I serve, if I receive a request that this disclosure statement be corrected, augmented, or revised in any respect, I hereby pledge that I shall respond promptly to the request. I understand that if a determination is made that the statement is insufficient, I will satisfy such request or be subjected to disciplinary action of my house. I swear or affirm that the foregoing information is full, true and correct to the best of my knowledge. Signature ........................................................ Commonwealth of Virginia .......... of .......... to wit: The foregoing disclosure form was acknowledged before me This .......... day of .........., 20. . ., by ..................., Notary Public My commission expires ............................................ (Return only if needed to complete Statement.) SCHEDULES TO STATEMENT OF ECONOMIC INTERESTS. NAME .............................. SCHEDULE A - OFFICES AND DIRECTORSHIPS. Identify each business of which you or a member of your immediate family is a paid officer or paid director. ------------------------------------------------------------------- ------------------------------------------------------------------- Name of Business Address of Business Position Held ................ ................... ................ ................ ................... ................ ................ ................... ................ ................ ................... ................ ------------------------------------------------------------------- ------------------------------------------------------------------- RETURN TO ITEM 2 SCHEDULE B - PERSONAL LIABILITIES. Report personal liability by checking each category. Report only debts in excess of $10,000. Do not report debts to any government. Do not report loans secured by recorded liens on property at least equal in value to the loan.
Report contingent liabilities below and indicate which debts are contingent. 1. My personal debts are as follows: ------------------------------------------------------------------- ------------------------------------------------------------------- Check Check one appropriate $10,001 to More than categories $50,000 $50,000 Banks .......... ......... Savings institutions .......... ......... Other loan or finance companies .......... ......... Insurance companies .......... ......... Stock, commodity or other brokerage companies .......... ......... Other businesses: (State principal business activity for each creditor.) .......... ......... .................................. .......... ......... .................................. .......... ......... Individual creditors: (State principal business or occupation of each creditor.) .......... ......... .................................. .......... ......... .................................. .......... ......... ------------------------------------------------------------------- ------------------------------------------------------------------- 2. The personal debts of the members of my immediate family are as follows: ------------------------------------------------------------------- ------------------------------------------------------------------- Check Check one appropriate $10,001 to More than categories $50,000 $50,000 Banks ......... ......... Savings institutions ......... ......... Other loan or finance companies ......... ......... Insurance companies ......... ......... Stock, commodity or other brokerage companies ......... ......... Other businesses: (State principal business activity for each creditor.) ......... ......... ........................................... ......... ......... ........................................... ......... ......... Individual creditors: (State principal business or occupation of each creditor.) ......... ......... ........................................... ......... ......... ........................................... ......... ......... ------------------------------------------------------------------- ------------------------------------------------------------------- RETURN TO ITEM 3 SCHEDULE C - SECURITIES. "Securities" INCLUDES stocks, bonds, "Securities" EXCLUDES mutual funds, limited partnerships, certificates of deposit, and commodity futures contracts. money market funds, annuity contracts, and insurance policies. Identify each business or Virginia governmental entity in which you or a member of your immediate family, directly or indirectly, separately or together, own securities valued in excess of $10,000. Do not list U.S. Bonds or other government securities not issued by the Commonwealth of Virginia or its authorities, agencies, or local governments. Do not list organizations that do not do business in this Commonwealth, but most major businesses conduct business in Virginia. Account for securities held in trust. If no reportable securities, check here / /. ------------------------------------------------------------------- ------------------------------------------------------------------- Type of Security Check one (stocks, bonds, $10,001 More Type of mutual funds, to than Name of Issuer Entity etc.) $50,000 $50,000 .............. ........ .................... .......... ....... .............. ........ .................... .......... ....... .............. ........ .................... .......... ....... .............. ........ .................... .......... ....... ------------------------------------------------------------------- ------------------------------------------------------------------- RETURN TO ITEM 4 SCHEDULE D - PAYMENTS FOR TALKS, MEETINGS, AND PUBLICATIONS. List each source from which you received during the past 12 months lodging, transportation, money, or any other thing of value (excluding meals or drinks coincident with a meeting) with combined value exceeding $200 for your presentation of a single talk, participation in one meeting, or publication of a work in your capacity as a legislator. List payments or reimbursements by the Commonwealth only for meetings or travel outside the Commonwealth. List a payment even if you donated it to charity. Do not list information about a payment if you returned it within 60 days or if you received it from an employer already listed under Item 6 or from a source of income listed on Schedule F. If no payment must be listed, check here / /. ------------------------------------------------------------------- ------------------------------------------------------------------- Type of Payment (e.g. Honoria, Travel reim- Payer Approximate Value Circumstances bursement, etc.) ......... ................. ............. ................ ......... ................. ............. ................ ......... ................. ............. ................ ......... ................. ............. ................ ------------------------------------------------------------------- ------------------------------------------------------------------- RETURN TO ITEM 5 SCHEDULE E - GIFTS. List each business, governmental entity, or individual that, during the past 12 months, (i) furnished you with any gift or entertainment at a single event and the value received by you exceeded $50 in value, or (ii) furnished you with gifts or entertainment in any combination and the value received by you exceeded $100 in total value; and for which you neither paid nor rendered services in exchange. List each such gift or event. Do not list entertainment events unless the average value per person attending the event exceeded $50 in value. Do not list business entertainment related to your private profession or occupation. Do not list gifts or other things of value given by a relative or personal friend for reasons clearly unrelated to your public position. Do not list campaign contributions publicly reported as required by Chapter 9 (§ 24.2-900 et seq.) of Title 24.2 of the Code of Virginia. ------------------------------------------------------------------- ------------------------------------------------------------------- Name of Business, City or Organization, or County Gift or Individual and State Event Approximate Value ................ ........... ........... ................. ................ ........... ........... ................. ................ ........... ........... ................. ................ ........... ........... ................. ------------------------------------------------------------------- ------------------------------------------------------------------- RETURN TO ITEM 6 SCHEDULE F-1 - BUSINESS INTERESTS. Complete this Schedule for each self-owned or family-owned business (including rental property, a farm, or consulting work), partnership, or corporation in which you or a member of your immediate family, separately or together, own an interest having a value in excess of $10,000. If the enterprise is owned or operated under a trade, partnership, or corporate name, list that name; otherwise, merely explain the nature of the enterprise. If rental property is owned or operated under a trade, partnership, or corporate name, list the name only; otherwise, give the address of each property. Account for business interests held in trust. ------------------------------------------------------------------- ------------------------------------------------------------------- Name of Business, Gross Income Corporation, Partnership, Nature of Enterprise $50,000 More Farm; Address City or (farming, law, rental or than of Rental County and property, etc.) less $50,000 Property State .............. ........... .................. ....... ....... .............. ........... .................. ....... ....... .............. ........... .................. ....... ....... .............. ........... .................. ....... ....... ------------------------------------------------------------------- ------------------------------------------------------------------- RETURN TO ITEM 8 SCHEDULE F-2 - LOBBYIST RELATIONSHIPS. Complete this Schedule for each lobbyist relationship with the following: (i) any person who is, or has been within the prior calendar year, registered as a lobbyist with the Secretary of the Commonwealth, or (ii) any business in which you have a greater than three percent ownership interest and that business employs, or engages as an independent contractor, any person who is, or has been within the prior calendar year, registered as a lobbyist with the Secretary of the Commonwealth. ------------------------------------------------------------------ ------------------------------------------------------------------- List each person Describe each Dates of or business relationship relationship .................... .................... ................ .................... .................... ................ .................... .................... ................ .................... .................... ................ .................... .................... ................ ------------------------------------------------------------------- -------------------------------------------------------------------
THE DISCLOSURE OF A LOBBYIST RELATIONSHIP SHALL NOT (I) CONSTITUTE A WAIVER OF ANY ATTORNEY-CLIENT OR OTHER PRIVILEGE, (II) REQUIRE A WAIVER OF ANY ATTORNEY-CLIENT OR OTHER PRIVILEGE FOR A THIRD PARTY, OR (III) BE REQUIRED WHERE A MEMBER OR MEMBER-ELECT IS EMPLOYED OR ENGAGED BY A PERSON AND SUCH PERSON ALSO EMPLOYS OR ENGAGES A PERSON IN A LOBBYIST RELATIONSHIP SO LONG AS THE MEMBER OR MEMBER-ELECT HAS NO FINANCIAL INTEREST IN THE LOBBYIST RELATIONSHIP. SCHEDULE G-1 - PAYMENTS FOR REPRESENTATION BY YOU. List the businesses you represented before any state governmental agency, excluding any court or judge, for which you received total compensation during the past 12 months in excess of $1,000, excluding compensation for other services to such businesses and representation consisting solely of the filing of mandatory papers and subsequent representation regarding the mandatory papers filed by you. Identify each business, the nature of the representation and the amount received by dollar category from each such business. You may state the type, rather than name, of the business if you are required by law not to reveal the name of the business represented by you. ------------------------------------------------------------------- ------------------------------------------------------------------- Name Type Pur- Name Amount Received of of pose of Busi- Busi- of Agen- ness ness Repre- cy $1,001 $10,001 $50,001 $100,001 $250,001 senta- to to to to and tion $10,000 $50,000 $100,000 $250,000 over .... .... .... ..... ....... ....... ........ ........ ........ .... .... .... ..... ....... ....... ........ ........ ........ .... .... .... ..... ....... ....... ........ ........ ........ .... .... .... ..... ....... ....... ........ ........ ........ ------------------------------------------------------------------- ------------------------------------------------------------------- SCHEDULE G-2 - PAYMENTS FOR REPRESENTATION BY ASSOCIATES. List the businesses that have been represented before any state governmental agency, excluding any court or judge, by persons who are your partners, associates or others with whom you have a close financial association and who received total compensation in excess of $1,000 for such representation during the past 12 months, excluding representation consisting solely of the filing of mandatory papers and subsequent representation regarding the mandatory papers filed by your partners, associates or others with whom you have a close financial association. Identify such businesses by type and also name the state governmental agencies before which such person appeared on behalf of such businesses. ------------------------------------------------------------------- ------------------------------------------------------------------- Type of Business Name of State Governmental Agency
.................... .................................... .................... .................................... .................... .................................... ------------------------------------------------------------------- ------------------------------------------------------------------- SCHEDULE G-3 - PAYMENTS FOR REPRESENTATION AND OTHER SERVICES GENERALLY. Indicate below types of businesses that operate in Virginia to which services were furnished by you or persons with whom you have a close financial association and for which total compensation in excess of $1,000 was received during the past 12 months. Identify opposite each category of businesses listed below (i) the type of business, (ii) the type of service rendered and (iii) the value by dollar category of the compensation received for all businesses falling within each category. ------------------------------------------------------------------- ------------------------------------------------------------------- Check Type Value of Compensation if of ser- ser- vices vice were ren- $1,001 $10,001 $50,001 $100,001 $250,001 ren- dered to to to to and dered $10,000 $50,000 $100,000 $250,000 over Electric utilities ..... ..... ....... ....... ........ ........ ........ Gas util- ities ..... ..... ....... ....... ........ ........ ........ Telephone utilities ..... ..... ....... ....... ........ ........ ........ Water util- ities ..... ..... ....... ....... ........ ........ ........ Cable tele- vision companies ..... ..... ....... ....... ........ ........ ........ Interstate
transporta- tion com- panies ..... ..... ....... ....... ........ ........ ........ Intrastate transporta- tion com- panies ..... ..... ....... ....... ........ ........ ........ Oil or gas retail com- panies ..... ..... ....... ....... ........ ........ ........ Banks ..... ..... ....... ....... ........ ........ ........ Savings insti- tutions ..... ..... ....... ....... ........ ........ ........ Loan or fi- nance com- panies ..... ..... ....... ....... ........ ........ ........ Manufac- turing com- panies (state type of product, e.g., tex- tile, furni- ture, etc.) .... ..... ....... ....... ........ ........ ........ Mining com- panies ..... ..... ....... ....... ........ ........ ........ Life insur- ance com- panies ..... ..... ....... ....... ........ ........ ........ Casualty in- surance com- panies ..... ..... ....... ....... ........ ........ ........ Other insur- ance com- panies ..... ..... ....... ....... ........ ........ ........ Retail com- panies ..... ..... ....... ....... ........ ........ ........ Beer, wine or liquor companies or distrib- tors ..... ..... ....... ....... ........ ........ ........ Trade asso- ciations ..... ..... ....... ....... ........ ........ ........ Profes- sional asso- ciations ..... ..... ....... ....... ........ ........ ........ Associa- tions of public em- ployees or officials ..... ..... ....... ....... ........ ........ ........ Counties, cities or towns ..... ..... ....... ....... ........ ........ ........ Labor or-
ganizations..... ..... ....... ....... ........ ........ ........ Other ..... ..... ....... ....... ........ ........ ........ ------------------------------------------------------------------- ------------------------------------------------------------------- RETURN TO ITEM 9 SCHEDULE H - REAL ESTATE. List real estate other than your principal residence in which you or a member of your immediate family holds an interest, including a partnership interest, option, easement, or land contract, valued at $10,000 or more. You may list each parcel of real estate individually if you wish. ------------------------------------------------------------------- ------------------------------------------------------------------- List each location Describe the type of If the real estate (state, and county real estate you own is owned or recorded or city) where you in each location in a name other than own real estate. (business, recreational, your own, list that apartment, commercial, name. open land, etc.). .................. ........................ .................... .................. ........................ .................... .................. ........................ .................... .................. ........................ .................... .................. ........................ .................... ------------------------------------------------------------------- ------------------------------------------------------------------- RETURN TO ITEM 10 SCHEDULE I - REAL ESTATE CONTRACTS WITH STATE GOVERNMENTAL AGENCIES. List all contracts, whether pending or completed within the past 12 months, with a state governmental agency for the sale or exchange of real estate in which you or a member of your immediate family holds an interest, including a corporate, partnership or trust interest, option, easement, or land contract, valued at $10,000 or more. List all contracts with a state governmental agency for the lease of real estate in which you or a member of your immediate family holds such an interest valued at $1,000 or more. This requirement to disclose an interest in a lease does not apply to an interest derived through an ownership interest in a business unless the ownership interest exceeds three percent of the total equity of the business. ------------------------------------------------------------------- ------------------------------------------------------------------- List your real List each State the annual estate interest and governmental agency income from the the person or entity, which is a party to contract, and the including the type of the contract and amount, if any, entity, which is indicate the county of income you or party to the contract. or city where the any immediate Describe any real estate is family member management role and located. derives annually the percentage from the contract. ownership interest you or your immediate family member has in the real estate or entity. .................... ..................... ................ .................... ..................... ................ .................... ..................... ................ .................... ..................... ................ .................... ..................... ................ ------------------------------------------------------------------- -------------------------------------------------------------------
B. Any legislator who makes a knowing misstatement of a material fact on the Statement of Economic Interests shall be subject to disciplinary action for such violations by the house in which the legislator sits.
C. In accordance with the rules of each house, the Statement of Economic Interests of all members of each house shall be reviewed. If a legislator's Statement is found to be inadequate as filed, the legislator shall be notified in writing and directed to file an amended Statement correcting the indicated deficiencies, and a time shall be set within which such amendment shall be filed. If the Statement of Economic Interests, in either its original or amended form, is found to be adequate as filed, the legislator's filing shall be deemed in full compliance with this section as to the information disclosed thereon.
D. Ten percent of the membership of a house, on the basis of newly discovered facts, may in writing request the house in which those members sit, in accordance with the rules of that house, to review the Statement of Economic Interests of another member of that house in order to determine the adequacy of his filing. In accordance with the rules of each house, each Statement of Economic Interests shall be promptly reviewed, the adequacy of the filing determined, and notice given in writing to the legislator whose Statement is in issue. Should it be determined that the Statement requires correction, augmentation or revision, the legislator involved shall be directed to make the changes required within such time as shall be set under the rules of each house.
If a legislator, after having been notified in writing in accordance with the rules of the house in which he sits that his Statement is inadequate as filed, fails to amend his Statement so as to come into compliance within the time limit set, he shall be subject to disciplinary action by the house in which he sits. No legislator shall vote on any question relating to his own Statement.