S. 6159 2
THE COMMISSION BY VIRTUE OF THEIR EDUCATION, TRAINING OR EXPERIENCE IN
ONE OR MORE OF THE FOLLOWING DISCIPLINES: LEGISLATIVE, JUDICIAL, ADMIN-
ISTRATIVE OR PROFESSIONAL ETHICS; BUSINESS; LAW; AND/OR ACADEMICS. FIVE
MEMBERS OF THE COMMISSION SHALL BE APPOINTED AS FOLLOWS: ONE BY THE
GOVERNOR, ONE BY THE ATTORNEY GENERAL, ONE BY THE STATE COMPTROLLER, ONE
BY THE CHIEF JUDGE OF THE COURT OF APPEALS AND ONE BY THE CHAIRMAN OF
THE COMMISSION ON PUBLIC INTEGRITY. THE CHAIR OF THE LEGISLATIVE ETHICS
COMMISSION SHALL BE jointly DESIGNATED by the speaker of the assembly
and [majority leader] THE TEMPORARY PRESIDENT of the senate FROM AMONGST
THE FIVE MEMBERS APPOINTED BY THE GOVERNOR, ATTORNEY GENERAL, STATE
COMPTROLLER, CHIEF JUDGE OF THE COURT OF APPEALS AND CHAIRMAN OF THE
COMMISSION ON PUBLIC INTEGRITY. NO MORE THAN FIVE MEMBERS OF THE COMMIS-
SION SHALL BELONG TO THE SAME POLITICAL PARTY. The commission shall
serve as described in this section and have and exercise the powers and
duties set forth in this section only with respect to members of the
legislature, legislative employees as defined in section seventy-three
of the public officers law, candidates for member of the legislature and
individuals who have formerly held such positions or who have formerly
been such candidates.
2. [Members of the legislature who serve on the commission shall each
have a two year term concurrent with their legislative terms of office.]
The members of the commission [who are not members of the legislature
and] who are first appointed, AFTER THE EFFECTIVE DATE OF THE CHAPTER OF
THE LAWS OF TWO THOUSAND NINE WHICH AMENDED THIS SECTION, by the tempo-
rary president of the senate, speaker of the assembly, minority leader
of the senate, and minority leader of the assembly shall serve one, two,
three and four year terms, respectively. THE MEMBERS OF THE COMMISSION
WHO ARE FIRST APPOINTED, AFTER THE EFFECTIVE DATE OF THE CHAPTER OF THE
LAWS OF TWO THOUSAND NINE WHICH AMENDED THIS SECTION, BY THE GOVERNOR,
ATTORNEY GENERAL, STATE COMPTROLLER, CHIEF JUDGE OF THE COURT OF APPEALS
AND THE CHAIRMAN OF THE COMMISSION ON PUBLIC INTEGRITY SHALL SERVE TERMS
OF FOUR YEARS. The [member] CHAIR of the commission [first appointed]
DESIGNATED jointly by the TEMPORARY president of the senate and speaker
of the assembly shall serve a four year term AS CHAIR. Each member of
the commission [who is not a member of the legislature] shall be
appointed thereafter for a term of four years.
3. [The temporary president of the senate and the speaker of the
assembly shall each designate one member of the commission as a
co-chairperson thereof.] The commission shall meet at least bi-monthly
and at such additional times as may be called for by the [co-chairper-
sons jointly] CHAIR or any five members of the commission.
4. Any vacancy occurring on the commission shall be filled within
thirty days by the appointing authority.
5. Five members of the commission shall constitute a quorum, and the
commission shall have power to act by majority vote of the total number
of members of the commission without vacancy.
6. The members of the commission shall be reimbursed for reasonable
expenses incurred in the performance of their official duties.
7. The commission shall:
a. Appoint an executive director who shall act in accordance with the
policies of the commission;
b. Appoint such other staff as are necessary to assist it to carry out
its duties under this section;
c. Adopt, amend, and rescind policies, rules and regulations consist-
ent with this section to govern procedures of the commission which shall
S. 6159 3
[not] be subject to the promulgation and hearing requirements of the
state administrative procedure act;
d. Administer the provisions of this section;
e. Specify the procedures whereby a person who is required to file an
annual financial disclosure statement with the commission may request an
additional period of time within which to file such statement, due to
justifiable cause or undue hardship; such rules or regulations shall
provide for a date beyond which in all cases of justifiable cause or
undue hardship no further extension of time will be granted;
f. Promulgate guidelines to assist appointing authorities in determin-
ing which persons hold policy-making positions for purposes of section
seventy-three-a of the public officers law and may promulgate guidelines
to assist firms, associations and corporations in separating affected
persons from net revenues for purposes of subdivision ten of section
seventy-three of the public officers law, and promulgate guidelines to
assist any firm, association or corporation in which any present or
former statewide elected official, state officer or employee, member of
the legislature or legislative employee, or political party chairman is
a member, associate, retired member, of counsel or shareholder, in
complying with the provisions of subdivision ten of section seventy-
three of the public officers law with respect to the separation of such
present or former statewide elected official, state officer or employee,
member of the legislature or legislative employee, or political party
chairman from the net revenues of the firm, association or corporation.
Such firm, association or corporation shall not be required to adopt the
procedures contained in the guidelines to establish compliance with
subdivision ten of section seventy-three of the public officers law, but
if such firm, association or corporation does adopt such procedures, it
shall be deemed to be in compliance with such subdivision ten;
g. Make available forms for financial disclosure statements required
to be filed pursuant to subdivision six of section seventy-three and
section seventy-three-a of the public officers law;
h. Review financial disclosure statements in accordance with the
provisions of this section, provided however, that the commission may
delegate all or part of the review function relating to financial
disclosure statements filed by MEMBERS OF THE LEGISLATURE AND legisla-
tive employees pursuant to sections seventy-three and seventy-three-a of
the public officers law to the executive director who shall be responsi-
ble for completing staff review of such statements in a manner consist-
ent with the terms of the commission's delegation;
i. [Permit any person required to file a financial disclosure state-
ment to request the commission to delete from the copy thereof made
available for public inspection and copying one or more items of infor-
mation, which may be deleted by the commission upon a finding that the
information which would otherwise be required to be disclosed will have
no material bearing on the discharge of the reporting person's official
duties;
j. Permit any person required to file a financial disclosure statement
to request an exemption from any requirement to report one or more items
of information which pertain to such person's spouse or unemancipated
children which item or items may be exempted by the commission upon a
finding that the reporting individual's spouse, on his or her own behalf
or on behalf of an unemancipated child, objects to providing the infor-
mation necessary to make such disclosure and that the information which
would otherwise be required to be reported will have no material bearing
on the discharge of the reporting person's official duties;
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k.] Advise and assist the legislature in establishing rules and regu-
lations relating to possible conflicts between private interests and
official duties of present members of the legislature and legislative
employees;
[l.] J. Receive and act PURSUANT TO ARTICLE THREE OF THE STATE ADMIN-
ISTRATIVE PROCEDURE ACT on complaints regarding persons subject to its
jurisdiction alleging a possible violation of section seventy-three,
seventy-three-a or seventy-four of the public officers law, and conduct
such investigations and proceedings as are authorized and necessary to
carry out the provisions of this section. In connection with such inves-
tigations, the commission may administer oaths or affirmations, subpoena
witnesses, compel their attendance and require the production of any
books or records which it may deem relevant or material;
[m.] K. Accept and act upon, as if it were a sworn complaint, any
referral from another state oversight body indicating that a violation
of section seventy-three, SEVENTY-THREE-A or seventy-four of the public
officers law may have occurred involving persons subject to the juris-
diction of the commission;
[n.] L. Upon written request from any person who is subject to the
jurisdiction of the commission and the requirements of sections seven-
ty-three, seventy-three-a and seventy-four of the public officers law,
render formal advisory opinions on the requirements of said provisions.
A formal opinion rendered by the commission, until and unless amended or
revoked, shall be binding on the commission in any subsequent proceeding
concerning the person who requested the opinion and who acted in good
faith, unless material facts were omitted or misstated by the person in
the request for an opinion. Such opinion may also be relied upon by such
person, and may be introduced and shall be a defense in any criminal or
civil action;
[o.] M. Issue and publish generic advisory opinions covering questions
frequently posed to the commission, or questions common to a class or
defined category of persons, or that will tend to prevent undue repe-
tition of requests or undue complication, and which are intended to
provide general guidance and information to persons subject to the
commission's jurisdiction;
[p.] N. Develop educational materials and training with regard to
legislative ethics for members of the legislature and legislative
employees; and
[q.] O. Prepare an annual report to the governor and legislature
summarizing the activities of the commission during the previous year
and recommending any changes in the laws governing the conduct of
persons subject to the jurisdiction of the commission, or the rules,
regulations and procedures governing the commission's conduct. Such
report shall include: (i) a listing by assigned number of each complaint
and referral received which alleged a possible violation within its
jurisdiction, including the current status of each complaint, and (ii)
where a matter has been resolved, the date and nature of the disposition
and any sanction imposed[, subject to the confidentiality requirements
of this section]. Such annual report shall not contain any information
for which disclosure is not permitted pursuant to subdivision fourteen
of this section.
8. The commission, or the executive director and staff of the commis-
sion if responsibility regarding such financial disclosure statements
filed by MEMBERS OF THE LEGISLATURE AND legislative employees has been
delegated, shall inspect all financial disclosure statements filed with
the commission to ascertain whether any person subject to the reporting
S. 6159 5
requirements of subdivision six of section seventy-three or section
seventy-three-a of the public officers law has failed to file such a
statement, has filed a deficient statement or has filed a statement
which reveals a possible violation of section seventy-three, seventy-
three-a or seventy-four of the public officers law. THE COMMISSION,
EXECUTIVE DIRECTOR OR STAFF OF THE COMMISSION MAY REEXAMINE ANY PREVI-
OUSLY SUBMITTED FINANCIAL DISCLOSURE STATEMENT THAT HAS BEEN FILED WITH-
IN THE PAST FIVE YEARS IF NEW INFORMATION HAS COME TO THE ATTENTION OF
THE COMMISSION WHICH MAY REVEAL A POSSIBLE VIOLATION OF SECTION SEVEN-
TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW.
9. If a person required to file a financial disclosure statement with
the commission has failed to file a financial disclosure statement or
has filed a deficient statement, the commission shall notify the report-
ing person in writing, state the failure to file or detail the deficien-
cy, provide the person with a fifteen day period to cure the deficiency,
and advise the person of the penalties for failure to comply with the
reporting requirements. Such notice shall be confidential. If the person
fails to make such filing or fails to cure the deficiency within the
specified time period, the commission shall send a notice of delinquen-
cy: (a) to the reporting person; (b) in the case of a senator, to the
temporary president of the senate, and if a member of assembly, to the
speaker of the assembly; and (c) in the case of a legislative employee,
to the appointing authority for such person and to the temporary presi-
dent of the senate and/or the speaker of the assembly, as the case may
be, who has jurisdiction over such appointing authority. Such notice of
delinquency may be sent at any time during the reporting person's
service as a member of the legislature or legislative employee or while
a candidate for member of the legislature, or within one year after
separation from such service or the termination of such candidacy. The
jurisdiction of the commission, when acting pursuant to subdivision
eleven of this section with respect to financial disclosure, shall
continue notwithstanding that the reporting person separates from state
service or terminates his or her candidacy, provided the commission
notifies such person of the alleged failure to file or deficient filing
pursuant to this subdivision.
10. a. If a reporting person has filed a statement which reveals a
possible violation of section seventy-three, seventy-three-a or seven-
ty-four of the public officers law, or the commission receives a refer-
ral from another state oversight body, OR THE COMMISSION RECEIVES OR
DISCOVERS NEW INFORMATION THAT REVEALS A POSSIBLE VIOLATION OF SECTION
SEVENTY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS
LAW, or the commission receives a sworn complaint alleging such a
violation by a reporting person or a legislative employee subject to the
provisions of such laws, or if the commission determines on its own
initiative to investigate a possible violation by a reporting person or
a legislative employee subject to the provisions of such laws, the
commission shall notify the reporting person in writing, describe the
possible or alleged violation thereof and provide the person with a
fifteen day period in which to submit a written response setting forth
information relating to the activities cited as a possible or alleged
violation of law. If the commission thereafter makes a determination
that further inquiry is justified, it shall give the reporting person an
opportunity to be heard. THE COMMISSION SHALL REVIEW AND MAKE AN AFFIR-
MATIVE DETERMINATION ON SUCH POSSIBLE VIOLATION WITHIN THIRTY DAYS OF
SUCH REPORTING INDIVIDUAL'S WRITTEN RESPONSE. THE COMMISSION MAY EXTEND
SUCH THIRTY DAY PERIOD OF TIME ONCE FOR AN ADDITIONAL THIRTY DAYS. The
S. 6159 6
commission shall also inform the reporting individual of its rules
regarding the conduct of adjudicatory proceedings and appeals and the
due process procedural mechanisms available to such individual. If the
commission determines at any stage of the proceeding, that there is no
violation or that any potential conflict of interest violation has been
rectified, it shall so advise the reporting person and the complainant,
if any. All of the foregoing proceedings shall be confidential.
b. If the commission determines that there is reasonable cause to
believe that a violation has occurred, OR THAT A REQUIRED FINANCIAL
DISCLOSURE STATEMENT HAS NOT BEEN FILED ON A TIMELY BASIS AFTER ALL
EXTENSIONS TO FILE HAVE BEEN EXHAUSTED, it shall send a notice of
reasonable cause: (i) to the reporting person; (ii) to the complainant
if any; (iii) in the case of a senator, to the temporary president of
the senate, and if a member of the assembly, to the speaker of the
assembly; and (iv) in the case of a legislative employee, to the
appointing authority for such person and to the temporary president of
the senate and/or the speaker of the assembly, as the case may be, who
has jurisdiction over such appointing authority.
c. The jurisdiction of the commission when acting pursuant to this
section shall continue notwithstanding that a member of the legislature
or a legislative employee separates from state service, or a candidate
for member of the legislature ceases to be a candidate, provided that
the commission notifies such individual of the alleged violation of law
pursuant to paragraph a of this subdivision within one year from his or
her separation from state service or the termination of his or her
candidacy. Nothing in this section shall serve to limit the jurisdiction
of the commission in enforcement of subdivision eight of section seven-
ty-three of the public officers law.
11. An individual subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions of subdivisions two
through five, seven, eight, twelve, fourteen or fifteen of section
seventy-three of the public officers law or 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
section seventy-three-a of the public officers law shall be subject to a
civil penalty in an amount not to exceed forty thousand dollars and the
value of any gift, compensation or benefit received as a result of such
violation. Any such individual who knowingly and intentionally violates
the provisions of paragraph A, b, c, d, E, G or i of subdivision three
of section seventy-four of the public officers law shall be subject to a
civil penalty in an amount not to exceed ten thousand dollars and the
value of any gift, compensation or benefit received as a result of such
violation. [Any such individual who knowingly and intentionally violates
the provisions of paragraph a, e or g of subdivision three of section
seventy-four of the public officers law shall be subject to a civil
penalty in an amount equal to the value of any gift, compensation or
benefit received as a result of such violation.] Assessment of a civil
penalty hereunder shall be made by the commission with respect to
persons subject to its jurisdiction. In assessing the amount of the
civil penalties to be imposed, the commission shall consider the seri-
ousness of the violation, the amount of gain to the individual and
whether the individual previously had any civil or criminal penalties
imposed pursuant to this section, and any other factors the commission
deems appropriate. For a violation of this section, other than for
S. 6159 7
conduct which constitutes a violation of subdivision twelve, fourteen or
fifteen of section seventy-three or section seventy-four of the public
officers law, the legislative ethics commission 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 informa-
tion 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, or a
violation of section seventy-three of the public officers law, except
that the appointing authority may impose disciplinary action as other-
wise provided by law.] The legislative ethics commission shall be deemed
to be an agency within the meaning of article three of the state admin-
istrative procedure act and shall adopt rules governing the conduct of
adjudicatory proceedings and appeals taken pursuant to a proceeding
commenced under article seventy-eight of the civil practice law and
rules relating to the assessment of the civil penalties herein author-
ized [and commission denials of requests for certain deletions or
exemptions to be made from a financial disclosure statement as author-
ized in paragraph i or paragraph j of subdivision seven of this
section]. Such rules[, which shall not be subject to the promulgation
and hearing requirements of the state administrative procedure act,]
shall provide for due process procedural mechanisms substantially simi-
lar to those set forth in such article three but such mechanisms need
not be identical in terms or scope. Assessment of a civil penalty or
commission denial of such a deletion [or exemption request] shall be
final unless modified, suspended or vacated within thirty days of impo-
sition, with respect to the assessment of such penalty, or unless such
denial of request is reversed within such time period, and upon becoming
final shall be subject to review at the instance of the affected report-
ing individuals in a proceeding commenced against the legislative ethics
commission, pursuant to article seventy-eight of the civil practice law
and rules.
12. If the commission has a reasonable basis to believe that any
person subject to the jurisdiction of another state oversight body may
have violated section seventy-three or seventy-four of the public offi-
cers law, section one hundred seven of the civil service law, or article
one-A of this chapter, it shall refer such violation to such oversight
body unless the commission determines that such a referral would compro-
mise the prosecution or confidentiality of its investigations and, if
so, shall make such a referral as soon as practicable. The referral by
the commission shall include any information relating thereto coming
into the custody or under the control of the commission at any time
prior or subsequent to the time of the referral.
13. A copy of any notice of delinquency or notice of reasonable cause
sent pursuant to subdivisions nine and ten of this section shall be
included in the reporting person's file and be available for public
inspection and copying.
14. a. Notwithstanding the provisions of article six of the public
officers law, the only records of the commission which shall be avail-
able for public inspection and copying are:
(1) the information set forth in an annual statement of financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers law [except the categories of value or amount which shall be confi-
S. 6159 8
dential, and any other item of information deleted pursuant to paragraph
i of subdivision seven of this section];
(2) financial disclosure statements filed pursuant to subdivision six
of section seventy-three of the public officers law;
(3) notices of delinquency sent under subdivision nine of this
section;
(4) notices of reasonable cause sent under paragraph b of subdivision
ten of this section;
(5) notices of civil assessment imposed under this section which shall
include a description of the nature of the alleged wrongdoing, the
procedural history of the complaint, the findings and determinations
made by the commission, and any sanction imposed;
(6) the terms of any settlement or compromise of a complaint or refer-
ral which includes a fine, penalty or other remedy;
(7) generic advisory opinions; and
(8) all reports required by this section.
b. Notwithstanding the provisions of article seven of the public offi-
cers law, no meeting or proceeding of the commission shall be open to
the public, except if expressly provided otherwise by this section or
the commission.
15. Within one hundred twenty days of the effective date of this
subdivision, the commission shall create and thereafter maintain a
publicly accessible website which shall set forth the procedure for
filing a complaint with the commission, and which shall contain the
documents identified in subdivision fourteen of this section, other than
financial disclosure statements, and any other records or information
which the commission determines to be appropriate.
16. This section shall not revoke or rescind any policies, rules,
regulations or advisory opinions issued by the legislative ethics
committee in effect upon the effective date of this subdivision, to the
extent that such regulations or opinions are not inconsistent with any
laws of the state of New York. The legislative ethics commission shall
undertake a comprehensive review of all such policies, rules, regu-
lations or advisory opinions which will address the consistency of such
policies, rules, regulations or advisory opinions with the laws of the
state of New York. The legislative ethics commission shall, before April
first, two thousand eight, report to the governor and legislature
regarding such review and shall propose any regulatory changes and issue
any advisory opinions necessitated by such review.
17. Separability clause. If any part or provision of this section or
the application thereof to any person is adjudged by a court of compe-
tent jurisdiction to be unconstitutional or otherwise invalid, such
judgment shall not affect or impair any other part or provision or the
application thereof to any other person, but shall be confined to such
part or provision.
S 3. Section 73 of the public officers law is amended by adding two
new subdivisions 14-a and 14-b to read as follows:
14-A. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION FOURTEEN OF THIS
SECTION, NO MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, AS
DEFINED BY PARAGRAPH (D) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE-A
OF THIS ARTICLE, SHALL PARTICIPATE IN ANY DECISION TO HIRE, PROMOTE,
PROCESS EMPLOYMENT PAPERWORK FOR OR HAVE KNOWLEDGE OF THE PROSPECTIVE
EMPLOYMENT OR CHANGE OF EMPLOYMENT STATUS OF ANY RELATIVE FOR ANY
COMPENSATED POSITION AT, FOR OR WITHIN THE SAME LEGISLATIVE CHAMBER
WHICH EMPLOYS SUCH MEMBER OR LEGISLATIVE EMPLOYEE. THE PROVISIONS OF
S. 6159 9
THIS SUBDIVISION SHALL NOT APPLY TO PERSONS TO WHICH PARAGRAPH (B) OF
SUBDIVISION FOURTEEN OF THIS SECTION APPLIES.
14-B. IN ADDITION TO THE INFORMATION INCLUDED IN THE ANNUAL FINANCIAL
STATEMENT OF FINANCIAL DISCLOSURE PROVIDED FOR IN SECTION
SEVENTY-THREE-A OF THIS ARTICLE, EVERY MEMBER OF THE LEGISLATURE AND
LEGISLATIVE EMPLOYEE SHALL DISCLOSE THE NAMES OF ALL RELATIVES WHO ARE
EMPLOYED BY THE LEGISLATURE AND THE DEGREE OF THEIR RELATIONSHIP.
S 4. Paragraphs a, b, d and g of subdivision 3 of section 74 of the
public officers law, as amended by chapter 1012 of the laws of 1965, are
amended to read as follows:
a. No officer or employee of a state agency, member of the legislature
or legislative employee should accept, NOR RETAIN UPON ACCEPTANCE OF
EMPLOYMENT BY THE LEGISLATURE, other employment which [will] MAY REASON-
ABLY impair his OR HER independence of judgment in the exercise of his
OR HER official duties.
b. No officer or employee of a state agency, member of the legislature
or legislative employee should accept employment or engage in any busi-
ness or professional activity which [will] MAY REASONABLY require him OR
HER to disclose confidential information which he OR SHE has gained by
reason of his OR HER official position or authority.
d. No officer or employee of a state agency, member of the legislature
or legislative employee should use or attempt to use his OR HER official
position to secure unwarranted privileges or exemptions for himself,
HERSELF, HIS OR HER RELATIVE, AS DEFINED IN PARAGRAPH (M) OF SUBDIVISION
ONE OF SECTION SEVENTY-THREE OF THIS ARTICLE, or others.
g. An officer or employee of a state agency, MEMBER OF THE LEGISLATURE
OR LEGISLATIVE EMPLOYEE should abstain from making personal investments
in enterprises which he OR SHE has reason to believe may be directly
involved in decisions to be made by him OR HER or which will otherwise
create substantial conflict between his OR HER duty in the public inter-
est and his OR HER private interest.
S 5. The nine members of the legislative ethics commission holding
office immediately prior to the effective date of this act are hereby
removed from their positions as such members, and nine new members shall
be appointed in accordance with section 80 of the legislative law, as
amended by section two of this act.
S 6. This act shall take effect January 1, 2010.