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

    S. 6457                                                  A. 9544

                      S E N A T E - A S S E M B L Y

                            January 13, 2010
                               ___________

IN SENATE -- Introduced by Sens. SCHNEIDERMAN, SQUADRON, SAMPSON -- read
  twice  and  ordered  printed,  and when printed to be committed to the
  Committee on Codes

IN ASSEMBLY -- Introduced by M. of A. SILVER, KOLB, MAGNARELLI, DESTITO,
  MILLMAN, BARCLAY, FARRELL, CANESTRARI, MOLINARO, DUPREY --  read  once
  and referred to the Committee on Governmental Operations

AN ACT to amend the executive law, in relation to establishing the exec-
  utive  ethics and compliance commission; to amend the legislative law,
  in relation to the creation of the New York state commission on lobby-
  ing ethics and compliance; to amend the legislative law,  in  relation
  to establishing the legislative office of ethics investigation and the
  joint legislative commission on ethics standards and to repeal certain
  provisions  of  such  law  relating to ethics; and to amend the public
  officers law, in relation to ethics reports; to amend the  legislative
  law  and  the public officers law, in relation to financial disclosure
  of public officers; to amend the election law, in relation to a  state
  board  of  elections  enforcement  unit  and  counsel, personal use of
  campaign funds, filing requirements,  political  communication,  inde-
  pendent  expenditure  reporting,  enforcement proceeding and penalties
  for violations; to repeal  certain  provisions  of  the  election  law
  relating  to filing of statements; to repeal certain provisions of the
  legislative law  relating  to  prohibited  activities  of  legislative
  employees; and providing for the repeal of certain provisions upon the
  expiration thereof

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

  Section 1. Section 94 of the executive law, as added by chapter 813 of
the laws of 1987, the section heading and subdivisions 1, 2, 3, 4, 5, 6,
7 and 8 as amended by section 2, subdivisions 9, 10, 11, 12, 13, 14,  16
and 17 as amended and subdivisions 13-a, 16-a and 18 as added by section
2-a,  paragraph  (l) of subdivision 9 as amended by section 3, paragraph
(c) of subdivision 12 as amended by section 4, subdivision 15 as amended
by section 5, and paragraphs (a) and (b) of subdivision 17 as amended by

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

                                                           LBD15444-01-0

S. 6457                             2                            A. 9544

section 6 of chapter 14 of the laws of  2007,  is  amended  to  read  as
follows:
  S 94. [Commission  on  public integrity; functions, powers and duties;
review of financial disclosure statements; advisory  opinions;  investi-
gation  and enforcement] EXECUTIVE ETHICS AND COMPLIANCE COMMISSION.  1.
There is established within the department of  state  [a  commission  on
public  integrity]  AN  EXECUTIVE ETHICS AND COMPLIANCE COMMISSION which
shall consist of [thirteen] SIX members and shall have and exercise  the
powers  and duties set forth in this section only with respect to state-
wide elected officials [and], state officers and employees,  as  defined
in  sections  seventy-three  and  seventy-three-a of the public officers
law, candidates for statewide elected  office,  [and  the]  A  political
party chairman as [that term is] defined in PARAGRAPH (K) OF SUBDIVISION
ONE  OF  section  [seventy-three-a] SEVENTY-THREE of the public officers
law, [lobbyists and the clients of lobbyists as such terms  are  defined
in  article  one-A  of  the  legislative  law], and individuals who have
formerly held such positions, [were lobbyists or clients  of  lobbyists,
as  such  terms are defined in article one-A of the legislative law,] or
who have formerly been such candidates. This section shall not revoke or
rescind any regulations or advisory opinions issued by the state  ethics
commission  [and],  the temporary lobbying commission AND THE COMMISSION
ON PUBLIC INTEGRITY in effect upon the effective date of [a] THE chapter
of the laws of two thousand [seven] TEN which amended  this  section  to
the  extent  that such regulations or opinions are not inconsistent with
any law of the state of New York,  but  such  regulations  and  opinions
shall apply only to matters over which such commissions had jurisdiction
at  the  time  such regulations and opinions were promulgated or issued.
The commission shall undertake a comprehensive review of all such  regu-
lations  and  opinions, which will address the consistency of such regu-
lations and opinions among each  other  and  with  the  [new]  statutory
language. The commission shall, before April first, two thousand [eight]
ELEVEN, report to the governor and legislature regarding such review and
shall  propose  any  regulatory  changes and issue any advisory opinions
necessitated by such review.
  2. The SIX members of the commission shall be appointed [by the gover-
nor provided, however, that one member shall be appointed on  the  nomi-
nation  of  the  comptroller, one member shall be appointed on the nomi-
nation of the attorney general, one member shall  be  appointed  on  the
nomination of the temporary president of the senate, one member shall be
appointed  on  the nomination of the speaker of the assembly, one member
shall be appointed on the nomination  of  the  minority  leader  of  the
senate,  and  one  member  shall  be  appointed on the nomination of the
minority leader of the assembly. Of the seven members appointed  by  the
governor  without  prior  nomination,  no  more  than four members shall
belong to the same political party and no members shall be public  offi-
cers  or  employees or hold any public office, elected or appointed.] AS
FOLLOWS:  TWO BY THE GOVERNOR, TWO BY THE ATTORNEY GENERAL, AND  TWO  BY
THE  COMPTROLLER.  NO TWO APPOINTMENTS BY EACH OF THE FOREGOING OFFICERS
SHALL BE FROM THE SAME POLITICAL PARTY AS DEFINED IN  SECTION  1-104  OF
THE  ELECTION  LAW.  No  member  shall  be OR SHALL HAVE BEEN WITHIN THE
PRECEDING FIVE YEARS a member of the legislature, a candidate for member
of the legislature, an employee of the legislature,  a  political  party
chairman  as  defined  in  paragraph  (k)  of subdivision one of section
seventy-three of the public officers law, A STATE OFFICER OR EMPLOYEE AS
DEFINED BY PARAGRAPH (I) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE  OF
THE PUBLIC OFFICERS LAW, or a lobbyist [as defined in subdivision (a) of

S. 6457                             3                            A. 9544

section  one-c  of the legislative law] REQUIRED TO REGISTER IN NEW YORK
STATE OR ANY OTHER JURISDICTION.
  3.  Members  of  the  commission  shall serve for terms of [five] FOUR
years; provided, however, that [of the members first  appointed  without
prior  nomination, one shall serve for one year, one shall serve for two
years, one shall serve for three years, and one  shall  serve  for  four
years, as designated by the governor; the members first appointed on the
nominations of the comptroller and the temporary president of the senate
shall  serve for four years and the members first appointed on the nomi-
nations of the attorney general and the speaker of  the  assembly  shall
serve  for  two years] THE MEMBERS FIRST APPOINTED BY THE GOVERNOR SHALL
SERVE TWO YEAR TERMS, THE MEMBERS FIRST APPOINTED BY THE ATTORNEY GENER-
AL SHALL SERVE THREE YEAR TERMS AND THE MEMBERS FIRST APPOINTED  BY  THE
COMPTROLLER SHALL SERVE FOUR YEAR TERMS.
  4.  The  [governor shall designate the chairman of the commission from
among the members thereof, who shall serve as chairman at  the  pleasure
of  the  governor] CHAIRPERSON OF THE COMMISSION SHALL BE ELECTED BY THE
MEMBERS OF THE COMMISSION BY A MAJORITY VOTE  OF  THE  TOTAL  NUMBER  OF
MEMBERS  OF  THE COMMISSION.   The [chairman] CHAIRPERSON or any [seven]
THREE members of the commission may call a meeting.
  5. Any vacancy occurring on the  commission  shall  be  filled  within
sixty  days  of  its  occurrence,  by the governor, ATTORNEY GENERAL, OR
COMPTROLLER in the same manner as the  member  whose  vacancy  is  being
filled  was  appointed.  A  person appointed to fill a vacancy occurring
other than by expiration of a term of office shall be appointed for  the
unexpired  term  of  the member he succeeds.  IN THE EVENT OF A VACANCY,
THE APPOINTING AUTHORITY MUST APPOINT A MEMBER OF THE COMMISSION FROM  A
POLITICAL  PARTY  OTHER  THAN THAT OF THE APPOINTING AUTHORITY'S ALREADY
SEATED MEMBER OF THE COMMISSION.
  6. [Seven] FOUR 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.
  7. Members of the commission may be removed by the [governor] APPOINT-
ING  AUTHORITY  for  substantial  neglect  of  duty, gross misconduct in
office, inability to  discharge  the  powers  or  duties  of  office  or
violation  of  this  section, after written notice and opportunity for a
reply.
  8. The members of the commission  shall  [not]  receive  [compensation
but] A PER DIEM ALLOWANCE IN THE SUM OF ONE HUNDRED DOLLARS FOR EACH DAY
ACTUALLY  SPENT IN THE PERFORMANCE OF HIS OR HER DUTIES UNDER THIS ARTI-
CLE, NOT EXCEEDING, HOWEVER, THE SUM OF FIVE  THOUSAND  DOLLARS  IN  ANY
CALENDAR  YEAR  AND  IN  ADDITION  THERETO  shall  be reimbursed for ALL
reasonable expenses ACTUALLY AND NECESSARILY incurred in the performance
of their official duties.
  9. The commission shall:
  (a) Appoint an executive director who shall act in accordance with the
policies of the commission. The commission may delegate authority to the
executive director to act in the name of the commission between meetings
of the commission provided such delegation is in writing and the specif-
ic powers to be delegated are enumerated. THE EXECUTIVE  DIRECTOR  SHALL
BE  APPOINTED  FOR A TERM OF THREE YEARS AND SHALL BE DISMISSED ONLY FOR
CAUSE BY A MAJORITY VOTE OF THE COMMISSION;
  (b) Appoint such other staff as are necessary to carry out its  duties
under this section;
  (c)  Adopt,  amend, and rescind rules and regulations to govern proce-
dures of the commission, which shall include, but not be limited to, the

S. 6457                             4                            A. 9544

procedure whereby a person who is required to file an  annual  financial
disclosure statement with the commission may request an additional peri-
od 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;
  (d) Adopt, amend, and rescind rules and regulations to assist appoint-
ing  authorities  in  determining which persons hold policy-making posi-
tions for purposes of section seventy-three-a  of  the  public  officers
law;
  (e) Make available forms for annual statements of financial disclosure
required  to  be filed pursuant to section seventy-three-a of the public
officers law;
  (f) Review financial disclosure  statements  in  accordance  with  the
provisions  of  this  section, provided however, that the commission may
delegate all or part of this review function to the  executive  director
who  shall be responsible for completing staff review of such statements
in a manner consistent with the terms of  the  commission's  delegation.
SUCH  REVIEW  SHALL  REQUIRE THAT ALL STATEMENTS OF FINANCIAL DISCLOSURE
FILED WITH THE COMMISSION BE EXAMINED TO ENSURE THAT EACH  STATEMENT  IS
FACIALLY COMPLETE AND SIGNED BY THE REPORTING INDIVIDUAL;
  (g)  [Receive]  INITIATE  OR RECEIVE complaints and referrals alleging
violations of section seventy-three, seventy-three-a or seventy-four  of
the  public  officers  law[,  article  one-A  of the legislative law] or
section one hundred seven of the civil service law;
  (h) Permit any person subject to the jurisdiction  of  the  commission
who  is required to file a financial disclosure statement to request the
commission to delete from the copy thereof  made  available  for  public
inspection  and  copying  one  or more items of information which may be
deleted by the commission upon a finding  by  the  commission  that  the
information  which  would otherwise be required to be made available for
public inspection and copying will  have  no  material  bearing  on  the
discharge of the reporting person's official duties. If such request for
deletion is denied, the commission, in its notification of denial, shall
inform  the person of his or her right to appeal the commission's deter-
mination pursuant to its rules governing  adjudicatory  proceedings  and
appeals adopted pursuant to subdivision thirteen of this section;
  (i)  Permit  any  person subject to the jurisdiction of the commission
who is required to file a financial disclosure statement to  request  an
exemption  from  any requirement to report one or more items of informa-
tion which pertain to such person's  spouse  or  unemancipated  children
which  item or items may be exempted by the commission upon a finding by
the commission that the reporting individual's spouse, on his or her own
behalf or on behalf of an unemancipated child, objects to providing  the
information  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. If
such request for exemption is denied, the commission, in  its  notifica-
tion  of  denial,  shall inform the person of his or her right to appeal
the commission's determination pursuant to its rules governing adjudica-
tory proceedings and appeals adopted pursuant to subdivision thirteen of
this section;
  (j) Advise and assist any state agency in establishing rules and regu-
lations relating to possible conflicts  between  private  interests  and
official  duties  of  present  or former statewide elected officials and
state officers and employees;

S. 6457                             5                            A. 9544

  (k) Permit any person who has  not  been  determined  by  his  or  her
appointing  authority to hold a policy-making position but who is other-
wise required to file a financial disclosure  statement  to  request  an
exemption from such requirement in accordance with rules and regulations
governing  such exemptions. Such rules and regulations shall provide for
exemptions to be granted either on the application of an  individual  or
on  behalf of persons who share the same job title or employment classi-
fication which the commission deems to be  comparable  for  purposes  of
this  section.  Such rules and regulations may permit the granting of an
exemption where, in the discretion of the commission, the public  inter-
est  does  not  require  disclosure  and  the  applicant's duties do not
involve the negotiation, authorization or approval of:
  (i) contracts, leases, franchises,  revocable  consents,  concessions,
variances,  special  permits, or licenses as defined in section seventy-
three of the public officers law;
  (ii) the purchase, sale, rental or lease of real  property,  goods  or
services, or a contract therefor;
  (iii) the obtaining of grants of money or loans; or
  (iv) the adoption or repeal of any rule or regulation having the force
and effect of law;
  (l) Prepare an annual report to the governor and legislature summariz-
ing the activities of the commission during the previous year and recom-
mending 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  BE
POSTED  ON THE COMMISSION'S WEBSITE AND SHALL include: (i) THE NUMBER OF
REPORTING INDIVIDUALS WHOSE FILES WERE REVIEWED PURSUANT TO  SUBDIVISION
(O)  OF THIS SECTION DURING THE PREVIOUS YEAR AND WHICH, IF ANY, CLASSES
OF REPORTING INDIVIDUALS WERE SELECTED  FOR  CLASS  REVIEW  RATHER  THAN
RANDOM  REVIEW;  (II) a listing by assigned number of each complaint and
referral received which alleged a possible violation within  its  juris-
diction,  including  the current status of each complaint[,]; and [(ii)]
(III) 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, provided, however, that such annual report
shall not contain any information for which disclosure is not  permitted
pursuant to subdivision seventeen of this section; [and]
  (m)  Determine  a  question  common  to a class or defined category of
persons or items of information required to be disclosed, where determi-
nation of the question will prevent undue  repetition  of  requests  for
exemption  or  deletion  or prevent undue complication in complying with
the requirements of such section[.];
  (N) PREPARE AND ISSUE A REPORT BY DECEMBER FIRST, TWO THOUSAND  ELEVEN
TO  THE GOVERNOR AND THE LEGISLATURE RECOMMENDING ANY CHANGES TO THE LAW
GOVERNING THE FILING OF ANNUAL STATEMENTS OF FINANCIAL DISCLOSURE, WHICH
SHALL INCLUDE AN ANALYSIS OF THE STATUTES WHICH REQUIRE  INDIVIDUALS  TO
FILE  FINANCIAL DISCLOSURE STATEMENTS, THE SCOPE OF DISCLOSURE REQUIRED,
AND ALTERNATIVE APPROACHES TO THE CURRENT SYSTEM, AND RECOMMENDATIONS AS
TO THE APPROPRIATE SCOPE OF DISCLOSURE FOR DIFFERENT CLASSES OF INDIVID-
UALS, INCLUDING THOSE WHO SERVE IN UNCOMPENSATED POSITIONS; AND
  (O) PROMULGATE GUIDELINES FOR THE COMMISSION TO CONDUCT A  PROGRAM  OF
RANDOM  REVIEWS,  TO BE CARRIED OUT IN THE FOLLOWING MANNER:  (I) ANNUAL
STATEMENTS OF FINANCIAL DISCLOSURE SHALL BE SELECTED  FOR  REVIEW  IN  A
MANNER  PURSUANT  TO  WHICH  THE IDENTITY OF ANY PARTICULAR PERSON WHOSE
STATEMENT IS SELECTED IS UNKNOWN TO THE COMMISSION AND ITS  STAFF  PRIOR
TO  ITS SELECTION; (II) SUCH REVIEW SHALL INCLUDE A PRELIMINARY EXAMINA-

S. 6457                             6                            A. 9544

TION OF THE SELECTED STATEMENT FOR INTERNAL  CONSISTENCY,  A  COMPARISON
WITH  OTHER  RECORDS  MAINTAINED BY THE COMMISSION, INCLUDING PREVIOUSLY
FILED STATEMENTS AND REQUESTS FOR ADVISORY OPINIONS, AND AN  EXAMINATION
OF  RELEVANT  PUBLIC INFORMATION, INCLUDING, BUT NOT LIMITED TO, RECORDS
FILED WITH THE COMMISSION ON LOBBYING  ETHICS  AND  COMPLIANCE  AND  THE
DEPARTMENT  OF  STATE; (III) UPON COMPLETION OF THE PRELIMINARY EXAMINA-
TION,  THE  COMMISSION  SHALL  DETERMINE  WHETHER  FURTHER  INQUIRY   IS
WARRANTED, WHEREUPON IT SHALL NOTIFY THE REPORTING INDIVIDUAL IN WRITING
THAT  THE  STATEMENT IS UNDER REVIEW, ADVISE THE REPORTING INDIVIDUAL OF
THE SPECIFIC AREAS OF INQUIRY, AND PROVIDE THE REPORTING INDIVIDUAL WITH
THE OPPORTUNITY TO PROVIDE THE COMMISSION WITH ANY RELEVANT  INFORMATION
RELATED  TO  THE  SPECIFIC AREAS OF INQUIRY, AND THE OPPORTUNITY TO FILE
AMENDMENTS TO THE SELECTED STATEMENT ON FORMS PROVIDED  BY  THE  COMMIS-
SION;  AND  (IV)  IF  THEREAFTER SUFFICIENT CAUSE EXISTS, THE COMMISSION
SHALL INITIATE AN INVESTIGATION TO DETERMINE WHETHER THE REPORTING INDI-
VIDUAL HAS FILED A DEFICIENT STATEMENT; PROVIDED, HOWEVER IF THE COMMIS-
SION CONDUCTS A REVIEW OF ALL STATEMENTS OF FINANCIAL  DISCLOSURE  FILED
BY  A  CLASS  OF  REPORTING  INDIVIDUALS IN THE MANNER SET FORTH IN THIS
PARAGRAPH WITH RESPECT TO A GIVEN CALENDAR YEAR, THE INDIVIDUALS  WITHIN
SUCH  CLASS  SHALL  NOT BE SUBJECT TO RANDOM REVIEW. FOR THE PURPOSES OF
THIS PARAGRAPH, THE CLASSES OF REPORTING INDIVIDUALS ARE  (A)  STATEWIDE
ELECTED  OFFICIALS,  (B)  CANDIDATES  FOR STATEWIDE OFFICE, (C) HEADS OF
STATE DEPARTMENTS AND THEIR DEPUTIES AND ASSISTANTS PURSUANT TO SUBPARA-
GRAPH (I) OF PARAGRAPH (I) OF SUBDIVISION ONE OF  SECTION  SEVENTY-THREE
OF THE PUBLIC OFFICERS LAW, AND (D) OTHER STATE OFFICERS AND EMPLOYEES.
  10.    The  commission,  or  the  executive  director and staff of the
commission if responsibility therefor has been delegated, shall  inspect
all  financial disclosure statements filed with the commission to ascer-
tain whether any person subject to the reporting requirements of 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.
  11.    If  a  person required to file a financial disclosure statement
with the commission has failed to file a  disclosure  statement  or  has
filed  a  deficient statement, the commission shall notify the reporting
person in writing, state the failure to file or detail  the  deficiency,
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 statewide  elected
official,  to  the  temporary president of the senate and the speaker of
the assembly; and (c) in the case of a state officer or employee, to the
appointing authority for such person. Such notice of delinquency may  be
sent  at  any  time during the reporting person's service as a statewide
elected official, state officer or employee, political  party  chair  or
while  a candidate for statewide office, or within one year after termi-
nation of such service or candidacy. The jurisdiction of the commission,
when acting pursuant  to  subdivision  thirteen  of  this  section  with
respect to financial disclosure, shall continue notwithstanding that the
reporting  person separates from state service, or ceases to hold office
as a statewide elected official or political party chair, or  ceases  to
be  a  candidate,  provided  the  commission notifies such person of the

S. 6457                             7                            A. 9544

alleged failure to file or deficient filing pursuant  to  this  subdivi-
sion.
  12.    (a)  If  the  commission  receives a sworn complaint alleging a
violation of section seventy-three, seventy-three-a or  seventy-four  of
the  public  officers  law[,]  OR section one hundred seven of the civil
service law [or article one-A of the legislative law]  by  a  person  or
entity  subject to the jurisdiction of the commission, or if a reporting
individual has filed a statement which reveals a possible  violation  of
these  provisions, or if the commission determines on its own initiative
to investigate a possible violation, the  commission  shall  notify  the
individual  in  writing,  describe  the possible or alleged violation of
such laws 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.  THE COMMIS-
SION SHALL ALSO, AT THE TIME OF PROVIDING NOTICE, INFORM THE  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  thereafter  makes a determination that
further inquiry is justified, it shall give the individual  an  opportu-
nity  to  be  heard. [The commission shall also inform the 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 individual and the  complainant,
if  any]  ISSUE WRITTEN NOTICE TO THE INDIVIDUAL AND THE COMPLAINANT, IF
ANY, STATING THE CIRCUMSTANCES UNDER WHICH THE MATTER HAS BEEN RECTIFIED
AND THE COMPLAINT DISMISSED.  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, it shall send a notice of reason-
able cause: (i) to the reporting person; (ii) to the complainant if any;
(iii) in the case of a statewide  elected  official,  to  the  temporary
president of the senate and the speaker of the assembly; and (iv) in the
case  of  a  state  officer or employee, to the appointing authority for
such person.
  (c) The jurisdiction of the commission when acting  pursuant  to  this
section shall continue notwithstanding that a statewide elected official
or  a state officer or employee separates from state service, or a poli-
tical party chair ceases to hold such office, or a candidate  ceases  to
be  a candidate, [or a lobbyist or client of a lobbyist ceases to act as
such,] provided that the commission notifies such individual  or  entity
of the alleged violation of law pursuant to paragraph (a) of this subdi-
vision  within one year from his or her separation from state service or
his or her termination of party service or candidacy[, or from his,  her
or  its  last  report filed pursuant to article one-A of the legislative
law]. Nothing in this section shall serve to limit the  jurisdiction  of
the  commission  in enforcement of subdivision eight of section seventy-
three of the public officers law.
  13.  An individual subject to the jurisdiction of the  commission  who
knowingly  and intentionally violates the provisions of subdivisions two
through [five,] FIVE-A, seven,  eight,  twelve  [or],  fourteen  through
[seventeen]  SIXTEEN  OR EIGHTEEN of section seventy-three of the public
officers law, section one hundred seven of the civil service law,  or  a
reporting  individual who knowingly and wilfully fails to file an annual
statement of financial disclosure or who  knowingly  and  wilfully  with

S. 6457                             8                            A. 9544

intent  to  deceive  makes  a  false statement or fraudulent omission or
gives information which such individual knows to be false on such state-
ment 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. An indi-
vidual  who knowingly and intentionally violates the provisions of para-
graph b, c, d 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.  An  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 not to  exceed  the
value  of any gift, compensation or benefit received as a result of such
violation. [An individual subject to the jurisdiction of the  commission
who  knowingly  and  willfully violates article one-A of the legislative
law shall be subject to civil penalty as provided for in that  article.]
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 seriousness of the violation, the amount  of  gain  to  the
individual and whether the individual previously had any civil or crimi-
nal  penalties  imposed  pursuant to this section, and any other factors
the commission deems appropriate. For a violation of  this  subdivision,
other  than  for  conduct  which  constitutes a violation of section one
hundred seven of the civil service law, subdivisions twelve or  fourteen
through  [seventeen]  SIXTEEN  OR  EIGHTEEN  of section seventy-three or
section seventy-four of the public officers law [or article one-A of the
legislative law,] the commission may, in lieu of a civil penalty,  refer
a violation to the appropriate prosecutor and upon such conviction, 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,
or a violation of section seventy-three  of  the  public  officers  law,
except  that  the appointing authority may impose disciplinary action as
otherwise provided by law. The commission may refer violations  of  this
subdivision  to  the  appointing  authority  for  disciplinary action as
otherwise provided by law. The commission shall be deemed to be an agen-
cy within the meaning of  article  three  of  the  state  administrative
procedure act and shall adopt rules governing the conduct of adjudicato-
ry  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 authorized  and  commis-
sion  denials of requests for certain deletions or exemptions to be made
from a financial disclosure statement as authorized in paragraph (h)  or
paragraph  (i)  of  subdivision  nine of this section. Such rules, which
shall not be subject to the approval requirements of the state  adminis-
trative  procedure  act,  shall provide for due process procedural mech-
anisms substantially similar to those set forth in article three of  the
state administrative procedure act but such mechanisms need not be iden-
tical  in  terms  or  scope. Assessment of a civil penalty or commission
denial of such a request shall be final unless  modified,  suspended  or

S. 6457                             9                            A. 9544

vacated within thirty days of imposition, 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  reporting  individuals in a proceeding
commenced against the commission, pursuant to article  seventy-eight  of
the civil practice law and rules.
  13-a.  [If] NOTWITHSTANDING ANY OTHER PROVISION OF LAW, IF the commis-
sion has a reasonable basis to believe that any person  subject  to  the
jurisdiction  of  the [legislative ethics] commission ON LOBBYING ETHICS
AND COMPLIANCE may have violated any  provisions  of  [section  seventy-
three  or  seventy-four] ARTICLE ONE-A of the [public officers] LEGISLA-
TIVE law OR THAT ANY PERSON SUBJECT TO THE  JURISDICTION  OF  THE  STATE
BOARD  OF  ELECTIONS  MAY HAVE VIOLATED ARTICLE FOURTEEN OF THE ELECTION
LAW, it shall refer such violation to the  [legislative  ethics  commis-
sion]  COMMISSION  ON  LOBBYING ETHICS AND COMPLIANCE OR TO THE BOARD OF
ELECTIONS, AS APPROPRIATE, unless the commission determines that such  a
referral  would  compromise  the  prosecution  or confidentiality of its
investigations and, if so, shall make such a referral as soon as practi-
cable. The referral by the commission to the [legislative ethics commis-
sion] COMMISSION ON LOBBYING ETHICS AND COMPLIANCE OR TO  THE  BOARD  OF
ELECTIONS, AS APPROPRIATE, shall include any information relating there-
to coming into the custody or under the control of the commission at any
time prior or subsequent to the time of the referral.
  14.  A copy of any notice of delinquency or notice of reasonable cause
sent pursuant to subdivisions eleven and twelve of this section shall be
included  in  the  reporting  person's  file and be available for public
inspection and copying.
  15.  Upon written request from any person who is subject to the juris-
diction of the commission and  the  requirements  of  sections  seventy-
three,  seventy-three-a  or seventy-four of the public officers law, the
commission shall render advisory opinions on the  requirements  of  said
provisions.  An  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. Such requests shall be confidential but
the commission may publish such opinions provided that the name  of  the
requesting person and other identifying details shall not be included in
the publication.
  16.   In addition to any other powers and duties specified by law, the
commission shall have the power and duty to:
  (a) Promulgate rules concerning restrictions on outside activities and
limitations on the receipt of gifts and honoraria by persons subject  to
its jurisdiction, provided, however, a violation of such rules in and of
itself  shall not be punishable pursuant to subdivision thirteen of this
section unless the conduct constituting the  violation  would  otherwise
constitute a violation of this section; and
  (b)  Conduct  training  programs  in  cooperation  with the governor's
office of employee relations to provide education to individuals subject
to its jurisdiction; and
  (c) Administer and enforce all the provisions of this section; and
  (d) Conduct any investigation necessary to carry out the provisions of
this section. Pursuant to this power and duty, the commission may admin-
ister oaths or affirmations, subpoena witnesses, compel their attendance

S. 6457                            10                            A. 9544

and require the production of any books or records  which  it  may  deem
relevant or material[;].
  16-a.    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  seventeen of this section, other
than financial disclosure statements OF STATE  OFFICERS  AND  EMPLOYEES,
and  any other records or information which the commission determines to
be appropriate.
  16-B.  (A) WHEN AN INDIVIDUAL BECOMES A MEMBER OF  THE  COMMISSION  OR
STAFF  OF  THE  COMMISSION,  THAT INDIVIDUAL SHALL BE REQUIRED TO SIGN A
NON-DISCLOSURE STATEMENT.
  (B) NO TESTIMONY RECEIVED OR  ANY  OTHER  INFORMATION  OBTAINED  BY  A
MEMBER  OF  THE COMMISSION OR STAFF OF THE COMMISSION SHALL BE DISCLOSED
BY ANY SUCH INDIVIDUAL TO ANY PERSON OR ENTITY OUTSIDE  THE  COMMISSION.
ANY  CONFIDENTIAL  COMMUNICATION  TO  ANY  PERSON  OR ENTITY OUTSIDE THE
COMMISSION RELATED TO THE MATTERS BEFORE THE COMMISSION MAY  OCCUR  ONLY
AS  AUTHORIZED  BY THE COMMISSION AS NECESSARY TO CONDUCT OFFICIAL BUSI-
NESS OR PURSUANT TO COMMISSION RULES OR AS REQUIRED BY LAW.
  (C) THE COMMISSION SHALL ESTABLISH PROCEDURES NECESSARY TO PREVENT THE
UNAUTHORIZED DISCLOSURE OF ANY INFORMATION RECEIVED BY ANY MEMBER OF THE
COMMISSION OR STAFF OF THE COMMISSION. ANY BREACHES  OF  CONFIDENTIALITY
SHALL  BE INVESTIGATED BY THE COMMISSION AND APPROPRIATE ACTION SHALL BE
TAKEN.
  17. (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 remain
confidential, and] any [other] item of information deleted  pursuant  to
paragraph (h) of subdivision nine of this section;
  (2)  notices  of  delinquency  sent  under  subdivision eleven of this
section;
  (3) notices of reasonable cause sent under paragraph (b)  of  subdivi-
sion twelve of this section;
  (4)  notices  of  civil  assessments  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; AND
  (5) the terms of any settlement or compromise of a complaint or refer-
ral which includes a fine, penalty or other remedy[; and
  (6)  those required to be held or maintained publicly available pursu-
ant to article one-A of the legislative law].
  (b) Notwithstanding the provisions of  article  seven  of  the  public
officers  law,  no  meeting or proceeding, including any such proceeding
contemplated under paragraph (h) or (i)  of  subdivision  nine  of  this
section,  of  the  commission  shall  be  open  to the public, except if
expressly provided otherwise by the commission [or  as  is  required  by
article one-A of the legislative law], PROVIDED HOWEVER THAT THE COMMIS-
SION  SHALL  MEET  PUBLICLY  WHENEVER  IT ADOPTS, AMENDS OR RESCINDS ITS
POLICIES, RULES OR REGULATIONS,  PROMULGATES  ITS  GUIDELINES,  APPROVES
EDUCATIONAL MATERIAL, OR ADOPTS ITS ANNUAL REPORT.
  (c)  Pending  any application for deletion or exemption to the commis-
sion, all information which is the subject or a part of the  application

S. 6457                            11                            A. 9544

shall  remain confidential. Upon an adverse determination by the commis-
sion, the reporting individual may request, and upon  such  request  the
commission  shall  provide, that any information which is the subject or
part  of the application remain confidential for a period of thirty days
following notice of such determination. In the event that the  reporting
individual  resigns  his office and holds no other office subject to the
jurisdiction of the commission, the information shall not be made public
and shall be expunged in its entirety.
  18. IF THE COMMISSION BECOMES AWARE OR IS AWARE THAT ALLEGED  CRIMINAL
CONDUCT  THAT  MIGHT ALSO VIOLATE SECTION SEVENTY-THREE, SEVENTY-THREE-A
OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW IS UNDER INVESTIGATION  BY  A
FEDERAL,  STATE  OR LOCAL LAW ENFORCEMENT AGENCY, OR IS BEING PROSECUTED
IN LOCAL, STATE OR FEDERAL COURT, THE COMMISSION SHALL HOLD  THE  MATTER
IN ABEYANCE UNTIL THE CRIMINAL MATTER IS RESOLVED.
  19. If any part or provision of this section or the application there-
of  to  any  person  or organization is adjudged by a court of competent
jurisdiction to be unconstitutional or otherwise invalid, such  judgment
shall  not  affect or impair any other part or provision or the applica-
tion thereof to any other person or organization, but shall be  confined
in its operation to such part or provision.
  S  2. Section 1-b of the legislative law, as added by chapter 2 of the
laws of 1999, is amended to read as follows:
  S 1-b. Short title. This article shall be known and may  be  cited  as
the "ETHICAL STANDARDS IN Lobbying act OF 2010".
  S  3.  Paragraph (i) of subdivision (c) and subdivision (j) of section
1-c of the legislative law, paragraph (i) of subdivision (c) as added by
chapter 1 of the laws of 2005 and subdivision (j) as added by chapter 14
of the laws of 2007, are amended and a new subdivision (w) is  added  to
read as follows:
  (i)  the  passage or defeat of any legislation OR RESOLUTION by either
house of the state legislature or approval or disapproval of any  legis-
lation by the governor;
  (j)  The  term  "gift"  shall mean anything of more than nominal value
given to a public official in any form including,  but  not  limited  to
money,  service,  loan,  travel,  lodging,  meals,  refreshments, enter-
tainment, discount, forbearance, or promise, having  a  monetary  value.
The following are excluded from the definition of a gift:
  (i)  complimentary  attendance,  including  food and beverage, at bona
fide charitable or political events[, and food and beverage of a nominal
value offered other than as part of a meal];
  (ii) complimentary attendance, food and beverage offered by the  spon-
sor  of  [an  event  that  is]  A  widely attended [or was in good faith
intended to be widely attended, when attendance at the event is  related
to  the  attendee's  duties  or responsibilities as a public official or
allows the public official to perform a ceremonial function  appropriate
to  his  or  her position] EVENT. THE TERM "WIDELY ATTENDED EVENT" SHALL
MEAN AN EVENT: (A) WHICH AT LEAST  TWENTY-FIVE  INDIVIDUALS  OTHER  THAN
MEMBERS,  OFFICERS,  OR  EMPLOYEES FROM THE GOVERNMENTAL ENTITY IN WHICH
THE PUBLIC OFFICIAL SERVES ATTEND OR WERE, IN GOOD  FAITH,  INTENDED  TO
ATTEND,  AND  (B) WHICH IS RELATED TO THE ATTENDEE'S DUTIES OR RESPONSI-
BILITIES AS DETERMINED IN ACCORDANCE WITH STANDARDS AND GUIDANCE  ISSUED
BY  THE ETHICS OVERSIGHT BODY THAT HAS JURISDICTION OVER THE ATTENDEE OR
WHICH ALLOWS THE PUBLIC OFFICIAL TO PERFORM A CEREMONIAL FUNCTION APPRO-
PRIATE TO HIS OR HER POSITION;
  (iii) awards, plaques, and other ceremonial items which  are  publicly
presented,  or  intended  to  be  publicly  presented, in recognition of

S. 6457                            12                            A. 9544

public service, provided that the item or items are of the type  custom-
arily  bestowed  at such or similar ceremonies and are otherwise reason-
able under the circumstances, and further provided that the functionali-
ty  of  such  items shall not determine whether such items are permitted
under this paragraph;
  (iv) an honorary degree bestowed upon a public official by a public or
private college or university;
  (v) promotional items having no substantial resale value such as pens,
mugs, calendars, hats, and t-shirts which bear an  organization's  name,
logo, or message in a manner which promotes the organization's cause;
  (vi)  goods and services, or discounts for goods and services, offered
to the general public or a segment of the general public  defined  on  a
basis  other  than  status  as a public official and offered on the same
terms and conditions as the goods or services are offered to the general
public or segment thereof;
  (vii) gifts from a family member, member of  the  same  household,  or
person  with a personal relationship with the public official, including
invitations to attend personal or family social events, when the circum-
stances  establish  that  it  is  the  family,  household,  or  personal
relationship that is the primary motivating factor; in determining moti-
vation,  the  following factors shall be among those considered: (A) the
history and nature of the relationship between the donor and the recipi-
ent, including whether or not items have previously been exchanged;  (B)
whether  the item was purchased by the donor; and (C) whether or not the
donor at the same time gave similar items to other public officials; the
transfer shall not be considered to be motivated by a family, household,
or personal relationship if the donor seeks  to  charge  or  deduct  the
value  of  such item as a business expense or seeks reimbursement from a
client;
  (viii) contributions reportable under article fourteen of the election
law;
  (ix) travel reimbursement or payment  for  transportation,  meals  and
accommodations  for an attendee, panelist or speaker at an informational
event when such reimbursement or payment is made by a governmental enti-
ty or by an in-state accredited public or private institution of  higher
education  that  hosts  the event on its campus, provided, however, that
the public official may only accept lodging from an institution of high-
er education: (A) at a location on or within close proximity to the host
campus; and (B) for the night preceding and the nights of  the  days  on
which the attendee, panelist or speaker actually attends the event;
  (x)  provision  of local transportation to inspect or tour facilities,
operations or property [owned or operated by the entity  providing  such
transportation]  LOCATED IN NEW YORK STATE, provided, however, THAT SUCH
INSPECTION OR TOUR IS RELATED TO THE  INDIVIDUAL'S  OFFICIAL  DUTIES  OR
RESPONSIBILITIES AS DETERMINED IN ACCORDANCE WITH STANDARDS AND GUIDANCE
ISSUED  BY  THE  ETHICS  OVERSIGHT  BOARD THAT HAS JURISDICTION OVER THE
INDIVIDUAL AND that payment or reimbursement of lodging, meals or travel
expenses to and from the locality where such facilities,  operations  or
property  are  located  shall be considered to be gifts unless otherwise
permitted under this subdivision; [and]
  (xi) meals or refreshments when participating  in  a  professional  or
educational  program  and  the meals or refreshments are provided to all
participants; AND
  (XII) FOOD OR BEVERAGE VALUED AT TEN DOLLARS  OR  LESS  OFFERED  OTHER
THAN AS PART OF A MEAL.

S. 6457                            13                            A. 9544

  (W) THE TERM "REPORTABLE BUSINESS RELATIONSHIP" SHALL MEAN A RELATION-
SHIP  IN  WHICH  COMPENSATION  IS PAID BY A LOBBYIST OR BY A CLIENT OF A
LOBBYIST, IN EXCHANGE FOR ANY GOODS, SERVICES OR ANYTHING OF VALUE,  THE
TOTAL  VALUE  OF WHICH IS IN EXCESS OF ONE THOUSAND DOLLARS ANNUALLY, TO
BE  PERFORMED  OR PROVIDED BY OR INTENDED TO BE PERFORMED OR PROVIDED BY
(I) ANY STATEWIDE  ELECTED  OFFICIAL,  STATE  OFFICER,  STATE  EMPLOYEE,
MEMBER  OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE OR (II) ANY ENTITY IN
WHICH THE LOBBYIST OR THE CLIENT OF A LOBBYIST KNOWS OR  HAS  REASON  TO
KNOW  THE  STATEWIDE  ELECTED  OFFICIAL,  STATE OFFICER, STATE EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE IS A PROPRIETOR, PART-
NER, DIRECTOR, OFFICER OR MANAGER, OR OWNS OR CONTROLS  TEN  PERCENT  OR
MORE OF THE STOCK OF SUCH ENTITY (OR ONE PERCENT IN THE CASE OF A CORPO-
RATION  WHOSE  STOCK  IS  REGULARLY  TRADED ON AN ESTABLISHED SECURITIES
EXCHANGE).
  S 3-a. Subdivision (f) of section  1-c  of  the  legislative  law,  as
amended  by  chapter  14  of  the  laws  of  2007, is amended to read as
follows:
  (f) The term "commission" shall mean the [commission on public  integ-
rity created by section ninety-four of the executive law] NEW YORK STATE
COMMISSION ON LOBBYING ETHICS AND COMPLIANCE CREATED BY SECTION ONE-D OF
THIS ARTICLE.
  S  4.  Section 1-d of the legislative law, as amended by chapter 14 of
the laws of 2007, is amended to read as follows:
  S 1-d. [Lobby-related powers of the commission]  THE  NEW  YORK  STATE
COMMISSION  ON  LOBBYING  ETHICS  AND COMPLIANCE. (A) (I) THERE SHALL BE
ESTABLISHED A COMMISSION TO BE KNOWN AS THE NEW YORK STATE COMMISSION ON
LOBBYING ETHICS AND COMPLIANCE WHICH SHALL CONSIST OF SIX  MEMBERS.  THE
MEMBERS OF THE COMMISSION SHALL BE APPOINTED AS FOLLOWS:
  (1) TWO BY THE GOVERNOR;
  (2) ONE BY THE TEMPORARY PRESIDENT OF THE SENATE;
  (3) ONE BY THE SPEAKER OF THE ASSEMBLY;
  (4) ONE BY THE MINORITY LEADER OF THE SENATE; AND
  (5) ONE BY THE MINORITY LEADER OF THE ASSEMBLY.
  (II)  OF  THE  TWO  MEMBERS  APPOINTED BY THE GOVERNOR, ONE SHALL BE A
MEMBER OF THE SAME POLITICAL PARTY AS THE SPEAKER OF  THE  ASSEMBLY  AND
ONE SHALL BE A MEMBER OF THE SAME POLITICAL PARTY AS THE MINORITY LEADER
OF THE ASSEMBLY.
  (B) THE TERM OF OFFICE OF THE MEMBERS SHALL BE FOR FOUR YEARS COMMENC-
ING  WITH  THE FIRST DAY OF AUGUST, TWO THOUSAND TEN, PROVIDED, HOWEVER,
THAT OF THE INITIAL MEMBERS SO APPOINTED: ONE MEMBER  APPOINTED  BY  THE
GOVERNOR  SHALL  SERVE  A  TERM OF ONE YEAR; THE MEMBER APPOINTED BY THE
TEMPORARY PRESIDENT OF THE SENATE AND THE MEMBER APPOINTED BY THE MINOR-
ITY LEADER OF THE SENATE SHALL SERVE A TERM OF TWO YEARS; AND THE MEMBER
APPOINTED BY THE SPEAKER OF THE ASSEMBLY AND THE MEMBER APPOINTED BY THE
MINORITY LEADER OF THE ASSEMBLY SHALL SERVE A TERM OF THREE YEARS.    NO
MEMBER  OF  THE  COMMISSION  SHALL  HOLD  OR  SHALL HAVE HELD WITHIN THE
PRECEDING FIVE YEARS ANY STATE OR LOCAL ELECTED OFFICE; AND NO MEMBER OF
THE COMMISSION SHALL BE OR HAVE BEEN WITHIN  THE  PRECEDING  FIVE  YEARS
EMPLOYED  BY  THE STATE OR BY ANY LOCAL POLITICAL SUBDIVISION SUBJECT TO
THIS ARTICLE.  NO PERSON SUBJECT TO THE JURISDICTION OF  THE  COMMISSION
AND  THE  PROVISIONS  OF THIS ARTICLE OR REGISTERED AS A LOBBYIST IN ANY
OTHER JURISDICTION WITHIN THE PRECEDING FIVE  YEARS  MAY  SERVE  ON  THE
COMMISSION.
  (C) THE CHAIR AND THE VICE-CHAIR OF THE COMMISSION SHALL BE ELECTED BY
A  MAJORITY  OF  THE MEMBERS OF THE COMMISSION TO SERVE A ONE YEAR TERM.
THE CHAIR SHALL BE A MEMBER OF A  DIFFERENT  POLITICAL  PARTY  THAN  THE

S. 6457                            14                            A. 9544

CHAIR  OF THE COMMISSION DURING THE PRECEDING TERM.  THE CHAIR AND VICE-
CHAIR SHALL EACH BE A MEMBER OF A DIFFERENT  MAJOR  POLITICAL  PARTY  AS
SUCH TERM IS DEFINED IN THE ELECTION LAW.
  (D)  ANY  MATTER  UPON  WHICH THE COMMISSION MUST ACT BY A VOTE OF THE
MEMBERSHIP MUST BE BY AN AFFIRMATIVE VOTE OF A MAJORITY OF  THE  MEMBERS
OF  THE COMMISSION WITHOUT VACANCY.  EACH MEMBER SHALL CONTINUE TO SERVE
UNTIL A SUCCESSOR IS APPOINTED IN THE MANNER PROVIDED IN THIS SECTION.
  (E) EACH OF THE MEMBERS OF THE COMMISSION SHALL  RECEIVE,  AS  COMPEN-
SATION  FOR HIS OR HER SERVICES UNDER THIS ARTICLE, A PER DIEM ALLOWANCE
IN THE SUM OF ONE HUNDRED DOLLARS FOR EACH DAY  ACTUALLY  SPENT  IN  THE
PERFORMANCE  OF  HIS  OR  HER  DUTIES UNDER THIS ARTICLE, NOT EXCEEDING,
HOWEVER, THE SUM OF FIVE THOUSAND DOLLARS IN ANY CALENDAR YEAR, AND,  IN
ADDITION  THERETO, SHALL BE REIMBURSED FOR ALL REASONABLE EXPENSES ACTU-
ALLY AND NECESSARILY INCURRED BY HIM OR HER IN THE PERFORMANCE OF HIS OR
HER DUTIES UNDER THIS ARTICLE.
  (F) VACANCIES IN THE MEMBERSHIP OF THE COMMISSION  OCCURRING  FOR  ANY
CAUSE  SHALL BE FILLED FOR THE BALANCE OF THE UNEXPIRED TERM IN THE SAME
MANNER AS THE ORIGINAL APPOINTMENT OF THE MEMBER  WHOSE  OFFICE  BECOMES
VACANT.
  (G) MEMBERS OF THE COMMISSION MAY BE REMOVED BY THE APPOINTING AUTHOR-
ITY FOR SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT IN OFFICE, INABIL-
ITY  TO  DISCHARGE  THE  POWERS OR DUTIES OF OFFICE OR VIOLATION OF THIS
SECTION, AFTER WRITTEN NOTICE AND OPPORTUNITY FOR A REPLY.
  (H) STRUCTURE OF THE COMMISSION:
  (I) THE CHIEF ADMINISTRATIVE OFFICER OF THE COMMISSION  SHALL  BE  THE
EXECUTIVE  DIRECTOR,  WHO  SHALL  BE APPOINTED BY A MAJORITY VOTE OF THE
COMMISSION AND SHALL SERVE A THREE YEAR TERM,  EXCEPT  THAT  HE  OR  SHE
SHALL BE DISMISSED ONLY FOR CAUSE BY A MAJORITY VOTE OF THE COMMISSION.
  [In  addition to any other powers and duties provided by section nine-
ty-four of the executive law, the]  (II)  THE  commission  shall[,  with
respect to its lobbying-related functions only,] have the power and duty
to:
  [(a)] (1) administer and enforce all the provisions of this article;
  [(b)]  (2) conduct a program of random audits subject to the terms and
conditions of this section. Any such program shall be carried out in the
following manner:
  [(i)] A. The commission may randomly select  reports  or  registration
statements required to be filed by lobbyists or clients pursuant to this
article for audit. Any such selection shall be done in a manner pursuant
to  which the identity of any particular lobbyist or client whose state-
ment or report is selected for audit is unknown to the  commission,  its
staff or any of their agents prior to selection.
  [(ii)]  B.  The  commission shall develop protocols for the conduct of
such random audits. Such random audits may  require  the  production  of
books,  papers, records or memoranda relevant and material to the prepa-
ration of the selected statements or reports,  for  examination  by  the
commission.    Any  such  protocols shall ensure that similarly situated
statements or reports are audited in a uniform manner.
  [(iii)] C. The commission shall contract with  an  outside  accounting
entity, which shall monitor the process pursuant to which the commission
selects  statements  or reports for audit and carries out the provisions
of [paragraphs (i) and (ii) of this subdivision] CLAUSES A AND B OF THIS
SUBPARAGRAPH and [certifies] CERTIFY that such process complies with the
provisions of such [paragraphs] CLAUSES.
  [(iv)] D. Upon completion of a random audit  conducted  in  accordance
with  the provisions of [paragraphs (i), (ii) and (iii) of this subdivi-

S. 6457                            15                            A. 9544

sion] CLAUSES A, B AND C OF  THIS  SUBPARAGRAPH,  the  commission  shall
determine  whether  there  is  reasonable cause to believe that any such
statement or report is inaccurate or incomplete.  Upon  a  determination
that  such  reasonable  cause  exists,  the  commission  may require the
production of further books, records or memoranda,  subpoena  witnesses,
compel  their  attendance and testimony and administer oaths or affirma-
tions, to the extent the commission determines such actions  are  neces-
sary  to  obtain information relevant and material to investigating such
inaccuracies or omissions;
  [(c)] (3) conduct hearings pursuant to article  seven  of  the  public
officers  law.  Any  hearing  may  be conducted as a video conference in
accordance with the  provisions  of  subdivision  four  of  section  one
hundred four of the public officers law;
  [(d)]  (4)  prepare  uniform  forms  for  the  statements  and reports
required by this article;
  [(e)] (5) meet at least once during each bi-monthly  reporting  period
of  the  year as established by subdivision (a) of section one-h of this
article and may meet at such other times as the commission, or the chair
and vice-chair jointly, shall determine;
  [(f)] (6) issue advisory opinions to  those  under  its  jurisdiction.
Such  advisory  opinions, which shall be published and made available to
the public, shall not  be  binding  upon  such  commission  except  with
respect to the person to whom such opinion is rendered, provided, howev-
er,  that  a subsequent modification by such commission of such an advi-
sory opinion shall operate prospectively only; and
  [(g)] (7) submit by the first day of March next following the year for
which such report is made to the governor and the members of the  legis-
lature  an  annual report summarizing the commission's work, listing the
lobbyists and clients required to register pursuant to this article  and
the  expenses  and  compensation  reported  pursuant to this article and
making recommendations with respect  to  this  article.  The  commission
shall make this report available free of charge to the public.
  (I)  THE  COMMISSION  SHALL  UNDERTAKE  A  COMPREHENSIVE REVIEW OF ALL
APPLICABLE REGULATIONS AND OPINIONS ISSUED  BY  THE  TEMPORARY  LOBBYING
COMMISSION  AND  THE  COMMISSION ON PUBLIC INTEGRITY, WHICH REVIEWS WILL
ADDRESS THE CONSISTENCY OF SUCH  REGULATIONS  AND  OPINIONS  AMONG  EACH
OTHER  AND  WITH  THE  STATUTORY  LANGUAGE. THE COMMISSION SHALL, BEFORE
DECEMBER FIRST, TWO THOUSAND ELEVEN, REPORT TO THE GOVERNOR AND LEGISLA-
TURE REGARDING SUCH REVIEW AND SHALL PROPOSE ANY REGULATORY CHANGES  AND
ISSUE ANY ADVISORY OPINIONS NECESSITATED BY SUCH REVIEW.
  S 5. Subdivision (b) and paragraph 3 of subdivision (c) of section 1-e
of  the legislative law, subdivision (b) as amended by section 1 of part
S of chapter 62 of the laws of 2003 and paragraph 3 of  subdivision  (c)
as  amended  by  chapter  1  of the laws of 2005, are amended to read as
follows:
  (b) (i) Such statements of registration shall be kept on  file  for  a
period  of  [three]  FOUR  years  for  those filing periods where annual
statements are required, and shall be open to public  inspection  during
such  period;  (ii) Biennial statements of registration shall be kept on
file for a period of [three] TWO biennial filing periods where  biennial
statements  are  required, and shall be open to public inspection during
such period.
  (3) if such lobbyist is retained or employed  pursuant  to  a  written
agreement  of  retainer  or  employment,  a  copy  of such shall also be
attached and if such retainer or employment is oral, a statement of  the
substance  thereof; such written retainer, or if it is oral, a statement

S. 6457                            16                            A. 9544

of the substance thereof, and any amendment thereto, shall  be  retained
for a period of [three] FOUR years;
  S  5-a.  Subdivision  (c)  of  section  1-e  of the legislative law is
amended by adding a new paragraph 8 to read as follows:
   (8) (I) THE NAME AND PUBLIC OFFICE ADDRESS OF ANY  STATEWIDE  ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY WITH WHOM THE LOBBYIST HAS A REPORTABLE BUSI-
NESS RELATIONSHIP;
  (II)  A  DESCRIPTION  OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE LOBBYIST OR  LOBBYISTS  AND  THE  STATEWIDE  ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY; AND
  (III)  THE  COMPENSATION,  INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF
THE BUSINESS RELATIONSHIP.
  S 5-b. Subdivision (b) of  section  1-j  of  the  legislative  law  is
amended by adding a new paragraph 6 to read as follows:
  (6)  (I)  THE  NAME AND PUBLIC OFFICE ADDRESS OF ANY STATEWIDE ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY WITH WHOM THE CLIENT  OF  A  LOBBYIST  HAS  A
REPORTABLE BUSINESS RELATIONSHIP;
  (II)  A  DESCRIPTION  OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE CLIENT OF THE LOBBYIST OR LOBBYISTS AND  THE  STATE-
WIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLA-
TURE OR LEGISLATIVE EMPLOYEE AND ENTITY;
  (III)  THE  COMPENSATION,  INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF
THE BUSINESS RELATIONSHIP.
  S 6. Subparagraph (v) of paragraph 5 of subdivision (b) and  paragraph
2  of subdivision (c) of section 1-h of the legislative law, as added by
chapter 2 of the laws of 1999, are amended to read as follows:
  (v) expenses of more than fifty dollars shall  be  paid  by  check  or
substantiated  by receipts and such checks and receipts shall be kept on
file by the lobbyist for a period of [three] FOUR years.
  (2) Such bi-monthly reports shall be kept on  file  for  [three]  FOUR
years and shall be open to public inspection during such time.
  S  7. Subparagraph (v) of paragraph 6 of subdivision (b) and paragraph
2 of subdivision (c) of section 1-i of the legislative law, as added  by
chapter 2 of the laws of 1999, are amended to read as follows:
  (v)  expenses  of  more  than  fifty  dollars must be paid by check or
substantiated by receipts and such checks and receipts shall be kept  on
file by such public corporation for a period of [three] FOUR years.
  (2)  Such  bi-monthly  reports  shall  be kept on file for a period of
[three] FOUR years and shall be open to public  inspection  during  such
period.
  S  8. Subparagraph (v) of paragraph 5 of subdivision (b) and paragraph
2 of subdivision (c) of section 1-j of the legislative law,  as  amended
by chapter 1 of the laws of 2005, are amended to read as follows:
  (v)  expenses  of  more  than  fifty  dollars must be paid by check or
substantiated by receipts and such checks and receipts shall be kept  on
file by such client for a period of [three] FOUR years.
  (2)  Such  semi-annual  reports  shall be kept on file for a period of
[three] FOUR years and shall be open to public  inspection  during  such
period.
  S 8-a. Subdivision (a) of section 1-o of the legislative law, as added
by chapter 14 of the laws of 2007, is amended to read as follows:
  (a)  (i) Any lobbyist, public corporation, or client who knowingly and
wilfully fails to file timely a report or  statement  required  by  this

S. 6457                            17                            A. 9544

[section]  ARTICLE  or knowingly and wilfully files false information or
knowingly and wilfully violates section one-m of this article  shall  be
guilty of a class A misdemeanor; and
  (ii)  any  lobbyist,  public  corporation, or client who knowingly and
wilfully fails to file timely a report or  statement  required  by  this
[section]  ARTICLE  or knowingly and wilfully files false information or
knowingly and wilfully violates section one-m  of  this  article,  after
having  previously  been  convicted  in  the preceding five years of the
crime described in paragraph (i) of this subdivision, shall be guilty of
a class E felony. Any lobbyist convicted of  or  pleading  guilty  to  a
felony under the provisions of this section may be barred from acting as
a lobbyist for a period of one year from the date of the conviction. For
the  purposes  of  this subdivision, the chief administrative officer of
any organization required to file a statement or  report  shall  be  the
person responsible for making and filing such statement or report unless
some other person prior to the due date thereof has been duly designated
to make and file such statement or report.
  S  8-b.  Section 1-p of the legislative law is amended by adding a new
subdivision (d) to read as follows:
  (D) NOTWITHSTANDING ANY OTHER PROVISION OF LAW, IF THE COMMISSION  HAS
A  REASONABLE  BASIS TO BELIEVE THAT ANY PERSON SUBJECT TO THE JURISDIC-
TION OF THE EXECUTIVE ETHICS AND  COMPLIANCE  COMMISSION  OR  THE  JOINT
LEGISLATIVE  COMMISSION  ON  ETHICS  STANDARDS  MAY  HAVE  VIOLATED  ANY
PROVISION OF SECTION SEVENTY-THREE OR SEVENTY-FOUR OF THE  PUBLIC  OFFI-
CERS  LAW  OR  THAT  ANY PERSON SUBJECT TO THE JURISDICTION OF THE STATE
BOARD OF ELECTIONS MAY HAVE VIOLATED ARTICLE FOURTEEN  OF  THE  ELECTION
LAW,  IT  SHALL REFER SUCH VIOLATION TO THE EXECUTIVE ETHICS AND COMPLI-
ANCE COMMISSION OR THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS,
AS APPROPRIATE, UNLESS THE COMMISSION DETERMINES THAT  SUCH  A  REFERRAL
WOULD  COMPROMISE  THE  PROSECUTION  OR  CONFIDENTIALITY OF ITS INVESTI-
GATIONS AND, IF SO, SHALL MAKE A REFERRAL AS SOON  AS  PRACTICABLE.  THE
REFERRAL  BY  THE COMMISSION TO SUCH ENTITIES SHALL INCLUDE ANY INFORMA-
TION RELATING THERETO COMING INTO THE CUSTODY OR CONTROL OF THE  COMMIS-
SION AT ANY TIME PRIOR OR SUBSEQUENT TO THE REFERRAL.
  S  9.  Section  80  of  the  legislative  law  is REPEALED and two new
sections 80 and 81 are added to read as follows:
  S 80. LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS.   1. OFFICE  ESTAB-
LISHED.  THERE  IS  ESTABLISHED  A LEGISLATIVE OFFICE OF ETHICS INVESTI-
GATIONS FOR THE PURPOSE OF ASSISTING THE LEGISLATURE IN CARRYING OUT ITS
INVESTIGATORY  AND  ENFORCEMENT  RESPONSIBILITIES  WITH  REGARD  TO  ITS
ETHICAL  STANDARDS  AND  RECEIVING  REFERRALS OF COMPLAINTS FOR INVESTI-
GATION FROM THE JOINT LEGISLATIVE COMMISSION  ON  ETHICS  STANDARDS  AND
FROM  THE  STANDING COMMITTEES ON ETHICS OF THE SENATE AND ASSEMBLY, AND
RECEIVING COMPLAINTS FROM THE PUBLIC.
  2. THE GOVERNING BOARD.  (A) THE OFFICE SHALL BE GOVERNED BY  A  BOARD
CONSISTING  OF  EIGHT  INDIVIDUALS OF WHOM TWO SHALL BE APPOINTED BY THE
SPEAKER OF THE ASSEMBLY; TWO SHALL BE APPOINTED BY THE  MINORITY  LEADER
OF  THE  ASSEMBLY;  TWO SHALL BE APPOINTED BY THE TEMPORARY PRESIDENT OF
THE SENATE; AND TWO SHALL BE APPOINTED BY THE  MINORITY  LEADER  OF  THE
SENATE.
  (B)  THE  LEGISLATIVE  LEADERS  EACH SHALL APPOINT INDIVIDUALS WHO ARE
QUALIFIED TO SERVE ON THE BOARD BY VIRTUE OF THEIR  EDUCATION,  TRAINING
OR  EXPERIENCE IN ONE OR MORE OF THE FOLLOWING DISCIPLINES OR PROCESSES:
LEGISLATIVE, JUDICIAL, ADMINISTRATIVE,  PROFESSIONAL  ETHICS,  BUSINESS,
LEGAL, AND ACADEMIC.

S. 6457                            18                            A. 9544

  (C)  THE  SPEAKER AND THE TEMPORARY PRESIDENT OF THE SENATE SHALL EACH
DESIGNATE ONE MEMBER OF THE BOARD AS CO-CHAIRPERSON.
  (D) NO INDIVIDUAL SHALL BE ELIGIBLE FOR APPOINTMENT TO, OR SERVICE ON,
THE BOARD WHO CURRENTLY OR WITHIN THE LAST FIVE YEARS:
  (I)  IS  REQUIRED  TO REGISTER AS A LOBBYIST OR HAS BEEN A LOBBYIST IN
NEW YORK STATE OR IN ANY OTHER JURISDICTION;
  (II) IS OR HAS BEEN A CANDIDATE FOR A POSITION IN THE NEW  YORK  STATE
LEGISLATURE;
  (III)  IS  OR  HAS BEEN A MEMBER, OFFICER, OR EMPLOYEE OF THE NEW YORK
STATE LEGISLATURE; OR
  (IV) IS OR HAS BEEN A POLITICAL PARTY CHAIRMAN, AS  DEFINED  IN  PARA-
GRAPH  (K)  OF  SUBDIVISION  ONE  OF SECTION SEVENTY-THREE OF THE PUBLIC
OFFICERS LAW.
  (E) NO BOARD MEMBER SHALL BE CURRENTLY A STATEWIDE ELECTED OFFICIAL OR
AN OFFICER OR EMPLOYEE OF THE NEW YORK STATE GOVERNMENT.
  (F) THE TERM OF A BOARD MEMBER SHALL BE FOUR YEARS.
  (G) BOARD MEMBERS SHALL RECEIVE A PER DIEM ALLOWANCE IN THE SUM OF ONE
HUNDRED DOLLARS FOR EACH DAY ACTUALLY SPENT IN THE PERFORMANCE OF HIS OR
HER DUTIES UNDER THIS ARTICLE, NOT EXCEEDING, HOWEVER, THE SUM  OF  FIVE
THOUSAND  DOLLARS  IN ANY CALENDAR YEAR, AND, IN ADDITION THERETO, SHALL
BE REIMBURSED FOR  ALL  REASONABLE  EXPENSES  ACTUALLY  AND  NECESSARILY
INCURRED  BY  HIM  OR  HER IN THE PERFORMANCE OF HIS OR HER DUTIES UNDER
THIS ARTICLE.
  (H) A MAJORITY OF THE MEMBERS  OF  THE  BOARD  WITHOUT  VACANCY  SHALL
CONSTITUTE A QUORUM.
  (I)  THE  BOARD  SHALL MEET AT THE CALL OF THE CHAIRPERSONS OR FOUR OF
ITS MEMBERS PURSUANT TO ITS RULES.
  (J) ANY VACANCY OCCURRING ON THE BOARD SHALL BE  FILLED  WITHIN  SIXTY
DAYS BY THE APPOINTING AUTHORITY.
  3.  POWERS  AND  DUTIES  OF  THE  BOARD.  THE  BOARD IS AUTHORIZED AND
DIRECTED TO:
  (A) APPOINT AN EXECUTIVE DIRECTOR FOR A TERM OF THREE YEARS, WHO SHALL
BE DISMISSED ONLY FOR CAUSE BY A MAJORITY VOTE  OF  THE  BOARD,  APPOINT
SUCH  OTHER  STAFF AS ARE NECESSARY TO ASSIST IT TO CARRY OUT ITS DUTIES
UNDER THIS SECTION AND ENTER INTO CONTRACTS FOR SERVICES AS  ARE  NECES-
SARY TO ASSIST IT TO CARRY OUT ITS DUTIES UNDER THIS SECTION;
  (B)  RECEIVE  AND ACT ON SWORN 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  BOARD  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;
  (C) RECEIVE AND ACT ON, AS IF IT WERE A SWORN COMPLAINT, ANY REFERRALS
FROM  THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS OR THE STAND-
ING COMMITTEES ON ETHICS OF THE SENATE AND ASSEMBLY;
  (D) RECEIVE AND ACT ON, AS IF IT WERE A SWORN COMPLAINT, ANY  REFERRAL
FROM  ANOTHER  OVERSIGHT  BODY  INDICATING  THAT  A VIOLATION OF SECTION
SEVENTY-THREE OR SEVENTY-FOUR  OF  THE  PUBLIC  OFFICERS  LAW  MAY  HAVE
OCCURRED  INVOLVING  PERSONS SUBJECT TO THE JURISDICTION OF THE LEGISLA-
TIVE OFFICE OF ETHICS INVESTIGATIONS;
  (E) DELIVER TO THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS  A
REPORT  ON THE BOARD'S FINDINGS AND DETERMINATIONS REGARDING ANY ALLEGED
VIOLATIONS OF SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND  SEVENTY-FOUR
OF  THE  PUBLIC  OFFICERS  LAW AND DELIVER TO THE STANDING COMMITTEES ON

S. 6457                            19                            A. 9544

ETHICS OF THE SENATE OR  ASSEMBLY,  AS  APPROPRIATE,  A  REPORT  ON  THE
BOARD'S  FINDINGS AND DETERMINATIONS REGARDING ANY COMPLAINT REFERRED TO
IT BY THE COMMITTEES; AND
  (F) ADOPT RULES TO CARRY OUT ITS DUTIES CONSISTENT WITH THE PROVISIONS
OF SUBDIVISION FOUR OF THIS SECTION.
  4.  PROCEDURE.   (A) PRELIMINARY REVIEW. (I) UPON RECEIPT OF A WRITTEN
SWORN COMPLAINT OR  REFERRAL  PURSUANT  TO  SUBDIVISION  THREE  OF  THIS
SECTION, THE GOVERNING BOARD SHALL, WITHIN TEN CALENDAR DAYS:
  (A) INITIATE A PRELIMINARY REVIEW OF ANY ALLEGED VIOLATION BY A MEMBER
OF  THE  LEGISLATURE, OFFICER, OR LEGISLATIVE EMPLOYEE OF SECTION SEVEN-
TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE  PUBLIC  OFFICERS  LAW,
AND  ANY  OTHER MATTER REFERRED TO IT BY THE ASSEMBLY OR SENATE STANDING
COMMITTEE ON ETHICS OR THE JOINT LEGISLATIVE COMMISSION ON ETHICS STAND-
ARDS PURSUANT TO SUBDIVISION THREE OF THIS SECTION;
  (B) NOTIFY IN WRITING THE JOINT LEGISLATIVE COMMISSION ON ETHICS STAN-
DARDS OR THE APPROPRIATE STANDING COMMITTEE ON ETHICS AND THE  COMPLAIN-
ANT, IF THERE IS ONE, THAT THE PRELIMINARY REVIEW HAS COMMENCED; AND
  (C)  NOTIFY  IN  WRITING  ANY  INDIVIDUAL  WHO  IS THE SUBJECT OF SUCH
PRELIMINARY REVIEW AND PROVIDE SUCH INDIVIDUAL WITH A DESCRIPTION OF THE
POSSIBLE OR ALLEGED VIOLATION AND A COPY OF ITS  RULES  AND  PROCEDURES,
WHICH  SHALL  INCLUDE THE DUE PROCESS PROCEDURAL MECHANISMS AVAILABLE TO
SUCH INDIVIDUAL AND THE OPPORTUNITY FOR  SUCH  INDIVIDUAL  TO  SUBMIT  A
WRITTEN RESPONSE IN ACCORDANCE WITH SUBPARAGRAPH (II) OF THIS PARAGRAPH.
  (II) THE INDIVIDUAL WHO IS THE SUBJECT OF THE PRELIMINARY REVIEW SHALL
HAVE  THE  OPPORTUNITY TO SUBMIT WITHIN FIFTEEN CALENDAR DAYS OF RECEIPT
OF NOTICE PURSUANT TO CLAUSE (C) OF SUBPARAGRAPH (I) OF THIS  PARAGRAPH,
A  WRITTEN RESPONSE SETTING FORTH INFORMATION RELATING TO THE ACTIVITIES
CITED AS A POSSIBLE OR ALLEGED VIOLATION OF LAW.
  (III) THE GOVERNING BOARD SHALL, WITHIN FORTY-FIVE CALENDAR DAYS AFTER
RECEIPT OF A WRITTEN COMPLAINT OR REFERRAL  UNDER  SUBPARAGRAPH  (I)  OF
THIS PARAGRAPH, COMPLETE ITS PRELIMINARY REVIEW AND SHALL VOTE ON WHETH-
ER TO COMMENCE A SECOND PHASE REVIEW OF THE MATTER UNDER CONSIDERATION.
  (IV)  NOTWITHSTANDING  THE  PROVISIONS  OF SUBPARAGRAPHS (I), (II) AND
(III) OF THIS PARAGRAPH, THE GOVERNING BOARD MAY TERMINATE A PRELIMINARY
REVIEW BY AN AFFIRMATIVE VOTE OF NOT LESS THAN FIVE MEMBERS AT ANY  TIME
WITHIN  THE  APPLICABLE  FORTY-FIVE CALENDAR DAYS UPON ITS DETERMINATION
THAT THE ALLEGED VIOLATION UNDER REVIEW  IS  DE  MINIMIS  IN  NATURE  OR
CURED.  UPON  THE  TERMINATION  OF A PRELIMINARY REVIEW PURSUANT TO THIS
SUBPARAGRAPH OR SUBPARAGRAPH (III)  OF  THIS  PARAGRAPH,  THE  GOVERNING
BOARD  SHALL  NOTIFY,  IN  WRITING,  THE JOINT LEGISLATIVE COMMISSION ON
ETHICS STANDARDS OR THE APPROPRIATE STANDING COMMITTEE  ON  ETHICS,  THE
COMPLAINANT,  IF THERE IS ONE, AND THE INDIVIDUAL WHO WAS THE SUBJECT OF
SUCH PRELIMINARY REVIEW, OF SUCH TERMINATION. UPON SUCH TERMINATION, THE
GOVERNING BOARD SHALL NOT DISCLOSE ANY MATERIALS OR INFORMATION  RELATED
TO SUCH PRELIMINARY REVIEW.
  (B)  SECOND-PHASE  REVIEW.  (I)  UPON THE AFFIRMATIVE VOTE OF NOT LESS
THAN FOUR GOVERNING BOARD MEMBERS TO  COMMENCE  A  SECOND-PHASE  REVIEW,
WRITTEN  NOTICE  OF  THE GOVERNING BOARD'S DECISION SHALL BE PROVIDED TO
THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS OR THE  APPROPRIATE
STANDING  COMMITTEE  ON ETHICS, AND TO THE INDIVIDUAL WHO IS THE SUBJECT
OF SUCH SECOND-PHASE REVIEW. SUCH WRITTEN NOTICE SHALL INCLUDE A COPY OF
THE GOVERNING BOARD'S  RULES  AND  PROCEDURES  AND  SHALL  ALSO  INCLUDE
NOTIFICATION OF SUCH INDIVIDUAL'S RIGHT TO BE HEARD WITHIN THIRTY CALEN-
DAR DAYS OF THE DATE OF THE GOVERNING BOARD'S WRITTEN NOTICE.
  (II)  THE  GOVERNING  BOARD MAY HOLD SUCH HEARINGS AS MAY BE NECESSARY
AND SIT AND ACT ONLY IN EXECUTIVE SESSION AT SUCH TIMES AND  PLACES  AND

S. 6457                            20                            A. 9544

SOLICIT  SUCH  TESTIMONY  AND  RECEIVE  SUCH RELEVANT EVIDENCE AS MAY BE
NECESSARY TO CARRY OUT ITS DUTIES.  THE BOARD SHALL PROVIDE THE INDIVID-
UAL WHO IS THE SUBJECT OF THE REVIEW THE OPPORTUNITY TO BE HEARD ON  THE
MATTER WITHIN THIRTY CALENDAR DAYS OF SUCH WRITTEN NOTICE.
  (III)  NOT  LATER  THAN  FORTY-FIVE  CALENDAR DAYS AFTER THE GOVERNING
BOARD'S DECISION TO COMMENCE A SECOND-PHASE REVIEW, THE GOVERNING  BOARD
SHALL  PRESENT  A  WRITTEN REPORT TO THE JOINT LEGISLATIVE COMMISSION ON
ETHICS STANDARDS OR THE APPROPRIATE STANDING  COMMITTEE  ON  ETHICS  AND
DELIVER A COPY OF THE REPORT TO THE INDIVIDUAL WHO IS THE SUBJECT OF THE
REVIEW. SUCH WRITTEN REPORT SHALL INCLUDE:
  (A)  A  STATEMENT  THAT  THE  MATTER  REQUIRES  FURTHER REVIEW BY SUCH
COMMITTEE OR COMMISSION, AS APPROPRIATE; OR
  (B) A RECOMMENDATION THAT THE MATTER UNDER REVIEW BE DISMISSED BY SUCH
COMMITTEE OR COMMISSION IN ACCORDANCE WITH PARAGRAPH (C) OF THIS  SUBDI-
VISION; OR
  (C) A STATEMENT THAT THE GOVERNING BOARD IS UNABLE TO RECOMMEND ACTION
BECAUSE  OF  A  TIE  VOTE.  SUCH  STATEMENT  SHALL INCLUDE THE NUMBER OF
MEMBERS VOTING IN THE AFFIRMATIVE AND NEGATIVE AND A  STATEMENT  OF  THE
NATURE OF THE REVIEW; AND
  (D) A SUMMARY OF THE GOVERNING BOARD'S FINDINGS OF FACT.
  (IV)  THE GOVERNING BOARD SHALL ALSO TRANSMIT TO THE JOINT LEGISLATIVE
COMMISSION ON ETHICS STANDARDS OR THE APPROPRIATE STANDING COMMITTEE  ON
ETHICS;  CITATIONS  TO ANY RELEVANT LAW, RULE, REGULATION OR STANDARD OF
CONDUCT; THE NAMES OF ALL WITNESSES; COPIES OF ANY DOCUMENTS  SUBMITTED;
ANY CONCLUSIONS REGARDING THE VALIDITY OF THE ALLEGATIONS UPON WHICH THE
COMPLAINT OR REFERRAL IS BASED; AND A DESCRIPTION OF ANY RELEVANT INFOR-
MATION  THAT  THE  GOVERNING BOARD WAS UNABLE TO OBTAIN AND WITNESSES IT
WAS UNABLE TO INTERVIEW, AND THE REASONS THEREFOR.
  (V) THE GOVERNING BOARD MAY, BY AN AFFIRMATIVE VOTE OF A  MAJORITY  OF
ITS  MEMBERS,  EXTEND THE PERIOD TO PRESENT A WRITTEN REPORT PURSUANT TO
SUBPARAGRAPH (III) OF THIS PARAGRAPH FOR ONE ADDITIONAL  PERIOD  OF  NOT
MORE THAN FOURTEEN CALENDAR DAYS.
  (C)  RECOMMENDATION TO DISMISS. PURSUANT TO CLAUSE (B) OF SUBPARAGRAPH
(III) OF PARAGRAPH (B) OF THIS SUBDIVISION, THE GOVERNING BOARD MAY,  BY
AN  AFFIRMATIVE  VOTE  OF  NOT  LESS THAN FOUR MEMBERS, RECOMMEND TO THE
JOINT LEGISLATIVE COMMISSION ON  ETHICS  STANDARDS  OR  THE  APPROPRIATE
STANDING  COMMITTEE  ON ETHICS THAT THE MATTER UNDER SECOND-PHASE REVIEW
BE DISMISSED. SUCH RECOMMENDATION TO SUCH COMMITTEE OR COMMISSION MAY BE
BASED ON ANY GROUND INCLUDING, BUT NOT  LIMITED  TO,  ITS  DETERMINATION
THAT THE ALLEGED VIOLATION:
  (I) WAS DE MINIMIS IN NATURE;
  (II) WAS CURED; OR
  (III) SHOULD BE RESOLVED PURSUANT TO A SETTLEMENT AGREEMENT.
ANY  MATTER SO DISMISSED BY SUCH COMMITTEE OR COMMISSION SHALL BE DEEMED
A PRELIMINARY REVIEW TERMINATION PURSUANT TO SUBPARAGRAPH (IV) OF  PARA-
GRAPH  (A)  OF THIS SUBDIVISION, PROVIDED THAT SUCH COMMITTEE OR COMMIS-
SION SHALL MAKE PUBLIC THE TERMS OF ANY SETTLEMENT OR  COMPROMISE  WHICH
INCLUDES A FINE, PENALTY OR OTHER REMEDY.
  (D)  ADOPTION OF RULES. THE GOVERNING BOARD SHALL ADOPT RULES TO CARRY
OUT ITS DUTIES, WHICH SHALL INCLUDE, BUT NOT BE LIMITED TO, THE  FOLLOW-
ING:
  (I) A RULE REQUIRING THAT ALL WITNESSES SIGN A STATEMENT ACKNOWLEDGING
THE UNDERSTANDING THAT FALSE TESTIMONY AND THE SUBMISSION OF FALSE DOCU-
MENTS CONSTITUTES PERJURY AND IS PUNISHABLE BY LAW.
  (II) A RULE REQUIRING THAT THERE BE NO EX PARTE COMMUNICATIONS BETWEEN
ANY  MEMBER  OF THE GOVERNING BOARD OR STAFF OF THE OFFICE AND ANY INDI-

S. 6457                            21                            A. 9544

VIDUAL WHO IS THE SUBJECT OF  ANY  REVIEW  BY  THE  GOVERNING  BOARD  OR
BETWEEN ANY MEMBER OR STAFF AND ANY INTERESTED PARTY, AND THAT NO MEMBER
OR  OFFICER  OF THE LEGISLATURE, OR LEGISLATIVE EMPLOYEE MAY COMMUNICATE
WITH  ANY MEMBER OF THE GOVERNING BOARD OR STAFF OF THE OFFICE REGARDING
ANY MATTER UNDER REVIEW BY THE GOVERNING BOARD EXCEPT AS  AUTHORIZED  BY
THE BOARD.
  (III) A RULE THAT ESTABLISHES A CODE OF CONDUCT TO GOVERN THE BEHAVIOR
OF ITS MEMBERS AND STAFF, WHICH SHALL INCLUDE THE AVOIDANCE OF CONFLICTS
OF INTEREST.
  5.  REQUESTS FROM THE ASSEMBLY OR SENATE STANDING COMMITTEE ON ETHICS.
IN  ADDITION  TO   REFERRALS   OF   POSSIBLE   VIOLATIONS   OF   SECTION
SEVENTY-THREE,  SEVENTY-THREE-A  OR  SEVENTY-FOUR OF THE PUBLIC OFFICERS
LAW, THE ASSEMBLY OR SENATE STANDING COMMITTEE  ON  ETHICS  MAY  REQUEST
THAT  THE  BOARD  REVIEW  AND  CONDUCT AN INVESTIGATION OF ANY MATTER OR
ASPECT OF ANY MATTER BEFORE THE COMMITTEE.   NOTWITHSTANDING  ANY  OTHER
PROVISIONS  OF  THIS SECTION, UPON RECEIPT OF A WRITTEN REQUEST FROM THE
APPROPRIATE COMMITTEE THAT THE BOARD CEASE  ITS  REVIEW  OF  ANY  MATTER
OTHER THAN A REFERRAL OF AN ALLEGED VIOLATION OF SECTIONS SEVENTY-THREE,
SEVENTY-THREE-A,  AND  SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW AND REFER
SUCH MATTER TO THE COMMITTEE BECAUSE OF  THE  ONGOING  INVESTIGATION  OF
SUCH  MATTER BY THE COMMITTEE, THE BOARD SHALL REFER SUCH MATTER BACK TO
THE COMMITTEE AND CEASE  ITS  PRELIMINARY  OR  SECOND-PHASE  REVIEW,  AS
APPLICABLE,  OF  THAT  MATTER  AND  SO  NOTIFY ANY INDIVIDUAL WHO IS THE
SUBJECT OF THE REVIEW. IN ANY SUCH CASE, THE BOARD SHALL SEND A  WRITTEN
REPORT TO THE COMMITTEE CONTAINING A STATEMENT THAT, UPON THE REQUEST OF
THAT  COMMITTEE, THE MATTER IS REFERRED TO IT FOR ITS CONSIDERATION, BUT
NOT ANY FINDINGS.  SUCH REPORT SHALL BE SUBJECT  TO  THE  PROVISIONS  OF
SUBPARAGRAPH (IV) OF PARAGRAPH (A) OF SUBDIVISION SEVEN OF THIS SECTION.
  6.  LIMITATIONS  ON REVIEW.   (A) NO REVIEW SHALL BE UNDERTAKEN BY THE
BOARD OF ANY ALLEGED VIOLATION OF LAW, RULE, REGULATION OR  STANDARD  OF
CONDUCT NOT IN EFFECT AT THE TIME OF THE ALLEGED VIOLATION.
  (B)  IF  THE  BOARD  IS  AWARE  OR BECOMES AWARE THAT ALLEGED CRIMINAL
CONDUCT WHICH MIGHT ALSO VIOLATE SECTION SEVENTY-THREE,  SEVENTY-THREE-A
OR  SEVENTY-FOUR  OF THE PUBLIC OFFICERS LAW IS UNDER INVESTIGATION BY A
FEDERAL, STATE, OR LOCAL LAW ENFORCEMENT AGENCY OR IS  BEING  PROSECUTED
IN  STATE  OR  FEDERAL COURT, IT SHALL HOLD THE MATTER IN ABEYANCE UNTIL
THE CRIMINAL MATTER IS RESOLVED.
  7. PROHIBITION ON PUBLIC DISCLOSURE.    (A)  (I)  WHEN  AN  INDIVIDUAL
BECOMES  A  MEMBER  OF THE BOARD OR STAFF OF THE OFFICE, THAT INDIVIDUAL
SHALL BE REQUIRED TO SIGN A NON-DISCLOSURE STATEMENT.
  (II) NO TESTIMONY RECEIVED OR ANY  OTHER  INFORMATION  OBTAINED  BY  A
MEMBER  OF  THE  BOARD  OR STAFF OF THE OFFICE SHALL BE DISCLOSED BY ANY
SUCH INDIVIDUAL TO ANY PERSON OR ENTITY OUTSIDE THE OFFICE.  ANY  CONFI-
DENTIAL COMMUNICATION TO ANY PERSON OR ENTITY OUTSIDE THE OFFICE RELATED
TO  THE  MATTERS  BEFORE  THE  BOARD MAY OCCUR ONLY AS AUTHORIZED BY THE
BOARD AS NECESSARY TO CONDUCT OFFICIAL BUSINESS  OR  PURSUANT  TO  BOARD
RULES.
  (III)  THE  OFFICE SHALL ESTABLISH PROCEDURES NECESSARY TO PREVENT THE
UNAUTHORIZED DISCLOSURE OF ANY INFORMATION RECEIVED BY ANY MEMBER OF THE
BOARD OR STAFF OF THE OFFICE.  ANY BREACHES OF CONFIDENTIALITY SHALL  BE
INVESTIGATED BY THE BOARD AND APPROPRIATE ACTION SHALL BE TAKEN.
  (IV) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC OFFI-
CERS  LAW,  THE  RECORDS  OF  THE  BOARD  ARE  CONFIDENTIAL AND SHALL BE
DISCLOSED ONLY AS EXPRESSLY PROVIDED OTHERWISE BY THIS  SECTION  OR  THE
BOARD.

S. 6457                            22                            A. 9544

  (V)  NOTWITHSTANDING  THE  PROVISIONS  OF  ARTICLE SEVEN OF THE PUBLIC
OFFICERS LAW, NO MEETING OF THE BOARD SHALL BE OPEN TO THE PUBLIC EXCEPT
IF EXPRESSLY PROVIDED OTHERWISE BY THIS SECTION OR THE BOARD.
  (B) PARAGRAPH (A) OF THIS SUBDIVISION SHALL NOT PRECLUDE BOARD MEMBERS
OR  THE BOARD'S STAFF FROM PRESENTING A REPORT OR FINDINGS OR TESTIFYING
BEFORE THE ASSEMBLY OR SENATE STANDING COMMITTEE ON  ETHICS  OR  TO  THE
JOINT  LEGISLATIVE  COMMISSION  ON ETHICS STANDARDS RELATING TO OFFICIAL
CONDUCT OF ANY MEMBER, OFFICER, OR LEGISLATIVE EMPLOYEE.
  8. PRESENTATION OF REPORTS.  WHENEVER THE BOARD TRANSMITS  ANY  REPORT
TO A STANDING COMMITTEE ON ETHICS OR TO THE JOINT LEGISLATIVE COMMISSION
ON ETHICS STANDARDS RELATING TO OFFICIAL CONDUCT OF ANY MEMBER, OFFICER,
OR  LEGISLATIVE  EMPLOYEE,  IT  SHALL DESIGNATE A MEMBER OF THE BOARD OR
STAFF TO PRESENT THE REPORT TO SUCH COMMITTEE OR COMMISSION IF REQUESTED
BY SUCH COMMITTEE OR COMMISSION.
  9. REIMBURSEMENTS. THE BOARD MAY REIMBURSE ITS MEMBERS AND  STAFF  FOR
TRAVEL,  SUBSISTENCE,  AND  OTHER NECESSARY EXPENSES INCURRED BY THEM IN
THE PERFORMANCE OF THEIR DUTIES IN THE SAME MANNER AS IS PERMISSIBLE FOR
SUCH EXPENSES OF LEGISLATIVE EMPLOYEES.
  10. (A) PUBLIC DISCLOSURE. NOT LATER  THAN  FORTY-FIVE  CALENDAR  DAYS
AFTER  RECEIPT  FROM  THE BOARD OF A WRITTEN REPORT AND ANY FINDINGS AND
SUPPORTING DOCUMENTATION REGARDING A MATTER BEFORE THE BOARD, THE CHAIR-
PERSON OF THE ASSEMBLY OR SENATE STANDING COMMITTEE  ON  ETHICS  OR  THE
CHAIRPERSONS OF THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS, AS
APPROPRIATE,  SHALL  MAKE  PUBLIC THE WRITTEN REPORT OF THE BOARD UNLESS
THE COMMITTEE OR COMMISSION, AS APPROPRIATE, DECIDES  TO  WITHHOLD  SUCH
INFORMATION  FOR  NOT  MORE THAN ONE ADDITIONAL PERIOD OF THE SAME DURA-
TION, IN WHICH CASE THE  CHAIRPERSON  OR  CHAIRPERSONS  SHALL  UPON  THE
TERMINATION  OF  SUCH ADDITIONAL PERIOD, MAKE PUBLIC THE WRITTEN REPORT,
AND UPON THE DAY OF SUCH DECISION OR VOTE, MAKE A PUBLIC STATEMENT  THAT
THE  COMMITTEE  OR  COMMISSION,  AS APPROPRIATE, HAS VOTED TO EXTEND THE
MATTER RELATING TO THE REFERRAL MADE BY THE BOARD REGARDING THE INDIVID-
UAL WHO IS THE SUBJECT OF THE APPLICABLE REFERRAL.
  (B) AT LEAST ONE CALENDAR DAY BEFORE THE COMMITTEE OR  COMMISSION,  AS
APPROPRIATE,  MAKES PUBLIC ANY WRITTEN REPORT AND FINDINGS OF THE BOARD,
THE CHAIRPERSON OR CHAIRPERSONS SHALL NOTIFY SUCH BOARD AND THE INDIVID-
UAL WHO IS THE SUBJECT OF THE INVESTIGATION OF THAT FACT AND TRANSMIT TO
SUCH INDIVIDUAL A COPY OF THE STATEMENT ON THE  COMMITTEE'S  OR  COMMIS-
SION'S DISPOSITION OF, AND ANY COMMITTEE REPORT ON, THE MATTER.
  11.  NOTWITHSTANDING PARAGRAPH (A) OF SUBDIVISION TEN OF THIS SECTION,
IF THE COMMITTEE OR COMMISSION,  AS  APPROPRIATE,  VOTES  TO  DISMISS  A
MATTER  WHICH IS THE SUBJECT OF A REFERRAL FROM THE BOARD, THE COMMITTEE
OR COMMISSION  IS  NOT  REQUIRED  TO  MAKE  PUBLIC  THE  WRITTEN  REPORT
DESCRIBED  IN  SUCH  SUBDIVISION  UNLESS THE COMMITTEE'S OR COMMISSION'S
VOTE IS INCONSISTENT WITH THE RECOMMENDATION OF THE BOARD. FOR  PURPOSES
OF  THE  PREVIOUS  SENTENCE,  A  VOTE  BY THE COMMITTEE OR COMMISSION TO
DISMISS A MATTER IS NOT  INCONSISTENT  WITH  A  REPORT  FROM  THE  BOARD
RESPECTING THE MATTER AS UNRESOLVED DUE TO A TIE VOTE.
  12.  NOTWITHSTANDING PARAGRAPH (A) OF SUBDIVISION TEN OF THIS SECTION,
IF THE BOARD TRANSMITS A REPORT RESPECTING ANY MATTER WITH A RECOMMENDA-
TION TO DISMISS OR AS UNRESOLVED DUE TO A TIE VOTE, AND THE COMMITTEE OR
COMMISSION VOTES TO EXTEND  THE  MATTER  FOR  AN  ADDITIONAL  PERIOD  AS
PROVIDED IN SUBDIVISION TEN OF THIS SECTION, THE COMMITTEE OR COMMISSION
IS NOT REQUIRED TO MAKE A PUBLIC STATEMENT THAT THE COMMITTEE OR COMMIS-
SION  HAS VOTED TO EXTEND THE MATTER.  EXCEPT AS OTHERWISE PROVIDED, THE
REPORT SHALL BE MADE PUBLIC.

S. 6457                            23                            A. 9544

  13.  IF THE COMMISSION OR COMMITTEE IS  AWARE  THAT  ALLEGED  CRIMINAL
CONDUCT  WHICH MIGHT ALSO VIOLATE SECTION SEVENTY-THREE, SEVENTY-THREE-A
OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW IS UNDER INVESTIGATION  BY  A
FEDERAL,  STATE,  OR LOCAL LAW ENFORCEMENT AGENCY OR IS BEING PROSECUTED
IN  LOCAL,  STATE OR FEDERAL COURT, IT SHALL HOLD THE MATTER IN ABEYANCE
UNTIL THE CRIMINAL MATTER IS RESOLVED.
  S 81. JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS. A.   THERE  IS
ESTABLISHED  A  JOINT  LEGISLATIVE  COMMISSION ON ETHICS STANDARDS WHICH
SHALL CONSIST OF EIGHT MEMBERS AND WHICH SHALL BE RESPONSIBLE FOR TRAIN-
ING,   EDUCATION,   AND   ADVICE   REGARDING   SECTIONS   SEVENTY-THREE,
SEVENTY-THREE-A  AND  SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW AND REVIEW
THE ENFORCEMENT OF SUCH SECTIONS.  FOUR MEMBERS SHALL BE MEMBERS OF  THE
LEGISLATURE  AND  SHALL  BE  APPOINTED  AS FOLLOWS: ONE BY THE TEMPORARY
PRESIDENT OF THE SENATE, ONE BY THE SPEAKER OF THE ASSEMBLY, ONE BY  THE
MINORITY  LEADER  OF  THE  SENATE  AND ONE BY THE MINORITY LEADER OF THE
ASSEMBLY. THE REMAINING FOUR MEMBERS SHALL  NOT  BE  PRESENT  OR  FORMER
MEMBERS  OF  THE LEGISLATURE AND SHALL NOT BE AND SHALL NOT HAVE BEEN IN
THE PREVIOUS FIVE YEARS,  CANDIDATES  FOR  MEMBER  OF  THE  LEGISLATURE,
EMPLOYEES  OF THE LEGISLATURE, OR PERSONS WHO HAVE BEEN EMPLOYEES OF THE
LEGISLATURE, POLITICAL PARTY CHAIRMEN AS DEFINED  IN  PARAGRAPH  (K)  OF
SUBDIVISION  ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, OR
LOBBYISTS REQUIRED TO REGISTER IN NEW YORK STATE OR ANY OTHER  JURISDIC-
TION.  THE  FOUR  MEMBERS  WHO ARE NOT LEGISLATORS SHALL BE APPOINTED AS
FOLLOWS: ONE BY THE TEMPORARY PRESIDENT OF THE SENATE, ONE BY THE SPEAK-
ER OF THE ASSEMBLY, ONE BY THE MINORITY LEADER OF THE SENATE, AND ONE BY
THE MINORITY LEADER OF THE ASSEMBLY.   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  LEGISLA-
TURE,  LEGISLATIVE  EMPLOYEES AS DEFINED IN SECTION SEVENTY-THREE OF THE
PUBLIC OFFICERS LAW, CANDIDATES FOR MEMBER OF THE LEGISLATURE AND  INDI-
VIDUALS  WHO HAVE FORMERLY HELD SUCH POSITIONS OR WHO HAVE FORMERLY BEEN
SUCH CANDIDATES.
  B. 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 BY THE TEMPORARY PRESIDENT OF THE SENATE, SPEAK-
ER OF THE ASSEMBLY, MINORITY LEADER OF THE SENATE, AND  MINORITY  LEADER
OF THE ASSEMBLY SHALL SERVE ONE, TWO, THREE AND FOUR YEAR TERMS, RESPEC-
TIVELY.  EACH MEMBER OF THE COMMISSION WHO IS NOT A MEMBER OF THE LEGIS-
LATURE SHALL BE APPOINTED THEREAFTER FOR A TERM OF FOUR YEARS AND MAY BE
REMOVED  BY  THE  APPOINTING  AUTHORITY FOR SUBSTANTIAL NEGLECT OF DUTY,
MISCONDUCT IN OFFICE, INABILITY TO DISCHARGE THE POWERS OR DUTIES OF THE
OFFICE OR VIOLATIONS OF THIS SECTION AFTER WRITTEN NOTICE  AND  OPPORTU-
NITY FOR A REPLY.
  C. THE TEMPORARY PRESIDENT OF THE SENATE AND THE SPEAKER OF THE ASSEM-
BLY  SHALL EACH DESIGNATE ONE MEMBER OF THE COMMISSION AS A CO-CHAIRPER-
SON THEREOF. THE COMMISSION SHALL MEET AT LEAST BI-MONTHLY AND  AT  SUCH
ADDITIONAL  TIMES AS MAY BE CALLED FOR BY THE CO-CHAIRPERSONS JOINTLY OR
ANY FOUR MEMBERS OF THE COMMISSION.
  D. ANY VACANCY OCCURRING ON THE  COMMISSION  SHALL  BE  FILLED  WITHIN
SIXTY DAYS BY THE APPOINTING AUTHORITY.
  E.  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.
  F.  EACH  MEMBER OF THE COMMISSION WHO IS NOT A MEMBER OF THE LEGISLA-
TURE SHALL RECEIVE, AS COMPENSATION FOR HIS OR HER SERVICES  UNDER  THIS

S. 6457                            24                            A. 9544

ARTICLE, A PER DIEM ALLOWANCE IN THE SUM OF ONE HUNDRED DOLLARS FOR EACH
DAY  ACTUALLY  SPENT  IN THE PERFORMANCE OF HIS OR HER DUTIES UNDER THIS
ARTICLE, NOT EXCEEDING, HOWEVER, THE SUM OF FIVE THOUSAND DOLLARS IN ANY
CALENDAR  YEAR,  AND,  IN  ADDITION THERETO, SHALL BE REIMBURSED FOR ALL
REASONABLE EXPENSES ACTUALLY AND NECESSARILY INCURRED BY HIM OR  HER  IN
THE PERFORMANCE OF HIS OR HER DUTIES UNDER THIS ARTICLE.
  G. THE COMMISSION SHALL:
  1.   APPOINT AN EXECUTIVE DIRECTOR FOR A THREE YEAR TERM WHO SHALL ACT
IN ACCORDANCE WITH THE POLICIES OF  THE  COMMISSION  AND  WHO  SHALL  BE
DISMISSED ONLY FOR CAUSE BY A MAJORITY VOTE OF THE COMMISSION;
  2.    APPOINT  SUCH OTHER STAFF AS ARE NECESSARY TO ASSIST IT TO CARRY
OUT ITS DUTIES UNDER THIS SECTION;
  3.  ADOPT, AMEND, AND RESCIND POLICIES, RULES AND REGULATIONS CONSIST-
ENT WITH THIS SECTION TO GOVERN PROCEDURES OF THE COMMISSION WHICH SHALL
NOT BE SUBJECT TO THE PROMULGATION AND HEARING REQUIREMENTS OF THE STATE
ADMINISTRATIVE PROCEDURE ACT;
  4.  ADMINISTER THE PROVISIONS OF THIS SECTION;
  5.  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;
  6.    PROMULGATE GUIDELINES TO ASSIST APPOINTING AUTHORITIES IN DETER-
MINING 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  GUIDE-
LINES  TO ASSIST ANY FIRM, ASSOCIATION OR CORPORATION IN WHICH ANY PRES-
ENT OR FORMER STATEWIDE ELECTED OFFICIAL,  STATE  OFFICER  OR  EMPLOYEE,
MEMBER  OF  THE  LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR POLITICAL PARTY
CHAIR 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;
  7.  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;
  8.   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   PURSUANT   TO   SECTIONS   SEVENTY-THREE   AND
SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW TO THE EXECUTIVE DIRECTOR WHO
SHALL BE RESPONSIBLE FOR COMPLETING STAFF REVIEW OF SUCH STATEMENTS IN A
MANNER CONSISTENT WITH THE TERMS OF THE  COMMISSION'S  DELEGATION.  SUCH
REVIEW  SHALL  REQUIRE THAT ALL STATEMENTS OF FINANCIAL DISCLOSURE FILED
WITH THE COMMISSION BE EXAMINED TO ENSURE THAT EACH STATEMENT IS FACIAL-
LY COMPLETE AND SIGNED BY THE REPORTING INDIVIDUAL;

S. 6457                            25                            A. 9544

  9.  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;
  10.   PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO REQUEST AN EXEMPTION FROM ANY REQUIREMENT TO REPORT ONE OR  MORE
ITEMS  OF INFORMATION WHICH PERTAIN TO SUCH PERSON'S SPOUSE OR UNEMANCI-
PATED 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
INFORMATION 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;
  11.  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;
  12. RECEIVE 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  REFER  SUCH  COMPLAINTS
FOR  INVESTIGATION TO THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS AS
WELL AS ANY OTHER POSSIBLE VIOLATIONS OF SUCH SECTIONS BY  SUCH  PERSONS
THAT  THE  COMMISSION DETERMINES ON ITS OWN INITIATIVE WARRANTS INVESTI-
GATION;
  13. RECEIVE AND REFER AS APPROPRIATE, AS IF IT WERE A SWORN COMPLAINT,
ANY REFERRAL  FROM  ANOTHER  STATE  OVERSIGHT  BODY  INDICATING  THAT  A
VIOLATION  OF  SECTION SEVENTY-THREE OR SEVENTY-FOUR OF THE PUBLIC OFFI-
CERS LAW MAY HAVE OCCURRED INVOLVING PERSONS SUBJECT TO THE JURISDICTION
OF THE COMMISSION;
  14. UPON WRITTEN REQUEST FROM ANY PERSON WHO IS SUBJECT TO THE  JURIS-
DICTION   OF   THE   COMMISSION   AND   THE   REQUIREMENTS  OF  SECTIONS
SEVENTY-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 LEGISLATIVE OFFICE OF
ETHICS INVESTIGATIONS 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;
  15.  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;
  16.  DEVELOP EDUCATIONAL MATERIALS AND TRAINING WITH REGARD TO  LEGIS-
LATIVE ETHICS FOR MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOYEES;
  17. PREPARE AN ANNUAL REPORT TO THE GOVERNOR AND LEGISLATURE SUMMARIZ-
ING THE ACTIVITIES OF THE COMMISSION DURING THE PREVIOUS YEAR AND RECOM-
MENDING 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  BE

S. 6457                            26                            A. 9544

POSTED  ON THE COMMISSION'S WEBSITE AND SHALL INCLUDE: (I) THE NUMBER OF
REPORTING INDIVIDUALS WHOSE FILES WERE REVIEWED PURSUANT TO  SUBDIVISION
EIGHTEEN  OF  THIS  SECTION  DURING THE PREVIOUS YEAR AND WHICH, IF ANY,
CLASSES WERE SELECTED FOR CLASS REVIEW RATHER THAN RANDOM REVIEW, (II) 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 (III)  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 DISCLO-
SURE IS NOT PERMITTED PURSUANT TO SUBDIVISION FOURTEEN OF THIS  SECTION;
AND
  18.  PROMULGATE  GUIDELINES FOR THE COMMISSION TO CONDUCT A PROGRAM OF
RANDOM REVIEWS, TO BE CARRIED OUT IN THE FOLLOWING MANNER:   (I)  ANNUAL
STATEMENTS  OF  FINANCIAL  DISCLOSURE  SHALL BE SELECTED FOR REVIEW IN A
MANNER PURSUANT TO WHICH THE IDENTITY OF  ANY  PARTICULAR  PERSON  WHOSE
STATEMENT IS SELECTED IS UNKNOWN TO THE COMMISSION, ITS STAFF AND TO THE
LEGISLATIVE  OFFICE OF ETHICS INVESTIGATION PRIOR TO ITS SELECTION; (II)
SUCH REVIEW SHALL INCLUDE A  PRELIMINARY  EXAMINATION  OF  THE  SELECTED
STATEMENT  FOR  INTERNAL  CONSISTENCY,  A  COMPARISON WITH OTHER RECORDS
MAINTAINED BY THE COMMISSION, INCLUDING PREVIOUSLY FILED STATEMENTS  AND
REQUESTS  FOR  ADVISORY  OPINIONS,  AND  EXAMINATION  OF RELEVANT PUBLIC
INFORMATION, INCLUDING, BUT NOT  LIMITED  TO,  RECORDS  FILED  WITH  THE
COMMISSION  ON  LOBBYING  ETHICS  AND  COMPLIANCE  AND THE DEPARTMENT OF
STATE; (III) UPON COMPLETION OF THE PRELIMINARY EXAMINATION, THE COMMIS-
SION SHALL DETERMINE WHETHER FURTHER INQUIRY IS WARRANTED, WHEREUPON  IT
SHALL  NOTIFY  THE REPORTING INDIVIDUAL IN WRITING THAT THE STATEMENT IS
UNDER REVIEW, ADVISE THE REPORTING INDIVIDUAL OF THE SPECIFIC  AREAS  OF
INQUIRY,  AND  PROVIDE  THE REPORTING INDIVIDUAL WITH THE OPPORTUNITY TO
PROVIDE THE COMMISSION WITH ANY  RELEVANT  INFORMATION  RELATED  TO  THE
SPECIFIC AREAS OF INQUIRY, AND THE OPPORTUNITY TO FILE AMENDMENTS TO THE
SELECTED  STATEMENT  ON  FORMS  PROVIDED  BY THE COMMISSION; AND (IV) IF
THEREAFTER SUFFICIENT CAUSE  EXISTS,  THE  COMMISSION  SHALL  REFER  THE
MATTER  TO  THE  LEGISLATIVE  OFFICE OF ETHICS INVESTIGATIONS; PROVIDED,
HOWEVER IF THE COMMISSION CONDUCTS A REVIEW OF ALL STATEMENTS OF  FINAN-
CIAL  DISCLOSURE FILED BY A CLASS OF REPORTING INDIVIDUALS IN THE MANNER
SET FORTH IN THIS PARAGRAPH WITH RESPECT TO A GIVEN CALENDAR  YEAR,  THE
INDIVIDUALS WITHIN SUCH CLASS SHALL NOT BE SUBJECT TO RANDOM REVIEW. FOR
THE PURPOSES OF THIS PARAGRAPH, THE CLASSES OF REPORTING INDIVIDUALS ARE
MEMBERS  OF  THE  LEGISLATURE, CANDIDATES FOR MEMBER OF THE LEGISLATURE,
LEGISLATIVE   EMPLOYEES   SUBJECT   TO   THE   PROVISIONS   OF   SECTION
SEVENTY-THREE-A  OF  THE  PUBLIC OFFICERS LAW, AND LEGISLATIVE EMPLOYEES
REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT PURSUANT  TO  SUBDIVI-
SION SIX OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW.
  H.  THE COMMISSION, OR THE EXECUTIVE DIRECTOR AND STAFF OF THE COMMIS-
SION IF RESPONSIBILITY REGARDING SUCH  FINANCIAL  DISCLOSURE  STATEMENTS
FILED  HAS BEEN DELEGATED, SHALL INSPECT ALL FINANCIAL DISCLOSURE STATE-
MENTS FILED WITH THE COMMISSION TO ASCERTAIN WHETHER ANY PERSON  SUBJECT
TO   THE   REPORTING   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  SEVEN-
TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW.
  I.  1.  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

S. 6457                            27                            A. 9544

REPORTING PERSON IN WRITING, STATE THE FAILURE TO  FILE  OR  DETAIL  THE
DEFICIENCY,  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
DELINQUENCY: (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 TEMPO-
RARY PRESIDENT OF THE SENATE OR THE SPEAKER OF THE ASSEMBLY,  AS  APPRO-
PRIATE,  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
K 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.
  2. IF THE PERSON REQUIRED TO FILE FAILS TO MAKE  THE  REQUIRED  FILING
WITHIN  THE  FIFTEEN  DAYS  OF THE NOTICE OF DELINQUENCY, THE COMMISSION
SHALL NOTIFY THE PERSON IN WRITING, DESCRIBE THE ALLEGED VIOLATION THER-
EOF AND PROVIDE THE PERSON WITH A FIFTEEN DAY PERIOD IN WHICH TO  SUBMIT
A  WRITTEN  RESPONSE  SETTING  FORTH INFORMATION RELATING TO THE ALLEGED
VIOLATION. IF THE  COMMISSION  THEREAFTER  MAKES  A  DETERMINATION  THAT
FURTHER  INQUIRY  IS JUSTIFIED, IT SHALL GIVE  THE PERSON AN OPPORTUNITY
TO BE HEARD. THE COMMISSION SHALL ALSO PROVIDE THE PERSON WITH ITS RULES
REGARDING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND  APPEALS  AND  THE
DUE  PROCESS  PROCEDURAL  MECHANISMS  AVAILABLE  TO  SUCH PERSON. IF THE
COMMISSION DETERMINES AT ANY STAGE OF THE PROCEEDING THAT THERE   IS  NO
VIOLATION  OR THAT SUCH VIOLATION HAS BEEN CURED, IT SHALL SO ADVISE THE
PERSON. ALL OF THE FOREGOING PROCEEDINGS SHALL BE CONFIDENTIAL.
  J. 1. 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 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
PERSON FAILS TO MAKE THE REQUIRED FILING  WITHIN  FIFTEEN  DAYS  OF  THE
NOTICE  OF  DELINQUENCY,  THE  COMMISSION  SHALL REFER THE MATTER TO THE
LEGISLATIVE OFFICE OF ETHICS  INVESTIGATIONS  FOR  INVESTIGATION  AND  A
REPORT TO THE COMMISSION CONTAINING FINDINGS AND RECOMMENDATIONS. 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 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 OR
DEFICIENCY HAS BEEN RECTIFIED, IT SHALL SO ADVISE THE  REPORTING  PERSON
AND  THE  COMPLAINANT, IF ANY. ALL OF THE FOREGOING PROCEEDINGS SHALL BE
CONFIDENTIAL.

S. 6457                            28                            A. 9544

  2. IF THE COMMISSION DETERMINES THAT  THERE  IS  REASONABLE  CAUSE  TO
BELIEVE THAT A VIOLATION HAS OCCURRED, IT SHALL SEND A NOTICE OF REASON-
ABLE  CAUSE: (A) TO THE REPORTING PERSON; (B) TO THE COMPLAINANT IF ANY;
(C) 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 (D)
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.
  3. 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 THIS SECTION 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 SEVENTY-THREE OF THE PUBLIC
OFFICERS LAW.
  K. AN INDIVIDUAL SUBJECT TO THE JURISDICTION  OF  THE  COMMISSION  WHO
KNOWINGLY  AND INTENTIONALLY VIOLATES THE PROVISIONS OF SUBDIVISIONS TWO
THROUGH FIVE-A, SEVEN, EIGHT, TWELVE, FOURTEEN, FIFTEEN OR SEVENTEEN  OF
SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW OR A REPORTING INDIVID-
UAL  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 INDIVID-
UAL  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  INTEN-
TIONALLY  VIOLATES THE PROVISIONS OF PARAGRAPH B, C, D, OR I OF SUBDIVI-
SION 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  INTEN-
TIONALLY  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.  ASSESS-
MENT  OF  A CIVIL PENALTY HEREUNDER SHALL BE MADE BY THE COMMISSION WITH
RESPECT TO PERSONS SUBJECT  TO  ITS  JURISDICTION  BUT  NOT  BEFORE  ITS
RECEIPT  OF  A  REPORT  FROM  THE  LEGISLATIVE OFFICE OF ETHICS INVESTI-
GATIONS; PROVIDED THAT IT DOES NOT NEED TO  OBTAIN  SUCH  REPORT  BEFORE
ASSESSING  A CIVIL PENALTY FOR FAILURE TO FILE.  IN ASSESSING THE AMOUNT
OF THE CIVIL PENALTIES TO BE IMPOSED, THE COMMISSION SHALL CONSIDER  THE
SERIOUSNESS  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
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 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 HERE-

S. 6457                            29                            A. 9544

UNDER  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,  OR  A  VIOLATION  OF  SECTION
SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,  EXCEPT  THAT  THE  APPOINTING
AUTHORITY  MAY  IMPOSE DISCIPLINARY ACTION AS OTHERWISE PROVIDED BY LAW.
THE COMMISSION SHALL BE DEEMED TO BE AN AGENCY  WITHIN  THE  MEANING  OF
ARTICLE  THREE OF THE STATE ADMINISTRATIVE 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 AUTHORIZED  AND  COMMISSION  DENIALS  OF  REQUESTS  FOR
CERTAIN  DELETIONS  OR EXEMPTIONS TO BE MADE FROM A FINANCIAL DISCLOSURE
STATEMENT AS AUTHORIZED IN PARAGRAPHS NINE AND TEN OF SUBDIVISION  G  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 IMPOSITION,
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 REPORTING
INDIVIDUALS IN A PROCEEDING COMMENCED AGAINST THE  COMMISSION,  PURSUANT
TO ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES.
  L. 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  OFFICERS
LAW,  OR  THAT ANY PERSON SUBJECT TO THE JURISDICTION OF THE STATE BOARD
OF ELECTIONS MAY HAVE VIOLATED ARTICLE FOURTEEN OF THE ELECTION LAW,  IT
SHALL  REFER  SUCH  VIOLATION  TO SUCH OVERSIGHT BODY OR TO THE BOARD OF
ELECTIONS, AS APPROPRIATE, UNLESS THE COMMISSION DETERMINES THAT SUCH  A
REFERRAL  WOULD  COMPROMISE THE PROSECUTION OR CONFIDENTIALITY OF ITS OR
THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS' 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.
  M. A COPY OF ANY NOTICE OF DELINQUENCY SENT PURSUANT TO SUBDIVISION  I
OF  THIS SECTION SHALL BE INCLUDED IN THE REPORTING PERSON'S FILE AND BE
AVAILABLE FOR PUBLIC INSPECTION AND COPYING.
  N. 1.  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 AS FOLLOWS:
  (A) 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 ANY ITEM OF INFORMATION DELETED PURSUANT TO PARAGRAPH
NINE OF SUBDIVISION G OF THIS SECTION, WHICH SHALL BE MADE AVAILABLE  TO
THE PUBLIC NO LATER THAN THIRTY DAYS AFTER RECEIPT;
  (B)  FINANCIAL DISCLOSURE STATEMENTS FILED PURSUANT TO SUBDIVISION SIX
OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW WHICH SHALL BE  MADE
AVAILABLE TO THE PUBLIC NO LATER THAN THIRTY DAYS AFTER THEIR RECEIPT;
  (C) NOTICES OF DELINQUENCY SENT UNDER SUBDIVISION I OF THIS SECTION;

S. 6457                            30                            A. 9544

  (D) 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;
  (E) GENERIC ADVISORY OPINIONS; AND
  (F) ALL REPORTS REQUIRED BY THIS SECTION.
  2.    NOTWITHSTANDING  THE  PROVISIONS  OF ARTICLE SEVEN OF THE PUBLIC
OFFICERS 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 PROVIDED, HOWEVER, THAT THE COMMISSION SHALL MEET PUBLIC-
LY  WHENEVER  IT ADOPTS, AMENDS OR RESCINDS ITS POLICIES, RULES OR REGU-
LATIONS, PROMULGATES ITS GUIDELINES, APPROVES EDUCATIONAL  MATERIAL,  OR
ADOPTS ITS ANNUAL REPORT.
  3.  NOTWITHSTANDING  ANY  OTHER PROVISION OF LAW, THE COMMISSION SHALL
MAKE AVAILABLE TO THE LEGISLATIVE OFFICE  OF  ETHICS  INVESTIGATION  ALL
RECORDS MAINTAINED BY THE COMMISSION AND SHALL REGULARLY FORWARD TO SUCH
OFFICE COPIES OF ALL ADVISORY OPINIONS ADOPTED BY THE COMMISSION.
  O.  THE  COMMISSION SHALL MAINTAIN A PUBLICLY ACCESSIBLE WEBSITE WHICH
SHALL SET FORTH THE PROCEDURE FOR FILING A  COMPLAINT  AND  WHICH  SHALL
CONTAIN THE DOCUMENTS IDENTIFIED IN SUBDIVISION N OF THIS SECTION, OTHER
THAN FINANCIAL DISCLOSURE STATEMENTS FILED BY LEGISLATIVE EMPLOYEES, AND
ANY  OTHER  RECORDS OR INFORMATION WHICH THE COMMISSION DETERMINES TO BE
APPROPRIATE.
  P.   THE LEGISLATIVE  COMMITTEES  RESPONSIBLE  FOR  OVERSIGHT  OF  THE
COMMISSION  SHALL  HOLD ONE OR MORE PUBLIC HEARINGS REGARDING THE EFFEC-
TIVENESS OF THE COMMISSION AT LEAST  FIVE  MONTHS  BEFORE  THIS  SECTION
EXPIRES  PURSUANT  TO  THE  PROVISIONS OF THE CHAPTER OF THE LAWS OF TWO
THOUSAND TEN WHICH ADDED THIS SECTION.
  Q.  THIS SECTION SHALL NOT REVOKE  OR  RESCIND  ANY  POLICIES,  RULES,
REGULATIONS  OR  ADVISORY  OPINIONS  ISSUED  BY  THE  LEGISLATIVE ETHICS
COMMITTEE AND LEGISLATIVE ETHICS COMMISSION IN EFFECT UPON THE EFFECTIVE
DATE OF THIS SUBDIVISION, TO THE EXTENT THAT SUCH REGULATIONS  OR  OPIN-
IONS  ARE  NOT  INCONSISTENT WITH ANY LAWS OF THE STATE OF NEW YORK. THE
COMMISSION SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF ALL SUCH  POLICIES,
RULES,  REGULATIONS OR ADVISORY OPINIONS WHICH WILL ADDRESS THE CONSIST-
ENCY OF SUCH POLICIES, RULES, REGULATIONS OR ADVISORY OPINIONS WITH  THE
LAWS  OF  THE  STATE  OF NEW YORK. THE COMMISSION SHALL, BEFORE DECEMBER
FIRST, TWO THOUSAND TEN, REPORT TO THE GOVERNOR AND LEGISLATURE  REGARD-
ING  SUCH  REVIEW AND SHALL PROPOSE ANY REGULATORY CHANGES AND ISSUE ANY
ADVISORY OPINIONS NECESSITATED BY SUCH REVIEW.
  R.  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  10. The public officers law is amended by adding a new section 89-a
to read as follows:
  S 89-A. ETHICS REPORTS. THE COMMITTEE ON OPEN GOVERNMENT SHALL ANNUAL-
LY PREPARE A REPORT THAT SUMMARIZES THE PUBLIC ACTIONS  AND  REPORTS  OF
THE  JOINT  LEGISLATIVE  COMMISSION ON ETHICS STANDARDS, THE LEGISLATIVE
OFFICE OF ETHICS INVESTIGATIONS, THE STATE COMMISSION ON LOBBYING ETHICS
AND COMPLIANCE, THE SENATE AND ASSEMBLY STANDING COMMITTEES  ON  ETHICS,
AND THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION. IT SHALL DELIVER THE
REPORT TO THE GOVERNOR, THE SPEAKER OF THE ASSEMBLY, THE TEMPORARY PRES-
IDENT  OF  THE SENATE, THE MINORITY LEADER OF THE ASSEMBLY, THE MINORITY

S. 6457                            31                            A. 9544

LEADER OF THE SENATE, THE COMPTROLLER, AND THE ATTORNEY  GENERAL  ON  OR
BEFORE MARCH FIRST OF EACH YEAR. IT ALSO SHALL PUBLISH THE REPORT ON ITS
WEBSITE.
  S  11. The state of New York shall appropriate during each fiscal year
to the New York state commission on lobbying ethics  and  compliance  an
amount  equivalent to not less than seven and one-half per centum of the
appropriation available from the general fund in the department of state
to pay for the expenses of such commission; it shall appropriate  during
each  fiscal  year  to the executive ethics and compliance commission an
amount equivalent to not less than seven and one-half per centum of  the
general  fund  appropriation  in  the department of state to pay for the
expenses of such commission; it shall appropriate to the joint  legisla-
tive commission on ethics standards and the legislative office of ethics
investigations  an  amount equivalent to not less than one per centum of
the appropriation available to the state senate.
  S 12.  Subdivisions 17 and 18 of section 73 of the public officers law
are renumbered subdivisions 18 and 19 and a new subdivision 17 is  added
to read as follows:
  17. NO LEGISLATIVE EMPLOYEE SHALL, EXCEPT WITHIN THE SCOPE OF LEGISLA-
TIVE EMPLOYMENT, USE HIS OR HER POSITION, INFLUENCE OR ACCESS TO DIRECT-
LY  OR  INDIRECTLY PROMOTE OR OPPOSE THE PASSAGE OF BILLS OR RESOLUTIONS
BY EITHER HOUSE. NOTWITHSTANDING THE PROVISIONS OF THIS  SUBDIVISION,  A
LEGISLATIVE EMPLOYEE WHO SERVES AS AN ELECTED CHIEF EXECUTIVE OFFICER OR
MEMBER OF A GOVERNING BODY OF A MUNICIPAL CORPORATION OR DISTRICT CORPO-
RATION  SHALL  BE AUTHORIZED TO PARTICIPATE WHILE CARRYING OUT THE OFFI-
CIAL DUTIES OF SUCH OFFICE IN  THE  DISCUSSION,  DRAFTING,  PREPARATION,
VOTING  AND  DISPATCH OF A RESOLUTION, MESSAGE OR PROCLAMATION ADDRESSED
TO EITHER HOUSE.
  S 13. Section 66-a of the legislative law is REPEALED.
  S 13-a. Paragraph (c) of subdivision 6 and subdivision 10  of  section
73  of the public officers law, as amended by chapter 813 of the laws of
1987, are amended to read as follows:
  (c) Any such legislative employee  who  knowingly  and  wilfully  with
intent  to deceive makes a false statement or gives information which he
OR SHE knows to be false in any written statement required to  be  filed
pursuant  to  this  subdivision, shall be assessed a civil penalty in an
amount not to exceed ten thousand dollars. Assessment of a civil penalty
shall be made by the [legislative ethics  committee]  JOINT  LEGISLATIVE
COMMISSION  ON  ETHICS  STANDARDS  in  accordance with the provisions of
[subdivision twelve of] section [eighty] EIGHTY-ONE of  the  legislative
law.  For  a  violation  of this subdivision, the [committee] COMMISSION
may, in lieu of a civil penalty, refer a violation  to  the  appropriate
prosecutor  and  upon  conviction,  but  only  after such referral, such
violation shall be punishable as a class A misdemeanor.
  10. Nothing contained in this section, the judiciary law,  the  educa-
tion  law  or  any  other law or disciplinary rule shall be construed or
applied to prohibit any firm, association or corporation, in  which  any
present or former statewide elected official, state officer or employee,
or  political  party  chairman, member of the legislature or legislative
employee is a member, associate, retired member, of  counsel  or  share-
holder, from appearing, practicing, communicating or otherwise rendering
services  in relation to any matter before, or transacting business with
a state agency, or a city agency  with  respect  to  a  political  party
chairman in a county wholly included in a city with a population of more
than  one  million,  otherwise proscribed by this section, the judiciary
law, the education law or  any  other  law  or  disciplinary  rule  with

S. 6457                            32                            A. 9544

respect  to  such  official,  member  of  the  legislature or officer or
employee, or political party  chairman,  where  such  statewide  elected
official, state officer or employee, member of the legislature or legis-
lative  employee,  or political party chairman does not share in the net
revenues, as defined in accordance with  generally  accepted  accounting
principles by the [state ethics commission] EXECUTIVE ETHICS AND COMPLI-
ANCE  COMMISSION or by the [legislative ethics committee] JOINT LEGISLA-
TIVE COMMISSION ON ETHICS STANDARDS in relation to  persons  subject  to
their  respective jurisdictions, resulting therefrom, or, acting in good
faith, reasonably believed that he or she would not  share  in  the  net
revenues  as  so  defined; nor shall anything contained in this section,
the judiciary law, the education law or any other  law  or  disciplinary
rule  be  construed  to prohibit any firm, association or corporation in
which any present or former statewide elected official,  member  of  the
legislature,  legislative  employee, full-time salaried state officer or
employee or state officer or employee who is subject to  the  provisions
of  section  seventy-three-a  of  this  chapter  is a member, associate,
retired member, of counsel or shareholder, from  appearing,  practicing,
communicating  or otherwise rendering services in relation to any matter
before, or transacting business with, the court of  claims,  where  such
statewide  elected  official,  member  of  the  legislature, legislative
employee, full-time salaried state officer or employee or state  officer
or  employee who is subject to the provisions of section seventy-three-a
of this chapter does not share  in  the  net  revenues,  as  defined  in
accordance  with  generally accepted accounting principles by the [state
ethics commission] EXECUTIVE ETHICS AND COMPLIANCE COMMISSION or by  the
[legislative  ethics  committee]  JOINT LEGISLATIVE COMMISSION ON ETHICS
STANDARDS in relation to persons subject to their  respective  jurisdic-
tions,  resulting  therefrom,  or,  acting  in  good  faith,  reasonably
believed that he or she would not  share  in  the  net  revenues  as  so
defined.
  S  13-b.  Subparagraph  (ii) of paragraph (a) and paragraphs (c), (d),
(f) and (g) of subdivision 2 of section 73-a of the public officers law,
subparagraph (ii) of paragraph (a) and paragraphs (c), (d)  and  (f)  as
added by chapter 813 of the laws of 1987 and paragraph (g) as amended by
chapter 242 of the laws of 1989, are amended to read as follows:
  (ii)  a  person who is required to file an annual financial disclosure
statement with  the  [state  ethics]  EXECUTIVE  ETHICS  AND  COMPLIANCE
commission  or with the [legislative ethics committee] JOINT LEGISLATIVE
COMMISSION ON ETHICS STANDARDS, and who is granted an additional  period
of  time within which to file such statement due to justifiable cause or
undue hardship, in accordance with required rules and regulations on the
subject adopted pursuant to paragraph [c] (C)  of  subdivision  nine  of
section  ninety-four of the executive law or pursuant to [paragraph c of
subdivision eight of] section [eighty]  EIGHTY-ONE  of  the  legislative
law,  shall  file  such  statement  within the additional period of time
granted;
  (c) If the reporting individual is a senator or  member  of  assembly,
candidate  for the senate or member of assembly or a legislative employ-
ee, such statement shall be filed with the [legislative  ethics  commit-
tee]  JOINT  LEGISLATIVE  COMMISSION  ON ETHICS STANDARDS established by
section [eighty] EIGHTY-ONE of the legislative  law.  If  the  reporting
individual  is  a  statewide  elected  official, candidate for statewide
elected office, a state officer or employee or a political party  chair-
man,  such  statement  shall  be filed with the [state ethics] EXECUTIVE

S. 6457                            33                            A. 9544

ETHICS AND COMPLIANCE commission established by section  ninety-four  of
the executive law.
  (d) The [legislative ethics committee] JOINT LEGISLATIVE COMMISSION ON
ETHICS  STANDARDS and the [state ethics] EXECUTIVE ETHICS AND COMPLIANCE
commission shall obtain from the state board of elections a list of  all
candidates  for  statewide office and for member of the legislature, and
from such list, shall determine and publish a list of  those  candidates
who  have  not,  within ten days after the required date for filing such
statement, filed the statement required by this subdivision.
  (f) A person who may otherwise be required to file more than one annu-
al financial disclosure statement with both the [state ethics] EXECUTIVE
ETHICS AND COMPLIANCE commission and the [legislative ethics  committee]
JOINT  LEGISLATIVE  COMMISSION  ON  ETHICS STANDARDS in any one calendar
year may satisfy such requirement by  filing  one  such  statement  with
either body and by notifying the other body of such compliance.
  (g)  A person who is employed in more than one employment capacity for
one or more employers  certain  of  whose  officers  and  employees  are
subject  to  filing  a  financial  disclosure  statement  with the [same
ethics] EXECUTIVE ETHICS AND COMPLIANCE commission or [ethics committee]
THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS, as  the  case  may
be,  and  who  receives distinctly separate payments of compensation for
such employment shall be subject to  the  filing  requirements  of  this
section  if  the  aggregate  annual compensation for all such employment
capacities is in excess of the filing  rate  notwithstanding  that  such
person  would  not otherwise be required to file with respect to any one
particular employment capacity.  A person not otherwise required to file
a financial disclosure statement hereunder who is employed by an employ-
er certain of whose officers or employees are subject to filing a finan-
cial disclosure statement with the [state ethics] EXECUTIVE  ETHICS  AND
COMPLIANCE commission and who is also employed by an employer certain of
whose officers or employees are subject to filing a financial disclosure
statement  with  the  [legislative  ethics  committee] JOINT LEGISLATIVE
COMMISSION ON ETHICS STANDARDS shall  not  be  subject  to  filing  such
statement  with  either  such  commission or such committee on the basis
that his aggregate annual compensation from all  such  employers  is  in
excess of the filing rate.
  S  14.  Subdivision  3  of section 73-a of the public officers law, as
added by chapter 813 of the laws of 1987, the fourth and fifth  undesig-
nated  paragraphs  of paragraph 3 as added and paragraph 4, subparagraph
(a) of paragraph 5, paragraphs 6, 9, 10, 11, subparagraph (b)  of  para-
graph  12  and  paragraphs  13,  14, 15, 16, 17, 18 and 19 as amended by
chapter 242 of the laws of 1989, is amended to read as follows:
  3. The annual statement of  financial  disclosure  shall  contain  the
[information and shall be in the form] LANGUAGE set forth hereinbelow:

 ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)

  1. Name ______________________________________________________________
  2. (a) Title of Position _____________________________________________
     (b) Department, Agency or other Governmental Entity _______________
     (c) Address of Present Office _____________________________________
     (d) Office Telephone Number _______________________________________
  3. (a) Marital Status ______________. If married, please give spouse's
         full name including maiden name where applicable.
         _____________________________________________________________ .

S. 6457                            34                            A. 9544

     (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  TO UNDER $1,000,000; AND CATEGORY G - $1,000,000 or over. A
reporting individual shall indicate the Category by letter only.
  Whenever "income" is required to be reported herein, the term "income"
shall mean the aggregate net income before taxes from the source identi-
fied.
  The term "calendar year" shall mean the year ending the December  31st
preceding the date of filing of the annual statement.

4.  (a) List  any  office,  trusteeship,  directorship,  partnership, or
    position of any nature, whether compensated  or  not,  held  by  the
    reporting  individual with any firm, corporation, association, part-
    nership, or other organization other than the  State  of  New  York.
    Include  compensated  honorary  positions; do NOT list membership or
    uncompensated honorary positions. If the listed entity was  licensed
    by  any state or local agency, was regulated by any state regulatory
    agency or local agency, or, as a regular and significant part of the
    business or activity of said  entity,  did  business  with,  or  had
    matters  other  than  ministerial matters before, any state or local
    agency, list the name of any such agency.

                                                            State or
    Position                  Organization                 Local Agency

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(b) List any office, trusteeship, directorship, partnership, or position
    of any nature, whether compensated or not, held  by  the  spouse  or
    unemancipated  child  of  the  reporting  individual, with any firm,
    corporation, association, partnership, or other  organization  other
    than  the State of New York. Include compensated honorary positions;
    do NOT list membership or uncompensated honorary positions.  If  the
    listed  entity  was licensed by any state or local agency, was regu-
    lated by any state regulatory agency or local agency, or, as a regu-
    lar and significant part of the business or activity of said entity,

S. 6457                            35                            A. 9544

    did business with, or had matters  other  than  ministerial  matters
    before, any state or local agency, list the name of any such agency.

                                                            State or
    Position                  Organization                 Local Agency

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

5.  (a)  List  the  name,  address  and description of any [occupation,]
    employment (other than the employment listed under  Item  2  above),
    trade,  business  [or],  profession  OR OCCUPATION engaged in by the
    reporting individual. If such activity was licensed by any state  or
    local  agency[,]  OR was regulated by any state regulatory agency or
    local agency, [or, as a regular and significant part of the business
    or activity of said entity, did business with, or had matters  other
    than  ministerial  matters  before, any state or local agency,] list
    the name of any such agency.

                                                            State or
               Name & Address                                 Local
    Position   of Organization          Description          Agency

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(C) If the spouse 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  regu-
    lated by any state regulatory agency or local agency, or, as a regu-
    lar 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

S. 6457                            36                            A. 9544

    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, held by the reporting indi-
    vidual, such individual's spouse or unemancipated child, or partner-
    ship of which any such person is a member, or  corporation,  10%  or
    more  of  the  stock  of  which  is  owned or controlled by any such
    person, whether vested  or  contingent,  in  any  contract  made  or
    executed  by  a  state  or  local agency and include the name of the
    entity which holds such interest and the relationship of the report-
    ing individual or such individual's spouse or  such  child  to  such
    entity  and  the interest in such contract. Do NOT include bonds and
    notes. Do NOT list any interest in any such contract on which  final
    payment  has been made and all obligations under the contract except
    for guarantees and warranties have been performed, provided,  howev-
    er,  that such an interest must be listed if there has been an ongo-
    ing 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 local 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  poli-
    tical  party committee, or as a political party district leader. The
    term "party" shall have the same meaning as "party" in the  election
    law.  The term "political organization" means any party or independ-
    ent body as defined in the election law or any organization that  is
    affiliated with or a subsidiary of a party or independent body.

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

S. 6457                            37                            A. 9544

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.  IF THE NATURE OF THE REPORTING INDIVIDUAL'S PRAC-
    TICE OR ACTIVITIES WERE SUCH THAT  NO  PRINCIPAL  SUBJECT  AREAS  OR
    MATTERS  WERE UNDERTAKEN, GIVE A GENERAL DESCRIPTION OF THE PRACTICE
    OR ACTIVITIES UNDERTAKEN. Additionally, if such an individual  prac-
    tices  with a firm or corporation and is a partner or shareholder of
    the firm or corporation, give a general description of THE principal
    subject areas of matters undertaken by such firm or corporation.  IF
    THE MATTERS UNDERTAKEN BY SUCH FIRM OR CORPORATION WERE SUCH THAT NO
    PRINCIPAL SUBJECT AREAS OR MATTERS WERE UNDERTAKEN, GIVE  A  GENERAL
    DESCRIPTION  OF  THE  PRACTICE OR ACTIVITIES UNDERTAKEN. 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.
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
(C) IF THE REPORTING INDIVIDUAL RECEIVED INCOME IN EXCESS OF $1,000 FROM
    CONSULTING  SERVICES, NOT INCLUDING ANY SERVICES RENDERED AS PART OF
    ANY PRACTICE OR ACTIVITY REQUIRED TO BE DISCLOSED IN  ITEM  8(A)  OR
    SERVICES  RENDERED AS PART OF THE PRACTICE OR ACTIVITY IDENTIFIED IN
    SECTIONS  FORTY-FIVE  HUNDRED   FOUR,   FORTY-FIVE   HUNDRED   FIVE,
    FORTY-FIVE  HUNDRED  SEVEN,  FORTY-FIVE HUNDRED EIGHT AND FORTY-FIVE
    HUNDRED TEN OF THE CIVIL PRACTICE LAW AND RULES,  PROVIDE  THE  NAME
    AND  ADDRESS  OF  EACH  CLIENT,  THE COMPENSATION RECEIVED FROM EACH
    CLIENT, AND A  GENERAL  DESCRIPTION  OF  THE  SERVICES  RENDERED  OR
    CONSIDERATION GIVEN.
    CLIENT     ADDRESS    SERVICES/CONSIDERATION    CATEGORY OF VALUE
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
9.  List  each  source  of  gifts,  EXCLUDING campaign contributions, in
    EXCESS of $1,000, received during the  reporting  period  for  which
    this statement is filed by the reporting individual or such individ-
    ual's  spouse  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.

S. 6457                            38                            A. 9544

                                                              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 state, in EXCESS
    of $1,000 from each such source. For purposes of this item, the term
    "reimbursements" shall mean any travel-related expenses provided  by
    nongovernmental  sources and for activities related to the reporting
    individual's official duties such as, speaking engagements,  confer-
    ences,  or  factfinding  events.  The term "reimbursements" does NOT
    include gifts reported under item 9.

    Source                                                   Description

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

11. List the identity and value, if reasonably  ascertainable,  of  each
    interest  in a trust, estate or other beneficial interest, including
    retirement plans (other than retirement plans of the  state  of  New
    York  or  the  city  of New York[,]) and deferred compensation plans
    (e.g., 401, 403(b), 457, etc.) established in  accordance  with  the
    internal  revenue  code,  in  which  the REPORTING INDIVIDUAL held a
    beneficial interest in EXCESS of  $1,000  at  any  time  during  the
    preceding  year. Do NOT report interests in a trust, estate or other
    beneficial interest established by or for, or the estate of, a rela-
    tive.

                                                                Category
    Identity                                                   of Value*

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

12. (a)  Describe  the terms of, and the parties to, any contract, prom-
    ise, or other agreement between the  reporting  individual  and  any
    person,  firm, or corporation with respect to the employment of such
    individual after leaving office or position (other than a  leave  of
    absence).

S. 6457                            39                            A. 9544

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(b)  Describe  the  parties  to and the terms of any agreement providing
    for continuation of payments or benefits to the REPORTING INDIVIDUAL
    in EXCESS of $1,000 from a prior  employer  OTHER  THAN  the  State.
    (This  includes  interests  in  or  contributions to a pension fund,
    profit-sharing plan, or life or  health  insurance;  buy-out  agree-
    ments; severance payments; etc.)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

13. List  below  the nature and amount of any income in EXCESS of $1,000
    from EACH SOURCE for the reporting individual and such  individual's
    spouse  for  the  taxable  year  last occurring prior to the date of
    filing.   Nature of income includes, but  is  not  limited  to,  all
    income  (other  than  that received from the employment listed under
    Item 2 above) from compensated employment whether public or private,
    directorships and other fiduciary  positions,  contractual  arrange-
    ments,  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.

    Self/                                                       Category
    Spouse          Source                   Nature            of Amount

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

14. List  the  sources of any deferred income (not retirement income) in
    EXCESS of $1,000 from each source to be paid to the reporting  indi-
    vidual  following  the  close  of  the  calendar year for which this
    disclosure statement is  filed,  other  than  deferred  compensation
    reported  in  item  11 hereinabove. Deferred income derived from the
    practice of a profession shall be listed in the aggregate and  shall
    identify  as the source, the name of the firm, corporation, partner-
    ship or association through which the income was derived, but  shall
    not identify individual clients.

S. 6457                            40                            A. 9544

                                                                Category
    Source                                                     of Amount

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

15. List  each assignment of income in EXCESS of $1,000, and each trans-
    fer other than to a relative during the reporting period  for  which
    this  statement  is  filed  for  less  than fair consideration of an
    interest in a trust, estate or other beneficial interest, securities
    or real property, by the reporting individual, in excess of  $1,000,
    which  would  otherwise be required to be reported herein and is not
    or has not been so reported.

    Item Assigned                    Assigned or                Category
    or Transferred                 Transferred to               of Value

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

16. List below the type and market  value  of  securities  held  by  the
    reporting  individual  or such individual's spouse 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  indi-
    vidual 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 individ-
    ual  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 individ-
    ual 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 ONLY if the reporting person  or  the  reporting  person's
    spouse  holds  more  than five percent (5%) of the stock of a corpo-
    ration in which the stock  is  publicly  traded  or  more  than  ten
    percent  (10%)  of  the stock of a corporation in which the stock is
    NOT publicly traded.  Also  list  securities  owned  for  investment
    purposes by a corporation more than fifty percent (50%) of the stock
    of  which is owned or controlled by the reporting individual or such
    individual's spouse.  For the purpose of this item the term "securi-
    ties" shall mean mutual funds, bonds, mortgages, notes, obligations,
    warrants and stocks of any class, investment interests in limited or
    general partnerships and certificates of  deposits  (CDs)  and  such

S. 6457                            41                            A. 9544

    other  evidences of indebtedness and certificates of interest as are
    usually referred to as securities.  The market value for such  secu-
    rities  shall be reported only if reasonably ascertainable and shall
    not be reported if the security is an interest in a general partner-
    ship  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.

                                     Percentage
                                     of corporate
                                     stock owned
                                     or controlled      Category of
                                     (if more than      Market Value
                                     5% of pub-         as of the close
                                     licly traded       of the
                                     stock, or          taxable year
                                     more than          last occurring
                                     10% if stock       prior to
    Self/   Issuing     Type of      not publicly       the filing of
    Spouse  Entity      Security     traded, is held)   this statement

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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 corpo-
    ration more than fifty percent 50% 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.

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

18. List below all notes and accounts receivable, other than from  goods
    or  services  sold, held by the reporting individual at the close of
    the taxable year last occurring prior to  the  date  of  filing  and
    other debts owed to such individual at the close of the taxable year
    last  occurring  prior  to  the date of filing, in EXCESS of $1,000,
    including the name of the debtor, type of obligation, date  due  and

S. 6457                            42                            A. 9544

    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 indi-
    vidual or such individual's spouse or by any  proprietorship,  part-
    nership  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.  Any  loan
    issued in the ordinary course of business by a financial institution
    to  finance educational costs, the cost of home purchase or improve-
    ments 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 guaran-
    teed by any third person, list the liability and name the guarantor.

                                                                Category
    Name of Creditor          Type of Liability                    of
    or Guarantor              and Collateral, if any              Amount

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

    The requirements of law  relating  to  the  reporting  of  financial
    interests  are  in  the  public interest and no adverse inference of
    unethical or illegal conduct or behavior will be drawn  merely  from
    compliance with these requirements.

    ___________________________________       _________________________
    (Signature of Reporting Individual)       Date  (month/day/year)

  S  15.  Transfer  of employees. Upon the transfer of the functions, as
provided for in this act any affected employees shall be transferred  to
the  commission  on lobbying ethics and compliance, the executive ethics

S. 6457                            43                            A. 9544

and compliance commission,  and  the  joint  legislative  commission  on
ethics  standards,  as appropriate, in accordance with section 70 of the
civil service law.
  S  16. Transfer of records. The commission on public integrity and the
legislative ethics commission shall deliver to the commission on  lobby-
ing  ethics  and compliance, the executive ethics and compliance commis-
sion, and the joint  legislative  commission  on  ethics  standards,  as
appropriate,  all  books,  papers, records, and property as requested by
the commission on lobbying ethics and compliance, the  executive  ethics
and  compliance  commission,  and  the  joint  legislative commission on
ethics standards, as appropriate, pursuant to this act.
  S 17. Completion of unfinished business. Any business or other  matter
undertaken  or  commenced  by the commission on public integrity and the
legislative ethics commission pertaining to or connected with the  func-
tions, powers, obligations and duties hereby transferred and assigned to
the  commission  on lobbying ethics and compliance, the executive ethics
and compliance commission,  and  the  joint  legislative  commission  on
ethics  standards,  as appropriate, and pending on the effective date of
this act may be conducted and completed by the  commission  on  lobbying
ethics  and  compliance, the executive ethics and compliance commission,
and the joint legislative commission on ethics standards,  as  appropri-
ate, in the same manner and under the same terms and conditions and with
the  same  effect as if conducted and completed by the former commission
on public integrity and the legislative ethics commission.
  S 18. Terms occurring in laws, contracts and other documents.  Whenev-
er the commission on public integrity and the legislative ethics commis-
sion are referred to or designated in any  law,  contract  or  documents
pertaining  to  the  functions,  powers,  obligations  and duties hereby
transferred and assigned  to  the  commission  on  lobbying  ethics  and
compliance,  the  executive  ethics  and  compliance commission, and the
joint legislative commission on ethics standards, as  appropriate,  such
reference  or  designation shall be deemed to refer to the commission on
lobbying ethics and compliance,  the  executive  ethics  and  compliance
commission, and the joint legislative commission on ethics standards, as
appropriate, as created by this act.
  S  19.  Existing  rights  and remedies preserved. No existing right or
remedy of any character shall be lost, impaired or affected by reason of
this act.
  S 20. Pending actions and proceedings. No action or proceeding pending
at the time when this act shall take effect, brought by or  against  the
commission  on  public  integrity  or  the legislative ethics commission
relating to the function, power or duty transferred to or devolved  upon
the  commission  on lobbying ethics and compliance, the executive ethics
and compliance commission,  and  the  joint  legislative  commission  on
ethics standards, as appropriate, shall be affected by this act, but the
same  may  be  prosecuted  or  defended in the name of the commission on
lobbying ethics and compliance,  the  executive  ethics  and  compliance
commission, and the joint legislative commission on ethics standards, as
appropriate, and upon application to the court, the commission on lobby-
ing  ethics  and compliance, the executive ethics and compliance commis-
sion, and the joint  legislative  commission  on  ethics  standards,  as
appropriate, shall be substituted as a party.
  S 21. Notwithstanding any contrary provision of the state finance law,
transfer  of  appropriations heretofore made to the commission on public
integrity and the legislative ethics commission, all  appropriations  or
reappropriations for the functions herein transferred heretofore made to

S. 6457                            44                            A. 9544

the commission on public integrity and the legislative ethics commission
or  segregated pursuant to law, to the extent of remaining unexpended or
unencumbered balances thereof,  whether  allocated  or  unallocated  and
whether  obligated or unobligated, are hereby transferred to the commis-
sion on lobbying ethics and compliance, the executive ethics and compli-
ance commission, and the joint legislative commission on  ethics  stand-
ards,  as  appropriate,  to  the  extent  necessary  to  carry  out  the
commission on lobbying ethics and compliance, the executive  ethics  and
compliance  commission,  and  the joint legislative commission on ethics
standards' functions, powers and duties subject to the approval  of  the
director of the budget for the same purposes for which originally appro-
priated  or reappropriated and shall be payable on vouchers certified or
approved by the commission on lobbying ethics and compliance, the execu-
tive ethics and compliance commission, and the joint legislative commis-
sion on ethics standards, as appropriate, on audit and  warrant  of  the
comptroller.
  S  22.  Subdivision 3 of section 3-100 of the election law, as amended
by chapter 220 of the laws of 2005, is amended to read as follows:
  3. The commissioners of the state board of  elections  shall  have  no
other public employment. The commissioners shall receive an annual sala-
ry  of  twenty-five  thousand dollars, within the amounts made available
therefor by appropriation. The board shall, for the purposes of sections
seventy-three and seventy-four of the public officers law, be  a  "state
agency",  and  such commissioners shall be "officers" of the state board
of elections for the purposes of such sections. Within the amounts  made
available  by appropriation therefor, the state board of elections shall
appoint two co-executive directors, AN ENFORCEMENT  COUNSEL,  A  SPECIAL
counsel,  A  DEPUTY  ENFORCEMENT  COUNSEL,  WHO  SHALL  BE A MEMBER OF A
DIFFERENT MAJOR POLITICAL PARTY THAN THE ENFORCEMENT COUNSEL,  A  DEPUTY
SPECIAL  COUNSEL,  WHO  SHALL BE A MEMBER OF A DIFFERENT MAJOR POLITICAL
PARTY THAN THE SPECIAL COUNSEL, and such  other  staff  members  as  are
necessary  in  the  exercise of its functions, and may fix their compen-
sation. [Anytime after the effective date of the chapter of the laws  of
two thousand five which amended this subdivision, the] THE commissioners
or,  in  the case of a vacancy on the board, the commissioner of each of
the major political parties shall  appoint  one  co-executive  director.
Each  co-executive  director  shall  serve  a  term  of  four years. THE
ENFORCEMENT COUNSEL AND THE SPECIAL COUNSEL SHALL EACH SERVE A  TERM  OF
FOUR  YEARS AND MAY ONLY BE REMOVED FOR CAUSE. ANY TIME AFTER THE EFFEC-
TIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND TEN  WHICH  AMENDED
THIS  SUBDIVISION, THE COMMISSIONERS, OR IN THE CASE OF A VACANCY ON THE
BOARD, THE COMMISSIONER, OF EACH OF THE SAME MAJOR  POLITICAL  PARTY  AS
THE  INCUMBENT ENFORCEMENT AND SPECIAL COUNSELS SHALL APPOINT SUCH COUN-
SEL. Any vacancy in the office  of  co-executive  director,  ENFORCEMENT
COUNSEL  OR  SPECIAL COUNSEL shall be filled by the commissioners or, in
the case of a vacancy on the board, the commissioner of the  same  major
political  party  as  the vacating incumbent for the remaining period of
the term of such vacating incumbent.
  S 23. Subdivision 3, paragraph (c) of subdivision 9-A and  subdivision
17  of  section  3-102  of  the  election  law, subdivisions 3 and 17 as
amended by chapter 9 of the laws of 1978, paragraph (c)  of  subdivision
9-A  as  added  by chapter 430 of the laws of 1997 and subdivision 17 as
renumbered by chapter 23 of the laws of 2005, are  amended  to  read  as
follows:
  3.  conduct any investigation necessary to carry out the provisions of
this chapter, PROVIDED, HOWEVER,  THAT  THE  STATE  BOARD  OF  ELECTIONS

S. 6457                            45                            A. 9544

ENFORCEMENT COUNSEL, ESTABLISHED PURSUANT TO SECTION 3-104 OF THIS ARTI-
CLE, SHALL CONDUCT ANY INVESTIGATION NECESSARY TO ENFORCE THE PROVISIONS
OF ARTICLE FOURTEEN OF THIS CHAPTER ON BEHALF OF THE BOARD OF ELECTIONS;
  (c) establish [a] AN EDUCATIONAL AND training program on ALL REPORTING
REQUIREMENTS INCLUDING BUT NOT LIMITED TO the electronic reporting proc-
ess  and  make  it EASILY AND READILY available to any such candidate or
committee AND NOTIFY ANY SUCH CANDIDATE OR COMMITTEE OF THE AVAILABILITY
OF THE MOST RECENT CAMPAIGN FINANCE HANDBOOK;
  17. HEAR AND CONSIDER  THE  RECOMMENDATIONS  OF  THE  STATE  BOARD  OF
ELECTIONS ENFORCEMENT COUNSEL REGARDING THE ENFORCEMENT OF VIOLATIONS OF
ARTICLE FOURTEEN OF THIS CHAPTER;
  18.  perform  such  other  acts  as  may be necessary to carry out the
purposes of this chapter.
  S 24.  Section 3-104 of the election law, subdivisions 1, 3, 4  and  5
as redesignated and subdivision 2 as amended by chapter 9 of the laws of
1978, is amended to read as follows:
  S  3-104.  State  board  of elections AND THE STATE BOARD OF ELECTIONS
ENFORCEMENT COUNSEL; enforcement powers.  1. (A) THERE SHALL BE  A  UNIT
KNOWN AS THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT ESTABLISHED WITH-
IN  THE  STATE  BOARD OF ELECTIONS.   THE HEAD OF SUCH UNIT SHALL BE THE
ENFORCEMENT COUNSEL.
  (B) The state board of elections shall have jurisdiction  of,  and  be
responsible  for,  the  execution  and  enforcement of the provisions of
[article  fourteen  of  this  chapter  and  other]  statutes   governing
campaigns,  elections  and related procedures; PROVIDED HOWEVER THAT THE
ENFORCEMENT COUNSEL SHALL HAVE SOLE AUTHORITY WITHIN THE STATE BOARD  OF
ELECTIONS TO INVESTIGATE ON HIS OR HER OWN INITIATIVE OR UPON COMPLAINT,
ALLEGED   VIOLATIONS  OF  ARTICLE  FOURTEEN  OF  THIS  CHAPTER  AND  ALL
COMPLAINTS ALLEGING ARTICLE FOURTEEN VIOLATIONS SHALL  BE  FORWARDED  TO
THE  ENFORCEMENT  UNIT.    NOTHING IN THIS SECTION SHALL BE CONSTRUED TO
DIMINISH OR ALTER THE STATE BOARD OF ELECTIONS' JURISDICTION PURSUANT TO
THIS CHAPTER.
  2. Whenever [the state board of elections or other] A LOCAL  board  of
elections  shall  determine, on its own initiative or upon complaint, or
otherwise, that there is substantial reason to believe  a  violation  of
this  chapter  or  any  code  or  regulation  promulgated thereunder has
[occurred] BEEN COMMITTED BY A CANDIDATE  OR  POLITICAL  COMMITTEE  THAT
FILES  STATEMENTS  REQUIRED  BY  ARTICLE FOURTEEN OF THIS CHAPTER SOLELY
WITH SUCH LOCAL BOARD, it  shall  expeditiously  make  an  investigation
which shall also include investigation of reports and statements made or
failed  to  be  made  by  the  complainant  and  any political committee
supporting his candidacy if the complainant is a candidate  or,  if  the
complaint  was made by an officer or member of a political committee, of
reports and statements made or failed  to  be  made  by  such  political
committee  and  any  candidates  supported  by  it.  [The state board of
elections, in lieu of making  such  an  investigation,  may  direct  the
appropriate board of elections to make an investigation.]
  (C)  The  state board of elections may request, and shall receive, the
assistance of the state police in any investigation it shall conduct.
  [3. If, after an investigation, the state or other board of  elections
finds  reasonable  cause to believe that a violation warranting criminal
prosecution has taken place, it shall forthwith refer the matter to  the
district  attorney of the appropriate county and shall make available to
such district attorney all relevant  papers,  documents,  testimony  and
findings relevant to its investigation.

S. 6457                            46                            A. 9544

  4.  The  state  or  other  board  of elections may, where appropriate,
commence a judicial proceeding with respect to the filing or failure  to
file  any  statement  of receipts, expenditures, or contributions, under
the provisions of this chapter, and the state  board  of  elections  may
direct  the  appropriate  other  board  of  elections  to  commence such
proceeding.
  5.] 3. IF THE ENFORCEMENT  COUNSEL  DETERMINES  THAT  A  VIOLATION  OF
SUBDIVISION  ONE  OF  SECTION  14-126 OF THIS CHAPTER HAS OCCURRED WHICH
COULD WARRANT A CIVIL PENALTY, THE ENFORCEMENT COUNSEL SHALL,  UPON  HIS
OR  HER  DISCRETION,  SEEK  TO  RESOLVE  THE  MATTER EXTRA-JUDICIALLY OR
COMMENCE A SPECIAL PROCEEDING IN THE SUPREME COURT PURSUANT  TO  SECTION
16-114 OF THIS CHAPTER.
  4.    UPON  RECEIPT OF A COMPLAINT AND SUPPORTING INFORMATION ALLEGING
ANY OTHER VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, THE ENFORCEMENT
COUNSEL SHALL ANALYZE THE COMPLAINT TO  DETERMINE  IF  AN  INVESTIGATION
SHOULD  BE  UNDERTAKEN.  THE  ENFORCEMENT  COUNSEL  SHALL, IF NECESSARY,
REQUEST ADDITIONAL INFORMATION FROM THE COMPLAINANT TO ASSIST SUCH COUN-
SEL IN MAKING  THIS  DETERMINATION.  SUCH  ANALYSIS  SHALL  INCLUDE  THE
FOLLOWING:  FIRST,  WHETHER THE ALLEGATIONS, IF TRUE, WOULD CONSTITUTE A
VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER AND, SECOND,  WHETHER  THE
ALLEGATIONS ARE SUPPORTED BY CREDIBLE EVIDENCE.
  5.  IF  THE  ENFORCEMENT  COUNSEL  DETERMINES THAT THE ALLEGATIONS, IF
TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAP-
TER OR THAT THE ALLEGATIONS ARE NOT SUPPORTED BY CREDIBLE  EVIDENCE,  HE
OR SHE SHALL ISSUE A LETTER TO THE COMPLAINANT DISMISSING THE COMPLAINT.
  6.  IF  THE  ENFORCEMENT  COUNSEL  DETERMINES THAT THE ALLEGATIONS, IF
TRUE, WOULD CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF  THIS  CHAPTER
AND THAT THE ALLEGATIONS APPEAR TO BE SUPPORTED BY CREDIBLE EVIDENCE, HE
OR  SHE  SHALL  NOTIFY  THE  STATE  BOARD OF ELECTIONS OF (A) HIS OR HER
INTENT TO RESOLVE THE MATTER EXTRA-JUDICIALLY  DUE  TO  THE  DE  MINIMUS
NATURE  OF THE VIOLATION; OR (B) HIS OR HER INTENT TO COMMENCE AN INVES-
TIGATION, NO LATER THAN THE BOARD'S NEXT  REGULARLY  SCHEDULED  MEETING.
NOTIFICATION  SHALL  SUMMARIZE THE RELEVANT FACTS AND THE APPLICABLE LAW
AND SHALL, TO THE EXTENT POSSIBLE, PROTECT FROM  PUBLIC  DISCLOSURE  THE
IDENTITY OF THE COMPLAINANT AND THE INDIVIDUAL SUBJECT TO THE COMPLAINT.
  7.  IF, UPON CONSIDERING THE ENFORCEMENT COUNSEL'S NOTICE OF INTENT TO
COMMENCE AN INVESTIGATION, THE STATE BOARD OF  ELECTIONS  BELIEVES  THAT
THE  ALLEGATIONS,  IF  TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE
FOURTEEN OF THIS CHAPTER, OR THE ALLEGATIONS ARE NOT SUPPORTED BY CREDI-
BLE EVIDENCE OR, THAT ON BALANCE, THE EQUITIES FAVOR A DISMISSAL OF  THE
COMPLAINT,  THE BOARD SHALL PUBLICLY DIRECT THAT AN INVESTIGATION NOT BE
UNDERTAKEN NO LATER THAN SIXTY DAYS AFTER THE  RECEIPT  OF  NOTIFICATION
FROM  THE ENFORCEMENT COUNSEL OF HIS OR HER INTENT TO COMMENCE AN INVES-
TIGATION.  IN DETERMINING WHETHER THE EQUITIES FAVOR A DISMISSAL OF  THE
COMPLAINT,  THE  STATE  BOARD  OF ELECTIONS SHALL CONSIDER THE FOLLOWING
FACTORS: (A) WHETHER THE COMPLAINT ALLEGES A  DE  MINIMUS  VIOLATION  OF
ARTICLE  FOURTEEN  OF  THIS  CHAPTER;  (B)  WHETHER  THE  SUBJECT OF THE
COMPLAINT HAS MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION; AND (C)
WHETHER  THE  SUBJECT  OF  THE  COMPLAINT  HAS  A  HISTORY  OF   SIMILAR
VIOLATIONS.  DETERMINATIONS OF THE STATE BOARD OF ELECTIONS TO DISMISS A
COMPLAINT  AND  NOT  PROCEED  WITH A FORMAL INVESTIGATION SHALL BE VOTED
UPON AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS  TITLE  AT
AN  OPEN  MEETING  PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW,
AND SHALL BE MADE ON A FAIR AND EQUITABLE BASIS AND  WITHOUT  REGARD  TO
THE STATUS OF THE SUBJECT OF THE COMPLAINT.

S. 6457                            47                            A. 9544

  8.  ABSENT A TIMELY DETERMINATION BY THE STATE BOARD OF ELECTIONS THAT
AN INVESTIGATION SHALL NOT BE UNDERTAKEN, THE ENFORCEMENT COUNSEL  SHALL
COMMENCE  AN INVESTIGATION ON A TIMELY BASIS. IF THE ENFORCEMENT COUNSEL
DETERMINES THAT ADDITIONAL INVESTIGATIVE  POWERS,  AS  PROVIDED  FOR  IN
SUBDIVISIONS  FOUR,  FIVE  AND  SIX  OF SECTION 3-102 OF THIS TITLE, ARE
NEEDED TO COMPLETE THE COUNSEL'S INVESTIGATION, HE OR SHE SHALL  REQUEST
SUCH  ADDITIONAL  POWERS  FROM THE STATE BOARD OF ELECTIONS. SUCH POWERS
SHALL BE GRANTED BY THE BOARD IN PUBLIC, AS PROVIDED IN SUBDIVISION FOUR
OF SECTION 3-100 OF THIS TITLE, ONLY WHEN THE BOARD FINDS  THAT  FURTHER
INVESTIGATION IS WARRANTED AND JUSTIFIED.
  9.  AT  THE  CONCLUSION  OF ITS INVESTIGATION, THE ENFORCEMENT COUNSEL
SHALL PROVIDE THE STATE BOARD OF ELECTIONS WITH A WRITTEN RECOMMENDATION
AS TO: (A) WHETHER SUBSTANTIAL REASON EXISTS TO BELIEVE A  VIOLATION  OF
ARTICLE  FOURTEEN OF THIS CHAPTER HAS OCCURRED AND, IF SO, THE NATURE OF
THE VIOLATION AND ANY APPLICABLE PENALTY, AS DEFINED IN  SECTION  14-126
OF  THIS  CHAPTER, BASED ON THE NATURE OF THE VIOLATION; (B) WHETHER THE
MATTER SHOULD  BE  RESOLVED  EXTRA-JUDICIALLY;  (C)  WHETHER  A  SPECIAL
PROCEEDING  SHOULD  BE COMMENCED IN THE SUPREME COURT TO RECOVER A CIVIL
PENALTY; AND (D) WHETHER A REFERRAL SHOULD BE MADE TO A DISTRICT  ATTOR-
NEY  PURSUANT  TO  SUBDIVISION ELEVEN OF THIS SECTION BECAUSE REASONABLE
CAUSE EXISTS TO BELIEVE A VIOLATION WARRANTING CRIMINAL PROSECUTION  HAS
TAKEN PLACE.
  10.  THE  STATE  BOARD OF ELECTIONS SHALL ACCEPT, MODIFY OR REJECT THE
ENFORCEMENT COUNSEL'S RECOMMENDATION NO  LATER  THAN  SIXTY  DAYS  AFTER
RECEIPT  OF SUCH RECOMMENDATION.  IN MAKING ITS DETERMINATION, THE BOARD
SHALL AGAIN CONSIDER: (A) WHETHER THE COMPLAINT  ALLEGES  A  DE  MINIMUS
VIOLATION  OF  ARTICLE FOURTEEN OF THIS CHAPTER; (B) WHETHER THE SUBJECT
OF THE COMPLAINT HAS MADE A GOOD FAITH EFFORT TO CORRECT THE  VIOLATION;
AND  (C)  WHETHER  THE SUBJECT OF THE COMPLAINT HAS A HISTORY OF SIMILAR
VIOLATIONS. ALL SUCH DETERMINATIONS SHALL BE VOTED UPON AS  PROVIDED  IN
SUBDIVISION  FOUR  OF  SECTION  3-100  OF  THIS TITLE AT AN OPEN MEETING
PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, AND SHALL BE  MADE
ON  A  FAIR  AND  EQUITABLE  BASIS,  WITHOUT REGARD TO THE STATUS OF THE
SUBJECT OF THE COMPLAINT.
  11. (A) IF THE STATE BOARD OF ELECTIONS  DETERMINES,  AS  PROVIDED  IN
SUBDIVISION  TEN  OF  THIS  SECTION,  THAT  SUBSTANTIAL REASON EXISTS TO
BELIEVE THAT A PERSON, ACTING AS OR ON BEHALF OF A  CANDIDATE  OR  POLI-
TICAL  COMMITTEE  UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH
LAW, HAS UNLAWFULLY ACCEPTED A CONTRIBUTION IN EXCESS OF A  CONTRIBUTION
LIMITATION  ESTABLISHED IN ARTICLE FOURTEEN OF THIS CHAPTER, WHICH COULD
WARRANT A CIVIL PENALTY AS PROVIDED FOR IN SUBDIVISION THREE OF  SECTION
14-126  OF  THIS  CHAPTER,  THE BOARD SHALL DIRECT THE COMMENCEMENT OF A
SPECIAL PROCEEDING IN THE SUPREME COURT PURSUANT TO  SECTION  16-120  OF
THIS CHAPTER.
  (B)  IF THE STATE BOARD OF ELECTIONS DETERMINES, AS PROVIDED IN SUBDI-
VISION TEN OF THIS SECTION THAT REASONABLE CAUSE  EXISTS  TO  BELIEVE  A
VIOLATION  WARRANTING  CRIMINAL  PROSECUTION  HAS TAKEN PLACE, THE BOARD
SHALL REFER THE MATTER TO A DISTRICT ATTORNEY AND SHALL  MAKE  AVAILABLE
TO  SUCH DISTRICT ATTORNEY ALL PAPERS, DOCUMENTS, TESTIMONY AND FINDINGS
RELEVANT TO ITS INVESTIGATION.
  12. UPON NOTIFICATION THAT A SPECIAL PROCEEDING HAS BEEN COMMENCED  BY
A  PARTY  OTHER  THAN  THE STATE BOARD OF ELECTIONS, PURSUANT TO SECTION
16-114 OF THIS CHAPTER, THE STATE BOARD OF ELECTIONS  SHALL  DIRECT  THE
ENFORCEMENT  COUNSEL TO INVESTIGATE THE ALLEGED VIOLATIONS UNLESS OTHER-
WISE DIRECTED BY THE COURT.

S. 6457                            48                            A. 9544

  13. THE ENFORCEMENT COUNSEL SHALL PREPARE A REPORT, TO BE INCLUDED  IN
THE  ANNUAL  REPORT  TO  THE  GOVERNOR  AND LEGISLATURE, SUMMARIZING THE
ACTIVITIES OF THE UNIT DURING THE PREVIOUS  YEAR.    SUCH  REPORT  SHALL
INCLUDE:  (I)  THE  NUMBER  OF  COMPLAINTS  RECEIVED; (II) THE NUMBER OF
COMPLAINTS  THAT WERE FOUND TO NEED INVESTIGATION AND THE NATURE OF EACH
COMPLAINT; AND (III) THE NUMBER OF MATTERS THAT HAVE BEEN RESOLVED.  THE
REPORT SHALL NOT CONTAIN ANY INFORMATION FOR  WHICH  DISCLOSURE  IS  NOT
PERMITTED.
  14.  The state board of elections may promulgate rules and regulations
consistent with law to effectuate the provisions of this section.
  S 25. The state of New York shall appropriate during each fiscal  year
to the New York state board of elections enforcement unit, not less than
thirty-five percent of the appropriation available from the general fund
for  the  state  board  of  elections  to  pay  for the expenses of such
enforcement unit.
  S 26. The election law is amended by adding a  new  section  3-111  to
read as follows:
  S 3-111. PERSONAL USE OF CAMPAIGN FUNDS. UPON WRITTEN REQUEST FROM ANY
PERSON  WHO  IS  SUBJECT  TO  THE REQUIREMENTS OF SECTION 14-130 OF THIS
CHAPTER, THE STATE BOARD OF ELECTIONS SHALL RENDER  FORMAL  OPINIONS  ON
THE  REQUIREMENTS  OF  SAID PROVISION. AN OPINION RENDERED BY THE BOARD,
UNTIL AND UNLESS AMENDED OR REVOKED, SHALL BE BINDING ON  THE  BOARD  IN
ANY  SUBSEQUENT PROCEEDING CONCERNING THE PERSON WHO REQUESTED THE OPIN-
ION 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
DEFENSE IN ANY CRIMINAL OR CIVIL ACTION. SUCH REQUEST SHALL BE CONFIDEN-
TIAL,  BUT  THE BOARD SHALL PUBLISH SUCH OPINIONS PROVIDED THAT THE NAME
OF THE REQUESTING PERSON AND OTHER  IDENTIFYING  DETAILS  SHALL  NOT  BE
INCLUDED IN THE PUBLICATION.
  S  27.  Section  14-100 of the election law is amended by adding three
new subdivisions 12, 13 and 14 to read as follows:
  12. "CLEARLY IDENTIFIED CANDIDATE" MEANS THAT:
  (A) THE NAME OF THE CANDIDATE INVOLVED APPEARS;
  (B) A PHOTOGRAPH OR DRAWING OF THE CANDIDATE APPEARS; OR
  (C) THE IDENTITY OF THE CANDIDATE IS APPARENT  BY  UNAMBIGUOUS  REFER-
ENCE.
  13. "GENERAL PUBLIC AUDIENCE" MEANS AN AUDIENCE COMPOSED OF MEMBERS OF
THE  PUBLIC,  INCLUDING  A  TARGETED  SUBGROUP OF MEMBERS OF THE PUBLIC;
PROVIDED, HOWEVER, IT DOES NOT MEAN  AN  AUDIENCE  SOLELY  COMPRISED  OF
MEMBERS,  RETIREES  AND STAFF OF A LABOR ORGANIZATION OR THEIR IMMEDIATE
FAMILY MEMBERS OR AN AUDIENCE SOLELY COMPRISED OF EMPLOYEES OF  A  BUSI-
NESS ENTITY OR MEMBERS OF A BUSINESS, TRADE OR PROFESSIONAL ASSOCIATION.
  14.  "LABOR  ORGANIZATION"  MEANS  ANY  ORGANIZATION OF ANY KIND WHICH
EXISTS FOR THE PURPOSE, IN WHOLE OR IN PART, OF  REPRESENTING  EMPLOYEES
EMPLOYED  WITHIN  THE  STATE  OF  NEW  YORK IN DEALING WITH EMPLOYERS OR
EMPLOYER ORGANIZATIONS OR WITH A STATE GOVERNMENT, OR ANY  POLITICAL  OR
CIVIL  SUBDIVISION  OR OTHER AGENCY THEREOF, CONCERNING TERMS AND CONDI-
TIONS OF EMPLOYMENT, GRIEVANCES, LABOR DISPUTES, OR OTHER MATTERS  INCI-
DENTAL  TO  THE EMPLOYMENT RELATIONSHIP.  FOR THE PURPOSES OF THIS ARTI-
CLE, EACH LOCAL, PARENT NATIONAL OR PARENT INTERNATIONAL ORGANIZATION OF
A STATEWIDE LABOR ORGANIZATION, AND EACH STATEWIDE FEDERATION  RECEIVING
DUES FROM SUBSIDIARY LABOR ORGANIZATIONS, SHALL BE CONSIDERED A SEPARATE
LABOR ORGANIZATION.
  S 28. Subdivision 5 of section 14-102 of the election law is REPEALED,
subdivisions  1  and  3,  as  amended  by chapter 8 of the laws of 1978,

S. 6457                            49                            A. 9544

subdivision 1 as redesignated by chapter 9  of  the  laws  of  1978  and
subdivision  3  as  renumbered  by  chapter  70 of the laws of 1983, are
amended and a new subdivision 5 is added to read as follows:
  1.  The  treasurer of every political committee which, or any officer,
member or agent of any  such  committee  who,  in  connection  with  any
election,  receives  or expends any money or other [valuable thing] ITEM
OF VALUE or incurs any liability to pay money or  its  equivalent  shall
file  statements  sworn,  or  subscribed  and bearing a form notice that
false statements made therein are punishable as a  class  A  misdemeanor
pursuant  to section 210.45 of the penal law, at the times prescribed by
this article setting forth all the receipts, contributions  to  and  the
expenditures  by  and liabilities of the committee, and of its officers,
members and agents in its behalf.  Such  statements  shall  include  the
dollar  amount  of  any  receipt,  contribution or transfer, or the fair
market value of any receipt, contribution or transfer,  which  is  other
than  of  money,  the name and address of the transferor, contributor or
person from whom received, and if the transferor, contributor or  person
is a political committee; the name of and the political unit represented
by  the  committee,  the date of its receipt, the dollar amount of every
expenditure, the name and address of the person to whom it was  made  or
the name of and the political unit represented by the committee to which
it was made and the date thereof, and shall state clearly the purpose of
such  expenditure.  IF  ANY  ONE  EXPENDITURE  IS MADE FOR MORE THAN ONE
PURPOSE, OR AS PAYMENT FOR GOODS OR SERVICES SUPPLIED BY MORE  THAN  ONE
SUPPLIER, SUCH STATEMENT SHALL SET FORTH SEPARATELY EACH SUCH PURPOSE OR
SUPPLIER  AND  THE AMOUNT EXPENDED FOR EACH SUCH PURPOSE OR TO EACH SUCH
SUPPLIER.
  Any statement reporting a loan shall have attached to it a copy of the
evidence of indebtedness. Expenditures in sums under fifty dollars  need
not  be specifically accounted for by separate items in said statements,
and receipts and contributions aggregating  not  more  than  ninety-nine
dollars, from any one contributor need not be specifically accounted for
by  separate  items  in  said  statements,  provided  however, that such
expenditures, receipts and contributions shall be subject to  the  other
provisions of section 14-118 of this article.
  3.  The  state  board  of  elections shall promulgate regulations with
respect to the accounting methods to be applied IN COMPLYING  WITH,  AND
in  preparing the statements required by, the provisions of this article
and shall provide forms suitable for such statements.  SUCH  REGULATIONS
SHALL BE DRAWN TO ASSURE SUCH COMPLIANCE AND OBTAIN THE MAXIMUM POSSIBLE
DISCLOSURE.
  5.  (A)  PURSUANT  TO  THE  PROVISIONS  OF THIS SECTION, ANY CANDIDATE
AND/OR POLITICAL COMMITTEE WHICH IS REQUIRED TO FILE STATEMENTS  WITH  A
COUNTY  BOARD OF ELECTIONS OR WITH THE BOARD OF ELECTIONS OF THE CITY OF
NEW YORK, WHICH RAISES OR SPENDS OR EXPECTS TO RAISE OR SPEND MORE  THAN
ONE  THOUSAND  DOLLARS  DURING  ANY CALENDAR YEAR, IN ADDITION TO FILING
SUCH STATEMENTS WITH SUCH BOARDS  OF  ELECTIONS  IN  THE  FILING  FORMAT
REQUIRED  THEREBY,  SHALL  ALSO FILE SUCH STATEMENTS ELECTRONICALLY WITH
THE STATE BOARD  OF  ELECTIONS  PURSUANT  TO  ITS  ELECTRONIC  REPORTING
SYSTEM,  ESTABLISHED  PURSUANT TO SUBDIVISION NINE-A OF SECTION 3-102 OF
THIS CHAPTER, OR ON PAPER IF AN EXEMPTION  FROM  THE  ELECTRONIC  FILING
REQUIREMENTS  HAS  BEEN GRANTED BY THE STATE BOARD OF ELECTIONS PURSUANT
TO SUBDIVISION FOUR OF THIS SECTION OR SUBDIVISION TWO OF SECTION 14-104
OF THIS TITLE.
  (B) NOTWITHSTANDING THE PROVISIONS OF PARAGRAPH (A) OF  THIS  SUBDIVI-
SION, ANY STATEMENTS FILED ELECTRONICALLY, OR ON PAPER IF EXEMPTED, WITH

S. 6457                            50                            A. 9544

THE  STATE  BOARD OF ELECTIONS BY A CANDIDATE AND/OR POLITICAL COMMITTEE
WHICH IS REQUIRED TO FILE SUCH STATEMENTS ELECTRONICALLY WITH THE  STATE
BOARD  OF ELECTIONS PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION, SHALL
SATISFY  THE  FILING REQUIREMENTS OF THIS SECTION WITH REGARDS TO FILING
WITH THE APPLICABLE COUNTY OR CITY BOARD OF ELECTIONS.  THE  COUNTY  AND
CITY  BOARDS  OF  ELECTIONS  SHALL  MAKE STATEMENTS FILED WITH THE STATE
BOARD OF ELECTIONS, WHICH WOULD OTHERWISE HAVE BEEN  FILED  SPECIFICALLY
WITH  THEIR  INDIVIDUAL BOARD PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVI-
SION,  AVAILABLE  FOR  PUBLIC  INSPECTION  AND  COPYING  VIA  ELECTRONIC
CONNECTION  TO THE STATE BOARD OF ELECTIONS' WEBSITE, WHICH WILL CONTAIN
SUCH STATEMENTS, OR BY SUCH OTHER MODE OF ELECTRONIC COMMUNICATION  THAT
IS  AVAILABLE  AND  APPROVED  BY  THE  STATE BOARD OF ELECTIONS FOR SUCH
PURPOSES.
  (C) ANY CANDIDATE AND/OR POLITICAL COMMITTEE WHICH IS REQUIRED TO FILE
STATEMENTS WITH A COUNTY  BOARD  OF  ELECTIONS  OR  WITH  THE  BOARD  OF
ELECTIONS  OF  THE  CITY  OF NEW YORK PURSUANT TO THE PROVISIONS OF THIS
SECTION, WHICH IS NOT REQUIRED TO FILE SUCH STATEMENTS  WITH  THE  STATE
BOARD  OF  ELECTIONS  PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION, MAY
NOT ELECT TO FILE SUCH STATEMENTS WITH  THE  STATE  BOARD  OF  ELECTIONS
PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION IN SUBSTITUTION FOR, OR IN
SATISFACTION  OF,  THE REQUIREMENT TO FILE WITH THE APPLICABLE COUNTY OR
CITY BOARD OF ELECTIONS.
  S 29. Subdivision 3 of section 14-104 of the election law is  REPEALED
and a new subdivision 3 is added to read as follows:
  3.  (A)  PURSUANT  TO  THE  PROVISIONS  OF THIS SECTION, ANY CANDIDATE
AND/OR POLITICAL COMMITTEE WHICH IS REQUIRED TO FILE STATEMENTS  WITH  A
COUNTY  BOARD OF ELECTIONS OR WITH THE BOARD OF ELECTIONS OF THE CITY OF
NEW YORK, WHICH RAISES OR SPENDS OR EXPECTS TO RAISE OR SPEND MORE  THAN
ONE  THOUSAND  DOLLARS  DURING  ANY CALENDAR YEAR, IN ADDITION TO FILING
SUCH STATEMENTS WITH SUCH BOARDS  OF  ELECTIONS  IN  THE  FILING  FORMAT
REQUIRED  THEREBY,  SHALL  ALSO FILE SUCH STATEMENTS ELECTRONICALLY WITH
THE STATE BOARD  OF  ELECTIONS  PURSUANT  TO  ITS  ELECTRONIC  REPORTING
SYSTEM,  ESTABLISHED  PURSUANT TO SUBDIVISION NINE-A OF SECTION 3-102 OF
THIS CHAPTER, OR ON PAPER IF AN EXEMPTION  FROM  THE  ELECTRONIC  FILING
REQUIREMENTS  HAS  BEEN GRANTED BY THE STATE BOARD OF ELECTIONS PURSUANT
TO SUBDIVISION FOUR OF SECTION 14-102 OF THIS TITLE OR  SUBDIVISION  TWO
OF THIS SECTION.
  (B)  NOTWITHSTANDING  THE PROVISIONS OF PARAGRAPH (A) OF THIS SUBDIVI-
SION, ANY STATEMENTS FILED ELECTRONICALLY, OR ON PAPER IF EXEMPTED, WITH
THE STATE BOARD OF ELECTIONS BY A CANDIDATE AND/OR  POLITICAL  COMMITTEE
WHICH  IS REQUIRED TO FILE SUCH STATEMENTS ELECTRONICALLY WITH THE STATE
BOARD OF ELECTIONS PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION,  SHALL
SATISFY  THE  FILING REQUIREMENTS OF THIS SECTION WITH REGARDS TO FILING
WITH THE APPLICABLE COUNTY OR CITY BOARD OF ELECTIONS.  THE  COUNTY  AND
CITY  BOARDS  OF  ELECTIONS  SHALL  MAKE STATEMENTS FILED WITH THE STATE
BOARD OF ELECTIONS, WHICH WOULD OTHERWISE HAVE BEEN  FILED  SPECIFICALLY
WITH  THEIR  INDIVIDUAL BOARD PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVI-
SION,  AVAILABLE  FOR  PUBLIC  INSPECTION  AND  COPYING  VIA  ELECTRONIC
CONNECTION TO THE STATE BOARDS OF ELECTIONS' WEBSITE, WHICH WILL CONTAIN
SUCH  STATEMENTS, OR BY SUCH OTHER MODE OF ELECTRONIC COMMUNICATION THAT
IS AVAILABLE AND APPROVED BY THE  STATE  BOARD  OF  ELECTIONS  FOR  SUCH
PURPOSES.
  (C) ANY CANDIDATE AND/OR POLITICAL COMMITTEE WHICH IS REQUIRED TO FILE
STATEMENTS  WITH  A  COUNTY  BOARD  OF  ELECTIONS  OR  WITH THE BOARD OF
ELECTIONS OF THE CITY OF NEW YORK PURSUANT TO  THE  PROVISIONS  OF  THIS
SECTION,  WHICH  IS  NOT REQUIRED TO FILE SUCH STATEMENTS WITH THE STATE

S. 6457                            51                            A. 9544

BOARD OF ELECTIONS PURSUANT TO PARAGRAPH (A) OF  THIS  SUBDIVISION,  MAY
NOT  ELECT  TO  FILE  SUCH  STATEMENTS WITH THE STATE BOARD OF ELECTIONS
PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION IN SUBSTITUTION FOR, OR IN
SATISFACTION  OF,  THE REQUIREMENT TO FILE WITH THE APPLICABLE COUNTY OR
CITY BOARD OF ELECTIONS.
  S 30. Section 14-106 of the election law, as amended by chapter  8  of
the laws of 1978, is amended to read as follows:
  S 14-106. Political [advertisements and literature] COMMUNICATION.  1.
The statements required to be filed under the provisions of this article
next succeeding a primary, general or special election shall be accompa-
nied by a [facsimile or] copy of all BROADCAST, CABLE OR SATELLITE SCHE-
DULES   AND   SCRIPTS,  advertisements,  pamphlets,  circulars,  flyers,
brochures, letterheads and other printed matter  purchased  or  produced
[and a schedule of all radio or television time, and scripts used there-
in],  AND  REPRODUCTIONS  OF  STATEMENTS OR INFORMATION CONVEYED TO FIVE
HUNDRED OR MORE MEMBERS OF A GENERAL  PUBLIC  AUDIENCE  BY  COMPUTER  OR
OTHER  ELECTRONIC  DEVICE, purchased in connection with such election by
or under the authority of the person filing the statement or the commit-
tee or the person on whose behalf it is filed, as the case may be.  Such
[facsimiles,]  copies,  schedules  and scripts shall be preserved by the
officer with whom or the board with which it is required to be filed for
a period of one year from the date of filing thereof.
  2. NO PERSON, POLITICAL PARTY OR COMMITTEE SHALL, DURING THE COURSE OF
ANY CAMPAIGN FOR NOMINATION OR ELECTION TO PUBLIC OFFICE OR PARTY  POSI-
TION,  PREPARE  OR  DISTRIBUTE  ANY POLITICAL COMMUNICATION THAT FALSELY
IDENTIFIES THE SOURCE OF SUCH COMMUNICATION.
  S 31. The election law is amended by adding a new  section  14-107  to
read as follows:
  S  14-107.  INDEPENDENT EXPENDITURE REPORTING. 1. FOR PURPOSES OF THIS
ARTICLE:
  (A) "INDEPENDENT EXPENDITURE" MEANS AN EXPENDITURE MADE  BY  A  PERSON
FOR  AN  AUDIO  OR  VIDEO COMMUNICATION TO A GENERAL PUBLIC AUDIENCE VIA
BROADCAST, CABLE OR SATELLITE OR A WRITTEN COMMUNICATION  TO  A  GENERAL
PUBLIC   AUDIENCE  VIA  ADVERTISEMENTS,  PAMPHLETS,  CIRCULARS,  FLYERS,
BROCHURES, LETTERHEADS OR OTHER PRINTED MATTER AND STATEMENTS OR  INFOR-
MATION  CONVEYED  TO  FIVE  HUNDRED  OR MORE MEMBERS OF A GENERAL PUBLIC
AUDIENCE BY COMPUTER OR OTHER ELECTRONIC DEVICES  WHICH:  (I)  EXPRESSLY
ADVOCATES  THE  ELECTION  OR DEFEAT OF A CLEARLY IDENTIFIED CANDIDATE OR
THE SUCCESS OR DEFEAT OF A BALLOT PROPOSAL AND (II) SUCH CANDIDATE,  THE
CANDIDATE'S  POLITICAL COMMITTEE OR ITS AGENTS, OR A POLITICAL COMMITTEE
FORMED TO PROMOTE THE SUCCESS OR DEFEAT OF  A  BALLOT  PROPOSAL  OR  ITS
AGENTS,  DID NOT AUTHORIZE, REQUEST, SUGGEST, FOSTER OR COOPERATE IN ANY
SUCH COMMUNICATION.
  (B) INDEPENDENT EXPENDITURES DO NOT INCLUDE:
  (I) IN A WRITTEN NEWS STORY, COMMENTARY, OR EDITORIAL OR A NEWS STORY,
COMMENTARY, OR EDITORIAL  DISTRIBUTED  THROUGH  THE  FACILITIES  OF  ANY
BROADCASTING  STATION,  CABLE  OR  SATELLITE  UNLESS SUCH PUBLICATION OR
FACILITIES ARE OWNED OR CONTROLLED BY  ANY  POLITICAL  PARTY,  POLITICAL
COMMITTEE OR CANDIDATE; OR
  (II) A COMMUNICATION THAT CONSTITUTES A CANDIDATE DEBATE OR FORUM; OR
  (III)  A  COMMUNICATION  WHICH  CONSTITUTES  AN EXPENDITURE MADE BY AN
ENTITY REQUIRED TO REPORT SUCH EXPENDITURE WITH  A  BOARD  OF  ELECTIONS
PURSUANT TO SECTIONS 14-102 AND 14-104 OF THIS ARTICLE.
  (C) FOR PURPOSES OF THIS SECTION, THE TERM "PERSON" SHALL MEAN PERSON,
GROUP OF PERSONS, ENTITY, ORGANIZATION OR ASSOCIATION.

S. 6457                            52                            A. 9544

  2.  WHENEVER  ANY  PERSON  MAKES AN INDEPENDENT EXPENDITURE THAT COSTS
MORE THAN ONE THOUSAND DOLLARS  IN  THE  AGGREGATE,  SUCH  COMMUNICATION
SHALL  CLEARLY  STATE  THE NAME OF THE PERSON WHO PAID FOR, OR OTHERWISE
PUBLISHED OR DISTRIBUTED, THE COMMUNICATION AND STATE, WITH  RESPECT  TO
COMMUNICATIONS  REGARDING  CANDIDATES,  THAT  THE  COMMUNICATION  IS NOT
AUTHORIZED BY ANY CANDIDATE, ANY CANDIDATE'S POLITICAL COMMITTEE OR  ANY
OF ITS AGENTS.
  3.  (A) ANY PERSON WHICH MAKES INDEPENDENT EXPENDITURES THAT COST MORE
THAN ONE THOUSAND DOLLARS IN THE AGGREGATE SHALL REPORT SUCH INDEPENDENT
EXPENDITURES TO THE STATE BOARD OF ELECTIONS ON STATEMENTS  AS  PROVIDED
FOR IN SECTION 14-108 OF THIS ARTICLE.
  (B)  ANY INDEPENDENT EXPENDITURE MADE AFTER THE CLOSE OF THE PERIOD TO
BE COVERED IN THE LAST STATEMENT FILED BEFORE ANY  PRIMARY,  GENERAL  OR
SPECIAL  ELECTION,  BUT  BEFORE  SUCH ELECTION, SHALL BE REPORTED WITHIN
TWENTY-FOUR HOURS IN THE SAME MANNER AS PROVIDED FOR IN SUBDIVISION  TWO
OF SECTION 14-108 OF THIS ARTICLE.
  4. EACH SUCH STATEMENT SHALL INCLUDE:
  (A) THE NAME AND ADDRESS OF THE PERSON MAKING THE STATEMENT;
  (B) THE NAME AND ADDRESS OF THE PERSON MAKING THE INDEPENDENT EXPENDI-
TURE;
  (C)  THE  NAME  AND  ADDRESS OF ANY PERSON OR ENTITY PROVIDING A GIFT,
LOAN, ADVANCE OR DEPOSIT OF ONE HUNDRED DOLLARS OR MORE  FOR  THE  INDE-
PENDENT  EXPENDITURE, OR THE PROVISION OF SERVICES FOR THE SAME, AND THE
DATE IT WAS GIVEN; PROVIDED, HOWEVER, THE NAME AND ADDRESS OF  A  MEMBER
OF  A  LABOR  ORGANIZATION  IS NOT REQUIRED FOR A GIFT, LOAN, ADVANCE OR
DEPOSIT OF ONE HUNDRED DOLLARS OR MORE  TO  A  LABOR  ORGANIZATION;  AND
PROVIDED  FURTHER THAT THE NAME AND ADDRESS OF AN EMPLOYEE OF A BUSINESS
ENTITY OR A MEMBER OF A BUSINESS, TRADE OR PROFESSIONAL  ASSOCIATION  IS
NOT REQUIRED FOR A GIFT, LOAN, ADVANCE OR DEPOSIT OF ONE HUNDRED DOLLARS
OR MORE TO SUCH BUSINESS ENTITY OR BUSINESS, TRADE OR PROFESSIONAL ASSO-
CIATION RESPECTIVELY;
  (D)  THE DOLLAR AMOUNT PAID FOR EACH INDEPENDENT EXPENDITURE, THE NAME
AND ADDRESS OF THE PERSON OR ENTITY RECEIVING THE PAYMENT, THE DATE  THE
PAYMENT WAS MADE AND A DESCRIPTION OF THE INDEPENDENT EXPENDITURE; AND
  (E) THE ELECTION TO WHICH THE INDEPENDENT EXPENDITURE PERTAINS AND THE
NAME  OF  THE CLEARLY IDENTIFIED CANDIDATE OR THE BALLOT PROPOSAL REFER-
ENCED.
  5. A COPY OF ALL MATERIALS THAT PERTAIN TO  THE  INDEPENDENT  EXPENDI-
TURE,  INCLUDING BUT NOT LIMITED TO BROADCAST, CABLE OR SATELLITE SCHED-
ULE  AND  SCRIPTS,   ADVERTISEMENTS,   PAMPHLETS,   CIRCULARS,   FLYERS,
BROCHURES,  LETTERHEADS  AND  OTHER  PRINTED MATTER SHALL IMMEDIATELY BE
FILED WITH THE STATE BOARD OF ELECTIONS AS PROVIDED IN SECTION 14-108 OF
THIS ARTICLE.
  6. WRITTEN EVIDENCE OF THE INDEBTEDNESS RELATED TO A LOAN THAT IS MADE
FOR AN INDEPENDENT EXPENDITURE SHALL BE PROVIDED TO THE STATE  BOARD  OF
ELECTIONS.
  7. EVERY STATEMENT REQUIRED TO BE FILED PURSUANT TO THIS SECTION SHALL
BE FILED ELECTRONICALLY TO THE STATE BOARD OF ELECTIONS.
  8.  THE  STATE  BOARD  OF  ELECTIONS SHALL PROMULGATE REGULATIONS WITH
RESPECT TO THE STATEMENTS REQUIRED TO BE FILED BY THIS SECTION AND SHALL
PROVIDE FORMS SUITABLE FOR SUCH STATEMENTS.
  S 32. Subdivision 1 of section 14-108 of the election law, as  amended
by chapter 955 of the laws of 1983, is amended to read as follows:
  1.  The  statements  required  by  this article shall be filed at such
times as the state board of elections,  by  rule  or  regulation,  shall
specify; provided, however, that in no event shall the board provide for

S. 6457                            53                            A. 9544

fewer  than three filings in the aggregate in connection with any prima-
ry, general or special election, or in connection with a question to  be
voted  on  and  two  of  said filings shall be before any such election,
including  one  such  filing  not  less  than  thirty days nor more than
forty-five days prior to such election and one such filing not less than
eleven days nor more than fifteen days prior to such election. In  addi-
tion,  the  board shall provide that every political committee which has
filed a statement of treasurer and depository shall make  at  least  one
PERIODIC filing [every six months] DURING THE MONTHS OF JANUARY, MAY AND
JULY  between  the  time  such  statement of treasurer and depository is
filed and the time such committee goes out of business.   If any  candi-
date  or  committee shall be required by the provisions of this section,
or by rule or regulation hereunder, to effect two filings within a peri-
od of five days OF EACH OTHER, the state board of elections may, by rule
or regulation, waive the requirement  of  filing  the  earlier  of  such
statements.   If a statement filed by a candidate or committee after the
election to which it pertains is not a final statement showing satisfac-
tion of all liabilities and disposition of all assets, such candidate or
committee shall file such additional statements as the board  shall,  by
rule or regulation provide until such a final statement is filed.
  S  33.  Section 14-126 of the election law, as amended by chapter 8 of
the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
1994 and subdivisions 2, 3 and 4 as redesignated by  chapter  9  of  the
laws of 1978, is amended to read as follows:
  S  14-126.  Violations;  penalties.  1. Any person who fails to file a
statement required to be filed by this article shall  be  subject  to  a
civil  penalty, not in excess of [five hundred] ONE THOUSAND dollars, to
be recoverable in a special proceeding or civil action to be brought  by
the  state  board of elections [or other board of elections] ENFORCEMENT
COUNSEL PURSUANT TO SECTION 16-114 OF  THIS  CHAPTER.  ANY  PERSON  WHO,
THREE  OR  MORE  TIMES  WITHIN  A  GIVEN ELECTION CYCLE FOR SUCH TERM OF
OFFICE, FAILS TO FILE A STATEMENT OR STATEMENTS REQUIRED TO BE FILED  BY
THIS  ARTICLE, SHALL BE SUBJECT TO A CIVIL PENALTY, NOT IN EXCESS OF TEN
THOUSAND DOLLARS, TO BE RECOVERABLE AS PROVIDED FOR IN THIS SUBDIVISION.
  2. ANY PERSON WHO ACTS, UNDER  CIRCUMSTANCES  EVINCING  AN  INTENT  TO
VIOLATE  SUCH LAW, UNLAWFULLY FAILS TO IDENTIFY INDEPENDENT EXPENDITURES
AS REQUIRED BY SUBDIVISION TWO OF SECTION 14-107 OF THIS  ARTICLE  SHALL
BE  SUBJECT TO A CIVIL PENALTY EQUAL TO ONE THOUSAND DOLLARS OR THE COST
OF THE COMMUNICATION, WHICHEVER IS GREATER, IN A SPECIAL  PROCEEDING  OR
CIVIL ACTION BROUGHT BY THE STATE BOARD OF ELECTIONS ENFORCEMENT COUNSEL
PURSUANT TO SECTION 16-120 OF THIS CHAPTER.
  3.  ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL
COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE  SUCH  LAW,
UNLAWFULLY ACCEPTS A CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION
ESTABLISHED  IN  THIS  ARTICLE,  SHALL BE REQUIRED TO REFUND SUCH EXCESS
AMOUNT AND SHALL BE SUBJECT TO A CIVIL PENALTY EQUAL TO  TWO  TIMES  THE
EXCESS AMOUNT PLUS A FINE OF UP TO TEN THOUSAND DOLLARS, TO BE RECOVERA-
BLE  IN  A SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE STATE
BOARD OF ELECTIONS ENFORCEMENT COUNSEL PURSUANT  TO  SECTION  16-120  OF
THIS CHAPTER.
  4.  Any  person  who knowingly and willfully fails to file a statement
required to be filed by this article within  ten  days  after  the  date
provided for filing such statement or any person who knowingly and will-
fully  violates any other provision of this article shall be guilty of a
misdemeanor.

S. 6457                            54                            A. 9544

  [3.] 5. Any person who knowingly and willfully contributes, accepts or
aids or participates in the acceptance of a contribution  in  an  amount
exceeding an applicable maximum specified in this article shall be guil-
ty of a misdemeanor.
  [4.] 6. Any person who shall, acting on behalf of a candidate or poli-
tical committee, knowingly and willfully solicit, organize or coordinate
the formation of activities of one or more unauthorized committees, make
expenditures  in connection with the nomination for election or election
of any candidate, or solicit any person to make any  such  expenditures,
for the purpose of evading the contribution limitations of this article,
shall be guilty of a class E felony.
  S  34.  Section  16-100  of  the  election  law  is amended to read as
follows:
  S 16-100. Jurisdiction; supreme court, county court.  1.  The  supreme
court is vested with jurisdiction to summarily determine any question of
law  or  fact arising as to any subject set forth in this article, which
shall be construed liberally.
  2. The county court is vested with jurisdiction to summarily determine
any question of law or fact except proceedings as  to  a  nomination  or
election at a primary election or a nomination at a judicial convention,
proceedings  as to the casting and canvass of ballots [and], proceedings
for examination or preservation of ballots AND  PROCEEDINGS  TO  ENFORCE
THE PROVISIONS OF ARTICLE FOURTEEN OF THIS CHAPTER.
  S  35.  The  election law is amended by adding a new section 16-120 to
read as follows:
  S 16-120. ENFORCEMENT PROCEEDINGS. 1. THE SUPREME COURT OR  A  JUSTICE
THEREOF,  IN  A  PROCEEDING  INSTITUTED  BY THE STATE BOARD OF ELECTIONS
ENFORCEMENT COUNSEL, MAY IMPOSE A CIVIL  PENALTY,  AS  PROVIDED  FOR  IN
SUBDIVISION TWO OR THREE OF SECTION 14-126 OF THIS CHAPTER.
  2. UPON PROOF THAT A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, AS
PROVIDED IN SUBDIVISION ONE OF THIS SECTION, HAS OCCURRED, THE COURT MAY
IMPOSE  A CIVIL PENALTY, PURSUANT TO SUBDIVISION TWO OR THREE OF SECTION
14-126 OF THIS CHAPTER, AFTER  CONSIDERING,  AMONG  OTHER  FACTORS,  THE
SEVERITY  OF  THE  VIOLATION  OR  VIOLATIONS, WHETHER THE SUBJECT OF THE
VIOLATION MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION AND  WHETHER
THE  SUBJECT  OF  THE VIOLATION HAS A HISTORY OF SIMILAR VIOLATIONS. ALL
SUCH DETERMINATIONS SHALL BE MADE ON A FAIR AND EQUITABLE BASIS  WITHOUT
REGARD TO THE STATUS OF THE CANDIDATE OR POLITICAL COMMITTEE.
  S 36. Separability clause. If any clause, sentence, paragraph, section
or  part  of this act shall be adjudged by any court of competent juris-
diction to be invalid, such judgment shall not affect, impair or invali-
date the remainder thereof, but shall be confined in  its  operation  to
the  clause,  sentence,  paragraph,  section  or  part  thereof directly
involved in the controversy in  which  such  judgment  shall  have  been
rendered.
  S  37.  This  act  shall take effect July 31, 2010; provided, however,
sections five-a, five-b and fourteen of this act shall take effect Janu-
ary 1, 2011; provided further, that sections one,  two,  three-a,  four,
five, six through eight and nine through eleven of this act shall expire
and  be  deemed  repealed  4  years  after such effective date; provided
further that sections  twenty-two,  twenty-three,  twenty-four,  twenty-
five, twenty-six, twenty-seven, twenty-eight, twenty-nine, thirty, thir-
ty-one,  thirty-three,  thirty-four,  and  thirty-five of this act shall
take effect on the sixtieth day after it shall have become  a  law;  and
provided  further  that section thirty-two of this act shall take effect
on January 1, 2011.