S. 6064 2
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], ANY 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 political
party chairman as that term is defined in section seventy-three-a 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 individ-
uals who have formerly held such positions, [were lobbyists or clients
of lobbyists, as such terms are defined in article one-A of the legisla-
tive 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] NINE which amended this
section to the extent that such regulations or opinions are not incon-
sistent 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 regulations and opinions, which will address the consistency of
such regulations and opinions among each other and with the new statuto-
ry language. The commission shall, before [April] DECEMBER first, two
thousand [eight] TEN, report to the governor and legislature regarding
such review and shall propose any regulatory changes and issue any advi-
sory 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 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
AS DEFINED BY PARAGRAPH (I) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE
OF THE PUBLIC OFFICERS LAW OR EMPLOYEE or a lobbyist as defined in
subdivision (a) of section one-c of the legislative law.
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
S. 6064 3
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
COMMISSIONERS BY A MAJORITY VOTE OF THE TOTAL NUMBER OF COMMISSIONERS.
The [chairman] CHAIRPERSON or any [seven] THREE members of the commis-
sion 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 COMMISSIONER FROM A POLITICAL
PARTY OTHER THAN THE APPOINTING AUTHORITY'S ALREADY SEATED COMMISSIONER.
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 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.] 7. The members of the commission shall [not] receive [compen-
sation 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 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 in the performance
of their official duties.
[9.] 8. 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 ONLY BE DISMISSED FOR
CAUSE BY A MAJORITY VOTE OF THE BOARD;
(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
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;
S. 6064 4
(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;
(g) 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] TWELVE 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]
TWELVE 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;
(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:
S. 6064 5
(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
include: (i) a listing by assigned number of each complaint and referral
received which alleged a possible violation within its jurisdiction,
including the current status of each complaint, and (ii) where a matter
has been resolved, the date and nature of the disposition and any sanc-
tion 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 subdi-
vision 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[.]; AND
(N) PREPARE AND ISSUE A REPORT BY DECEMBER FIRST, TWO THOUSAND TEN 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.
[10.] 9. 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.] 10. If a person required to file a financial disclosure state-
ment with the commission has failed to file a disclosure statement or
has filed a deficient statement, the commission shall notify the report-
ing person in writing, state the failure to file or detail the deficien-
cy, provide the person with a fifteen day period to cure the deficiency,
and advise the person of the penalties for failure to comply with the
reporting requirements. Such notice shall be confidential. If the person
fails to make such filing or fails to cure the deficiency within the
specified time period, the commission shall send a notice of delinquen-
cy: (a) to the reporting person; (b) in the case of a 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
S. 6064 6
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] TWELVE 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 alleged failure to file or deficient filing pursuant to this
subdivision.
[12.] 11. (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 MECHANISMS AVAILABLE TO SUCH INDIVIDUAL. If
the commission thereafter makes a determination that further inquiry is
justified, it shall give the individual an opportunity 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 WRIT-
TEN NOTICE TO THE INDIVIDUAL AND THE COMPLAINANT, IF ANY, STATING THE
CIRCUMSTANCES UNDER WHICH THE MATTER HAS BEEN RECTIFIED AND THAT THE
COMMISSION CONSIDERS THE INDIVIDUAL TO BE IN GOOD STANDING. 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
S. 6064 7
the commission in enforcement of subdivision eight of section seventy-
three of the public officers law.
[13.] 12. An individual subject to the jurisdiction of the commission
who knowingly and [intentionally] WILFULLY violates the provisions of
subdivisions two through five, seven, eight, twelve or fourteen through
seventeen 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 finan-
cial disclosure or who knowingly and wilfully with intent to deceive
makes a false statement or fraudulent omission or gives information
which such individual knows to be false on such statement of financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers 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 bene-
fit received as a result of such violation. An individual who knowingly
and [intentionally] WILFULLY violates the provisions of paragraph b, c,
d or i of subdivision three of section seventy-four of the public offi-
cers 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] WILFULLY 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 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 informa-
tion is falsely understated. Notwithstanding any other provision of law
to the contrary, no other penalty, civil or criminal may be imposed for
a failure to file, or for a false filing, of such statement, or a
violation of section seventy-three of the public officers law, except
that the appointing authority may impose disciplinary action as other-
wise provided by law. The commission may refer violations of this subdi-
vision to the appointing authority for 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
S. 6064 8
denials of requests for certain deletions or exemptions to be made from
a financial disclosure statement as authorized in paragraph (h) or para-
graph (i) of subdivision [nine] EIGHT 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
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 the commission has a reasonable basis to believe that any
person subject to the jurisdiction of the legislative ethics commission
may have violated any provisions of section seventy-three or seventy-
four of the public officers law, it shall refer such violation to the
legislative ethics commission 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 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.]
[14.] 13. A copy of any notice of delinquency or notice of reasonable
cause sent pursuant to subdivisions [eleven] TEN and [twelve] ELEVEN of
this section shall be included in the reporting person's file and be
available for public inspection and copying.
[15.] 14. Upon written request from any person who is subject to the
jurisdiction of the commission and the requirements of sections seven-
ty-three, seventy-three-a 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.] 15. 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] TWELVE
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
S. 6064 9
(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
and require the production of any books or records which it may deem
relevant or material;
[16-a.] 16. 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, and any other records or informa-
tion which the commission determines to be appropriate.
16-A. (A)(I) 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.
(II) NO TESTIMONY RECEIVED OR ANY OTHER INFORMATION OBTAINED BY A
MEMBER OF THE COMMISSION OR STAFF OF THE COMMISSION SHALL BE PUBLICLY
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 OFFI-
CIAL BUSINESS OR PURSUANT TO COMMISSION RULES.
(III) 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 CONFIDENTIAL-
ITY 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] EIGHT of this section;
(2) notices of delinquency sent under subdivision [eleven] TEN of this
section;
(3) notices of reasonable cause sent under paragraph (b) of subdivi-
sion [twelve] ELEVEN 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] EIGHT 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].
(c) Pending any application for deletion or exemption to the commis-
sion, all information which is the subject or a part of the application
shall remain confidential. Upon an adverse determination by the commis-
S. 6064 10
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 STATE OR FEDERAL COURT, THE COMMISSION SHALL HOLD THE MATTER IN ABEY-
ANCE 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 2009".
S 3. Subdivisions (f) and (j) of section 1-c of the legislative law,
subdivision (f) as amended and subdivision (j) as added by chapter 14 of
the laws of 2007, are 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.
(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] EVENT, when attendance at the event is
related to the attendee's duties or responsibilities as a public offi-
cial or allows the public official to perform a ceremonial function
appropriate to his or her position, PROVIDED THAT AN EVENT SHALL BE
DEEMED TO BE WIDELY ATTENDED IF AT LEAST TWENTY-FIVE INDIVIDUALS, OTHER
THAN MEMBERS, OFFICERS, OR EMPLOYEES FROM THE GOVERNMENTAL ENTITY IN
WHICH THE PUBLIC OFFICIAL SERVES ATTENDED, OR WERE IN GOOD FAITH
INTENDED TO ATTEND THE EVENT;
(iii) awards, plaques, and other ceremonial items which are publicly
presented, or intended to be publicly presented, in recognition of
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;
S. 6064 11
(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 AND that payment or reimbursement of lodging, meals or
travel expenses to and from the locality where such facilities, oper-
ations 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 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;
S. 6064 12
(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 JANUARY, TWO THOUSAND TEN. NO MEMBER OF THE
COMMISSION SHALL HOLD ANY OTHER STATE OR LOCAL PUBLIC OFFICE FOR WHICH
HE OR SHE RECEIVES COMPENSATION; NOR SHALL ANY MEMBER BE EMPLOYED BY THE
STATE OR ANY LOCAL POLITICAL SUBDIVISION. NO PERSON SUBJECT TO THE
JURISDICTION OF THE COMMISSION AND THE PROVISIONS OF THIS ARTICLE OR
REGISTERED AS A LOBBYIST IN ANY JURISDICTION MAY SERVE ON THE COMMIS-
SION.
(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
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. NO SUCH VOTE MAY BE TAKEN UNTIL ALL MEMBERS OF THE
ORIGINAL COMMISSION ARE APPOINTED; THEREAFTER, EACH MEMBER SHALL CONTIN-
UE 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) 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 MAY
BE REMOVED FROM SUCH POSITION 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
S. 6064 13
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 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-
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)] (H) 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)] (I) prepare uniform forms for the statements and reports
required by this article;
[(e)] (J) 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)] (K) 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)] (L) 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.
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:
S. 6064 14
(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
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) THE NAME AND ADDRESS OF ANY ENTITY AND THE NAME AND PUBLIC OFFICE
ADDRESS OF ANY STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE WITH WHOM THE LOBBYIST
HAS A REPORTABLE BUSINESS RELATIONSHIP; FOR THE PURPOSE OF THIS SUBDIVI-
SION, A BUSINESS RELATIONSHIP MUST BE REPORTED IF THE LOBBYIST HAS
ENGAGED IN THE EXCHANGE OF MONEY, GOODS, SERVICES OR ANYTHING OF VALUE,
THE TOTAL VALUE OF WHICH IS IN EXCESS OF ONE THOUSAND DOLLARS DURING THE
REPORTING PERIOD WITH ANY STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR
EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE OR ANY ENTI-
TY IN WHICH THE STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE IS A PROPRIETOR, PART-
NER, DIRECTOR, OFFICER, MANAGER OR HAS A CONTROLLING INTEREST.
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) THE NAME AND ADDRESS OF ANY ENTITY AND THE NAME AND PUBLIC OFFICE
ADDRESS OF ANY STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE WITH WHOM THE CLIENT
OF A LOBBYIST HAS A REPORTABLE BUSINESS RELATIONSHIP; FOR THE PURPOSE OF
THIS SUBDIVISION, A BUSINESS RELATIONSHIP MUST BE REPORTED IF THE CLIENT
OF A LOBBYIST HAS ENGAGED IN THE EXCHANGE OF MONEY, GOODS, SERVICES OR
ANYTHING OF VALUE, THE TOTAL VALUE OF WHICH IS IN EXCESS OF ONE THOUSAND
DOLLARS DURING THE REPORTING PERIOD WITH ANY STATEWIDE ELECTED OFFICIAL,
STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGISLATIVE
EMPLOYEE OR ANY ENTITY IN WHICH THE STATEWIDE ELECTED OFFICIAL, STATE
OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE
IS A PROPRIETOR, PARTNER, DIRECTOR, OFFICER, MANAGER OR HAS A CONTROL-
LING INTEREST.
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.
S. 6064 15
(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 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 NOMINATED BY THE
SPEAKER OF THE ASSEMBLY; TWO SHALL BE NOMINATED BY THE MINORITY LEADER
OF THE ASSEMBLY; TWO SHALL BE NOMINATED BY THE TEMPORARY PRESIDENT OF
THE SENATE; AND TWO SHALL BE NOMINATED 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: LEGISLATIVE,
JUDICIAL, ADMINISTRATIVE, PROFESSIONAL ETHICS, BUSINESS, LEGAL, AND
ACADEMIC.
(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:
(I) IS A LOBBYIST REGISTERED IN NEW YORK STATE;
(II) HAS BEEN REGISTERED IN ANY SUCH LOBBYING REGISTRY AT ANY TIME
DURING THE PREVIOUS TWO YEARS BEFORE THE DATE OF APPOINTMENT;
(III) IS A MEMBER OF OR CANDIDATE FOR A POSITION IN THE NEW YORK STATE
LEGISLATURE; OR
(IV) IS AN OFFICER OR EMPLOYEE OF THE NEW YORK STATE GOVERNMENT.
(E) NO INDIVIDUAL WHO HAS BEEN A MEMBER, OFFICER, OR EMPLOYEE OF THE
NEW YORK STATE LEGISLATURE MAY BE APPOINTED TO THE BOARD SOONER THAN TWO
YEARS AFTER CEASING TO BE A MEMBER, OFFICER, OR EMPLOYEE OF THE LEGISLA-
TURE.
(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 SHALL CONSTITUTE A QUORUM.
S. 6064 16
(I) THE BOARD SHALL MEET AT THE CALL OF THE CHAIRPERSONS OR FOUR OF
ITS MEMBERS PURSUANT TO ITS RULES.
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, AND APPOINT
SUCH OTHER STAFF AS ARE NECESSARY TO ASSIST IT TO CARRY OUT ITS DUTIES
UNDER THIS SECTION;
(B) RECEIVE AND ACT ON COMPLAINTS REGARDING PERSONS SUBJECT TO ITS
JURISDICTION ALLEGING A POSSIBLE VIOLATION OF SECTION SEVENTY-THREE,
SEVENTY-THREE-A, OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, AND CONDUCT
SUCH INVESTIGATIONS AND PROCEEDINGS AS ARE AUTHORIZED AND NECESSARY TO
CARRY OUT THE PROVISIONS OF THIS SECTION. IN CONNECTION WITH SUCH INVES-
TIGATIONS, THE 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) ACCEPT 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) ACCEPT 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
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 PARAGRAPH FOUR OF THIS SUBDIVISION.
4. PROCEDURE. (A) THE BOARD IS AUTHORIZED AND DIRECTED TO:
(I) WITHIN SEVEN CALENDAR DAYS, EXCLUDING SATURDAYS, SUNDAYS, AND
PUBLIC HOLIDAYS, AFTER RECEIPT OF A WRITTEN COMPLAINT, UNDERTAKE A
PRELIMINARY REVIEW OF ANY ALLEGED VIOLATION BY A MEMBER OF THE LEGISLA-
TURE, OFFICER, OR LEGISLATIVE EMPLOYEE OF SECTIONS SEVENTY-THREE, SEVEN-
TY-THREE-A AND 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 STANDARDS AND SHALL
NOTIFY IN WRITING:
(1) THE APPROPRIATE STANDING COMMITTEE ON ETHICS;
(2) ANY INDIVIDUAL WHO IS THE SUBJECT OF THE 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 MECHANISMS AVAILABLE TO SUCH INDIVIDUAL AND THE OPPORTU-
NITY FOR SUCH INDIVIDUAL TO SUBMIT WITHIN FIFTEEN DAYS A WRITTEN
RESPONSE SETTING FORTH INFORMATION RELATING TO THE ACTIVITIES CITED AS A
POSSIBLE OR ALLEGED VIOLATION OF LAW.
(II) COMPLETE A PRELIMINARY REVIEW WITHIN THIRTY DAYS AFTER RECEIPT OF
A COMPLAINT UNDER CLAUSE (I) OF THIS SUBPARAGRAPH.
(III) VOTE, BEFORE THE END OF THE APPLICABLE TIME PERIOD AS SET FORTH
IN CLAUSE (II) OF THIS SUBPARAGRAPH, ON WHETHER TO COMMENCE A
SECOND-PHASE REVIEW OF THE MATTER UNDER CONSIDERATION. AN AFFIRMATIVE
VOTE OF AT LEAST FOUR MEMBERS OF THE BOARD IS REQUIRED TO COMMENCE A
S. 6064 17
SECOND-PHASE REVIEW. IF NO SUCH VOTE TO COMMENCE A SECOND-PHASE REVIEW
HAS SUCCEEDED BY THE END OF THE APPLICABLE TIME PERIOD, THE MATTER IS
TERMINATED AND THE BOARD SHALL NOT DISCLOSE ANY MATERIALS OR INFORMATION
RELATED TO THE PRELIMINARY REVIEW. AT ANY POINT BEFORE THE END OF THE
APPLICABLE TIME PERIOD, THE BOARD MAY VOTE TO TERMINATE A PRELIMINARY
REVIEW BY THE AFFIRMATIVE VOTE OF NOT LESS THAN FIVE MEMBERS. THE BOARD
SHALL NOTIFY, IN WRITING, THE INDIVIDUAL WHO WAS THE SUBJECT OF THE
PRELIMINARY REVIEW AND THE JOINT LEGISLATIVE COMMISSION ON ETHICS STAND-
ARDS OR THE APPROPRIATE STANDING COMMITTEE ON ETHICS OF ITS DECISION TO
EITHER TERMINATE THE PRELIMINARY REVIEW OR COMMENCE A SECOND-PHASE
REVIEW OF THE MATTER. IF THE BOARD DETERMINES TO COMMENCE A
SECOND-PHASE REVIEW, IT SHALL GIVE THE INDIVIDUAL AN OPPORTUNITY TO BE
HEARD.
(IV)(1)(A) EXCEPT AS PROVIDED BY ITEM (B) OF THIS SUBCLAUSE, COMPLETE
A SECOND-PHASE REVIEW WITHIN FORTY-FIVE CALENDAR DAYS AFTER THE BOARD
COMMENCES SUCH REVIEW.
(B) EXTEND THE PERIOD DESCRIBED IN ITEM (A) OF THIS SUBCLAUSE FOR ONE
ADDITIONAL PERIOD OF FOURTEEN CALENDAR DAYS UPON THE AFFIRMATIVE VOTE OF
A MAJORITY OF ITS MEMBERS.
(2) TRANSMIT TO THE STANDING COMMITTEE OR COMMISSION, AS APPROPRIATE,
A RECOMMENDATION THAT A MATTER REQUIRES FURTHER REVIEW ONLY UPON THE
AFFIRMATIVE VOTE OF NOT LESS THAN FOUR MEMBERS OF THE BOARD.
(3) UPON THE COMPLETION OF ANY SECOND-PHASE REVIEW:
(A) TRANSMIT TO THE STANDING COMMITTEE ON ETHICS OR THE JOINT LEGISLA-
TIVE COMMISSION ON ETHICS STANDARDS, AS APPROPRIATE, THE FOLLOWING:
(I) A WRITTEN REPORT COMPOSED OF:
(1) A RECOMMENDATION THAT THE COMMITTEE OR COMMISSION, AS APPROPRIATE,
SHOULD DISMISS THE MATTER THAT WAS THE SUBJECT OF SUCH REVIEW;
(2) A STATEMENT THAT THE MATTER REQUIRES FURTHER REVIEW BY THE COMMIT-
TEE OR COMMISSION, AS APPROPRIATE; OR
(3) A STATEMENT THAT THE MATTER IS UNRESOLVED BECAUSE OF A TIE VOTE
AND THE NUMBER OF MEMBERS VOTING IN THE AFFIRMATIVE AND IN THE NEGATIVE
AND A STATEMENT OF THE NATURE OF THE REVIEW AND THE INDIVIDUAL WHO IS
THE SUBJECT OF THE REVIEW; AND
(4) A SUMMARY OF ITS FINDINGS OF FACT.
(II) IN ADDITION IT WILL TRANSMIT:
(1) A DESCRIPTION OF ANY RELEVANT INFORMATION THAT IT WAS UNABLE TO
OBTAIN AND WITNESSES IT WAS UNABLE TO INTERVIEW, AND THE REASONS THERE-
FOR;
(2) A RECOMMENDATION FOR THE ISSUANCE OF SUBPOENAS WHERE APPROPRIATE,
IF ANY;
(3) A CITATION OF ANY RELEVANT LAW, RULE, REGULATION, OR STANDARD OF
CONDUCT;
(4) THE NAMES OF ALL WITNESSES; AND
(5) ANY CONCLUSIONS REGARDING THE VALIDITY OF THE ALLEGATIONS UPON
WHICH IT IS BASED OR THE GUILT OR INNOCENCE OF THE INDIVIDUAL WHO IS THE
SUBJECT OF THE REVIEW; AND
(6) ANY SUPPORTING DOCUMENTATION.
(B) TRANSMIT TO THE INDIVIDUAL WHO IS THE SUBJECT OF THE SECOND-PHASE
REVIEW THE WRITTEN REPORT OF THE BOARD DESCRIBED IN SUBITEM (I) OF ITEM
(A) OF THIS SUBCLAUSE.
(4) HOLD SUCH HEARINGS AS ARE NECESSARY AND SIT AND ACT ONLY IN EXECU-
TIVE SESSION AT SUCH TIMES AND PLACES AND SOLICIT SUCH TESTIMONY AND
RECEIVE SUCH RELEVANT EVIDENCE AS MAY BE NECESSARY TO CARRY OUT ITS
DUTIES.
S. 6064 18
(5) ADOPT RULES TO CARRY OUT ITS DUTIES, WHICH SHALL INCLUDE EACH OF
THE FOLLOWING:
(A) A RULE THAT PROVIDES:
(I) THE BOARD MAY VOTE TO TERMINATE A PRELIMINARY REVIEW UPON ITS
DETERMINATION THAT THE ALLEGED VIOLATION UNDER REVIEW IS DE MINIMIS IN
NATURE; AND
(II) THE BOARD MAY VOTE TO RECOMMEND TO THE COMMITTEE OR COMMISSION,
AS APPROPRIATE, TO DISMISS A MATTER THAT WAS THE SUBJECT OF A
SECOND-PHASE REVIEW ON ANY GROUND, INCLUDING THAT THE ALLEGED VIOLATION
IS DE MINIMIS IN NATURE, WAS CURED, OR SHOULD BE RESOLVED PURSUANT TO A
SETTLEMENT AGREEMENT. A MATTER DISMISSED PURSUANT TO A SETTLEMENT AGREE-
MENT RECOMMENDED BY THE BOARD AND APPROVED BY THE COMMITTEE OR COMMIS-
SION, AS APPROPRIATE, SHALL BE DEEMED A PRELIMINARY REVIEW DISMISSAL;
PROVIDED, HOWEVER, THAT THE COMMITTEE OR COMMISSION SHALL MAKE PUBLIC
THE TERMS OF ANY SETTLEMENT OR COMPROMISE WHICH INCLUDES A FINE, PENALTY
OR OTHER REMEDY.
(B) A RULE REQUIRING THAT ALL WITNESSES SIGN A STATEMENT ACKNOWLEDGING
THEIR UNDERSTANDING THAT FALSE TESTIMONY AND THE SUBMISSION OF FALSE
DOCUMENTS CONSTITUTES PERJURY AND IS PUNISHABLE BY LAW.
(C) A RULE REQUIRING THAT THERE BE NO EX PARTE COMMUNICATIONS BETWEEN
ANY MEMBER OF THE BOARD OR STAFF OF THE OFFICE AND ANY INDIVIDUAL WHO IS
THE SUBJECT OF ANY REVIEW BY THE BOARD OR BETWEEN ANY MEMBER AND ANY
INTERESTED PARTY, AND THAT NO MEMBER, OFFICER, OR LEGISLATIVE EMPLOYEE
MAY COMMUNICATE WITH ANY MEMBER OF THE BOARD OR STAFF OF THE OFFICE
REGARDING ANY MATTER UNDER REVIEW BY THE BOARD EXCEPT AS AUTHORIZED BY
THE BOARD.
(D) 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.
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.
S. 6064 19
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 PUBLICLY DISCLOSED
BY ANY SUCH INDIVIDUAL TO ANY PERSON OR ENTITY OUTSIDE THE OFFICE. ANY
CONFIDENTIAL 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 COMMISSION ARE CONFIDENTIAL AND SHALL BE
DISCLOSED ONLY AS EXPRESSLY PROVIDED OTHERWISE BY THIS SECTION OR THE
BOARD.
(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) SUBPARAGRAPH (A) OF THIS PARAGRAPH 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. PUBLIC DISCLOSURE. NOT LATER THAN FORTY-FIVE CALENDAR DAYS AFTER
RECEIPT FROM THE BOARD OF A WRITTEN REPORT AND ANY FINDINGS AND SUPPORT-
ING DOCUMENTATION REGARDING A MATTER BEFORE THE BOARD, THE CHAIRPERSON
OF THE ASSEMBLY OR SENATE STANDING COMMITTEE ON ETHICS OR THE CHAIR-
PERSONS 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:
(A) UPON THE TERMINATION OF SUCH ADDITIONAL PERIOD, MAKE PUBLIC THE
WRITTEN REPORT; AND
(B) 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
INDIVIDUAL WHO IS THE SUBJECT OF THE APPLICABLE REFERRAL.
(C) 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
S. 6064 20
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 SUBPARAGRAPH (A) OF PARAGRAPH TEN OF THIS SUBDIVI-
SION, 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 SUBPARAGRAPH (B) OF PARAGRAPH TEN OF THIS SUBDIVI-
SION, IF THE BOARD TRANSMITS A REPORT RESPECTING ANY MATTER WITH A
RECOMMENDATION 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 PARAGRAPH TEN OF THIS SUBDIVISION, THE COMMITTEE
OR COMMISSION IS NOT REQUIRED TO MAKE A PUBLIC STATEMENT THAT THE
COMMITTEE OR COMMISSION HAS VOTED TO EXTEND THE MATTER.
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 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 ENFORCE-
MENT OF THE FILING OF FINANCIAL DISCLOSURE FORMS. 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, CANDIDATES FOR MEMBER OF THE LEGISLA-
TURE, 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, AS DEFINED IN SECTION ONE-C OF THIS
CHAPTER, OR PERSONS WHO HAVE BEEN EMPLOYEES OF THE LEGISLATURE, POLI-
TICAL PARTY CHAIRMEN AS DEFINED IN PARAGRAPH (K) OF SUBDIVISION ONE OF
SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, OR LOBBYISTS, AS
DEFINED IN SECTION ONE-C OF THIS CHAPTER IN THE PREVIOUS TWO YEARS, 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
COMMISSION SHALL SERVE AS DESCRIBED IN THIS SECTION AND HAVE AND EXER-
CISE THE POWERS AND DUTIES SET FORTH IN THIS SECTION ONLY WITH RESPECT
TO MEMBERS OF THE LEGISLATURE, LEGISLATIVE EMPLOYEES AS DEFINED IN
SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, CANDIDATES FOR MEMBER
OF THE LEGISLATURE AND INDIVIDUALS WHO HAVE FORMERLY HELD SUCH POSITIONS
OR WHO HAVE FORMERLY BEEN SUCH CANDIDATES.
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
S. 6064 21
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.
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
THIRTY 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 SHALL RECEIVE, AS COMPENSATION 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 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 MAY BE REMOVED
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
S. 6064 22
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;
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;
13. ACCEPT 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
S. 6064 23
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;
AND
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
INCLUDE: (I) A LISTING BY ASSIGNED NUMBER OF EACH COMPLAINT AND REFERRAL
RECEIVED WHICH ALLEGED A POSSIBLE VIOLATION WITHIN ITS JURISDICTION,
INCLUDING THE CURRENT STATUS OF EACH COMPLAINT, AND (II) WHERE A MATTER
HAS BEEN RESOLVED, THE DATE AND NATURE OF THE DISPOSITION AND ANY SANC-
TION IMPOSED, SUBJECT TO THE CONFIDENTIALITY REQUIREMENTS OF THIS
SECTION. SUCH ANNUAL REPORT SHALL NOT CONTAIN ANY INFORMATION FOR WHICH
DISCLOSURE IS NOT PERMITTED PURSUANT TO SUBDIVISION FOURTEEN OF THIS
SECTION.
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
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
S. 6064 24
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 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.
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 PARAGRAPH A OF THIS SUBDIVISION WITHIN ONE YEAR FROM HIS OR
HER SEPARATION FROM STATE SERVICE OR THE TERMINATION OF HIS OR HER
CANDIDACY. NOTHING IN THIS SECTION SHALL SERVE TO LIMIT THE JURISDICTION
OF THE COMMISSION IN ENFORCEMENT OF SUBDIVISION EIGHT OF SECTION SEVEN-
TY-THREE OF THE PUBLIC OFFICERS LAW.
K. AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF THE COMMISSION WHO
KNOWINGLY AND WILFULLY VIOLATES THE PROVISIONS OF SUBDIVISIONS TWO
THROUGH FIVE, SEVEN, EIGHT, TWELVE, FOURTEEN OR FIFTEEN OF SECTION
SEVENTY-THREE OF THE PUBLIC OFFICERS LAW OR A REPORTING INDIVIDUAL WHO
KNOWINGLY AND WILFULLY FAILS TO FILE AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE OR WHO KNOWINGLY AND WILFULLY WITH INTENT TO DECEIVE MAKES A
FALSE STATEMENT OR GIVES INFORMATION WHICH SUCH INDIVIDUAL KNOWS TO BE
FALSE ON SUCH STATEMENT OF FINANCIAL DISCLOSURE FILED PURSUANT TO
S. 6064 25
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 WILFULLY VIOLATES THE
PROVISIONS OF PARAGRAPH 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. ANY SUCH INDIVIDUAL WHO KNOWINGLY AND WILFULLY VIOLATES THE
PROVISIONS OF PARAGRAPH A, E OR G OF SUBDIVISION THREE OF SECTION SEVEN-
TY-FOUR OF THE PUBLIC OFFICERS LAW SHALL BE SUBJECT TO A CIVIL PENALTY
IN AN AMOUNT EQUAL TO THE VALUE OF ANY GIFT, COMPENSATION OR BENEFIT
RECEIVED AS A RESULT OF SUCH VIOLATION. ASSESSMENT OF A CIVIL PENALTY
HEREUNDER SHALL BE MADE BY THE COMMISSION WITH RESPECT TO PERSONS
SUBJECT TO ITS JURISDICTION BUT NOT BEFORE ITS RECEIPT OF A REPORT FROM
THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS; 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 PREVI-
OUSLY 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 SEVEN-
TY-THREE OR SECTION SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, THE COMMIS-
SION MAY, IN LIEU OF A CIVIL PENALTY, REFER A VIOLATION TO THE APPROPRI-
ATE PROSECUTOR AND UPON SUCH CONVICTION, BUT ONLY AFTER SUCH REFERRAL,
SUCH VIOLATION SHALL BE PUNISHABLE AS A CLASS A MISDEMEANOR. A CIVIL
PENALTY FOR FALSE FILING MAY NOT BE IMPOSED HEREUNDER IN THE EVENT A
CATEGORY OF "VALUE" OR "AMOUNT" REPORTED HEREUNDER IS INCORRECT UNLESS
SUCH REPORTED INFORMATION IS FALSELY UNDERSTATED. NOTWITHSTANDING ANY
OTHER PROVISION OF LAW TO THE CONTRARY, NO OTHER PENALTY, CIVIL OR CRIM-
INAL, 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 DISCIPLI-
NARY ACTION AS OTHERWISE PROVIDED BY LAW. THE COMMISSION SHALL BE DEEMED
TO BE AN AGENCY WITHIN THE MEANING OF ARTICLE THREE OF THE STATE ADMIN-
ISTRATIVE PROCEDURE ACT AND SHALL ADOPT RULES GOVERNING THE CONDUCT OF
ADJUDICATORY PROCEEDINGS AND APPEALS TAKEN PURSUANT TO A PROCEEDING
COMMENCED UNDER ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND
RULES RELATING TO THE ASSESSMENT OF THE CIVIL PENALTIES HEREIN AUTHOR-
IZED AND COMMISSION DENIALS OF REQUESTS FOR CERTAIN DELETIONS OR
EXEMPTIONS TO BE MADE FROM A FINANCIAL DISCLOSURE STATEMENT AS AUTHOR-
IZED IN 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 SIMILAR 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.
S. 6064 26
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, IT SHALL REFER SUCH VIOLATION TO SUCH OVERSIGHT BODY UNLESS THE
COMMISSION DETERMINES THAT SUCH A REFERRAL WOULD COMPROMISE THE PROSE-
CUTION 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:
(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;
(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;
(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.
O. 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 AND WHICH SHALL CONTAIN THE DOCUMENTS IDENTIFIED IN
SUBDIVISION N OF THIS SECTION, OTHER THAN FINANCIAL DISCLOSURE STATE-
MENTS, AND ANY OTHER RECORDS OR INFORMATION WHICH THE COMMISSION DETER-
MINES TO BE APPROPRIATE.
P. 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.
Q. SEPARABILITY CLAUSE. IF ANY PART OR PROVISION OF THIS SECTION OR
THE APPLICATION THEREOF TO ANY PERSON IS ADJUDGED BY A COURT OF COMPE-
S. 6064 27
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
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 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 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 legislative commission on ethics standards and the legisla-
tive office of ethics investigations 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, DIRECTLY OR INDIRECTLY, PROMOTE OR OPPOSE THE PASSAGE
OF LEGISLATION BY EITHER HOUSE. NOTWITHSTANDING THE PROVISIONS OF THIS
SUBDIVISION, A LEGISLATIVE EMPLOYEE WHO SERVES AS AN ELECTED CHIEF EXEC-
UTIVE OFFICER OR MEMBER OF A GOVERNING BODY OF A MUNICIPAL CORPORATION
OR DISTRICT CORPORATION SHALL BE AUTHORIZED TO PARTICIPATE WHILE CARRY-
ING OUT THE OFFICIAL DUTIES OF SUCH OFFICE IN THE DISCUSSION, DRAFTING,
PREPARATION, VOTING AND DISPATCH OF A RESOLUTION, MESSAGE OR PROCLAMA-
TION ADDRESSED TO EITHER HOUSE.
S 13. Section 66-a of the legislative law is REPEALED.
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] 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 _____________________________________
S. 6064 28
(d) Office Telephone Number _______________________________________
3. (a) Marital Status ______________. If married, please give spouse's
full name including maiden name where applicable.
_____________________________________________________________ .
(b) List the names of all unemancipated children.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Answer each of the following questions completely, with respect to
calendar year _________, unless another period or date is otherwise
specified. If additional space is needed, attach additional pages.
Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported as being within one of the following
Categories: Category A - under $5,000; Category B - $5,000 to under
$20,000; Category C - $20,000 to under $60,000; Category D - $60,000 to
under $100,000; Category E - $100,000 to under $250,000; and Category F
- $250,000 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;
S. 6064 29
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,
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-
S. 6064 30
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
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. 6064 31
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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) IF THE REPORTING INDIVIDUAL RECEIVED COMPENSATION IN EXCESS OF
$1,000 FOR APPEARANCES BEFORE A STATE AGENCY WITH RESPECT TO MATTERS
OTHER THAN MINISTERIAL MATTERS, INDICATE THE NATURE OF THE APPEAR-
ANCES AND THE NAME OF ANY SUCH AGENCY.
NATURE STATE AGENCY
_________________________________________________________
_________________________________________________________
_________________________________________________________
(C) 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.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(D) IF THE REPORTING INDIVIDUAL RECEIVED INCOME IN EXCESS OF $1,000 FROM
CONSULTING SERVICES, NOT INCLUDING ANY SERVICES PERFORMED BY A
LICENSED PROFESSIONAL LISTED IN ITEM 8(A), PROVIDE THE NAME AND
ADDRESS OF THE BUSINESS OR ENTITY, THE COMPENSATION RECEIVED FROM
SUCH ENTITY, AND PROVIDE A GENERAL DESCRIPTION OF THE SERVICES
RENDERED OR CONSIDERATION GIVEN.
ENTITY 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-
S. 6064 32
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.
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.
S. 6064 33
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).
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(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
S. 6064 34
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.
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
S. 6064 35
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
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
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 6064 36
18. List below all notes and accounts receivable, other than from goods
or services sold, held by the reporting individual at the close of
the taxable year last occurring prior to the date of filing and
other debts owed to such individual at the close of the taxable year
last occurring prior to the date of filing, in EXCESS of $1,000,
including the name of the debtor, type of obligation, date due and
the nature of the collateral securing payment of each, if any,
excluding securities reported in item 16 hereinabove. Debts, notes
and accounts receivable owed to the individual by a relative shall
not be reported.
Type of Obligation, Category
Date Due, and Nature of
Name of Debtor of Collateral, if any Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and such
individual's spouse, in EXCESS of $5,000 as of the date of filing of
this statement, other than liabilities to a relative. Do NOT list
liabilities incurred by, or guarantees made by, the reporting 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.
S. 6064 37
___________________________________ _________________________
(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
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 legislation commission on ethics standards, as appropriate
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 and 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-
S. 6064 38
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
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 appropriated or
reappropriated and shall be payable on vouchers certified or approved by
the commission on lobbying ethics and compliance, the executive ethics
and compliance commission, and the joint legislative commission on
ethics standards, as appropriate, on audit and warrant of the comp-
troller.
S 22. This act shall take effect January 1, 2010; provided, however,
sections five-a, five-b and fifteen of this act shall take effect Janu-
ary 1, 2011; and provided further, that sections one through five and
six through eleven of this act shall expire and be deemed repealed 6
years after such effective date.