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

                                  6794

                            I N  S E N A T E

                            February 8, 2010
                               ___________

Introduced  by  Sen. SCHNEIDERMAN -- read twice and ordered printed, and
  when printed to be committed to the Committee on Codes

AN ACT to amend the executive law, in relation to the  executive  ethics
  and  compliance  commission; to amend the legislative law, in relation
  to prohibition on gifts and the joint legislative commission on ethics
  standards; to amend the public officers law, in relation  to  business
  or  professional  activities by state officers and employees and party
  officers and the code of ethics and business dealings with  lobbyists;
  and to repeal certain provisions of the executive law relating thereto

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

  Section 1.   Subdivision 2 of section  94  of  the  executive  law  is
REPEALED and a new subdivision 2 is added to read as follows:
  2. (A) FOR THE PURPOSE OF THIS ARTICLE, THE FOLLOWING TERMS SHALL HAVE
THE FOLLOWING MEANINGS:
  (I)  "DESIGNATING  PANEL"  MEANS  THE  DESIGNATING  ENTITY FOR THE SIX
MEMBERS OF THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION;
  (II) "DESIGNATING MEMBERS" MEANS THE MEMBERS OF THE DESIGNATING PANEL;
  (III) "CANDIDATE" MEANS ANY INDIVIDUAL UNDER CONSIDERATION FOR THE SIX
MEMBERS OF THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION;
  (IV) "APPOINTING OFFICER" MEANS THE STATEWIDE ELECTED OFFICIAL RESPON-
SIBLE FOR APPOINTING A DESIGNATING MEMBER.
  (B) A DESIGNATING PANEL IS HEREBY ESTABLISHED TO APPOINT  SIX  MEMBERS
TO THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION.
  (C) THE DESIGNATING PANEL SHALL CONSIST OF NINE DESIGNATING MEMBERS OF
WHOM  THREE  SHALL  BE  APPOINTED BY THE GOVERNOR, THREE BY THE ATTORNEY
GENERAL, AND THREE BY THE STATE COMPTROLLER. NO MORE  THAN  TWO  OF  THE
THREE  APPOINTMENTS  MADE  BY  THE GOVERNOR, ATTORNEY GENERAL, AND STATE
COMPTROLLER MAY BE A MEMBER OF A MAJOR POLITICAL PARTY. ONE OF THE THREE
APPOINTMENTS MADE BY THE GOVERNOR, ATTORNEY  GENERAL,  AND  STATE  COMP-
TROLLER  SHALL  BE A FORMER JUDGE OR JUSTICE OF THE UNIFIED COURT SYSTEM
TO SUCH DESIGNATING PANEL. NO DESIGNATING MEMBER SHALL BE OR SHALL  HAVE
BEEN WITHIN THE PRECEDING FIVE YEARS:
  (I) A STATEWIDE ELECTED OFFICIAL,

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

                                                           LBD15444-05-0

S. 6794                             2

  (II) A CANDIDATE FOR STATEWIDE ELECTED OFFICE,
  (III) A MEMBER OF THE LEGISLATURE,
  (IV) A CANDIDATE FOR MEMBER OF THE LEGISLATURE,
  (V) AN EMPLOYEE OF THE LEGISLATURE,
  (VI)  A POLITICAL PARTY CHAIRMAN AS DEFINED IN PARAGRAPH (K) OF SUBDI-
VISION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  (VII) A STATE OFFICER OR EMPLOYEE  AS  DEFINED  BY  PARAGRAPH  (I)  OF
SUBDIVISION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  (VIII)  A LOBBYIST REQUIRED TO REGISTER IN NEW YORK STATE OR ANY OTHER
JURISDICTION, OR
  (IX) HAVE BEEN A PARTNER, OF COUNSEL OR OTHERWISE EMPLOYED BY A LOBBY-
ING FIRM.
  (D) OF THE THREE DESIGNATING MEMBERS FIRST APPOINTED BY THE  GOVERNOR,
ONE  SHALL SERVE A THREE-YEAR TERM, ONE SHALL SERVE A TWO-YEAR TERM, AND
ONE SHALL SERVE A ONE-YEAR TERM. OF THE THREE DESIGNATING MEMBERS  FIRST
APPOINTED  BY  THE  ATTORNEY GENERAL, ONE SHALL SERVE A THREE-YEAR TERM,
ONE SHALL SERVE A TWO-YEAR TERM, AND ONE SHALL SERVE A ONE-YEAR TERM. OF
THE THREE DESIGNATING MEMBERS FIRST APPOINTED BY THE STATE  COMPTROLLER,
ONE  SHALL SERVE A THREE-YEAR TERM, ONE SHALL SERVE A TWO-YEAR TERM, AND
ONE SHALL SERVE A ONE-YEAR TERM.  EACH SUBSEQUENT APPOINTMENT  SHALL  BE
FOR A TERM OF FOUR YEARS.
  (E)  A  VACANCY SHALL BE DEEMED TO OCCUR IMMEDIATELY UPON THE APPOINT-
MENT OR ELECTION OF ANY DESIGNATING  MEMBER  TO  AN  OFFICE  THAT  WOULD
DISQUALIFY  HIM  OR HER FROM SERVING ON THE DESIGNATING PANEL. A VACANCY
OCCURRING FOR ANY REASON OTHER THAN  BY  EXPIRATION  OF  TERM  SHALL  BE
FILLED  BY  THE  APPOINTING  OFFICER  FOR THE REMAINDER OF THE UNEXPIRED
TERM. NO DESIGNATING MEMBER SHALL SERVE ON SUCH PANEL AFTER THE  EXPIRA-
TION  OF  HIS  OR HER TERM. IF THE APPOINTING OFFICER FAILS TO APPOINT A
PERSON TO A VACANT OFFICE  WITHIN  SIXTY  DAYS,  THE  DESIGNATING  PANEL
SHALL,  BY  A MAJORITY VOTE WITHOUT VACANCY, SELECT A PERSON TO FILL THE
VACANT OFFICE.
  (F) THE DESIGNATING MEMBERS SHALL DESIGNATE ONE  MEMBER  TO  SERVE  AS
CHAIR  FOR  A  PERIOD  OF  TWO  YEARS OR UNTIL HIS OR HER TERM OF OFFICE
EXPIRES, WHICHEVER PERIOD IS SHORTER.
  (G) DESIGNATING MEMBERS SHALL NOT RECEIVE COMPENSATION, BUT  SHALL  BE
ENTITLED  TO  RECEIVE  REIMBURSEMENT  FOR  ACTUAL AND NECESSARY EXPENSES
INCURRED IN THE DISCHARGE OF THEIR DUTIES.
  (H) SIX DESIGNATING MEMBERS SHALL CONSTITUTE A QUORUM.
  (I) A MAJORITY VOTE OF FIVE DESIGNATING MEMBERS SHALL BE  REQUIRED  TO
APPOINT A MEMBER TO THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION.
  (J)  THE  DESIGNATING PANEL SHALL CONSIDER AND EVALUATE THE QUALIFICA-
TIONS OF THE CANDIDATES FOR THE EXECUTIVE ETHICS AND COMPLIANCE  COMMIS-
SION.  THE  DESIGNATING  PANEL  SHALL  ONLY APPOINT PERSONS WHO BY THEIR
CHARACTER, TEMPERAMENT, PROFESSIONAL APTITUDE AND  EXPERIENCE  ARE  WELL
QUALIFIED  TO  BECOME  A  MEMBER  OF  THE COMMISSION.   NO MEMBER OF THE
COMMISSION SHALL BE OR SHALL HAVE BEEN WITHIN THE PRECEDING FIVE YEARS:
  (I) A STATEWIDE ELECTED OFFICIAL,
  (II) A CANDIDATE FOR STATEWIDE ELECTED OFFICE,
  (III) A MEMBER OF THE LEGISLATURE,
  (IV) A CANDIDATE FOR MEMBER OF THE LEGISLATURE,
  (V) AN EMPLOYEE OF THE LEGISLATURE,
  (VI) A POLITICAL PARTY CHAIRMAN AS DEFINED IN PARAGRAPH (K) OF  SUBDI-
VISION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  (VII)  A  STATE  OFFICER  OR  EMPLOYEE  AS DEFINED BY PARAGRAPH (I) OF
SUBDIVISION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,

S. 6794                             3

  (VIII) A LOBBYIST REQUIRED TO REGISTER IN NEW YORK STATE OR ANY  OTHER
JURISDICTION, OR
  (IX) HAVE BEEN A PARTNER, OF COUNSEL OR OTHERWISE EMPLOYED BY A LOBBY-
ING FIRM.
  (K)  THE APPOINTMENTS SHALL BE TRANSMITTED TO THE GOVERNOR, THE ATTOR-
NEY GENERAL, THE STATE  COMPTROLLER,  THE  TEMPORARY  PRESIDENT  OF  THE
SENATE,  THE  SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE
AND THE MINORITY LEADER OF THE ASSEMBLY IN A WRITTEN REPORT, WHICH SHALL
BE RELEASED TO THE PUBLIC BY THE DESIGNATING PANEL AT  THE  TIME  IT  IS
SUBMITTED.
  S  2.  Subdivision 3 of section 94 of the executive law, as amended by
a chapter of the laws of 2010, amending the executive law and other laws
relating to governmental ethics and compliance, as proposed in  legisla-
tive bill numbers S.6457 and A.9544, is amended to read as follows:
  3.  Members  of  the  commission  shall serve for terms of four years;
provided, however, that [the]  TWO  members  [first]  appointed  by  the
[governor]  DESIGNATING  PANEL  shall  serve  two  year terms, [the] TWO
members [first] appointed by the [attorney  general]  DESIGNATING  PANEL
shall  serve  three  year terms and [the] TWO members first appointed by
the [comptroller] DESIGNATING PANEL shall serve four year terms.
  S 3. Subdivision 5 of section 94 of the executive law, as amended by a
chapter of the laws of 2010, amending the executive law and  other  laws
relating  to governmental ethics and compliance, as proposed in legisla-
tive bill numbers S.6457 and A.9544, is amended to read as follows:
  5. Any vacancy occurring on the  commission  shall  be  filled  within
sixty  days  of  its  occurrence, by the [governor, attorney general, or
comptroller] DESIGNATING PANEL in the same manner as [the  member  whose
vacancy  is being filled was appointed] PRESCRIBED IN SUBDIVISION TWO OF
THIS SECTION.  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 OR SHE succeeds.  In the event of a vacancy, the
[appointing authority] DESIGNATING PANEL must appoint a  member  of  the
commission  from  a  political  party other than that of the [appointing
authority's already seated member  of  the  commission]  MEMBER  OF  THE
COMMISSION WHO CREATED SUCH VACANCY.
  S 4. Subdivision 7 of section 94 of the executive law, as amended by a
chapter  of  the laws of 2010, amending the executive law and other laws
relating to governmental ethics and compliance, as proposed in  legisla-
tive bill numbers S.6457 and A.9544, is amended to read as follows:
  7. Members of the commission may be removed by the [appointing author-
ity] DESIGNATING PANEL 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.
  S 5. Subdivision 9 of section 94 of the executive law, as amended by a
chapter  of  the laws of 2010, amending the executive law and other laws
relating to governmental ethics and compliance, as proposed in  legisla-
tive bill numbers S.6457 and A.9544, is amended to read as follows:
  9. The commission shall:
  (a) Appoint an executive director who shall act in accordance with the
policies of the commission. The commission may delegate authority to the
executive director to act in the name of the commission between meetings
of the commission provided such delegation is in writing and the specif-
ic  powers  to be delegated are enumerated. The executive director shall
be appointed for a term of three years and shall be dismissed  only  for
cause by a majority vote of the commission;

S. 6794                             4

  (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;
  (e) Make available forms for annual statements of financial disclosure
required  to  be filed pursuant to section seventy-three-a of the public
officers law;
  (f) Review financial disclosure  statements  in  accordance  with  the
provisions  of  this  section, provided however, that the commission may
delegate all or part of this review function to the  executive  director
who  shall be responsible for completing staff review of such statements
in a manner consistent with the terms of  the  commission's  delegation.
Such  review  shall  require that all statements of financial disclosure
filed with the commission be examined to ensure that each  statement  is
facially complete and signed by the reporting individual;
  (g)  Initiate  or receive complaints and referrals alleging violations
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;
  (h)  Permit  any  person subject to the jurisdiction of the commission
who is required to file a financial disclosure statement to request  the
commission  to  delete  from  the copy thereof made available for public
inspection and copying one or more items of  information  which  may  be
deleted  by  the  commission  upon  a finding by the commission that the
information which would otherwise be required to be made  available  for
public  inspection  and  copying  will  have  no material bearing on the
discharge of the reporting person's official duties. If such request for
deletion is denied, the commission, in its notification of denial, shall
inform the person of his or her right to appeal the commission's  deter-
mination  pursuant  to  its rules governing adjudicatory proceedings and
appeals adopted pursuant to subdivision thirteen of this section;
  (i) Permit any person subject to the jurisdiction  of  the  commission
who  is  required to file a financial disclosure statement to request an
exemption from any requirement to report one or more items  of  informa-
tion  which  pertain  to  such person's spouse or unemancipated children
which item or items may be exempted by the commission upon a finding  by
the commission that the reporting individual's spouse, on his or her own
behalf  or on behalf of an unemancipated child, objects to providing the
information necessary to make such disclosure and that  the  information
which  would  otherwise be required to be reported will have no material
bearing on the discharge of the reporting person's official  duties.  If
such  request  for exemption is denied, the commission, in its notifica-
tion of denial, shall inform the person of his or her  right  to  appeal
the commission's determination pursuant to its rules governing adjudica-
tory proceedings and appeals adopted pursuant to subdivision thirteen of
this section;

S. 6794                             5

  (j)  A STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR CANDI-
DATE FOR STATEWIDE ELECTED OFFICE MAY NOT DISCLOSE INFORMATION REGARDING
A CLIENT, PERSON, OR ENTITY  REQUIRED  UNDER  THE  ANNUAL  STATEMENT  OF
FINANCIAL  DISCLOSURE  PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF PARA-
GRAPH  EIGHT  OF  SUBDIVISION  THREE  OF  SECTION SEVENTY-THREE-A OF THE
PUBLIC OFFICERS LAW, IF SUCH DISCLOSURE OF THE CLIENT, PERSON, OR  ENTI-
TY'S  REQUIRED  INFORMATION WOULD VIOLATE A LEGALLY RECOGNIZED PRIVILEGE
UNDER NEW YORK LAW OR WITHIN THE PURVIEW OF THE  ATTORNEY-CLIENT  PRIVI-
LEGE,  DISCLOSURE  WOULD  CREATE  AN UNREASONABLE HARDSHIP, IN THAT SUCH
DISCLOSURE WOULD CONVEY THE SUBSTANCE OF  A  CONFIDENTIAL  COMMUNICATION
BETWEEN  CLIENT  AND  ATTORNEY.    SUCH  A  CLIENT,  PERSON, OR ENTITY'S
REQUIRED INFORMATION UNDER SUBPARAGRAPH (A), (B)  OR  (C)  OF  PARAGRAPH
EIGHT  OF  SUBDIVISION  THREE  OF  SECTION SEVENTY-THREE-A OF THE PUBLIC
OFFICERS LAW MAY BE WITHHELD IN ACCORDANCE WITH THE FOLLOWING PROCEDURE:
  (I) A STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR  CANDI-
DATE FOR STATEWIDE ELECTED OFFICE WHO BELIEVES THAT A CLIENT, PERSON, OR
ENTITY'S  REQUIRED  INFORMATION  UNDER THE ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF  PARAGRAPH  EIGHT
OF  SUBDIVISION  THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS
LAW IS PROTECTED BY A LEGALLY RECOGNIZED PRIVILEGE OR UNREASONABLE HARD-
SHIP MAY DECLINE TO REPORT THE REQUIRED INFORMATION, BUT SHALL FILE WITH
HIS OR HER ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AN  EXPLANATION  FOR
SUCH  NONDISCLOSURE.  THE  EXPLANATION  SHALL  SEPARATELY STATE FOR EACH
UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE LEGAL BASIS FOR ASSERTION  OF
THE  PRIVILEGE OR UNREASONABLE HARDSHIP AND, AS SPECIFICALLY AS POSSIBLE
WITHOUT DEFEATING THE PRIVILEGE OR UNREASONABLE  HARDSHIP,  FACTS  WHICH
DEMONSTRATE WHY THE PRIVILEGE OR UNREASONABLE HARDSHIP IS APPLICABLE.
  (II)  WITH  RESPECT TO EACH UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE
STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR  CANDIDATE  FOR
STATEWIDE  ELECTED  OFFICE  SHALL  STATE  THAT TO THE BEST OF HIS OR HER
KNOWLEDGE HE OR SHE HAS NOT AND WILL NOT MAKE, PARTICIPATE IN MAKING, OR
IN ANY WAY ATTEMPT TO USE AN OFFICIAL POSITION TO  INFLUENCE  A  GOVERN-
MENTAL DECISION WHEN TO DO SO CONSTITUTED OR WOULD CONSTITUTE A CRIME OR
VIOLATION OF ANY LOCAL, STATE OR FEDERAL LAW.
  (III)  THE EXECUTIVE DIRECTOR MAY REQUEST FURTHER INFORMATION FROM THE
STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR  CANDIDATE  FOR
STATEWIDE  ELECTED  OFFICE  AND,  IF  NO  LEGAL OR FACTUAL JUSTIFICATION
SUFFICIENT TO SUPPORT ASSERTION OF THE PRIVILEGE OR  UNREASONABLE  HARD-
SHIP  IS  SHOWN,  MAY  ORDER  THAT THE DISCLOSURE REQUIRED BY THE ANNUAL
STATEMENT OF FINANCIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A),  (B)  OR
(C)  OF  PARAGRAPH EIGHT OF SUBDIVISION THREE OF SECTION SEVENTY-THREE-A
OF THE PUBLIC OFFICERS LAW BE  MADE.  THE  STATEWIDE  ELECTED  OFFICIAL,
STATE  OFFICER  OR  EMPLOYEE  OR  CANDIDATE FOR STATEWIDE ELECTED OFFICE
SHALL, WITHIN FOURTEEN DAYS AFTER RECEIPT OF AN ORDER FROM THE EXECUTIVE
DIRECTOR, EITHER COMPLY WITH THE ORDER OR, IF HE OR SHE WANTS  TO  CHAL-
LENGE  THE  DETERMINATION  OF THE EXECUTIVE DIRECTOR APPEAL THE DETERMI-
NATION, IN WRITING, TO THE COMMISSION. THE EXECUTIVE DIRECTOR  MAY,  FOR
GOOD CAUSE, EXTEND ANY OF THE TIME FOR A PERIOD OF FOURTEEN DAYS.
  (IV) IF THE EXECUTIVE DIRECTOR DETERMINES THAT NONDISCLOSURE IS JUSTI-
FIED  BECAUSE  OF THE EXISTENCE OF A PRIVILEGE OR UNREASONABLE HARDSHIP,
THE MATTER SHALL BE REFERRED TO THE COMMISSION.
  (V) THE COMMISSION SHALL REVIEW AN  APPEAL  FILED  UNDER  SUBPARAGRAPH
(III) OF THIS PARAGRAPH OR A RECOMMENDATION MADE BY THE EXECUTIVE DIREC-
TOR  UNDER SUBPARAGRAPH (IV) OF THIS PARAGRAPH AT A MEETING HELD NO LESS
THAN FOURTEEN DAYS AFTER NOTICE OF THE MEETING IS MAILED TO  THE  STATE-
WIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR CANDIDATE FOR STATE-

S. 6794                             6

WIDE  ELECTED  OFFICE. THE COMMISSION SHALL DECIDE WHETHER NONDISCLOSURE
IS WARRANTED BY ISSUING AN OPINION PURSUANT TO  SUBDIVISION  FIFTEEN  OF
THIS  SECTION AND SHALL TREAT THE EXPLANATION FOR NONDISCLOSURE ACCOMPA-
NYING  THE  STATEWIDE  ELECTED  OFFICIAL,  STATE  OFFICER OR EMPLOYEE OR
CANDIDATE FOR STATEWIDE ELECTED OFFICE'S ANNUAL STATEMENT  OF  FINANCIAL
DISCLOSURE AS AN OPINION REQUEST.
  (VI)  IF  THE  COMMISSION  ORDERS  A STATEWIDE ELECTED OFFICIAL, STATE
OFFICER OR  EMPLOYEE  OR  CANDIDATE  FOR  STATEWIDE  ELECTED  OFFICE  TO
DISCLOSE,  THE  STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE OR
CANDIDATE FOR STATEWIDE ELECTED OFFICE MUST COMPLY WITHIN FOURTEEN DAYS.
THE COMMISSION, IN ITS NOTIFICATION TO DISCLOSE  A  CLIENT,  PERSON,  OR
ENTITY'S  INFORMATION  REQUIRED  BY  THE  ANNUAL  STATEMENT OF FINANCIAL
DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF  PARAGRAPH  EIGHT
OF  SUBDIVISION  THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS
LAW, SHALL INFORM THE PERSON OF HIS OR HER RIGHT TO APPEAL  THE  COMMIS-
SION'S  DETERMINATION  PURSUANT  TO  ITS  RULES  GOVERNING  ADJUDICATORY
PROCEEDINGS AND APPEALS ADOPTED PURSUANT TO SUBDIVISION THIRTEEN OF THIS
SECTION;
  (K) 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)] (L) Permit any person who has not been determined by his or  her
appointing  authority to hold a policy-making position but who is other-
wise required to file a financial disclosure  statement  to  request  an
exemption from such requirement in accordance with rules and regulations
governing  such exemptions. Such rules and regulations shall provide for
exemptions to be granted either on the application of an  individual  or
on  behalf of persons who share the same job title or employment classi-
fication which the commission deems to be  comparable  for  purposes  of
this  section.  Such rules and regulations may permit the granting of an
exemption where, in the discretion of the commission, the public  inter-
est  does  not  require  disclosure  and  the  applicant's duties do not
involve the negotiation, authorization or approval of:
  (i) contracts, leases, franchises,  revocable  consents,  concessions,
variances,  special  permits, or licenses as defined in section seventy-
three of the public officers law;
  (ii) the purchase, sale, rental or lease of real  property,  goods  or
services, or a contract therefor;
  (iii) the obtaining of grants of money or loans; or
  (iv) the adoption or repeal of any rule or regulation having the force
and effect of law;
  [(l)]  (M)  Prepare  an  annual report to the governor and legislature
summarizing the activities of the commission during  the  previous  year
and  recommending  any  changes  in  the  laws  governing the conduct of
persons subject to the jurisdiction of the  commission,  or  the  rules,
regulations  and  procedures  governing  the  commission's conduct. Such
report shall be posted on the commission's website  and  shall  include:
(i) the number of reporting individuals whose files were reviewed pursu-
ant  to  subdivision  [(o)] (P) of this section during the previous year
and which, if any, classes of reporting individuals  were  selected  for
class  review  rather  than  random  review;  (ii) a listing by assigned
number of each complaint and referral received which alleged a  possible
violation  within its jurisdiction, including the current status of each
complaint; and (iii) where a matter has  been  resolved,  the  date  and
nature  of  the  disposition  and  any  sanction imposed, subject to the

S. 6794                             7

confidentiality requirements of this section,  provided,  however,  that
such  annual  report shall not contain any information for which disclo-
sure is not permitted pursuant to subdivision seventeen of this section;
  [(m)]  (N)  Determine a question common to a class or defined category
of persons or items of  information  required  to  be  disclosed,  where
determination  of the question will prevent undue repetition of requests
for exemption or deletion or prevent  undue  complication  in  complying
with the requirements of such section;
  [(n)]  (O)  Prepare and issue a report by December first, two thousand
eleven to the governor and the legislature recommending any  changes  to
the  law  governing the filing of annual statements of financial disclo-
sure, 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 individuals, including those who serve in uncompen-
sated positions; and
  [(o)] (P) Promulgate  guidelines  for  the  commission  to  conduct  a
program  of  random  reviews, to be carried out in the following manner:
(i) annual statements of financial  disclosure  shall  be  selected  for
review  in  a  manner  pursuant  to which the identity of any particular
person whose statement is selected is unknown to the commission and  its
staff  prior to its selection; (ii) such review shall include a prelimi-
nary examination of the selected statement for internal  consistency,  a
comparison  with  other  records maintained by the commission, including
previously filed statements and requests for advisory opinions,  and  an
examination  of  relevant public information, including, but not limited
to, records filed with the commission on lobbying ethics and  compliance
and  the  department  of state; (iii) upon completion of the preliminary
examination, the commission shall determine whether further  inquiry  is
warranted, whereupon it shall notify the reporting individual in writing
that  the  statement is under review, advise the reporting individual of
the specific areas of inquiry, and provide the reporting individual with
the opportunity to provide the commission with any relevant  information
related  to  the  specific areas of inquiry, and the opportunity to file
amendments to the selected statement on forms provided  by  the  commis-
sion;  and  (iv)  if  thereafter sufficient cause exists, the commission
shall initiate an investigation to determine whether the reporting indi-
vidual has filed a deficient statement; provided, however if the commis-
sion conducts a review of all statements of financial  disclosure  filed
by  a  class  of  reporting  individuals in the manner set forth in this
paragraph with respect to a given calendar year, the individuals  within
such  class  shall  not be subject to random review. For the purposes of
this paragraph, the classes of reporting individuals are  (A)  statewide
elected  officials,  (B)  candidates  for statewide office, (C) heads of
state departments and their deputies and assistants pursuant to subpara-
graph (i) of paragraph (i) of subdivision one of  section  seventy-three
of the public officers law, and (D) other state officers and employees.
  S  6. Subdivision 13 of section 94 of the executive law, as amended by
a chapter of the laws of 2010, amending the executive law and other laws
relating to governmental ethics and compliance, as proposed in  legisla-
tive bill numbers S.6457 and A.9544, is amended to read as follows:
  13.  An  individual  subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions of subdivisions  two
through  five-a, seven, eight, twelve, fourteen through sixteen or eigh-
teen of section seventy-three of the public officers  law,  section  one

S. 6794                             8

hundred  seven  of  the civil service law, or a reporting individual who
knowingly and wilfully fails to file an annual  statement  of  financial
disclosure  or who knowingly and wilfully with 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 officers law, OR
A REPORTING INDIVIDUAL WHO KNOWINGLY AND WILFULLY FAILS TO FILE A REPORT
OF  BUSINESS  DEALINGS WITH LOBBYISTS 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 A REPORT OF BUSINESS DEALINGS
WITH  LOBBYISTS  FILED  PURSUANT   TO   SUBDIVISION   ONE   OF   SECTION
SEVENTY-FOUR-B  OF  THE  PUBLIC OFFICERS LAW shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars and the  value
of  any  gift,  compensation  or  benefit  received  as a result of such
violation. An individual who knowingly and  intentionally  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. An individual who knowingly and  intentionally  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 not to exceed the value of any gift, compensation or  bene-
fit  received  as  a  result  of such violation.   Assessment of a civil
penalty hereunder shall be  made  by  the  commission  with  respect  to
persons  subject  to  its  jurisdiction.  In assessing the amount of the
civil penalties to be imposed, the commission shall consider  the  seri-
ousness  of  the  violation,  the  amount  of gain to the individual and
whether the individual previously had any civil  or  criminal  penalties
imposed  pursuant  to this section, and any other factors the commission
deems appropriate. For a violation of this subdivision, other  than  for
conduct  which  constitutes  a violation of section one hundred seven of
the civil service law, subdivisions twelve or fourteen  through  sixteen
or  eighteen  of  section  seventy-three  or section seventy-four of the
public officers law the commission may, in [lieu of] ADDITION TO a civil
penalty, refer a violation to the appropriate prosecutor and  upon  such
conviction, such violation shall be punishable as a class A misdemeanor.
A  civil  penalty  for  false filing may not be imposed hereunder in the
event a category of "value" or "amount" reported hereunder is  incorrect
unless such reported information is falsely understated. Notwithstanding
any [other provision of law to the contrary, no other penalty,] civil or
criminal  [may be] PENALTY imposed for a failure to file, or for a false
filing, of such statement, or a violation of  section  seventy-three  of
the  public  officers  law,  [except  that] the appointing authority may
impose disciplinary action as otherwise provided by law. The  commission
may refer violations of this subdivision to the appointing authority for
disciplinary  action  as otherwise provided by law. The commission shall
be deemed to be an agency within the meaning of  article  three  of  the
state  administrative  procedure act and shall adopt rules governing the
conduct of adjudicatory proceedings and  appeals  taken  pursuant  to  a
proceeding  commenced  under article seventy-eight of the civil practice
law and rules relating to the assessment of the civil  penalties  herein
authorized  and  commission denials of requests for certain deletions or
exemptions to be made from a financial disclosure statement  as  author-
ized  in  paragraph (h) [or], paragraph (i) OR PARAGRAPH (J) of subdivi-
sion nine of this section. Such rules, which shall not be subject to the

S. 6794                             9

approval requirements of the state administrative procedure  act,  shall
provide  for  due process procedural mechanisms substantially similar to
those set forth in article three of the state  administrative  procedure
act but such mechanisms need not be identical in terms or scope. Assess-
ment  of a civil penalty or commission denial of such a request shall be
final unless modified, suspended or vacated within thirty days of  impo-
sition,  with  respect to the assessment of such penalty, or unless such
denial of request is reversed within such time period, and upon becoming
final shall be subject to review at the instance of the affected report-
ing individuals in a proceeding commenced against the commission, pursu-
ant to article seventy-eight of the civil practice law and rules.
  S 7. Section 1-m of the legislative law, as added by chapter 14 of the
laws of 2007, is amended to read as follows:
  S 1-m. Prohibition of gifts. No individual or entity  required  to  be
listed  on  a  statement  of registration pursuant to this article shall
offer or give a gift to any public official as defined within this arti-
cle, unless under the circumstances it is not reasonable to  infer  that
the  gift  was intended to influence such public official. No individual
or entity required to be listed on a statement of registration  pursuant
to this article shall offer or give a gift to the spouse or unemancipat-
ed  child  of  any  public official as defined within this article under
circumstances where it is reasonable to infer that the gift was intended
to influence such public official. No spouse or unemancipated  child  of
an  individual  required  to  be  listed  on a statement of registration
pursuant to this article shall offer or give a gift to a public official
under circumstances where it is reasonable to infer that  the  gift  was
intended  to  influence  such  public  official. [This section shall not
apply to gifts to officers, members or directors of boards, commissions,
councils, public authorities or public benefit corporations who  receive
no  compensation  or  are  compensated  on  a per diem basis, unless the
person listed on the statement of registration appears  or  has  matters
pending  before  the board, commission or council on which the recipient
sits.]
  S 8. Paragraph (ii) of subdivision (a) of section 1-o of the  legisla-
tive  law,  as  amended  by  a chapter of the laws of 2010, amending the
executive law and other laws relating to governmental ethics and compli-
ance, as proposed in legislative bill  numbers  S.6457  and  A.9544,  is
amended to read as follows:
  (ii)  any  lobbyist,  public  corporation, or client who knowingly and
wilfully fails to file timely a report or  statement  required  by  this
article  or  knowingly and wilfully files false information or knowingly
and wilfully violates section one-m of this article, after having previ-
ously been convicted in the preceding five years of the crime  described
in paragraph (i) of this subdivision, shall be guilty of a class E felo-
ny.  Any  lobbyist convicted of or pleading guilty to a felony under the
provisions of this section may be barred from acting as a lobbyist for a
period of [one year] FIVE YEARS from the date of the conviction. For the
purposes of this subdivision, the chief administrative  officer  of  any
organization  required to file a statement or report shall be the person
responsible for making and filing such statement or report  unless  some
other  person  prior to the due date thereof has been duly designated to
make and file such statement or report.
  S 9. Subparagraph (B) of paragraph (iii) and paragraphs (iv)  and  (v)
of  subdivision  (b)  of section 1-o of the legislative law, as added by
chapter 14 of the laws of 2007, are amended to read as follows:

S. 6794                            10

  (B) If, after a lobbyist or client has been  found  to  have  violated
subdivision  one  of section one-n of this article, a lobbyist or client
knowingly and wilfully violates the provisions  of  subdivision  one  of
section  one-n of this article within [four] FIVE years of such finding,
the lobbyist or client shall be subject to a civil penalty not to exceed
twenty-five thousand dollars.
  (iv)  Any lobbyist or client that knowingly and wilfully fails to file
a statement or report within the time required for the  filing  of  such
report,  knowingly  and  wilfully  files a false statement or report, or
knowingly and wilfully violates section one-m  of  this  article,  after
having  been  found  by  the  commission to have [knowing] KNOWINGLY and
wilfully committed such conduct  or  violation  in  the  preceding  five
years,  may be subject to a determination that the lobbyist or client is
prohibited from engaging in lobbying activities, as that term is defined
in paragraph (v) of subdivision (c) of section one-c  of  this  article,
for a period of [one year] FIVE YEARS.
  (v)  Any  lobbyist  or  client  that knowingly and wilfully engages in
lobbying activities, as that term is defined in paragraph (v) of  subdi-
vision  (c) of section one-c of this article, during the period in which
they are prohibited from engaging in lobbying activities, as  that  term
is  defined in paragraph (v) of subdivision (c) of section one-c of this
article pursuant to this subdivision, may be subject to a  determination
that  the  lobbyist  or  client  is prohibited from engaging in lobbying
activities, as that term is defined in paragraph (v) of subdivision  (c)
of  section  one-c  of this article, for a period of up to [four] TWENTY
years, and shall be subject to a civil penalty not to exceed [fifty] ONE
HUNDRED thousand dollars, plus a civil penalty in  an  amount  equal  to
five  times the value of any gift, compensation or benefit received as a
result of the violation.
  S 10. Paragraphs (a), (b), (c),  (d)  and  (j)  of  subdivision  2  of
section  80 of the legislative law, as added by a chapter of the laws of
2010, amending the executive law and other laws relating to governmental
ethics and compliance, as proposed in legislative  bill  numbers  S.6457
and A.9544, are amended to read as follows:
  (a)  The office shall be governed by a board consisting of eight indi-
viduals [of whom two] WHO shall be appointed  by  [the  speaker  of  the
assembly; two shall be appointed by the minority leader of the assembly;
two shall be appointed by the temporary president of the senate; and two
shall be appointed by the minority leader of the senate] A MAJORITY VOTE
OF  THE  TOTAL  NUMBER OF MEMBERS ON THE JOINT LEGISLATIVE COMMISSION ON
ETHICS STANDARDS.
  (b) The [legislative leaders each] MEMBERS  OF  THE  COMMISSION  shall
appoint individuals who are qualified to serve on the board by virtue of
their  education, training or experience in one or more of the following
disciplines  or  processes:    legislative,  judicial,   administrative,
professional ethics, business, legal, and academic.
  (c) The [speaker and the temporary president of the senate] MEMBERS OF
THE  GOVERNING  BOARD  shall  [each  designate  one member] VOTE FOR TWO
MEMBERS of the board TO SERVE as [co-chairperson] CO-CHAIRPERSONS.
  (d) No individual shall be eligible for appointment to, or service on,
the GOVERNING board who currently or within the last five years:
  [(i) is required to register as a lobbyist or has been a  lobbyist  in
New York state or in any other jurisdiction;
  (ii)  is  or has been a candidate for a position in the New York state
legislature;

S. 6794                            11

  (iii) is or has been a member, officer, or employee of  the  New  York
state legislature; or
  (iv)  is  or  has been a political party chairman, as defined in para-
graph (k) of subdivision one of  section  seventy-three  of  the  public
officers law.]
  (I) A STATEWIDE ELECTED OFFICIAL,
  (II) A CANDIDATE FOR STATEWIDE ELECTED OFFICE,
  (III) A MEMBER OF THE LEGISLATURE,
  (IV) A CANDIDATE FOR MEMBER OF THE LEGISLATURE,
  (V) AN EMPLOYEE OF THE LEGISLATURE,
  (VI)  A POLITICAL PARTY CHAIRMAN AS DEFINED IN PARAGRAPH (K) OF SUBDI-
VISION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  (VII) A STATE OFFICER OR EMPLOYEE  AS  DEFINED  BY  PARAGRAPH  (I)  OF
SUBDIVISION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  (VIII)  A LOBBYIST REQUIRED TO REGISTER IN NEW YORK STATE OR ANY OTHER
JURISDICTION, OR
  (IX) HAVE BEEN A PARTNER, OF COUNSEL OR OTHERWISE EMPLOYED BY A LOBBY-
ING FIRM.
  (j) Any vacancy occurring on the board shall be  filled  within  sixty
days  by  the  [appointing  authority]  JOINT  LEGISLATIVE COMMISSION ON
ETHICS STANDARDS.
  S 11. Section 81 of the legislative law, as added by a chapter of  the
laws  of  2010,  amending  the  executive law and other laws relating to
governmental ethics and compliance,  as  proposed  in  legislative  bill
numbers S.6457 and A.9544, is amended to read as follows:
  S  81.  Joint  legislative commission on ethics standards. a. There is
established a joint legislative commission  on  ethics  standards  which
shall consist of eight members and which shall be responsible for train-
ing,  education,  and  advice regarding sections seventy-three, seventy-
three-a and seventy-four of the  public  officers  law  and  review  the
enforcement  of  such  sections.   [Four members shall be members of the
legislature and shall be appointed as  follows:  one  by  the  temporary
president  of the senate, one by the speaker of the assembly, one by the
minority leader of the senate and one by  the  minority  leader  of  the
assembly.  The  remaining  four  members  shall not be present or former
members of the legislature and shall not be and shall not have  been  in
the  previous  five  years,  candidates  for  member of the legislature,
employees of the legislature, or persons who have been employees of  the
legislature,  political  party  chairmen  as defined in paragraph (k) of
subdivision one of section seventy-three of the public officers law,  or
lobbyists  required to register in New York state or any other jurisdic-
tion. The four members who are not legislators  shall  be  appointed  as
follows: one by the temporary president of the senate, one by the speak-
er of the assembly, one by the minority leader of the senate, and one by
the  minority  leader  of  the  assembly.] The commission shall serve as
described in this section and have and exercise the  powers  and  duties
set  forth  in this section only with respect to members of the legisla-
ture, legislative employees as defined in section seventy-three  of  the
public  officers law, candidates for member of the legislature and indi-
viduals who have formerly held such positions or who have formerly  been
such  candidates.  THE JURISDICTION OF THE COMMISSION WHEN ACTING PURSU-
ANT TO THIS SECTION SHALL CONTINUE NOTWITHSTANDING THAT A MEMBER OF  THE
LEGISLATURE OR A LEGISLATIVE EMPLOYEE SEPARATES FROM STATE SERVICE, OR A
CANDIDATE  FOR  MEMBER  OF  THE  LEGISLATURE  CEASES  TO BE A CANDIDATE,
PROVIDED THAT THE COMMISSION NOTIFIES SUCH  INDIVIDUAL  OF  THE  ALLEGED
VIOLATION  OF  LAW  PURSUANT TO THIS SECTION WITHIN ONE YEAR FROM HIS OR

S. 6794                            12

HER SEPARATION FROM STATE SERVICE OR  THE  TERMINATION  OF  HIS  OR  HER
CANDIDACY.    NOTHING IN THIS SECTION SHALL SERVE TO LIMIT THE JURISDIC-
TION OF THE COMMISSION IN ENFORCEMENT OF SUBDIVISION  EIGHT  OF  SECTION
SEVENTY-THREE OF THE PUBLIC OFFICERS LAW.
  b.  [Members of the legislature who serve on the commission shall each
have a two year term concurrent with their legislative terms of office.]
FOR  THE  PURPOSE  OF  THIS  ARTICLE, THE FOLLOWING TERMS SHALL HAVE THE
FOLLOWING MEANINGS:
  1. "DESIGNATING PANEL" MEANS THE  DESIGNATING  ENTITY  FOR  THE  EIGHT
MEMBERS OF THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS;
  2. "DESIGNATING MEMBERS" MEANS THE MEMBERS OF THE DESIGNATING PANEL;
  3.  "CANDIDATE"  MEANS  ANY  INDIVIDUAL UNDER CONSIDERATION FOR ONE OF
EIGHT MEMBERS TO PRESIDE ON THE JOINT LEGISLATIVE COMMISSION  ON  ETHICS
STANDARDS;
  4.  "APPOINTING OFFICER" MEANS THE LEGISLATOR RESPONSIBLE FOR APPOINT-
ING A DESIGNATING MEMBER.
  C. A DESIGNATING PANEL IS HEREBY ESTABLISHED TO APPOINT EIGHT  MEMBERS
TO THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS.
  D. THE DESIGNATING PANEL SHALL CONSIST OF EIGHT DESIGNATING MEMBERS OF
WHOM  TWO  SHALL BE APPOINTED BY THE SPEAKER OF THE ASSEMBLY, TWO BY THE
TEMPORARY PRESIDENT OF THE STATE SENATE, TWO BY THE MINORITY  LEADER  OF
THE  STATE  SENATE,  AND  TWO BY THE MINORITY LEADER OF THE ASSEMBLY. NO
MORE THAN FOUR OF THE EIGHT APPOINTMENTS MADE  BY  THE  SPEAKER  OF  THE
ASSEMBLY,  TEMPORARY  PRESIDENT OF THE STATE SENATE, THE MINORITY LEADER
OF THE STATE SENATE, AND THE MINORITY LEADER OF THE ASSEMBLY  MAY  BE  A
MEMBER  OF  THE  SAME POLITICAL PARTY. NO DESIGNATING MEMBER SHALL BE OR
SHALL HAVE BEEN WITHIN THE PRECEDING FIVE YEARS:
  1. A STATEWIDE ELECTED OFFICIAL,
  2. A CANDIDATE FOR STATEWIDE ELECTED OFFICE,
  3. A MEMBER OF THE LEGISLATURE,
  4. A CANDIDATE FOR MEMBER OF THE LEGISLATURE,
  5. AN EMPLOYEE OF THE LEGISLATURE,
  6. A POLITICAL PARTY CHAIRMAN AS DEFINED IN PARAGRAPH (K) OF  SUBDIVI-
SION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  7. A STATE OFFICER OR EMPLOYEE AS DEFINED BY PARAGRAPH (I) OF SUBDIVI-
SION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  8.  A  LOBBYIST  REQUIRED  TO  REGISTER IN NEW YORK STATE OR ANY OTHER
JURISDICTION, OR
  9. HAVE BEEN A PARTNER, OF COUNSEL OR OTHERWISE EMPLOYED BY A LOBBYING
FIRM.
  E. OF THE TWO DESIGNATING MEMBERS FIRST APPOINTED BY  THE  SPEAKER  OF
THE  ASSEMBLY,  ONE  SHALL SERVE A THREE-YEAR TERM AND ONE SHALL SERVE A
ONE-YEAR TERM.  OF THE TWO DESIGNATING MEMBERS FIRST  APPOINTED  BY  THE
TEMPORARY  PRESIDENT  OF  THE STATE SENATE, ONE SHALL SERVE A THREE-YEAR
TERM AND ONE SHALL SERVE A TWO-YEAR TERM. OF THE TWO DESIGNATING MEMBERS
FIRST APPOINTED BY THE MINORITY LEADER OF THE STATE  SENATE,  ONE  SHALL
SERVE  A THREE-YEAR TERM AND ONE SHALL SERVE A TWO-YEAR TERM. OF THE TWO
DESIGNATING MEMBERS FIRST APPOINTED BY THE MINORITY LEADER OF THE ASSEM-
BLY, ONE SHALL SERVE A THREE-YEAR TERM AND ONE SHALL  SERVE  A  ONE-YEAR
TERM. EACH SUBSEQUENT APPOINTMENT SHALL BE FOR A TERM OF FOUR YEARS.
  F. A VACANCY SHALL BE DEEMED TO OCCUR IMMEDIATELY UPON THE APPOINTMENT
OR ELECTION OF ANY DESIGNATING MEMBER TO AN OFFICE THAT WOULD DISQUALIFY
HIM  OR  HER  FROM SERVING ON THE DESIGNATING PANEL. A VACANCY OCCURRING
FOR ANY REASON OTHER THAN BY EXPIRATION OF TERM SHALL BE FILLED  BY  THE
APPOINTING OFFICER FOR THE REMAINDER OF THE UNEXPIRED TERM. NO DESIGNAT-
ING  MEMBER SHALL SERVE ON SUCH PANEL AFTER THE EXPIRATION OF HIS OR HER

S. 6794                            13

TERM. IF THE APPOINTING OFFICER FAILS TO APPOINT A PERSON  TO  A  VACANT
OFFICE  WITHIN  SIXTY  DAYS,  THE DESIGNATING PANEL SHALL, BY A MAJORITY
VOTE WITHOUT VACANCY, SELECT A PERSON TO FILL THE VACANT OFFICE.
  G.  THE  DESIGNATING  MEMBERS  SHALL  DESIGNATE ONE MEMBER TO SERVE AS
CHAIR FOR A PERIOD OF TWO YEARS OR UNTIL  HIS  OR  HER  TERM  OF  OFFICE
EXPIRES, WHICHEVER PERIOD IS SHORTER.
  H.  DESIGNATING  MEMBERS  SHALL NOT RECEIVE COMPENSATION, BUT SHALL BE
ENTITLED TO RECEIVE REIMBURSEMENT  FOR  ACTUAL  AND  NECESSARY  EXPENSES
INCURRED IN THE DISCHARGE OF THEIR DUTIES.
  I. FIVE DESIGNATING MEMBERS SHALL CONSTITUTE A QUORUM.
  J.  A  MAJORITY  VOTE OF FIVE DESIGNATING MEMBERS SHALL BE REQUIRED TO
APPOINT A MEMBER TO THE JOINT LEGISLATIVE COMMISSION  ON  ETHICS  STAND-
ARDS.
  K.  THE  DESIGNATING  PANEL SHALL CONSIDER AND EVALUATE THE QUALIFICA-
TIONS OF THE CANDIDATES FOR THE JOINT LEGISLATIVE COMMISSION  ON  ETHICS
STANDARDS. THE DESIGNATING PANEL SHALL ONLY APPOINT PERSONS WHO BY THEIR
CHARACTER,  TEMPERAMENT,  PROFESSIONAL  APTITUDE AND EXPERIENCE ARE WELL
QUALIFIED TO BECOME A MEMBER OF  THE  COMMISSION.    NO  MEMBER  OF  THE
COMMISSION SHALL BE OR SHALL HAVE BEEN WITHIN THE PRECEDING FIVE YEARS:
  1. A STATEWIDE ELECTED OFFICIAL,
  2. A CANDIDATE FOR STATEWIDE ELECTED OFFICE,
  3. A MEMBER OF THE LEGISLATURE,
  4. A CANDIDATE FOR MEMBER OF THE LEGISLATURE,
  5. AN EMPLOYEE OF THE LEGISLATURE,
  6.  A POLITICAL PARTY CHAIRMAN AS DEFINED IN PARAGRAPH (K) OF SUBDIVI-
SION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  7. A STATE OFFICER OR EMPLOYEE AS DEFINED BY PARAGRAPH (I) OF SUBDIVI-
SION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW,
  8. A LOBBYIST REQUIRED TO REGISTER IN NEW  YORK  STATE  OR  ANY  OTHER
JURISDICTION, OR
  9. HAVE BEEN A PARTNER, OF COUNSEL OR OTHERWISE EMPLOYED BY A LOBBYING
FIRM.
  L. THE APPOINTMENTS SHALL BE TRANSMITTED TO THE GOVERNOR, THE ATTORNEY
GENERAL,  THE  STATE COMPTROLLER, THE TEMPORARY PRESIDENT OF THE SENATE,
THE SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE  AND  THE
MINORITY  LEADER  OF  THE  ASSEMBLY  IN A WRITTEN REPORT, WHICH SHALL BE
RELEASED TO THE PUBLIC BY THE  DESIGNATING  PANEL  AT  THE  TIME  IT  IS
SUBMITTED.
  M.  The members of the commission [who are not members of the legisla-
ture and] who are first appointed by the  [temporary  president  of  the
senate,  speaker  of  the  assembly,  minority leader of the senate, and
minority leader of the assembly] DESIGNATING PANEL shall BE DIVIDED INTO
FOUR CLASSES AND serve STAGGERED TERMS OF one, two, three and four  year
[terms],  respectively.    Each  member  of the commission [who is not a
member of the legislature] shall be appointed thereafter for a  term  of
four  years and may be removed by the [appointing authority] DESIGNATING
PANEL for substantial neglect of duty, misconduct in  office,  inability
to  discharge  the  powers or duties of the office or violations of this
section after written notice and opportunity for a reply.
  [c.  The temporary president of the senate  and  the  speaker  of  the
assembly  shall  each  designate  one  member  of  the  commission  as a
co-chairperson thereof.] N. THE COMMISSION SHALL ELECT TWO  CO-CHAIRPER-
SONS  BY  A  MAJORITY VOTE OF THE TOTAL NUMBER OF MEMBERS OF THE COMMIS-
SION. The commission shall meet at least bi-monthly and  at  such  addi-
tional  times as may be called for by the co-chairpersons jointly or any
four members of the commission.

S. 6794                            14

  [d.] O. Any vacancy occurring on the commission shall be filled within
sixty days by the [appointing authority] DESIGNATING PANEL IN  THE  SAME
MANNER AS PRESCRIBED IN SUBDIVISION F OF THIS SECTION.
  [e.]  P. 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.]  Q.  Each  member  of  the commission [who is not a member of the
legislature] 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 thou-
sand  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  arti-
cle.
  [g.] R. The commission shall:
  1.   Appoint an executive director for a three year term who shall act
in accordance with the policies of  the  commission  and  who  shall  be
dismissed only for cause by a majority vote of the commission;
  2.    Appoint  such other staff as are necessary to assist it to carry
out its duties under this section;
  3.  Adopt, amend, and rescind policies, rules and regulations consist-
ent with this section to govern procedures of the commission which shall
not be subject to the promulgation and hearing requirements of the state
administrative procedure act;
  4.  Administer the provisions of this section;
  5.  Specify the procedures whereby a person who is required to file an
annual financial disclosure statement with the commission may request an
additional period of time within which to file such  statement,  due  to
justifiable  cause  or  undue  hardship; such rules or regulations shall
provide for a date beyond which in all cases  of  justifiable  cause  or
undue hardship no further extension of time will be granted;
  6.    Promulgate guidelines to assist appointing authorities in deter-
mining which  persons  hold  policy-making  positions  for  purposes  of
section  seventy-three-a  of  the public officers law and may promulgate
guidelines to assist firms, associations and corporations in  separating
affected  persons  from  net revenues for purposes of subdivision ten of
section seventy-three of the public officers law, and promulgate  guide-
lines  to assist any firm, association or corporation in which any pres-
ent or former statewide elected official,  state  officer  or  employee,
member  of  the  legislature or legislative employee, or political party
chair is a member, associate, retired member, of counsel or shareholder,
in complying with the provisions of subdivision ten of section  seventy-
three  of the public officers law with respect to the separation of such
present or former statewide elected official, state officer or employee,
member of the legislature or legislative employee,  or  political  party
chairman  from the net revenues of the firm, association or corporation.
Such firm, association or corporation shall not be required to adopt the
procedures contained in the  guidelines  to  establish  compliance  with
subdivision ten of section seventy-three of the public officers law, but
if  such firm, association or corporation does adopt such procedures, it
shall be deemed to be in compliance with such subdivision ten;
  7.  Make available forms for financial disclosure statements  required
to  be  filed  pursuant  to subdivision six of section seventy-three and
section seventy-three-a of the public officers law;

S. 6794                            15

  8.   Review financial disclosure statements  in  accordance  with  the
provisions  of  this  section, provided however, that the commission may
delegate all or part  of  the  review  function  relating  to  financial
disclosure  statements  pursuant  to sections seventy-three and seventy-
three-a  of  the public officers law to the executive director who shall
be responsible for completing staff  review  of  such  statements  in  a
manner  consistent  with  the terms of the commission's delegation. Such
review shall require that all statements of financial  disclosure  filed
with the commission be examined to ensure that each statement is facial-
ly complete and signed by the reporting individual;
  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. A MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR
MEMBER OF THE LEGISLATURE  MAY  NOT  DISCLOSE  INFORMATION  REGARDING  A
CLIENT,  PERSON, OR ENTITY REQUIRED UNDER THE ANNUAL STATEMENT OF FINAN-
CIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR  (C)  OF  PARAGRAPH
EIGHT  OF  SUBDIVISION  THREE  OF  SECTION SEVENTY-THREE-A OF THE PUBLIC
OFFICERS LAW, IF SUCH DISCLOSURE OF  THE  CLIENT,  PERSON,  OR  ENTITY'S
REQUIRED  INFORMATION WOULD VIOLATE A LEGALLY RECOGNIZED PRIVILEGE UNDER
NEW YORK LAW OR WITHIN THE PURVIEW  OF  THE  ATTORNEY-CLIENT  PRIVILEGE,
DISCLOSURE  WOULD  CREATE AN UNREASONABLE HARDSHIP, IN THAT SUCH DISCLO-
SURE WOULD CONVEY THE SUBSTANCE OF  CONFIDENTIAL  COMMUNICATION  BETWEEN
CLIENT AND ATTORNEY.  SUCH A CLIENT, PERSON, OR ENTITY'S REQUIRED INFOR-
MATION UNDER SUBPARAGRAPH (A), (B) OR (C) OF PARAGRAPH EIGHT OF SUBDIVI-
SION  THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW MAY BE
WITHHELD IN ACCORDANCE WITH THE FOLLOWING PROCEDURE:
  (A) A MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR
MEMBER OF THE LEGISLATURE WHO BELIEVES THAT A CLIENT, PERSON,  OR  ENTI-
TY'S  REQUIRED  INFORMATION  UNDER  THE  ANNUAL  STATEMENT  OF FINANCIAL
DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR (C) OF  PARAGRAPH  EIGHT
OF  SUBDIVISION  THREE OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS
LAW IS PROTECTED BY A LEGALLY RECOGNIZED PRIVILEGE OR UNREASONABLE HARD-
SHIP MAY DECLINE TO REPORT THE REQUIRED INFORMATION, BUT SHALL FILE WITH
HIS OR HER ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AN  EXPLANATION  FOR
SUCH  NONDISCLOSURE.  THE  EXPLANATION  SHALL  SEPARATELY STATE FOR EACH
UNDISCLOSED CLIENT, PERSON, OR ENTITY THE LEGAL BASIS FOR  ASSERTION  OF
THE  PRIVILEGE OR UNREASONABLE HARDSHIP AND, AS SPECIFICALLY AS POSSIBLE
WITHOUT DEFEATING THE PRIVILEGE OR UNREASONABLE  HARDSHIP,  FACTS  WHICH
DEMONSTRATE WHY THE PRIVILEGE OR UNREASONABLE HARDSHIP IS APPLICABLE.
  (B)  WITH  RESPECT  TO EACH UNDISCLOSED CLIENT, PERSON, OR ENTITY, THE
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR  MEMBER
OF  THE LEGISLATURE SHALL STATE THAT TO THE BEST OF HIS OR HER KNOWLEDGE

S. 6794                            16

HE OR SHE HAS NOT AND WILL NOT MAKE, PARTICIPATE IN MAKING,  OR  IN  ANY
WAY  ATTEMPT  TO  USE  AN  OFFICIAL POSITION TO INFLUENCE A GOVERNMENTAL
DECISION WHEN TO DO SO  CONSTITUTED  OR  WOULD  CONSTITUTE  A  CRIME  OR
VIOLATION OF ANY LOCAL, STATE OR FEDERAL LAW.
  (C)  THE  EXECUTIVE  DIRECTOR MAY REQUEST FURTHER INFORMATION FROM THE
MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR  MEMBER
OF  THE LEGISLATURE AND, IF NO LEGAL OR FACTUAL JUSTIFICATION SUFFICIENT
TO SUPPORT ASSERTION OF THE PRIVILEGE OR UNREASONABLE HARDSHIP IS SHOWN,
MAY ORDER THAT THE DISCLOSURE REQUIRED BY THE ANNUAL STATEMENT OF FINAN-
CIAL DISCLOSURE PURSUANT TO SUBPARAGRAPH (A), (B) OR  (C)  OF  PARAGRAPH
EIGHT  OF  SUBDIVISION  THREE  OF  SECTION SEVENTY-THREE-A OF THE PUBLIC
OFFICERS LAW BE MADE. THE MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOY-
EE OR CANDIDATE FOR MEMBER OF THE  LEGISLATURE  SHALL,  WITHIN  FOURTEEN
DAYS  AFTER  RECEIPT  OF  AN  ORDER  FROM THE EXECUTIVE DIRECTOR, EITHER
COMPLY WITH THE ORDER OR, IF HE OR SHE WANTS TO CHALLENGE  THE  DETERMI-
NATION  OF THE EXECUTIVE DIRECTOR, APPEAL THE DETERMINATION, IN WRITING,
TO THE COMMISSION. THE EXECUTIVE DIRECTOR MAY, FOR  GOOD  CAUSE,  EXTEND
ANY OF THE TIME FOR A PERIOD OF FOURTEEN DAYS.
  (D)  IF THE EXECUTIVE DIRECTOR DETERMINES THAT NONDISCLOSURE IS JUSTI-
FIED BECAUSE OF THE EXISTENCE OF A PRIVILEGE OR  UNREASONABLE  HARDSHIP,
THE MATTER SHALL BE REFERRED TO THE COMMISSION.
  (E) THE COMMISSION SHALL REVIEW AN APPEAL FILED UNDER PARAGRAPH (C) OR
A RECOMMENDATION MADE BY THE EXECUTIVE DIRECTOR UNDER PARAGRAPH (D) AT A
MEETING  HELD  NO LESS THAN FOURTEEN DAYS AFTER NOTICE OF THE MEETING IS
MAILED TO THE MEMBER OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR  CANDI-
DATE  FOR MEMBER OF THE LEGISLATURE. THE COMMISSION SHALL DECIDE WHETHER
SUCH NONDISCLOSURE IS WARRANTED BY ISSUING AN OPINION PURSUANT TO SUBDI-
VISION FIFTEEN OF THIS SECTION  AND  SHALL  TREAT  THE  EXPLANATION  FOR
NONDISCLOSURE  ACCOMPANYING  THE  MEMBER OF THE LEGISLATURE, LEGISLATIVE
EMPLOYEE OR CANDIDATE FOR MEMBER OF THE LEGISLATURE'S  ANNUAL  STATEMENT
OF FINANCIAL DISCLOSURE AS AN OPINION REQUEST.
  (F)  IF THE COMMISSION ORDERS A MEMBER OF THE LEGISLATURE, LEGISLATIVE
EMPLOYEE OR CANDIDATE FOR MEMBER OF THE  LEGISLATURE  TO  DISCLOSE,  THE
MEMBER  OF THE LEGISLATURE, LEGISLATIVE EMPLOYEE OR CANDIDATE FOR MEMBER
OF THE LEGISLATURE MUST COMPLY WITHIN FOURTEEN DAYS. THE COMMISSION,  IN
ITS  NOTIFICATION  TO DISCLOSE A CLIENT, PERSON, OR ENTITY'S INFORMATION
REQUIRED BY THE ANNUAL STATEMENT OF  FINANCIAL  DISCLOSURE  PURSUANT  TO
SUBPARAGRAPH  (A), (B) OR (C) OF PARAGRAPH EIGHT OF SUBDIVISION THREE OF
SECTION SEVENTY-THREE-A, SHALL INFORM THE PERSON OF HIS OR HER RIGHT  TO
APPEAL  THE  COMMISSION'S  DETERMINATION PURSUANT TO ITS RULES GOVERNING
ADJUDICATORY PROCEEDINGS AND APPEALS  ADOPTED  PURSUANT  TO  SUBDIVISION
THIRTEEN OF THIS SECTION;
  12.  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.] 13. Receive complaints regarding persons subject to  its  juris-
diction  alleging  a possible violation of section seventy-three, seven-
ty-three-a or seventy-four of the public officers law,  and  refer  such
complaints  for investigation to the legislative office of ethics inves-
tigations as well as any other possible violations of such  sections  by
such  persons  that  the  commission  determines  on  its own initiative
warrants investigation;
  [13.] 14. Receive and refer as appropriate, as  if  it  were  a  sworn
complaint,  any  referral  from  another state oversight body indicating
that a violation of section seventy-three or seventy-four of the  public

S. 6794                            17

officers  law  may have occurred involving persons subject to the juris-
diction of the commission;
  [14.]  15.  Upon written request from any person who is subject to the
jurisdiction of the commission and the requirements of  sections  seven-
ty-three,  seventy-three-a  and  seventy-four of the public officers law
render formal advisory opinions on the requirements of said  provisions.
A formal opinion rendered by the commission, until and unless amended or
revoked,  shall  be binding on the legislative office of ethics investi-
gations 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.]  16.  Issue and publish generic advisory opinions covering ques-
tions frequently posed to the commission, or questions common to a class
or defined category of persons, or that will tend to prevent undue repe-
tition of requests or undue complication,  and  which  are  intended  to
provide  general  guidance  and  information  to  persons subject to the
commission's jurisdiction;
  [16.] 17. Develop educational materials and training  with  regard  to
legislative  ethics  for  members  of  the  legislature  and legislative
employees;
  [17.] 18. Prepare an annual report to  the  governor  and  legislature
summarizing  the  activities  of the commission during the previous year
and recommending any changes  in  the  laws  governing  the  conduct  of
persons  subject  to  the  jurisdiction of the commission, or the rules,
regulations and procedures  governing  the  commission's  conduct.  Such
report  shall  be  posted on the commission's website and shall include:
(i) the number of reporting individuals whose files were reviewed pursu-
ant to subdivision [eighteen] NINETEEN of this section during the previ-
ous year and which, if any, classes were selected for class review rath-
er than random review,  (ii)  a  listing  by  assigned  number  of  each
complaint and referral received which alleged a possible violation with-
in its jurisdiction, including the current status of each complaint, and
(iii)  where  a  matter  has  been  resolved, the date and nature of the
disposition and any sanction imposed,  subject  to  the  confidentiality
requirements  of  this section. Such annual report shall not contain any
information for which disclosure is not permitted pursuant  to  subdivi-
sion fourteen of this section; and
  [18.]  19.  Promulgate  guidelines  for  the  commission  to conduct a
program of random reviews, to be carried out in  the  following  manner:
(i)  annual  statements  of  financial  disclosure shall be selected for
review in a manner pursuant to which  the  identity  of  any  particular
person  whose  statement  is  selected is unknown to the commission, its
staff and to the legislative office of ethics investigation prior to its
selection; (ii) such review shall include a preliminary  examination  of
the selected statement for internal consistency, a comparison with other
records  maintained by the commission, including previously filed state-
ments and requests for advisory opinions, and  examination  of  relevant
public  information,  including,  but not limited to, records filed with
the commission on lobbying ethics and compliance and the  department  of
state; (iii) upon completion of the preliminary examination, the commis-
sion  shall determine whether further inquiry is warranted, whereupon it
shall notify the reporting individual in writing that the  statement  is
under  review,  advise the reporting individual of the specific areas of
inquiry, and provide the reporting individual with  the  opportunity  to

S. 6794                            18

provide  the  commission  with  any  relevant information related to the
specific areas of inquiry, and the opportunity to file amendments to the
selected statement on forms provided by  the  commission;  and  (iv)  if
thereafter  sufficient  cause  exists,  the  commission  shall refer the
matter to the legislative office  of  ethics  investigations;  provided,
however  if the commission conducts a review of all statements of finan-
cial disclosure filed by a class of reporting individuals in the  manner
set  forth  in this paragraph with respect to a given calendar year, the
individuals within such class shall not be subject to random review. For
the purposes of this paragraph, the classes of reporting individuals are
members of the legislature, candidates for member  of  the  legislature,
legislative  employees  subject  to  the  provisions of section seventy-
three-a of the public officers law, and legislative  employees  required
to  file a financial disclosure statement pursuant to subdivision six of
section seventy-three of the public officers law.
  [h.] S. The commission, or the executive director  and  staff  of  the
commission  if responsibility regarding such financial disclosure state-
ments filed has been delegated, shall inspect all  financial  disclosure
statements  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.] T. 1. If a person required to file a financial disclosure  state-
ment  with  the  commission  has  failed  to file a financial disclosure
statement or has filed a deficient statement, the commission shall noti-
fy 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] V of this  section  with  respect  to  financial  disclosure,  shall
continue  notwithstanding that the reporting person separates from state
service or terminates his or  her  candidacy,  provided  the  commission
notifies  such person of the alleged failure to file or deficient filing
pursuant to this subdivision.
  2. If the person required to file fails to make  the  required  filing
within  the  fifteen  days  of the notice of delinquency, the commission
shall notify the person in writing, describe the alleged violation ther-
eof and provide the person with a fifteen day period in which to  submit
a  written  response  setting  forth information relating to the alleged
violation. If the  commission  thereafter  makes  a  determination  that
further  inquiry  is justified, it shall give  the person an opportunity

S. 6794                            19

to be heard. The commission shall also provide the person with its rules
regarding the conduct of adjudicatory proceedings and  appeals  and  the
due  process  procedural  mechanisms  available  to  such person. If the
commission  determines  at any stage of the proceeding that there  is no
violation or that such violation has been cured, it shall so advise  the
person. All of the foregoing proceedings shall be confidential.
  [j.] U. 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 this section within one year from his or her separation from
state  service  or  the  termination of his or her candidacy. Nothing in
this section shall serve to limit the jurisdiction of the commission  in
enforcement  of subdivision eight of section seventy-three of the public
officers law.
  [k.] V. An individual subject to the jurisdiction  of  the  commission
who  knowingly and intentionally violates the provisions of subdivisions
two through five-a, seven, eight, twelve, fourteen, fifteen or seventeen
of section seventy-three of the public officers law or a reporting indi-
vidual who knowingly and wilfully fails to file an annual  statement  of
financial  disclosure  or  who  knowingly  and  wilfully  with intent to
deceive makes a false statement or gives information which such individ-
ual knows to be false on such statement of  financial  disclosure  filed
pursuant  to  section  seventy-three-a  of the public officers law, OR A
REPORTING INDIVIDUAL WHO KNOWINGLY AND WILFULLY FAILS TO FILE  A  REPORT
OF  BUSINESS  DEALINGS WITH LOBBYISTS OR WHO KNOWINGLY AND WILFULLY WITH

S. 6794                            20

INTENT TO DECEIVE MAKES A FALSE STATEMENT  OR  GIVES  INFORMATION  WHICH
SUCH  INDIVIDUAL KNOWS TO BE FALSE ON SUCH A REPORT OF BUSINESS DEALINGS
WITH  LOBBYISTS  FILED  PURSUANT   TO   SUBDIVISION   ONE   OF   SECTION
SEVENTY-FOUR-B  OF  THE  PUBLIC OFFICERS LAW shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars and the  value
of  any  gift,  compensation  or  benefit  received  as a result of such
violation. Any such individual who knowingly and intentionally  violates
the  provisions  of  paragraph  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 intentionally violates
the provisions of paragraph a, e or g of subdivision  three  of  section
seventy-four  of  the  public  officers  law shall be subject to a civil
penalty in an amount equal to the value of  any  gift,  compensation  or
benefit  received  as  a result of such violation. Assessment of a civil
penalty hereunder shall be  made  by  the  commission  with  respect  to
persons  subject  to  its  jurisdiction  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 previously had any civil or criminal penalties imposed pursu-
ant  to  this section, and any other factors the commission deems appro-
priate. For a violation of this section, other than  for  conduct  which
constitutes  a  violation  of subdivision twelve, fourteen or fifteen of
section seventy-three or section seventy-four  of  the  public  officers
law, the commission may, in [lieu of] ADDITION TO a civil penalty, refer
a  violation to the appropriate prosecutor and upon such conviction, but
only after such referral, such violation shall be punishable as a  class
A misdemeanor. A civil penalty for false filing may not be imposed here-
under  in the event a category of "value" or "amount" reported hereunder
is incorrect unless such reported information  is  falsely  understated.
Notwithstanding  any  [other  provision of law to the contrary, no other
penalty,] civil or criminal[, may be] PENALTY imposed for a  failure  to
file,  or  for  a  false  filing,  of  such statement, or a violation of
section seventy-three of the public  officers  law,  [except  that]  the
appointing   authority  may  impose  disciplinary  action  as  otherwise
provided by law. The commission shall be deemed to be an  agency  within
the  meaning  of article three of the state administrative procedure act
and shall adopt rules governing the conduct of adjudicatory  proceedings
and  appeals  taken  pursuant  to  a  proceeding commenced under article
seventy-eight of the civil  practice  law  and  rules  relating  to  the
assessment  of  the  civil  penalties  herein  authorized and commission
denials of requests for certain deletions or exemptions to be made  from
a financial disclosure statement as authorized in paragraphs nine [and],
ten  AND  ELEVEN of subdivision [g] R 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 proce-
dural mechanisms substantially similar to those set forth in such  arti-
cle  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

S. 6794                            21

period, and upon becoming final  shall  be  subject  to  review  at  the
instance of the affected reporting individuals in a proceeding commenced
against  the  commission, pursuant to article seventy-eight of the civil
practice law and rules.
  [l.]  W.  If the commission has a reasonable basis to believe that any
person subject to the jurisdiction of another state oversight  body  may
have  violated section seventy-three or seventy-four of the public offi-
cers law, or that any person subject to the jurisdiction  of  the  state
board  of  elections  may have violated article fourteen of the election
law, it shall refer such violation to such  oversight  body  or  to  the
board  of  elections,  as  appropriate, unless the commission determines
that such a referral would compromise the prosecution or confidentiality
of its or the legislative  office  of  ethics  investigations'  investi-
gations  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.] X. A copy of any notice of delinquency sent pursuant to  subdivi-
sion  [i]  T of this section shall be included in the reporting person's
file and be available for public inspection and copying.
  [n.] Y. 1.   Notwithstanding the provisions  of  article  six  of  the
public  officers  law, the only records of the commission which shall be
available for public inspection and copying are as follows:
  (a) the information set forth in  an  annual  statement  of  financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers law, except any item of information deleted OR EXEMPTED pursuant to
paragraph  nine,  TEN  OR  ELEVEN  of subdivision [g] R of this section,
which shall be made available to the public no later  than  thirty  days
after receipt;
  (b)  financial disclosure statements filed pursuant to subdivision six
of section seventy-three of the public officers law which shall be  made
available to the public no later than thirty days after their receipt;
  (c)  notices  of  delinquency  sent  under  subdivision  [i] T 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 provided, however, that the commission shall meet public-
ly whenever it adopts, amends or rescinds its policies, rules  or  regu-
lations,  promulgates  its guidelines, approves educational material, or
adopts its annual report.
  3. Notwithstanding any other provision of law,  the  commission  shall
make  available  to  the  legislative office of ethics investigation all
records maintained by the commission and shall regularly forward to such
office copies of all advisory opinions adopted by the commission.
  [o.] Z. The commission shall maintain a  publicly  accessible  website
which  shall  set  forth  the procedure for filing a complaint and which
shall contain the documents identified in  subdivision  [n]  Y  of  this
section, other than financial disclosure statements filed by legislative

S. 6794                            22

employees,  and  any  other  records or information which the commission
determines to be appropriate.
  [p.]  AA.  The legislative committees responsible for oversight of the
commission shall hold one or more public hearings regarding  the  effec-
tiveness  of  the  commission  at  least five months before this section
expires pursuant to the provisions of the chapter of  the  laws  of  two
thousand ten which added this section.
  [q.] BB. This section shall not revoke or rescind any policies, rules,
regulations  or  advisory  opinions  issued  by  the  legislative ethics
committee and legislative ethics commission in effect upon the effective
date of this subdivision, to the extent that such regulations  or  opin-
ions  are  not  inconsistent with any laws of the state of New York. The
commission shall undertake a comprehensive review of all such  policies,
rules,  regulations or advisory opinions which will address the consist-
ency of such policies, rules, regulations or advisory opinions with  the
laws  of  the  state  of New York. The commission shall, before December
first, two thousand ten, report to the governor and legislature  regard-
ing  such  review and shall propose any regulatory changes and issue any
advisory opinions necessitated by such review.
  [r.] CC. Separability clause. If any part or provision of this section
or the application thereof to any person  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
application thereof to any other person, but shall be confined  to  such
part or provision.
  S  12.  Subdivision  19  of  section 73 of the public officers law, as
amended by chapter 14 of the laws of 2007 and renumbered by a chapter of
the laws of 2010, amending the executive law and other laws relating  to
governmental  ethics  and  compliance,  as  proposed in legislative bill
numbers S. 6457 and A. 9544, is amended to read as follows:
  19. In addition to any penalty contained in  any  other  provision  of
law,  any person who knowingly and intentionally violates the provisions
of subdivisions two through  five,  seven,  eight,  twelve  or  fourteen
through seventeen of this section 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  in  connection   with   such
violation.  Assessment of a civil penalty hereunder shall be made by the
state  oversight  body with jurisdiction over such person. A state over-
sight body acting pursuant to its jurisdiction, may, in [lieu of]  ADDI-
TION TO a civil penalty, with respect to a violation of subdivisions two
through  five,  seven or eight of this section, MAY refer a violation of
any such  subdivision  to  the  appropriate  prosecutor  and  upon  such
conviction such violation shall be punishable as a class A misdemeanor.
  S  13.  Subdivision  3  of section 73-a of the public officers law, as
amended by a chapter of the laws of 2010, amending the executive law and
other laws relating to governmental ethics and compliance,  as  proposed
in  legislative  bill numbers S. 6457 and A. 9544, is amended to read as
follows:
  3. The annual statement of  financial  disclosure  shall  contain  the
language set forth hereinbelow:

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

  1. Name ______________________________________________________________
  2. (a) Title of Position _____________________________________________
     (b) Department, Agency or other Governmental Entity _______________

S. 6794                            23

     (c) Address of Present Office _____________________________________
     (d) Office Telephone Number _______________________________________
  3. (a) Marital  Status  ______________.  If  married, OR IN A DOMESTIC
         PARTNERSHIP,  please  give  spouse's OR DOMESTIC PARTNER'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] $50,000; Category  D  -
[$60,000]  $50,000  to  under  $100,000;  Category E - $100,000 to under
[$250,000] $150,000; [and] Category F -  [$250,000]  $150,000  to  under
[$1,000,000] $200,000; [and] Category G - [$1,000,000] $200,000 TO UNDER
$300,000; CATEGORY H - $300,000 TO UNDER $400,000; CATEGORY I - $400,000
TO UNDER $500,000; CATEGORY J - $500,000 TO UNDER $600,000; CATEGORY K -
$600,000  TO  UNDER  $700,000;  CATEGORY L - $700,000 TO UNDER $800,000;
CATEGORY M - $800,000 TO UNDER $900,000; CATEGORY N - $900,000 TO  UNDER
$1,000,000; AND CATEGORY O - $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

S. 6794                            24

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(b) List any office, trusteeship, directorship, partnership, or position
    of  any  nature,  whether  compensated  or  not, held by the spouse,
    DOMESTIC PARTNER or unemancipated child of the reporting individual,
    with any  firm,  corporation,  association,  partnership,  or  other
    organization  other  than the State of New York. Include compensated
    honorary positions; do NOT list membership or uncompensated honorary
    positions. If the listed entity was licensed by any state  or  local
    agency,  was regulated by any state regulatory agency or local agen-
    cy, or, as a regular and significant part of the business or  activ-
    ity  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 employment  (other
    than  the  employment  listed  under Item 2 above), trade, business,
    profession or occupation engaged in by the reporting individual.  If
    such activity was licensed by any state or local agency or was regu-
    lated  by any state regulatory agency 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

S. 6794                            25

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(c)  If  the  spouse,  DOMESTIC  PARTNER  or  unemancipated child of the
    reporting individual was  engaged  in  any  occupation,  employment,
    trade,  business  or  profession  which activity was licensed by any
    state or local agency, was regulated by any state regulatory  agency
    or  local agency, or, as a regular and significant part of the busi-
    ness 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,  employ-
    ment, 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, SUCH INDIVIDUAL'S DOMESTIC PARTNER  or
unemancipated  child,  or  partnership  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
reporting  individual  or  such  individual's  spouse, SUCH INDIVIDUAL'S
DOMESTIC PARTNER 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  obli-
gations  under  the  contract  except for guarantees and warranties have
been performed, provided, however, that such an interest must be  listed
if  there has been an ongoing dispute during the calendar year for which
this statement is filed with respect to any such guarantees  or  warran-
ties. 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,    Interest in    and Interest         Local      Value of
    DOMESTIC   Contract       in Contract          Agency     Contract
    PARTNER, or
    Child

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

S. 6794                            26

    ____________________________________________________________________
    ____________________________________________________________________

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.

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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]  LIST  THE
    NAME  AND ADDRESS OF EACH CLIENT, PERSON OR ENTITY FOR WHOM LEGAL OR
    CONSULTING SERVICES WERE RENDERED; THE VALUE OF THE COMPENSATION FOR
    THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE DATE OF FILING,  AND  a
    general  description  of  the  [principal  subject  areas of matters
    undertaken by such individual] SERVICES RENDERED.  [If the nature of
    the] IN ADDITION, IF THE reporting [individual's practice or  activ-
    ities  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 practices  LAW  OR
    PROVIDES  CONSULTING SERVICES with a LAW firm or [corporation and is
    a partner or  shareholder  of  the  firm  or  corporation]  BUSINESS
    ENTITY,  [give]  PROVIDE  a  general  description  of  the principal
    subject areas of matters undertaken by  such  LAW  firm  or  [corpo-
    ration] BUSINESS ENTITY.  [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]  VALUE  OF  COMPENSATION  IF  THE
    SERVICES RENDERED INVOLVE A CONTINGENCY FEE AS PROVIDED BY LAW.
    CLIENT/                   SERVICES      PRINCIPAL         CATEGORY
    PERSON/OR    ADDRESS      RENDERED      SUBJECT AREA      OF VALUE
    ENTITY
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
(b)  [List  the  name,  principal address and general description or the
    nature of the business activity of any entity in which the reporting
    individual or such individual's spouse had an investment  in  excess
    of  $1,000 excluding investments in securities and interests in real
    property.] IF THE REPORTING INDIVIDUAL PRACTICES LAW AND IS A  PART-
    NER  OR  SHAREHOLDER OF A LAW FIRM OR CORPORATION ("LAW FIRM"), LIST
    THE NAME AND ADDRESS OF EACH CLIENT OF  SUCH  LAW  FIRM  THAT  IS  A
    CORPORATION,  PARTNERSHIP, JOINT VENTURE, SOLE PROPRIETORSHIP, ASSO-
    CIATION, BUSINESS OR COMMERCIAL ENTITY  OR  ORGANIZATION  FROM  WHOM

S. 6794                            27

    COMPENSATION  IS  RECEIVED  BY SUCH LAW FIRM IN EXCESS OF $5,000 FOR
    THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE  DATE  OF  FILING;  THE
    VALUE OF THE COMPENSATION; AND A GENERAL DESCRIPTION OF THE SERVICES
    RENDERED OR CONSIDERATION GIVEN IN EXCHANGE FOR THE COMPENSATION. DO
    NOT  LIST  CLIENTS  OR  COMPENSATION REQUIRED TO BE REPORTED IN ITEM
    8(A) ABOVE.
    CLIENT     ADDRESS        SERVICES/         CATEGORY
                              CONSIDERATION     OF VALUE
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
(c) If the reporting individual [received income]  IS  LICENSED  BY  THE
    DEPARTMENT  OF  STATE  AS A REAL ESTATE BROKER OR AGENT, PRACTICES A
    PROFESSION LICENSED BY  THE  DEPARTMENT  OF  EDUCATION  OR  PERFORMS
    CONSULTING  SERVICES,  LIST THE NAME AND ADDRESS OF EACH CLIENT FROM
    WHOM COMPENSATION HAS BEEN RECEIVED BY SUCH REPORTING INDIVIDUAL FOR
    A VALUE in EXCESS of $1,000 [from] FOR THE TAXABLE YEAR LAST  OCCUR-
    RING  PRIOR  TO  THE  DATE  OF FILING; THE VALUE OF THE COMPENSATION
    RECEIVED FROM EACH CLIENT; AND A GENERAL DESCRIPTION OF THE SERVICES
    RENDERED OR CONSIDERATION GIVEN IN EXCHANGE FOR THE COMPENSATION. DO
    NOT LIST THE NAMES OF CLIENTS OF consulting OR OTHER services[,  not
    including any services] rendered as part of any practice or activity
    required  to be [disclosed] REPORTED in item 8(a) ABOVE [or services
    rendered as part of the practice or activity identified in  sections
    forty-five hundred four, forty-five hundred five, forty-five hundred
    seven,  forty-five  hundred  eight and forty-five hundred ten of the
    civil practice law and rules, provide the name and address  of  each
    client,  the  compensation  received from each client, and a general
    description of the services rendered or consideration given].
    Client     Address  Services/Consideration    Category of Value

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
(D) IF THE REPORTING INDIVIDUAL  RECEIVED  COMPENSATION  FROM  A  CORPO-
    RATION,  PARTNERSHIP,  JOINT  VENTURE,  SOLE PROPRIETORSHIP, ASSOCI-
    ATION, BUSINESS OR COMMERCIAL ENTITY OR ORGANIZATION  ("COMPENSATING
    ENTITY")  AND THE REPORTING INDIVIDUAL SOLICITED BUSINESS OF ANOTHER
    CORPORATION, PARTNERSHIP, JOINT VENTURE, SOLE PROPRIETORSHIP,  ASSO-
    CIATION, BUSINESS OR COMMERCIAL ENTITY OR ORGANIZATION ("THIRD-PARTY
    ENTITY")  FOR  COMPENSATION, FEES OR OTHER CONSIDERATION PAID TO THE
    COMPENSATING ENTITY IN EXCESS OF $1,000 FOR THE  TAXABLE  YEAR  LAST
    OCCURRING  PRIOR  TO  THE DATE OF FILING, LIST THE NAME AND BUSINESS
    ADDRESS OF, AND THE VALUE OF THE COMPENSATION, FEES OR OTHER CONSID-
    ERATION PAID BY, THE THIRD-PARTY ENTITY TO THE COMPENSATING  ENTITY.
    ALSO,  LIST THE NAME AND ADDRESS OF THE COMPENSATING ENTITY AND GIVE
    A GENERAL DESCRIPTION OF  THE  SERVICES  RENDERED  OR  CONSIDERATION
    GIVEN  BY  THE  COMPENSATING  ENTITY  TO  THE  THIRD-PARTY ENTITY IN
    EXCHANGE FOR SUCH COMPENSATION.

S. 6794                            28

    COMPENSATING    THIRD PARTY      SERVICES/          CATEGORY
    ENTITY/ ADDRESS ENTITY/ADDRESS   CONSIDERATION      OF VALUE

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    (E)  IF  THE  REPORTING INDIVIDUAL OR THE INDIVIDUAL'S SPOUSE OR THE
        INDIVIDUAL'S DOMESTIC PARTNER HAD AN  INVESTMENT  IN  EXCESS  OF
        $1,000  FOR THE TAXABLE YEAR LAST OCCURRING PRIOR TO THE DATE OF
        FILING, LIST THE NAME, PRINCIPAL ADDRESS AND GENERAL DESCRIPTION
        OR THE NATURE OF THE BUSINESS ACTIVITY AND THE CATEGORY OF VALUE
        OF SUCH INVESTMENT. DO NOT LIST  INVESTMENTS  IN  SECURITIES  OR
        REAL PROPERTY.

    INVESTMENT      ADDRESS        GENERAL DESCRIPTION,     CATEGORY
                                   OR NATURE OF BUSINESS    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
        individual's  spouse,  SUCH  INDIVIDUAL'S  DOMESTIC  PARTNER  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.

        Self,
        Spouse,                                               Category
        DOMESTIC                                                 of
        PARTNER, Name of                        Nature        Value of
        or 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

S. 6794                            29

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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 relative.

                                                                Category
    Identity                                                   of Value*

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

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(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  OR  SUCH  INDIVIDUAL'S DOMESTIC PARTNER for the taxable year
    last occurring prior to the  date  of  filing.    Nature  of  income

S. 6794                            30

    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  arrangements,  teaching
    income, partnerships, honorariums, lecture  fees,  consultant  fees,
    bank and bond interest, dividends, income derived from a trust, real
    estate rents, and recognized gains from the sale or exchange of real
    or  other  property.   Income from a business or profession and real
    estate rents shall be reported with the  source  identified  by  the
    building  address  in the case of real estate rents and otherwise by
    the name of the [entity and not  by  the  name  of  the]  individual
    customers[,]  OR clients [or tenants], with the aggregate net income
    before taxes for each building address or [entity] CLIENT.  [The]  A
    SOURCE  IS  IDENTIFIED  AS THE ORIGINAL PAYER OF COMPENSATION TO THE
    REPORTING INDIVIDUAL OR AN ENTITY ESTABLISHED BY THE REPORTING INDI-
    VIDUAL, NOT AN INTERMEDIARY  ENTITY  ESTABLISHED  BY  THE  REPORTING
    INDIVIDUAL  TO  RECEIVE  SUCH COMPENSATION. DO NOT LIST COMPENSATION
    REQUIRED TO BE REPORTED IN ITEM 2 ABOVE, OR CLIENTS AND COMPENSATION
    REQUIRED TO BE REPORTED IN ITEMS 8(A), 8(B) OR 8(C)  ABOVE,  OR  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
    OR DOMESTIC
    PARTNER

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

                                                                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

S. 6794                            31

    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 OR THE REPORTING
    INDIVIDUAL'S DOMESTIC PARTNER from each issuing entity in EXCESS  of
    $1,000  at the close of the taxable year last occurring prior to the
    date of filing, including the name of the issuing  entity  exclusive
    of  securities  held by the reporting individual issued by a profes-
    sional  corporation.  Whenever  an  interest  in  securities  exists
    through  a  beneficial  interest  in a trust, the securities held in
    such trust shall be listed ONLY  IF  the  reporting  individual  has
    knowledge  thereof  except  where the reporting individual [or], the
    reporting individual's spouse OR THE REPORTING INDIVIDUAL'S DOMESTIC
    PARTNER has transferred assets to such trust for his or her  benefit
    in  which  event such securities shall be listed unless they are not
    ascertainable by the reporting individual  because  the  trustee  is
    under  an  obligation  or  has  been  instructed  in  writing not to
    disclose the contents of the  trust  to  the  reporting  individual.
    Securities  of  which  the  reporting individual [or], the reporting
    individual's spouse OR THE REPORTING INDIVIDUAL'S  DOMESTIC  PARTNER
    is  the  owner  of  record  but  in  which such individual [or], the
    reporting individual's spouse OR THE REPORTING INDIVIDUAL'S DOMESTIC
    PARTNER has no beneficial interest shall not be  listed.    Indicate
    percentage  of  ownership  ONLY  if  the  reporting person [or], the
    reporting person's spouse  OR  THE  REPORTING  INDIVIDUALS  DOMESTIC
    PARTNER  holds  more than five percent (5%) of the stock of a corpo-
    ration in which the stock  is  publicly  traded  or  more  than  ten
    percent  (10%)  of  the stock of a corporation in which the stock is
    NOT publicly traded.  Also  list  securities  owned  for  investment
    purposes by a corporation more than fifty percent (50%) of the stock
    of  which  is  owned or controlled by the reporting individual [or],
    such individual's spouse OR DOMESTIC PARTNER.   For the  purpose  of
    this  item  the  term  "securities"  shall mean mutual funds, bonds,
    mortgages, notes, obligations, warrants and  stocks  of  any  class,
    investment  interests in limited or general partnerships and certif-
    icates of deposits (CDs) and such other  evidences  of  indebtedness
    and  certificates  of interest as are usually referred to as securi-
    ties.  The market value for such securities shall be  reported  only
    if reasonably ascertainable and shall not be reported if the securi-
    ty is an interest in a general partnership that was listed in item 8
    (a) or if the security is corporate stock, NOT publicly traded, in a
    trade  or business of a reporting individual [or], a reporting indi-
    vidual's spouse OR A REPORTING INDIVIDUAL'S DOMESTIC PARTNER.

                                        Percentage

S. 6794                            32

                                        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
    Self/                               more than         last occurring
    Spouse,                             10% if stock      prior to
    OR DOMESTIC   Issuing   Type of     not publicly      the filing of
    PARTNER       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
    OR THE REPORTING INDIVIDUAL'S DOMESTIC PARTNER. Also list real prop-
    erty  owned for investment purposes by a corporation more than fifty
    percent 50% of the stock of which is  owned  or  controlled  by  the
    reporting individual [or], such individual's spouse OR THE REPORTING
    INDIVIDUAL'S  DOMESTIC PARTNER.  Do NOT list any real property which
    is the primary or secondary  personal  residence  of  the  reporting
    individual  [or], the reporting individual's spouse OR THE REPORTING
    INDIVIDUAL'S DOMESTIC PARTNER, except where there is a co-owner  who
    is other than a relative.

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

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

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

S. 6794                            33

                              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[,] OR  SUCH  INDIVIDUAL'S  DOMESTIC  PARTNER  in
    EXCESS  of  $5,000 as of the date of filing of this statement, other
    than liabilities to a relative. Do NOT list liabilities incurred by,
    or guarantees made by, the reporting individual [or], such  individ-
    ual's  spouse  OR  SUCH  INDIVIDUAL'S  DOMESTIC  PARTNER  or  by any
    proprietorship, partnership or corporation in  which  the  reporting
    individual  [or],  such  individual's  spouse  OR  SUCH INDIVIDUAL'S
    DOMESTIC PARTNER has an interest, when incurred or made in the ordi-
    nary course of the trade, business or professional practice  of  the
    reporting individual [or], such individual's spouse OR SUCH INDIVID-
    UAL'S  DOMESTIC  PARTNER.   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 improvements for a primary or secondary
    residence,  or  purchase of a personally owned motor vehicle, house-
    hold furniture or appliances shall be excluded. If any such  report-
    able  liability  has  been  guaranteed by any third person, list the
    liability and name the guarantor.

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

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

  S 14.  The public officers law is amended by adding a new section 74-b
to read as follows:
  S 74-B. REPORTS OF BUSINESS DEALINGS WITH LOBBYISTS. 1. A PUBLIC OFFI-
CER  WHO  IS  SUBJECT  TO  THE  JURISDICTION OF THE EXECUTIVE ETHICS AND
COMPLIANCE COMMISSION WHO RETAINS, EMPLOYS, DESIGNATES OR OTHERWISE DOES

S. 6794                            34

BUSINESS WITH A LOBBYIST OR LOBBYISTS SHALL, WITHIN THIRTY DAYS  OF  THE
DATE UPON WHICH SUCH BUSINESS DEALINGS COMMENCE, FILE WITH THE EXECUTIVE
ETHICS  AND  COMPLIANCE  COMMISSION  A REPORT OF SUCH BUSINESS DEALINGS.
SUCH  REPORTS  SHALL  BE  FILED ON FORMS SUPPLIED BY SUCH COMMISSION AND
SHALL CONTAIN:
  (A) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE PUBLIC OFFICER;
  (B) THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST  RETAINED,
EMPLOYED  OR  DESIGNATED BY SUCH PUBLIC OFFICER OR WITH WHOM SUCH PUBLIC
OFFICER DID BUSINESS;
  (C) A DESCRIPTION OF THE GENERAL SUBJECT OR  SUBJECTS  OF  THE  TRANS-
ACTIONS BETWEEN THE PUBLIC OFFICER AND THE LOBBYIST OR LOBBYISTS; AND
  (D)  THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF THE
BUSINESS DEALINGS.
  2. A LEGISLATOR OR LEGISLATIVE EMPLOYEE WHO RETAINS,  EMPLOYS,  DESIG-
NATES  OR  OTHERWISE  DOES  BUSINESS WITH A LOBBYIST OR LOBBYISTS SHALL,
WITHIN THIRTY DAYS  OF  THE  DATE  UPON  WHICH  SUCH  BUSINESS  DEALINGS
COMMENCE, FILE WITH THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS
A REPORT OF SUCH BUSINESS DEALINGS. SUCH REPORTS SHALL BE FILED ON FORMS
SUPPLIED BY SUCH COMMISSION AND SHALL CONTAIN:
  (A) THE NAME, ADDRESS AND TELEPHONE NUMBER OF THE PUBLIC OFFICER;
  (B)  THE NAME, ADDRESS AND TELEPHONE NUMBER OF EACH LOBBYIST RETAINED,
EMPLOYED OR DESIGNATED BY SUCH PUBLIC OFFICER OR WITH WHOM  SUCH  PUBLIC
OFFICER DID BUSINESS;
  (C)  A  DESCRIPTION  OF  THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE PUBLIC OFFICER AND THE LOBBYIST OR LOBBYISTS; AND
  (D) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF  THE
BUSINESS DEALINGS.
  3. ALL SUCH REPORTS SHALL BE SUBJECT TO REVIEW BY THE STATE COMMISSION
ON LOBBYING AND ETHICS COMPLIANCE.
  4.  SUCH  REPORTS  SHALL  BE KEPT ON FILE FOR A PERIOD OF THREE YEARS,
SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD AND ACCESS TO SUCH
INFORMATION SHALL ALSO BE  MADE  AVAILABLE  FOR  REMOTE  COMPUTER  USERS
THROUGH THE INTERNET NETWORK.
  S 15. Separability clause. If any clause, sentence, paragraph, section
or  part  of this act shall be adjudged by any court of competent juris-
diction to be invalid, such judgment shall not affect, impair or invali-
date the remainder thereof, but shall be confided in  its  operation  to
the  clause,  sentence,  paragraph,  section  or  part  thereof directly
involved in the controversy in  which  such  judgment  shall  have  been
rendered.
  S  16.  This act shall take effect January 1, 2011; provided, however,
that sections one, two, three, four,  five,  six,  eight,  ten,  eleven,
twelve  and  thirteen of this act shall take effect on the same date and
in the same manner as a chapter of the laws of 2010 amending the  execu-
tive  law and other laws relating to governmental ethics and compliance,
as proposed in legislative bill numbers S.6457 and A.9544, takes effect.