S. 1004 2
FORMS FOR EXAMINATION BY THE COMMISSION. ANY SUCH PROTOCOLS SHALL ENSURE
THAT DISCLOSURE FORMS ARE AUDITED IN A UNIFORM MANNER.
(III) THE COMMISSION SHALL CONTRACT WITH AN OUTSIDE ACCOUNTING ENTITY,
WHICH SHALL MONITOR THE PROCESS PURSUANT TO WHICH THE COMMISSION SELECTS
STATEMENTS OR REPORTS FOR AUDIT AND CARRIES OUT THE PROVISIONS OF
SUBPARAGRAPHS (I) AND (II) OF THIS PARAGRAPH AND CERTIFIES THAT SUCH
PROCESS COMPLIES WITH THE PROVISIONS OF SUCH SUBPARAGRAPHS.
(IV) UPON COMPLETION OF A RANDOM AUDIT CONDUCTED IN ACCORDANCE WITH
THE PROVISIONS OF SUBPARAGRAPHS (I), (II) AND (III) OF THIS PARAGRAPH,
THE COMMISSION SHALL DETERMINE WHETHER THERE IS REASONABLE CAUSE TO
BELIEVE THAT ANY SUCH STATEMENT OR REPORT IS INACCURATE OR INCOMPLETE.
UPON A DETERMINATION THAT SUCH REASONABLE CAUSE EXISTS, THE COMMISSION
MAY REQUIRE THE PRODUCTION OF FURTHER RECORDS, SUBPOENA WITNESSES,
COMPEL THEIR ATTENDANCE AND TESTIMONY AND ADMINISTER OATHS OR AFFIRMA-
TIONS, TO THE EXTENT THE COMMISSION DETERMINES SUCH ACTIONS ARE NECES-
SARY TO OBTAIN INFORMATION RELEVANT AND MATERIAL TO INVESTIGATING SUCH
INACCURACIES OR OMISSIONS.
(V) IN THE EVENT THAT THE COMMISSION FAILS TO CONDUCT RANDOM AUDITS AS
REQUIRED BY THIS SUBDIVISION, EACH MEMBER OF THE COMMISSION SHALL BE
ASSESSED A CIVIL PENALTY OF FIVE HUNDRED DOLLARS;
S 2. Subdivision 11 of section 94 of the executive law, as amended by
chapter 14 of the laws of 2007, is amended to read as follows:
11. If a person required to file a financial disclosure statement with
the commission has failed to file a disclosure statement or has filed a
deficient statement, the commission shall notify the reporting person in
writing, state the failure to file or detail the deficiency, provide the
person with a fifteen day period to cure the deficiency, and advise the
person of the penalties for failure to comply with the reporting
requirements. Such notice shall be confidential. If the person fails to
make such filing or fails to cure the deficiency within the specified
time period, the commission shall send a notice of delinquency: (a) to
the reporting person; (b) in the case of a statewide elected official,
to the temporary president of the senate [and], the speaker of the
assembly AND THE GOVERNOR; [and] (c) in the case of a state officer or
employee, to the appointing authority for such person; AND (D) IN THE
CASE OF A LEGISLATOR OR LEGISLATIVE EMPLOYEE, TO THE TEMPORARY PRESIDENT
OF THE SENATE, THE SPEAKER OF THE ASSEMBLY AND THE GOVERNOR. Such
notice of delinquency may be sent at any time during the reporting
person's service as a [statewide] STATE elected official, state officer
or employee, political party chair or while a candidate for [statewide]
STATE office, or within one year after termination of such service or
candidacy. The jurisdiction of the commission, when acting pursuant to
subdivision thirteen of this section with respect to financial disclo-
sure, shall continue notwithstanding that the reporting person separates
from state service, or ceases to hold office as a [statewide] STATE
elected official or political party chair, or ceases to be a candidate,
provided the commission notifies such person of the alleged failure to
file or deficient filing pursuant to this subdivision. FAILURE TO
RESPOND TO THIS SECOND NOTICE OF DEFICIENCY SHALL REQUIRE THE COMMISSION
TO MAKE PUBLIC ITS FILE IN THIS MATTER WITHIN SIXTY DAYS OF THE DATE OF
THE SECOND NOTICE AND SHALL BE DEEMED A KNOWING AND WILLFUL FAILURE TO
DISCLOSE FOR WHICH A CIVIL PENALTY MUST BE ASSESSED IN ADDITION TO OTHER
REMEDY.
S 3. Paragraphs (f) and (g) of subdivision 2 of section 73-a of the
public officers law are REPEALED.
S. 1004 3
S 4. Paragraph 3 of subdivision 3 of section 73-a of the public offi-
cers law, as added by chapter 813 of the laws of 1987, the third and
fourth undesignated paragraphs as amended by chapter 242 of the laws of
1989, is amended to read as follows:
3. (a) Marital Status ______________. If married, please give spouse's
full name including maiden name where applicable.
_____________________________________________________________ .
(b) List the names of all unemancipated children.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Answer each of the following questions completely, with respect to
calendar year _________, unless another period or date is otherwise
specified. If additional space is needed, attach additional pages.
Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported as being within one of the following
Categories: Category A - under $5,000; Category B - $5,000 to under
$20,000; Category C - $20,000 to under $60,000; Category D - $60,000 to
under $100,000; Category E - $100,000 to under $250,000; [and] Category
F - $250,000 TO UNDER $1 MILLION; AND CATEOGRY G - $1 MILLION 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.
S 5. Subparagraph (a) of paragraph 5 of subdivision 3 of section 73-a
of the public officers law, as amended by chapter 242 of the laws of
1989, is amended to read as follows:
(a) List the name, address and description of any occupation, employ-
ment (other than the employment listed under Item 2 above), trade, busi-
ness or profession engaged in by the reporting individual. If such
activity was licensed by any state or local agency, was regulated by any
state regulatory agency or local agency, or, as a regular and signif-
icant 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. IN ADDITION, LIST THE
NAME AND ADDRESS OF EACH GOVERNMENTAL AGENCY, CORPORATION, PARTNERSHIP,
JOINT VENTURE, SOLE PROPRIETORSHIP, ASSOCIATION, UNION, OR OTHER BUSI-
NESS OR COMMERCIAL ENTITY FROM WHOM COMPENSATION HAS BEEN RECEIVED FOR
ANY VALUE OF FIVE HUNDRED DOLLARS OR MORE; THE VALUE OF THE COMPEN-
SATION; AND THE CONSIDERATION GIVEN OR PERFORMED IN EXCHANGE FOR THE
COMPENSATION.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
S. 1004 4
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S 6. Subparagraph (a) of paragraph 8 of subdivision 3 of section 73-a
of the public officers law, as added by chapter 813 of the laws of 1987,
is amended to read as follows:
(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, OR WORKS AS A MEMBER
OR EMPLOYEE OF A FIRM REQUIRED TO REGISTER WITH THE COMMISSION AS
REQUIRED UNDER SECTION ONE-E OF THE LEGISLATIVE LAW, give a general
description of the principal subject areas of matters undertaken by such
individual. Additionally, if such an individual practices with a firm or
corporation and is a partner or shareholder of the firm or corporation,
give a general description of principal subject areas of matters under-
taken by such firm or corporation. Do not list the name of the individ-
ual clients, customers or patients PROVIDED, HOWEVER THAT THE REPORTING
INDIVIDUAL MUST LIST THE NAME AND ADDRESS OF EACH GOVERNMENTAL AGENCY,
CORPORATION, PARTNERSHIP, JOINT VENTURE, SOLE PROPRIETORSHIP, ASSOCI-
ATION, UNION, OR OTHER BUSINESS OR COMMERCIAL ENTITY FROM WHOM COMPEN-
SATION HAS BEEN RECEIVED FOR ANY VALUE OF FIVE HUNDRED DOLLARS OR MORE;
THE VALUE OF THE COMPENSATION; AND THE CONSIDERATION GIVEN OR PERFORMED
IN EXCHANGE FOR THE COMPENSATION.
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
S 7. Subdivision 4 of section 73-a of the public officers law, as
amended by chapter 242 of the laws of 1989, is amended to read as
follows:
4. A reporting individual who knowingly and [wilfully] WILLFULLY fails
to file an annual statement of financial disclosure or who knowingly and
[wilfully] WILLFULLY with intent to deceive makes a false statement or
gives information which such individual knows to be false on such state-
ment of financial disclosure filed pursuant to this section shall be
subject to a civil penalty in an amount not to BE LESS THAN FIVE HUNDRED
DOLLARS AND NOT TO exceed ten thousand dollars. Assessment of a civil
penalty hereunder shall be made by the [state ethics] commission ON
PUBLIC INTEGRITY, or by the legislative ethics [committee] COMMISSION,
as the case may be, with respect to persons subject to their respective
jurisdictions. The [state ethics] commission ON PUBLIC INTEGRITY acting
pursuant to subdivision thirteen of section ninety-four of the executive
law, or the legislative ethics [committee] COMMISSION acting pursuant to
subdivision twelve of section eighty of the legislative law, as the case
may be, may, in lieu of a civil penalty, refer a violation to the appro-
priate prosecutor and upon such conviction, but only after such refer-
ral, such violation shall be punishable as a class A misdemeanor. A
civil penalty for false filing may not be imposed hereunder in the event
a category of "value" or "amount" reported hereunder is incorrect unless
such reported information is falsely understated. [Notwithstanding any
other provision of law to the contrary, no other penalty, civil or crim-
inal may be imposed for a failure to file, or for a false filing, of
such statement, except that the appointing authority may impose disci-
S. 1004 5
plinary action as otherwise provided by law.] The [state ethics] commis-
sion ON PUBLIC INTEGRITY, and the legislative ethics [committee] COMMIS-
SION shall each 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 relating
to the assessment of the civil penalties herein authorized. Such rules,
which shall not be subject to the approval requirements of the state
administrative procedure act, shall provide for due process procedural
mechanisms substantially similar to those set forth in such article
three but such mechanisms need not be identical in terms or scope.
Assessment of a civil penalty shall be final unless modified, suspended
or vacated within thirty days of imposition and upon becoming final
shall be subject to review at the instance of the affected reporting
individual in a proceeding commenced against the [state ethics] commis-
sion ON PUBLIC INTEGRITY or legislative ethics [committee] COMMISSION,
pursuant to article seventy-eight of the civil practice law and rules.
S 8. 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. ANY PUBLIC
OFFICER WHO RETAINS, EMPLOYS, DESIGNATES 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 COMMISSION ON PUBLIC
INTEGRITY CREATED BY SECTION NINETY-FOUR OF THE EXECUTIVE LAW, A REPORT
OF SUCH BUSINESS DEALINGS.
2. SUCH REPORT SHALL BE FILED WITH THE COMMISSION ON PUBLIC INTEGRITY,
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;
(D) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF THE
BUSINESS DEALINGS.
3. (A) ALL SUCH REPORTS SHALL BE SUBJECT TO REVIEW BY THE COMMISSION
ON PUBLIC INTEGRITY.
(B) SUCH REPORTS SHALL BE KEPT ON FILE FOR A PERIOD OF THREE YEARS AND
SHALL BE OPEN TO PUBLIC INSPECTION DURING SUCH PERIOD.
(C) EACH REPORT FILED BY A PUBLIC OFFICER PURSUANT TO THIS SECTION
SHALL BE ACCOMPANIED BY A FILING FEE OF FIFTY DOLLARS. IN ADDITION TO
THE FILING FEES AUTHORIZED BY THIS ARTICLE, THE COMMISSION ON PUBLIC
INTEGRITY MAY IMPOSE A FEE FOR LATE FILING OF A REPORT REQUIRED BY THIS
SECTION NOT TO EXCEED TWENTY-FIVE DOLLARS FOR EACH DAY THAT THE REPORT
REQUIRED TO BE FILED IS LATE, EXCEPT THAT IF THE PUBLIC OFFICER MAKING A
LATE FILING HAS NOT PREVIOUSLY BEEN REQUIRED BY STATUTE TO FILE A
REPORT, THE FEE FOR LATE FILING SHALL NOT EXCEED TEN DOLLARS FOR EACH
DAY THAT THE REPORT REQUIRED TO BE FILED IS LATE.
S 9. Subdivision 5 of section 107 of the civil service law, as amended
by chapter 14 of the laws of 2007, is amended to read as follows:
5. Violation of this section. Complaints alleging a violation of this
section by a [statewide] STATE elected official or a state officer or
employee, as defined in section seventy-three of the public officers
law, may be directed to the commission on public integrity.
S 10. Section 60 of the legislative law, as amended by chapter 416 of
the laws of 1954, is amended to read as follows:
S. 1004 6
S 60. Testimony before legislative committees. 1. A legislative
committee may require the attendance of witnesses in this state whom the
committee may wish to examine, or may issue a commission for the exam-
ination of witnesses who are out of the state or unable to attend the
committee or excused from attendance, which commission if directed by
the house or legislature by which the committee is appointed may be
executed during the recess of the legislature. A commission issued as
provided by this section shall be in the form used in the courts of
record of this state and shall be executed in like manner. Unless other-
wise instructed by the committee appointing them the commissioners shall
examine privately every witness attending before them and shall not make
public the particulars of such examination. No committee of either house
or a joint committee of both houses shall have the power to take testi-
mony at a private hearing or at a public hearing unless at least two of
its members are present at such hearing.
2. THE LEGISLATIVE COMMITTEES RESPONSIBLE FOR OVERSIGHT OF THE COMMIS-
SION ON PUBLIC INTEGRITY CREATED PURSUANT TO SECTION NINETY-FOUR OF THE
EXECUTIVE LAW SHALL HOLD HEARINGS REGARDING THE ANNUAL REPORT AND RECOM-
MENDATIONS OF SUCH COMMISSION WITHIN THIRTY DAYS OF THE PUBLIC RELEASE
OF SUCH COMMISSION'S ANNUAL REPORT.
S 11. Paragraph h of subdivision 7 of section 80 of the legislative
law, as amended by chapter 14 of the laws of 2007, is amended to read as
follows:
h. Review financial disclosure statements in accordance with the
provisions of this section, AND SHALL CONDUCT A PROGRAM OF RANDOM AUDITS
SUBJECT TO THE TERMS AND CONDITIONS OF THIS SECTION. ANY SUCH PROGRAM
SHALL BE CARRIED OUT IN THE FOLLOWING MANNER, provided however, that the
commission may delegate all or part of the review function relating to
financial disclosure statements filed by legislative employees 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;
(I) THE COMMISSION SHALL RANDOMLY SELECT FINANCIAL DISCLOSURE FORMS
REQUIRED TO BE FILED BY PUBLIC OFFICERS PURSUANT TO THIS ARTICLE FOR
AUDIT. ANY SUCH SELECTION SHALL BE DONE IN A MANNER PURSUANT TO WHICH
THE IDENTITY OF ANY PARTICULAR PUBLIC OFFICIAL WHOSE DISCLOSURE FORM IS
SELECTED FOR AUDIT IS UNKNOWN TO THE COMMISSION, ITS STAFF OR ANY OF
THEIR AGENTS PRIOR TO SELECTION.
(II) THE COMMISSION SHALL DEVELOP PROTOCOLS FOR THE CONDUCT OF SUCH
RANDOM AUDITS. SUCH RANDOM AUDITS MAY REQUIRE THE PRODUCTION OF RECORDS
RELEVANT AND MATERIAL TO THE PREPARATION OF THE FINANCIAL DISCLOSURE
FORMS FOR EXAMINATION BY THE COMMISSION. ANY SUCH PROTOCOLS SHALL ENSURE
THAT DISCLOSURE FORMS ARE AUDITED IN A UNIFORM MANNER.
(III) THE COMMISSION SHALL CONTRACT WITH AN OUTSIDE ACCOUNTING ENTITY,
WHICH SHALL MONITOR THE PROCESS PURSUANT TO WHICH THE COMMISSION SELECTS
STATEMENTS OR REPORTS FOR AUDIT AND CARRIES OUT THE PROVISIONS OF
SUBPARAGRAPHS (I) AND (II) OF THIS PARAGRAPH AND CERTIFIES THAT SUCH
PROCESS COMPLIES WITH THE PROVISIONS OF SUCH SUBPARAGRAPHS.
(IV) UPON COMPLETION OF A RANDOM AUDIT CONDUCTED IN ACCORDANCE WITH
THE PROVISIONS OF SUBPARAGRAPHS (I), (II) AND (III) OF THIS PARAGRAPH,
THE COMMISSION SHALL DETERMINE WHETHER THERE IS REASONABLE CAUSE TO
BELIEVE THAT ANY SUCH STATEMENT OR REPORT IS INACCURATE OR INCOMPLETE.
UPON A DETERMINATION THAT SUCH REASONABLE CAUSE EXISTS, THE COMMISSION
MAY REQUIRE THE PRODUCTION OF FURTHER RECORDS, SUBPOENA WITNESSES,
COMPEL THEIR ATTENDANCE AND TESTIMONY AND ADMINISTER OATHS OR AFFIRMA-
S. 1004 7
TIONS, TO THE EXTENT THE COMMISSION DETERMINES SUCH ACTIONS ARE NECES-
SARY TO OBTAIN INFORMATION RELEVANT AND MATERIAL TO INVESTIGATING SUCH
INACCURACIES OR OMISSIONS.
(V) IN THE EVENT THAT THE COMMISSION FAILS TO CONDUCT RANDOM AUDITS AS
REQUIRED BY THIS SUBDIVISION, EACH MEMBER OF THE COMMISSION SHALL BE
ASSESSED A CIVIL PENALTY OF FIVE HUNDRED DOLLARS;
S 12. Paragraph i of subdivision 7 of section 80 of the legislative
law, as amended by chapter 14 of the laws of 2007, is amended to read as
follows:
i. Permit any person 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 that the informa-
tion which would otherwise be required to be disclosed will RESULT IN
ECONOMIC OR PERSONAL HARDSHIP TO THE REPORTING PERSON AND WILL have no
material bearing on the discharge of the reporting person's official
duties;
S 13. Subdivision 1 of section 14-126 of the election law, as amended
by chapter 128 of the laws of 1994, is amended to read as follows:
1. Any person who fails to file a statement required to be filed by
this article shall be subject to a civil penalty, not [in excess of]
LESS THAN five hundred dollars AND NOT TO EXCEED TEN THOUSAND DOLLARS,
to be recoverable in a special proceeding or civil action to be brought
by the state board of elections or other board of elections.
S 14. The provisions of this act shall apply to the commission on
public integrity, the legislative ethics commission and to the state
board of elections and to any successor body to any of such entities.
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 confined in its operation to
the clause, sentence, paragraph, section or part thereof directly
involved in the controversy in which such judgment shall have been
rendered.
S 16. This act shall take effect January 1, 2012.
