The New York State Senate

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

                                  5679

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                              June 10, 2011
                               ___________

Introduced  by  Sens. SKELOS, ALESI, BALL, BONACIC, DeFRANCISCO, FARLEY,
  FLANAGAN, FUSCHILLO, GALLIVAN, GOLDEN, GRIFFO, GRISANTI, HANNON, JOHN-
  SON, LANZA, LARKIN,  LAVALLE,  LIBOUS,  LITTLE,  MARCELLINO,  MARTINS,
  MAZIARZ,  McDONALD,  NOZZOLIO,  O'MARA,  RANZENHOFER, RITCHIE, ROBACH,
  SALAND, SEWARD, YOUNG, ZELDIN -- (at request of the Governor) --  read
  twice  and  ordered  printed,  and when printed to be committed to the
  Committee on Rules

AN ACT in relation to establishing the public integrity  reform  act  of
  2011; to amend the public officers law, in relation to the business or
  professional  activities  of  state  employees; to amend the executive
  law, in relation to the commission on public integrity; to  amend  the
  legislative  law,  in  relation  to  the legislative ethics office; to
  amend the public officers law, in relation to the joint commission  on
  public  ethics;  and in relation to the transfer of certain powers and
  duties to the joint commission on public ethics (Part A); to amend the
  legislative law, in relation to reports  by  lobbyists  (Part  B);  to
  amend  the  retirement and social security law, in relation to pension
  forfeiture for certain public officials; and  to  amend  the  criminal
  procedure  law,  in  relation  to  notice of entry of plea involving a
  public official (Part C); to amend the legislative law, in relation to
  the definition of lobbying and  gifts  (Part  D);  and  to  amend  the
  election  law,  in  relation  to  political communication, independent
  expenditure  reporting,  enforcement  proceeding  and  penalties   for
  violations (Part E)

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

  Section 1. This act shall be known and may be  cited  as  the  "Public
Integrity Reform Act of 2011."
  S  2.  This  act enacts into law major components of legislation which
are necessary  to  enact  ethics  reform.    Each  component  is  wholly
contained  within a Part identified as Parts A through E.  The effective

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD12060-03-1

S. 5679                             2

date for each particular provision contained within  such  Part  is  set
forth  in  the  last  section of such Part. Any provision in any section
contained within a Part, including the effective date of the Part, which
makes  a  reference  to a section "of this act", when used in connection
with that particular component, shall be deemed to mean and refer to the
corresponding section of the Part in which it is found. Section four  of
this act sets forth the general effective date of this act.

                                 PART A

  Section  1. Paragraph (a) of subdivision 1 of section 73 of the public
officers law, as amended by chapter 813 of the laws of 1987, is  amended
to read as follows:
  (a)  The  term  "compensation" shall mean any money, thing of value or
financial benefit conferred in return for services  rendered  or  to  be
rendered.  With  regard  to matters undertaken by a firm, corporation or
association, compensation shall mean net revenues, as defined in accord-
ance with generally accepted accounting principles  as  defined  by  the
[state]  JOINT  COMMISSION  ON PUBLIC ethics [commission] or legislative
ethics [committee] COMMISSION in relation to persons  subject  to  their
respective jurisdictions.
  S  2.  Subdivision  2  of  section  73  of the public officers law, as
amended by chapter 813 of the laws  of  1987,  is  amended  to  read  as
follows:
  2.  In  addition  to  the  prohibitions contained in subdivision seven
[hereof] OF THIS SECTION, no statewide elected official,  state  officer
or  employee,  member  of  the legislature or legislative employee shall
receive, or enter into any agreement express  or  implied  for,  compen-
sation  for services to be rendered in relation to any case, proceeding,
application, or other matter before any state agency, OR  ANY  EXECUTIVE
ORDER,  OR  ANY  LEGISLATION OR RESOLUTION BEFORE THE STATE LEGISLATURE,
whereby his OR HER compensation is to be dependent  or  contingent  upon
any  action  by  such agency OR LEGISLATURE with respect to any license,
contract, certificate, ruling, decision, EXECUTIVE ORDER, opinion,  rate
schedule, franchise, LEGISLATION, RESOLUTION or other benefit; provided,
however,  that  nothing  in this subdivision shall be deemed to prohibit
the fixing at any time of fees based upon the reasonable  value  of  the
services rendered.
  S  3. Paragraph (a) of subdivision 6 of section 73 of the public offi-
cers law, as amended by chapter 813 of the laws of 1987, is  amended  to
read as follows:
  (a)  Every  legislative  employee  not  subject  to  the provisions of
section seventy-three-a of this chapter shall,  on  and  after  December
fifteenth and before the following January fifteenth, in each year, file
with  the  [legislative]  JOINT  COMMISSION  ON PUBLIC ethics [committee
established by section eighty of the legislative law] AND  THE  LEGISLA-
TIVE ETHICS COMMISSION a financial disclosure statement of
  (1) each financial interest, direct or indirect of himself, his spouse
and  his  unemancipated  children under the age of eighteen years in any
activity which is subject to the jurisdiction of a regulatory agency  or
name  of the entity in which the interest is had and whether such inter-
est is over or under five thousand dollars in value.
  (2) every office and directorship held by him in any corporation, firm
or enterprise which is subject to the jurisdiction of a regulatory agen-
cy, including the name of such corporation, firm or enterprise.

S. 5679                             3

  (3) any other interest or relationship  which  he  determines  in  his
discretion  might  reasonably be expected to be particularly affected by
legislative action or in the public interest should be disclosed.
  S  4.  Every  state  agency,  department, division, office, and board;
every public benefit corporation, public  authority  and  commission  at
least  one  of  whose  members  is  appointed by the governor; the state
university of New York and the city university of  New  York,  including
all  their  constituent  units  except  community  colleges of the state
university of New York; and the independent institutions operating stat-
utory or contract colleges on behalf of the state, shall cooperate  with
the  office  of general services and supply to that office on a schedule
and in a format determined by the office of general services in  consul-
tation  with such governmental bodies, a list of all individuals, firms,
or other entities (other than state or local governmental agencies)  who
have appeared before such governmental body in a representative capacity
on behalf of a client or customer for purposes of: (a) procuring a state
contract  for  real  property,  goods  or  services for such client; (b)
representing such client or customer in a proceeding  relating  to  rate
making; (c) representing such client in a regulatory matter; (d) repres-
enting  such client or customer in a judicial or quasi-judicial proceed-
ing; or (e) representing such client or  customer  in  the  adoption  or
repeal  of  a  rule or regulation.  The office of general services shall
create forms upon which such information shall be supplied and  a  data-
base  which  shall collect and systemize the collection of such informa-
tion. The office of general services shall make the  database  available
and accessible to members of the public on a webpage subject to statuto-
ry  confidentiality  restrictions, and shall ensure that the information
contained in the database is readily searchable and available for  down-
load. The database shall be known as "project sunlight".
  S  5. Section 73-a of the public officers law, as added by chapter 813
of the laws of 1987, paragraph (b) of subdivision 1 as amended by  chap-
ter  283  of the laws of 1996, subparagraphs (ii) and (iii) of paragraph
(c) and paragraph (d) of subdivision  1,  subparagraphs  (v),  (vi)  and
(vii)  of  paragraph  (a)  and  paragraphs (e) and (g) of subdivision 2,
paragraph 4, subparagraph (a) of paragraph 5, paragraphs 6, 9,  10,  11,
subparagraph  (b) of paragraph 12, paragraphs 13, 14, 15, 16, 17, 18 and
19 of subdivision 3 and subdivision 4 as amended and  paragraph  (l)  of
subdivision 1, subparagraph (viii) of paragraph (a) and paragraph (j) of
subdivision  2 and the third and fourth undesignated paragraphs of para-
graph 3 of subdivision 3 as added by chapter 242 of the laws of 1989, is
amended to read as follows:
  S 73-a. Financial disclosure. 1. As used in this section:
  (a) The term "statewide elected official"  shall  mean  the  governor,
lieutenant governor, comptroller, or attorney general.
  (b)  The term "state agency" shall mean any state department, or divi-
sion, board, commission, or bureau of any state department,  any  public
benefit  corporation,  public  authority  or  commission at least one of
whose members is appointed by the governor, or the state  university  of
New  York  or  the  city  university  of  New  York, including all their
constituent units except community colleges of the state  university  of
New  York  and  the  independent  institutions  operating  statutory  or
contract colleges on behalf of the state.
  (c) The term "state officer or employee" shall mean:
  (i) heads of state departments and their deputies and assistants;
  (ii) officers and employees of statewide elected  officials,  officers
and  employees of state departments, boards, bureaus, divisions, commis-

S. 5679                             4

sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-
vision or who hold policy-making positions, as  annually  determined  by
the  appointing  authority  and  set forth in a written instrument which
shall be filed with  the  [state]  JOINT  COMMISSION  ON  PUBLIC  ethics
[commission]  established  by  section  ninety-four of the executive law
during the month of February, provided,  however,  that  the  appointing
authority  shall  amend  such  written instrument after such date within
thirty days after the undertaking of policy-making responsibilities by a
new employee or any other employee whose name did not appear on the most
recent written instrument; and
  (iii) members or directors of public authorities,  other  than  multi-
state  authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, and employees of such
authorities, corporations and commissions  who  receive  annual  compen-
sation in excess of the filing rate established by paragraph (l) of this
subdivision  or who hold policy-making positions, as determined annually
by the appointing authority and set forth in a written instrument  which
shall  be  filed  with  the  [state]  JOINT  COMMISSION ON PUBLIC ethics
[commission] established by section ninety-four  of  the  executive  law
during  the  month  of  February, provided, however, that the appointing
authority shall amend such written instrument  after  such  date  within
thirty days after the undertaking of policy-making responsibilities by a
new employee or any other employee whose name did not appear on the most
recent written instrument.
  (d) The term "legislative employee" shall mean any officer or employee
of  the  legislature  who  receives annual compensation in excess of the
filing rate established by paragraph (l) below or who is  determined  to
hold  a  policy-making position by the appointing authority as set forth
in a written instrument which shall be filed with the legislative ETHICS
COMMISSION AND THE JOINT COMMISSION ON PUBLIC ethics  [committee  estab-
lished by section eighty of the legislative law].
  (D-1)  A  FINANCIAL  DISCLOSURE STATEMENT REQUIRED PURSUANT TO SECTION
SEVENTY-THREE OF THIS ARTICLE AND THIS SECTION SHALL BE  DEEMED  "FILED"
WITH  THE  JOINT COMMISSION ON PUBLIC ETHICS UPON ITS FILING, IN ACCORD-
ANCE WITH THIS SECTION, WITH THE LEGISLATIVE ETHICS COMMISSION  FOR  ALL
PURPOSES  INCLUDING, BUT NOT LIMITED TO, SUBDIVISION FOURTEEN OF SECTION
NINETY-FOUR OF THE EXECUTIVE LAW, SUBDIVISION NINE OF SECTION EIGHTY  OF
THE LEGISLATIVE LAW AND SUBDIVISION FOUR OF THIS SECTION.
  (e)  The term "spouse" shall mean the husband or wife of the reporting
individual unless living separate and apart from the reporting  individ-
ual  with  the  intention  of  terminating the marriage or providing for
permanent separation or unless separated pursuant  to:  (i)  a  judicial
order,  decree  or judgment, or (ii) a legally binding separation agree-
ment.
  (f) The term "relative" shall mean such  individual's  spouse,  child,
stepchild,  stepparent,  or any person who is a direct descendant of the
grandparents of the reporting individual or of  the  reporting  individ-
ual's spouse.
  (g) The term "unemancipated child" shall mean any son, daughter, step-
son  or  stepdaughter who is under age eighteen, unmarried and living in
the household of the reporting individual.
  (h) The term "political party chairman" shall have the same meaning as
ascribed to such term by subdivision one  of  section  seventy-three  of
this [chapter] ARTICLE.
  (i) The term "local agency" shall mean:

S. 5679                             5

  (i)  any  county,  city,  town,  village,  school district or district
corporation, or any agency, department, division, board,  commission  or
bureau thereof; and
  (ii)  any  public benefit corporation or public authority not included
in the definition of a state agency.
  (j) The term "regulatory  agency"  shall  have  the  same  meaning  as
ascribed  to  such  term  by subdivision one of section seventy-three of
this [chapter] ARTICLE.
  (k) The term "ministerial matter"  shall  have  the  same  meaning  as
ascribed  to  such  term  by subdivision one of section seventy-three of
this [chapter] ARTICLE.
  (l) The term "filing rate" shall mean the job rate  of  SG-24  as  set
forth in paragraph a of subdivision one of section one hundred thirty of
the  civil  service law as of April first of the year in which an annual
financial disclosure statement shall be filed.
  (M) THE TERM "LOBBYIST" SHALL HAVE THE SAME  MEANING  AS  ASCRIBED  TO
SUCH TERM IN SUBDIVISION (A) OF SECTION ONE-C OF THE LEGISLATIVE LAW.
  2.  (a)  Every  statewide elected official, state officer or employee,
member of the legislature,  legislative  employee  and  political  party
chairman  and every candidate for statewide elected office or for member
of the legislature shall file an annual statement of  financial  disclo-
sure containing the information and in the form set forth in subdivision
three  [hereof]  OF THIS SECTION.   [Such statement shall be filed on or
before the fifteenth day of May with respect to the  preceding  calendar
year, except that] ON OR BEFORE THE FIFTEENTH DAY OF MAY WITH RESPECT TO
THE  PRECEDING CALENDAR YEAR: (1) EVERY MEMBER OF THE LEGISLATURE, EVERY
CANDIDATE FOR MEMBER OF THE LEGISLATURE AND LEGISLATIVE  EMPLOYEE  SHALL
FILE  SUCH  STATEMENT WITH THE LEGISLATIVE ETHICS COMMISSION WHICH SHALL
PROVIDE SUCH  STATEMENT  ALONG  WITH  ANY  REQUESTS  FOR  EXEMPTIONS  OR
DELETIONS  TO  THE  JOINT  COMMISSION  ON  PUBLIC  ETHICS FOR FILING AND
RULINGS WITH RESPECT TO SUCH REQUESTS FOR EXEMPTIONS OR DELETIONS, ON OR
BEFORE THE THIRTIETH DAY OF JUNE; AND (2) ALL OTHER INDIVIDUALS REQUIRED
TO FILE SUCH STATEMENT SHALL FILE IT WITH THE JOINT COMMISSION ON PUBLIC
ETHICS, EXCEPT THAT:
  (i) a person who is subject to  the  reporting  requirements  of  this
subdivision  and  who  timely filed with the internal revenue service an
application for automatic extension of time in which to file his or  her
individual  income  tax return for the immediately preceding calendar or
fiscal year shall be required to file such financial  disclosure  state-
ment  on or before May fifteenth but may, without being subjected to any
civil penalty on account of a deficient statement, indicate with respect
to any item of the disclosure statement that  information  with  respect
thereto  is lacking but will be supplied in a supplementary statement of
financial disclosure, which shall be filed on or before the seventh  day
after  the  expiration of the period of such automatic extension of time
within which to file such individual income tax  return,  provided  that
failure to file or to timely file such supplementary statement of finan-
cial disclosure or the filing of an incomplete or deficient supplementa-
ry  statement of financial disclosure shall be subject to the notice and
penalty provisions of  this  section  respecting  annual  statements  of
financial  disclosure  as if such supplementary statement were an annual
statement;
  (ii) a person who is required to file an annual  financial  disclosure
statement with the [state] JOINT COMMISSION ON PUBLIC ethics [commission
or  with  the legislative ethics committee], and who is granted an addi-
tional period of time within which to file such statement due to  justi-

S. 5679                             6

fiable  cause  or  undue hardship, in accordance with required rules and
regulations on the subject adopted pursuant to paragraph c  of  subdivi-
sion  nine  of  section ninety-four of the executive law [or pursuant to
paragraph  c  of  subdivision eight of section eighty of the legislative
law,] shall file such statement within the  additional  period  of  time
granted;  AND  THE  LEGISLATIVE ETHICS COMMISSION SHALL NOTIFY THE JOINT
COMMISSION ON PUBLIC ETHICS OF ANY EXTENSION GRANTED  PURSUANT  TO  THIS
PARAGRAPH;
  (iii)  candidates for statewide office who receive a party designation
for nomination by a state committee pursuant to  section  6-104  of  the
election law shall file such statement within [seven] TEN days after the
date of the meeting at which they are so designated;
  (iv)  candidates  for statewide office who receive twenty-five percent
or more of the vote cast at the meeting  of  the  state  committee  held
pursuant  to  section  6-104  of the election law and who demand to have
their names placed on the primary ballot and who do not withdraw  within
fourteen  days  after  such  meeting  shall  file  such statement within
[seven] TEN days after the last day to withdraw their names  in  accord-
ance with the provisions of such section of the election law;
  (v)  candidates  for statewide office and candidates for member of the
legislature who file party designating petitions  for  nomination  at  a
primary election shall file such statement within [seven] TEN days after
the  last  day  allowed  by  law  for  the  filing  of party designating
petitions naming them as candidates  for  the  next  succeeding  primary
election;
  (vi)  candidates  for  independent nomination who have not been desig-
nated by a party to receive a nomination shall file such statement with-
in [seven] TEN days after the last day allowed by law for the filing  of
independent  nominating  petitions naming them as candidates in the next
succeeding general or special election;
  (vii) candidates who receive the nomination of a party for  a  special
election  shall  file  such  statement within [seven] TEN days after the
date of the meeting of the party committee at which they are  nominated;
[and]
  (viii)  a  candidate  substituted  for  another candidate, who fills a
vacancy in a party designation or in an independent  nomination,  caused
by  declination, shall file such statement within [seven] TEN days after
the last day allowed by law to file a certificate to fill a  vacancy  in
such party designation or independent nomination[.];
  (IX) WITH RESPECT TO ALL CANDIDATES FOR MEMBER OF THE LEGISLATURE, THE
LEGISLATIVE  ETHICS COMMISSION SHALL WITHIN FIVE DAYS OF RECEIPT PROVIDE
THE JOINT COMMISSION ON PUBLIC ETHICS THE STATEMENT  FILED  PURSUANT  TO
SUBPARAGRAPHS (V), (VI), (VII) AND (VIII) OF THIS PARAGRAPH.
  (b)  As used in this subdivision, the terms "party", "committee" (when
used in conjunction with the term  "party"),  "designation",  "primary",
"primary  election", "nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in section 1-104 of  the
election law.
  (c)  If  the  reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative  employ-
ee,  such  statement  shall  be  filed  with BOTH the legislative ethics
[committee] COMMISSION established by section eighty of the  legislative
law  AND  THE JOINT COMMISSION ON PUBLIC ETHICS IN ACCORDANCE WITH PARA-
GRAPH (D-1) OF SUBDIVISION ONE OF THIS SECTION.  If the reporting  indi-
vidual  is a statewide elected official, candidate for statewide elected
office, a state officer or employee or a political party chairman,  such

S. 5679                             7

statement  shall  be  filed  with the [state] JOINT COMMISSION ON PUBLIC
ethics [commission] established by section ninety-four of the  executive
law.
  (d)  The [legislative ethics committee and the state] JOINT COMMISSION
ON PUBLIC ethics [commission] shall  obtain  from  the  state  board  of
elections  a  list of all candidates for statewide office and for member
of the legislature, and from such list, shall determine  and  publish  a
list  of  those  candidates  who  have  not,  within  ten days after the
required date for filing such statement, filed the statement required by
this subdivision.
  (e) Any person required to file such statement who  commences  employ-
ment  after May fifteenth of any year and political party chairman shall
file such statement within thirty days after commencing employment or of
taking the position of political party chairman, as the case may be.  IN
THE  CASE  OF MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOYEES, SUCH
STATEMENTS SHALL BE FILED WITH THE LEGISLATIVE ETHICS COMMISSION  WITHIN
THIRTY  DAYS  AFTER  COMMENCING  EMPLOYMENT,  AND THE LEGISLATIVE ETHICS
COMMISSION SHALL PROVIDE SUCH STATEMENTS  TO  THE  JOINT  COMMISSION  ON
PUBLIC ETHICS WITHIN FORTY-FIVE DAYS OF RECEIPT.
  (f) A person who may otherwise be required to file more than one annu-
al  financial  disclosure  statement with both the [state ethics commis-
sion] JOINT COMMISSION ON  PUBLIC  ETHICS  and  the  legislative  ethics
[committee]  COMMISSION  in  any  one  calendar  year  may  satisfy such
requirement by filing one such statement with either body and by notify-
ing the other body of such compliance.
  (g) A person who is employed in more than one employment capacity  for
one  or  more  employers  certain  of  whose  officers and employees are
subject to filing a financial disclosure statement with the same  ethics
commission  [or  ethics committee], as the case may be, and who receives
distinctly separate payments of compensation for such  employment  shall
be  subject  to the filing requirements of this section if the aggregate
annual compensation for all such employment capacities is in  excess  of
the  filing rate notwithstanding that such person would not otherwise be
required to file with respect to any one particular employment capacity.
A person not otherwise required to file a financial disclosure statement
hereunder who is employed by an employer certain of  whose  officers  or
employees  are  subject  to filing a financial disclosure statement with
the [state ethics] JOINT commission ON PUBLIC ETHICS  and  who  is  also
employed  by  an  employer  certain  of  whose officers or employees are
subject to filing a financial disclosure statement with the  legislative
ethics [committee] COMMISSION shall not be subject to filing such state-
ment  with  either such commission [or such committee] on the basis that
his aggregate annual compensation from all such employers is  in  excess
of the filing rate.
  (h)  A statewide elected official or member of the legislature, who is
simultaneously a candidate for statewide elected office or member of the
legislature, shall satisfy the  filing  deadline  requirements  of  this
subdivision  by  complying  only with the deadline applicable to one who
holds a statewide elected office or who holds the office  of  member  of
the legislature.
  (i)  A  candidate  whose  name will appear on both a party designating
petition and on an independent nominating petition for the  same  office
or  who  will  be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this  subdi-
vision by complying with the earliest applicable deadline only.

S. 5679                             8

  (j)  A  member  of  the legislature who is elected to such office at a
special election prior to May fifteenth in any year  shall  satisfy  the
filing  requirements  of this subdivision in such year by complying with
the earliest applicable deadline only.
  (K) THE JOINT COMMISSION ON PUBLIC ETHICS SHALL POST FOR AT LEAST FIVE
YEARS BEGINNING FOR FILINGS MADE ON JANUARY FIRST, TWO THOUSAND THIRTEEN
THE ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AND ANY AMENDMENTS FILED BY
EACH  PERSON  SUBJECT  TO THE REPORTING REQUIREMENTS OF THIS SUBDIVISION
WHO IS AN ELECTED OFFICIAL ON ITS WEBSITE FOR PUBLIC REVIEW WITHIN THIR-
TY DAYS OF ITS RECEIPT OF SUCH STATEMENT  OR  WITHIN  TEN  DAYS  OF  ITS
RECEIPT  OF SUCH AMENDMENT THAT REFLECTS ANY CORRECTIONS OF DEFICIENCIES
IDENTIFIED BY THE COMMISSION OR BY THE REPORTING  INDIVIDUAL  AFTER  THE
REPORTING  INDIVIDUAL'S INITIAL FILING. EXCEPT UPON AN INDIVIDUAL DETER-
MINATION BY THE COMMISSION THAT CERTAIN INFORMATION MAY BE DELETED  FROM
A  REPORTING INDIVIDUAL'S ANNUAL STATEMENT OF FINANCIAL DISCLOSURE, NONE
OF THE INFORMATION IN THE STATEMENT POSTED ON THE  COMMISSION'S  WEBSITE
SHALL BE OTHERWISE DELETED.
  3.  The  annual  statement  of  financial disclosure shall contain the
information and shall be in the form set forth hereinbelow:

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

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

     (b) List the names of all unemancipated children.

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

Answer each of the  following  questions  completely,  with  respect  to
  calendar  year  _________,  unless another period or date is otherwise
  specified. If additional space is needed, attach additional pages.

  Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported as being within one of  the  following
Categories  IN  TABLE I OR TABLE II OF THIS SUBDIVISION AS CALLED FOR IN
THE QUESTION: [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 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. 5679                             9

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

                                                            State or
    Position                  Organization                 Local Agency

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

                                                            State or
    Position                  Organization                 Local Agency

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

5.  (a)  List  the  name,  address  and  description  of any occupation,
    employment (other than the employment listed under  Item  2  above),
    trade,  business  or profession engaged in by the reporting individ-
    ual. 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  significant  part  of the business or activity of said
    entity, did business with, or had  matters  other  than  ministerial
    matters before, any state or local agency, list the name of any such
    agency.

                                                            State or
               Name & Address                                 Local
    Position   of Organization          Description          Agency

S. 5679                            10

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

(b) If the spouse or unemancipated child of the reporting individual was
    engaged in any occupation, employment, trade, business or profession
    which  activity was licensed by any state or local agency, was regu-
    lated by any state regulatory agency or local agency, or, as a regu-
    lar and significant part of the business or activity of said entity,
    did business with, or had matters  other  than  ministerial  matters
    before,  any  state  or  local  agency,  list  the name, address and
    description of  such  occupation,  employment,  trade,  business  or
    profession and the name of any such agency.

                                                            State or
               Name & Address                                 Local
    Position   of Organization          Description          Agency

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

6.  List  any interest, in EXCESS of $1,000, held by the reporting indi-
    vidual, such individual's spouse or unemancipated child, or partner-
    ship of which any such person is a member, or  corporation,  10%  or
    more  of  the  stock  of  which  is  owned or controlled by any such
    person, whether vested  or  contingent,  in  any  contract  made  or
    executed  by  a  state  or  local agency and include the name of the
    entity which holds such interest and the relationship of the report-
    ing individual or such individual's spouse or  such  child  to  such
    entity  and  the interest in such contract. Do NOT include bonds and
    notes. Do NOT list any interest in any such contract on which  final
    payment  has been made and all obligations under the contract except
    for guarantees and warranties have been performed, provided,  howev-
    er,  that such an interest must be listed if there has been an ongo-
    ing dispute during the calendar year for  which  this  statement  is
    filed with respect to any such guarantees or warranties. Do NOT list
    any  interest in a contract made or executed by a local agency after
    public notice and pursuant to a process for competitive bidding or a
    process for competitive requests for proposals.

                 Entity       Relationship   Contracting     Category
     Self,     Which Held      to Entity       State or         of
    Spouse or  Interest in    and Interest      Local        Value of
     Child      Contract      in Contract       Agency       Contract
                                                           (IN TABLE II)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

S. 5679                            11

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, OR WORKS AS A
    MEMBER OR EMPLOYEE OF  A  FIRM  REQUIRED  TO  REGISTER  PURSUANT  TO
    SECTION  ONE-E  OF THE LEGISLATIVE LAW AS A LOBBYIST, 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 undertaken by such firm or corporation. [Do not list the
    name of the individual clients, customers or patients.]

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

  (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE, OR FOR NEW MATTERS
FOR  EXISTING  CLIENTS  OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT
ARE PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE:
  IF THE REPORTING INDIVIDUAL PERSONALLY PROVIDES SERVICES TO ANY PERSON
OR ENTITY, OR WORKS AS A MEMBER OR EMPLOYEE OF A PARTNERSHIP  OR  CORPO-
RATION  THAT  PROVIDES  SUCH  SERVICES  (REFERRED  TO  HEREINAFTER  AS A
"FIRM"), THEN IDENTIFY EACH CLIENT OR CUSTOMER  TO  WHOM  THE  REPORTING
INDIVIDUAL PERSONALLY PROVIDED SERVICES, OR WHO WAS REFERRED TO THE FIRM
BY  THE  REPORTING INDIVIDUAL, AND FROM WHOM THE REPORTING INDIVIDUAL OR
HIS OR HER FIRM EARNED FEES IN EXCESS OF $10,000  DURING  THE  REPORTING
PERIOD FOR SUCH SERVICES RENDERED IN DIRECT CONNECTION WITH:
  (I) A PROPOSED BILL OR RESOLUTION IN THE SENATE OR ASSEMBLY DURING THE
REPORTING PERIOD;
  (II)  A CONTRACT IN AN AMOUNT TOTALING $50,000  OR MORE FROM THE STATE
OR ANY STATE AGENCY FOR SERVICES, MATERIALS, OR PROPERTY;
  (III) A GRANT OF $25,000  OR MORE FROM THE STATE OR ANY  STATE  AGENCY
DURING THE REPORTING PERIOD;
  (IV)  A  GRANT  OBTAINED  THROUGH  A LEGISLATIVE INITIATIVE DURING THE
REPORTING PERIOD; OR
  (V) A CASE, PROCEEDING, APPLICATION OR OTHER  MATTER  THAT  IS  NOT  A
MINISTERIAL MATTER BEFORE A STATE AGENCY DURING THE REPORTING PERIOD.

S. 5679                            12

  FOR  PURPOSES  OF  THIS  QUESTION,  "REFERRED TO THE FIRM" SHALL MEAN:
HAVING INTENTIONALLY AND KNOWINGLY TAKEN A SPECIFIC  ACT  OR  SERIES  OF
ACTS  TO  INTENTIONALLY  PROCURE  FOR THE REPORTING INDIVIDUAL'S FIRM OR
KNOWINGLY SOLICIT OR DIRECT TO THE REPORTING INDIVIDUAL'S FIRM IN  WHOLE
OR  SUBSTANTIAL  PART,  A PERSON OR ENTITY THAT BECOMES A CLIENT OF THAT
FIRM FOR THE PURPOSES OF REPRESENTATION  FOR  A  MATTER  AS  DEFINED  IN
SUBPARAGRAPHS  (I)  THROUGH (V) OF THIS PARAGRAPH, AS THE RESULT OF SUCH
PROCUREMENT, SOLICITATION OR DIRECTION OF THE  REPORTING  INDIVIDUAL.  A
REPORTING  INDIVIDUAL  NEED  NOT  DISCLOSE  ACTIVITIES  PERFORMED  WHILE
LAWFULLY ACTING PURSUANT TO PARAGRAPHS (C), (D), (E) AND (F) OF SUBDIVI-
SION SEVEN OF SECTION SEVENTY-THREE OF THIS ARTICLE.
  THE DISCLOSURE REQUIREMENT IN THIS QUESTION SHALL NOT REQUIRE  DISCLO-
SURE  OF  CLIENTS  OR  CUSTOMERS  RECEIVING  MEDICAL OR DENTAL SERVICES,
MENTAL HEALTH SERVICES, RESIDENTIAL REAL ESTATE BROKERING  SERVICES,  OR
INSURANCE BROKERING SERVICES FROM THE REPORTING INDIVIDUAL OR HIS OR HER
FIRM.   THE REPORTING INDIVIDUAL NEED NOT IDENTIFY ANY CLIENT TO WHOM HE
OR SHE OR HIS OR HER FIRM PROVIDED LEGAL REPRESENTATION WITH RESPECT  TO
INVESTIGATION OR PROSECUTION BY LAW ENFORCEMENT AUTHORITIES, BANKRUPTCY,
OR  DOMESTIC  RELATIONS  MATTERS. WITH RESPECT TO CLIENTS REPRESENTED IN
OTHER MATTERS, WHERE DISCLOSURE OF A  CLIENT'S  IDENTITY  IS  LIKELY  TO
CAUSE HARM, THE REPORTING INDIVIDUAL SHALL REQUEST AN EXEMPTION FROM THE
JOINT  COMMISSION  PURSUANT  TO  PARAGRAPH  (I)  OF  SUBDIVISION NINE OF
SECTION NINETY-FOUR OF THE EXECUTIVE LAW.  ONLY A  REPORTING  INDIVIDUAL
WHO  FIRST  ENTERS  PUBLIC OFFICE AFTER JULY FIRST, TWO THOUSAND TWELVE,
NEED NOT REPORT CLIENTS OR CUSTOMERS WITH RESPECT TO MATTERS  FOR  WHICH
THE REPORTING INDIVIDUAL OR HIS OR HER FIRM WAS RETAINED PRIOR TO ENTER-
ING PUBLIC OFFICE.
CLIENT                                    NATURE OF SERVICES PROVIDED
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

  (c) List  the  name,  principal address and general description or the
nature of the business activity of any entity  in  which  the  reporting
individual  or  such  individual's spouse had an investment in excess of
$1,000 excluding investments in securities and interests in real proper-
ty.

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

9.  List each source of  gifts,  EXCLUDING  campaign  contributions,  in
    EXCESS  of  $1,000,  received  during the reporting period for which
    this statement is filed by the reporting individual or such individ-
    ual's spouse or unemancipated child from the same  donor,  EXCLUDING
    gifts  from  a  relative. INCLUDE the name and address of the donor.
    The term "gifts" does not  include  reimbursements,  which  term  is
    defined  in  item  10.    Indicate the value and nature of each such
    gift.

S. 5679                            13

                                                             Category
     Self,                                                      of
    Spouse or  Name of                       Nature          Value of
     Child      Donor         Address        of Gift           Gift
                                                           (IN TABLE I)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

    Source                                                   Description

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

                                                             Category
    Identity                                                 of Value*
                                                           (IN TABLE II)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
  * 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

S. 5679                            14

    individual after leaving office or position (other than a  leave  of
    absence).

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

13. List  below  the nature and amount of any income in EXCESS of $1,000
    from EACH SOURCE for the reporting individual and such  individual's
    spouse  for  the  taxable  year  last occurring prior to the date of
    filing.   Nature of income includes, but  is  not  limited  to,  all
    income  (other  than  that received from the employment listed under
    Item 2 above) from compensated employment whether public or private,
    directorships and other fiduciary  positions,  contractual  arrange-
    ments,  teaching  income,  partnerships,  honorariums, lecture fees,
    consultant fees, bank and bond interest, dividends,  income  derived
    from  a trust, real estate rents, and recognized gains from the sale
    or exchange of real or other property.   Income from a  business  or
    profession  and  real estate rents shall be reported with the source
    identified by the building address in the case of real estate  rents
    and  otherwise  by the name of the entity and not by the name of the
    individual customers, clients or tenants,  with  the  aggregate  net
    income  before  taxes  for  each  building  address or entity.   The
    receipt of maintenance received in  connection  with  a  matrimonial
    action, alimony and child support payments shall not be listed.

    Self/                                                       Category
    Spouse          Source                   Nature            of Amount
                                                            (IN TABLE I)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

S. 5679                            15

    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
                                                            (IN TABLE I)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

    Item Assigned                    Assigned or             Category
    or Transferred                 Transferred to            of Value
                                                           (IN TABLE I)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

16. List below the type and market  value  of  securities  held  by  the
    reporting  individual  or such individual's spouse from each issuing
    entity in EXCESS of $1,000 at the close of  the  taxable  year  last
    occurring  prior  to  the  date of filing, including the name of the
    issuing entity exclusive of securities held by the  reporting  indi-
    vidual issued by a professional corporation. Whenever an interest in
    securities  exists  through  a  beneficial  interest in a trust, the
    securities held in such trust shall be listed ONLY IF the  reporting
    individual has knowledge thereof except where the reporting individ-
    ual  or  the reporting individual's spouse has transferred assets to
    such trust for his or her benefit in  which  event  such  securities
    shall  be  listed unless they are not ascertainable by the reporting
    individual because the trustee is under an obligation  or  has  been
    instructed  in  writing not to disclose the contents of the trust to
    the reporting individual. Securities of which the reporting individ-
    ual or the reporting individual's spouse is the owner of record  but
    in which such individual or the reporting individual's spouse has no
    beneficial  interest  shall  not be listed.   Indicate percentage of
    ownership ONLY if the reporting person  or  the  reporting  person's
    spouse  holds  more  than five percent (5%) of the stock of a corpo-
    ration in which the stock  is  publicly  traded  or  more  than  ten
    percent  (10%)  of  the stock of a corporation in which the stock is
    NOT publicly traded.  Also  list  securities  owned  for  investment

S. 5679                            16

    purposes by a corporation more than fifty percent (50%) of the stock
    of  which is owned or controlled by the reporting individual or such
    individual's spouse.  For the purpose of this item the term "securi-
    ties" shall mean mutual funds, bonds, mortgages, notes, obligations,
    warrants and stocks of any class, investment interests in limited or
    general  partnerships  and  certificates  of deposits (CDs) and such
    other evidences of indebtedness and certificates of interest as  are
    usually  referred to as securities.  The market value for such secu-
    rities shall be reported only if reasonably ascertainable and  shall
    not be reported if the security is an interest in a general partner-
    ship  that  was listed in item 8 (a) or if the security is corporate
    stock, NOT publicly traded, in a trade or business  of  a  reporting
    individual or a reporting individual's spouse.

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

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

17. List  below  the  location,  size, general nature, acquisition date,
    market value and percentage of ownership of  any  real  property  in
    which  any vested or contingent interest in EXCESS of $1,000 is held
    by the reporting individual or the  reporting  individual's  spouse.
    Also  list  real  property owned for investment purposes by a corpo-
    ration more than fifty percent (50%) of the stock of which is  owned
    or  controlled  by  the  reporting  individual  or such individual's
    spouse. Do NOT list any  real  property  which  is  the  primary  or
    secondary  personal  residence  of  the  reporting individual or the
    reporting individual's spouse, except where there is a co-owner  who
    is other than a relative.

                                                                Category
    Self/                                             Percentage   of
    Spouse/                      General  Acquisition    of      Market
    Corporation  Location Size   Nature     Date      Ownership   Value
                                                                  (IN
                                                                  TABLE
                                                                  II)

    ____________________________________________________________________
    ____________________________________________________________________

S. 5679                            17

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

18. List  below all notes and accounts receivable, other than from goods
    or services sold, held by the reporting individual at the  close  of
    the  taxable  year  last  occurring  prior to the date of filing and
    other debts owed to such individual at the close of the taxable year
    last occurring prior to the date of filing,  in  EXCESS  of  $1,000,
    including  the  name of the debtor, type of obligation, date due and
    the nature of the collateral  securing  payment  of  each,  if  any,
    excluding  securities  reported in item 16 hereinabove. Debts, notes
    and accounts receivable owed to the individual by a  relative  shall
    not be reported.

                              Type of Obligation,               Category
                              Date Due, and Nature                 of
    Name of Debtor            of Collateral, if any               Amount
                                                           (IN TABLE II)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

19. List  below  all  liabilities  of  the reporting individual and such
    individual's spouse, in EXCESS of [$5,000] $10,000 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 report-
    ing individual or such individual's spouse or by any proprietorship,
    partnership or corporation in which the reporting individual or such
    individual's  spouse  has  an interest, when incurred or made in the
    ordinary course of the trade, business or professional  practice  of
    the  reporting  individual  or such individual's spouse. Include the
    name of the creditor and any collateral pledged by  such  individual
    to  secure  payment  of  any  such liability. A reporting individual
    shall not list any obligation to pay maintenance in connection  with
    a  matrimonial  action,  alimony or child support payments. Any loan
    issued in the ordinary course of business by a financial institution
    to finance educational costs, the cost of home purchase or  improve-
    ments  for  a  primary  or  secondary  residence,  or  purchase of a
    personally owned motor vehicle, household  furniture  or  appliances
    shall be excluded. If any such reportable liability has been guaran-
    teed by any third person, list the liability and name the guarantor.

                                                                Category
    Name of Creditor          Type of Liability                    of
    or Guarantor              and Collateral, if any              Amount
                                                           (IN TABLE II)

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

S. 5679                            18

    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)

                                   TABLE I
    CATEGORY A                  NONE
    CATEGORY B      $        1 TO UNDER $    1,000
    CATEGORY C      $    1,000 TO UNDER $    5,000
    CATEGORY D      $    5,000 TO UNDER $   20,000
    CATEGORY E      $   20,000 TO UNDER $   50,000
    CATEGORY F      $   50,000 TO UNDER $   75,000
    CATEGORY G      $   75,000 TO UNDER $  100,000
    CATEGORY H      $  100,000 TO UNDER $  150,000
    CATEGORY I      $  150,000 TO UNDER $  250,000
    CATEGORY J      $  250,000 TO UNDER $  350,000
    CATEGORY K      $  350,000 TO UNDER $  450,000
    CATEGORY L      $  450,000 TO UNDER $  550,000
    CATEGORY M      $  550,000 TO UNDER $  650,000
    CATEGORY N      $  650,000 TO UNDER $  750,000
    CATEGORY O      $  750,000 TO UNDER $  850,000
    CATEGORY P      $  850,000 TO UNDER $  950,000
    CATEGORY Q      $  950,000 TO UNDER $1,050,000
    CATEGORY R      $1,050,000 TO UNDER $1,150,000
    CATEGORY S      $1,150,000 TO UNDER $1,250,000
    CATEGORY T      $1,250,000 TO UNDER $1,350,000
    CATEGORY U      $1,350,000 TO UNDER $1,450,000
    CATEGORY V      $1,450,000 TO UNDER $1,550,000
    CATEGORY W      $1,550,000 TO UNDER $1,650,000
    CATEGORY X      $1,650,000 TO UNDER $1,750,000
    CATEGORY Y      $1,750,000 TO UNDER $1,850,000
    CATEGORY Z      $1,850,000 TO UNDER $1,950,000
    CATEGORY AA     $1,950,000 TO UNDER $2,050,000
    CATEGORY BB     $2,050,000 TO UNDER $2,150,000
    CATEGORY CC     $2,150,000 TO UNDER $2,250,000
    CATEGORY DD     $2,250,000 TO UNDER $2,350,000
    CATEGORY EE     $2,350,000 TO UNDER $2,450,000
    CATEGORY FF     $2,450,000 TO UNDER $2,550,000
    CATEGORY GG     $2,550,000 TO UNDER $2,650,000
    CATEGORY HH     $2,650,000 TO UNDER $2,750,000
    CATEGORY II     $2,750,000 TO UNDER $2,850,000
    CATEGORY JJ     $2,850,000 TO UNDER $2,950,000
    CATEGORY KK     $2,950,000 TO UNDER $3,050,000
    CATEGORY LL     $3,050,000 TO UNDER $3,150,000
    CATEGORY MM     $3,150,000 TO UNDER $3,250,000
    CATEGORY NN     $3,250,000 TO UNDER $3,350,000
    CATEGORY OO     $3,350,000 TO UNDER $3,450,000
    CATEGORY PP     $3,450,000 TO UNDER $3,550,000
    CATEGORY QQ     $3,550,000 TO UNDER $3,650,000
    CATEGORY RR     $3,650,000 TO UNDER $3,750,000
    CATEGORY SS     $3,750,000 TO UNDER $3,850,000
    CATEGORY TT     $3,850,000 TO UNDER $3,950,000
    CATEGORY UU     $3,950,000 TO UNDER $4,050,000

S. 5679                            19

    CATEGORY VV     $4,050,000 TO UNDER $4,150,000
    CATEGORY WW     $4,150,000 TO UNDER $4,250,000
    CATEGORY XX     $4,250,000 TO UNDER $4,350,000
    CATEGORY YY     $4,350,000 TO UNDER $4,450,000
    CATEGORY ZZ     $4,450,000 TO UNDER $4,550,000
    CATEGORY AAA    $4,550,000 TO UNDER $4,650,000
    CATEGORY BBB    $4,650,000 TO UNDER $4,750,000
    CATEGORY CCC    $4,750,000 TO UNDER $4,850,000
    CATEGORY DDD    $4,850,000 TO UNDER $4,950,000
    CATEGORY EEE    $4,950,000 TO UNDER $5,050,000
    CATEGORY FFF    $5,050,000 TO UNDER $5,150,000
    CATEGORY GGG    $5,150,000 TO UNDER $5,250,000
    CATEGORY HHH    $5,250,000 TO UNDER $5,350,000
    CATEGORY III    $5,350,000 TO UNDER $5,450,000
    CATEGORY JJJ    $5,450,000 TO UNDER $5,550,000
    CATEGORY KKK    $5,550,000 TO UNDER $5,650,000
    CATEGORY LLL    $5,650,000 TO UNDER $5,750,000
    CATEGORY MMM    $5,750,000 TO UNDER $5,850,000
    CATEGORY NNN    $5,580,000 TO UNDER $5,950,000
    CATEGORY OOO    $5,950,000 TO UNDER $6,050,000
    CATEGORY PPP    $6,050,000 TO UNDER $6,150,000
    CATEGORY QQQ    $6,150,000 TO UNDER $6,250,000
    CATEGORY RRR    $6,250,000 TO UNDER $6,350,000
    CATEGORY SSS    $6,350,000 TO UNDER $6,450,000
    CATEGORY TTT    $6,450,000 TO UNDER $6,550,000
    CATEGORY UUU    $6,550,000 TO UNDER $6,650,000
    CATEGORY VVV    $6,650,000 TO UNDER $6,750,000
    CATEGORY WWW    $6,750,000 TO UNDER $6,850,000
    CATEGORY XXX    $6,850,000 TO UNDER $6,950,000
    CATEGORY YYY    $6,950,000 TO UNDER $7,050,000
    CATEGORY ZZZ    $7,050,000 TO UNDER $7,150,000
    CATEGORY AAAA   $7,150,000 TO UNDER $7,250,000
    CATEGORY BBBB   $7,250,000 TO UNDER $7,350,000
    CATEGORY CCCC   $7,350,000 TO UNDER $7,450,000
    CATEGORY DDDD   $7,450,000 TO UNDER $7,550,000
    CATEGORY EEEE   $7,550,000 TO UNDER $7,650,000
    CATEGORY FFFF   $7,650,000 TO UNDER $7,750,000
    CATEGORY GGGG   $7,750,000 TO UNDER $7,850,000
    CATEGORY HHHH   $7,850,000 TO UNDER $7,950,000
    CATEGORY IIII   $7,950,000 TO UNDER $8,050,000
    CATEGORY JJJJ   $8,050,000 TO UNDER $8,150,000
    CATEGORY KKKK   $8,150,000 TO UNDER $8,250,000
    CATEGORY LLLL   $8,250,000 TO UNDER $8,350,000
    CATEGORY MMMM   $8,350,000 TO UNDER $8,450,000
    CATEGORY NNNN   $8,450,000 TO UNDER $8,550,000
    CATEGORY OOOO   $8,550,000 TO UNDER $8,650,000
    CATEGORY PPPP   $8,650,000 TO UNDER $8,750,000
    CATEGORY QQQQ   $8,750,000 TO UNDER $8,850,000
    CATEGORY RRRR   $8,850,000 TO UNDER $8,950,000
    CATEGORY SSSS   $8,950,000 TO UNDER $9,050,000
    CATEGORY TTTT   $9,050,000 TO UNDER $9,150,000
    CATEGORY UUUU   $9,150,000 TO UNDER $9,250,000
    CATEGORY VVVV   $9,250,000 TO UNDER $9,350,000
    CATEGORY WWWW   $9,350,000 TO UNDER $9,450,000
    CATEGORY XXXX   $9,450,000 TO UNDER $9,550,000
    CATEGORY YYYY   $9,550,000 TO UNDER $9,650,000

S. 5679                            20

    CATEGORY ZZZZ   $9,650,000 TO UNDER $9,750,000
    CATEGORY AAAAA  $9,750,000 TO UNDER $9,850,000
    CATEGORY BBBBB  $9,850,000 TO UNDER $9,950,000
    CATEGORY CCCCC  $9,950,000 TO UNDER $10,000,000
    CATEGORY DDDDD  $10,000,000 OR OVER

                                  TABLE II
    CATEGORY A                NONE
    CATEGORY B    $        1 TO UNDER $    1,000
    CATEGORY C    $    1,000 TO UNDER $    5,000
    CATEGORY D    $    5,000 TO UNDER $   20,000
    CATEGORY E    $   20,000 TO UNDER $   50,000
    CATEGORY F    $   50,000 TO UNDER $   75,000
    CATEGORY G    $   75,000 TO UNDER $  100,000
    CATEGORY H    $  100,000 TO UNDER $  150,000
    CATEGORY I    $  150,000 TO UNDER $  250,000
    CATEGORY J    $  250,000 TO UNDER $  500,000
    CATEGORY K    $  500,000 TO UNDER $  750,000
    CATEGORY L    $  750,000 TO UNDER $1,000,000
    CATEGORY M    $1,000,000 TO UNDER $1,250,000
    CATEGORY N    $1,250,000 TO UNDER $1,500,000
    CATEGORY O    $1,500,000 TO UNDER $1,750,000
    CATEGORY P    $1,750,000 TO UNDER $2,000,000
    CATEGORY Q    $2,000,000 TO UNDER $2,250,000
    CATEGORY R    $2,250,000 TO UNDER $2,500,000
    CATEGORY S    $2,500,000 TO UNDER $2,750,000
    CATEGORY T    $2,750,000 TO UNDER $3,000,000
    CATEGORY U    $3,000,000 TO UNDER $3,250,000
    CATEGORY V    $3,250,000 TO UNDER $3,500,000
    CATEGORY W    $3,500,000 TO UNDER $3,750,000
    CATEGORY X    $3,750,000 TO UNDER $4,000,000
    CATEGORY Y    $4,000,000 TO UNDER $4,250,000
    CATEGORY Z    $4,250,000 TO UNDER $4,500,000
    CATEGORY AA   $4,500,000 TO UNDER $4,750,000
    CATEGORY BB   $4,750,000 TO UNDER $5,000,000
    CATEGORY CC   $5,000,000 TO UNDER $5,250,000
    CATEGORY DD   $5,250,000 TO UNDER $5,500,000
    CATEGORY EE   $5,500,000 TO UNDER $5,750,000
    CATEGORY FF   $5,750,000 TO UNDER $6,000,000
    CATEGORY GG   $6,000,000 TO UNDER $6,250,000
    CATEGORY HH   $6,250,000 TO UNDER $6,500,000
    CATEGORY II   $6,500,000 TO UNDER $6,750,000
    CATEGORY JJ   $6,750,000 TO UNDER $7,000,000
    CATEGORY KK   $7,000,000 TO UNDER $7,250,000
    CATEGORY LL   $7,250,000 TO UNDER $7,500,000
    CATEGORY MM   $7,500,000 TO UNDER $7,750,000
    CATEGORY NN   $7,750,000 TO UNDER $8,000,000
    CATEGORY OO   $8,000,000 TO UNDER $8,250,000
    CATEGORY PP   $8,250,000 TO UNDER $8,500,000
    CATEGORY QQ   $8,500,000 TO UNDER $8,750,000
    CATEGORY RR   $8,750,000 TO UNDER $9,000,000
    CATEGORY SS   $9,000,000 TO UNDER $9,250,000
    CATEGORY TT   $9,250,000 TO UNDER $9,500,000
    CATEGORY UU   $9,500,000 OR OVER
  4.  A reporting individual who knowingly and wilfully fails to file an
annual statement of financial disclosure or who knowingly  and  wilfully

S. 5679                            21

with  intent  to  deceive  makes  a false statement or gives information
which such individual knows to be false on such statement  of  financial
disclosure  filed  pursuant  to this section shall be subject to a civil
penalty in an amount not to exceed [ten] FORTY thousand dollars. Assess-
ment  of  a  civil  penalty hereunder shall be made by the [state] JOINT
COMMISSION ON PUBLIC ethics [commission] or by  the  legislative  ethics
[committee]  COMMISSION,  as  the  case  may be, with respect to persons
subject to their respective jurisdictions.  The [state] JOINT COMMISSION
ON PUBLIC ethics [commission] acting pursuant to subdivision  [thirteen]
FOURTEEN  of section ninety-four of the executive law or the legislative
ethics [committee] COMMISSION acting pursuant  to  subdivision  [twelve]
ELEVEN  of  section  eighty  of the legislative law, as the case may be,
may, in lieu of OR IN 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 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-
plinary action as otherwise provided by law. The [state]  JOINT  COMMIS-
SION  ON  PUBLIC ethics [commission] and the legislative ethics [commit-
tee] COMMISSION 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 author-
ized.  Such  rules,  which shall not be subject to the approval require-
ments 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 report-
ing individual in a  proceeding  commenced  against  the  [state]  JOINT
COMMISSION ON PUBLIC ethics [commission or legislative ethics committee]
OR  THE LEGISLATIVE ETHICS COMMISSION, pursuant to article seventy-eight
of the civil practice law and rules.
  5. Nothing contained in this section shall be construed as  precluding
any  public  authority or public benefit corporation from exercising any
authority or power now or hereafter  existing  to  require  any  of  its
members,  directors,  officers or employees to file financial disclosure
statements with such public authority or public benefit corporation that
are the same as, different from or supplemental to any of  the  require-
ments  contained  herein  and  to  provide  only for internal employment
discipline for any violation arising out of such internal filing.
  6. NOTWITHSTANDING ANY OTHER PROVISION  OF  LAW  OR  ANY  PROFESSIONAL
DISCIPLINARY RULE TO THE CONTRARY, THE DISCLOSURE OF THE IDENTITY OF ANY
CLIENT  OR  CUSTOMER  ON  A  REPORTING  INDIVIDUAL'S ANNUAL STATEMENT OF
FINANCIAL DISCLOSURE SHALL NOT CONSTITUTE PROFESSIONAL MISCONDUCT  OR  A
GROUND  FOR  DISCIPLINARY  ACTION OF ANY KIND, OR FORM THE BASIS FOR ANY
CIVIL OR CRIMINAL CAUSE OF ACTION OR PROCEEDING.
  S 6. Section 94 of the executive law, as added by chapter 813  of  the
laws  of  1987, the section heading and subdivisions 1, 2, 3, 4, 5, 6, 7
and 8 as amended by section 2, subdivisions 9, 10, 11, 12,  13,  14,  16
and 17 as amended and subdivisions 13-a, 16-a and 18 as added by section

S. 5679                            22

2-a,  paragraph  (l) of subdivision 9 as amended by section 3, paragraph
(c) of subdivision 12 as amended by section 4, subdivision 15 as amended
by section 5, and paragraphs (a) and (b) of subdivision 17 as amended by
section  6  of  chapter  14  of  the laws of 2007, is amended to read as
follows:
  S 94. [Commission] JOINT  COMMISSION  on  public  [integrity]  ETHICS;
functions, powers and duties; review of financial disclosure statements;
advisory opinions; investigation and enforcement.
  1. There is established within the department of state a JOINT commis-
sion  on  public  [integrity]  ETHICS  which shall consist of [thirteen]
FOURTEEN members and shall have and exercise the powers and  duties  set
forth   in  this  section  [only]  with  respect  to  statewide  elected
officials, MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF THE  LEGISLATURE,
and  state  officers and employees, as defined in sections seventy-three
and seventy-three-a of the public officers law, candidates for statewide
elected office AND FOR THE SENATE OR ASSEMBLY, and the  political  party
chairman  as  that  term  is  defined  in section seventy-three-a of the
public officers law, lobbyists and the  clients  of  lobbyists  as  such
terms  are defined in article one-A of the legislative law, and individ-
uals who have formerly held such positions, were lobbyists or clients of
lobbyists, as such terms are defined in article one-A of the legislative
law, or who have formerly been such candidates. This section  shall  not
[revoke  or  rescind]  BE  DEEMED TO HAVE REVOKED OR RESCINDED any regu-
lations or advisory opinions issued by THE  LEGISLATIVE  ETHICS  COMMIS-
SION,  THE  COMMISSION  ON PUBLIC INTEGRITY, the state ethics commission
and the temporary lobbying commission in effect upon the effective  date
of  [a] chapter FOURTEEN of the laws of two thousand seven which amended
this section to the extent that such regulations  or  opinions  are  not
inconsistent with any law of the state of New York, but such regulations
and opinions shall apply only to matters over which such commissions had
jurisdiction  at the time such regulations and opinions were promulgated
or issued. The commission shall undertake a comprehensive review of  all
such  regulations  and  opinions,  which will address the consistency of
such regulations and opinions among each other and with the new statuto-
ry language, AND OF THE EFFECTIVENESS OF THE EXISTING LAWS, REGULATIONS,
GUIDANCE AND ETHICS ENFORCEMENT  STRUCTURE  TO  ADDRESS  THE  ETHICS  OF
COVERED  PUBLIC  OFFICIALS  AND  RELATED PARTIES.   SUCH REVIEW SHALL BE
CONDUCTED WITH THE LEGISLATIVE ETHICS  COMMISSION  AND,  TO  THE  EXTENT
POSSIBLE,  THE REPORT'S FINDINGS SHALL REFLECT THE FULL INPUT AND DELIB-
ERATIONS OF BOTH COMMISSIONS AFTER JOINT  CONSULTATION.  The  commission
shall,  before  [April  first,  two  thousand eight] FEBRUARY FIRST, TWO
THOUSAND FIFTEEN, report to the governor and legislature regarding  such
review  and  shall propose any regulatory OR STATUTORY changes and issue
any advisory opinions necessitated by such review.
  2. The members of the commission shall be appointed [by  the  governor
provided,  however, that one member shall be appointed on the nomination
of the comptroller, one member shall be appointed on the  nomination  of
the  attorney  general,  one  member] AS FOLLOWS: THREE MEMBERS shall be
appointed [on the nomination of]  BY  the  temporary  president  of  the
senate, [one member] THREE MEMBERS shall be appointed [on the nomination
of]  BY  the  speaker of the assembly, one member shall be appointed [on
the nomination of] BY the minority  leader  of  the  senate,  [and]  one
member  shall be appointed [on the nomination of] BY the minority leader
of the assembly, AND SIX MEMBERS SHALL BE APPOINTED BY THE GOVERNOR  AND
THE  LIEUTENANT  GOVERNOR.    IN  THE  EVENT  THAT A VACANCY ARISES WITH
RESPECT TO A MEMBER OF THE COMMISSION FIRST APPOINTED  PURSUANT  TO  THE

S. 5679                            23

CHAPTER  OF  THE LAWS OF TWO THOUSAND ELEVEN WHICH AMENDED THIS SUBDIVI-
SION BY A LEGISLATIVE LEADER, THE LEGISLATIVE LEADERS OF THE SAME  POLI-
TICAL PARTY IN THE SAME HOUSE SHALL APPOINT A MEMBER TO FILL SUCH VACAN-
CY  IRRESPECTIVE OF WHETHER THAT LEGISLATIVE LEADER'S POLITICAL PARTY IS
IN THE MAJORITY OR MINORITY. Of the [seven]  members  appointed  by  the
governor  [without  prior  nomination,  no  more than four members shall
belong to the same political party and no members shall be public  offi-
cers  or  employees  or hold any public office, elected or appointed. No
member shall be a member of the legislature, a candidate for  member  of
the  legislature,  an  employee  of  the  legislature, a political party
chairman as defined in paragraph  (k)  of  subdivision  one  of  section
seventy-three  of  the  public officers law, or a lobbyist as defined in
subdivision (a) of section one-c of the legislative law] AND  THE  LIEU-
TENANT GOVERNOR, AT LEAST THREE MEMBERS SHALL BE AND SHALL HAVE BEEN FOR
AT  LEAST  THREE  YEARS ENROLLED MEMBERS OF THE MAJOR POLITICAL PARTY IN
WHICH THE GOVERNOR IS NOT ENROLLED.   IN THE EVENT OF  A  VACANCY  IN  A
POSITION  PREVIOUSLY  APPOINTED BY THE GOVERNOR AND LIEUTENANT GOVERNOR,
THE GOVERNOR AND LIEUTENANT GOVERNOR SHALL APPOINT A MEMBER OF THE  SAME
POLITICAL  PARTY  AS  THE  MEMBER THAT VACATED THAT POSITION.   PRIOR TO
MAKING THEIR RESPECTIVE APPOINTMENTS, THE GOVERNOR  AND  THE  LIEUTENANT
GOVERNOR AND THE LEGISLATIVE LEADERS SHALL SOLICIT AND RECEIVE RECOMMEN-
DATIONS  FOR APPOINTEES FROM THE ATTORNEY GENERAL AND THE COMPTROLLER OF
THE STATE OF NEW YORK, WHICH RECOMMENDATIONS SHALL BE FULLY AND PROPERLY
CONSIDERED BUT SHALL NOT BE BINDING.
  NO INDIVIDUAL SHALL BE ELIGIBLE FOR APPOINTMENT AS  A  MEMBER  OF  THE
COMMISSION WHO CURRENTLY OR WITHIN THE LAST THREE YEARS:
  (I) IS OR HAS BEEN REGISTERED AS A LOBBYIST IN NEW YORK STATE;
  (II)  IS  OR  HAS BEEN A MEMBER OF THE NEW YORK STATE LEGISLATURE OR A
STATEWIDE ELECTED OFFICIAL OR A  COMMISSIONER  OF  AN  EXECUTIVE  AGENCY
APPOINTED BY THE GOVERNOR; OR
  (III)  IS  OR HAS BEEN A POLITICAL PARTY CHAIRMAN, AS DEFINED IN PARA-
GRAPH (K) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE OF THIS ARTICLE.
  NO INDIVIDUAL SHALL BE ELIGIBLE FOR APPOINTMENT AS  A  MEMBER  OF  THE
COMMISSION  WHO CURRENTLY OR WITHIN THE LAST YEAR IS OR HAS BEEN A STATE
OFFICER OR EMPLOYEE OR LEGISLATIVE EMPLOYEE AS DEFINED IN SECTION SEVEN-
TY-THREE OF THE PUBLIC OFFICERS LAW.
  3. Members of the commission shall serve  for  terms  of  five  years;
provided,  however,  that  of the members first appointed [without prior
nomination] BY THE GOVERNOR AND LIEUTENANT GOVERNOR, one shall serve for
one year, one shall serve for two  years,  one  shall  serve  for  three
years,  and  one shall serve for four years, as designated by the gover-
nor; the members first appointed [on the nominations of the  comptroller
and]  BY the temporary president of the senate AND BY THE SPEAKER OF THE
ASSEMBLY shall serve for four years and the members first appointed  [on
the  nominations  of  the  attorney  general  and the speaker of] BY THE
MINORITY LEADERS OF THE SENATE AND the  assembly  shall  serve  for  two
years.
  4.  The  governor  shall designate the chairman of the commission from
among the members thereof, who shall serve as chairman at  the  pleasure
of  the  governor.  The  chairman  or  any  [seven] EIGHT members of the
commission may call a meeting.
  5. Any vacancy occurring on the  commission  shall  be  filled  within
[sixty]  THIRTY  days  of its occurrence[, by the governor,] in the same
manner as the member whose vacancy is  being  filled  was  appointed.  A
person appointed to fill a vacancy occurring other than by expiration of

S. 5679                            24

a term of office shall be appointed for the unexpired term of the member
he OR SHE succeeds.
  6.  [Seven] EIGHT 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  EXCEPT  WHERE  THE
COMMISSION ACTS PURSUANT TO SUBDIVISION THIRTEEN, SUBDIVISION FOURTEEN-A
OR SUBDIVISION FOURTEEN-B OF THIS SECTION.
  7. Members of the commission may be removed by the [governor] APPOINT-
ING  AUTHORITY  SOLELY for substantial neglect of duty, gross misconduct
in office, VIOLATION OF THE CONFIDENTIALITY RESTRICTIONS IN  SUBDIVISION
NINE-A  OF  THIS SECTION, inability to discharge the powers or duties of
office or violation of this section, after written notice  and  opportu-
nity for a reply.
  8.  [The  members of the commission shall not receive compensation but
shall be reimbursed for reasonable expenses incurred in the  performance
of  their  official  duties]  THE  MEMBERS OF THE JOINT COMMISSION SHALL
RECEIVE A PER DIEM ALLOWANCE IN THE SUM OF  THREE  HUNDRED  DOLLARS  FOR
EACH  DAY  ACTUALLY  SPENT IN THE PERFORMANCE OF HIS OR HER DUTIES UNDER
THIS ARTICLE, AND, IN ADDITION THERETO,  SHALL  BE  REIMBURSED  FOR  ALL
REASONABLE  EXPENSES  ACTUALLY AND NECESSARILY INCURRED BY HIM OR HER IN
THE PERFORMANCE OF HIS OR HER DUTIES UNDER THIS ARTICLE.
  9. The commission shall:
  (a) Appoint an executive director who shall act in accordance with the
policies of the commission.  THE APPOINTMENT AND REMOVAL OF  THE  EXECU-
TIVE  DIRECTOR  SHALL  BE  MADE  SOLELY  BY  A VOTE OF A MAJORITY OF THE
COMMISSION, WHICH MAJORITY SHALL INCLUDE AT LEAST ONE  MEMBER  APPOINTED
BY  THE  GOVERNOR  FROM EACH OF THE TWO MAJOR POLITICAL PARTIES, AND ONE
MEMBER APPOINTED BY A LEGISLATIVE LEADER FROM  EACH  OF  THE  TWO  MAJOR
POLITICAL  PARTIES.  The commission may delegate authority to the execu-
tive 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, AND THE COMMISSION SHALL NOT
DELEGATE ANY DECISIONS SPECIFIED IN THIS SECTION THAT REQUIRE A VOTE  OF
THE  COMMISSION.    THE  EXECUTIVE  DIRECTOR  SHALL BE APPOINTED WITHOUT
REGARD TO POLITICAL AFFILIATION AND SOLELY ON THE BASIS  OF  FITNESS  TO
PERFORM  THE  DUTIES ASSIGNED BY THIS ARTICLE, AND SHALL BE A QUALIFIED,
INDEPENDENT PROFESSIONAL.   THE  COMMISSION  MAY  REMOVE  THE  EXECUTIVE
DIRECTOR  FOR  NEGLECT  OF  DUTY, MISCONDUCT IN OFFICE, VIOLATION OF THE
CONFIDENTIALITY RESTRICTIONS IN SUBDIVISION NINE-A OF THIS  SECTION,  OR
INABILITY  OR  FAILURE  TO  DISCHARGE  THE  POWERS  OR DUTIES OF OFFICE,
INCLUDING THE FAILURE TO FOLLOW THE LAWFUL INSTRUCTIONS OF  THE  COMMIS-
SION;
  (b)  Appoint such other staff as are necessary to carry out its duties
under this section;
  (B-1) REVIEW AND APPROVE A STAFFING PLAN PROVIDED AND PREPARED BY  THE
EXECUTIVE  DIRECTOR  WHICH  SHALL  CONTAIN,  AT A MINIMUM, A LIST OF THE
VARIOUS UNITS AND DIVISIONS AS WELL AS THE NUMBER OF POSITIONS  IN  EACH
UNIT,  TITLES  AND  THEIR  DUTIES,  AND SALARIES, AS WELL AS THE VARIOUS
QUALIFICATIONS FOR EACH POSITION INCLUDING, BUT NOT LIMITED  TO,  EDUCA-
TION AND PRIOR EXPERIENCE FOR EACH POSITION.
  (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, OTHER THAN MEMBERS OF
THE LEGISLATURE, CANDIDATES FOR MEMBERS OF THE LEGISLATURE AND  LEGISLA-

S. 5679                            25

TIVE  EMPLOYEES,  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;
  (D-1)  ADOPT,  AMEND  AND  RESCIND  RULES AND REGULATIONS DEFINING THE
PERMISSIBLE USE OF AND  PROMOTING  THE  PROPER  USE  OF  PUBLIC  SERVICE
ANNOUNCEMENTS;
  (e) Make available forms for annual statements of financial disclosure
required  to  be filed pursuant to section seventy-three-a of the public
officers law;
  (f) Review financial disclosure  statements  in  accordance  with  the
provisions  of  this  section, provided however, that the commission may
delegate all or part of this review function to the  executive  director
who  shall be responsible for completing staff review of such statements
in a manner consistent with the terms of the commission's delegation;
  (g) Receive complaints and referrals alleging  violations  of  section
seventy-three,  seventy-three-a  or  seventy-four of the public officers
law, article one-A of the legislative law or section one  hundred  seven
of the civil service law;
  (h)  Permit any person [subject to the jurisdiction of the commission]
who is required to file a financial disclosure statement WITH THE  JOINT
COMMISSION  ON  PUBLIC ETHICS to request THAT 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 other-
wise 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 determination  pursuant  to  its  rules
governing  adjudicatory  proceedings  and  appeals  adopted  pursuant to
subdivision [thirteen] FOURTEEN of this section;
  (i) Permit any person [subject to the jurisdiction of the  commission]
who  is required to file a financial disclosure statement WITH THE JOINT
COMMISSION ON PUBLIC ETHICS to request an exemption from any requirement
to report one or  more  items  of  information  which  pertain  to  such
person's  spouse  or  unemancipated  children which item or items may be
exempted by the commission upon a finding 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 notification of denial,
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] FOURTEEN of  this
section;
  (I-1) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO REQUEST AN EXEMPTION FROM ANY REQUIREMENT TO REPORT THE IDENTITY
OF  A  CLIENT  PURSUANT TO QUESTION 8(B) IN SUCH STATEMENT BASED UPON AN
EXEMPTION SET FORTH IN THAT QUESTION. THE REPORTING INDIVIDUAL NEED  NOT

S. 5679                            26

SEEK  AN EXEMPTION TO REFRAIN FROM DISCLOSING THE IDENTITY OF ANY CLIENT
WITH RESPECT TO ANY MATTER HE OR SHE OR HIS OR HER FIRM  PROVIDED  LEGAL
REPRESENTATION  TO  THE  CLIENT  IN  CONNECTION WITH AN INVESTIGATION OR
PROSECUTION  BY  LAW  ENFORCEMENT  AUTHORITIES,  BANKRUPTCY, OR DOMESTIC
RELATIONS MATTERS; IN ADDITION, CLIENTS OR CUSTOMERS  RECEIVING  MEDICAL
OR  DENTAL  SERVICES,  MENTAL  HEALTH  SERVICES, RESIDENTIAL REAL ESTATE
BROKERING  SERVICES,  OR  INSURANCE  BROKERING  SERVICES  NEED  NOT   BE
DISCLOSED.
  (j) Advise and assist any state agency in establishing rules and regu-
lations  relating  to  possible  conflicts between private interests and
official duties of present or former  statewide  elected  officials  and
state officers and employees;
  (k)  Permit  any  person  who  has  not  been determined by his or her
appointing authority to hold a policy-making position but who is  other-
wise  required  to  file  a financial disclosure statement to request an
exemption from such requirement in accordance with rules and regulations
governing such exemptions. Such rules and regulations shall provide  for
exemptions  to  be granted either on the application of an individual or
on behalf of persons who share the same job title or employment  classi-
fication  which  the  commission  deems to be comparable for purposes of
this section. Such rules and regulations may permit the granting  of  an
exemption  where, in the discretion of the commission, the public inter-
est does not require  disclosure  and  the  applicant's  duties  do  not
involve the negotiation, authorization or approval of:
  (i)  contracts,  leases,  franchises, revocable consents, concessions,
variances, special permits, or licenses as defined in  section  seventy-
three of the public officers law;
  (ii)  the  purchase,  sale, rental or lease of real property, goods or
services, or a contract therefor;
  (iii) the obtaining of grants of money or loans; or
  (iv) the adoption or repeal of any rule or regulation having the force
and effect of law;
  (l) Prepare an annual report to the governor and legislature summariz-
ing the activities of the commission during the previous year and recom-
mending any changes in the laws governing the conduct of persons subject
to the jurisdiction of the commission, or  the  rules,  regulations  and
procedures   governing  the  commission's  conduct.  Such  report  shall
include: (i) a listing by assigned number of each complaint and referral
received which alleged a possible  violation  within  its  jurisdiction,
including  the current status of each complaint, and (ii) where a matter
has been resolved, the date and nature of the disposition and any  sanc-
tion  imposed,  subject  to  the  confidentiality  requirements  of this
section, provided, however, that such annual report  shall  not  contain
any information for which disclosure is not permitted pursuant to subdi-
vision [seventeen] NINETEEN of this section; [and]
  (m)  Determine  a  question  common  to a class or defined category of
persons or items of information required to be disclosed, where determi-
nation of the question will prevent undue  repetition  of  requests  for
exemption  or  deletion  or prevent undue complication in complying with
the requirements of such section[.]; AND
  (N) PROMULGATE GUIDELINES FOR THE COMMISSION TO CONDUCT A  PROGRAM  OF
RANDOM  REVIEWS,  TO BE CARRIED OUT IN THE FOLLOWING MANNER:  (I) ANNUAL
STATEMENTS OF FINANCIAL DISCLOSURE SHALL BE SELECTED  FOR  REVIEW  IN  A
MANNER  PURSUANT  TO  WHICH  THE IDENTITY OF ANY PARTICULAR PERSON WHOSE
STATEMENT IS SELECTED IS UNKNOWN TO THE COMMISSION AND ITS  STAFF  PRIOR
TO  ITS SELECTION; (II) SUCH REVIEW SHALL INCLUDE A PRELIMINARY EXAMINA-

S. 5679                            27

TION OF THE SELECTED STATEMENT FOR INTERNAL  CONSISTENCY,  A  COMPARISON
WITH  OTHER  RECORDS  MAINTAINED BY THE COMMISSION, INCLUDING PREVIOUSLY
FILED STATEMENTS AND REQUESTS FOR ADVISORY OPINIONS, AND EXAMINATION  OF
RELEVANT  PUBLIC  INFORMATION;  (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  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 TAKE ADDITIONAL
ACTIONS, AS APPROPRIATE AND CONSISTENT WITH LAW.
  9-A. (A) WHEN AN INDIVIDUAL BECOMES A COMMISSIONER  OR  STAFF  OF  THE
COMMISSION,  THAT  INDIVIDUAL SHALL BE REQUIRED TO SIGN A NON-DISCLOSURE
STATEMENT.
  (B) EXCEPT  AS  OTHERWISE  REQUIRED  OR  PROVIDED  BY  LAW,  TESTIMONY
RECEIVED OR ANY OTHER INFORMATION OBTAINED BY A COMMISSIONER OR STAFF OF
THE  COMMISSION  SHALL  NOT  BE  DISCLOSED BY ANY SUCH INDIVIDUAL TO ANY
PERSON OR ENTITY OUTSIDE THE  COMMISSION  DURING  THE  PENDENCY  OF  ANY
MATTER.   ANY CONFIDENTIAL COMMUNICATION TO ANY PERSON OR ENTITY OUTSIDE
THE COMMISSION RELATED TO THE MATTERS BEFORE THE  COMMISSION  MAY  OCCUR
ONLY AS AUTHORIZED BY THE COMMISSION.
  (C) THE COMMISSION SHALL ESTABLISH PROCEDURES NECESSARY TO PREVENT THE
UNAUTHORIZED DISCLOSURE OF ANY INFORMATION RECEIVED BY ANY MEMBER OF THE
COMMISSION  OR STAFF OF THE COMMISSION.  ANY BREACHES OF CONFIDENTIALITY
SHALL BE INVESTIGATED BY THE INSPECTOR GENERAL  AND  APPROPRIATE  ACTION
SHALL  BE  TAKEN.  ANY COMMISSIONER OR PERSON EMPLOYED BY THE COMMISSION
WHO INTENTIONALLY AND WITHOUT AUTHORIZATION RELEASES CONFIDENTIAL INFOR-
MATION RECEIVED BY THE COMMISSION SHALL BE GUILTY OF A CLASS A MISDEMEA-
NOR.
  9-B. DURING THE PERIOD OF HIS OR HER SERVICE AS A COMMISSIONER OF  THE
COMMISSION,  EACH  COMMISSIONER SHALL REFRAIN FROM MAKING, OR SOLICITING
FROM OTHER PERSONS, ANY CONTRIBUTIONS TO CANDIDATES FOR ELECTION TO  THE
OFFICES  OF GOVERNOR, LIEUTENANT GOVERNOR, MEMBER OF THE ASSEMBLY OR THE
SENATE, ATTORNEY GENERAL OR STATE COMPTROLLER.
  10.  THE COMMISSION SHALL PREPARE MATERIALS AND DESIGN AND  ADMINISTER
AN  ETHICS  TRAINING  PROGRAM  FOR  INDIVIDUALS SUBJECT TO THE FINANCIAL
DISCLOSURE REQUIREMENTS OF SECTION SEVENTY-THREE-A OF THE  PUBLIC  OFFI-
CERS  LAW  WITH  RESPECT  TO  THE  PROVISIONS OF SECTIONS SEVENTY-THREE,
SEVENTY-THREE-A, AND SEVENTY-FOUR OF THE PUBLIC  OFFICERS  LAW  AND  ANY
OTHER  LAW,  ADMINISTRATIVE  REGULATION,  OR  INTERNAL POLICY THAT IS OF
RELEVANCE TO THE ETHICAL CONDUCT OF SUCH INDIVIDUALS IN PUBLIC  SERVICE,
AS FOLLOWS:
  (A) THE COMMISSION SHALL DEVELOP AND ADMINISTER A COMPREHENSIVE ETHICS
TRAINING  COURSE  AND  SHALL  DESIGNATE AND TRAIN INSTRUCTORS TO CONDUCT
SUCH TRAINING. SUCH COURSE SHALL BE DESIGNED AS A TWO-HOUR  PROGRAM  AND
SHALL  INCLUDE PRACTICAL APPLICATION OF THE MATERIAL COVERED AND A QUES-
TION-AND-ANSWER PARTICIPATORY SEGMENT. UNLESS THE COMMISSION  GRANTS  AN
EXTENSION OR WAIVER FOR GOOD CAUSE SHOWN, ALL INDIVIDUALS SUBJECT TO THE
FINANCIAL  DISCLOSURE  REQUIREMENTS  OF  SECTION  SEVENTY-THREE-A OF THE
PUBLIC OFFICERS LAW SHALL COMPLETE SUCH COURSE WITHIN TWO YEARS  OF  THE
EFFECTIVE  DATE  OF THE CHAPTER OF THE LAWS OF TWO THOUSAND ELEVEN WHICH
AMENDED THIS SECTION, OR FOR  THOSE  INDIVIDUALS  ELECTED  OR  APPOINTED
AFTER  THE  EFFECTIVE  DATE  OF  THE CHAPTER OF THE LAWS OF TWO THOUSAND
ELEVEN WHICH AMENDED THIS SECTION, WITHIN TWO YEARS OF BECOMING  SUBJECT

S. 5679                            28

TO  THE  FINANCIAL DISCLOSURE REQUIREMENTS OF SECTION SEVENTY-THREE-A OF
THE PUBLIC OFFICERS LAW.
  (B)  THE  COMMISSION  SHALL  DEVELOP  AND  ADMINISTER AN ONLINE ETHICS
ORIENTATION COURSE AND SHALL NOTIFY ALL INDIVIDUALS NEWLY SUBJECT TO THE
FINANCIAL DISCLOSURE REQUIREMENTS  OF  SECTION  SEVENTY-THREE-A  OF  THE
PUBLIC  OFFICERS  LAW  OF  SUCH COURSE, WHICH SHALL BE COMPLETED BY SUCH
INDIVIDUALS WITHIN THREE MONTHS OF BECOMING  SUBJECT  TO  SUCH  REQUIRE-
MENTS,  UNLESS  THE  COMMISSION  GRANTS  AN EXTENSION OR WAIVER FOR GOOD
CAUSE SHOWN. INDIVIDUALS WHO HAVE  COMPLETED  THE  COMPREHENSIVE  ETHICS
TRAINING  COURSE  SHALL  NOT  BE  REQUIRED TO COMPLETE THE ONLINE ETHICS
ORIENTATION COURSE.
  (C) THE COMMISSION SHALL DEVELOP AND ADMINISTER AN ETHICS  SEMINAR  OR
ETHICS  SEMINARS  FOR  INDIVIDUALS  WHO  HAVE  PREVIOUSLY  COMPLETED THE
COMPREHENSIVE ETHICS TRAINING COURSE. SUCH SEMINARS SHALL BE DESIGNED AS
NINETY-MINUTE PROGRAMS AND SHALL INCLUDE ANY CHANGES IN LAW, REGULATION,
OR POLICY OR IN THE INTERPRETATION THEREOF, PRACTICAL APPLICATION OF THE
MATERIAL COVERED, AND A QUESTION-AND-ANSWER SEGMENT. UNLESS THE  COMMIS-
SION  GRANTS  AN EXTENSION OR WAIVER FOR GOOD CAUSE SHOWN, SUCH INDIVID-
UALS SHALL BE SCHEDULED TO ATTEND A SEMINAR AT LEAST  ONCE  EVERY  THREE
YEARS  AFTER  HAVING COMPLETED THE COMPREHENSIVE ETHICS TRAINING COURSE.
IN LIEU OF ATTENDING AN ETHICS SEMINAR, SUCH INDIVIDUALS MAY COMPLETE  A
SUBSEQUENT COMPREHENSIVE ETHICS TRAINING PROGRAM.
  (D)  THE  PROVISIONS  OF  THIS  SUBDIVISION SHALL BE APPLICABLE TO THE
LEGISLATURE EXCEPT TO THE EXTENT THAT  AN  ETHICS  TRAINING  PROGRAM  IS
OTHERWISE  ESTABLISHED  BY  THE  ASSEMBLY OR SENATE FOR THEIR RESPECTIVE
MEMBERS AND EMPLOYEES AND SUCH PROGRAM MEETS  OR  EXCEEDS  EACH  OF  THE
REQUIREMENTS SET FORTH IN THIS SECTION.
  (E)  ON AN ANNUAL BASIS, THE JOINT COMMISSION IN COORDINATION WITH THE
LEGISLATIVE ETHICS COMMISSION SHALL DETERMINE THE STATUS  OF  COMPLIANCE
WITH  THESE TRAINING REQUIREMENTS BY EACH STATE AGENCY AND BY THE SENATE
AND THE ASSEMBLY. SUCH DETERMINATION SHALL INCLUDE AGGREGATE  STATISTICS
REGARDING  PARTICIPATION  IN SUCH TRAINING, AND SHALL BE REPORTED TO THE
GOVERNOR AND THE LEGISLATURE IN WRITING.
  11. The commission, or the executive director and staff of the commis-
sion if responsibility therefor has been delegated,  shall  inspect  all
financial  disclosure  statements filed with the commission to ascertain
whether any person subject to  the  reporting  requirements  of  section
seventy-three-a  of  the  public  officers law has failed to file such a
statement, has filed a deficient statement  or  has  filed  a  statement
which  reveals  a  possible violation of section seventy-three, seventy-
three-a or seventy-four of the public officers law.
  [11.] 12. If a person required to file a financial  disclosure  state-
ment  with  the  commission has failed to file a disclosure statement or
has filed a deficient statement, the commission shall notify the report-
ing person in writing, state the failure to file or detail the deficien-
cy, provide the person with a fifteen day period to cure the deficiency,
and advise the person of the penalties for failure to  comply  with  the
reporting requirements. Such notice shall be confidential. If the person
fails  to  make  such  filing or fails to cure the deficiency within the
specified time period, the commission shall send a notice of  delinquen-
cy:  (a) to the reporting person; (b) in the case of a statewide elected
official, MEMBER OF THE LEGISLATURE, OR A LEGISLATIVE EMPLOYEE,  to  the
temporary  president  of the senate and the speaker of the assembly; and
(c) in the case of a  state  officer  or  employee,  to  the  appointing
authority for such person. Such notice of delinquency may be sent at any
time  during the reporting person's service as a statewide elected offi-

S. 5679                            29

cial, state officer or employee, MEMBER OF THE ASSEMBLY OR  THE  SENATE,
OR  A  LEGISLATIVE EMPLOYEE OR A political party chair or while a candi-
date for statewide office, or within one year after termination of  such
service  or  candidacy.  The jurisdiction of the commission, when acting
pursuant to subdivision [thirteen] FOURTEEN of this section with respect
to financial disclosure, shall continue notwithstanding that the report-
ing person separates from state service, or ceases  to  hold  PUBLIC  OR
POLITICAL  PARTY  office  [as  a statewide elected official or political
party chair], or ceases to be a candidate, provided the commission noti-
fies such person of the alleged failure  to  file  or  deficient  filing
pursuant to this subdivision.
  [12.]  13.  (a)  INVESTIGATIONS.  If  the  commission receives a sworn
complaint   alleging   a    violation    of    section    seventy-three,
seventy-three-a, or seventy-four of the public officers law, section one
hundred  seven of the civil service law or article one-A of the legisla-
tive law by a person or  entity  subject  to  the  jurisdiction  of  the
commission  INCLUDING MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOY-
EES AND CANDIDATES FOR MEMBER OF THE  LEGISLATURE,  or  if  a  reporting
individual  has  filed a statement which reveals a possible violation of
these provisions, or if the commission determines on its own  initiative
to  investigate  a  possible  violation, the commission shall notify the
individual in writing, describe the possible  or  alleged  violation  of
such  laws  and provide the person with a fifteen day period in which to
submit a written response setting  forth  information  relating  to  the
activities  cited  as  a  possible  or alleged violation of law. [If the
commission thereafter makes a  determination  that  further  inquiry  is
justified, it shall give the individual an opportunity to be heard.] THE
COMMISSION SHALL, WITHIN FORTY-FIVE CALENDAR DAYS AFTER A COMPLAINT OR A
REFERRAL  IS  RECEIVED  OR  AN INVESTIGATION IS INITIATED ON THE COMMIS-
SION'S OWN INITIATIVE, VOTE ON WHETHER TO COMMENCE A FULL  INVESTIGATION
OF  THE  MATTER  UNDER  CONSIDERATION TO DETERMINE WHETHER A SUBSTANTIAL
BASIS EXISTS TO CONCLUDE THAT A VIOLATION OF  LAW  HAS  OCCURRED.    THE
STAFF OF THE JOINT COMMISSION SHALL PROVIDE TO THE MEMBERS PRIOR TO SUCH
VOTE  INFORMATION REGARDING THE LIKELY SCOPE AND CONTENT OF THE INVESTI-
GATION, AND A SUBPOENA PLAN, TO THE EXTENT SUCH  INFORMATION  IS  AVAIL-
ABLE.    SUCH INVESTIGATION SHALL BE CONDUCTED IF AT LEAST EIGHT MEMBERS
OF THE COMMISSION VOTE TO AUTHORIZE IT.    WHERE  THE  SUBJECT  OF  SUCH
INVESTIGATION  IS  A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE
OR A CANDIDATE FOR MEMBER OF THE LEGISLATURE, AT LEAST TWO OF THE  EIGHT
OR MORE MEMBERS WHO SO VOTE TO AUTHORIZE SUCH AN INVESTIGATION MUST HAVE
BEEN  APPOINTED  BY A LEGISLATIVE LEADER OR LEADERS FROM THE MAJOR POLI-
TICAL PARTY IN WHICH  THE  SUBJECT  OF  THE  PROPOSED  INVESTIGATION  IS
ENROLLED  IF  SUCH PERSON IS ENROLLED IN A MAJOR POLITICAL PARTY.  WHERE
THE SUBJECT OF SUCH INVESTIGATION IS A STATE OFFICER OR STATE  EMPLOYEE,
AT  LEAST TWO OF THE EIGHT OR MORE MEMBERS WHO SO VOTE TO AUTHORIZE SUCH
AN INVESTIGATION MUST HAVE BEEN APPOINTED BY THE GOVERNOR AND LIEUTENANT
GOVERNOR. WHERE THE SUBJECT OF SUCH INVESTIGATION IS A STATEWIDE ELECTED
OFFICIAL OR A DIRECT APPOINTEE OF SUCH AN OFFICIAL, AT LEAST TWO OF  THE
EIGHT  OR  MORE  MEMBERS  WHO SO VOTE TO AUTHORIZE SUCH AN INVESTIGATION
MUST HAVE BEEN APPOINTED BY THE GOVERNOR AND LIEUTENANT GOVERNOR AND  BE
ENROLLED  IN  THE  MAJOR  POLITICAL  PARTY  IN  WHICH THE SUBJECT OF THE
PROPOSED INVESTIGATION IS ENROLLED, IF SUCH  PERSON  IS  ENROLLED  IN  A
MAJOR POLITICAL PARTY.
  (B)  SUBSTANTIAL BASIS INVESTIGATION. UPON THE AFFIRMATIVE VOTE OF NOT
LESS THAN EIGHT COMMISSION  MEMBERS  TO  COMMENCE  A  SUBSTANTIAL  BASIS
INVESTIGATION,  WRITTEN  NOTICE  OF  THE  COMMISSION'S DECISION SHALL BE

S. 5679                            30

PROVIDED TO THE INDIVIDUAL WHO IS THE SUBJECT OF SUCH SUBSTANTIAL  BASIS
INVESTIGATION.  SUCH  WRITTEN NOTICE SHALL INCLUDE A COPY OF THE COMMIS-
SION'S RULES AND PROCEDURES AND SHALL ALSO INCLUDE NOTIFICATION OF  SUCH
INDIVIDUAL'S  RIGHT  TO BE HEARD WITHIN THIRTY CALENDAR DAYS OF THE DATE
OF THE COMMISSION'S WRITTEN NOTICE. The commission shall also inform the
individual  of  its  rules  regarding  the   conduct   of   adjudicatory
proceedings  and appeals and the other due process procedural mechanisms
available to such individual. If the commission determines at any  stage
[of  the  proceeding,]  that there is no violation or that any potential
conflict of interest violation has been rectified, it  shall  so  advise
the  individual  and  the  complainant,  if  any.  All  of the foregoing
proceedings shall be confidential.
  [(b) If the commission determines that there is  reasonable  cause  to
believe that a violation has occurred, it shall send a notice of reason-
able cause: (i) to the reporting person; (ii) to the complainant if any;
(iii)  in  the  case  of  a statewide elected official, to the temporary
president of the senate and the speaker of the assembly; and (iv) in the
case of a state officer or employee, to  the  appointing  authority  for
such person.]
  (c)  The  jurisdiction  of the commission when acting pursuant to this
section shall continue notwithstanding that a statewide elected official
or a state officer or employee OR MEMBER OF THE LEGISLATURE OR  LEGISLA-
TIVE  EMPLOYEE  separates from state service, or a political party chair
ceases to hold such office, or a candidate ceases to be a candidate,  or
a  lobbyist or client of a lobbyist ceases to act as such, provided that
the commission  notifies  such  individual  or  entity  of  the  alleged
violation  of  law  pursuant to paragraph (a) of this subdivision within
one year from his or her separation from state service  or  his  or  her
termination  of party service or candidacy, or from his, her or its last
report filed pursuant to article one-A of the legislative  law.  Nothing
in  this section shall serve to limit the jurisdiction of the commission
in enforcement of subdivision eight  of  section  seventy-three  of  the
public officers law.
  [13.]  14. An individual subject to the jurisdiction of the commission
who knowingly and intentionally violates the provisions of  subdivisions
two  through  [five]  FIVE-A,  seven,  eight, twelve or fourteen through
seventeen of section seventy-three of the public officers  law,  section
one  hundred  seven  of the civil service law, or a reporting individual
who knowingly and wilfully fails to file an annual statement  of  finan-
cial  disclosure  or  who  knowingly and wilfully with intent to deceive
makes a false statement or  fraudulent  omission  or  gives  information
which  such  individual knows to be false on such statement of financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers law shall be subject to a civil penalty in an amount not to  exceed
forty  thousand dollars and the value of any gift, compensation or bene-
fit received as a result of such violation. An individual who  knowingly
and intentionally violates the provisions of paragraph A, b, c, d, E, G,
or i of subdivision three of section seventy-four of the public officers
law  shall  be subject to a civil penalty in an amount not to exceed ten
thousand dollars and the value of  any  gift,  compensation  or  benefit
received as a result of such violation. [An individual who knowingly and
intentionally violates the provisions of paragraph a, e or g of subdivi-
sion  three  of section seventy-four of the public officers law shall be
subject to a civil penalty in an amount not to exceed the value  of  any
gift,  compensation  or benefit received as a result of such violation.]
An individual subject to the jurisdiction of the commission who knowing-

S. 5679                            31

ly and willfully violates article one-A of the legislative law shall  be
subject  to civil penalty as provided for in that article.  [Assessment]
EXCEPT WITH RESPECT  TO  MEMBERS  OF  THE  LEGISLATURE  AND  LEGISLATIVE
EMPLOYEES,  ASSESSMENT of a civil penalty hereunder shall be made by the
commission with respect to persons subject to its  jurisdiction.    WITH
RESPECT  TO  A  VIOLATION  OF ANY LAW OTHER THAN SECTIONS SEVENTY-THREE,
SEVENTY-THREE-A, AND SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, WHERE  THE
COMMISSION  FINDS  SUFFICIENT CAUSE BY A VOTE HELD IN THE SAME MANNER AS
SET FORTH IN PARAGRAPH (B) OF SUBDIVISION THIRTEEN OF THIS  SECTION,  IT
SHALL REFER SUCH MATTER TO THE APPROPRIATE PROSECUTOR FOR FURTHER INVES-
TIGATION.  In assessing the amount of the civil penalties to be imposed,
the commission shall consider the  seriousness  of  the  violation,  the
amount  of  gain to the individual and whether the individual previously
had any civil or criminal penalties imposed pursuant  to  this  section,
and  any  other  factors  the commission deems appropriate. [For] EXCEPT
WITH RESPECT TO MEMBERS OF THE LEGISLATURE  AND  LEGISLATIVE  EMPLOYEES,
FOR  a  violation  of  this  subdivision,  other  than for conduct which
constitutes a violation of  section  one  hundred  seven  of  the  civil
service  law,  subdivisions  twelve  or  fourteen  through  seventeen of
section seventy-three or section seventy-four of the public officers law
or article one-A of the legislative law, the commission [may, in lieu of
a civil penalty,] MAY, IN LIEU OF OR IN 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 imposed for a failure to file, or for a false filing, of
such  statement,  or  a violation of SUBDIVISION SIX OF section seventy-
three of the public officers law, except that the  appointing  authority
may impose disciplinary action as otherwise provided by law. The commis-
sion may refer violations of this subdivision to the appointing authori-
ty  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) of subdivision nine of this
section. Such rules, which shall not be subject to the approval require-
ments 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. Assessment of a
civil penalty or commission denial of such  a  request  shall  be  final
unless  modified, suspended or vacated within thirty days of imposition,
with respect to the assessment of such penalty, or unless such denial of
request is reversed within such time period,  and  upon  becoming  final
shall  be  subject  to  review at the instance of the affected reporting
individuals in a proceeding commenced against the  commission,  pursuant
to article seventy-eight of the civil practice law and rules.
  [13-a.  If  the  commission has a reasonable basis to believe that any
person subject to the jurisdiction of the legislative ethics  commission

S. 5679                            32

may  have  violated  any provisions of section seventy-three or seventy-
four of the public officers law, it shall refer such  violation  to  the
legislative ethics commission unless the commission determines that such
a  referral  would  compromise the prosecution or confidentiality of its
investigations and, if so, shall make such a referral as soon as practi-
cable. The referral by the commission to the legislative ethics  commis-
sion  shall  include  any  information  relating thereto coming into the
custody or under the control of the commission  at  any  time  prior  or
subsequent to the time of the referral.
  14.]  14-A. THE JOINT COMMISSION ON PUBLIC ETHICS SHALL HAVE JURISDIC-
TION TO INVESTIGATE, BUT SHALL HAVE NO JURISDICTION TO IMPOSE  PENALTIES
UPON  MEMBERS OF OR CANDIDATES FOR MEMBER OF THE LEGISLATURE OR LEGISLA-
TIVE EMPLOYEES FOR ANY VIOLATION OF THE PUBLIC OFFICERS LAW.  IF,  AFTER
ITS  SUBSTANTIAL  BASIS  INVESTIGATION,  BY  A  VOTE  OF  AT LEAST EIGHT
MEMBERS, TWO OF WHOM ARE ENROLLED MEMBERS OF THE  INVESTIGATED  INDIVID-
UAL'S POLITICAL PARTY IF THE INDIVIDUAL IS ENROLLED IN A MAJOR POLITICAL
PARTY  AND  WERE  APPOINTED  BY  A  LEGISLATIVE LEADER OF SUCH POLITICAL
PARTY, THE JOINT COMMISSION ON PUBLIC ETHICS  HAS  FOUND  A  SUBSTANTIAL
BASIS  TO  CONCLUDE  THAT  A  MEMBER OF THE LEGISLATURE OR A LEGISLATIVE
EMPLOYEE OR CANDIDATE FOR MEMBER OF THE  LEGISLATURE  HAS  VIOLATED  ANY
PROVISIONS OF SUCH LAWS, IT SHALL PRESENT A WRITTEN REPORT TO THE LEGIS-
LATIVE  ETHICS COMMISSION, AND DELIVER A COPY OF THE REPORT TO THE INDI-
VIDUAL WHO IS THE SUBJECT OF  THE  REPORT.  SUCH  WRITTEN  REPORT  SHALL
INCLUDE:
  (A)  THE  COMMISSION'S  FINDINGS OF FACT AND ANY EVIDENCE ADDRESSED IN
SUCH FINDINGS; CONCLUSIONS OF LAW AND CITATIONS  TO  ANY  RELEVANT  LAW,
RULE,  OPINION,  REGULATION OR STANDARD OF CONDUCT UPON WHICH IT RELIED;
AND
  (B) A DETERMINATION THAT A SUBSTANTIAL BASIS EXISTS TO CONCLUDE THAT A
VIOLATION HAS OCCURRED, AND THE REASONS  AND  BASIS  FOR  SUCH  DETERMI-
NATION.
  THE  JOINT COMMISSION SHALL ALSO SEPARATELY PROVIDE TO THE LEGISLATIVE
ETHICS COMMISSION COPIES  OF  ADDITIONAL  DOCUMENTS  OR  OTHER  EVIDENCE
CONSIDERED INCLUDING EVIDENCE THAT MAY CONTRADICT THE JOINT COMMISSION'S
FINDINGS,  THE  NAMES  OF AND OTHER INFORMATION REGARDING ANY ADDITIONAL
WITNESSES, AND ANY OTHER MATERIALS. WITH RESPECT TO A VIOLATION  OF  ANY
LAW OTHER THAN SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
OF  THE PUBLIC OFFICERS LAW, WHERE THE JOINT COMMISSION FINDS SUFFICIENT
CAUSE BY A VOTE HELD IN THE SAME MANNER AS SET FORTH IN PARAGRAPH (B) OF
SUBDIVISION THIRTEEN OF THIS SECTION, IT SHALL REFER SUCH MATTER TO  THE
APPROPRIATE PROSECUTOR.
  14-B. WITH RESPECT TO THE INVESTIGATION OF ANY INDIVIDUAL WHO IS NOT A
MEMBER  OF  THE  LEGISLATURE  OR A LEGISLATIVE EMPLOYEE OR CANDIDATE FOR
MEMBER OF THE LEGISLATURE, IF AFTER ITS INVESTIGATION THE JOINT  COMMIS-
SION  HAS  FOUND A SUBSTANTIAL BASIS TO CONCLUDE THAT THE INDIVIDUAL HAS
VIOLATED THE PUBLIC OFFICERS LAW  OR  THE  LEGISLATIVE  LAW,  THE  JOINT
COMMISSION  SHALL SEND A SUBSTANTIAL BASIS INVESTIGATION REPORT CONTAIN-
ING ITS FINDINGS OF FACT AND CONCLUSIONS OF LAW TO THE INDIVIDUAL.  WITH
RESPECT TO AN INDIVIDUAL WHO IS A STATEWIDE ELECTED OFFICIAL OR A DIRECT
APPOINTEE OF SUCH AN OFFICIAL, NO VIOLATION  MAY  BE  FOUND  UNLESS  THE
MAJORITY  VOTING  IN  SUPPORT  OF  SUCH  A FINDING INCLUDES AT LEAST TWO
MEMBERS APPOINTED BY THE GOVERNOR AND LIEUTENANT GOVERNOR  AND  ENROLLED
IN THE INDIVIDUAL'S MAJOR POLITICAL PARTY, IF HE OR SHE IS ENROLLED IN A
MAJOR  POLITICAL  PARTY.  WHERE  THE  SUBJECT OF SUCH INVESTIGATION IS A
STATE OFFICER OR EMPLOYEE WHO IS NOT A DIRECT APPOINTEE OF  A  STATEWIDE
ELECTED  OFFICIAL, AT LEAST TWO OF THE EIGHT OR MORE MEMBERS WHO VOTE TO

S. 5679                            33

ISSUE A SUBSTANTIAL BASIS INVESTIGATION REPORT MUST HAVE BEEN  APPOINTED
BY  THE  GOVERNOR  AND LIEUTENANT GOVERNOR. THE COMMISSION SHALL RELEASE
SUCH REPORT PUBLICLY WITHIN FORTY-FIVE DAYS OF ITS ISSUANCE.
  14-C.  WITH  RESPECT  TO  AN INVESTIGATION OF A LOBBYIST, IF AFTER ITS
INVESTIGATION THE JOINT COMMISSION HAS  FOUND  A  SUBSTANTIAL  BASIS  TO
CONCLUDE  THAT  THE LOBBYIST HAS VIOLATED THE LEGISLATIVE LAW, THE JOINT
COMMISSION SHALL ISSUE A SUBSTANTIAL BASIS INVESTIGATION REPORT CONTAIN-
ING ITS FINDINGS OF FACT AND CONCLUSIONS OF  LAW  TO  THE  LOBBYIST  AND
SHALL MAKE PUBLIC SUCH REPORT WITHIN FORTY-FIVE DAYS OF ITS ISSUANCE.
  15. A copy of any notice of delinquency or [notice of reasonable cause
sent  pursuant  to  subdivisions  eleven  and  twelve  of  this section]
SUBSTANTIAL BASIS INVESTIGATION REPORT shall be included in the  report-
ing  person's  file  and  be available for public inspection and copying
PURSUANT TO THE PROVISIONS OF THIS SECTION.
  [15.] 16. Upon written request from any person who is subject  to  the
jurisdiction  of  the commission and the requirements of sections seven-
ty-three, seventy-three-a or seventy-four of the  public  officers  law,
OTHER  THAN  MEMBERS  OF  THE  LEGISLATURE, CANDIDATES FOR MEMBER OF THE
LEGISLATURE AND EMPLOYEES  OF  THE  LEGISLATURE,  the  commission  shall
render WRITTEN advisory opinions on the requirements of said provisions.
An  opinion  rendered  by  the  commission,  until and unless amended or
revoked, shall be binding on the commission in any subsequent proceeding
concerning the person who requested the opinion and who  acted  in  good
faith,  unless material facts were omitted or misstated by the person in
the request for an opinion. Such opinion may also be relied upon by such
person, and may be introduced and shall be a defense, in any criminal or
civil action. Such requests shall be confidential but the commission may
publish such opinions provided that the name of  the  requesting  person
and other identifying details shall not be included in the publication.
  [16.] 17. In addition to any other powers and duties specified by law,
the commission shall have the power and duty to:
  (a) Promulgate rules concerning restrictions on outside activities and
limitations  on the receipt of gifts and honoraria by persons subject to
its jurisdiction, provided, however, a violation of such rules in and of
itself shall not be punishable pursuant to subdivision [thirteen]  FOUR-
TEEN of this section unless the conduct constituting the violation would
otherwise constitute a violation of this section; and
  (b)  [Conduct  training  programs  in  cooperation with the governor's
office of employee relations to provide education to individuals subject
to its jurisdiction; and
  (c)] Administer and enforce all the provisions of this section; and
  [(d)] (C)  Conduct  any  investigation  necessary  to  carry  out  the
provisions of this section. Pursuant to this power and duty, the commis-
sion  may  administer  oaths or affirmations, subpoena witnesses, compel
their attendance and require the production  of  any  books  or  records
which it may deem relevant or material;
  [16-a.]  18.  Within  one hundred twenty days of the effective date of
this subdivision, the commission shall create and thereafter maintain  a
publicly  accessible  website  which  shall  set forth the procedure for
filing a complaint with the commission,  and  which  shall  contain  the
documents   identified  in  subdivision  [seventeen]  NINETEEN  of  this
section, other than financial disclosure statements[,]  FILED  BY  STATE
OFFICERS OR EMPLOYEES OR LEGISLATIVE EMPLOYEES, and any other records or
information which the commission determines to be appropriate.

S. 5679                            34

  [17.]  19.  (a)  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:
  (1)  the  information  set  forth  in an annual statement of financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers law except [the categories of value or amount, which  shall  remain
confidential,  and  any  other  item of] information deleted pursuant to
paragraph (h) of subdivision nine of this section;
  (2) notices of delinquency sent under subdivision [eleven]  TWELVE  of
this section;
  (3)  [notices of reasonable cause sent under paragraph (b) of subdivi-
sion twelve of this section;
  (4)] notices of civil assessments imposed  under  this  section  which
shall include a description of the nature of the alleged wrongdoing, the
procedural  history  of  the  complaint, the findings and determinations
made by the commission, and any sanction imposed;
  [(5)] (4) the terms of any settlement or compromise of a complaint  or
referral which includes a fine, penalty or other remedy; [and
  (6)]  (5)  those  required to be held or maintained publicly available
pursuant to article one-A of the legislative law[.]; AND
  (6) SUBSTANTIAL BASIS INVESTIGATION REPORTS ISSUED BY  THE  COMMISSION
PURSUANT  TO  SUBDIVISION FOURTEEN-A OR FOURTEEN-B OF THIS SECTION. WITH
RESPECT TO REPORTS CONCERNING MEMBERS OF THE LEGISLATURE OR  LEGISLATIVE
EMPLOYEES OR CANDIDATES FOR MEMBER OF THE LEGISLATURE, THE JOINT COMMIS-
SION  SHALL  NOT PUBLICLY DISCLOSE OR OTHERWISE DISSEMINATE SUCH REPORTS
EXCEPT IN CONFORMANCE WITH THE REQUIREMENTS OF PARAGRAPH (B) OF SUBDIVI-
SION NINE OF SECTION EIGHTY OF THE LEGISLATIVE LAW.
  (b) Notwithstanding the provisions of  article  seven  of  the  public
officers  law,  no  meeting or proceeding, including any such proceeding
contemplated under paragraph (h) or (i)  of  subdivision  nine  of  this
section,  of  the  commission  shall  be  open  to the public, except if
expressly provided otherwise by the commission  or  as  is  required  by
article one-A of the legislative law.
  (c)  Pending  any application for deletion or exemption to the commis-
sion, all information which is the subject or a part of the  application
shall  remain confidential. Upon an adverse determination by the commis-
sion, the reporting individual may request, and upon  such  request  the
commission  shall  provide, that any information which is the subject or
part of the application remain confidential for a period of thirty  days
following  notice of such determination. In the event that the reporting
individual resigns his office and holds no other office subject  to  the
jurisdiction of the commission, the information shall not be made public
and shall be expunged in its entirety.
  [18]  20.  If any part or provision of this section or the application
thereof to any person or organization is adjudged by a court  of  compe-
tent  jurisdiction  to  be  unconstitutional  or otherwise invalid, such
judgment shall not affect or impair any other part or provision  or  the
application  thereof  to  any other person or organization, but shall be
confined in its operation to such part or provision.
  S 7. Section 1-d of the legislative law is amended  by  adding  a  new
subdivision (h) to read as follows:
  (H)  PROVIDE  AN  ONLINE ETHICS TRAINING COURSE FOR INDIVIDUALS REGIS-
TERED AS LOBBYISTS PURSUANT  TO  SECTION  ONE-E  OF  THIS  ARTICLE.  THE
CURRICULUM FOR THE COURSE SHALL INCLUDE, BUT NOT BE LIMITED TO, EXPLANA-
TIONS  AND  DISCUSSIONS  OF  THE  STATUTES  AND  REGULATIONS OF NEW YORK
CONCERNING ETHICS IN THE PUBLIC OFFICERS  LAW,  THE  ELECTION  LAW,  THE

S. 5679                            35

LEGISLATIVE LAW, SUMMARIES OF ADVISORY OPINIONS, UNDERLYING PURPOSES AND
PRINCIPLES  OF  THE RELEVANT LAWS, AND EXAMPLES OF PRACTICAL APPLICATION
OF THESE LAWS AND PRINCIPLES. THE COMMISSION SHALL PREPARE THOSE METHODS
AND  MATERIALS  NECESSARY  TO  IMPLEMENT THE CURRICULUM. EACH INDIVIDUAL
REGISTERED AS A LOBBYIST PURSUANT TO SECTION ONE-E OF THIS ARTICLE SHALL
COMPLETE SUCH TRAINING COURSE AT LEAST ONCE  IN  ANY  THREE-YEAR  PERIOD
DURING WHICH HE OR SHE IS REGISTERED AS A LOBBYIST.
  S  7-a.  Subdivision  (c)  of  section  1-e  of the legislative law is
amended by adding a new paragraph 8 to read as follows:
  (8) (I) THE NAME AND PUBLIC OFFICE ADDRESS OF  ANY  STATEWIDE  ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY WITH WHOM THE LOBBYIST HAS A REPORTABLE BUSI-
NESS RELATIONSHIP;
  (II)  A  DESCRIPTION  OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE LOBBYIST OR  LOBBYISTS  AND  THE  STATEWIDE  ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY; AND
  (III)  THE  COMPENSATION,  INCLUDING  EXPENSES, TO BE PAID AND PAID BY
VIRTUE OF THE BUSINESS RELATIONSHIP.
  S 7-b. Subdivision (b) of  section  1-j  of  the  legislative  law  is
amended by adding a new paragraph 6 to read as follows:
  (6)  (I)  THE  NAME AND PUBLIC OFFICE ADDRESS OF ANY STATEWIDE ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY WITH WHOM THE CLIENT  OF  A  LOBBYIST  HAS  A
REPORTABLE BUSINESS RELATIONSHIP;
  (II)  A  DESCRIPTION  OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE CLIENT OF A LOBBYIST AND THE STATEWIDE ELECTED OFFI-
CIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE  OR  LEGISLA-
TIVE EMPLOYEE AND ENTITY; AND
  (III)  THE  COMPENSATION,  INCLUDING  EXPENSES, TO BE PAID AND PAID BY
VIRTUE OF THE BUSINESS RELATIONSHIP.
  S 8. Section 1-c of the legislative law is amended  by  adding  a  new
subdivision (w) to read as follows:
  (W) THE TERM "REPORTABLE BUSINESS RELATIONSHIP" SHALL MEAN A RELATION-
SHIP  IN  WHICH  COMPENSATION  IS PAID BY A LOBBYIST OR BY A CLIENT OF A
LOBBYIST, IN EXCHANGE FOR ANY GOODS, SERVICES OR ANYTHING OF VALUE,  THE
TOTAL  VALUE  OF WHICH IS IN EXCESS OF ONE THOUSAND DOLLARS ANNUALLY, TO
BE PERFORMED OR PROVIDED BY OR INTENDED TO BE PERFORMED OR  PROVIDED  BY
(I)  ANY  STATEWIDE  ELECTED  OFFICIAL,  STATE  OFFICER, STATE EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR (II) ANY ENTITY IN
WHICH THE LOBBYIST OR THE CLIENT OF A LOBBYIST KNOWS OR  HAS  REASON  TO
KNOW  THE  STATEWIDE  ELECTED  OFFICIAL,  STATE OFFICER, STATE EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE IS A PROPRIETOR, PART-
NER, DIRECTOR, OFFICER OR MANAGER, OR OWNS OR CONTROLS  TEN  PERCENT  OR
MORE OF THE STOCK OF SUCH ENTITY (OR ONE PERCENT IN THE CASE OF A CORPO-
RATION  WHOSE  STOCK  IS  REGULARLY  TRADED ON AN ESTABLISHED SECURITIES
EXCHANGE).
  S 9. Section 80 of the legislative law, as amended by  chapter  14  of
the laws of 2007, is amended to read as follows:
  S  80.  Legislative  ethics  commission; functions, powers and duties;
review of financial disclosure statements; advisory opinions;  [investi-
gation  and  enforcement]  IMPOSITION  OF PENALTIES OR OTHER ENFORCEMENT
ACTIONS.  1. There is established a legislative ethics commission  which
shall  consist  of  nine  members.  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

S. 5679                            36

minority leader of the senate and one by  the  minority  leader  of  the
assembly.  The  remaining  five  members  shall not be present or former
members of the legislature, candidates for member  of  the  legislature,
employees  of  the  legislature,  political party chairmen as defined in
paragraph (k) of subdivision one of section seventy-three of the  public
officers law, or lobbyists, as defined in section one-c of this chapter,
or  persons  who have been employees of the legislature, political party
chairmen as defined in paragraph  (k)  of  subdivision  one  of  section
seventy-three  of  the  public officers law, or lobbyists, as defined in
section one-c of this chapter in the previous five years, and  shall  be
appointed  as follows: one by the temporary president of the senate, one
by the speaker of the assembly,  one  by  the  minority  leader  of  the
senate,  one  by the minority leader of the assembly, and one jointly by
the speaker of the assembly and majority leader  of  the  senate.    The
commission  shall  serve as described in this section and have and exer-
cise the powers and duties set forth in this section only  with  respect
to  members  of  the  legislature,  legislative  employees as defined in
section seventy-three of the public officers law, candidates for  member
of the legislature and individuals who have formerly held such positions
or who have formerly been such candidates.
  2.  Members  of the legislature who serve on the commission shall each
have a two year term concurrent with their legislative terms of  office.
The members of the commission who are not members of the legislature and
who are first appointed by the temporary president of the senate, speak-
er  of  the assembly, minority leader of the senate, and minority leader
of the assembly shall serve one, two, three and four year terms, respec-
tively. The member of the commission  first  appointed  jointly  by  the
TEMPORARY  president  of  the  senate  and speaker of the assembly shall
serve a four year term. Each member of  the  commission  who  is  not  a
member  of  the  legislature shall be appointed thereafter for a term of
four years.
  3. The temporary president of the senate and the speaker of the assem-
bly shall each designate one member of the commission as a  co-chairper-
son  thereof.  The commission shall meet at least bi-monthly and at such
additional times as may be called for by the co-chairpersons jointly  or
any five members of the commission.
  4.  Any  vacancy  occurring  on  the commission shall be filled within
thirty days by the appointing authority.
  5. Five members of the commission shall constitute a quorum,  and  the
commission  shall have power to act by majority vote of the total number
of members of the commission without vacancy.
  6. The members of the commission WHO ARE NOT MEMBERS OF  THE  LEGISLA-
TURE  shall be reimbursed for reasonable expenses [incurred] AND RECEIVE
A PER DIEM ALLOWANCE IN THE SUM OF THREE HUNDRED DOLLARS  FOR  EACH  DAY
SPENT in the performance of their official duties.
  7. The commission shall:
  a.  Appoint an executive director who shall act in accordance with the
policies of the commission, PROVIDED THAT THE COMMISSION MAY REMOVE  THE
EXECUTIVE DIRECTOR FOR NEGLECT OF DUTY, MISCONDUCT IN OFFICE, OR INABIL-
ITY OR FAILURE TO DISCHARGE THE POWERS OR DUTIES OF OFFICE;
  b. Appoint such other staff as are necessary to assist it to carry out
its duties under this section;
  c.  Adopt, amend, and rescind policies, rules and regulations consist-
ent with this section to govern procedures of the commission which shall
not be subject to the promulgation and hearing requirements of the state
administrative procedure act;

S. 5679                            37

  d. Administer the provisions of this section;
  e.  Specify the procedures whereby a person who is required to file an
annual financial disclosure statement with the commission may request an
additional period of time within which to file such  statement,  due  to
justifiable  cause  or  undue  hardship; such rules or regulations shall
provide for a date beyond which in all cases  of  justifiable  cause  or
undue hardship no further extension of time will be granted;
  f. Promulgate guidelines to assist appointing authorities in determin-
ing  which  persons hold policy-making positions for purposes of section
seventy-three-a of the public officers law and may promulgate guidelines
to assist firms, associations and corporations  in  separating  affected
persons  from  net  revenues  for purposes of subdivision ten of section
seventy-three of the public officers law, and promulgate  guidelines  to
assist  any  firm,  association  or  corporation in which any present or
former statewide elected official, state officer or employee, member  of
the  legislature or legislative employee, or political party chairman is
a member, associate, retired  member,  of  counsel  or  shareholder,  in
complying  with  the  provisions  of subdivision ten of section seventy-
three of the public officers law with respect to the separation of  such
present or former statewide elected official, state officer or employee,
member  of  the  legislature or legislative employee, or political party
chairman from the net revenues of the firm, association or  corporation.
Such firm, association or corporation shall not be required to adopt the
procedures  contained  in  the  guidelines  to establish compliance with
subdivision ten of section seventy-three of the public officers law, but
if such firm, association or corporation does adopt such procedures,  it
shall be deemed to be in compliance with such subdivision ten;
  g.  Make  available forms for financial disclosure statements required
to be filed pursuant to subdivision six  of  section  seventy-three  and
section  seventy-three-a  of  the public officers law AS PROVIDED BY THE
JOINT COMMISSION ON PUBLIC ETHICS;
  h. Review financial  disclosure  statements  in  accordance  with  the
provisions  of  this  section, provided however, that the commission may
delegate all or part  of  the  review  function  relating  to  financial
disclosure   statements  filed  by  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. [Permit any person required to file a financial  disclosure  state-
ment  to  request  the  commission  to delete from the copy thereof made
available for public inspection and copying one or more items of  infor-
mation,  which  may be deleted by the commission upon a finding that the
information which would otherwise be required to be disclosed will  have
no  material bearing on the discharge of the reporting person's official
duties;
  j. Permit any person required to file a financial disclosure statement
to request an exemption from any requirement to report one or more items
of information which pertain to such person's  spouse  or  unemancipated
children  which  item  or items may be exempted by the commission upon a
finding that the reporting individual's spouse, on his or her own behalf
or on behalf of an unemancipated child, objects to providing the  infor-
mation  necessary to make such disclosure and that the information which
would otherwise be required to be reported will have no material bearing
on the discharge of the reporting person's official duties;

S. 5679                            38

  k. Advise and assist the legislature in establishing rules  and  regu-
lations  relating  to  possible  conflicts between private interests and
official duties of present members of the  legislature  and  legislative
employees;
  l.  Receive  and  act  on  complaints regarding persons subject to its
jurisdiction alleging a possible  violation  of  section  seventy-three,
seventy-three-a  or seventy-four of the public officers law, and conduct
such investigations and proceedings as are authorized and  necessary  to
carry out the provisions of this section. In connection with such inves-
tigations, the commission may administer oaths or affirmations, subpoena
witnesses,  compel  their  attendance  and require the production of any
books or records which it may deem relevant or material;
  m. Accept and act upon, as if it were a sworn complaint, any  referral
from another state oversight body indicating that a violation of section
seventy-three  or  seventy-four  of  the  public  officers  law may have
occurred involving persons subject to the jurisdiction  of  the  commis-
sion;
  n.]  Upon written request from any person who is subject to the juris-
diction of the commission and  the  requirements  of  sections  seventy-
three,  seventy-three-a  and  seventy-four  of  the public officers law,
render formal advisory opinions on the requirements of said  provisions.
A  formal  WRITTEN  opinion rendered by the commission, until and unless
amended or revoked, shall be binding on the LEGISLATIVE  ETHICS  commis-
sion  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. THE JOINT
COMMISSION ON PUBLIC ETHICS SHALL  NOT  INVESTIGATE  AN  INDIVIDUAL  FOR
POTENTIAL  VIOLATIONS  OF LAW BASED UPON CONDUCT APPROVED AND COVERED IN
ITS ENTIRETY BY SUCH AN OPINION, EXCEPT  THAT  SUCH  OPINION  SHALL  NOT
PREVENT  OR  PRECLUDE  AN INVESTIGATION OF AND REPORT TO THE LEGISLATIVE
ETHICS COMMISSION CONCERNING THE CONDUCT OF THE PERSON WHO  OBTAINED  IT
BY  THE  JOINT  COMMISSION  ON  PUBLIC  ETHICS FOR VIOLATIONS OF SECTION
SEVENTY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF  THE  PUBLIC  OFFICERS
LAW  TO DETERMINE WHETHER THE PERSON ACCURATELY AND FULLY REPRESENTED TO
THE LEGISLATIVE ETHICS COMMISSION THE FACTS RELEVANT TO THE FORMAL ADVI-
SORY OPINION AND WHETHER THE PERSON'S CONDUCT CONFORMED TO THOSE FACTUAL
REPRESENTATIONS. THE JOINT COMMISSION SHALL BE AUTHORIZED AND SHALL HAVE
JURISDICTION TO INVESTIGATE POTENTIAL VIOLATIONS OF THE LAW ARISING FROM
CONDUCT OUTSIDE OF THE SCOPE OF THE TERMS OF THE ADVISORY OPINION; AND
  [o.] J. Issue and publish generic advisory opinions covering questions
frequently posed to the commission, or questions common to  a  class  or
defined  category  of  persons, or that will tend to prevent undue repe-
tition of requests or undue complication,  and  which  are  intended  to
provide  general  guidance  and  information  to  persons subject to the
commission's jurisdiction;
  [p.] K. Develop educational materials  and  training  with  regard  to
legislative  ethics  for  members  of  the  legislature  and legislative
employees INCLUDING AN ONLINE ETHICS ORIENTATION COURSE FOR  NEWLY-HIRED
EMPLOYEES AND, AS REQUESTED BY THE SENATE OR THE ASSEMBLY, MATERIALS AND
TRAINING IN RELATION TO A COMPREHENSIVE ETHICS TRAINING PROGRAM; and
  [q.]  L.  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,

S. 5679                            39

regulations  and  procedures  governing  the  commission's conduct. Such
report shall include: (i) a listing by assigned number of each complaint
and [referral] REPORT received  FROM  THE  JOINT  COMMISSION  ON  PUBLIC
ETHICS  which  alleged  a  possible  violation  within its jurisdiction,
including the current status of each complaint, and (ii) where a  matter
has  been resolved, the date and nature of the disposition and any sanc-
tion imposed,  subject  to  the  confidentiality  requirements  of  this
section.  Such annual report shall not contain any information for which
disclosure is not permitted pursuant to subdivision [fourteen] TWELVE of
this section.
  8. [The commission, or the executive director and staff of the commis-
sion if responsibility regarding such  financial  disclosure  statements
filed  by  legislative  employees  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 seventy-three, seventy-three-a or  seventy-four  of  the  public
officers law.
  9.  If a person required to file a financial disclosure statement with
the commission has failed to file a financial  disclosure  statement  or
has filed a deficient statement, the commission shall notify the report-
ing person in writing, state the failure to file or detail the deficien-
cy, provide the person with a fifteen day period to cure the deficiency,
and  advise  the  person of the penalties for failure to comply with the
reporting requirements. Such notice shall be confidential. If the person
fails to make such filing or fails to cure  the  deficiency  within  the
specified  time period, the commission shall send a notice of delinquen-
cy: (a) to the reporting person; (b) in the case of a  senator,  to  the
temporary  president  of the senate, and if a member of assembly, to the
speaker of the assembly; and (c) in the case of a legislative  employee,
to  the appointing authority for such person and to the temporary presi-
dent of the senate and/or the speaker of the assembly, as the  case  may
be, who has jurisdiction over such appointing authority.  Such notice of
delinquency  may  be  sent  at  any  time  during the reporting person's
service as a member of the legislature or legislative employee or  while
a  candidate  for  member  of  the legislature, or within one year after
separation from such service or the termination of such candidacy.   The
jurisdiction  of  the  commission,  when  acting pursuant to subdivision
eleven of this section  with  respect  to  financial  disclosure,  shall
continue  notwithstanding that the reporting person separates from state
service or terminates his or  her  candidacy,  provided  the  commission
notifies  such person of the alleged failure to file or deficient filing
pursuant to this subdivision.
  10. a. If a reporting person has filed a  statement  which  reveals  a
possible  violation  of section seventy-three, seventy-three-a or seven-
ty-four of the public officers law, or the commission receives a  refer-
ral  from  another  state  oversight  body, or the commission receives a
sworn complaint alleging such a violation by a  reporting  person  or  a
legislative  employee  subject to the provisions of such laws, or if the
commission determines on its own initiative to  investigate  a  possible
violation by a reporting person or a legislative employee subject to the
provisions  of  such  laws,  the  commission  shall notify the reporting
person in writing, describe the possible or  alleged  violation  thereof
and  provide  the  person with a fifteen day period in which to submit a

S. 5679                            40

written response setting forth information relating  to  the  activities
cited as a possible or alleged violation of law. If the commission ther-
eafter 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 has been rectified, it
shall so advise the reporting person and the complainant, if any. All of
the foregoing proceedings shall be confidential.
  b.  If  the  commission  determines  that there is reasonable cause to
believe that a violation has occurred, it shall send a notice of reason-
able cause: (i) to the reporting person; (ii) to the complainant if any;
(iii) in the case of a  senator,  to  the  temporary  president  of  the
senate, and if a member of the assembly, to the speaker of the assembly;
and  (iv)  in  the  case  of  a  legislative employee, to the appointing
authority for such person and to the temporary president of  the  senate
and/or  the  speaker of the assembly, as the case may be, who has juris-
diction over such appointing authority.
  c.] The jurisdiction of the commission TO IMPOSE PENALTIES 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 HAS  BEEN  NOTI-
FIED  of  the  alleged violation of law [pursuant to paragraph a of this
subdivision] within one year from  his  or  her  separation  from  state
service  or  the  termination  of his or her candidacy. [Nothing in this
section shall serve to limit  the  jurisdiction  of  the  commission  in
enforcement  of subdivision eight of section seventy-three of the public
officers law.
  11.] 9. (A) An individual subject to the jurisdiction of  the  commis-
sion  WITH  RESPECT  TO  THE  IMPOSITION  OF PENALTIES who knowingly and
intentionally violates the provisions of subdivisions two through [five]
FIVE-A, seven, eight, twelve, fourteen or fifteen  of  section  seventy-
three of the public officers law or a reporting individual who knowingly
and  wilfully  fails to file an annual statement of financial disclosure
or who knowingly and wilfully with  intent  to  deceive  makes  a  false
statement  or  gives information which such individual knows to be false
on such statement of financial  disclosure  filed  pursuant  to  section
seventy-three-a  of  the public officers law shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars and the  value
of  any  gift,  compensation  or  benefit  received  as a result of such
violation. Any such individual who knowingly and intentionally  violates
the  provisions of paragraph A, b, c, d, E, G, or i of subdivision three
of section seventy-four of the public officers law shall be subject to a
civil penalty in an amount not to exceed ten thousand  dollars  and  the
value  of any gift, compensation or benefit received as a result of such
violation. [Any such individual who knowingly and intentionally violates
the provisions of paragraph a, e or g of subdivision  three  of  section
seventy-four  of  the  public  officers  law shall be subject to a civil
penalty in an amount equal to the value of  any  gift,  compensation  or
benefit  received  as a result of such violation.] Assessment of a civil
penalty hereunder shall be  made  by  the  commission  with  respect  to
persons  subject  to  its  jurisdiction.  In assessing the amount of the
civil penalties to be imposed, the commission shall consider  the  seri-

S. 5679                            41

ousness  of  the  violation,  the  amount  of gain to the individual and
whether the individual previously had any civil  or  criminal  penalties
imposed  pursuant  to this section, and any other factors the commission
deems  appropriate.  For  a  violation  of  this section, other than for
conduct which constitutes a violation of subdivision twelve, fourteen or
fifteen of section seventy-three or section seventy-four of  the  public
officers  law,  the  legislative ethics commission may, in lieu of OR IN
ADDITION TO a civil penalty, refer a violation to the appropriate prose-
cutor and upon such conviction,  but  only  after  such  referral,  such
violation  shall  be  punishable  as  a class A misdemeanor.   WHERE THE
COMMISSION FINDS SUFFICIENT CAUSE, IT SHALL REFER  SUCH  MATTER  TO  THE
APPROPRIATE  PROSECUTOR.  A  civil  penalty  for false filing may not be
imposed hereunder in  the  event  a  category  of  "value"  or  "amount"
reported  hereunder  is  incorrect  unless  such reported information is
falsely understated. Notwithstanding any other provision of law  to  the
contrary, no other penalty, civil or criminal may be imposed for a fail-
ure to file, or for a false filing, of such statement, or a violation of
SUBDIVISION  SIX  OF  section  seventy-three of the public officers law,
except that the appointing authority may impose disciplinary  action  as
otherwise  provided  by  law. The legislative ethics 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 author-
ized [and commission  denials  of  requests  for  certain  deletions  or
exemptions  to  be made from a financial disclosure statement as author-
ized in paragraph  i  or  paragraph  j  of  subdivision  seven  of  this
section]. Such rules, which shall not be subject to the promulgation and
hearing  requirements  of  the state administrative procedure act, shall
provide for due process procedural mechanisms substantially  similar  to
those  set  forth  in such article three but such mechanisms need not be
identical in terms or scope. Assessment of a civil penalty  [or  commis-
sion  denial  of  such  a  deletion or exemption request] shall be final
unless modified, suspended or vacated within thirty days of  imposition,
with respect to the assessment of such penalty, or unless such denial of
request  is  reversed  within  such time period, and upon becoming final
shall be subject to review at the instance  of  the  affected  reporting
individuals  in  a  proceeding  commenced against the legislative ethics
commission, pursuant to article seventy-eight of the civil practice  law
and rules.
  [12.]  (B)  NOT LATER THAN FORTY-FIVE CALENDAR DAYS AFTER RECEIPT FROM
THE JOINT COMMISSION ON PUBLIC ETHICS OF  A  WRITTEN  SUBSTANTIAL  BASIS
INVESTIGATION REPORT AND ANY SUPPORTING DOCUMENTATION OR OTHER MATERIALS
REGARDING  A  MATTER BEFORE THE COMMISSION PURSUANT TO SUBDIVISION FOUR-
TEEN-A OF SECTION NINETY-FOUR OF THE EXECUTIVE LAW, UNLESS REQUESTED  BY
A  LAW  ENFORCEMENT AGENCY TO SUSPEND THE COMMISSION'S ACTION BECAUSE OF
AN ONGOING CRIMINAL INVESTIGATION,  THE  LEGISLATIVE  ETHICS  COMMISSION
SHALL  MAKE  PUBLIC SUCH REPORT IN ITS ENTIRETY; PROVIDED, HOWEVER, THAT
THE COMMISSION MAY WITHHOLD SUCH INFORMATION FOR NOT MORE THAN ONE ADDI-
TIONAL PERIOD OF THE SAME DURATION OR REFER THE MATTER BACK TO THE JOINT
COMMISSION ON PUBLIC ETHICS ONCE FOR ADDITIONAL INVESTIGATION, IN  WHICH
CASE  THE  LEGISLATIVE  ETHICS COMMISSION SHALL, UPON THE TERMINATION OF
SUCH ADDITIONAL PERIOD OR UPON RECEIPT OF A  NEW  REPORT  BY  THE  JOINT
COMMISSION  ON  PUBLIC  ETHICS AFTER SUCH ADDITIONAL INVESTIGATION, MAKE
PUBLIC THE WRITTEN REPORT AND PUBLISH IT ON  THE  COMMISSION'S  WEBSITE.

S. 5679                            42

IF  THE  LEGISLATIVE  ETHICS COMMISSION FAILS TO MAKE PUBLIC THE WRITTEN
REPORT RECEIVED FROM THE JOINT COMMISSION IN ACCORDANCE WITH THIS  PARA-
GRAPH,  THE JOINT COMMISSION SHALL RELEASE SUCH REPORT PUBLICLY PROMPTLY
AND  IN  ANY  EVENT  NO LATER THAN TEN DAYS AFTER THE LEGISLATIVE ETHICS
COMMISSION IS REQUIRED TO RELEASE SUCH REPORT.   THE LEGISLATIVE  ETHICS
COMMISSION  SHALL  NOT  REFER THE MATTER BACK TO THE JOINT COMMISSION ON
PUBLIC ETHICS FOR ADDITIONAL INVESTIGATION  MORE  THAN  ONCE.    IF  THE
COMMISSION REFERS THE MATTER BACK TO THE JOINT COMMISSION FOR ADDITIONAL
FACT-FINDING, THE JOINT COMMISSION'S ORIGINAL REPORT SHALL REMAIN CONFI-
DENTIAL.
  10.  UPON  RECEIPT  OF  A  WRITTEN REPORT FROM THE JOINT COMMISSION ON
PUBLIC  ETHICS   PURSUANT   TO   SUBDIVISION   FOURTEEN-A   OF   SECTION
SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, THE LEGISLATIVE ETHICS COMMIS-
SION  SHALL  COMMENCE ITS REVIEW OF THE MATTER ADDRESSED IN SUCH REPORT.
NO LATER THAN NINETY DAYS AFTER RECEIPT OF SUCH REPORT, THE  LEGISLATIVE
ETHICS  COMMISSION  SHALL DISPOSE OF THE MATTER BY MAKING ONE OR MORE OF
THE FOLLOWING DETERMINATIONS:
  A. WHETHER THE LEGISLATIVE ETHICS COMMISSION CONCURS  WITH  THE  JOINT
COMMISSION'S CONCLUSIONS OF LAW AND THE REASONS THEREFOR;
  B. WHETHER AND WHICH PENALTIES HAVE BEEN ASSESSED PURSUANT TO APPLICA-
BLE LAW OR RULE AND THE REASONS THEREFOR; AND
  C. WHETHER FURTHER ACTIONS HAVE BEEN TAKEN BY THE COMMISSION TO PUNISH
OR DETER THE MISCONDUCT AT ISSUE AND THE REASONS THEREFOR.
  THE   COMMISSION'S  DISPOSITION  SHALL  BE  REPORTED  IN  WRITING  AND
PUBLISHED ON ITS WEBSITE NO LATER THAN TEN DAYS AFTER  SUCH  DISPOSITION
UNLESS REQUESTED BY A LAW ENFORCEMENT AGENCY TO SUSPEND THE COMMISSION'S
ACTION BECAUSE OF AN ONGOING CRIMINAL INVESTIGATION.
  11.  If  the  commission  has  a  reasonable basis to believe that any
person subject to the jurisdiction of another state oversight  body  may
have  violated section seventy-three or seventy-four of the public offi-
cers law, section one hundred seven of the civil service law, or article
one-A of this chapter, it shall refer such violation to  such  oversight
body unless the commission determines that such a referral would compro-
mise   the   prosecution  or  confidentiality  of  its  [investigations]
PROCEEDINGS and, if so, shall make such a referral as soon as  practica-
ble. The referral by the commission shall include any information relat-
ing  thereto coming into the custody or under the control of the commis-
sion at any time prior or subsequent to the time of the referral.
  [13. A copy of any notice of delinquency or notice of reasonable cause
sent pursuant to subdivisions nine and ten  of  this  section  shall  be
included  in  the  reporting  person's  file and be available for public
inspection and copying.
  14.] 12. a. 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:
  (1) [the information set forth in an  annual  statement  of  financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers  law except the categories of value or amount which shall be confi-
dential, and any other item of information deleted pursuant to paragraph
i of subdivision seven of this section;
  (2) financial disclosure statements filed pursuant to subdivision  six
of section seventy-three of the public officers law;
  (3)  notices  of  delinquency  sent  under  subdivision  nine  of this
section;
  (4) notices of reasonable cause sent under paragraph b of  subdivision
ten of this section;

S. 5679                            43

  (5) notices of civil assessment imposed under this section which shall
include  a  description  of  the  nature  of the alleged wrongdoing, the
procedural history of the complaint,  the  findings  and  determinations
made by the commission, and any sanction imposed;
  (6)]  the  terms  of  any  settlement  or compromise of a complaint or
referral OR REPORT which  includes  a  fine,  penalty  or  other  remedy
REACHED  AFTER  THE  COMMISSION  HAS  RECEIVED  A  REPORT FROM THE JOINT
COMMISSION ON  PUBLIC  ETHICS  PURSUANT  TO  SUBDIVISION  FOURTEEN-A  OF
SECTION NINETY-FOUR OF THE EXECUTIVE LAW;
  [(7)] (2) generic advisory opinions; [and
  (8)] (3) all reports required by this section[.]; AND
  (4)  ALL  REPORTS  RECEIVED FROM THE JOINT COMMISSION ON PUBLIC ETHICS
PURSUANT TO SUBDIVISION FOURTEEN-A OF SECTION NINETY-FOUR OF THE  EXECU-
TIVE  LAW AND IN CONFORMANCE WITH PARAGRAPH (B) OF SUBDIVISION NINE-B OF
THIS SECTION.
  b. Notwithstanding the provisions of article seven of the public offi-
cers law, no meeting or proceeding of the commission shall  be  open  to
the  public,  except  if expressly provided otherwise by this section or
the commission.
  [15.] 13. Within one hundred twenty days of the effective date of this
subdivision, the commission  shall  create  and  thereafter  maintain  a
publicly  accessible  website  which  shall  set forth the procedure for
filing a complaint with the JOINT commission ON PUBLIC ETHICS, and which
shall contain [the documents identified in subdivision fourteen of  this
section,  other  than  financial  disclosure  statements, and] any other
records or information which the commission determines to  be  appropri-
ate.
  [16.]  14.  This  section  shall  not  revoke or rescind any policies,
rules, regulations or advisory opinions issued by the legislative ethics
committee in effect upon the effective date of this subdivision, to  the
extent  that  such regulations or opinions are not inconsistent with any
laws of the state of New York. The legislative ethics  commission  shall
undertake  a  comprehensive  review  of  all such policies, rules, regu-
lations or advisory opinions which will address the consistency of  such
policies,  rules,  regulations or advisory opinions with the laws of the
state of New York. The legislative ethics commission shall, before April
first, two thousand  eight,  report  to  the  governor  and  legislature
regarding such review and shall propose any regulatory changes and issue
any advisory opinions necessitated by such review.
  [17.]  15.  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 10. Paragraph (h) of subdivision 8 of section 73 of the public offi-
cers law, as added by chapter 514 of the laws of  2002,  is  amended  to
read as follows:
  (h)  Notwithstanding  the  provisions of subparagraphs (i) and (ii) of
paragraph (a) of this subdivision, a former state  officer  or  employee
may  contract individually, or as a member or employee of a firm, corpo-
ration or association, to render services to any state agency  when  the
agency  head certifies in writing to the [state ethics] JOINT commission
ON PUBLIC ETHICS that the services of such former  officer  or  employee
are  required  in  connection  with  the agency's response to a disaster

S. 5679                            44

emergency declared by the governor pursuant to section  twenty-eight  of
the executive law.
  S  11.  The  opening paragraph of subdivision 8-a of section 73 of the
public officers law, as amended by chapter 357 of the laws of  2001,  is
amended to read as follows:
  The  provisions  of  subparagraphs  (i)  and  (ii) of paragraph (a) of
subdivision eight of this section shall not apply  to  any  such  former
state  officer  or  employee  engaged  in  any of the specific permitted
activities defined in this subdivision that are  related  to  any  civil
action  or  proceeding  in any state or federal court, provided that the
attorney general has certified in writing to the  [state  ethics]  JOINT
commission ON PUBLIC ETHICS, with a copy to such former state officer or
employee, that the services are rendered on behalf of the state, a state
agency, state officer or employee, or other person or entity represented
by  the attorney general, and that such former state officer or employee
has expertise, knowledge or experience which is unique or outstanding in
a field or in a particular matter or which would otherwise be  generally
unavailable  at  a  comparable  cost to the state, a state agency, state
officer or employee, or other person or entity represented by the attor-
ney general in such civil action or proceeding. In those instances where
a state agency is not represented by the attorney  general  in  a  civil
action  or  proceeding in state or federal court, a former state officer
or employee may engage in permitted activities provided that the general
counsel of the state agency, after consultation with the [state  ethics]
JOINT  commission ON PUBLIC ETHICS, provides to the [state ethics] JOINT
commission ON PUBLIC ETHICS a  written  certification  which  meets  the
requirements  of  this subdivision. For purposes of this subdivision the
term "permitted activities" shall mean generally any activity  performed
at  the request of the attorney general or the attorney general's desig-
nee, or in cases where the state agency is not represented by the attor-
ney general, the general counsel of such state agency, including without
limitation:
  S 12. Subdivision 8-b of section 73 of the  public  officers  law,  as
added by chapter 523 of the laws of 2004, is amended to read as follows:
  8-b.  Notwithstanding  the provisions of subparagraphs (i) and (ii) of
paragraph (a) of subdivision eight of this section, a former state offi-
cer or employee may contract individually, or as a member or employee of
a firm, corporation or association, to  render  services  to  any  state
agency  if, prior to engaging in such service, the agency head certifies
in writing to the [state ethics] JOINT commission ON PUBLIC ETHICS  that
such  former  officer or employee has expertise, knowledge or experience
with respect to a particular matter which meets the needs of the  agency
and is otherwise unavailable at a comparable cost. Where approval of the
contract  is  required  under  section  one  hundred twelve of the state
finance law, the comptroller shall review and consider the  reasons  for
such certification. The [state ethics] JOINT commission ON PUBLIC ETHICS
must  review and approve all certifications made pursuant to this subdi-
vision.
  S 13. Subdivision 10 of section 73 of  the  public  officers  law,  as
amended  by  chapter  813  of  the  laws  of 1987, is amended to read as
follows:
  10. Nothing contained in this section, the judiciary law,  the  educa-
tion  law  or  any  other law or disciplinary rule shall be construed or
applied to prohibit any firm, association or corporation, in  which  any
present or former statewide elected official, state officer or employee,
or  political  party  chairman, member of the legislature or legislative

S. 5679                            45

employee is a member, associate, retired member, of  counsel  or  share-
holder, from appearing, practicing, communicating or otherwise rendering
services  in relation to any matter before, or transacting business with
a  state  agency,  or  a  city  agency with respect to a political party
chairman in a county wholly included in a city with a population of more
than one million, otherwise proscribed by this  section,  the  judiciary
law,  the  education  law  or  any  other  law or disciplinary rule with
respect to such official,  member  of  the  legislature  or  officer  or
employee,  or  political  party  chairman,  where such statewide elected
official, state officer or employee, member of the legislature or legis-
lative employee, or political party chairman does not share in  the  net
revenues,  as  defined  in accordance with generally accepted accounting
principles by the [state] JOINT COMMISSION ON PUBLIC ethics [commission]
or by the legislative ethics committee in relation to persons subject to
their respective jurisdictions, resulting therefrom, or, acting in  good
faith,  reasonably  believed  that  he or she would not share in the net
revenues as so defined; nor shall anything contained  in  this  section,
the  judiciary  law,  the education law or any other law or disciplinary
rule be construed to prohibit any firm, association  or  corporation  in
which  any  present  or former statewide elected official, member of the
legislature, legislative employee, full-time salaried state  officer  or
employee  or  state officer or employee who is subject to the provisions
of section seventy-three-a of this [chapter] ARTICLE is a member,  asso-
ciate,  retired member, of counsel or shareholder, from appearing, prac-
ticing, communicating or otherwise rendering services in relation to any
matter before, or transacting business with, the court of claims,  where
such  statewide elected official, member of the legislature, legislative
employee, full-time salaried state officer or employee or state  officer
or  employee who is subject to the provisions of section seventy-three-a
of this [chapter] ARTICLE does not share in the net revenues, as defined
in accordance with  generally  accepted  accounting  principles  by  the
[state]  JOINT COMMISSION ON PUBLIC ethics [commission] or by the legis-
lative ethics committee in relation to persons subject to their  respec-
tive  jurisdictions,  resulting  therefrom,  or,  acting  in good faith,
reasonably believed that he or she would not share in the  net  revenues
as so defined.
  S  14.  Transfer of records. The state commission on public integrity,
shall deliver to the  joint  commission  on  public  ethics  all  books,
papers, records, and property as requested by the joint commission.
  S  15.  Continuity  of authority. For the purpose of succession to all
functions, powers, duties and obligations transferred and  assigned  to,
devolved  upon and assumed by it pursuant to this act, the joint commis-
sion on public ethics shall be deemed and held to constitute the contin-
uation of the state commission on public integrity.
  S 16. Completion of unfinished business. Any business or other  matter
undertaken  or  commenced by the state commission on public integrity or
the legislative ethics commission pertaining to or  connected  with  the
functions,   powers,  obligations  and  duties  hereby  transferred  and
assigned to the joint commission on public ethics, and  pending  on  the
effective  date  of this act may be conducted and completed by the joint
commission on public ethics in the same manner and under the same  terms
and conditions and with the same effect as if conducted and completed by
the  former  state  commission  on  public  integrity or the legislative
ethics commission.
  S 17. Terms occurring in laws, contracts and other documents. Whenever
the state commission on public integrity is referred to or designated in

S. 5679                            46

any law, contract or documents pertaining  solely  to  those  functions,
powers,  obligations  and  duties hereby transferred and assigned to the
joint commission on public ethics, such reference or  designation  shall
be  deemed  to refer to the joint commission on public ethics as created
by this act.
  S 18. Existing rights and remedies preserved.  No  existing  right  or
remedy of any character shall be lost, impaired or affected by reason of
this act.
  S 19. Pending actions and proceedings. No action or proceeding pending
at  the  time when this act shall take effect, brought by or against the
state commission on public integrity shall be affected by this act,  but
the  same may be prosecuted or defended in the name of the joint commis-
sion on public ethics and upon  application  to  the  court,  the  joint
commission on public ethics shall be substituted as a party.
  S 20. Notwithstanding any contrary provision of the state finance law,
transfer  of  appropriations  heretofore made to the state commission on
public integrity, all appropriations or reappropriations for  the  func-
tions  herein  transferred  heretofore  made  to the state commission on
public integrity, or segregated  pursuant  to  law,  to  the  extent  of
remaining unexpended or unencumbered balances thereof, whether allocated
or  unallocated  and whether obligated or unobligated, are hereby trans-
ferred to the joint commission on public ethics to the extent  necessary
to carry out its functions, powers and duties subject to the approval of
the  director  of  the budget for the same purposes for which originally
appropriated or reappropriated and shall be payable on  vouchers  certi-
fied  or  approved by the joint commission on public ethics on audit and
warrant of the comptroller.
  S 21. No later than June 1, 2014, the  governor  and  the  legislative
leaders shall jointly appoint a review commission to review and evaluate
the  activities and performance of the joint commission on public ethics
and the legislative ethics commission in implementing the provisions  of
this act. On or before March 1, 2015, the review commission shall report
to  the  governor and the legislature on its review and evaluation which
report shall include any administrative and legislative  recommendations
on strengthening the administration and enforcement of the ethics law in
New  York  state.  The  review  commission  shall  be comprised of eight
members and the governor  and  the  legislative  leaders  shall  jointly
designate a chair from among the members.
  S 22. This act shall take effect immediately, provided that:
  1.  the  state commission on public integrity shall continue to accept
filings and provide records as otherwise required but shall  not  other-
wise investigate, discipline or provide advisory opinions;
  2. the joint commission on public ethics shall be fully operational on
or before the one hundred twentieth day after this act shall have become
a  law  and  until  such  time  as  it becomes operational (a) the state
commission  on  public  integrity  shall  deposit  all  records  in  its
possession  with  the  inspector  general and (b) the legislative ethics
commission shall continue to  exercise  such  functions,  powers,  obli-
gations  and  duties to be transferred to the joint commission on public
ethics; and
  3. section four of this  act,  the  amendments  to  subdivision  3  of
section  73-a  of  the  public officers law made by section five of this
act, paragraph (i-1) of subdivision 9 of section  94  of  the  executive
law, as added by section six of this act, and the amendments to subpara-
graph  1  of paragraph (a) of subdivision 19 of section 94 of the execu-

S. 5679                            47

tive law, made by section six of this act, shall take effect January  1,
2013.

                                 PART B

  Section  1.  Subdivision  (c) of section 1-h of the legislative law is
amended by adding a new paragraph 4 to read as follows:
  (4) ANY LOBBYIST REGISTERED PURSUANT TO SECTION ONE-E OF THIS  ARTICLE
WHOSE  LOBBYING ACTIVITY IS PERFORMED ON ITS OWN BEHALF AND NOT PURSUANT
TO RETENTION BY A CLIENT:
  (I) THAT HAS SPENT OVER FIFTY THOUSAND DOLLARS FOR REPORTABLE  COMPEN-
SATION  AND  EXPENSES  FOR  LOBBYING EITHER DURING THE CALENDAR YEAR, OR
DURING THE TWELVE-MONTH PERIOD, PRIOR TO THE  DATE  OF  THIS  BI-MONTHLY
REPORT, AND
  (II)  AT  LEAST  THREE  PERCENT OF WHOSE TOTAL EXPENDITURES DURING THE
SAME PERIOD WERE DEVOTED TO LOBBYING IN NEW YORK
SHALL REPORT TO THE COMMISSION THE NAMES OF EACH SOURCE OF FUNDING  OVER
FIVE  THOUSAND  DOLLARS  FROM A SINGLE SOURCE THAT WERE USED TO FUND THE
LOBBYING ACTIVITIES REPORTED AND THE AMOUNTS RECEIVED FROM EACH  IDENTI-
FIED SOURCE OF FUNDING.
  THIS DISCLOSURE SHALL NOT REQUIRE DISCLOSURE OF THE SOURCES OF FUNDING
WHOSE  DISCLOSURE,  IN  THE DETERMINATION OF THE COMMISSION BASED UPON A
REVIEW OF THE RELEVANT FACTS PRESENTED BY THE  REPORTING  LOBBYIST,  MAY
CAUSE  HARM, THREATS, HARASSMENT, OR REPRISALS TO THE SOURCE OR TO INDI-
VIDUALS OR PROPERTY AFFILIATED WITH THE SOURCE. THE  REPORTING  LOBBYIST
MAY APPEAL THE COMMISSION'S DETERMINATION AND SUCH APPEAL SHALL BE HEARD
BY A JUDICIAL HEARING OFFICER WHO IS INDEPENDENT AND NOT AFFILIATED WITH
OR  EMPLOYED  BY  THE COMMISSION, PURSUANT TO REGULATIONS PROMULGATED BY
THE COMMISSION. THE REPORTING LOBBYIST SHALL NOT BE REQUIRED TO DISCLOSE
THE SOURCES OF FUNDING THAT ARE THE SUBJECT OF SUCH APPEAL PENDING FINAL
JUDGMENT ON APPEAL.
  THE DISCLOSURE SHALL NOT APPLY TO:
  (I) ANY CORPORATION REGISTERED PURSUANT  TO  ARTICLE  SEVEN-A  OF  THE
EXECUTIVE  LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
STATES DEPARTMENT OF THE TREASURY UNDER I.R.C. S 501(C)(3);
  (II) ANY CORPORATION REGISTERED PURSUANT TO  ARTICLE  SEVEN-A  OF  THE
EXECUTIVE  LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
STATES DEPARTMENT OF THE TREASURY UNDER I.R.C.  S  501(C)(4)  AND  WHOSE
PRIMARY  ACTIVITIES CONCERN ANY AREA OF PUBLIC CONCERN DETERMINED BY THE
COMMISSION TO CREATE A SUBSTANTIAL LIKELIHOOD THAT APPLICATION  OF  THIS
DISCLOSURE  REQUIREMENT  WOULD  LEAD  TO  HARM,  THREATS, HARASSMENT, OR
REPRISALS TO A SOURCE OF FUNDING OR TO INDIVIDUALS  OR  PROPERTY  AFFIL-
IATED  WITH  SUCH SOURCE, INCLUDING BUT NOT LIMITED TO THE AREA OF CIVIL
RIGHTS AND CIVIL LIBERTIES AND ANY OTHER AREA OF PUBLIC  CONCERN  DETER-
MINED  PURSUANT  TO  REGULATIONS PROMULGATED BY THE COMMISSION TO FORM A
PROPER BASIS FOR EXEMPTION ON THIS BASIS FROM THIS  DISCLOSURE  REQUIRE-
MENT; OR
  (III) ANY GOVERNMENTAL ENTITY.
  THE  JOINT COMMISSION ON PUBLIC ETHICS SHALL PROMULGATE REGULATIONS TO
IMPLEMENT THESE REQUIREMENTS.
  S 2. Subdivision (c) of section 1-j of the legislative law is  amended
by adding a new paragraph 4 to read as follows:
  (4)  ANY  CLIENT  OF A LOBBYIST THAT IS REQUIRED TO FILE A SEMI-ANNUAL
REPORT AND:
  (I) THAT HAS SPENT OVER FIFTY THOUSAND DOLLARS FOR REPORTABLE  COMPEN-
SATION  AND  EXPENSES  FOR  LOBBYING EITHER DURING THE CALENDAR YEAR, OR

S. 5679                            48

DURING THE TWELVE-MONTH PERIOD, PRIOR TO THE DATE  OF  THIS  SEMI-ANNUAL
REPORT, AND
  (II)  AT  LEAST  THREE  PERCENT OF WHOSE TOTAL EXPENDITURES DURING THE
SAME PERIOD WERE DEVOTED TO LOBBYING IN NEW YORK
SHALL REPORT TO THE COMMISSION THE NAMES OF EACH SOURCE OF FUNDING  OVER
FIVE  THOUSAND  DOLLARS  FROM A SINGLE SOURCE THAT WERE USED TO FUND THE
LOBBYING ACTIVITIES REPORTED AND THE AMOUNTS RECEIVED FROM EACH  IDENTI-
FIED SOURCE OF FUNDING.
  THIS DISCLOSURE SHALL NOT REQUIRE DISCLOSURE OF THE SOURCES OF FUNDING
WHOSE  DISCLOSURE,  IN  THE DETERMINATION OF THE COMMISSION BASED UPON A
REVIEW OF THE RELEVANT FACTS PRESENTED BY THE REPORTING CLIENT OR LOBBY-
IST, MAY CAUSE HARM, THREATS, HARASSMENT, OR REPRISALS TO THE SOURCE  OR
TO  INDIVIDUALS  OR  PROPERTY  AFFILIATED WITH THE SOURCE. THE REPORTING
LOBBYIST MAY APPEAL THE COMMISSION'S DETERMINATION AND SUCH APPEAL SHALL
BE HEARD BY A JUDICIAL HEARING OFFICER WHO IS INDEPENDENT AND NOT AFFIL-
IATED WITH OR  EMPLOYED  BY  THE  COMMISSION,  PURSUANT  TO  REGULATIONS
PROMULGATED  BY  THE  COMMISSION.  THE  REPORTING  LOBBYIST SHALL NOT BE
REQUIRED TO DISCLOSE THE SOURCES OF FUNDING THAT ARE THE SUBJECT OF SUCH
APPEAL PENDING FINAL JUDGMENT ON APPEAL.
  THE DISCLOSURE SHALL NOT APPLY TO:
  (I) ANY CORPORATION REGISTERED PURSUANT  TO  ARTICLE  SEVEN-A  OF  THE
EXECUTIVE  LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
STATES DEPARTMENT OF THE TREASURY UNDER I.R.C. S 501(C)(3);
  (II) ANY CORPORATION REGISTERED PURSUANT TO  ARTICLE  SEVEN-A  OF  THE
EXECUTIVE  LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
STATES DEPARTMENT OF THE TREASURY UNDER I.R.C.  S  501(C)(4)  AND  WHOSE
PRIMARY  ACTIVITIES CONCERN ANY AREA OF PUBLIC CONCERN DETERMINED BY THE
COMMISSION TO CREATE A SUBSTANTIAL LIKELIHOOD THAT APPLICATION  OF  THIS
DISCLOSURE  REQUIREMENT  WOULD  LEAD  TO  HARM,  THREATS, HARASSMENT, OR
REPRISALS TO A SOURCE OF FUNDING OR TO INDIVIDUALS  OR  PROPERTY  AFFIL-
IATED  WITH  SUCH SOURCE, INCLUDING BUT NOT LIMITED TO THE AREA OF CIVIL
RIGHTS AND CIVIL LIBERTIES AND ANY OTHER AREA OF PUBLIC  CONCERN  DETER-
MINED  PURSUANT  TO  REGULATIONS PROMULGATED BY THE COMMISSION TO FORM A
PROPER BASIS FOR EXEMPTION ON THIS BASIS FROM THIS  DISCLOSURE  REQUIRE-
MENT; OR
  (III) ANY GOVERNMENTAL ENTITY.
  THE  JOINT COMMISSION ON PUBLIC ETHICS SHALL PROMULGATE REGULATIONS TO
IMPLEMENT THESE REQUIREMENTS.
  S 3. This act shall take effect June 1, 2012.

                                 PART C

  Section 1. The retirement and social security law is amended by adding
a new article 3-B to read as follows:
                                ARTICLE 3-B
                 PENSION FORFEITURE FOR PUBLIC OFFICIALS
SECTION 156. DEFINITIONS.
        157. PENSION FORFEITURE.
        158. PENSION CONTRIBUTIONS RETURNED.
        159. MISCELLANEOUS.
  S 156. DEFINITIONS. THE FOLLOWING WORDS AND PHRASES, AS USED  IN  THIS
ARTICLE,  SHALL  HAVE THE FOLLOWING MEANINGS, UNLESS A DIFFERENT MEANING
IS PLAINLY REQUIRED BY THE CONTEXT:
  1. "CRIME RELATED TO PUBLIC OFFICE" SHALL MEAN ANY  OF  THE  FOLLOWING
CRIMINAL OFFENSES WHETHER COMMITTED IN THIS STATE OR IN ANY OTHER JURIS-
DICTION BY A PUBLIC OFFICIAL THROUGH THE USE OF HIS OR HER PUBLIC OFFICE

S. 5679                            49

OR  BY  THE  INDIVIDUAL  REPRESENTING THAT HE OR SHE WAS ACTING WITH THE
AUTHORITY OF ANY GOVERNMENTAL ENTITY, AND ACTING AS A PUBLIC OFFICIAL:
  (A)  A  FELONY  FOR COMMITTING, AIDING OR ABETTING A LARCENY OF PUBLIC
FUNDS FROM THE STATE OR A MUNICIPALITY;
  (B) A FELONY COMMITTED IN DIRECT CONNECTION WITH SERVICE AS  A  PUBLIC
OFFICIAL; OR
  (C) A FELONY COMMITTED BY SUCH PERSON WHO, WITH THE INTENT TO DEFRAUD,
REALIZES OR OBTAINS, OR ATTEMPTS TO REALIZE OR OBTAIN, A PROFIT, GAIN OR
ADVANTAGE  FOR  HIMSELF OR HERSELF OR FOR SOME OTHER PERSON, THROUGH THE
USE OR ATTEMPTED USE OF THE POWER, RIGHTS, PRIVILEGES OR DUTIES  OF  HIS
OR HER POSITION AS A PUBLIC OFFICIAL.
  2. "CHIEF ADMINISTRATOR OF THE RETIREMENT SYSTEM" SHALL MEAN THE COMP-
TROLLER  OF THE STATE OF NEW YORK WITH RESPECT TO THE NEW YORK STATE AND
LOCAL EMPLOYEES' RETIREMENT SYSTEM  AND  THE  BOARDS  OF  TRUSTEES  WITH
RESPECT  TO THE OTHER PUBLIC RETIREMENT SYSTEMS AND PENSION FUNDS OF THE
STATE AND THE CITY OF NEW YORK.
  3. "DEFENDANT" SHALL MEAN A STATE OR  LOCAL  OFFICER  AGAINST  WHOM  A
FORFEITURE ACTION IS COMMENCED.
  4. "DEPENDENT PERSON" SHALL MEAN AND INCLUDE:
  (A)  ANY  CHILD  OF  A  PUBLIC  OFFICIAL OR OTHER PERSON FOR WHOM SUCH
PERSON IS LEGALLY RESPONSIBLE TO PROVIDE SUPPORT;
  (B) ANY PRESENT OR FORMER SPOUSE OR DOMESTIC PARTNER OF A PUBLIC OFFI-
CIAL;
  (C) ANY FAMILY OR HOUSEHOLD MEMBER OF A PUBLIC OFFICIAL, REGARDLESS OF
SUCH PERSON'S AGE, WHERE SUCH PERSON HAS A  DISABILITY,  AS  DEFINED  IN
SUBDIVISION  TWENTY-ONE  OF SECTION TWO HUNDRED NINETY-TWO OF THE EXECU-
TIVE LAW; AND
  (D) ANY PERSON TO WHOM A PUBLIC OFFICIAL HAS PROVIDED SUPPORT.
  5. "PENSION" SHALL MEAN THE ANNUAL  ALLOWANCE  FOR  LIFE,  PAYABLE  IN
MONTHLY  INSTALLMENTS, DERIVED FROM CONTRIBUTIONS MADE BY A PUBLIC OFFI-
CIAL TO THE APPROPRIATE PENSION ACCUMULATION FUND OF A RETIREMENT SYSTEM
PURSUANT TO APPLICABLE LAW.
  6. (A) "PUBLIC OFFICIAL" SHALL MEAN ANY OF THE  FOLLOWING  INDIVIDUALS
WHO  WERE  NOT  MEMBERS  OF ANY RETIREMENT SYSTEM PRIOR TO THE EFFECTIVE
DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND ELEVEN WHICH ADDED  THIS
ARTICLE BUT WHO HAVE BECOME MEMBERS OF A COVERED RETIREMENT SYSTEM ON OR
AFTER  THE  EFFECTIVE  DATE  OF  THE CHAPTER OF THE LAWS OF TWO THOUSAND
ELEVEN WHICH ADDED THIS ARTICLE:
  (I) THE GOVERNOR, LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY  GENER-
AL;
  (II) MEMBERS OF THE STATE LEGISLATURE;
  (III) STATE OFFICERS AND EMPLOYEES INCLUDING:
  (A) HEADS OF STATE DEPARTMENTS AND THEIR DEPUTIES AND ASSISTANTS OTHER
THAN  MEMBERS  OF THE BOARD OF REGENTS OF THE UNIVERSITY OF THE STATE OF
NEW YORK WHO RECEIVE NO COMPENSATION OR ARE COMPENSATED ON  A  PER  DIEM
BASIS;
  (B) OFFICERS AND EMPLOYEES OF STATEWIDE ELECTED OFFICIALS;
  (C)  OFFICERS  AND  EMPLOYEES  OF  STATE DEPARTMENTS, BOARDS, BUREAUS,
DIVISIONS, COMMISSIONS, COUNCILS OR OTHER STATE AGENCIES; AND
  (D) MEMBERS OR DIRECTORS OF PUBLIC AUTHORITIES, OTHER THAN MULTI-STATE
AUTHORITIES, PUBLIC BENEFIT CORPORATIONS AND COMMISSIONS AT LEAST ONE OF
WHOSE MEMBERS IS APPOINTED  BY  THE  GOVERNOR,  AND  EMPLOYEES  OF  SUCH
AUTHORITIES, CORPORATIONS AND COMMISSIONS;
  (IV) JUDGES, JUSTICES AND EMPLOYEES OF THE UNIFIED COURT SYSTEM;
  (V) OFFICERS AND EMPLOYEES OF THE LEGISLATURE; AND

S. 5679                            50

  (VI)  PAID  MUNICIPAL  OFFICERS  AND EMPLOYEES INCLUDING AN OFFICER OR
EMPLOYEE OF A MUNICIPALITY, PAID MEMBERS OF  ANY  ADMINISTRATIVE  BOARD,
COMMISSION OR OTHER AGENCY THEREOF AND IN THE CASE OF A COUNTY, SHALL BE
DEEMED TO ALSO INCLUDE ANY OFFICER OR EMPLOYEE PAID FROM COUNTY FUNDS.
  (B)  A  PERSON WHO RECEIVES NO COMPENSATION OR IS COMPENSATED ON A PER
DIEM BASIS FOR HIS OR HER DUTIES AS  A  PUBLIC  OFFICIAL  SHALL  NOT  BE
DEEMED A PUBLIC OFFICIAL PURSUANT TO THIS SUBDIVISION.
  7. "RETIREMENT SYSTEM" SHALL MEAN THE NEW YORK STATE AND LOCAL EMPLOY-
EES'  RETIREMENT  SYSTEM,  AND  THE  NEW YORK CITY EMPLOYEES' RETIREMENT
SYSTEM.
  S 157. PENSION FORFEITURE.  1. NOTWITHSTANDING ANY OTHER  LAW  TO  THE
CONTRARY,  IT  SHALL  BE  A  TERM  AND CONDITION OF MEMBERSHIP FOR EVERY
PUBLIC OFFICIAL WHO BECOMES A MEMBER OF  ANY  RETIREMENT  SYSTEM  ON  OR
AFTER  THE  EFFECTIVE  DATE  OF  THE CHAPTER OF THE LAWS OF TWO THOUSAND
ELEVEN WHICH ADDED THIS ARTICLE, THAT SUCH PUBLIC OFFICIAL'S RIGHTS TO A
PENSION IN A RETIREMENT SYSTEM THAT ACCRUE  IN  SUCH  RETIREMENT  SYSTEM
AFTER  HIS  OR  HER  DATE OF INITIAL MEMBERSHIP IN THE RETIREMENT SYSTEM
SHALL BE SUBJECT TO THE PROVISIONS OF THIS ARTICLE.
  2. IN THE CASE OF A PUBLIC OFFICIAL WHO STANDS CONVICTED, BY  PLEA  OF
NOLO  CONTENDERE  OR PLEA OF GUILTY TO, OR BY CONVICTION AFTER TRIAL, OF
ANY CRIME RELATED TO PUBLIC  OFFICE,  AN  ACTION  MAY  BE  COMMENCED  IN
SUPREME  COURT OF THE COUNTY IN WHICH SUCH PUBLIC OFFICIAL WAS CONVICTED
OF SUCH FELONY CRIME, BY THE DISTRICT ATTORNEY HAVING JURISDICTION  OVER
SUCH  CRIME,  OR BY THE ATTORNEY GENERAL IF THE ATTORNEY GENERAL BROUGHT
THE CRIMINAL CHARGE WHICH RESULTED IN SUCH CONVICTION, FOR AN  ORDER  TO
REDUCE  OR REVOKE THE PENSION TO WHICH SUCH PUBLIC OFFICIAL IS OTHERWISE
ENTITLED FOR SERVICE AS A PUBLIC OFFICIAL.  SUCH COMPLAINT SHALL SPECIFY
WITH PARTICULARITY WHICH CATEGORY OF FELONY PURSUANT TO SUBDIVISION  ONE
OF  SECTION  ONE  HUNDRED  FIFTY-SIX  OF  THIS ARTICLE THE DEFENDANT HAS
COMMITTED, AND ALL OTHER FACTS THAT ARE ALLEGED TO QUALIFY SUCH CRIME AS
A FELONY CRIME RELATED TO PUBLIC OFFICE SUBJECT TO PENSION REDUCTION  OR
REVOCATION PURSUANT TO THIS ARTICLE, AND THE AMOUNT OF PENSION REDUCTION
OR  REVOCATION  REQUESTED.    SUCH  ACTION SHALL BE COMMENCED WITHIN SIX
MONTHS AFTER SUCH CONVICTION.
  3. BEFORE COMMENCING AN ACTION DESCRIBED IN SUBDIVISION  TWO  OF  THIS
SECTION,  THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL, AS THE CASE MAY
BE, SHALL SERVE WRITTEN NOTICE ON THE CHIEF ADMINISTRATOR OF THE DEFEND-
ANT'S RETIREMENT SYSTEM STATING THAT HE OR SHE  HAS  REASON  TO  BELIEVE
THAT  THE  PERSON CONVICTED COMMITTED THE CRIME RELATED TO PUBLIC OFFICE
IN THE PERFORMANCE OF OR FAILURE TO PERFORM THE PUBLIC OFFICIAL'S DUTIES
AND RESPONSIBILITIES.   SUCH NOTICE  SHALL  SPECIFY  WITH  PARTICULARITY
WHICH  CATEGORY  OF  FELONY  PURSUANT  TO SUBDIVISION ONE OF SECTION ONE
HUNDRED FIFTY-SIX OF THIS ARTICLE THE DEFENDANT HAS COMMITTED.    WITHIN
TWENTY DAYS AFTER RECEIPT OF SUCH NOTICE, THE CHIEF ADMINISTRATOR OF THE
DEFENDANT'S  RETIREMENT SYSTEM SHALL SUBMIT A NOTICE OF APPLICABILITY TO
THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL AS THE CASE  MAY  BE.  THE
NOTICE OF APPLICABILITY SHALL CONTAIN A STATEMENT SPECIFYING WHETHER THE
PERSON  CONVICTED IS OR HAS BEEN A MEMBER OR RETIRED MEMBER OF A RETIRE-
MENT SYSTEM AND SHALL DESCRIBE THE PORTION OF SUCH RIGHTS  AND  BENEFITS
TO  WHICH  SUCH  PERSON IS OR WILL BE ENTITLED TO SOLELY FROM SERVICE AS
SUCH A PUBLIC OFFICIAL.
  4. NO FORFEITURE ACTION MAY BE COMMENCED BY THE DISTRICT  ATTORNEY  OR
THE ATTORNEY GENERAL UNTIL SUCH DISTRICT ATTORNEY OR THE ATTORNEY GENER-
AL,  AS  THE  CASE  MAY BE, HAS RECEIVED AND SERVED ON THE DEFENDANT THE
NOTICE OF APPLICABILITY AS  SET  FORTH  IN  SUBDIVISION  THREE  OF  THIS
SECTION.

S. 5679                            51

  5.  THE  DISTRICT  ATTORNEY OR THE ATTORNEY GENERAL, OR ANY INTERESTED
PARTY, MAY SEEK, OR THE COURT ON ITS OWN MOTION MAY ORDER, THAT SOME  OR
ALL  OF  THE PENSION THAT WOULD OTHERWISE BE REDUCED OR REVOKED PURSUANT
TO THIS ARTICLE BE PAID FOR THE BENEFIT OF ANY DEPENDENT PERSONS, AS MAY
BE IN THE INTERESTS OF JUSTICE.
  6. THE DEFENDANT SHALL HAVE THE RIGHT TO A HEARING.
  7.  THE  BURDEN  OF  PROOF  SHALL BE UPON THE DISTRICT ATTORNEY OR THE
ATTORNEY GENERAL, AS THE CASE MAY BE, TO PROVE BY CLEAR  AND  CONVINCING
EVIDENCE THE FACTS NECESSARY TO ESTABLISH A CLAIM OF PENSION FORFEITURE.
THE  DISTRICT  ATTORNEY OR THE ATTORNEY GENERAL AS THE CASE MAY BE MUST,
AT THE TIME OF THE HEARING, PROVE BY CLEAR AND CONVINCING EVIDENCE  THAT
THE DEFENDANT KNOWINGLY AND INTENTIONALLY COMMITTED THE CRIME RELATED TO
PUBLIC OFFICE.
  8. IN DETERMINING WHETHER THE PENSION SHALL BE REDUCED OR REVOKED, THE
SUPREME  COURT  SHALL CONSIDER AND MAKE FINDINGS OF FACT AND CONCLUSIONS
OF LAW THAT INCLUDE, BUT SHALL NOT BE LIMITED TO, A CONSIDERATION OF THE
FOLLOWING FACTORS:
  (A) WHETHER THE DEFENDANT STANDS CONVICTED OF SUCH A FELONY OF A CRIME
RELATED TO PUBLIC OFFICE, AND THE SPECIFIC PARAGRAPH  OR  PARAGRAPHS  OF
SUBDIVISION  ONE  OF  SECTION ONE HUNDRED FIFTY-SIX OF THIS ARTICLE THAT
HAVE BEEN PROVEN OR NOT PROVEN;
  (B) THE SEVERITY OF THE CRIME RELATED TO PUBLIC OFFICE  OF  WHICH  THE
DEFENDANT STANDS CONVICTED;
  (C) THE AMOUNT OF MONETARY LOSS SUFFERED BY SUCH STATE OR MUNICIPALITY
AS A RESULT OF SUCH CRIME RELATED TO PUBLIC OFFICE;
  (D)  THE  DEGREE  OF  PUBLIC  TRUST  REPOSED IN THE PUBLIC OFFICIAL BY
VIRTUE OF THE PERSON'S POSITION AS A PUBLIC OFFICIAL;
  (E) IF THE CRIME RELATED TO PUBLIC OFFICE WAS  PART  OF  A  FRAUDULENT
SCHEME AGAINST THE STATE OR A MUNICIPALITY, THE ROLE OF THE PUBLIC OFFI-
CIAL IN SUCH FRAUDULENT SCHEME AGAINST SUCH STATE OR A MUNICIPALITY;
  (F) THE DEFENDANT'S CRIMINAL HISTORY, IF ANY;
  (G)    THE  IMPACT  OF FORFEITURE, IN WHOLE OR IN PART, ON DEFENDANT'S
DEPENDENTS, PRESENT OR FORMER SPOUSES, OR DOMESTIC PARTNERS;
  (H) THE PROPORTIONALITY OF FORFEITURE OF ALL OR PART OF THE PENSION TO
THE CRIME COMMITTED; AND
  (I) ANY SUCH OTHER FACTORS AS, IN THE JUDGMENT OF THE  SUPREME  COURT,
JUSTICE MAY REQUIRE.
  9.  AT  ANY TIME DURING THE PENDENCY OF A FORFEITURE ACTION, THE COURT
MAY DISMISS THE ACTION IF IT FINDS THAT SUCH RELIEF IS WARRANTED BY  THE
EXISTENCE  OF  SOME  COMPELLING FACTOR, CONSIDERATION OR CIRCUMSTANCE OR
OTHER INFORMATION OR EVIDENCE WHICH DEMONSTRATES THAT  FORFEITURE  WOULD
NOT  SERVE  THE ENDS OF JUSTICE. THE COURT MAY ORDER THAT SOME OR ALL OF
THE REDUCED OR REVOKED PENSION BE PAID  TO  SATISFY  THE  TERMS  OF  ANY
EXISTING ORDER FOR THE PAYMENT OF MAINTENANCE, CHILD SUPPORT OR RESTITU-
TION  OR  FOR  THE  BENEFIT  OF  ANY DEPENDENT PERSONS, AS MAY BE IN THE
INTERESTS OF JUSTICE, AFTER  TAKING  INTO  CONSIDERATION  THE  FINANCIAL
NEEDS AND RESOURCES AVAILABLE FOR SUPPORT OF SUCH PERSONS.
  10.  UPON A FINDING BY THE COURT BY CLEAR AND CONVINCING EVIDENCE THAT
THE DEFENDANT KNOWINGLY AND INTENTIONALLY COMMITTED A CRIME  RELATED  TO
PUBLIC  OFFICE,  THE COURT MAY ISSUE AN ORDER TO THE APPROPRIATE RETIRE-
MENT SYSTEM TO REDUCE OR REVOKE THE DEFENDANT'S PENSION TO WHICH  HE  OR
SHE  IS  OTHERWISE  ENTITLED  AS  SUCH A PUBLIC OFFICIAL. ALL ORDERS AND
FINDINGS MADE BY THE COURT PURSUANT TO THIS SECTION SHALL BE  SERVED  BY
THE  ATTORNEY  GENERAL OR THE DISTRICT ATTORNEY, AS THE CASE MAY BE UPON
THE CHIEF ADMINISTRATOR OF THE DEFENDANT'S  RETIREMENT  SYSTEM  AND  THE
DEFENDANT.

S. 5679                            52

  11.  THE  COURT  SHALL  ISSUE A WRITTEN DECISION INCLUDING FINDINGS OF
FACT AND CONCLUSIONS OF LAW THAT ARE THE  BASIS  FOR  ANY  ORDER  ISSUED
PURSUANT TO THIS SECTION.
  12. UPON A FINAL DETERMINATION THAT REVERSES OR VACATES THE CONVICTION
OR  CONVICTIONS  OF  A  CRIME  RELATED TO PUBLIC OFFICE, OR REDUCES SUCH
CRIME TO A VIOLATION, MISDEMEANOR OR OTHER CRIMINAL ACT THAT  IS  NOT  A
CRIME  RELATED  TO  PUBLIC  OFFICE, THE PUBLIC OFFICIAL, OR IF HE OR SHE
SHALL BE DECEASED, HIS OR HER ESTATE, SHALL HAVE SUCH  PENSION  RETROAC-
TIVELY RESTORED UPON APPLICATION TO THE COURT WITH JURISDICTION OVER THE
FORFEITURE  ACTION.  SUCH COURT, UPON FINDING THAT SUCH A FINAL DETERMI-
NATION HAS OCCURRED, SHALL ISSUE AN ORDER RETROACTIVELY  RESTORING  SUCH
PENSION, TOGETHER WITH SUCH OTHER RELIEF DEEMED APPROPRIATE.
  13.  A FINAL JUDGMENT ENTERED PURSUANT TO THIS ARTICLE MAY BE APPEALED
PURSUANT TO SUBDIVISION (A)  OF  SECTION  FIFTY-SEVEN  HUNDRED  ONE  AND
SECTION FIFTY-SIX HUNDRED TWO OF THE CIVIL PRACTICE LAW AND RULES.
  14.  EXCEPT  AS OTHERWISE PROVIDED BY THIS ARTICLE, THE CIVIL PRACTICE
LAW AND RULES SHALL GOVERN THE PROCEDURE IN ALL ACTIONS COMMENCED PURSU-
ANT TO THIS ARTICLE, EXCEPT WHERE THE ACTION IS  SPECIFICALLY  REGULATED
BY ANY INCONSISTENT PROVISIONS HEREIN.
  S  158.  PENSION  CONTRIBUTIONS RETURNED. 1. ANY PUBLIC OFFICIAL WHOSE
PENSION IS REDUCED OR REVOKED PURSUANT TO THIS ARTICLE SHALL BE ENTITLED
TO A RETURN OF HIS OR HER CONTRIBUTION PAID INTO THE RELEVANT RETIREMENT
SYSTEM, WITHOUT INTEREST.
  2. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION ONE OF THIS  SECTION,
NO  PAYMENTS  IN RETURN OF CONTRIBUTIONS SHALL BE MADE OR ORDERED UNLESS
AND UNTIL THE SUPREME COURT DETERMINES THAT THE  PUBLIC  OFFICIAL  WHOSE
PENSION  HAS BEEN REDUCED OR REVOKED HAS SATISFIED IN FULL ANY JUDGMENTS
OR ORDERS RENDERED BY  ANY  COURT  OF  COMPETENT  JURISDICTION  FOR  THE
PAYMENT  OF  RESTITUTION  TO  THE  STATE  OR  A  MUNICIPALITY FOR LOSSES
INCURRED AS A RESULT OF SUCH CRIME RELATED TO PUBLIC  OFFICE.    IF  THE
SUPREME  COURT  DETERMINES THAT SUCH PUBLIC OFFICIAL WHOSE PENSION IS TO
BE REDUCED OR REVOKED HAS FAILED TO SATISFY ANY OUTSTANDING JUDGMENT  OR
ORDER  OF  RESTITUTION RENDERED BY A COURT OF COMPETENT JURISDICTION, IT
MAY ORDER THAT ANY FUNDS OTHERWISE DUE TO  SUCH  PUBLIC  OFFICIAL  AS  A
RETURN  OF CONTRIBUTION, OR ANY PORTION THEREOF, BE PAID IN SATISFACTION
OF SUCH JUDGMENT OR ORDER.
  S 159. MISCELLANEOUS. THE REMEDIES PROVIDED FOR IN  THIS  ARTICLE  ARE
NOT  INTENDED TO SUBSTITUTE FOR, LIMIT OR SUPERSEDE THE LAWFUL AUTHORITY
OF ANY PUBLIC OFFICER, AGENCY OR OTHER PERSON TO ENFORCE ANY OTHER RIGHT
OR REMEDY PROVIDED FOR BY LAW.
  S 2. The criminal procedure law is amended by  adding  a  new  section
220.51 to read as follows:
S 220.51 NOTICE  BEFORE  ENTRY OF PLEA OR TRIAL INVOLVING A PUBLIC OFFI-
            CIAL.
  PRIOR TO TRIAL, AND BEFORE ACCEPTING A DEFENDANT'S PLEA TO A COUNT  OR
COUNTS OF AN INDICTMENT OR A SUPERIOR COURT INFORMATION CHARGING A FELO-
NY  OFFENSE,  THE  COURT  MUST INDIVIDUALLY ADVISE THE DEFENDANT, ON THE
RECORD, THAT IF AT THE TIME OF THE ALLEGED FELONY  CRIME  THE  DEFENDANT
WAS  A  PUBLIC  OFFICIAL,  AS  DEFINED IN SUBDIVISION SIX OF SECTION ONE
HUNDRED FIFTY-SIX OF THE RETIREMENT AND SOCIAL SECURITY LAW, THE DEFEND-
ANT'S PLEA OF GUILTY AND THE COURT'S ACCEPTANCE  THEREOF  OR  CONVICTION
AFTER TRIAL MAY RESULT IN PROCEEDINGS FOR THE REDUCTION OR REVOCATION OF
SUCH  DEFENDANT'S  PENSION PURSUANT TO ARTICLE THREE-B OF THE RETIREMENT
AND SOCIAL SECURITY LAW.

S. 5679                            53

  S 3. This act shall take effect on the ninetieth day  after  it  shall
have become a law and shall only apply to acts committed by public offi-
cials on or after such date.

                                 PART D

  Section  1.  Paragraph  (i)  of subdivision (c) and subdivision (j) of
section 1-c of the legislative law, paragraph (i) of subdivision (c)  as
added  by  chapter 1 of the laws of 2005 and subdivision (j) as added by
chapter 14 of the laws of 2007, are amended to read as follows:
  (i) the passage or defeat of any legislation OR RESOLUTION  by  either
house  of  the state legislature INCLUDING BUT NOT LIMITED TO THE INTRO-
DUCTION OR INTENDED INTRODUCTION OF SUCH LEGISLATION  OR  RESOLUTION  or
approval or disapproval of any legislation by the governor;
  (j)  The  term  "gift"  shall mean anything of more than nominal value
given to a public official in any form including,  but  not  limited  to
money,  service,  loan,  travel,  lodging,  meals,  refreshments, enter-
tainment, discount, forbearance, or promise, having  a  monetary  value.
The following are excluded from the definition of a gift:
  (i)  complimentary  attendance,  including  food and beverage, at bona
fide charitable or political events[, and food and beverage of a nominal
value offered other than as part of a meal];
  (ii) complimentary attendance, food and beverage offered by the  spon-
sor  of  [an  event  that  is]  A  widely attended [or was in good faith
intended to be widely attended, when attendance at the event is  related
to  the  attendee's  duties  or responsibilities as a public official or
allows the public official to perform a ceremonial function  appropriate
to  his  or  her position] EVENT. THE TERM "WIDELY ATTENDED EVENT" SHALL
MEAN AN EVENT:  (A) WHICH AT LEAST TWENTY-FIVE  INDIVIDUALS  OTHER  THAN
MEMBERS,  OFFICERS,  OR  EMPLOYEES FROM THE GOVERNMENTAL ENTITY IN WHICH
THE PUBLIC OFFICIAL SERVES ATTEND OR WERE, IN  GOOD  FAITH,  INVITED  TO
ATTEND,  AND  (B) WHICH IS RELATED TO THE ATTENDEE'S DUTIES OR RESPONSI-
BILITIES OR WHICH ALLOWS THE PUBLIC OFFICIAL  TO  PERFORM  A  CEREMONIAL
FUNCTION  APPROPRIATE  TO  HIS OR HER POSITION. FOR THE PURPOSES OF THIS
EXCLUSION, A PUBLIC OFFICIAL'S DUTIES OR RESPONSIBILITIES SHALL  INCLUDE
BUT  NOT  BE  LIMITED  TO  EITHER (1) ATTENDING AN EVENT OR A MEETING AT
WHICH A SPEAKER OR ATTENDEE ADDRESSES AN ISSUE  OF  PUBLIC  INTEREST  OR
CONCERN  AS  A SIGNIFICANT ACTIVITY AT SUCH EVENT OR MEETING; OR (2) FOR
ELECTED PUBLIC OFFICIALS, OR THEIR STAFF ATTENDING WITH OR ON BEHALF  OF
SUCH  ELECTED  OFFICIALS,  ATTENDING AN EVENT OR A MEETING AT WHICH MORE
THAN ONE-HALF OF THE ATTENDEES, OR PERSONS  INVITED  IN  GOOD  FAITH  TO
ATTEND, ARE RESIDENTS OF THE COUNTY, DISTRICT OR JURISDICTION FROM WHICH
THE ELECTED PUBLIC OFFICIAL WAS ELECTED;
  (iii)  awards,  plaques, and other ceremonial items which are publicly
presented, or intended to  be  publicly  presented,  in  recognition  of
public  service, provided that the item or items are of the type custom-
arily bestowed at such or similar ceremonies and are  otherwise  reason-
able under the circumstances, and further provided that the functionali-
ty  of  such  items shall not determine whether such items are permitted
under this paragraph;
  (iv) an honorary degree bestowed upon a public official by a public or
private college or university;
  (v) promotional items having no substantial resale value such as pens,
mugs, calendars, hats, and t-shirts which bear an  organization's  name,
logo, or message in a manner which promotes the organization's cause;

S. 5679                            54

  (vi)  goods and services, or discounts for goods and services, offered
to the general public or a segment of the general public  defined  on  a
basis  other  than  status  as a public official and offered on the same
terms and conditions as the goods or services are offered to the general
public or segment thereof;
  (vii)  gifts  from  a  family member, member of the same household, or
person with a personal relationship with the public official,  including
invitations to attend personal or family social events, when the circum-
stances  establish  that  it  is  the  family,  household,  or  personal
relationship that is the primary motivating factor; in determining moti-
vation, the following factors shall be among those considered:  (A)  the
history and nature of the relationship between the donor and the recipi-
ent,  including whether or not items have previously been exchanged; (B)
whether the item was purchased by the donor; and (C) whether or not  the
donor at the same time gave similar items to other public officials; the
transfer shall not be considered to be motivated by a family, household,
or  personal  relationship  if  the  donor seeks to charge or deduct the
value of such item as a business expense or seeks reimbursement  from  a
client;
  (viii) contributions reportable under article fourteen of the election
law,  INCLUDING  CONTRIBUTIONS  MADE IN VIOLATION OF THAT ARTICLE OF THE
ELECTION LAW;
  (ix) travel reimbursement or payment  for  transportation,  meals  and
accommodations  for an attendee, panelist or speaker at an informational
event OR INFORMATIONAL MEETING when such  reimbursement  or  payment  is
made  by  a  governmental  entity or by an in-state accredited public or
private institution of higher education that  hosts  the  event  on  its
campus,  provided,  however,  that  the  public official may only accept
lodging from an institution of higher education: (A) at a location on or
within close proximity to the host campus; and (B) for the night preced-
ing and the nights of the days on which the attendee, panelist or speak-
er actually attends the event OR MEETING;
  (x) provision of local transportation to inspect or  tour  facilities,
operations  or  property [owned or operated by the entity providing such
transportation] LOCATED IN NEW YORK STATE, provided, however, THAT  SUCH
INSPECTION  OR  TOUR  IS  RELATED TO THE INDIVIDUAL'S OFFICIAL DUTIES OR
RESPONSIBILITIES AND that payment or reimbursement [of] FOR EXPENSES FOR
lodging[, meals] or travel expenses to and from the locality where  such
facilities, operations or property are located shall be considered to be
gifts unless otherwise permitted under this subdivision; [and]
  (xi)  meals  or  refreshments  when participating in a professional or
educational program and the meals or refreshments are  provided  to  all
participants; AND
  (XII) FOOD OR BEVERAGE VALUED AT FIFTEEN DOLLARS OR LESS.
  S 2. This act shall take effect immediately.

                                 PART E

  Section  1.  The state board of elections shall, no later than January
1, 2012, issue regulations setting forth and implementing  the  require-
ments  under  existing law for individuals, organizations, corporations,
political committees, or any  other  entities  to  disclose  independent
expenditures  made for advertisements or any other type of advocacy that
expressly identifies a political  candidate  or  ballot  proposal.  Such
regulations  shall  require such disclosure to the fullest extent of the
law.

S. 5679                            55

  S 2. Section 14-106 of the election law, as amended by  chapter  8  of
the laws of 1978, is amended to read as follows:
  S  14-106.  Political  [advertisements  and literature] COMMUNICATION.
The statements required to be filed under the provisions of this article
next succeeding a primary, general or special election shall be accompa-
nied by a [facsimile or] copy of all BROADCAST, CABLE OR SATELLITE SCHE-
DULES AND SCRIPTS, INTERNET, PRINT AND OTHER  TYPES  OF  advertisements,
pamphlets,  circulars,  flyers, brochures, letterheads and other printed
matter purchased or produced [and a schedule of all radio or  television
time,  and  scripts  used  therein],  purchased  in connection with such
election by or under the authority of the person filing the statement or
the committee or the person on whose behalf it is filed, as the case may
be. Such [facsimiles,] copies, schedules and scripts shall be  preserved
by  the  officer  with whom or the board with which it is required to be
filed for a period of one year from the date of filing thereof.
  S 3. Section 14-126 of the election law, as amended by  chapter  8  of
the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
1994  and  subdivisions  2,  3 and 4 as redesignated by chapter 9 of the
laws of 1978, is amended to read as follows:
  S 14-126. Violations; penalties. 1. Any person who  fails  to  file  a
statement  required  to  be  filed by this article shall be subject to a
civil penalty, not in excess of [five hundred] ONE THOUSAND dollars,  to
be  recoverable in a special proceeding or civil action to be brought by
the state board of elections or other board  of  elections.  ANY  PERSON
WHO,  THREE OR MORE TIMES WITHIN A GIVEN ELECTION CYCLE FOR SUCH TERM OF
OFFICE, FAILS TO FILE A STATEMENT OR STATEMENTS REQUIRED TO BE FILED  BY
THIS  ARTICLE, SHALL BE SUBJECT TO A CIVIL PENALTY, NOT IN EXCESS OF TEN
THOUSAND DOLLARS, TO BE RECOVERABLE AS PROVIDED FOR IN THIS SUBDIVISION.
  2.  ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL
COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE  SUCH  LAW,
UNLAWFULLY ACCEPTS A CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION
ESTABLISHED  IN  THIS  ARTICLE,  SHALL BE REQUIRED TO REFUND SUCH EXCESS
AMOUNT AND SHALL BE SUBJECT TO A  CIVIL  PENALTY  EQUAL  TO  THE  EXCESS
AMOUNT PLUS A FINE OF UP TO TEN THOUSAND DOLLARS, TO BE RECOVERABLE IN A
SPECIAL  PROCEEDING  OR CIVIL ACTION TO BE BROUGHT BY THE STATE BOARD OF
ELECTIONS.
  3. Any person who knowingly and willfully fails to  file  a  statement
required  to  be  filed  by  this article within ten days after the date
provided for filing such statement or any person who knowingly and will-
fully violates any other provision of this article shall be guilty of  a
misdemeanor.
  [3.] 4. Any person who knowingly and willfully contributes, accepts or
aids  or  participates  in the acceptance of a contribution in an amount
exceeding an applicable maximum specified in this article shall be guil-
ty of a misdemeanor.
  [4.] 5. Any person who shall, acting on behalf of a candidate or poli-
tical committee, knowingly and willfully solicit, organize or coordinate
the formation of activities of one or more unauthorized committees, make
expenditures in connection with the nomination for election or  election
of  any  candidate, or solicit any person to make any such expenditures,
for the purpose of evading the contribution limitations of this article,
shall be guilty of a class E felony.
  S 4. Section 16-100 of the election law is amended to read as follows:
  S 16-100. Jurisdiction; supreme court, county court.  1.  The  supreme
court is vested with jurisdiction to summarily determine any question of

S. 5679                            56

law  or  fact arising as to any subject set forth in this article, which
shall be construed liberally.
  2. The county court is vested with jurisdiction to summarily determine
any  question  of  law  or fact except proceedings as to a nomination or
election at a primary election or a nomination at a judicial convention,
proceedings as to the casting and canvass of ballots [and],  proceedings
for  examination  or  preservation of ballots AND PROCEEDINGS TO ENFORCE
THE PROVISIONS OF ARTICLE FOURTEEN OF THIS CHAPTER.
  S 5. The election law is amended by adding a  new  section  16-120  to
read as follows:
  S  16-120.  ENFORCEMENT PROCEEDINGS. 1. THE SUPREME COURT OR A JUSTICE
THEREOF, IN A PROCEEDING INSTITUTED BY THE STATE BOARD OF ELECTIONS, MAY
IMPOSE A CIVIL PENALTY, AS PROVIDED FOR IN SUBDIVISIONS ONE AND  TWO  OF
SECTION 14-126 OF THIS CHAPTER.
  2. UPON PROOF THAT A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, AS
PROVIDED IN SUBDIVISION ONE OF THIS SECTION, HAS OCCURRED, THE COURT MAY
IMPOSE  A CIVIL PENALTY, PURSUANT TO SUBDIVISIONS ONE AND TWO OF SECTION
14-126 OF THIS CHAPTER, AFTER  CONSIDERING,  AMONG  OTHER  FACTORS,  THE
SEVERITY  OF  THE  VIOLATION  OR  VIOLATIONS, WHETHER THE SUBJECT OF THE
VIOLATION MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION AND  WHETHER
THE  SUBJECT  OF  THE VIOLATION HAS A HISTORY OF SIMILAR VIOLATIONS. ALL
SUCH DETERMINATIONS SHALL BE MADE ON A FAIR AND EQUITABLE BASIS  WITHOUT
REGARD TO THE STATUS OF THE CANDIDATE OR POLITICAL COMMITTEE.
  S  6. 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 7. This act shall take effect immediately.
  S 3. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, section or part of this act shall be  adjudged  by  any  court  of
competent  jurisdiction  to  be invalid, such judgment shall not affect,
impair, or invalidate the remainder thereof, but shall  be  confined  in
its  operation  to the clause, sentence, paragraph, subdivision, section
or part thereof directly involved in the controversy in which such judg-
ment shall have been rendered. It is hereby declared to be the intent of
the legislature that this act would  have  been  enacted  even  if  such
invalid provisions had not been included herein.
  S  4.  This  act shall take effect immediately provided, however, that
the applicable effective date of Parts A through E of this act shall  be
as specifically set forth in the last section of such Parts.