senate Bill S573A

2011-2012 Legislative Session

Enacts the "ethics in state government now act"

download bill text pdf

Sponsored By

Archive: Last Bill Status - In Committee


  • Introduced
  • In Committee
  • On Floor Calendar
    • Passed Senate
    • Passed Assembly
  • Delivered to Governor
  • Signed/Vetoed by Governor

do you support this bill?

Actions

view actions (4)
Assembly Actions - Lowercase
Senate Actions - UPPERCASE
Jan 04, 2012 referred to investigations and government operations
Mar 11, 2011 print number 573a
amend and recommit to investigations and government operations
Jan 05, 2011 referred to investigations and government operations

Bill Amendments

Original
A (Active)
Original
A (Active)

Co-Sponsors

S573 - Bill Details

Current Committee:
Law Section:
Legislative Law
Laws Affected:
Amd §80, Leg L; amd §§73, 73-a & 74, Pub Off L
Versions Introduced in 2009-2010 Legislative Session:
S6159

S573 - Bill Texts

view summary

Enacts the "ethics in state government now act"; makes the ethics rules and financial disclosure applicable to the legislature and its employees stricter; re-establishes the membership of the legislative ethics commission.

view sponsor memo
BILL NUMBER:S573

TITLE OF BILL:
An act to amend the legislative law and the public officers law, in
relation to state legislative ethics

PURPOSE OR GENERAL IDEA OF THE BILL:
This bill institutes a multi-faceted approach to reform the
composition of the New York State Legislative Ethics Commission (LEC)
the manner in which this Commission operates, and broadens its powers
to more adequately and quickly enforce the state's ethics laws with
regard to the actions of individual state legislators and legislative
employees. In addition, the bill encourages the LEC, when appropriate,
to coordinate its law enforcement activities with other law
enforcement agencies and to cooperate more fully with the activities
being conducted by the NYS Attorney General and Commission on Public
Integrity to better enforce the State's Ethics Laws.

SUMMARY OF PROVISIONS:
Section 1: Provides the title for this act.

Section 2: Amends Legislative Law section 80 to institute significant
reforms to the Legislative Ethics Commission (LEC). Those Reforms are
as follows:

1) Legislative Law Section 80(1) - The LEC is reconstituted so that no
currently sitting legislators can be part of the Commission's Board.
Under current law, 4 legislators are appointed to the Commission by
the four respective legislative leaders, and 5 additional members, who
are private citizens, are also appointed by the same legislative
leaders. The co-chairmen are selected respectively by the Assembly
Speaker and Senate Majority Leader. Under this bill, the four
legislative leaders from the majority and minority would select 4
private citizens to sit on the Commission. In addition, the Governor,
Attorney General, State Comptroller, Chief Judge of the Court of
Appeal, and Chairman of the Commission on Public Integrity (CPI) would
all designate one member of the newly constituted Board. This means
that legislators will no longer be able to or be forced to sit in
judgment of their legislative colleagues or legislative staff. Newly
appointed members should, by virtue of their education and training,
have experience in the following disciplines, legislative, judicial,
administrative, professional ethics, business, legal and academic.

2) Legislative Law Section 80(2) - The Chairperson of the Commission,
while still selected by the Senate President and Assembly Speaker,
would need to be chosen from the five board members that were picked
by the Governor, Attorney General, State Comptroller, Court of
Appeals, or CPI, not those members that were selected by legislative
leaders. The Commission will truly become an independent body whose
operations will be far more open to the public. This is because its
leadership shall come from outside of the environment of the state
Legislature.

3) Legislative Law Section 80(7)(c) is amended to require that the
commission shall operate pursuant to the State Administrative
Procedure Law (SAPA), and promulgate its rules according to all of the


due process and open government principles contained in that act. In
addition, public hearings conducted by the LBC shall be in accordance
with the due process procedures contained in SAPA article 3, with the
understanding that certain hearings, will not be open to the public to
reflect concerns about the privacy interests of those subject to the
hearings in question. Further, pursuant to SAPA, all LEC rulemakings,
including its procedures for operation, must be promulgated in a
manner so that the public can comment on proposed LEC rules before
they are adopted and filed with the Secretary of State.

4) Legislative Law section 80(7)(h) is amended so that LEC staff, in
addition to Commission members, are allowed to review all financial
disclosure statements filed by members of the legislature.

5) Legislative Law section 80(7)(i) and (j) are deleted. Paragraph (i)
allows regulated parties to request and receive permission from the
Commission to delete from public view those items disclosed to the
commission that had "no material bearing on the discharge of the
employees duties". paragraph (j) permitted the Commission delete or
not disclose information on the business activities of the regulated
person's spouse or unemancipated children.

6) Legislative Law Section 80(7)(o) is revised so that certain
relevant, but up to now confidential information about the activities
of the commission, may be presented in the Commission's Annual Report.
This provision shall help to open up to the public the workings of the
commission.

7) Legislative Law section 80(8) - Reiterates that the LEC Executive
Director and staff may inspect all financial disclosure statements
filed by state legislators and legislative staff. In addition, the
commission and its staff may reexamine previously submitted financial
disclosure statements within the past five years if new information
has come to light that may reveal a possible violation or violations
of the state's Ethics Laws.

8) Legislative Law section 80(9) is amended so that there is a
specific time line in which all persons under the jurisdiction of the
LEC must file their financial disclosure statements. Further, if the
time line is not satisfied, the Commission may prosecute such
violators.

9) Legislative Law Section 10 is amended to establish a solid time
line in which the commission must act upon complaints that are
submitted to this body: a) by private citizens of potential violations
of the Ethics Laws, b) about acts or information it receives from
outside sources that reveals a violation of the Ethics Laws, or c)
information it receives from the CPI or law enforcement agencies of
potential violations of the Ethics Laws. Under current law, there is
no procedure or time frame for processing such complaints, therefore,
some of these complaints may not have been investigated in timely
manner or not at all.

10) Legislative Law section 11 is amended to increase the penalties
for violation of public officers Law 74(3) (a), (e), or (g) to no more
than $ 10,000. Under current law, the civil penalty for violations of
(a), (e), or (g) are merely the value of the gift or compensation that


was illegally received by the assailant. Further, under current law,
most violations of the Ethics law are civil in nature, even if the
party is convicted of stealing or misappropriating public property or
had violated the public trust. This bill allows for criminal penalties
for such violations, and thereby allows the Attorney General or local
District Attorney to prosecute these activities as crimes with
punishments of fines or jail time. Also, the commission, in
establishing its hearing rules, needs to abide by the principles of
SAPA article 3, but can deviate to some extent, due to the unique
situations that can occur in the State Legislature and due to the
privacy considerations of those being examined.

Section 3: Amends the public Officers Law section 73 (the section that
regulates business and professional activities by legislative
personnel) to add a new subsection (14-a). This section adds new
prohibitions that apply exclusively to state legislators or
legislative employees who are policy makers. Under this amendment, no
state legislator or legislative employee who is a policymaker may not
only not participate in any decision to hire or promote a relative
within the state Legislature (the current law), but it will also
prohibit such hires of their relatives if they have any knowledge of
such hire or helped to process the paperwork for such hire in any way
for relatives in the same legislative chamber. With this provision, a
state legislator who even knows that a relative is being hired within
the State Legislature (the chamber in which the regulated party works
also) will be culpable of the crime of nepotism This significantly
expands the prohibition against nepotism and hopefully will actively
encourage legislators not to indirectly encourage the hiring of their
relatives.

Section 4: Amends public Officers Law section 74(3) to add additional
standards to the Code of Ethics. One provision, (3) (a) requires that
an individual who is to be retained by the State Legislature, must
leave his or her other employment if there may reasonably be a
conflict of interest or such other employment may impair their
independence of judgment. Also, section 74(3) (g) is amended so that a
member of the legislature or legislative employee should abstain from
making personal investments in businesses that he or she has reason to
believe they will e involved in decisions that affect that business.

JUSTIFICATION:

Recent events have created a desire in the public and within the
Legislature to ensure that ethics oversight of the State Legislature
is independent, transparent and accountable to the general public.
The current embodiment of Legislative Ethics Commission (LEC) needs to
be informed so that none of its commission members are sitting
legislators or legislative staff. In addition the LEC needs
additional powers to investigate possible violations the State's
Ethics Laws and a better ability to coordinate its law enforcement
activities with the Commission on Public Integrity, the NYS Attorney
General and local District Attorneys.

LEGISLATIVE HISTORY:
2010 - S.6159 - Referred to Finance

FISCAL IMPLICATIONS:


None.

EFFECTIVE DATE:
This act shall take effect on the ninetieth day after it shall have
become a law.

view full text
download pdf
                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                   573

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                               (PREFILED)

                             January 5, 2011
                               ___________

Introduced  by  Sens.  KLEIN, VALESKY -- read twice and ordered printed,
  and when printed to be committed to the  Committee  on  Investigations
  and Government Operations

AN  ACT  to  amend  the  legislative law and the public officers law, in
  relation to state legislative ethics

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

  Section  1.  Short  title. This act shall be known and may be cited as
the "ethics in state government now act".
  S 2. 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.
  1.  There  is  established a legislative ethics commission which shall
consist of nine members. Four members shall be [members of the  legisla-
ture  and shall be] appointed as follows: one by the temporary president
of the senate, one by the speaker of the assembly, one by  the  minority
leader  of  the  senate  and one by the minority leader of the assembly.
[The remaining five] SUCH FOUR 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

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD04856-01-1

S. 573                              2

senate, one by the minority leader of the assembly, and one]. THE LEGIS-
LATIVE LEADERS SHALL APPOINT INDIVIDUALS WHO ARE QUALIFIED TO  SERVE  ON
THE  COMMISSION  BY VIRTUE OF THEIR EDUCATION, TRAINING OR EXPERIENCE IN
ONE  OR MORE OF THE FOLLOWING DISCIPLINES: LEGISLATIVE, JUDICIAL, ADMIN-
ISTRATIVE OR PROFESSIONAL ETHICS; BUSINESS; LAW; AND/OR ACADEMICS.  FIVE
MEMBERS  OF  THE  COMMISSION  SHALL  BE APPOINTED AS FOLLOWS: ONE BY THE
GOVERNOR, ONE BY THE ATTORNEY GENERAL, ONE BY THE STATE COMPTROLLER, ONE
BY THE CHIEF JUDGE OF THE COURT OF APPEALS AND ONE BY  THE  CHAIRMAN  OF
THE  COMMISSION ON PUBLIC INTEGRITY. THE CHAIR OF THE LEGISLATIVE ETHICS
COMMISSION SHALL BE jointly DESIGNATED by the speaker  of  the  assembly
and [majority leader] THE TEMPORARY PRESIDENT of the senate FROM AMONGST
THE  FIVE  MEMBERS  APPOINTED  BY  THE GOVERNOR, ATTORNEY GENERAL, STATE
COMPTROLLER, CHIEF JUDGE OF THE COURT OF APPEALS  AND  CHAIRMAN  OF  THE
COMMISSION ON PUBLIC INTEGRITY. NO MORE THAN FIVE MEMBERS OF THE COMMIS-
SION  SHALL  BELONG  TO  THE  SAME POLITICAL PARTY. The commission shall
serve as described in this section and have and exercise the powers  and
duties  set  forth  in  this section only with respect to members of the
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, AFTER THE EFFECTIVE DATE OF THE CHAPTER OF
THE LAWS OF TWO THOUSAND ELEVEN  WHICH  AMENDED  THIS  SECTION,  by  the
temporary  president  of  the  senate, speaker of the assembly, minority
leader of the senate, and minority leader of the  assembly  shall  serve
one,  two,  three and four year terms, respectively.  THE MEMBERS OF THE
COMMISSION WHO ARE FIRST APPOINTED, AFTER  THE  EFFECTIVE  DATE  OF  THE
CHAPTER  OF  THE LAWS OF TWO THOUSAND ELEVEN WHICH AMENDED THIS SECTION,
BY THE GOVERNOR, ATTORNEY GENERAL, STATE COMPTROLLER, CHIEF JUDGE OF THE
COURT OF APPEALS AND THE CHAIRMAN OF THE COMMISSION ON PUBLIC  INTEGRITY
SHALL  SERVE  TERMS  OF FOUR YEARS. The [member] CHAIR of the commission
[first appointed] DESIGNATED jointly by the TEMPORARY president  of  the
senate  and  speaker  of  the  assembly  shall serve a four year term AS
CHAIR.  Each member of the commission [who is not a member of the legis-
lature] shall be appointed thereafter for a term of four years.
  3. [The temporary president of the  senate  and  the  speaker  of  the
assembly  shall  each  designate  one  member  of  the  commission  as a
co-chairperson thereof.] The commission shall meet at  least  bi-monthly
and  at  such additional times as may be called for by the [co-chairper-
sons jointly] CHAIR 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 shall be reimbursed for reasonable
expenses incurred 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;
  b. Appoint such other staff as are necessary to assist it to carry out
its duties under this section;

S. 573                              3

  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;
  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;
  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 MEMBERS OF THE LEGISLATURE  AND  legisla-
tive employees pursuant to sections seventy-three and seventy-three-a of
the public officers law to the executive director who shall be responsi-
ble  for completing staff review of such statements in a manner consist-
ent 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

S. 573                              4

would otherwise be required to be reported will have no material bearing
on the discharge of the reporting person's official duties;
  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.] J. Receive and act PURSUANT TO ARTICLE THREE OF THE STATE  ADMIN-
ISTRATIVE  PROCEDURE  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.] K. 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, SEVENTY-THREE-A or seventy-four of the  public
officers  law  may have occurred involving persons subject to the juris-
diction of the commission;
  [n.] L. Upon written request from any person who  is  subject  to  the
jurisdiction  of  the commission and the requirements of sections seven-
ty-three, seventy-three-a and seventy-four of the public  officers  law,
render  formal advisory opinions on the requirements of said provisions.
A formal opinion rendered by the commission, until and unless amended or
revoked, shall be binding on the 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;
  [o.] M. 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.]  N.  Develop  educational  materials  and training with regard to
legislative ethics  for  members  of  the  legislature  and  legislative
employees; and
  [q.]  O.  Prepare  an  annual  report  to the governor and legislature
summarizing the activities of the commission during  the  previous  year
and  recommending  any  changes  in  the  laws  governing the conduct of
persons subject to the jurisdiction of the  commission,  or  the  rules,
regulations  and  procedures  governing  the  commission's conduct. Such
report shall 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 sanction imposed[, subject to the  confidentiality  requirements
of  this  section]. Such annual report shall not contain any information
for which disclosure is not permitted pursuant to  subdivision  fourteen
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  MEMBERS OF THE LEGISLATURE AND legislative employees has been

S. 573                              5

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.    THE  COMMISSION,
EXECUTIVE  DIRECTOR  OR STAFF OF THE COMMISSION MAY REEXAMINE ANY PREVI-
OUSLY SUBMITTED FINANCIAL DISCLOSURE STATEMENT THAT HAS BEEN FILED WITH-
IN THE PAST FIVE YEARS IF NEW INFORMATION HAS COME TO THE  ATTENTION  OF
THE  COMMISSION  WHICH MAY REVEAL A POSSIBLE VIOLATION OF SECTION SEVEN-
TY-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  OR
DISCOVERS  NEW  INFORMATION THAT REVEALS A POSSIBLE VIOLATION OF SECTION
SEVENTY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF  THE  PUBLIC  OFFICERS
LAW,  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 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 reporting person an
opportunity to be heard. THE COMMISSION SHALL REVIEW AND MAKE AN  AFFIR-
MATIVE  DETERMINATION  ON  SUCH POSSIBLE VIOLATION WITHIN THIRTY DAYS OF

S. 573                              6

SUCH REPORTING INDIVIDUAL'S WRITTEN RESPONSE. THE COMMISSION MAY  EXTEND
SUCH  THIRTY  DAY PERIOD OF TIME ONCE FOR AN ADDITIONAL THIRTY DAYS. 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, OR THAT A REQUIRED FINANCIAL
DISCLOSURE STATEMENT HAS NOT BEEN FILED ON  A  TIMELY  BASIS  AFTER  ALL
EXTENSIONS  TO  FILE  HAVE  BEEN  EXHAUSTED,  it  shall send a notice of
reasonable 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 jurisdiction over such appointing authority.
  c. The jurisdiction of the commission when  acting  pursuant  to  this
section  shall continue notwithstanding that a member of the legislature
or a legislative employee separates from state service, or  a  candidate
for  member  of  the legislature ceases to be a candidate, provided that
the commission notifies such individual of the alleged violation of  law
pursuant  to paragraph a of this subdivision within one year from his or
her separation from state service or  the  termination  of  his  or  her
candidacy. Nothing in this section shall serve to limit the jurisdiction
of  the commission in enforcement of subdivision eight of section seven-
ty-three of the public officers law.
  11. An individual subject to the jurisdiction of  the  commission  who
knowingly  and intentionally violates the provisions of subdivisions two
through five, seven, eight,  twelve,  fourteen  or  fifteen  of  section
seventy-three  of  the public officers law or a reporting individual who
knowingly and wilfully fails to file an annual  statement  of  financial
disclosure  or who knowingly and wilfully with intent to deceive makes a
false statement or gives information which such individual knows  to  be
false  on  such  statement  of  financial  disclosure  filed pursuant to
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-
ousness  of  the  violation,  the  amount  of gain to the individual and
whether the individual previously had any civil  or  criminal  penalties

S. 573                              7

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 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 informa-
tion is falsely understated. [Notwithstanding any other provision of law
to the contrary, no other penalty, civil or criminal may be imposed  for
a  failure  to  file,  or  for  a  false filing, of such statement, or a
violation of section seventy-three of the public  officers  law,  except
that  the  appointing authority may impose disciplinary action as other-
wise provided by law.] The legislative ethics commission shall be deemed
to be an agency within the meaning of article three of the state  admin-
istrative  procedure  act and shall adopt rules governing the conduct of
adjudicatory proceedings and appeals  taken  pursuant  to  a  proceeding
commenced  under  article  seventy-eight  of  the civil practice law and
rules relating to the assessment of the civil penalties  herein  author-
ized  [and  commission  denials  of  requests  for  certain deletions or
exemptions to be made from a financial disclosure statement  as  author-
ized  in  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  simi-
lar  to  those  set forth in such article three but such mechanisms need
not be identical in terms or scope. Assessment of  a  civil  penalty  or
commission  denial  of  such  a deletion [or exemption request] shall be
final unless modified, suspended or vacated within thirty days of  impo-
sition,  with  respect to the assessment of such penalty, or unless such
denial of request is reversed within such time period, and upon becoming
final shall be subject to review at the instance of the affected report-
ing individuals in a proceeding commenced against the legislative ethics
commission, pursuant to article seventy-eight of the civil practice  law
and rules.
  12.  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 and, if
so, shall make such a referral as soon as practicable. The  referral  by
the  commission  shall  include  any information relating thereto coming
into the custody or under the control of  the  commission  at  any  time
prior or subsequent to the time of the referral.
  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. a. Notwithstanding the provisions of article  six  of  the  public
officers  law,  the only records of the commission which shall be avail-
able for public inspection and copying are:

S. 573                              8

  (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;
  (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 refer-
ral which includes a fine, penalty or other remedy;
  (7) generic advisory opinions; and
  (8) all reports required by 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. 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 fourteen of this section, other than
financial disclosure statements, and any other  records  or  information
which the commission determines to be appropriate.
  16.  This  section  shall  not  revoke or rescind any policies, rules,
regulations or  advisory  opinions  issued  by  the  legislative  ethics
[committee]  COMMISSION in effect upon the effective date of this subdi-
vision, to the extent that such regulations or opinions are  not  incon-
sistent  with  any laws of the state of New York. The legislative ethics
commission shall undertake a comprehensive review of all such  policies,
rules,  regulations or advisory opinions which will address the consist-
ency of such policies, rules, regulations or advisory opinions with  the
laws  of the state of New York. The 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. Separability clause. If any part or provision of this  section  or
the  application  thereof to any person is adjudged by a court of compe-
tent jurisdiction to be  unconstitutional  or  otherwise  invalid,  such
judgment  shall  not affect or impair any other part or provision or the
application thereof to any other person, but shall be confined  to  such
part or provision.
  S  3.  Section  73 of the public officers law is amended by adding two
new subdivisions 14-a and 14-b to read as follows:
  14-A. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION FOURTEEN  OF  THIS
SECTION,  NO  MEMBER  OF  THE  LEGISLATURE  OR  LEGISLATIVE EMPLOYEE, AS
DEFINED BY PARAGRAPH (D) OF SUBDIVISION ONE OF  SECTION  SEVENTY-THREE-A
OF  THIS  ARTICLE,  SHALL  PARTICIPATE IN ANY DECISION TO HIRE, PROMOTE,
PROCESS EMPLOYMENT PAPERWORK FOR OR HAVE KNOWLEDGE  OF  THE  PROSPECTIVE
EMPLOYMENT  OR  CHANGE  OF  EMPLOYMENT  STATUS  OF  ANY RELATIVE FOR ANY

S. 573                              9

COMPENSATED POSITION AT, FOR OR  WITHIN  THE  SAME  LEGISLATIVE  CHAMBER
WHICH  EMPLOYS  SUCH  MEMBER  OR LEGISLATIVE EMPLOYEE. THE PROVISIONS OF
THIS SUBDIVISION SHALL NOT APPLY TO PERSONS TO WHICH  PARAGRAPH  (B)  OF
SUBDIVISION FOURTEEN OF THIS SECTION APPLIES.
  14-B.  IN ADDITION TO THE INFORMATION INCLUDED IN THE ANNUAL FINANCIAL
STATEMENT   OF   FINANCIAL   DISCLOSURE   PROVIDED   FOR   IN    SECTION
SEVENTY-THREE-A  OF  THIS  ARTICLE,  EVERY MEMBER OF THE LEGISLATURE AND
LEGISLATIVE EMPLOYEE SHALL DISCLOSE THE NAMES OF ALL RELATIVES  WHO  ARE
EMPLOYED BY THE LEGISLATURE AND THE DEGREE OF THEIR RELATIONSHIP.
  S  4.  Paragraphs  a, b, d and g of subdivision 3 of section 74 of the
public officers law, paragraphs a, b and g as amended by chapter 1012 of
the laws of 1965 and paragraph d as amended by chapter 1 of the laws  of
2010, are amended to read as follows:
  a. No officer or employee of a state agency, member of the legislature
or  legislative  employee  should  accept, NOR RETAIN UPON ACCEPTANCE OF
EMPLOYMENT BY THE LEGISLATURE, other employment which [will] MAY REASON-
ABLY impair his OR HER independence of judgment in the exercise  of  his
OR HER official duties.
  b. No officer or employee of a state agency, member of the legislature
or  legislative employee should accept employment or engage in any busi-
ness or professional activity which [will] MAY REASONABLY require him OR
HER to disclose confidential information which he OR SHE has  gained  by
reason of his OR HER official position or authority.
  d. No officer or employee of a state agency, member of the legislature
or legislative employee should use or attempt to use his or her official
position  to  secure unwarranted privileges or exemptions for himself or
herself, HIS OR HER RELATIVE, AS DEFINED IN PARAGRAPH (M) OF SUBDIVISION
ONE OF SECTION SEVENTY-THREE OF THIS ARTICLE, or others,  including  but
not  limited  to,  the  misappropriation to himself, herself, HIS OR HER
RELATIVE, AS DEFINED IN PARAGRAPH (M)  OF  SUBDIVISION  ONE  OF  SECTION
SEVENTY-THREE OF THIS ARTICLE, or to others of the property, services or
other  resources  of the state for private business or other compensated
non-governmental purposes.
  g. An officer or employee of a state agency, MEMBER OF THE LEGISLATURE
OR LEGISLATIVE EMPLOYEE should abstain from making personal  investments
in  enterprises  which  he  OR SHE has reason to believe may be directly
involved in decisions to be made by him OR HER or which  will  otherwise
create substantial conflict between his OR HER duty in the public inter-
est and his OR HER private interest.
  S  5.  The  nine  members of the legislative ethics commission holding
office immediately prior to the effective date of this  act  are  hereby
removed from their positions as such members, and nine new members shall
be  appointed  in  accordance with section 80 of the legislative law, as
amended by section two of this act.
  S 6. This act shall take effect on the ninetieth day  after  it  shall
have become a law.

Co-Sponsors

S573A (ACTIVE) - Bill Details

Current Committee:
Law Section:
Legislative Law
Laws Affected:
Amd §80, Leg L; amd §§73, 73-a & 74, Pub Off L
Versions Introduced in 2009-2010 Legislative Session:
S6159

S573A (ACTIVE) - Bill Texts

view summary

Enacts the "ethics in state government now act"; makes the ethics rules and financial disclosure applicable to the legislature and its employees stricter; re-establishes the membership of the legislative ethics commission.

view sponsor memo
BILL NUMBER:S573A

TITLE OF BILL:

An act
to amend the legislative law and the public officers law, in relation to
state legislative ethics

PURPOSE OR GENERAL IDEA OF THE BILL:

This bill institutes a multi-faceted approach to reform the
composition of the New York State Legislative Ethics Commission (LEC),
the manner in which this Commission operates, and broadens its
powers to more adequately and quickly enforce the state's ethics laws
with regard to the actions of individual state legislators and
legislative employees. In addition, the bill encourages the LEC, when
appropriate, to coordinate its law enforcement activities with other
law enforcement agencies and to cooperate more fully with the
activities being conducted by the NYS Attorney General and Commission
on Public Integrity to better enforce the State's Ethics Laws.

SUMMARY OF PROVISIONS:

Section 1: Provides the title for this act, the "Ethics in State
Government Act".

Section 2: Amends Legislative Law section 80 to institute significant
reforms to the Legislative Ethics Commission (LEC). Those Reforms are
as follows:

1) Legislative Law Section 80(1) - The LEC is reconstituted so that no
currently sitting legislators can be part of the Commission's Board.
Under current law, 4 legislators are appointed to the Commission by
the four respective legislative leaders, and 5 additional members,
who are private citizens, are also appointed by the same legislative
leaders. The co-chairmen are selected respectively by the Assembly
Speaker and Senate Majority Leader. Under this bill, the four
legislative leaders from the majority and minority would select 4
private citizens to sit on the Commission. In addition, the Governor,
Attorney General, State Comptroller, Chief Judge of the Court of
Appeal, and Chairman of the Commission on Public Integrity (CPI)
would all designate one member of the newly constituted Board. This
means that legislators will no longer be able to or be forced to sit
in judgment of their legislative colleagues or legislative staff.
Newly appointed members should, by virtue of their education and
training, have experience in the following disciplines, legislative,
judicial, administrative, professional ethics, business, legal and
academic.

2) Legislative Law section 80(2) - The Chairperson of the Commission,
while still selected by the Senate President and Assembly Speaker,
would need to be chosen from the five board members that were picked
by the Governor, Attorney General, State comptroller, Court of
Appeals, or CPI, not those members that were selected by legislative
leaders. The Commission will truly become an independent body whose
operations will be far more open to the public. This is because its


leadership shall come from outside of the environment of the state
Legislature.

3) Legislative Law Section 80(7)(c) is amended to require that the
commission shall operate pursuant to the State Administrative
Procedure Law (SAPA), and promulgate its rules according to all of
the due process and open government principles contained in that act.
In addition, public hearings conducted by the LBC shall be in
accordance with the due process procedures contained in SAPA article
3, with the understanding that certain hearings, will not be open to
the public to reflect concerns about the privacy interests of those
subject to the hearings in question. Further, pursuant to SAPA, all
LEC rulemakings, including its procedures for operation, must be
promulgated in a manner so that the public can comment on proposed
LEC rules before they are adopted and filed with the Secretary of
state.

4) Legislative Law section 80(7) (h) is amended so that LEC staff, in
addition to Commission members, are allowed to review all financial
disclosure statements filed by members of the legislature.

5) Legislative Law section 80(7) (i) is revised and (j) is deleted.
paragraph (i) allows regulated parties to request and receive
permission from the Commission to delete from public view those items
disclosed to the commission that had "no material bearing on the
discharge of the employees duties". This provision is amended so that
the Commission must review each requested item separately, and shall
limit such deletions to the greatest extent possible that meets the
grounds for such deletion. Paragraph (j) is deleted, which permits
the commission to delete or not disclose information on the business
activities of the regulated person's spouse or unemancipated children.

6) Legislative Law Section 80(7)(p) is revised so that certain
relevant, but up to now confidential information about the activities
of the commission, may be presented in the Commission's Annual
Report. This provision shall help to open up to the public the
workings of the commission.

7) Legislative Law section 80(9) - Reiterates that the LEC Executive
Director and staff may inspect all financial disclosure statements
filed by state legislators and legislative staff. In addition, the
commission and its staff may reexamine previously submitted financial
disclosure statements within the past five years if new information
has come to light that may reveal a possible violation or violations
of the state's Ethics Laws.

8) Legislative Law section 80(10) is amended so that there is a
specific time line in which all persons under the jurisdiction of the
LEC must file their financial disclosure statements. Further if the
time line is not satisfied, the Commission may
prosecute such violators.

9) Legislative Law Section 10 is amended to establish a solid time
line in which the commission must act upon complaints that are
submitted to this body: a) by private citizens of potential
violations of the Ethics Laws, b) about acts or information it
receives from outside sources that reveals a violation of the Ethics


Laws, or c) information it receives from the CPI or law enforcement
agencies of potential violations of the Ethics Laws. Under current
law, there is no procedure or time frame for processing such
complaints, therefore, some of these complaints may not have been
investigated in timely manner or not at all.

10) Legislative Law section 11 is amended to increase the penalties
for violation of public officers Law 74(3) (a), (e), or (g) to no
more than $ 10,000. Under current law, the civil penalty for
violations of (a), (e), or (g) are merely the value of the gift or
compensation that was illegally received by the assailant. Further,
under current law, most violations of the Ethics law are civil in
nature, even if the party is convicted of stealing or
misappropriating public property or had violated the public trust.
This bill allows for criminal penalties for such violations, and
thereby allows the Attorney General or local District Attorney to
prosecute these activities as crimes with punishments of fines or
jail time. Also, the commission, in establishing its hearing rules,
needs to abide by the principles of SAPA article 3, but can deviate
to some extent, due to the unique situations that can occur in the
State Legislature and due to the privacy considerations of those
being examined.

Section 3: Amends the public Officers Law section 73 (the section that
regulates business and professional activities by legislative
personnel) to add a new subsection (14-a). This section adds new
prohibitions that apply exclusively to state legislators or
legislative employees who are policy makers. Under this amendment, no
state legislator or legislative employee who is a policymaker may not
only not participate in any decision to hire or promote a relative
within the state Legislature (the current law), but it will also
prohibit such hires of their relatives if they have any knowledge of
such hire or helped to process the paperwork for such hire in any way
for relatives in the same legislative chamber. With this provision, a
state legislator who even knows that a relative is being hired within
the State Legislature (the chamber in which the regulated party
works also) will be culpable of the crime of nepotism. This
significantly expands the prohibition against nepotism and hopefully
will actively encourage legislators not to indirectly encourage the
hiring of their relatives.

Section 4: This is a new section that was added by this amended bill
to Amend Public Officers Law section 73-a(3) which relates to the
Categories of income that must be disclosed when filing ethics
disclosure statements.
Under current law, the Categories are skewed towards the lower end of
the income received. While in Category F, anything above $250,000 is
lumped into one Category. So if a legislator received over $250,000
or $10,000,000 or more in compensation, it is all disclosed as being
category F. Under this bill, the disclosure amounts are geared
towards better disclosure of large amounts of compensation, unlike
the current law. Under this bill, the new Categories are more
specific to enhance disclosure. Those new Categories are: Category C
shifts downward from, $20,000 - $60,000 to $20,000 $$40,000; Category
D shifts downward from $60,000 - $100,000 to $$40,00 $60,000;
Category E shifts downward from $100,000 - $250,000 to $60,000
$100,000; Category F shifts downward from $250,000 -


to anything above $250,000 to $100,000 - $150,000;
and a new Category G is added to disclose income
above $150,000 and above, further, in this Category, the applicant
must state the actual amount of compensation rounded to the nearest
ten thousand dollars. This provision will give a much more
accurate picture of what legislators are earning outside of their
legislative pay.

Section 5: This is a new section that was added b this new amended
bill to Amend the Public Officers Law section 73-a (3). The purpose
of this section of law is to require legislators and legislative
employees who are members of a law firm, consulting firm, real estate
firm, or registered lobbyist with the State of New York or any
municipality, must disclose any of their clients in which they
solicited a contract from the State or local government, appeared
before a state agency or local government agency, or who had clients
that were lobbyists registered with the state or local government
(for any matter what so ever). In addition, the legislator, must
disclose the same information for an of their firm's partners,
associates, or members that have such clients that have solicited
contracts from the state, represented a client before a government
agency, or represented a person who is registered as a lobbyist for
the State or a local government.

Section 6: Amends public Officers Law section 74(3) to add additional
standards to the Code of Ethics. One provision, (3) (a) requires that
an individual who is to be retained by the State Legislature, must
leave his or her other employment if there may reasonably be a
conflict of interest or such other employment may impair their
independence of judgment. Also, section 74(3) (g) is amended so that
a member of the legislature or legislative employee should abstain
from making personal investments in businesses that he or she has
reason to believe they will be involved in decisions that affect that
business.

JUSTIFICATION:

Recent events have created a desire in the public and within the
Legislature to ensure that ethics oversight of the State Legislature
is independent, transparent and accountable to the general public.
The current embodiment of Legislative Ethics Commission (LEC) needs
to be reformed so that none of its commission members are sitting
legislators or legislative staff. In addition the LEC needs
additional powers to investigate possible violations the State's
Ethics Laws and a better ability to coordinate its law enforcement
activities with the commission on public Integrity, the NYS Attorney
General and local District Attorneys. Further, legislators and
legislative employees must more accurate disclose who they represent
in their private practices that have interests in the activities of
state or local government, and very importantly the magnitude of the
income they or their firms receive based on such representation or
association.

LEGISLATIVE HISTORY:
2010 - S.6159 - Referred to Finance

FISCAL IMPLICATIONS:


None.

EFFECTIVE DATE:
This act shall take effect on the ninetieth day after
it shall have become a law.

view full text
download pdf
                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                 573--A

                       2011-2012 Regular Sessions

                            I N  S E N A T E

                               (PREFILED)

                             January 5, 2011
                               ___________

Introduced  by  Sens.  KLEIN, VALESKY -- read twice and ordered printed,
  and when printed to be committed to the  Committee  on  Investigations
  and  Government  Operations  --  committee  discharged,  bill amended,
  ordered reprinted as amended and recommitted to said committee

AN ACT to amend the legislative law and  the  public  officers  law,  in
  relation to state legislative ethics

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

  Section 1. Short title. This act shall be known and may  be  cited  as
the "ethics in state government now act".
  S  2.  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.
  1. There is established a legislative ethics  commission  which  shall
consist  of nine members. Four members shall be [members of the legisla-
ture and shall be] appointed as follows: one by the temporary  president
of  the  senate, one by the speaker of the assembly, one by the minority
leader of the senate and one by the minority  leader  of  the  assembly.
[The  remaining  five]  SUCH FOUR 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

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD04856-03-1

S. 573--A                           2

by the speaker of the assembly,  one  by  the  minority  leader  of  the
senate, one by the minority leader of the assembly, and one]. THE LEGIS-
LATIVE  LEADERS  SHALL APPOINT INDIVIDUALS WHO ARE QUALIFIED TO SERVE ON
THE  COMMISSION  BY VIRTUE OF THEIR EDUCATION, TRAINING OR EXPERIENCE IN
ONE OR MORE OF THE FOLLOWING DISCIPLINES: LEGISLATIVE, JUDICIAL,  ADMIN-
ISTRATIVE  OR PROFESSIONAL ETHICS; BUSINESS; LAW; AND/OR ACADEMICS. FIVE
MEMBERS OF THE COMMISSION SHALL BE APPOINTED  AS  FOLLOWS:  ONE  BY  THE
GOVERNOR, ONE BY THE ATTORNEY GENERAL, ONE BY THE STATE COMPTROLLER, ONE
BY  THE  CHIEF  JUDGE OF THE COURT OF APPEALS AND ONE BY THE CHAIRMAN OF
THE COMMISSION ON PUBLIC INTEGRITY. THE CHAIR OF THE LEGISLATIVE  ETHICS
COMMISSION  SHALL  BE  jointly DESIGNATED by the speaker of the assembly
and [majority leader] THE TEMPORARY PRESIDENT of the senate FROM AMONGST
THE FIVE MEMBERS APPOINTED BY  THE  GOVERNOR,  ATTORNEY  GENERAL,  STATE
COMPTROLLER,  CHIEF  JUDGE  OF  THE COURT OF APPEALS AND CHAIRMAN OF THE
COMMISSION ON PUBLIC INTEGRITY. NO MORE THAN FIVE MEMBERS OF THE COMMIS-
SION SHALL BELONG TO THE SAME  POLITICAL  PARTY.  The  commission  shall
serve  as described in this section and have and exercise the powers and
duties set forth in this section only with respect  to  members  of  the
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, AFTER THE EFFECTIVE DATE OF THE CHAPTER OF
THE  LAWS  OF  TWO  THOUSAND  ELEVEN  WHICH AMENDED THIS SECTION, by the
temporary president of the senate, speaker  of  the  assembly,  minority
leader  of  the  senate, and minority leader of the assembly shall serve
one, two, three and four year terms, respectively.  THE MEMBERS  OF  THE
COMMISSION  WHO  ARE  FIRST  APPOINTED,  AFTER THE EFFECTIVE DATE OF THE
CHAPTER OF THE LAWS OF TWO THOUSAND ELEVEN WHICH AMENDED  THIS  SECTION,
BY THE GOVERNOR, ATTORNEY GENERAL, STATE COMPTROLLER, CHIEF JUDGE OF THE
COURT  OF APPEALS AND THE CHAIRMAN OF THE COMMISSION ON PUBLIC INTEGRITY
SHALL SERVE TERMS OF FOUR YEARS. The [member] CHAIR  of  the  commission
[first  appointed]  DESIGNATED jointly by the TEMPORARY president of the
senate and speaker of the assembly shall  serve  a  four  year  term  AS
CHAIR.  Each member of the commission [who is not a member of the legis-
lature] shall be appointed thereafter for a term of four years.
  3.  [The  temporary  president  of  the  senate and the speaker of the
assembly shall  each  designate  one  member  of  the  commission  as  a
co-chairperson  thereof.]  The commission shall meet at least bi-monthly
and at such additional times as may be called for by  the  [co-chairper-
sons jointly] CHAIR 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 shall be  reimbursed  for  reasonable
expenses incurred 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;
  b. Appoint such other staff as are necessary to assist it to carry out
its duties under this section;

S. 573--A                           3

  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;
  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;
  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 MEMBERS OF THE LEGISLATURE  AND  legisla-
tive employees pursuant to sections seventy-three and seventy-three-a of
the public officers law to the executive director who shall be responsi-
ble  for completing staff review of such statements in a manner consist-
ent with the terms of the commission's delegation;
  i. Permit [any person] A MEMBER OF THE LEGISLATURE,  A  CANDIDATE  FOR
MEMBER  OF  THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE required to file a
financial disclosure statement to request the commission to delete  from
the  copy  thereof made available for public inspection and copying [one
or more items] OF ALL OR A PORTION OF AN ITEM of information INCLUDED IN
SUBPARAGRAPH (C) OF PARAGRAPH EIGHT OF SUCH FINANCIAL DISCLOSURE  STATE-
MENT,  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, OR WHICH WOULD CAUSE A VIOLATION OF  THE  CODE  OF  PROFESSIONAL
ETHICS OF THE PROFESSION IN WHICH THE APPLICANT IS ENGAGED.  THE COMMIS-
SION  IN  GRANTING  DELETIONS PURSUANT TO THIS PARAGRAPH, SHALL CONSIDER
EACH ITEM OF INFORMATION REQUESTED TO BE DELETED ON AN INDIVIDUAL BASIS,

S. 573--A                           4

AND SHALL LIMIT ANY DELETIONS PURSUANT TO THIS PARAGRAPH TO THE GREATEST
EXTENT THAT IS NECESSARY TO SUPPORT THE GROUNDS FOR THE DELETION;
  j.  [Permit  any person required to file a financial disclosure state-
ment to request an exemption from any requirement to report one or  more
items  of information which pertain to such person's spouse or unemanci-
pated children which item or items may be  exempted  by  the  commission
upon a finding that the reporting individual's spouse, on his or her own
behalf  or on behalf of an unemancipated child, objects to providing the
information necessary to make such disclosure and that  the  information
which  would  otherwise be required to be reported will have no material
bearing on the discharge of the reporting person's official duties;
  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.]  K. Receive and act PURSUANT TO ARTICLE THREE OF THE STATE ADMIN-
ISTRATIVE PROCEDURE 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.]  L.  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, SEVENTY-THREE-A or seventy-four of the public
officers law may have occurred involving persons subject to  the  juris-
diction of the commission;
  [n.]  M.  Upon  written  request from any person who is subject to the
jurisdiction of the commission and the requirements of  sections  seven-
ty-three,  seventy-three-a  and seventy-four of the public officers law,
render formal advisory opinions on the requirements of said  provisions.
A formal opinion rendered by the commission, until and unless amended or
revoked, shall be binding on the 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;
  [o.] N. 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.] O. Develop educational materials  and  training  with  regard  to
legislative  ethics  for  members  of  the  legislature  and legislative
employees; and
  [q.] P. Prepare an annual  report  to  the  governor  and  legislature
summarizing  the  activities  of the commission during the previous year
and recommending any changes  in  the  laws  governing  the  conduct  of
persons  subject  to  the  jurisdiction of the commission, or the rules,
regulations and procedures  governing  the  commission's  conduct.  Such
report shall include: (i) a listing by assigned number of each complaint
and  referral  received  which  alleged  a possible violation within its

S. 573--A                           5

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  sanction imposed[, subject to the confidentiality requirements
of  this  section]. Such annual report shall not contain any information
for which disclosure is not permitted pursuant to  subdivision  fourteen
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  MEMBERS OF THE LEGISLATURE AND 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.    THE  COMMISSION,
EXECUTIVE  DIRECTOR  OR STAFF OF THE COMMISSION MAY REEXAMINE ANY PREVI-
OUSLY SUBMITTED FINANCIAL DISCLOSURE STATEMENT THAT HAS BEEN FILED WITH-
IN THE PAST FIVE YEARS IF NEW INFORMATION HAS COME TO THE  ATTENTION  OF
THE  COMMISSION  WHICH MAY REVEAL A POSSIBLE VIOLATION OF SECTION SEVEN-
TY-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  OR
DISCOVERS  INFORMATION  AT ANY TIME THAT REVEALS A POSSIBLE VIOLATION OF
SECTION SEVENTY-THREE, SEVENTY-THREE-A OR  SEVENTY-FOUR  OF  THE  PUBLIC
OFFICERS LAW, 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

S. 573--A                           6

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 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 reporting person an
opportunity to be heard. THE COMMISSION SHALL REVIEW AND MAKE AN  AFFIR-
MATIVE  DETERMINATION  ON  SUCH POSSIBLE VIOLATION WITHIN THIRTY DAYS OF
SUCH REPORTING INDIVIDUAL'S WRITTEN RESPONSE. THE COMMISSION MAY  EXTEND
SUCH  THIRTY  DAY PERIOD OF TIME ONCE FOR AN ADDITIONAL THIRTY DAYS. 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, OR THAT A REQUIRED FINANCIAL
DISCLOSURE STATEMENT HAS NOT BEEN FILED ON  A  TIMELY  BASIS  AFTER  ALL
EXTENSIONS  TO FILE HAVE BEEN EXHAUSTED OR THAT A FILED FINANCIAL STATE-
MENT IS MATERIALLY INCOMPLETE OR INACCURATE, it shall send a  notice  of
reasonable  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 jurisdiction over such appointing authority.
  c.  The  jurisdiction  of  the commission when acting pursuant to this
section shall continue notwithstanding that a member of the  legislature
or  a  legislative employee separates from state service, or a candidate
for member of the legislature ceases to be a  candidate,  provided  that
the  commission notifies such individual of the alleged violation of law
pursuant to paragraph a of this subdivision within one year from his  or
her  separation  from  state  service  or  the termination of his or her
candidacy. Nothing in this section shall serve to limit the jurisdiction
of the commission in enforcement of subdivision eight of section  seven-
ty-three of the public officers law.
  11.  An  individual  subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions of subdivisions  two
through  five,  seven,  eight,  twelve,  fourteen  or fifteen of section
seventy-three of the public officers law or a reporting  individual  who
knowingly  and  wilfully  fails to file an annual statement of financial
disclosure or who knowingly and wilfully with intent to deceive makes  a
false  statement  or gives information which such individual knows to be
false on such  statement  of  financial  disclosure  filed  pursuant  to
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

S. 573--A                           7

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-
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, OR FOR A SECOND OR SUBSEQUENT VIOLATION OF SECTION SEVEN-
TY-THREE-A OF THE PUBLIC OFFICERS LAW, the legislative ethics commission
may, in lieu of a civil penalty, refer a violation  to  the  appropriate
prosecutor  and upon such conviction, but only after such referral, such
violation shall be punishable as a class A misdemeanor. A civil  penalty
for false filing may not be imposed hereunder in the event a category of
"value" or "amount" reported hereunder is incorrect unless such reported
information is falsely understated. [Notwithstanding any other provision
of  law  to  the  contrary,  no  other penalty, civil or criminal may be
imposed for a failure to file, or for a false filing, of such statement,
or a violation of section seventy-three  of  the  public  officers  law,
except  that  the appointing authority may impose disciplinary action as
otherwise provided by law.] The 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  simi-
lar  to  those  set forth in such article three but such mechanisms need
not be identical in terms or scope. Assessment of  a  civil  penalty  or
commission  denial  of  such  a deletion [or exemption request] shall be
final unless modified, suspended or vacated within thirty days of  impo-
sition,  with  respect to the assessment of such penalty, or unless such
denial of request is reversed within such time period, and upon becoming
final shall be subject to review at the instance of the affected report-
ing individuals in a proceeding commenced against the legislative ethics
commission, pursuant to article seventy-eight of the civil practice  law
and rules.
  12.  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 and, if
so, shall make such a referral as soon as practicable. The  referral  by

S. 573--A                           8

the  commission  shall  include  any information relating thereto coming
into the custody or under the control of  the  commission  at  any  time
prior or subsequent to the time of the referral.
  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. a. Notwithstanding the provisions of article  six  of  the  public
officers  law,  the only records of the commission which shall be avail-
able for public inspection and copying are:
  (1) the information set forth in  an  annual  statement  of  financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers law [except the categories of value or amount which shall 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;
  (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 refer-
ral which includes a fine, penalty or other remedy;
  (7) generic advisory opinions; and
  (8) all reports required by 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. 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 fourteen of this section, other than
financial disclosure statements, and any other  records  or  information
which the commission determines to be appropriate.
  16.  This  section  shall  not  revoke or rescind any policies, rules,
regulations or  advisory  opinions  issued  by  the  legislative  ethics
[committee]  COMMISSION in effect upon the effective date of this subdi-
vision, to the extent that such regulations or opinions are  not  incon-
sistent  with  any laws of the state of New York. The legislative ethics
commission shall undertake a comprehensive review of all such  policies,
rules,  regulations or advisory opinions which will address the consist-
ency of such policies, rules, regulations or advisory opinions with  the
laws  of the state of New York. The 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. Separability clause. If any part or provision of this  section  or
the  application  thereof to any person is adjudged by a court of compe-
tent jurisdiction to be  unconstitutional  or  otherwise  invalid,  such
judgment  shall  not affect or impair any other part or provision or the

S. 573--A                           9

application thereof to any other person, but shall be confined  to  such
part or provision.
  S  3.  Section  73 of the public officers law is amended by adding two
new subdivisions 14-a and 14-b to read as follows:
  14-A. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION FOURTEEN  OF  THIS
SECTION,  NO  MEMBER  OF  THE  LEGISLATURE  OR  LEGISLATIVE EMPLOYEE, AS
DEFINED BY PARAGRAPH (D) OF SUBDIVISION ONE OF  SECTION  SEVENTY-THREE-A
OF  THIS  ARTICLE,  SHALL  PARTICIPATE IN ANY DECISION TO HIRE, PROMOTE,
PROCESS EMPLOYMENT PAPERWORK FOR OR HAVE KNOWLEDGE  OF  THE  PROSPECTIVE
EMPLOYMENT  OR  CHANGE  OF  EMPLOYMENT  STATUS  OF  ANY RELATIVE FOR ANY
COMPENSATED POSITION AT, FOR OR  WITHIN  THE  SAME  LEGISLATIVE  CHAMBER
WHICH  EMPLOYS  SUCH  MEMBER  OR LEGISLATIVE EMPLOYEE. THE PROVISIONS OF
THIS SUBDIVISION SHALL NOT APPLY TO PERSONS TO WHICH  PARAGRAPH  (B)  OF
SUBDIVISION FOURTEEN OF THIS SECTION APPLIES.
  14-B.  IN ADDITION TO THE INFORMATION INCLUDED IN THE ANNUAL FINANCIAL
STATEMENT   OF   FINANCIAL   DISCLOSURE   PROVIDED   FOR   IN    SECTION
SEVENTY-THREE-A  OF  THIS  ARTICLE,  EVERY MEMBER OF THE LEGISLATURE AND
LEGISLATIVE EMPLOYEE SHALL DISCLOSE THE NAMES OF ALL RELATIVES  WHO  ARE
EMPLOYED BY THE LEGISLATURE AND THE DEGREE OF THEIR RELATIONSHIP.
  S  4. Paragraph 3 of subdivision 3 of section 73-a of the public offi-
cers law, as added by chapter 813 of the laws of  1987,  the  third  and
fourth  undesignated  paragraphs  as added by chapter 242 of the laws of
1989, is amended to read as follows:
  3. The annual statement of  financial  disclosure  shall  contain  the
information and shall be in the form set forth hereinbelow:

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

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

     (b) List the names of all unemancipated children.

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

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

  Whenever a "value" or "amount" is required to be reported herein, such
value  or  amount shall be reported as being within one of the following
Categories: Category A - under $5,000; Category  B  -  $5,000  to  under
$20,000;  Category  C - $20,000 to under [$60,000] $40,000; Category D -
[$60,000] $40,000 to under [$100,000] $60,000; Category E  -  [$100,000]
$60,000  to  under  [$250,000] $100,000; [and] Category F - [$250,000 or
over] $100,000 TO UNDER $150,000; AND CATEGORY G - $150,000 OR OVER.   A

S. 573--A                          10

reporting  individual  shall  indicate  the  Category  by  letter  only;
PROVIDED, HOWEVER, THAT, FOR A  VALUE  OR  AMOUNT  IN  CATEGORY  G,  THE
REPORTING  INDIVIDUAL  SHALL  STATE  SUCH VALUE OR AMOUNT ROUNDED TO THE
NEAREST TEN THOUSAND DOLLARS.
  Whenever "income" is required to be reported herein, the term "income"
shall mean the aggregate net income before taxes from the source identi-
fied.
  The  term "calendar year" shall mean the year ending the December 31st
preceding the date of filing of the annual statement.
  S 5. Paragraph 8 of subdivision 3 of section 73-a of the public  offi-
cers  law is amended by adding two new subparagraphs (c) and (d) to read
as follows:
  (C) IF THE REPORTING INDIVIDUAL IS A  MEMBER  OF  THE  LEGISLATURE,  A
CANDIDATE  FOR  MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE, AND
PRACTICES LAW, IS LICENSED BY THE DEPARTMENT OF STATE AS A  REAL  ESTATE
BROKER  OR  AGENT,  PROVIDES  CONSULTING  SERVICES  OR  IS A LOBBYIST AS
DEFINED IN ARTICLE ONE-A OF THE LEGISLATIVE LAW,  AND  RECEIVED  COMPEN-
SATION  IN  EXCESS OF $1,000 FOR APPEARANCES BEFORE A STATE OR MUNICIPAL
AGENCY, OR FROM SOLICITING ANY CONTRACT TO PROVIDE SERVICES OR GOODS  TO
A  STATE  OR MUNICIPAL AGENCY, WITH RESPECT TO MATTERS OTHER THAN MINIS-
TERIAL MATTERS, OR FROM REPRESENTING A  CLIENT  WHO  IS  A  LOBBYIST  OR
EMPLOYS  A  LOBBYIST,  PROVIDE  THE NAME AND ADDRESS OF THE CLIENTS, THE
NATURE OF THE SERVICES PROVIDED, AND THE CATEGORY OF VALUE.
CLIENT    ADDRESS        NATURE OF SERVICES       CATEGORY OF VALUE
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
  (D) IF THE REPORTING INDIVIDUAL IS A  MEMBER  OF  THE  LEGISLATURE,  A
CANDIDATE FOR MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE, AND A
MEMBER,  EMPLOYEE,  RETIRED MEMBER, OF COUNSEL OR SHAREHOLDER OF A FIRM,
ASSOCIATION OR CORPORATION  THAT  PRACTICES  LAW,  IS  LICENSED  BY  THE
DEPARTMENT  OF STATE TO PROVIDE REAL ESTATE BROKERAGE SERVICES, PROVIDES
CONSULTING SERVICES OR ENGAGES IN LOBBYING PURSUANT TO ARTICLE ONE-A  OF
THE LEGISLATIVE LAW, WHEN THE REPORTING INDIVIDUAL RECEIVED COMPENSATION
IN  EXCESS OF $1,000 FROM SUCH FIRM, ASSOCIATION OR CORPORATION WHEN THE
FIRM, ASSOCIATION OR CORPORATION OR AN EMPLOYEE THEREOF APPEARED  BEFORE
A  STATE  OR  MUNICIPAL  AGENCY,  OR  SOLICITED  ANY CONTRACT TO PROVIDE
SERVICES OR GOODS TO A  STATE  OR  MUNICIPAL  AGENCY,  WITH  RESPECT  TO
MATTERS  OTHER  THAN  MINISTERIAL MATTERS, OR FROM REPRESENTING A CLIENT
WHO IS A LOBBYIST OR EMPLOYS A LOBBYIST, PROVIDE THE NAME AND ADDRESS OF
THE CLIENTS, THE NATURE OF THE SERVICES PROVIDED, AND  THE  CATEGORY  OF
VALUE PAID FOR SUCH SERVICES.
CLIENT    ADDRESS        NATURE OF SERVICES       CATEGORY OF VALUE
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
  S  6.  Paragraphs  a, b, d and g of subdivision 3 of section 74 of the
public officers law, paragraphs a, b and g as amended by chapter 1012 of
the laws of 1965 and paragraph d as amended by chapter 1 of the laws  of
2010, are amended to read as follows:
  a. No officer or employee of a state agency, member of the legislature
or  legislative  employee  should  accept, NOR RETAIN UPON ACCEPTANCE OF
EMPLOYMENT BY THE LEGISLATURE, other employment which [will] MAY REASON-
ABLY impair his OR HER independence of judgment in the exercise  of  his
OR HER official duties.

S. 573--A                          11

  b. No officer or employee of a state agency, member of the legislature
or  legislative employee should accept employment or engage in any busi-
ness or professional activity which [will] MAY REASONABLY require him OR
HER to disclose confidential information which he OR SHE has  gained  by
reason of his OR HER official position or authority.
  d. No officer or employee of a state agency, member of the legislature
or legislative employee should use or attempt to use his or her official
position  to  secure unwarranted privileges or exemptions for himself or
herself, HIS OR HER RELATIVE, AS DEFINED IN PARAGRAPH (M) OF SUBDIVISION
ONE OF SECTION SEVENTY-THREE OF THIS ARTICLE, or others,  including  but
not  limited  to,  the  misappropriation to himself, herself, HIS OR HER
RELATIVE, AS DEFINED IN PARAGRAPH (M)  OF  SUBDIVISION  ONE  OF  SECTION
SEVENTY-THREE OF THIS ARTICLE, or to others of the property, services or
other  resources  of the state for private business or other compensated
non-governmental purposes.
  g. An officer or employee of a state agency, MEMBER OF THE LEGISLATURE
OR LEGISLATIVE EMPLOYEE should abstain from making personal  investments
in  enterprises  which  he  OR SHE has reason to believe may be directly
involved in decisions to be made by him OR HER or which  will  otherwise
create substantial conflict between his OR HER duty in the public inter-
est and his OR HER private interest.
  S  7.  The  nine  members of the legislative ethics commission holding
office immediately prior to the effective date of this  act  are  hereby
removed from their positions as such members, and nine new members shall
be  appointed  in  accordance with section 80 of the legislative law, as
amended by section two of this act.
  S 8. This act shall take effect on the ninetieth day  after  it  shall
have become a law.

Comments

Open Legislation comments facilitate discussion of New York State legislation. All comments are subject to moderation. Comments deemed off-topic, commercial, campaign-related, self-promotional; or that contain profanity or hate speech; or that link to sites outside of the nysenate.gov domain are not permitted, and will not be published. Comment moderation is generally performed Monday through Friday.

By contributing or voting you agree to the Terms of Participation and verify you are over 13.