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

                                  7621

                       2013-2014 Regular Sessions

                          I N  A S S E M B L Y

                              May 28, 2013
                               ___________

Introduced  by  M.  of A. BARCLAY, KOLB -- read once and referred to the
  Committee on Governmental Operations

AN ACT to amend the legislative law, in relation to creating an assembly
  standing committee on ethics and guidance

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

  Section  1.  The legislative law is amended by adding a new section 68
to read as follows:
  S 68. ASSEMBLY STANDING COMMITTEE ON ETHICS AND GUIDANCE. 1.  THERE IS
ESTABLISHED A STANDING COMMITTEE IN THE ASSEMBLY ON ETHICS AND  GUIDANCE
WHICH  SHALL  REPLACE  THE  STANDING COMMITTEE ON ETHICS AND GUIDANCE AS
ESTABLISHED BY THE RULES OF THE ASSEMBLY. THE COMMITTEE SHALL CONSIST OF
AN EQUAL NUMBER OF MAJORITY AND MINORITY MEMBERS FOR A  TOTAL  OF  EIGHT
MEMBERS.  THE  EIGHT  MEMBERS  SHALL  BE  MEMBERS  OF  THE  ASSEMBLY AND
APPOINTED AS FOLLOWS: FOUR BY THE SPEAKER OF THE ASSEMBLY  AND  FOUR  BY
THE MINORITY LEADER OF THE ASSEMBLY.
  2. THE COMMITTEE 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 ASSEMBLY AND ASSEMBLY EMPLOYEES.
  3. MEMBERS OF THE ASSEMBLY WHO SERVE ON THE COMMITTEE SHALL EACH  HAVE
A TWO YEAR TERM CONCURRENT WITH THEIR LEGISLATIVE TERMS OF OFFICE.
  4.  MEMBERS OF THE COMMITTEE MAY ONLY BE REMOVED BY A MAJORITY VOTE OF
THE COMMITTEE SOLELY FOR SUBSTANTIAL NEGLECT OF DUTY,  GROSS  MISCONDUCT
IN  OFFICE,  VIOLATION  OF  THE  CONFIDENTIALITY  RESTRICTIONS  IN  THIS
SECTION, INABILITY TO DISCHARGE  THE  POWERS  OR  DUTIES  OF  OFFICE  OR
VIOLATION  OF  THIS  SECTION, AFTER WRITTEN NOTICE AND OPPORTUNITY FOR A
REPLY.
  5. THE SPEAKER OF THE ASSEMBLY AND THE MINORITY LEADER OF THE ASSEMBLY
SHALL EACH DESIGNATE ONE MEMBER OF THE  COMMITTEE  AS  A  CO-CHAIRPERSON
THEREOF.  THE CO-CHAIRPERSONS SHALL RECEIVE COMPENSATION AS PROVIDED FOR
IN SECTION FIVE-A OF THIS CHAPTER.

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD11190-03-3
              

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  6. THE COMMITTEE SHALL MEET AT LEAST BI-MONTHLY AND AT SUCH ADDITIONAL
TIMES AS MAY BE CALLED FOR BY THE CO-CHAIRPERSONS JOINTLY  OR  ANY  FOUR
MEMBERS OF THE COMMITTEE.
  7. ANY VACANCY OCCURRING ON THE COMMITTEE SHALL BE FILLED WITHIN THIR-
TY DAYS BY THE APPOINTING AUTHORITY.
  8.  FIVE  MEMBERS  OF THE COMMITTEE SHALL CONSTITUTE A QUORUM, AND THE
COMMITTEE SHALL HAVE POWER TO ACT BY MAJORITY VOTE OF THE  TOTAL  NUMBER
OF MEMBERS OF THE COMMITTEE WITHOUT VACANCY.
  9.  THE  COMMITTEE SHALL BE FUNDED SEPARATELY FROM THE ASSEMBLY APPRO-
PRIATIONS PROVIDED ANNUALLY IN AN AMOUNT DEEMED APPROPRIATE BY AN AGREE-
MENT OF THE CO-CHAIRS FOR THE MAINTENANCE AND OPERATION OF  THE  COMMIT-
TEE.  SUCH  APPROPRIATION  FOR THE COMMITTEE SHALL BE SPECIFICALLY LINED
OUT IN THE LEGISLATIVE BUDGET. THE EXECUTIVE DIRECTOR AND  EMPLOYEES  OF
THE  COMMITTEE  SHALL BE CONSIDERED AS EMPLOYEES OF THE ASSEMBLY FOR ALL
PURPOSES.
  10. THE COMMITTEE SHALL:
  (A) APPOINT AN EXECUTIVE DIRECTOR WHO SHALL ACT IN ACCORDANCE WITH THE
POLICIES OF THE COMMITTEE, PROVIDED THAT THE COMMITTEE  MAY  REMOVE  THE
EXECUTIVE DIRECTOR BY A MAJORITY VOTE FOR NEGLECT OF DUTY, MISCONDUCT IN
OFFICE,  OR  INABILITY  OR  FAILURE TO DISCHARGE THE POWERS OR DUTIES OF
OFFICE;
  (B) APPOINT SUCH OTHER STAFF AS ARE NECESSARY TO ASSIST  IT  TO  CARRY
OUT ITS DUTIES UNDER THIS SECTION;
  (C) ADOPT, AMEND, AND RESCIND POLICIES, RULES AND REGULATIONS CONSIST-
ENT WITH THIS SECTION TO GOVERN PROCEDURES OF THE COMMITTEE;
  (D) ADMINISTER THE PROVISIONS OF THIS SECTION;
  (E)  REVIEW  ALL  RULES  AND  POLICIES  OF THE SPEAKER OR THE ASSEMBLY
RELATING TO CONDUCT OF MEMBERS AND EMPLOYEES OF THE ASSEMBLY,  INCLUDING
BUT  NOT  LIMITED  TO  ETHICS, SEXUAL HARASSMENT AND FRATERNIZATION WITH
STUDENT INTERNS, AND RECOMMEND TO THE SPEAKER OF THE  ASSEMBLY  AND  THE
MINORITY  LEADER  OF THE ASSEMBLY ANY CHANGES TO SUCH RULES AND POLICIES
OR OFFER MOTIONS TO AMEND RULES OF THE ASSEMBLY,  OR  OFFER  MOTIONS  TO
SUSPEND  RULES OF THE ASSEMBLY, OR ADOPT POLICIES RELATING TO CONDUCT OF
MEMBERS AND EMPLOYEES OF THE ASSEMBLY,  INCLUDING  BUT  NOT  LIMITED  TO
ETHICS,  SEXUAL  HARASSMENT AND FRATERNIZATION WITH STUDENT INTERNS. ANY
SUCH POLICY RELATING TO CONDUCT OF MEMBERS AND EMPLOYEES OF THE ASSEMBLY
ADOPTED BY THE COMMITTEE SHALL BE THE POLICY OF THE ASSEMBLY AND SUBJECT
TO THE PROVISIONS OF THIS SECTION;
  (F) DEVELOP AND REGULARLY UPDATE  A  COURSE  OF  INSTRUCTION  FOR  ALL
MEMBERS  AND EMPLOYEES OF THE ASSEMBLY WITH REGARD TO THE LAWS AND POLI-
CIES GOVERNING THEIR CONDUCT.   THE COMMITTEE  SHALL  RECOMMEND  TO  THE
SPEAKER  OF  THE  ASSEMBLY  AND  THE  MINORITY  LEADER OF THE ASSEMBLY A
CONDUCT AND ETHICS TRAINING PLAN FOR IMPLEMENTING  AND  SCHEDULING  SUCH
COURSE OF INSTRUCTION FOR MEMBERS, EMPLOYEES AND NEWLY-HIRED EMPLOYEES;
  (G)  PREPARE  AN  ANNUAL REPORT TO THE SPEAKER OF THE ASSEMBLY AND THE
MINORITY LEADER OF  THE  ASSEMBLY  SUMMARIZING  THE  ACTIVITIES  OF  THE
COMMITTEE  DURING  THE PREVIOUS YEAR AND RECOMMENDING ANY CHANGES IN THE
LAWS GOVERNING THE CONDUCT OF PERSONS SUBJECT TO THE JURISDICTION OF THE
COMMITTEE, OR  THE  RULES,  REGULATIONS  AND  PROCEDURES  GOVERNING  THE
COMMITTEE'S  CONDUCT.  SUCH  REPORT  SHALL  INCLUDE:    (I) A LISTING BY
ASSIGNED NUMBER OF EACH  COMPLAINT  INCLUDING  CURRENT  STATUS  OF  EACH
COMPLAINT,  (II)  WHERE  A MATTER WAS DEFERRED, AND (III) WHERE A MATTER
HAS BEEN RESOLVED, THE DATE AND NATURE OF THE DISPOSITION AND ANY  SANC-
TION  IMPOSED,  SUBJECT  TO  THE  CONFIDENTIALITY  REQUIREMENTS  OF THIS
SECTION; AND

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  (H) INVESTIGATE COMPLAINTS AND IMPOSE  DISCIPLINARY  MEASURES  AGAINST
MEMBERS  AND  EMPLOYEES  FOUND IN VIOLATION OF RULES AND POLICIES OF THE
SPEAKER OR THE ASSEMBLY OR THE PUBLIC OFFICERS LAW OR OTHER LAW.
  11. INVESTIGATIONS, MANDATORY REPORTING OF VIOLATIONS, AND ENFORCEMENT
AUTHORITY:
  (A)  THE  COMMITTEE  SHALL  HAVE  THE AUTHORITY, ON ITS OWN ACCORD, TO
INITIATE BY A MAJORITY VOTE AN INVESTIGATION INTO A POSSIBLE  VIOLATION,
BY ANY MEMBER OR EMPLOYEE OF THE ASSEMBLY, OF THE RULES OR POLICY OF THE
SPEAKER OR THE ASSEMBLY OR OF THE PUBLIC OFFICERS LAW OR OTHER LAW.
  (B) ANY FORMAL OR INFORMAL COMPLAINT OF A VIOLATION OF RULES AND POLI-
CIES  OF  THE SPEAKER OR THE ASSEMBLY RELATING TO CONDUCT OF MEMBERS AND
EMPLOYEES OF THE ASSEMBLY OR OF A VIOLATION OF THE PUBLIC  OFFICERS  LAW
OR OTHER LAW, MUST BE REPORTED TO THE COMMITTEE WITHIN FIVE DAYS OF SUCH
COMPLAINT  BEING  MADE  TO COUNSEL, OFFICE OF HUMAN RESOURCES, OFFICE OF
ADMINISTRATION AND PERSONNEL OR INTAKE REPRESENTATIVE.
  (C) THE COMMITTEE SHALL REVIEW SUCH COMPLAINT AT THE NEXT  MEETING  OF
SUCH  COMMITTEE  AND  DETERMINE  BY MAJORITY VOTE WHETHER TO INVESTIGATE
SUCH COMPLAINT FURTHER, COMMENCE A FULL  FORMAL  INVESTIGATION  OF  SUCH
COMPLAINT  OR  DEFER  SUCH  COMPLAINT  TO THE JOINT COMMISSION ON PUBLIC
ETHICS, THE LEGISLATIVE ETHICS COMMISSION, OR AN APPROPRIATE PROSECUTOR.
THE STAFF OF THE COMMITTEE SHALL PROVIDE TO THE MEMBERS OF THE COMMITTEE
PRIOR TO SUCH VOTE INFORMATION REGARDING THE LIKELY SCOPE AND CONTENT OF
THE INVESTIGATION, AND  A SUBPOENA PLAN, TO THE EXTENT SUCH  INFORMATION
IS AVAILABLE.
  (D)  IF  THE  COMMITTEE DETERMINES BY MAJORITY VOTE THAT A FULL FORMAL
INVESTIGATION SHALL COMMENCE THE COMMITTEE SHALL NOTIFY  THE  INDIVIDUAL
IN  WRITING,  DESCRIBE  THE  POSSIBLE  OR ALLEGED VIOLATION OF RULES AND
POLICIES OF THE SPEAKER OR THE ASSEMBLY RELATED TO  CONDUCT  OF  MEMBERS
AND  EMPLOYEES  OF THE ASSEMBLY OR OF A VIOLATION OF THE PUBLIC OFFICERS
LAW OR OTHER LAW 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 SUCH RULES
AND POLICIES.
  (E) THE COMMITTEE HAS THE AUTHORITY TO CONDUCT ANY  INQUIRY  PERTINENT
OR MATERIAL TO THE DISCHARGE OF THE FUNCTIONS, POWERS AND DUTIES IMPOSED
BY  LAW;  AND  THROUGH  DESIGNATED  MEMBERS  OF  THE  STAFF, TO SUBPOENA
WITNESSES, ADMINISTER OATHS, TAKE TESTIMONY AND COMPEL THE PRODUCTION OF
SUCH BOOKS, PAPERS, RECORDS AND DOCUMENTS AS MAY BE RELEVANT TO ANY SUCH
INQUIRY AND INVESTIGATION.
  (F) IF THE  COMMITTEE  DETERMINES  AT  ANY  STAGE  THAT  THERE  IS  NO
VIOLATION,  IT  SHALL  SO  ADVISE THE INDIVIDUAL AND THE COMPLAINANT, IF
ANY. ALL OF THE FOREGOING PROCEEDINGS SHALL BE CONFIDENTIAL.
  (G) THE JURISDICTION OF THE COMMITTEE WHEN  ACTING  PURSUANT  TO  THIS
SECTION  SHALL CONTINUE NOTWITHSTANDING THAT A MEMBER OF THE ASSEMBLY OR
ASSEMBLY EMPLOYEE SEPARATES FROM ASSEMBLY  SERVICE,  PROVIDED  THAT  THE
COMMITTEE NOTIFIES SUCH INDIVIDUAL OF THE ALLEGED VIOLATION OF RULES AND
POLICIES  OF  THE SPEAKER OR THE ASSEMBLY RELATING TO CONDUCT OF MEMBERS
AND EMPLOYEES OF THE ASSEMBLY OR OF A VIOLATION OF THE  PUBLIC  OFFICERS
LAW  PURSUANT  TO PARAGRAPH (C) OF THIS SUBDIVISION WITHIN ONE YEAR FROM
HIS OR HER SEPARATION FROM ASSEMBLY SERVICE.
  (H) IF DURING THE COURSE OF ITS INVESTIGATION THE COMMITTEE DEEMS THAT
A VIOLATION OF RULES AND POLICIES OF THE SPEAKER OR THE ASSEMBLY RELATED
TO CONDUCT OF MEMBERS AND EMPLOYEES OF THE ASSEMBLY OR  A  VIOLATION  OF
THE  PUBLIC  OFFICERS LAW OR OTHER LAW HAS OCCURRED, THE COMMITTEE SHALL
NOTIFY THE INDIVIDUAL IN WRITING.

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  (I) THE COMMITTEE SHALL HAVE THE AUTHORITY TO  (I)  RECOMMEND  PUNISH-
MENTS  FOR VIOLATIONS OF RULES AND POLICIES OF THE SPEAKER OR THE ASSEM-
BLY, OR THE PUBLIC OFFICERS LAW OR OTHER LAW, INCLUDING BUT NOT  LIMITED
TO  CENSURE,  STRIPPING  MEMBERS  OF  LEADERSHIP  POSITIONS OR EXPULSION
PURSUANT  TO  SECTION  THREE  OF  THIS CHAPTER AND (II) ACCESS PENALTIES
PURSUANT TO APPLICABLE LAW OR RULE.
  (J) NO MEMBER OR EMPLOYEE OF  THE  ASSEMBLY  SHALL  TAKE  ANY  ADVERSE
PERSONNEL  ACTION  WITH  RESPECT  TO  ANOTHER  MEMBER OR EMPLOYEE OF THE
ASSEMBLY IN RETALIATION FOR HIS OR HER MAKING A REPORT TO THE COMMITTEE,
OR FOR HIS OR HER OFFICIAL DUTIES AS A MEMBER OF THE COMMITTEE, CONCERN-
ING CONDUCT WHICH HE OR  SHE  KNOWS  OR  REASONABLY  BELIEVES  TO  BE  A
VIOLATION  OF  RULES  AND POLICIES OF THE SPEAKER OR THE ASSEMBLY OR THE
PUBLIC OFFICERS LAW OR OTHER LAW.
  (K) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC  OFFI-
CERS LAW, THE ONLY RECORDS OF THE COMMITTEE WHICH SHALL BE AVAILABLE FOR
PUBLIC INSPECTION AND COPYING ARE:
  (I) THE TERMS OF ANY SETTLEMENT OR COMPROMISE OF A COMPLAINT OR REFER-
RAL  OR REPORT WHICH INCLUDES A FINE, PENALTY OR OTHER REMEDY REACHED BY
THE COMMITTEE; AND
  (II) ALL REPORTS REQUIRED BY THIS SECTION.
  12. NOTWITHSTANDING THE PROVISIONS OF  ARTICLE  SEVEN  OF  THE  PUBLIC
OFFICERS LAW, NO MEETING OR PROCEEDING OF THE COMMITTEE SHALL BE OPEN TO
THE  PUBLIC,  EXCEPT  IF EXPRESSLY PROVIDED OTHERWISE BY THIS SECTION OR
THE COMMITTEE.
  S 2. That portion of subdivision 1 of section 5-a of  the  legislative
law  entitled  "ASSEMBLYMEN  SERVING IN SPECIAL CAPACITY", as amended by
section 3 of part XX of chapter 56 of the laws of 2009,  is  amended  to
read as follows:

                 ASSEMBLYMEN SERVING IN SPECIAL CAPACITY

Chairman of assembly ways and means committee ................... 34,000
Ranking minority member of assembly ways and means
 committee ...................................................... 20,500
Chairman of assembly judiciary committee ........................ 18,000
Ranking minority member of assembly judiciary
 committee ...................................................... 11,000
Chairman of assembly codes committee ............................ 18,000
Ranking minority member of assembly codes
 committee ...................................................... 11,000
Chairman of assembly banks committee ............................ 15,000
Ranking minority member of assembly banks committee .............. 9,500
Chairman of assembly committee on cities ........................ 15,000
Ranking minority member of assembly committee on cities .......... 9,500
Chairman of assembly education committee ........................ 18,000
Ranking minority member of assembly education committee ......... 11,000
Chairman of assembly health committee ........................... 15,000
Ranking minority member of assembly health committee ............. 9,500
Chairman of assembly local governments committee ................ 15,000
Ranking minority member of assembly local governments
 committee ....................................................... 9,500
Chairman of assembly agriculture committee ...................... 12,500
Ranking minority member of assembly agriculture committee ........ 9,000
Chairman of assembly economic development, job creation,
 commerce and industry committee ................................ 18,000
Ranking minority member of assembly economic development,

A. 7621                             5

 job creation, commerce and industry committee .................. 11,000
Chairman of assembly environmental conservation committee ....... 12,500
Ranking minority member of assembly environmental
 conservation committee .......................................... 9,000
Chairman of assembly corporations, authorities
 and commissions committee ...................................... 15,000
Ranking minority member of assembly corporations,
 authorities, and commissions committee .......................... 9,500
Chairman of assembly correction committee ....................... 12,500
Ranking minority member of assembly correction committee ......... 9,000
MAJORITY Chairman of assembly ethics and guidance
 committee ...................................................... 12,500
[Ranking minority member of assembly ethics and guidance
 committee ...................................................... 9,000]
MINORITY CHAIRMAN OF ASSEMBLY ETHICS AND GUIDANCE
 COMMITTEE ...................................................... 12,500
Chairman of assembly governmental employees committee ........... 12,500
Ranking minority member of assembly governmental
 employees committee ............................................. 9,000
Chairman of assembly governmental operations committee .......... 12,500
Ranking minority member of assembly governmental
 operations committee ............................................ 9,000
Chairman of assembly housing committee .......................... 12,500
Ranking minority member of assembly housing committee ............ 9,000
Chairman of assembly insurance committee ........................ 12,500
Ranking minority member of assembly insurance committee .......... 9,000
Chairman of assembly labor committee ............................ 14,000
Ranking minority member of assembly labor committee .............. 9,000
Chairman of assembly racing and wagering committee .............. 12,500
Ranking minority member of assembly racing and wagering
 committee ....................................................... 9,000
Chairman of assembly social services committee .................. 12,500
Ranking minority member of assembly social services
 committee ....................................................... 9,000
Chairman of assembly small business committee ................... 12,500
Ranking minority member of assembly small business
 committee ....................................................... 9,000
Chairman of assembly transportation committee ................... 15,000
Ranking minority member of assembly transportation
 committee ....................................................... 9,500
Chairman of assembly veterans' affairs committee ................ 12,500
Ranking minority member of assembly veterans' affairs
 committee ....................................................... 9,000
Chairman of assembly aging committee ............................ 12,500
Ranking minority member of assembly aging committee .............. 9,000
Chairman of the assembly alcoholism and drug abuse
 committee ...................................................... 12,500
Ranking minority member of the assembly
 alcoholism and drug abuse committee ............................. 9,000
Chairman of assembly committee on mental health,
 mental retardation and developmental disabilities .............. 12,500
Ranking minority member of assembly committee on mental health,
 mental retardation and developmental disabilities ............... 9,000
Chairman of assembly higher education committee ................. 12,500
Ranking minority member of assembly higher education

A. 7621                             6

 committee ....................................................... 9,000
Chairman of assembly real property taxation committee ........... 12,500
Ranking minority member of assembly real property
 taxation committee .............................................. 9,000
Chairman of assembly election law committee ..................... 12,500
Ranking minority member of assembly election
 law committee ................................................... 9,000
Chairman of assembly children and families committee ............ 12,500
Ranking minority member of assembly children
 and families committee .......................................... 9,000
Chairman of assembly consumer affairs and protection
 committee ...................................................... 12,500
Ranking minority member of assembly consumer affairs and
 protection committee ............................................ 9,000
Chairman of the assembly energy committee ....................... 12,500
Ranking minority member of assembly energy committee ............. 9,000
Chairman of assembly tourism, parks, arts and sports development
 committee ...................................................... 12,500
Ranking minority member of assembly tourism, parks, arts and
 sports development committee .................................... 9,000
Chairman of assembly oversight, analysis and investigation
 committee ...................................................... 12,500
Ranking minority member of assembly oversight,
 analysis and investigation committee ............................ 9,000
Chairman of assembly office of state-federal relations .......... 12,500
Chairman of majority house operations ........................... 12,500
Chairman of minority house operations ............................ 9,000
Co-chairman of the administrative regulations review
 commission ..................................................... 12,500

  S  3. Severability 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 4. This act shall take effect immediately.