LBD06996-01-5
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limiting the amount of time a legislator may serve as a legislative
leader (Part G)
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 "public officers accountability act of 2015".
S 2. This act enacts into law major components of legislation provid-
ing for member item reform, creating a new Commission on Official
Conduct, requiring forfeiture of campaign funds upon felony convictions,
creating a new crime for failure to report corruption, limiting use of
campaign funds, enhancing penalties for filing late campaign disclosure
statements, and limiting terms of leaders and committee chairs. Each
component is wholly contained within a Part identified as Parts A
through G. The effective date for each particular provision contained
within such Part is set forth in the last section of such Part. Any
provision in any section contained within a Part, including the effec-
tive date of the Part, which makes a reference to a section "of this
act", when used in connection with that particular component, shall be
deemed to mean and refer to the corresponding section of the Part in
which it is found. Section four of this act sets forth the general
effective date of this act. The "public officers accountability act of
2015" provided in this act, includes the support of constitutional
amendments that are consistent with the intent of this act. The legisla-
ture supports constitutional proposals that remove pension benefits from
public officials who are convicted of a felony related to such individ-
ual's official duties and to provide that no person who is convicted of
a felony, related to such official duties, shall be eligible to serve in
the legislature.
PART A
Section 1. Subdivisions 4 and 5 of section 24 of the state finance
law, as added by chapter 1 of the laws of 2007, are amended to read as
follows:
4. Any appropriation SUBMITTED BY THE GOVERNOR OR added to such budget
bills, pursuant to section four of article seven of the constitution,
shall only contain itemized appropriations which shall not be in the
form of lump sum appropriations, and provided further that for all non-
federal state operations appropriations, such bill or bills shall only
contain itemized appropriations and shall be made, where practicable, by
agency, and within each agency by program and within each program at the
following level of detail and in the following order:
(a) by fund type, which at a minimum shall include general fund,
special revenue-other funds, capital projects funds and debt service
funds;
(b) for personal service appropriations, separate appropriations shall
be made for regular personal service, temporary personal service, and
holiday and overtime pay;
(c) for nonpersonal service appropriations, separate appropriations
shall be made for supplies and materials, travel, contractual services,
equipment and fringe benefits, as appropriate; AND
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(D) AT THE REQUEST OR DISCRETION OF THE GOVERNOR OR A MEMBER OF THE
LEGISLATURE, SUCH APPROPRIATION SHALL INCLUDE THE NAME OF THE GOVERNOR
OR MEMBER OF THE LEGISLATURE.
5. [Any appropriation added pursuant to section four of article seven
of the constitution without designating a grantee shall be allocated
only pursuant to a plan setting forth an itemized list of grantees with
the amount to be received by each, or the methodology for allocating
such appropriation. Such plan shall be subject to the approval of the
chair of the senate finance committee, the chair of the assembly ways
and means committee, and the director of the budget, and thereafter
shall be included in a concurrent resolution calling for the expenditure
of such monies, which resolution must be approved by a majority vote of
all members elected to each house upon a roll call vote.] ANY APPROPRI-
ATION SUBMITTED BY THE GOVERNOR OR ADDED TO SUCH BUDGET BILLS, PURSUANT
TO SECTION FOUR OF ARTICLE SEVEN OF THE CONSTITUTION, SHALL BE SUBJECT
TO THE FOLLOWING:
(A) THE GOVERNOR OR MEMBER OF THE LEGISLATURE REQUESTING SUCH APPRO-
PRIATION SHALL BE REQUIRED TO SUBMIT A SIGNED CONFLICT OF INTEREST FORM
AND SUBMIT SUCH FORM TO THE ATTORNEY GENERAL TO ENSURE THAT NO CONFLICT
OF INTEREST EXISTS; THE ATTORNEY GENERAL SHALL DESIGNATE THE FORM AND
CONTENT OF THE CONFLICT OF INTEREST FORM. THE GOVERNOR OR MEMBER OF THE
LEGISLATURE SHALL DISCLOSE ON THE CONFLICT OF INTEREST FORM ALL POLI-
TICAL DONATIONS HE OR SHE IS RECEIVING OR HAS RECEIVED IN THE PAST FROM
THE INTENDED RECIPIENT OF THE APPROPRIATION FUNDING. SUCH A CONFLICT OF
INTEREST FORM SHALL BE SIGNED BY THE GOVERNOR OR MEMBER OF THE LEGISLA-
TURE UNDER PENALTY OF PERJURY; AND
(B) AN APPROPRIATION PROVIDED AT THE DISCRETION OF THE GOVERNOR OR
MEMBER OF THE LEGISLATURE SHALL NOT BE PROVIDED IF A CONFLICT OF INTER-
EST EXISTS BETWEEN THE GOVERNOR OR A MEMBER OF THE LEGISLATURE DESIGNAT-
ING THE APPROPRIATION AND THE POTENTIAL RECIPIENT. THESE APPROPRIATIONS
CANNOT FUND ORGANIZATIONS THAT EMPLOY OR OTHERWISE COMPENSATE THE GOVER-
NOR OR MEMBER OF THE LEGISLATURE, GOVERNOR'S FAMILY OR MEMBER OF THE
LEGISLATOR'S FAMILY, ANY PERSON SHARING THE HOME OF THE GOVERNOR OR
MEMBER OF THE LEGISLATURE OR THE GOVERNOR'S OR A MEMBER OF THE LEGISLA-
TOR'S STAFF FOR SERVICES OR LABOR RENDERED. FURTHERMORE, THE GOVERNOR OR
MEMBERS OF THE LEGISLATURE SHALL NOT DESIGNATE APPROPRIATIONS IF THE
GOVERNOR OR MEMBER OF THE LEGISLATURE, A MEMBER OF THE GOVERNOR'S OR
MEMBER OF THE LEGISLATOR'S FAMILY, ANY PERSON SHARING THE HOME OF THE
GOVERNOR OR MEMBER OF THE LEGISLATURE OR A MEMBER OF THE GOVERNOR'S OR
MEMBER OF THE LEGISLATOR'S STAFF IS INVOLVED WITH THE OPERATIONS OF THE
ORGANIZATION IN A DECISION-MAKING CAPACITY INCLUDING BUT NOT LIMITED TO
WORKING ON AN UNPAID, VOLUNTEER BASIS OR AS A MEMBER OF THE DIRECTING
BOARD OF AN ORGANIZATION.
S 2. This act shall take effect immediately.
PART B
Section 1. Short title. This act shall be known and may be cited as
the "commission on official conduct act".
S 2. Definitions. As used in this act, the following terms shall have
the following meanings:
(a) "Commission" means the commission on official conduct established
by section three of this act.
(b) "Executive director" means the executive director of the commis-
sion, appointed pursuant to section four of this act.
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(c) "Covered agency" means all executive branch agencies, departments,
divisions, officers, boards and commissions, public authorities (other
than multi-state or multi-national authorities) and public benefit
corporations, the heads of which are appointed by the governor, and
which do not have their own inspector general by statute.
(d) Covered individual means all statewide elected officials, members
of the legislature and employees of the legislature, and state officers
and employees, as defined in sections 73 and 73-a of the public officers
law, candidates for statewide elected office and for the senate or
assembly, and the political party chairman as that term is defined in
section 73-a of the public officers law, lobbyists and the clients of
lobbyists as such terms are defined in article 1-A of the legislative
law, and individuals who have formerly held such positions, were lobby-
ists or clients of lobbyists, as such terms are defined in article 1-A
of the legislative law, or who have formerly been such candidates.
S 3. Commission on official conduct; established. (a) There is hereby
established, as an independent state agency, the commission on official
conduct. The commission shall consist of five members appointed as
follows:
(1) one member appointed by the chief judge of the court of appeals,
who shall serve as the chair of the commission;
(2) one member appointed by the presiding justice of the appellate
division in the first department;
(3) one member appointed by the presiding justice of the appellate
division in the second department;
(4) one member appointed by the presiding justice of the appellate
division in the third department; and
(5) one member appointed by the presiding justice of the appellate
division in the fourth department.
(b) Each member of the commission shall serve a term of five years
commencing on the first of January of the calendar year in which the
vacancy in such office occurs; provided, however, that for the members
initially appointed as members, the member appointed by the presiding
justice in the fourth department shall serve a term of one year, the
member appointed by the presiding justice in the second department shall
serve a term of two years, the member appointed by the presiding justice
in the third department shall serve a term of three years, the member
appointed by the presiding justice in the first department shall serve a
term of four years and the member appointed by the chief judge of the
court of appeals shall serve a term of five years.
Any vacancy occurring in the membership of the commission shall be
filled within sixty days of its occurrence in the same manner as the
member whose vacancy is being filled was appointed. A person appointed
to fill a vacancy occurring other than by expiration of a term of office
shall be appointed to the unexpired term of the member he or she
replaces.
(c) Four 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.
(d) The members of the commission shall receive no compensation for
their services, but shall be allowed their actual and necessary expenses
incurred in the performance of their duties pursuant to this act.
(e) Members of the commission may be removed by the chief judge of the
court of appeals for substantial neglect of duty, gross misconduct in
office, inability to discharge the powers and duties of office or
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violation of the provisions of this act, after written notice and oppor-
tunity to be heard by the court of appeals.
S 4. Executive director and staff. (a) The commission shall appoint
and employ an executive director who shall serve a term of six years.
Any vacancy in the office of executive director shall be filled within
ten days of its occurrence. A person appointed to fill a vacancy in the
office of executive director occurring other than by expiration of a
term of office shall be appointed to the unexpired term of the executive
director he or she replaces.
(b) The executive director shall act in accordance with the policies,
rules and regulations of the commission. He or she shall act in the name
of the commission pursuant to the specific powers delegated by the
commission to the office of executive director.
(c) The commission shall appoint and employ such other staff and
investigators as shall be necessary to carry out its powers and duties
pursuant to this act.
(d) The executive director, staff members and investigators may be
removed by the commission for substantial neglect of duty, gross miscon-
duct in office, inability to perform their duties or violation of the
provisions of this act, after written notice and opportunity to be
heard.
S 5. Powers and duties. The commission shall have the power and duty
to:
(a) fix the compensation of the executive director, staff members and
investigators;
(b) request and receive, and shall utilize and be provided with such
facilities, resources and data of any court, department, division,
board, bureau, commission or agency of the state or any political subdi-
vision thereof, or of any public authority or public benefit corpo-
ration, as it may reasonably request to properly carry out its powers
and duties pursuant to this act;
(c) adopt, amend and rescind rules and regulations to govern the
procedures of the commission and to implement the provisions of this
act;
(d) adopt, amend and rescind rules and regulations to assist appoint-
ing authorities in determining which persons hold policy-making posi-
tions for the purposes of section 73-a of the public officers law;
(e) make available forms for annual statements of financial disclosure
required to be filed pursuant to section 73-a of the public officers
law;
(f) review financial disclosure statements filed pursuant to section
73-a of the public officers law;
(g) receive and investigate complaints and referrals alleging
violations of section 73, 73-a or 74 of the public officers law, article
1-A of the legislative law, or section 107 of the civil service law;
(h) permit any person required to file a financial disclosure state-
ment pursuant to section 73-a of the public officers law to delete from
the copy thereof made available for public inspection such information
as shall be determined by the commission will have no material bearing
on the discharge of the reporting person's official duties;
(i) grant any person required to file a financial disclosure statement
pursuant to section 73-a of the public officers law, an additional peri-
od of time within which to file such statement due to justifiable cause
or undue hardship;
(j) permit any person required to file a financial disclosure state-
ment pursuant to section 73-a of the public officers law to delete such
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information pertaining to such person's spouse or unemancipated children
as shall be found by the commission will have no material bearing on the
discharge of the reporting person's official duties;
(k) advise and assist any state agency in establishing rules and regu-
lations relating to possible conflicts between private interests and
official duties of present and former state officers and employees;
(l) permit any person who has not been determined by his or her
appointing authority to hold a policy-making position, but who is other-
wise required to file a financial disclosure statement, to be granted an
exemption from such filing requirement. The commission may grant such an
exemption where the public interest does not require disclosure and the
applicant's duties do not involve negotiation, authorization or approval
of:
(1) contracts, leases, franchises, revocable consents, concessions,
variances, special permits or licenses as defined in section 73 of the
public officers law,
(2) the purchase, sale, rental or lease of real property, goods or
services, or a contract therefor,
(3) the obtaining of grants of money or loans, or
(4) the adoption or repeal of any rule or regulation having the force
and effect of law;
(m) determine questions common to a class or defined category of
persons or items of information required to be disclosed, where determi-
nation of the question will prevent undue repetition of requests for
exemption or deletion, or prevent undue complication in complying with
the provisions of this act;
(n) upon written request from a person subject to the requirements of
section 73, 73-a or 74 of the public officers law, render an advisory
opinion on the requirements of such provisions;
(o) promulgate rules concerning restrictions on outside activities and
limitations or the receipt of gifts and honoraria;
(p) conduct training programs, in cooperation with the governor's
office of employee relations, to provide instruction to persons subject
to its jurisdiction;
(q) administer and enforce all provisions of this act;
(r) conduct any investigation necessary to carry out the provisions of
this act;
(s) receive and investigate complaints from any source, or upon its
own initiative, concerning allegations of corruption, fraud, criminal
activity, conflicts of interest or abuse in any covered agency or by any
covered individual;
(t) inform the heads of covered agencies of such allegations and the
progress of investigations related thereto, unless special circumstances
require confidentiality;
(u) determine with respect to such allegations whether disciplinary
action, civil or criminal prosecution, or further investigation by an
appropriate federal, state or local agency is warranted, and to assist
in such investigations;
(v) prepare and release to the public written reports of such investi-
gations, as appropriate and to the extent permitted by law, subject to
redaction to protect the confidentiality of witnesses. The release of
all or portions of such reports may be deferred to protect the confiden-
tiality of ongoing investigations;
(w) review and examine periodically the policies and procedures of
covered agencies with regard to the prevention and detection of
corruption, fraud, criminal activity, conflicts of interest or abuse;
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(x) recommend remedial acts to prevent or eliminate corruption, fraud,
criminal activity, conflicts of interest or abuse in covered agencies;
(y) establish programs for training state officers and employees
regarding the prevention and elimination of corruption, fraud, criminal
activity, conflicts of interest or abuse in covered agencies;
(z) subpoena and enforce the attendance of witnesses;
(aa) administer oaths or affirmations and examine witnesses under
oath;
(bb) require the production of any books and papers deemed relevant or
material to any investigation, examination or review;
(cc) examine and copy or remove documents or records of any kind
prepared, maintained or held by any covered agency or covered individ-
ual;
(dd) require any officer or employee in a covered agency or any
covered individual to answer questions concerning any matter related to
the performance of his or her official duties. No statement or other
evidence derived therefrom may be used against such officer or employee
in any subsequent criminal prosecution other than for perjury or
contempt arising from such testimony. The refusal of any officer or
employee to answer questions shall be cause for removal from office or
employment, or other appropriate penalty;
(ee) monitor the implementation by covered agencies of any recommenda-
tions made by the commission;
(ff) perform any other functions that are necessary or appropriate to
fulfill the provisions of this act;
(gg) conduct investigations in connection with:
(1) the faithful execution and enforcement of the laws of the state,
with particular reference but not limited to organized crime and racke-
teering,
(2) the conduct of public officers and public employees, and of offi-
cers and employees of public benefit corporations and public authori-
ties, and
(3) any matter concerning the public peace, public safety and public
justice;
(hh) at the direction of the governor, conduct investigations and
otherwise assist the governor in connection with:
(1) the removal of public officers by the governor,
(2) the making of recommendations by the governor to any other person
or body, with respect to the removal of public officers, and
(3) the making of recommendations by the governor to the legislature
with respect to changes in or additions to existing provisions of law
required for the more effective enforcement of the law;
(ii) at the direction or request of the governor or the head of any
department, board, bureau, commission or other agency of the state,
investigate the management or affairs of any such department, board,
bureau, commission or other agency;
(jj) upon the request of district attorneys and other law enforcement
officers, cooperate with, advise and assist them in the performance of
their official powers and duties;
(kk) cooperate with departments and officers of the United States
government in the investigation of violations of the federal laws within
this state;
(ll) examine into matters relating to law enforcement extending across
the boundaries of the state into other states, and may consult and
exchange information with officers and agencies of other states with
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respect to law enforcement problems of mutual concern to this and other
states;
(mm) whenever it shall appear to the commission that there is cause
for the prosecution of a crime or for the removal of a public officer
for misconduct, refer the evidence of such crime or misconduct to the
officials authorized to conduct the prosecution or to remove the public
officer;
(nn) keep the public informed as to the operations of organized crime
and problems of law enforcement in the state; and
(oo) exercise any and all powers of the former commission on public
integrity and the former office of the state inspector general as they
existed immediately prior to the effective date of this act, and exer-
cise any and all powers of the former temporary state commission of
investigation as they existed on March 30, 2011.
S 6. Financial disclosure. (a) The commission shall inspect all finan-
cial disclosure statements filed with the commission to ascertain wheth-
er any person subject to the reporting requirements of section 73-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 73, 73-a or 74 of the public officers law.
(b) If a person required to file a financial disclosure statement with
the commission has failed to file a disclosure statement or has filed a
deficient statement, the commission shall notify the reporting person in
writing, state the failure to file or detail the deficiency, provide the
person with a fifteen day period to cure the deficiency, and advise the
person of the penalties for failure to comply with the reporting
requirements. Such notice shall be confidential. If the person fails to
make such filing or fails to cure the deficiency within the specified
time period, the commission shall send a notice of delinquency: (1) to
the reporting person; (2) in the case of a statewide elected official,
to the temporary president of the senate and the speaker of the assem-
bly; and (3) in the case of a state officer or employee, to the appoint-
ing authority for such person. Such notice of delinquency may be sent at
any time during the reporting person's service as a statewide elected
official, state officer or employee, political party chair or while a
candidate for statewide office, or within one year after termination of
such service or candidacy. The jurisdiction of the commission, when
acting pursuant to subdivision (d) of this section with respect to
financial disclosure, shall continue notwithstanding that the reporting
person separates from state service, or ceases to hold office as a
statewide elected official or political party chair, or ceases to be a
candidate, provided the commission notifies such person of the alleged
failure to file or deficient filing pursuant to this subdivision.
(c)(1) If the commission receives a sworn complaint alleging a
violation of section 73, 73-a or 74 of the public officers law, section
107 of the civil service law or article 1-A of the legislative law by a
person or entity subject to the jurisdiction of the commission, or if a
reporting individual has filed a statement which reveals a possible
violation of these provisions, or if the commission determines on its
own initiative to investigate a possible violation, the commission shall
notify the individual in writing, describe the possible or alleged
violation of such laws and provide the person with a fifteen day period
in which to submit a written response setting forth information relating
to the activities cited as a possible or alleged violation of law. If
the commission thereafter makes a determination that further inquiry is
justified, it shall give the individual an opportunity to be heard. The
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commission shall also inform the 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 individual and the complainant, if any. All of the
foregoing proceedings shall be confidential.
(2) If the commission determines that there is reasonable cause to
believe that a violation has occurred, it shall send a notice of reason-
able cause: (i) to the reporting person; (ii) to the complainant if any;
(iii) in the case of a statewide elected official, to the temporary
president of the senate and the speaker of the assembly; and (iv) in the
case of a state officer or employee, to the appointing authority for
such person.
(3) The jurisdiction of the commission when acting pursuant to this
act shall continue notwithstanding that a statewide elected official or
a state officer or employee separates from state service, or a political
party chair ceases to hold such office, or a candidate ceases to be a
candidate, or a lobbyist or client of a lobbyist ceases to act as such,
provided that the commission notifies such individual or entity of the
alleged violation of law pursuant to paragraph one of this subdivision
within one year from his or her separation from state service or his or
her termination of party service or candidacy, or from his, her or its
last report filed pursuant to article 1-A of the legislative law. Noth-
ing in this section shall serve to limit the jurisdiction of the commis-
sion in enforcement of subdivision 8 of section 73 of the public offi-
cers law.
(d) An individual subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions of subdivisions 2
through 5, 7, 8, 12 or 14 through 17 of section 73 of the public offi-
cers law, section 107 of the civil service law, or a reporting individ-
ual who knowingly and wilfully fails to file an annual statement of
financial disclosure or who knowingly and wilfully with intent to
deceive makes a false statement or fraudulent omission or gives informa-
tion which such individual knows to be false on such statement of finan-
cial disclosure filed pursuant to section 73-a of the public officers
law shall be subject to a civil penalty in an amount not to exceed
$40,000 and the value of any gift, compensation or benefit received as a
result of such violation. An individual who knowingly and intentionally
violates the provisions of paragraphs b, c, d or i of subdivision 3 of
section 74 of the public officers law shall be subject to a civil penal-
ty in an amount not to exceed $10,000 and the value of any gift, compen-
sation or benefit received as a result of such violation. An individual
who knowingly and intentionally violates the provisions of paragraphs a,
e or g of subdivision 3 of section 74 of the public officers law shall
be subject to a civil penalty in an amount not to exceed the value of
any gift, compensation or benefit received as a result of such
violation. An individual subject to the jurisdiction of the commission
who knowingly and wilfully violates article 1-A of the legislative law
shall be subject to civil penalty as provided for in that article.
Assessment of a civil penalty pursuant to this section 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 commis-
sion shall consider the seriousness of the violation, the amount of gain
to the individual and whether the individual previously had any civil or
criminal penalties imposed pursuant to this section, and any other
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factors the commission deems appropriate. For a violation of this subdi-
vision, other than for conduct which constitutes a violation of section
107 of the civil service law, subdivisions 12 or 14 through 17 of
section 73 or section 74 of the public officers law or article 1-A of
the legislative law, the commission may, in lieu of a civil penalty,
refer a violation to the appropriate prosecutor and upon such
conviction, such violation shall be punishable as a class A misdemeanor.
A civil penalty for false filing may not be imposed pursuant to this
section in the event a category of "value" or "amount" reported pursuant
to this section 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 73 of the public officers law, except that the appointing
authority may impose disciplinary action as otherwise provided by law.
The commission may refer violations of this section to the appointing
authority for disciplinary action as otherwise provided by law. The
commission shall be deemed to be an agency within the meaning of article
3 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 78 of the civil prac-
tice law and rules relating to the assessment of the civil penalties
authorized by this subdivision and commission denials of requests for
certain deletions or exemptions to be made from a financial disclosure
statement as authorized by this act. Such rules, which shall not be
subject to the approval requirements of the state administrative proce-
dure act, shall provide for due process procedural mechanisms substan-
tially similar to those set forth in article 3 of the state administra-
tive procedure act but such mechanisms need not be identical in terms or
scope. Assessment of a civil penalty or commission denial of such a
request shall be final unless modified, suspended or vacated within
thirty days of imposition, with respect to the assessment of such penal-
ty, or unless such denial of request is reversed within such time peri-
od, and upon becoming final shall be subject to review at the instance
of the affected reporting individuals in a proceeding commenced against
the commission, pursuant to article 78 of the civil practice law and
rules.
(e) If the commission has a reasonable basis to believe that any
person subject to the jurisdiction of the legislative ethics commission
may have violated any provisions of section 73 or 74 of the public offi-
cers law, it may refer such violation to the legislative ethics commis-
sion. The referral by the commission to the legislative ethics commis-
sion shall include any information relating thereto coming into the
custody or under the control of the commission at any time prior or
subsequent to the time of the referral.
(f) A copy of any notice of delinquency or notice of reasonable cause
sent pursuant to subdivisions (b) and (c) of this section shall be
included in the reporting person's file and be available for public
inspection and copying.
S 7. Website. Within one hundred twenty days of the effective date of
this section, 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 section eight of this act, other than financial
disclosure statements, and any other records or information which the
commission determines to be appropriate.
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S 8. Public access to records. (a) Notwithstanding the provisions of
article 6 of the public officers law, the only records of the commission
which shall be available for public inspection and copying are:
(1) the information set forth in an annual statement of financial
disclosure filed pursuant to section 73-a of the public officers law
except the categories of value or amount, which shall remain confiden-
tial, and any other item of information deleted pursuant to this act;
(2) notices of delinquency sent under subdivision (b) of section six
of this act;
(3) notices of reasonable cause sent under paragraph two of subdivi-
sion (c) of section six of this act;
(4) notices of civil assessments imposed under this act which shall
include a description of the nature of the alleged wrongdoing, the
procedural history of the complaint, the findings and determinations
made by the commission, and any sanction imposed;
(5) the terms of any settlement or compromise of a complaint or refer-
ral which includes a fine, penalty or other remedy; and
(6) those required to be held or maintained publicly available pursu-
ant to article 1-A of the legislative law.
(b) Pending any application for deletion or exemption to the commis-
sion, all information which is the subject or a part of the application
shall remain confidential. Upon an adverse determination by the commis-
sion, the reporting individual may request, and upon such request the
commission shall provide, that any information which is the subject or
part of the application remain confidential for a period of thirty days
following notice of such determination. In the event that the reporting
individual resigns his or her office and holds no other office subject
to the jurisdiction of the commission, the information shall not be made
public and shall be expunged in its entirety.
S 9. Responsibilities of covered agencies, covered individuals, state
officers and employees. (a) Every state officer or employee in a
covered agency and every covered individual shall report promptly to the
commission any information concerning corruption, fraud, criminal activ-
ity, conflicts of interest or abuse by another state officer or employee
relating to his or her office or employment, or by a person having busi-
ness dealings with a covered agency relating to those dealings. The
knowing failure of any officer or employee to so report shall be cause
for removal from office or employment or other appropriate penalty. Any
officer or employee who acts pursuant to this subdivision by reporting
to the commission improper governmental action as defined in section
75-b of the civil service law shall not be subject to dismissal, disci-
pline or other adverse personnel action.
(b) The head of any covered agency shall advise the governor within
ninety days of the issuance of a report by the commission as to the
remedial action that the agency has taken in response to any recommenda-
tion for such action contained in such report.
S 10. Confidentiality. Any person conducting or participating in any
examination or investigation who shall disclose to any person other than
the commission or an officer having the power to appoint one or more of
the commissioners the name of any witness examined, or any information
obtained or given upon such examination or investigation, except as
directed by the commission, shall be guilty of a misdemeanor.
S 11. Evidence to be impounded. Upon the application of the commis-
sion, the executive director or a duly authorized member of its staff,
the supreme court or a justice thereof may impound any exhibit marked in
evidence in any public or private hearing held in connection with an
A. 4617 12
investigation conducted by the commission, and may order such exhibit to
be retained by, or delivered to and placed in the custody of, the
commission. When so impounded such exhibit shall not be taken from the
custody of the commission, except upon further order of the court or a
justice thereof made upon five days' notice to the commission or upon
its application or with its consent.
S 12. Immunity from prosecution. In any investigation or hearing
conducted by the commission pursuant to this act, relating to any crime
or offense with respect to which, by express provision of statute, a
competent authority is authorized to confer immunity; the commission may
confer immunity in accordance with the provisions of section 50.20 of
the criminal procedure law, but only after affording the attorney gener-
al and the appropriate district attorney the opportunity to be heard in
respect to any objections which they may have to the granting of such
immunity.
S 13. Transfer of functions, powers and duties. All functions, powers,
duties and obligations of the former commission on public integrity and
the former office of the state inspector general are hereby trans-
ferred to the commission.
S 14. Transfer of employees. (a) Upon transfer of the functions of the
former commission on public integrity and the former office of the state
inspector general to the commission, provisions shall be made for the
transfer to the commission of those employees of such former agencies
who were engaged in carrying out the functions transferred by this act
in accordance with section 70 of the civil service law or, where not
subject to the civil service law, the provisions of such section 70
shall be deemed applicable, except where the context clearly requires
otherwise. Any such employee who, at the time of such transfer, has a
temporary or provisional appointment shall be transferred subject to the
same right of removal, examination or termination as though such trans-
fer had not been made except to the extent such rights are modified by a
collective bargaining agreement. Employees holding permanent appoint-
ments in competitive class positions who are not transferred pursuant to
this section shall have their names entered upon an appropriate
preferred list for reinstatement pursuant to the civil service law.
(b) A transferred employee shall remain in the same collective
bargaining unit as was the case prior to his or her transfer; successor
employees to the positions held by such transferred employees shall,
consistent with the provisions of article 14 of the civil service law,
be included in the same unit as their predecessors. Employees other than
management or confidential persons (as defined in article 14 of the
civil service law), serving positions in newly created titles shall be
assigned to the appropriate bargaining unit. Nothing contained in this
section shall be construed to affect:
(1) the rights of employees pursuant to a collective bargaining agree-
ment;
(2) the representational relationships among employee organizations or
the bargaining relationships between the state and an employee organiza-
tion; or
(3) existing law with respect to an application to the public employ-
ment relations board, provided, however, that the merger of such negoti-
ating units of employees shall be effected only with the consent of the
recognized and certified representative of such units and of the depart-
ment of law.
S 15. Transfer of records. All books, papers and property of the
former commission on public integrity and the former office of the state
A. 4617 13
inspector general are to be delivered to the commission at such place
and time, and in such manner as the commission shall require.
S 16. Continuity of authority. For the purpose of succession to all
functions, powers, duties and obligations of the former commission on
public integrity and the former office of the state inspector general
transferred to and assumed by the commission, such commission shall
continue the operation thereof as if performed by such former agencies.
S 17. Completion of unfinished business. Any business or other matter
undertaken or commenced by the former commission on public integrity and
the former office of the state inspector general pertaining to or
connected with the functions, powers, duties and obligations transferred
and assigned to the commission and pending on the effective date of this
section shall be conducted and completed by the commission in the same
manner and under the same terms and conditions and with the same effect
as if conducted and completed by such former agencies.
S 18. Continuation of rules and regulations. All rules, regulations,
acts, orders, determinations and decisions of the former commission on
public integrity and the former office of the state inspector general in
force at the time of such transfer and assumption, shall continue in
force and effect as rules, regulations, acts, orders, determinations and
decisions of the commission until duly modified or abrogated.
S 19. Terms occurring in laws, contracts and other documents. Whenever
the former commission on public integrity or the former office of the
state inspector general is referred to or designated in any law,
contract or document pertaining to the functions, powers, obligations
and duties transferred and assigned pursuant to this act, such reference
or designation shall be deemed to refer to the commission.
S 20. Existing rights and remedies preserved. No existing right or
remedy of any character shall be lost, impaired or affected by reason of
any transfer or assignment pursuant to this act.
S 21. Pending actions or proceedings. No action or proceeding pending
upon the effective date of this section relating to the functions,
powers and duties of the former commission on public integrity and the
former office of the state inspector general transferred to the commis-
sion, brought by or against any such former agency, shall be affected by
any provision of this act, but the same may be prosecuted or defended in
the name of the commission. In all such actions and proceedings, the
commission, upon application to the court, shall be substituted as a
party.
S 22. Transfer of appropriations heretofore made. Subject to the
approval of the director of the division of the budget, all appropri-
ations and reappropriations heretofore made to the former commission on
public integrity and the former office of the state inspector general
for the purposes and functions transferred pursuant to this act to the
commission, to the extent of remaining unexpended or unencumbered
balance thereof, whether allocated or unallocated, and whether obligated
or unobligated, are hereby transferred to and made available for use and
expenditure by the commission for the same purposes for which originally
appropriated or reappropriated and shall be payable on vouchers certi-
fied or approved by the executive director on audit and warrant of the
comptroller. Payments for liabilities for expenses of personal services,
maintenance and operation heretofore incurred by and for liabilities
incurred and to be incurred in completing the affairs of the former
commission on public integrity and the former office of the state
inspector general with respect to the powers, duties and functions
transferred in this act, shall also be made on vouchers or certificates
A. 4617 14
approved by the executive director on audit and warrant of the comp-
troller.
S 23. Transfer of assets and liabilities. All assets and liabilities
of the former commission on public integrity and the former office of
the state inspector general are hereby transferred to and assumed by the
commission.
S 24. Actions of the commission. The commission is hereby directed to
immediately take any and all actions necessary to enable it to assume
all powers, duties and functions of the former commission on public
integrity, the former office of the state inspector general and the
former temporary state commission of investigation within ninety days of
the effective date of this act.
S 25. Subdivision 5 of section 107 of the civil service law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
5. Violation of this section. Complaints alleging a violation of this
section by a statewide elected official or a state officer or employee,
as defined in section seventy-three of the public officers law, may be
directed to the commission on [public integrity] OFFICIAL CONDUCT.
S 26. Section 94 of the executive law is REPEALED.
S 27. Subdivision (f) of section 1-c of the legislative law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
(f) The term "commission" shall mean the commission on [public integ-
rity created by section ninety-four of the executive law] OFFICIAL
CONDUCT.
S 28. Subdivision 3 of section 212 of the racing, pari-mutuel wagering
and breeding law, as amended by chapter 18 of the laws of 2008, is
amended to read as follows:
3. Such members, except as otherwise provided by law, may engage in
private or public employment, or in a profession or business. The board,
its members, officers and employees shall be subject to the provisions
of sections seventy-three and seventy-four of the public officers law.
No former trustee or officer of a non-profit racing association known as
The New York Racing Association, Inc. or its predecessor, no current
director or officer of a franchised corporation or any individual regis-
tered with the [New York] commission on [public integrity] OFFICIAL
CONDUCT shall be appointed as members to the board nor shall any member
of the board have any direct or indirect interest in any racehorse,
thoroughbred racing or pari-mutuel wagering business, video lottery
terminal facility or any development at any racing facility.
S 29. Article 4-A of the executive law is REPEALED.
S 30. Subdivision 3 of section 63 of the executive law, as amended by
chapter 155 of the laws of 2012, is amended to read as follows:
3. Upon request of the governor, comptroller, secretary of state,
commissioner of transportation, superintendent of financial services,
commissioner of taxation and finance, commissioner of motor vehicles, or
the [state inspector general] COMMISSION ON OFFICIAL CONDUCT, or the
head of any other department, authority, division or agency of the
state, investigate the alleged commission of any indictable offense or
offenses in violation of the law which the officer making the request is
especially required to execute or in relation to any matters connected
with such department, and to prosecute the person or persons believed to
have committed the same and any crime or offense arising out of such
investigation or prosecution or both, including but not limited to
appearing before and presenting all such matters to a grand jury.
A. 4617 15
S 31. Section 2350-dd of the public authorities law, as added by chap-
ter 762 of the laws of 2005, is amended to read as follows:
S 2350-dd. Jurisdiction of [state inspector general] COMMISSION ON
OFFICIAL CONDUCT. The agency is subject to the jurisdiction of the
[office of the state inspector general] COMMISSION ON OFFICIAL CONDUCT.
S 32. Subdivision 3 of section 2.10 of the criminal procedure law, as
added by chapter 843 of the laws of 1980, is amended to read as follows:
3. [Investigators] THE EXECUTIVE DIRECTOR AND INVESTIGATORS of the
[office of the state] commission [of investigation] ON OFFICIAL CONDUCT.
S 33. Subdivision 68 of section 2.10 of the criminal procedure law, as
added by chapter 168 of the laws of 2000, is REPEALED.
S 34. Subdivision 3 of section 70-a of the executive law, as added by
chapter 1003 of the laws of 1970, is amended to read as follows:
3. The deputy attorney general in charge of the organized crime task
force may request and shall receive from the division of state police,
the state department of taxation and finance, the state department of
labor, the [temporary state] commission [of investigation] ON OFFICIAL
CONDUCT, and from every department, division, board, bureau, commission
or other agency of the state, or of any political subdivision thereof,
cooperation and assistance in the performance of his duties. Such deputy
attorney general may provide technical and other assistance to any
district attorney or other local law enforcement official requesting
such assistance in the investigation or prosecution of organized crime
cases.
S 35. Subdivision 9 of section 835 of the executive law, as separately
amended by chapters 14 and 155 of the laws of 2012, is amended to read
as follows:
9. "Qualified agencies" means courts in the unified court system, the
administrative board of the judicial conference, probation departments,
sheriffs' offices, district attorneys' offices, the state department of
corrections and community supervision, the department of correction of
any municipality, the financial frauds and consumer protection unit of
the state department of financial services, the office of professional
medical conduct of the state department of health for the purposes of
section two hundred thirty of the public health law, the child protec-
tive services unit of a local social services district when conducting
an investigation pursuant to subdivision six of section four hundred
twenty-four of the social services law, the office of Medicaid inspector
general, the [temporary state] commission [of investigation] ON OFFICIAL
CONDUCT, police forces and departments having responsibility for
enforcement of the general criminal laws of the state, the Onondaga
County Center for Forensic Sciences Laboratory when acting within the
scope of its law enforcement duties and the division of forensic
services of the Nassau county medical examiner's office when acting
within the scope of its law enforcement duties.
S 36. Subdivision 8 of section 92 of the public officers law, as
amended by section 135 of subpart B of part C of chapter 62 of the laws
of 2011, is amended to read as follows:
(8) Public safety agency record. The term "public safety agency
record" means a record of the state commission of correction, the
[temporary state] commission [of investigation] ON OFFICIAL CONDUCT, the
department of corrections and community supervision, the office of chil-
dren and family services, the office of victim services, the office of
probation and correctional alternatives or the division of state police
or of any agency or component thereof whose primary function is the
enforcement of civil or criminal statutes if such record pertains to
A. 4617 16
investigation, law enforcement, confinement of persons in correctional
facilities or supervision of persons pursuant to criminal conviction or
court order, and any records maintained by the division of criminal
justice services pursuant to sections eight hundred thirty-seven, eight
hundred thirty-seven-a, eight hundred thirty-seven-b, eight hundred
thirty-seven-c, eight hundred thirty-eight, eight hundred thirty-nine,
and eight hundred forty-five of the executive law and by the department
of state pursuant to section ninety-nine of the executive law.
S 37. Chapter 989 of the laws of 1958, creating a temporary state
commission of investigation, is REPEALED.
S 38. Paragraph (b) of subdivision 9 of section 80 of the legislative
law, as added by section 9 of part A of chapter 399 of the laws of 2011,
is amended to read as follows:
(b) Not later than forty-five calendar days after receipt from the
[joint] commission on [public ethics] OFFICIAL CONDUCT of a written
substantial basis investigation report and any supporting documentation
or other materials regarding a matter before the commission [pursuant to
subdivision fourteen-a of section ninety-four of the executive law],
unless requested by a law enforcement agency to suspend the commission's
action because of an ongoing criminal investigation, the legislative
ethics commission shall make public such report in its entirety;
provided, however, that the commission may withhold such information for
not more than one additional period of the same duration or refer the
matter back to the [joint] commission on [public ethics] OFFICIAL
CONDUCT once for additional investigation, in which case the legislative
ethics commission shall, upon the termination of such additional period
or upon receipt of a new report by the [joint] commission on [public
ethics] OFFICIAL CONDUCT after such additional investigation, make
public the written report and publish it on the commission's website. If
the legislative ethics commission fails to make public the written
report received from the [joint] commission in accordance with this
paragraph, the [joint] commission shall release such report publicly
promptly and in any event no later than ten days after the legislative
ethics commission is required to release such report. The legislative
ethics commission shall not refer the matter back to the [joint] commis-
sion on [public ethics] OFFICIAL CONDUCT for additional investigation
more than once. If the commission refers the matter back to the [joint]
commission for additional fact-finding, the [joint] commission's
original report shall remain confidential.
S 39. Subparagraph 1 of paragraph a of subdivision 12 of section 80 of
the legislative law, as amended by section 9 of part A of chapter 399 of
the laws of 2011, is amended to read as follows:
(1) the terms of any settlement or compromise of a complaint or refer-
ral or report which includes a fine, penalty or other remedy reached
after the commission has received a report from the [joint] commission
on [public ethics pursuant to subdivision fourteen-a of section ninety-
four of the executive law] OFFICIAL CONDUCT;
S 40. Subparagraphs (ii) and (iii) of paragraph (c) and paragraph
(d-1) of subdivision 1 of section 73-a of the public officers law,
subparagraphs (ii) and (iii) of paragraph (c) as amended and paragraph
(d-1) as added by section 5 of part A of chapter 399 of the laws of
2011, are amended to read as follows:
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions, commis-
sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-
A. 4617 17
vision or who hold policy-making positions, as annually determined by
the appointing authority and set forth in a written instrument which
shall be filed with the [joint] commission on [public ethics established
by section ninety-four of the executive law] OFFICIAL CONDUCT during the
month of February, provided, however, that the appointing authority
shall amend such written instrument after such date within thirty days
after the undertaking of policy-making responsibilities by a new employ-
ee or any other employee whose name did not appear on the most recent
written instrument; and
(iii) members or directors of public authorities, other than multi-
state authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, and employees of such
authorities, corporations and commissions who receive annual compen-
sation in excess of the filing rate established by paragraph (l) of this
subdivision or who hold policy-making positions, as determined annually
by the appointing authority and set forth in a written instrument which
shall be filed with the [joint] commission on [public ethics established
by section ninety-four of the executive law] OFFICIAL CONDUCT during the
month of February, provided, however, that the appointing authority
shall amend such written instrument after such date within thirty days
after the undertaking of policy-making responsibilities by a new employ-
ee or any other employee whose name did not appear on the most recent
written instrument.
(d-1) A financial disclosure statement required pursuant to section
seventy-three of this article and this section shall be deemed "filed"
with the [joint] commission on [public ethics] OFFICIAL CONDUCT upon its
filing, in accordance with this section, with the legislative ethics
commission for all purposes including, but not limited to, [subdivision
fourteen of section ninety-four of the executive law,] subdivision nine
of section eighty of the legislative law and subdivision four of this
section.
S 41. Subparagraph (ii) of paragraph (a) and paragraph (c) of subdivi-
sion 2 of section 73-a of the public officers law, as amended by section
5 of part A of chapter 399 of the laws of 2011, are amended to read as
follows:
(ii) a person who is required to file an annual financial disclosure
statement with the [joint] commission on [public ethics] OFFICIAL
CONDUCT, and who is granted an additional period of time within which to
file such statement due to justifiable cause or undue hardship[, in
accordance with required rules and regulations on the subject adopted
pursuant to paragraph c of subdivision nine of section ninety-four of
the executive law] shall file such statement within the additional peri-
od of time granted; and the legislative ethics commission shall notify
the [joint] commission on [public ethics] OFFICIAL CONDUCT of any exten-
sion granted pursuant to this paragraph;
(c) If the reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative employ-
ee, such statement shall be filed with both the legislative ethics
commission established by section eighty of the legislative law and the
[joint] commission on [public ethics] OFFICIAL CONDUCT in accordance
with paragraph (d-1) of subdivision one of this section. If the report-
ing individual is a statewide elected official, candidate for statewide
elected office, a state officer or employee or a political party chair-
man, such statement shall be filed with the [joint] commission on
[public ethics established by section ninety-four of the executive law]
OFFICIAL CONDUCT.
A. 4617 18
S 42. Paragraph 8 of subdivision 3 and subdivision 4 of section 73-a
of the public officers law, paragraph 8 of subdivision 3 as amended by
section 37 of subpart A of part H of chapter 55 of the laws of 2014 and
subdivision 4 as amended by section 5 of part A of chapter 399 of the
laws of 2011, are amended to read as follows:
8. (a) If the reporting individual practices law, is licensed by the
department of state as a real estate broker or agent or practices a
profession licensed by the department of education, or works as a
member or employee of a firm required to register pursuant to
section one-e of the legislative law as a lobbyist, give a general
description of the principal subject areas of matters undertaken by
such individual. Additionally, if such an individual practices with
a firm or corporation and is a partner or shareholder of the firm or
corporation, give a general description of principal subject areas
of matters undertaken by such firm or corporation.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE, OR FOR NEW MATTERS
FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT
ARE PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE:
If the reporting individual personally provides services to any person
or entity, or works as a member or employee of a partnership or corpo-
ration that provides such services (referred to hereinafter as a
"firm"), then identify each client or customer to whom the reporting
individual personally provided services, or who was referred to the firm
by the reporting individual, and from whom the reporting individual or
his or her firm earned fees in excess of $10,000 during the reporting
period for such services rendered in direct connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $50,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
knowingly solicit or direct to the reporting individual's firm in whole
or substantial part, a person or entity that becomes a client of that
firm for the purposes of representation for a matter as defined in
subparagraphs (i) through (v) of this paragraph, as the result of such
procurement, solicitation or direction of the reporting individual. A
reporting individual need not disclose activities performed while
lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
sion seven of section seventy-three of this article.
A. 4617 19
The disclosure requirement in this question shall not require disclo-
sure of clients or customers receiving medical or dental services,
mental health services, residential real estate brokering services, or
insurance brokering services from the reporting individual or his or her
firm. The reporting individual need not identify any client to whom he
or she or his or her firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
or domestic relations matters. With respect to clients represented in
other matters, where disclosure of a client's identity is likely to
cause harm, the reporting individual shall request an exemption from the
[joint] commission [pursuant to paragraph (i) of subdivision nine of
section ninety-four of the executive law] ON OFFICIAL MISCONDUCT. Only a
reporting individual who first enters public office after July first,
two thousand twelve, need not report clients or customers with respect
to matters for which the reporting individual or his or her firm was
retained prior to entering public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW
MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES
THAT ARE PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN:
If the reporting individual receives income of fifty thousand dollars
or greater from any employment or activity reportable under question
8(a), identify each registered lobbyist who has directly referred to
such individual a client who was successfully referred to the reporting
individual's business and from whom the reporting individual or firm
received a fee for services in excess of ten thousand dollars. Report
only these referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to be a
registered lobbyist at the time the referral is made. With respect to
each such referral, the reporting individual shall identify the regis-
tered lobbyist who has made the referral, the category of value of the
compensation received and a general description of the type of matter so
referred. A reporting individual need not disclose activities performed
while lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of
subdivision seven of section seventy-three of this article. The disclo-
sure requirements in this question shall not require disclosure of
clients or customers receiving medical or dental services, mental health
services, residential real estate brokering services, or insurance
brokering services from the reporting individual or his or her firm. The
reporting individual need not identify any client to whom he or she or
his or her firm provided legal representation with respect to investi-
gation or prosecution by law enforcement authorities, bankruptcy, or
domestic relations matters. With respect to clients represented in other
matters, the reporting individual shall request an exemption from the
joint commission, which shall be granted for good cause shown. For the
purposes of this question, good cause may be shown by circumstances
including, but not limited to, where disclosure of a client's identity
would reveal trade secrets or have a negative impact on the client's
business interests, would cause embarrassment for the client, could
A. 4617 20
reasonably result in retaliation against the client, or would tend to
reveal non-public matters regarding a criminal investigation. Only a
reporting individual who first enters public office after January first,
two thousand fifteen, need not report clients or customers with respect
to matters for which the reporting individual or his or her firm was
retained prior to entering public office.
Client Name of Lobbyist Category of Amount (in Table 1)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(d) List the name, principal address and general description or the
nature of the business activity of any entity in which the reporting
individual or such individual's spouse had an investment in excess of
$1,000 excluding investments in securities and interests in real proper-
ty.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
4. 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 this section shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars. Assessment of
a civil penalty hereunder shall be made by the [joint] commission on
[public ethics] OFFICIAL CONDUCT or by the legislative ethics commis-
sion, as the case may be, with respect to persons subject to their
respective jurisdictions. The [joint] commission on [public ethics
acting pursuant to subdivision fourteen of section ninety-four of the
executive law] OFFICIAL CONDUCT or the legislative ethics commission
acting pursuant to subdivision eleven of section eighty of the legisla-
tive law, as the case may be, may, in lieu of or in addition to a civil
penalty, refer a violation to the appropriate prosecutor and upon such
conviction, but only after such referral, such violation shall be
punishable as a class A misdemeanor. A civil penalty for false filing
may not be imposed hereunder in the event a category of "value" or
"amount" reported hereunder is incorrect unless such reported 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, except that
the appointing authority may impose disciplinary action as otherwise
provided by law. The [joint] commission on [public ethics] OFFICIAL
CONDUCT and the legislative ethics commission shall each be deemed to be
an agency within the meaning of article three of the state administra-
tive procedure act and shall adopt rules governing the conduct of adju-
dicatory proceedings and appeals relating to the assessment of the civil
penalties herein authorized. Such rules, which shall not be subject to
the approval requirements of the state administrative procedure act,
shall provide for due process procedural mechanisms substantially simi-
A. 4617 21
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 shall
be final unless modified, suspended or vacated within thirty days of
imposition and upon becoming final shall be subject to review at the
instance of the affected reporting individual in a proceeding commenced
against the [joint] commission on [public ethics] OFFICIAL CONDUCT or
the legislative ethics commission, pursuant to article seventy-eight of
the civil practice law and rules.
S 43. The opening paragraph of section 1-d of the legislative law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
In addition to any other powers and duties [provided by section nine-
ty-four of the executive law,] the commission shall, with respect to its
lobbying-related functions only, have the power and duty to:
S 44. Subdivision 3 of section 2986 of the public authorities law, as
added by chapter 506 of the laws of 2009, is amended to read as follows:
3. Any communications between an employee and the authorities budget
office pursuant to this section shall be held strictly confidential by
the authorities budget office, unless the employee specifically waives
in writing the right to confidentiality, except that such confidentiali-
ty shall not exempt the authorities budget office from disclosing such
information, where appropriate, to the COMMISSION ON OFFICIAL CONDUCT
[state inspector general in accordance with section fifty-five of the
executive law,] or prevent disclosure to any law enforcement authority.
S 45. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided that sections
six through twenty-three and sections twenty-five through thirty-seven
of this act shall take effect on the first of April next succeeding the
date on which it shall have become a law; and provided further that the
amendments to subdivision 3 of section 212 of the racing, pari-mutuel
wagering and breeding law made by section twenty-eight of this act shall
not affect the repeal of such section and shall be deemed repealed ther-
ewith.
PART C
Section 1. The election law is amended by adding a new section 14-131
to read as follows:
S 14-131. CONTRIBUTION FUNDS; FORFEITURE AFTER CRIMINAL CONVICTION. 1.
ALL CONTRIBUTIONS RECEIVED BY AN ELECTED CANDIDATE FOR PUBLIC OFFICE OR
AN ELECTED OFFICIAL, WHO IS CHARGED WITH A FELONY WHERE SUCH FELONY WAS
DIRECTLY RELATED TO HIS OR HER SERVICE AS AN ELECTED OFFICIAL, OR OFFI-
CER OF THE STATE OR OF A CIVIL DIVISION THEREOF, SHALL BE SUBJECT TO
IMMEDIATE AUDIT AND ANY UNSPENT CONTRIBUTIONS SHALL BE SUBJECT TO
FORFEITURE PROCEEDINGS UPON CONVICTION OR RESIGNATION OF SUCH ELECTED
CANDIDATE.
2. THE ATTORNEY GENERAL, OR DISTRICT ATTORNEY OF THE COUNTY WHEREIN
THE ELECTION OCCURRED, SHALL HAVE STANDING TO INITIATE A FORFEITURE
PROCEEDING BROUGHT PURSUANT TO ARTICLE SIXTEEN OF THIS CHAPTER. TO THE
EXTENT POSSIBLE, THIS SPECIAL PROCEEDING SHALL BE GOVERNED BY THE PROCE-
DURES OF ARTICLE THIRTEEN-A OF THE CIVIL PRACTICE LAW AND RULES SHALL
GOVERN THE PROCEEDINGS AND ACTIONS UNDER THIS SECTION.
3. THE COMPTROLLER SHALL RECEIVE ANY FORFEITED UNSPENT CONTRIBUTIONS
AND, TO THE EXTENT PRACTICABLE, RETURN SUCH FUNDS TO THE PRIVATE SOURCE
OF SUCH FUNDS, AS LONG AS THE PRIVATE SOURCE OF SUCH FUNDS IS LOCATED
WITHIN THE DISTRICT THAT IS REPRESENTED BY THE ELECTED CANDIDATE FOR
A. 4617 22
PUBLIC OFFICE OR ELECTED OFFICIAL OR STATEWIDE FOR GOVERNOR, COMP-
TROLLER, AND ATTORNEY GENERAL. IF THE COMPTROLLER FAILS TO LOCATE THE
PRIVATE SOURCE OF SUCH FUNDS, OR IF THE PRIVATE SOURCE OF SUCH FUNDS
RESIDES OUTSIDE OF THE ELECTION DISTRICT THAT IS REPRESENTED BY THE
ELECTED CANDIDATE FOR PUBLIC OFFICE OR ELECTED OFFICIAL OR STATEWIDE FOR
GOVERNOR, COMPTROLLER, AND ATTORNEY GENERAL, THE UNSPENT CONTRIBUTIONS
SHALL BE DONATED TO A CHARITABLE ORGANIZATION THAT IS, TO THE EXTENT
PRACTICABLE, LOCATED IN THE ELECTION DISTRICT THAT IS REPRESENTED BY THE
ELECTED CANDIDATE FOR PUBLIC OFFICE OR ELECTED OFFICIAL OR STATEWIDE FOR
GOVERNOR, COMPTROLLER, AND ATTORNEY GENERAL. ANY FORFEITED UNSPENT
CONTRIBUTIONS SHALL BE RETURNED TO THE PRIVATE SOURCE OF SUCH FUNDS, OR
DONATED TO A CHARITABLE ORGANIZATION, WITHIN ONE HUNDRED EIGHTY DAYS OF
THE RECEIPT OF SUCH FUNDS BY THE COMPTROLLER.
4. FOR THE PURPOSES OF THIS SECTION, "CHARITABLE ORGANIZATION" SHALL
MEAN ANY NON-PROFIT CORPORATION ORGANIZED FOR BONA FIDE CHARITABLE OR
PHILANTHROPIC PURPOSES.
5. THE COMPTROLLER SHALL PROVIDE THE GOVERNOR AND THE LEGISLATURE WITH
A LIST OF CHARITABLE ORGANIZATIONS THAT ARE ELIGIBLE TO RECEIVE
DONATIONS PURSUANT TO THIS SECTION. CHARITABLE ORGANIZATIONS ON SUCH
LIST MAY BE DEEMED INELIGIBLE TO RECEIVE DONATIONS PURSUANT TO THIS
SECTION BY THE GOVERNOR, THE TEMPORARY PRESIDENT OF THE SENATE, THE
SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE OR THE MINOR-
ITY LEADER OF THE ASSEMBLY.
S 2. The election law is amended by adding a new section 16-111 to
read as follows:
S 16-111. PROCEEDINGS AS TO FORFEITURE OF FUNDS. THE ATTORNEY GENERAL
OR THE DISTRICT ATTORNEY MAY BRING A SPECIAL PROCEEDING SEEKING TO SEIZE
AND CAUSE TO BE FORFEITED THE FUNDS OF A DESIGNATED CAMPAIGN ACCOUNT AS
OUTLINED IN SECTION 14-131 OF THIS CHAPTER. UPON A SHOWING OF INDICTMENT
OR CRIMINAL ARRAIGNMENT, AN ACTION MAY BE INSTITUTED PURSUANT TO THIS
SECTION WHICH WILL ALLOW FOR THE FREEZING OF SAID DESIGNATED CAMPAIGN
ACCOUNT.
S 3. This act shall take effect immediately.
PART D
Section 1. The penal law is amended by adding a new article 201 to
read as follows:
ARTICLE 201
FAILURE TO REPORT CORRUPTION
SECTION 201.00 FAILURE TO REPORT CORRUPTION.
S 201.00 FAILURE TO REPORT CORRUPTION.
1. A PUBLIC SERVANT IS GUILTY OF FAILURE TO REPORT CORRUPTION WHEN:
(A) A PUBLIC SERVANT KNOWS THAT ANOTHER PERSON OR PUBLIC SERVANT IS
GUILTY OF OFFICIAL MISCONDUCT PURSUANT TO ARTICLE ONE HUNDRED
NINETY-FIVE OF THIS TITLE; IS GUILTY OF BRIBERY OR BRIBE RECEIVING
PURSUANT TO ARTICLE TWO HUNDRED OF THIS TITLE; OR IS GUILTY OF A CRIME
OF CORRUPTING THE GOVERNMENT PURSUANT TO ARTICLE FOUR HUNDRED NINETY-SIX
OF THIS TITLE; AND
(B) SUCH PUBLIC SERVANT DOES NOT, AS SOON AS REASONABLY PRACTICABLE,
REPORT SUCH CRIME TO A DISTRICT ATTORNEY OR TO THE COMMISSION ON OFFI-
CIAL MISCONDUCT.
2. ANY PUBLIC SERVANT WHO MAKES A REPORT PURSUANT TO THIS SECTION
SHALL NOT BE SUBJECT TO DISMISSAL, DISCIPLINE OR OTHER PERSONNEL ACTION
AS A RESULT OF MAKING SUCH REPORT.
FAILURE TO REPORT CORRUPTION IS A CLASS A MISDEMEANOR.
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S 2. This act shall take effect on the one hundred twentieth day after
it shall have become a law.
PART E
Section 1. Section 14-130 of the election law, as added by chapter 152
of the laws of 1985, is amended to read as follows:
S 14-130. Campaign funds for personal use. 1. Contributions received
by a candidate or a political committee may be expended for any lawful
purpose THAT IS DIRECTLY RELATED TO PROMOTING THE NOMINATION OR ELECTION
OF A CANDIDATE. Such funds shall not be converted by any person to a
personal use [which is unrelated to a political campaign or the holding
of a public office or party position].
2. (A) AS USED IN THIS SECTION, EXPENDITURES FOR "PERSONAL USE" ARE
DEFINED AS EXPENDITURES THAT:
(I) ARE FOR THE PERSONAL BENEFIT OF THE CANDIDATE OR ANY OTHER INDI-
VIDUAL;
(II) DEFRAY NORMAL LIVING EXPENSES OF THE CANDIDATE, IMMEDIATE FAMILY
OF THE CANDIDATE, OR ANY OTHER INDIVIDUAL;
(III) ARE USED TO FULFILL ANY COMMITMENT, OBLIGATION, OR EXPENSE OF A
PERSON THAT WOULD EXIST IRRESPECTIVE OF THE CANDIDATE'S ELECTION
CAMPAIGN;
(IV) ARE PUT TO ANY USE FOR WHICH THE CANDIDATE WOULD BE REQUIRED TO
TREAT THE AMOUNT OF THE EXPENDITURE AS GROSS INCOME UNDER SECTION
SIXTY-ONE OF THE INTERNAL REVENUE CODE, OR ANY SUBSEQUENT CORRESPONDING
SECTION OF THE INTERNAL REVENUE CODE OF THE UNITED STATES.
(B) EXPENDITURES FOR PERSONAL USE SHALL INCLUDE, BUT ARE NOT LIMITED
TO, EXPENSES FOR THE FOLLOWING THAT ARE NOT RELATED TO CAMPAIGN PURPOSES
OR ACTIVITIES:
(I) CRIMINAL ATTORNEY OR LEGAL FEES;
(II) FOOD;
(III) SALARY PAYMENTS TO A PERSON OR A FAMILY MEMBER;
(IV) AUTOMOBILE PURCHASES OR LEASES;
(V) TRAVEL AND MILEAGE;
(VI) RESIDENTIAL OR HOUSEHOLD ITEMS;
(VII) MORTGAGE, RENT, OR UTILITY PAYMENTS;
(VIII) FUNERAL, CREMATION, OR BURIAL;
(IX) CLOTHING;
(X) TUITION PAYMENTS;
(XI) CHILDCARE;
(XII) DUES, FEES, OR GRATUITIES AT A COUNTRY CLUB, HEALTH CLUB,
FRATERNAL ORGANIZATION OR PROFESSIONAL ORGANIZATION OR RECREATIONAL
FACILITY;
(XIII) ADMISSION TO A SPORTING EVENT, CONCERT, THEATER, OR OTHER FORM
OF ENTERTAINMENT;
(XIV) PAYMENT OF ANY FINES, FEES, OR PENALTIES; AND
(XV) ANY OTHER EXPENDITURE DESIGNATED BY THE COMMISSION ON OFFICIAL
CONDUCT AS CONSTITUTING PERSONAL USE.
S 2. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law.
PART F
Section 1. Section 14-126 of the election law, as amended by section 6
of subpart C of part H of chapter 55 of the laws of 2014 and subdivision
A. 4617 24
1 as separately amended by section 1 of subpart B of part H of chapter
55 of the laws of 2014, is amended to read as follows:
S 14-126. Violations; penalties. 1. (a) Any person who fails to file a
statement required to be filed by this article shall be subject to a
civil penalty, not in excess of one thousand dollars, to be recoverable
in a special proceeding or civil action to be brought by the chief
enforcement counsel pursuant to section 16-114 of this chapter OR BY THE
COMMISSION ON OFFICIAL CONDUCT. Any person who, three or more times
within a given election cycle for such term of office, fails to file a
statement or statements required to be filed by this article, shall be
subject to a civil penalty, not in excess of ten thousand dollars, to be
recoverable as provided for in this subdivision.
(b) All payments received by the state board of elections pursuant to
this section shall be retained in the appropriate accounts as designated
by the division of the budget for enforcement activities by the board of
elections.
2. Any person who, acting as or on behalf of a candidate or political
committee, under circumstances evincing an intent to violate such law,
unlawfully accepts a contribution in excess of a contribution limitation
established in this article, shall be required to refund such excess
amount and shall be subject to a civil penalty equal to the excess
amount plus a fine of up to ten thousand dollars, to be recoverable in a
special proceeding or civil action to be brought by the state board of
elections chief enforcement counsel.
3. Any person who falsely identifies or knowingly fails to identify
any independent expenditure as required by subdivision two of section
14-107 of this article shall be subject to a civil penalty up to one
thousand dollars or up to the cost of the communication, whichever is
greater, in a special proceeding or civil action brought by the state
board of elections chief enforcement counsel or imposed directly by the
state board of elections. For purposes of this subdivision, the term
"person" shall mean a person, group of persons, corporation, unincorpo-
rated business entity, labor organization or business, trade or profes-
sional association or organization or political committee.
4. (A) Any person who knowingly and willfully fails to file a state-
ment required to be filed by this article within ten days after the date
provided for filing such statement or any person who knowingly and will-
fully violates any other provision of this article shall be guilty of a
misdemeanor.
(B) ANY CANDIDATE OR PERSON ACTING AS OR ON BEHALF OF A CANDIDATE OR
POLITICAL COMMITTEE WHO KNOWINGLY AND WILLFULLY FAILS TO FILE A STATE-
MENT REQUIRED TO BE FILED BY THIS ARTICLE WITHIN THIRTY DAYS AFTER THE
DATE PROVIDED FOR FILING SUCH STATEMENT, UNLESS GRANTED AN EXTENSION BY
THE STATE BOARD OF ELECTIONS OR OTHER BOARD OF ELECTIONS, SHALL BE
SUBJECT TO A CIVIL PENALTY OF ONE THOUSAND DOLLARS FOR THE FIRST OFFENSE
AND TWO THOUSAND FIVE HUNDRED DOLLARS FOR THE SECOND OFFENSE AND EVERY
OFFENSE COMMITTED THEREAFTER TO BE RECOVERABLE IN A SPECIAL PROCEEDING
OR CIVIL ACTION TO BE BROUGHT BY THE COMMISSION ON OFFICIAL CONDUCT.
CANDIDATES SHALL BE PLACED ON NOTICE BY THE BOARD OF ELECTIONS, AND WILL
BE LIABLE FOR ANY CRIMINAL OR CIVIL PENALTIES FOR THE TREASURER'S FAIL-
URE TO FILE REQUIRED DISCLOSURE REPORTS.
5. Any person who knowingly and willfully contributes, accepts or aids
or participates in the acceptance of a contribution in an amount exceed-
ing an applicable maximum specified in this article shall be guilty of a
class A misdemeanor.
A. 4617 25
6. Any person who shall, acting on behalf of a candidate or political
committee, knowingly and willfully solicit, organize or coordinate the
formation of activities of one or more unauthorized committees, make
expenditures in connection with the nomination for election or election
of any candidate, or solicit any person to make any such expenditures,
for the purpose of evading the contribution limitations of this article,
shall be guilty of a class E felony.
S 2. This act shall take effect immediately.
PART G
Section 1. The legislative law is amended by adding a new section 5-b
to read as follows:
S 5-B. LIMITS ON TIME A LEGISLATOR MAY SERVE AS A LEGISLATIVE LEADER.
NO MEMBER OF THE LEGISLATURE MAY BE ELECTED TO SERVE MORE THAN FOUR
CONSECUTIVE TWO YEAR TERMS AS THE TEMPORARY PRESIDENT OF THE SENATE,
MINORITY LEADER OF THE SENATE, SPEAKER OF THE ASSEMBLY, MINORITY LEADER
OF THE ASSEMBLY OR THE CHAIRPERSON OF ANY SENATE OR ASSEMBLY COMMITTEE.
S 2. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law.
S 3. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair, or invalidate the remainder thereof, but shall be confined in
its operation to the clause, sentence, paragraph, subdivision, section
or part thereof directly involved in the controversy in which such judg-
ment shall have been rendered. It is hereby declared to be the intent of
the legislature that this act would have been enacted even if such
invalid provisions had not been included herein.
S 4. This act shall take effect immediately; provided, however, that
the applicable effective dates of Parts A through G of this act shall be
as specifically set forth in the last section of such Parts.