S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                    919
 
                        2017-2018 Regular Sessions
 
                             I N  S E N A T E
 
                              January 5, 2017
                                ___________
 
 Introduced  by  Sens.  CROCI,  HANNON,  ORTT,  SERINO  -- read twice and
   ordered printed, and when printed to be committed to the Committee  on
   Finance
 
 AN  ACT  to  amend  the public officers law, the legislative law and the
   executive law, in relation to mandatory ethics  training  for  certain
   officers  and  employees of the state; and to repeal subdivision 10 of
   section 94 of the executive law relating thereto
 
   THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section 1. Article 4 of the public officers law is amended by adding a
 new section 59 to read as follows:
   §  59. MANDATORY ETHICS TRAINING. 1. THE FOLLOWING PERSONS SHALL ANNU-
 ALLY COMPLETE THE ETHICS TRAINING PROVIDED IN SUBDIVISION  TWO  OF  THIS
 SECTION:
   (A) EVERY EMPLOYEE OF A STATE AGENCY, AS DEFINED IN SUBDIVISION ONE OF
 SECTION SEVENTY-FOUR OF THIS ARTICLE;
   (B)  EVERY  LEGISLATIVE  EMPLOYEE,  AS  DEFINED  IN SUBDIVISION ONE OF
 SECTION SEVENTY-FOUR OF THIS ARTICLE;
   (C) EVERY EMPLOYEE OF THE DEPARTMENT OF LAW OR THE DEPARTMENT OF AUDIT
 AND CONTROL;
   (D) ALL OFFICERS AND EMPLOYEES EMPLOYED IN THE EXECUTIVE CHAMBER;
   (E) EVERY MEMBER OF THE LEGISLATURE; AND
   (F) THE GOVERNOR, THE ATTORNEY GENERAL AND THE COMPTROLLER.
   2. (A) THE ETHICS TRAINING REQUIRED BY THIS SECTION SHALL INCLUDE, BUT
 NOT BE LIMITED TO, INSTRUCTION ON THE REQUIREMENTS OF:
   (I) SECTION SEVENTY-THREE OF THIS ARTICLE;
   (II) SECTION SEVENTY-THREE-A OF THIS ARTICLE;
   (III) SECTION SEVENTY-FOUR OF THIS ARTICLE;
   (IV) SECTION SEVENTY-FOUR-A OF THIS ARTICLE;
   (V) SECTION SEVENTY-FIVE-A OF THIS ARTICLE;
   (VI) SECTION SEVENTY-SEVEN-A OF THIS ARTICLE;

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

                                                            LBD02132-01-7

 S. 919                              2
 
   (VII) SECTION SEVENTY-EIGHT OF THIS ARTICLE;
   (XIII) SECTION SEVENTY-FIVE-B OF THE CIVIL SERVICE LAW; AND
   (IX) SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE LAW.
   (B)  IN ADDITION TO THE REQUIREMENTS OF PARAGRAPH (A) OF THIS SUBDIVI-
 SION,  LEGISLATIVE  EMPLOYEES  AND  MEMBERS  OF  THE  LEGISLATURE  SHALL
 COMPLETE INSTRUCTION IN THE REQUIREMENTS OF:
   (I) SECTION SEVENTY-THREE-B OF THIS ARTICLE;
   (II) SECTION SEVENTY-FIVE OF THIS ARTICLE;
   (III) SECTION SEVENTY-SIX OF THIS ARTICLE; AND
   (IV) SECTION SEVENTY-SEVEN-A OF THIS ARTICLE.
   (C)  THE  TRAINING SHALL INCLUDE PRACTICAL APPLICATION OF THE MATERIAL
 COVERED AND A PARTICIPATORY QUESTION AND ANSWER SEGMENT.    FURTHERMORE,
 THE  COURSE  OF INSTRUCTION SHALL INCLUDE ANY CHANGES IN THE LAW, RULES,
 REGULATIONS AND POLICIES RELATING TO THE REQUIRED COURSE  MATERIAL,  AND
 THE INTERPRETATION THEREOF.
   3.  THE ANNUAL TRAINING REQUIRED BY THIS SECTION SHALL AT A MINIMUM BE
 TWO HOURS IN DURATION.
   4. EVERY PERSON WHO IS SUBJECT  TO  THE  PROVISIONS  OF  THIS  SECTION
 SHALL, UPON EACH COMPLETION OF TRAINING REQUIRED BY THIS SECTION, FILE A
 STATEMENT CERTIFYING SUCH WITH THE JOINT COMMISSION ON PUBLIC ETHICS.
   5.  EVERY NEWLY HIRED EMPLOYEE, AND NEWLY ELECTED MEMBER OF THE LEGIS-
 LATURE AND STATEWIDE OFFICIAL, WHO IS SUBJECT TO THE PROVISIONS OF  THIS
 SECTION, SHALL COMPLETE AN ONLINE ETHICS ORIENTATION COURSE WITHIN THIR-
 TY  DAYS OF BECOMING SUBJECT TO THE ANNUAL TRAINING REQUIREMENTS OF THIS
 SECTION.
   § 2. Paragraphs i and k of subdivision 7 of section 80 of the legisla-
 tive law, as amended by section 9 of part A of chapter 399 of  the  laws
 of 2011, are amended to read as follows:
   i.  Upon  written request from any person who is subject to the juris-
 diction of the commission and  the  requirements  of  sections  seventy-
 three,  seventy-three-a  and  seventy-four  of  the public officers law,
 render formal advisory opinions on the requirements of said  provisions.
 A  formal  written  opinion rendered by the commission, until and unless
 amended or revoked, shall be binding on the legislative  ethics  commis-
 sion  in  any  subsequent proceeding concerning the person who requested
 the opinion and who acted in good  faith,  unless  material  facts  were
 omitted  or misstated by the person in the request for an opinion.  Such
 opinion may also be relied upon by such person, and  may  be  introduced
 and  shall  be  a  defense  in  any  criminal or civil action. The joint
 commission on public ethics shall  not  investigate  an  individual  for
 potential  violations  of law based upon conduct approved and covered in
 its entirety by such an opinion, except  that  such  opinion  shall  not
 prevent  or  preclude  an investigation of and report to the legislative
 ethics commission concerning the conduct of the person who  obtained  it
 by  the  joint  commission  on  public  ethics for violations of section
 seventy-three, seventy-three-a or seventy-four of  the  public  officers
 law  to determine whether the person accurately and fully represented to
 the legislative ethics commission the facts relevant to the formal advi-
 sory opinion and whether the person's conduct conformed to those factual
 representations. The joint commission shall be authorized and shall have
 jurisdiction to investigate potential violations of the law arising from
 conduct outside of the scope of the terms of the advisory opinion; [and]
   k. Develop educational materials and ADMINISTER training  with  regard
 to  legislative  ethics  for  members of the legislature and legislative
 employees including an online ethics orientation course for  newly-hired
 employees  and[,  as  requested by the senate or the assembly, materials

 S. 919                              3

 and training in relation to a comprehensive ethics training program] THE
 MANDATORY ETHICS TRAINING, AS REQUIRED  BY  SECTION  FIFTY-NINE  OF  THE
 PUBLIC  OFFICERS  LAW,  FOR  MEMBERS  OF THE LEGISLATURE AND LEGISLATIVE
 EMPLOYEES; and
   §  3. Paragraphs (b-1), (i-1), (m) and (n) of subdivision 9 of section
 94 of the executive law, paragraphs (b-1), (i-1) and (n)  as  added  and
 paragraph  (m)  as  amended by section 6 of part A of chapter 399 of the
 laws of 2011, are amended and three new paragraphs (o), (p) and (q)  are
 added to read as follows:
   (b-1)  Review and approve a staffing plan provided and prepared by the
 executive director which shall contain, at a  minimum,  a  list  of  the
 various  units  and divisions as well as the number of positions in each
 unit, titles and their duties, and salaries,  as  well  as  the  various
 qualifications  for  each position including, but not limited to, educa-
 tion and prior experience for each position[.];
   (i-1) Permit any person required to file a financial disclosure state-
 ment to request an exemption from any requirement to report the identity
 of a client pursuant to question 8(b) in such statement  based  upon  an
 exemption  set forth in that question. The reporting individual need not
 seek an exemption to refrain from disclosing the identity of any  client
 with  respect  to any matter he or she or his or her firm provided legal
 representation to the client in  connection  with  an  investigation  or
 prosecution  by  law  enforcement  authorities,  bankruptcy, or domestic
 relations matters; in addition, clients or customers  receiving  medical
 or  dental  services,  mental  health  services, residential real estate
 brokering  services,  or  insurance  brokering  services  need  not   be
 disclosed[.];
   (m)  Determine  a  question  common  to a class or defined category of
 persons or items of information required to be disclosed, where determi-
 nation of the question will prevent undue  repetition  of  requests  for
 exemption  or  deletion  or prevent undue complication in complying with
 the requirements of such section; [and]
   (n) Promulgate guidelines for the commission to conduct a  program  of
 random  reviews,  to  be carried out in the following manner: (i) annual
 statements of financial disclosure shall be selected  for  review  in  a
 manner  pursuant  to  which  the identity of any particular person whose
 statement is selected is unknown to the commission and its  staff  prior
 to  its selection; (ii) such review shall include a preliminary examina-
 tion of the selected statement for internal  consistency,  a  comparison
 with  other  records  maintained by the commission, including previously
 filed statements and requests for advisory opinions, and examination  of
 relevant  public  information;  (iii) upon completion of the preliminary
 examination, the commission shall determine whether further  inquiry  is
 warranted, whereupon it shall notify the reporting individual in writing
 that  the  statement is under review, advise the reporting individual of
 the specific areas of inquiry, and provide the reporting individual with
 the opportunity to provide  any  relevant  information  related  to  the
 specific areas of inquiry, and the opportunity to file amendments to the
 selected  statement  on  forms  provided  by the commission; and (iv) if
 thereafter sufficient cause exists, the commission shall take additional
 actions, as appropriate and consistent with law[.];
   (O) DEVELOP EDUCATIONAL MATERIALS  AND  ADMINISTER  TRAINING  FOR  THE
 MANDATORY  ETHICS TRAINING, REQUIRED BY SECTION FIFTY-NINE OF THE PUBLIC
 OFFICERS LAW, FOR EMPLOYEES OF STATE AGENCIES,  OFFICERS  AND  EMPLOYEES
 EMPLOYED IN THE EXECUTIVE CHAMBER, EMPLOYEES OF THE DEPARTMENT OF LAW OR

 S. 919                              4
 
 THE  DEPARTMENT OF AUDIT AND CONTROL, THE GOVERNOR, THE ATTORNEY GENERAL
 AND THE COMPTROLLER;
   (P)  DEVELOP  AND  ADMINISTER  AN ONLINE ETHICS ORIENTATION COURSE FOR
 NEWLY HIRED EMPLOYEES AND NEWLY ELECTED OFFICIALS, WHO  ARE  SUBJECT  TO
 THE PROVISIONS OF SECTION FIFTY-NINE OF THE PUBLIC OFFICERS LAW; AND
   (Q)  ON  AN  ANNUAL BASIS, IN COORDINATION WITH THE LEGISLATIVE ETHICS
 COMMISSION,  DETERMINE  THE  STATUS  OF  COMPLIANCE  WITH  THE  TRAINING
 REQUIREMENTS  OF  SECTION  FIFTY-NINE OF THE PUBLIC OFFICERS LAW BY EACH
 OFFICER AND EMPLOYEE WHO IS SUBJECT TO THE PROVISIONS OF SUCH SECTION.
   § 4. Subdivision 10 of section 94 of the executive law is REPEALED.
   § 5. This act shall take effect on the one hundred twentieth day after
 it shall have become a law. Provided,  however,  that,  effective  imme-
 diately,  any  and  all actions necessary to implement the provisions of
 this act on its  effective  date  are  authorized  and  directed  to  be
 completed on or before such date.