S T A T E O F N E W Y O R K
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10651
I N A S S E M B L Y
May 10, 2018
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Introduced by M. of A. CARROLL -- read once and referred to the Commit-
tee on Governmental Operations
CONCURRENT RESOLUTION OF THE SENATE AND ASSEMBLY
proposing that the constitution be amended by adding a new article V-A;
in relation to state government integrity
Section 1. Resolved (if the Senate concur), That the constitution be
amended by adding a new article V-A to read as follows:
ARTICLE V-A
STATE GOVERNMENT INTEGRITY
SEC.
1. DECLARATIONS OF THE PEOPLE.
2. NEW YORK STATE GOVERNMENT INTEGRITY COMMISSION.
3. ADDITIONAL POWERS OF THE COMMISSION.
4. FUNDING OF THE COMMISSION.
5. STATE CODE OF ETHICS.
6. RECOMMENDING REVISIONS OF CAMPAIGN CONTRIBUTION LIMITS.
7. TRANSPARENCY.
SECTION 1. A. THE PEOPLE OF NEW YORK EXPECT OFFICERS AND EMPLOYEES OF
THE STATE TO OBSERVE LAWS, RULES AND REGULATIONS THAT SPECIFY HIGH STAN-
DARDS OF ETHICAL CONDUCT DESIGNED TO AVOID THE REALITY AND APPEARANCE OF
CORRUPTION, CONFLICT OF INTEREST, SELF-DEALING AND BREACH OF THE PUBLIC
TRUST. EQUALLY THEY EXPECT THAT CANDIDATES FOR STATE OFFICE AND OTHERS
SEEKING TO INFLUENCE STATE ELECTIONS TO OBSERVE LAWS, RULES AND REGU-
LATIONS DESIGNED TO REGULATE ACTUAL AND POTENTIAL CORRUPTION AND
CONFLICTS OF INTEREST BY REGULATING THE INFLUENCE OF MONEY IN POLITICS
AND MAKING TRANSPARENT THE FINANCING AND EXPENDITURES OF EFFORTS TO
INFLUENCE VOTERS. TO PROTECT THE INTEGRITY AND FREEDOM FROM CORRUPTION
OF THE USE OF STATE POWER TO ENACT LAWS, ESTABLISH RULES AND REGU-
LATIONS, AND CONTRACT FOR GOODS AND SERVICES FUNDED IN WHOLE OR IN PART
WITH STATE TAXES AND OTHER REVENUES, THE PEOPLE OF NEW YORK EXPECT
OBSERVANCE OF LAWS, RULES AND REGULATIONS THAT REGULATE LOBBYING, LOBBY-
ISTS AND GOVERNMENT PROCUREMENT. TO ENSURE THE APPROPRIATE WORKPLACE
CONDUCT OF STATE OFFICERS AND EMPLOYEES AND THOSE WHO INTERACT WITH SUCH
OFFICERS AND EMPLOYEES WHILE DEALING WITH THE STATE AND ITS INSTRUMEN-
TALITIES, THE PEOPLE OF NEW YORK EXPECT THAT ALL SUCH PERSONS WILL
OBSERVE LAWS, RULES AND REGULATIONS SETTING STANDARDS OF APPROPRIATE AND
NON-DISCRIMINATORY WORKPLACE BEHAVIOR.
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD89139-02-8
A. 10651 2
B. ACHIEVING THIS GOAL REQUIRES AN INDEPENDENT AND NON-PARTISAN AGENCY
WITH JURISDICTION OVER MATTERS PERTAINING TO BOTH THE LEGISLATIVE AND
EXECUTIVE BRANCHES OF GOVERNMENT AND THAT HAS THE NEEDED POWERS TO
TRAIN, ADVISE, INTERPRET, ADOPT RULES AND REGULATIONS, INVESTIGATE,
CONDUCT FAIR HEARINGS THAT AFFORD DUE PROCESS AND IMPOSE APPROPRIATE
SANCTIONS ON A CONSISTENT BASIS SO THAT, WITH FAIR AND EQUAL APPLICATION
OF THE LAW, NO PERSON OR ENTITY, NO MATTER WHAT THEIR STATUS, INFLUENCE
OR ROLE IN GOVERNMENT, CAN PLACE THEMSELVES ABOVE THE LAW OR SUFFER
DETRIMENT DUE TO ANY LACK OF SUCH STATUS, INFLUENCE OR ROLE.
§ 2. A. THERE SHALL BE A NEW YORK STATE GOVERNMENT INTEGRITY COMMIS-
SION. THE COMMISSION SHALL, ON AN INDEPENDENT AND NON-PARTISAN BASIS,
RECEIVE, INITIATE, INVESTIGATE AND DETERMINE COMPLAINTS WITH RESPECT TO
THE MATTERS SPECIFIED IN SECTION ONE OF THIS ARTICLE. THIS JURISDICTION
SHALL BE IN ADDITION TO AND NOT IN DEROGATION OF THE INVESTIGATORY,
DISCIPLINARY, VENDOR QUALIFICATION OR LAW ENFORCEMENT AUTHORITY OF ANY
OTHER PERSON OR ENTITY AND OF THE RIGHT OF AN AGGRIEVED PERSON TO SEEK
CIVIL REDRESS IN ACCORDANCE WITH LAW. THE COMMISSION MAY IN ITS
DISCRETION DECLINE TO INITIATE, OR SUSPEND INITIATION OF PROCEEDINGS, OR
OTHERWISE ADJUST ITS PROCEDURES, IN VIEW OF SUCH OTHER PROCEEDINGS
UNDERTAKEN OR ABLE TO BE UNDERTAKEN BY SUCH OTHER PERSON OR ENTITY.
B. WHEN, AFTER HEARING, THE COMMISSION HAS DETERMINED THAT THE
RESPONDENT HAS VIOLATED A LAW, RULE OR REGULATION WITHIN THE COMMIS-
SION'S JURISDICTION TO ENFORCE, THE COMMISSION MAY IMPOSE ANY CIVIL
SANCTION AUTHORIZED BY LAW AND/OR REFER THE MATTER FOR CRIMINAL PROSE-
CUTION. THE COMMISSION MAY ALSO CAUTION, ADMONISH OR CENSURE SUCH
RESPONDENT OR, IN THE CASE OF A NON-ELECTED STATE OFFICER OR EMPLOYEE,
SUSPEND, DEMOTE OR REMOVE SUCH RESPONDENT FROM OFFICE OR EMPLOYMENT
AFTER SUCH ADJUDICATORY PROCESS THAT SUBSTANTIALLY COMPLIES WITH THE
TERMS OF ANY RELEVANT COLLECTIVE BARGAINING AGREEMENT. IN DECIDING THE
SEVERITY OF THE SANCTION, THE COMMISSION SHALL CONSIDER TO WHAT EXTENT
THE VIOLATION IS INADVERTENT, ISOLATED AND/OR OF INSUBSTANTIAL CONSE-
QUENCE ON THE ONE HAND OR WILLFUL, REPEATED, CAUSING ACTUAL PUBLIC HARM
OR RISK OF PUBLIC HARM AND/OR OTHERWISE EGREGIOUS ON THE OTHER. DETERMI-
NATIONS, OTHER THAN A DETERMINATION TO REFER FOR CRIMINAL PROSECUTION,
SHALL BE SUBJECT TO JUDICIAL REVIEW IN ACCORDANCE WITH LAW EXCEPT THAT
DETERMINATIONS TO ADMONISH, CENSURE OR REMOVE AN OFFICIAL ELECTED TO
OFFICE BY VOTE OF THE PEOPLE SHALL BE SUBJECT TO BEING DISAPPROVED OR
REDUCED BY A MAJORITY OF THE MEMBERS OF EITHER HOUSE OF THE LEGISLATURE
VOTING PROMPTLY AND SEPARATELY. IF THE DETERMINATION IS ONE OF ADMONI-
TION OR CENSURE, THAT DETERMINATION SHALL BE SUBJECT TO BEING INCREASED
TO CENSURE OR REMOVAL ON THE VOTE OF TWO-THIRDS OF THE MEMBERS OF BOTH
HOUSES OF THE LEGISLATURE VOTING PROMPTLY AND SEPARATELY.
C. THE COMMISSION SHALL CONSIST OF NINE MEMBERS, OF WHOM TWO SHALL BE
APPOINTED JOINTLY BY THE GOVERNOR, THE ATTORNEY GENERAL AND THE COMP-
TROLLER, AT LEAST ONE OF WHOM SHALL NOT BE, OR WITHIN THE PRIOR FIVE
YEARS SHALL NOT HAVE BEEN, ENROLLED IN THE SAME POLITICAL PARTY AS THE
GOVERNOR, ONE JOINTLY BY THE LEADERS IN EACH HOUSE OF THE LEGISLATURE OF
THE PARTY CONFERENCES WHOSE CANDIDATE FOR GOVERNOR IN THE MOST RECENT
GUBERNATORIAL ELECTION RECEIVED THE LARGEST NUMBER OF VOTES, ONE JOINTLY
BY THE LEADERS IN EACH HOUSE OF THE LEGISLATURE OF THE PARTY CONFERENCES
WHOSE CANDIDATE FOR GOVERNOR IN THE MOST RECENT GUBERNATORIAL ELECTION
RECEIVED THE SECOND LARGEST NUMBER OF VOTES, AND FIVE JOINTLY BY THE
CHIEF JUDGE OF THE STATE OF NEW YORK AND THE PRESIDING JUSTICES OF EACH
OF THE APPELLATE DIVISIONS, NO MORE THAN THREE OF WHOM SHALL BE, OR
WITHIN THE PRIOR FIVE YEARS SHALL NOT HAVE BEEN, ENROLLED IN THE SAME
POLITICAL PARTY. NO MEMBER OF THE COMMISSION SHALL HAVE HELD OFFICE IN
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ANY POLITICAL PARTY ORGANIZATION, HAVE BEEN A STATE OFFICER OR EMPLOYEE
OR HAVE BEEN ENGAGED AS A LOBBYIST WITHIN THREE YEARS OF APPOINTMENT OR
AT ANY TIME DURING THEIR TERM. THE CHAIR SHALL BE ELECTED BY THE COMMIS-
SION MEMBERS FROM AMONG ITS MEMBERS. COMMISSION MEMBERS SHALL BE REIM-
BURSED FOR THEIR ACTUAL EXPENSES AND PAID A PER DIEM SALARY TO BE FIXED
BY LAW BUT AT LEAST A PER DIEM AMOUNT EQUAL TO THE ANNUAL SALARY PAID TO
A JUSTICE OF THE SUPREME COURT DIVIDED BY TWO HUNDRED TWENTY. A MEMBER
MAY BE REMOVED FOR CAUSE ON APPLICATION TO THE COURT OF APPEALS MADE BY
A MAJORITY VOTE OF THE FULL MEMBERSHIP OF THE COMMISSION.
D. THE PERSONS FIRST APPOINTED BY THE GOVERNOR, THE ATTORNEY GENERAL
AND THE COMPTROLLER SHALL HAVE RESPECTIVELY THREE AND FOUR-YEAR TERMS AS
THOSE OFFICIALS SHALL DESIGNATE. THE PERSONS FIRST APPOINTED BY THE
CHIEF JUDGE OF THE STATE OF NEW YORK AND THE PRESIDING JUSTICES OF THE
APPELLATE DIVISIONS SHALL HAVE RESPECTIVELY ONE, TWO, THREE, THREE, AND
FOUR-YEAR TERMS AS THAT JUDGE AND THOSE JUSTICES SHALL DESIGNATE. THE
PERSON FIRST APPOINTED JOINTLY BY THE LEGISLATIVE LEADERS IN EACH HOUSE
OF THE LEGISLATURE OF THE PARTY CONFERENCES WHOSE CANDIDATE FOR GOVERNOR
RECEIVED THE LARGEST NUMBER OF VOTES SHALL HAVE A ONE-YEAR TERM. THE
PERSON FIRST APPOINTED JOINTLY BY THE LEGISLATIVE LEADERS IN EACH HOUSE
OF THE LEGISLATURE OF THE PARTY CONFERENCES WHOSE CANDIDATE FOR GOVERNOR
RECEIVED THE SECOND LARGEST NUMBER OF VOTES SHALL HAVE A TWO-YEAR TERM.
EACH MEMBER OF THE COMMISSION SHALL BE APPOINTED THEREAFTER FOR A TERM
OF FOUR YEARS.
E. THE ORGANIZATION AND PROCEDURE OF THE COMMISSION SHALL BE AS
PROVIDED BY LAW PROVIDED THAT THE COMMISSION SHALL ACT BY MAJORITY VOTE
OF ITS MEMBERSHIP IN ATTENDANCE AND CONSTITUTING A QUORUM AND DETERMINE
VIOLATIONS BASED ON A PREPONDERANCE OF THE EVIDENCE EXCEPT THAT ANY
ORDER OF CENSURE OR REMOVAL SHALL BE BASED ON CLEAR AND CONVINCING
EVIDENCE AND SHALL BE APPROVED BY A MAJORITY OF ALL THE MEMBERS OF THE
COMMISSION. THE COMMISSION MAY ESTABLISH ITS OWN RULES AND PROCEDURES
NOT INCONSISTENT WITH LAW AND DUE PROCESS. THOSE RULES SHALL BAR EX
PARTE COMMUNICATIONS OF ANY KIND OR SUBSTANCE, DIRECT OR INDIRECT,
BETWEEN MEMBERS OF THE COMMISSION AND THEIR APPOINTING AUTHORITY AND
SUCH RULE SHALL BIND BOTH THE MEMBER, THE COMMISSION STAFF, THE APPOINT-
ING AUTHORITY AND THE STAFF, AGENTS AND REPRESENTATIVES OF THE APPOINT-
ING AUTHORITY. THE COMMISSION SHALL BE EMPOWERED TO DESIGNATE ONE OR
MORE OF ITS MEMBERS OR ANY OTHER PERSONS AS HEARING OFFICERS TO HEAR AND
REPORT CONCERNING ANY MATTER BEFORE THE COMMISSION.
§ 3. A. THE COMMISSION MANY APPOINT AN EXECUTIVE DIRECTOR, WHO MAY
APPOINT STAFF, AND ONE OR MORE DEPUTY DIRECTORS WITH SUCH DUTIES AND
POWERS AS THE COMMISSION MAY FIX. NO PERSON WHO WOULD BE DISQUALIFIED
FROM BEING A MEMBER OF THE COMMISSION MAY BE APPOINTED AS EXECUTIVE
DIRECTOR EXCEPT THAT A PERSON EMPLOYED AT THE COMMISSION SHALL NOT BE
DISQUALIFIED BY REASON OF THAT EMPLOYMENT.
B. THE COMMISSION AND ITS DESIGNATED HEARING OFFICERS SHALL HAVE THE
POWER TO ADMINISTER OATHS, COMPEL THE ATTENDANCE OF WITNESSES AND ISSUE
SUBPOENAS.
C. THE COMMISSION SHALL ASSURE THE EFFECTIVE ENFORCEMENT AND ADMINIS-
TRATION OF THE STATE ETHICS LAWS INCLUDING THE CODE OF ETHICS, LAWS
PROVIDING FOR DISCLOSURE OF FINANCIAL AND OTHER INTERESTS BY STATE OFFI-
CERS AND EMPLOYEES, THE LAWS REGULATING LOBBYING AND LOBBYISTS AND THE
LAWS CONCERNING CAMPAIGN FINANCE. THE COMMISSION SHALL TAKE CARE THAT
LAWS RESPECTING PROCUREMENT OF GOODS AND SERVICES BY THE STATE ARE
FAITHFULLY OBSERVED AS ARE LAWS RESPECTING WORKPLACE BEHAVIOR. THIS
AUTHORITY SHALL INCLUDE THE POWER AND DUTY TO INTERPRET LAWS ADMINIS-
TERED BY THE COMMISSION, TO TRAIN ALL PERSONS WITHIN THE COMMISSION'S
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JURISDICTION IN COMPLIANCE WITH THE LAWS, RULES AND REGULATIONS ADMINIS-
TERED OR ENFORCED BY THE COMMISSION AND TO ISSUE AND INTERPRET RULES AND
REGULATIONS THAT ARE NOT IN CONFLICT WITH LAW.
D. THE COMMISSION MAY MAKE A CRIMINAL PROSECUTION REFERRAL TO A
DISTRICT ATTORNEY, THE ATTORNEY GENERAL OR A UNITED STATES ATTORNEY.
E. THE COMMISSION, AFTER NOTICE AND OPPORTUNITY FOR PUBLIC COMMENT,
MAY ISSUE ADVISORY OPINIONS OR BULLETINS WHICH WILL HAVE SUCH PROTECTIVE
EFFECT ON THOSE WHO ACT IN COMPLIANCE THEREWITH AS IS SPECIFIED IN THE
OPINION OR BULLETIN. IT SHALL ALSO ESTABLISH AN OFFICE OF ETHICS GUID-
ANCE TO GIVE INFORMAL ADVICE TO PERSONS WHOSE CONDUCT IT OVERSEES.
§ 4. THE STATE SHALL ANNUALLY APPROPRIATE AN AMOUNT ADEQUATE TO
SUPPORT THE COMMISSION'S DISCHARGE OF ITS FIDUCIARY DUTY TO THE PEOPLE.
IN NO EVENT SHALL THE APPROPRIATION FOR THE WORK OF THE COMMISSION BE
LESS THAN TEN PERCENT OF THE APPROPRIATION TO THE STATE LAW DEPARTMENT.
§ 5. A. THE COMMISSION SHALL PERIODICALLY REVIEW THE STATE CODE OF
ETHICS AND MAY PROPOSE REVISIONS AND AMENDMENTS TO THE CODE. THE STATE
CODE OF ETHICS, AND ANY REVISION OR AMENDMENT THERETO, SHALL BE DRAFTED
AND CONSTRUED TO ELIMINATE CONDUCT THAT CREATES AN APPEARANCE OF
CORRUPTION, CONFLICTS OF INTEREST THAT MATERIALLY IMPAIR THE PERFORMANCE
OF OFFICIAL DUTIES AND BREACHES OF THE PUBLIC TRUST INCLUDING THE MISUSE
OF OFFICIAL POSITION OR THE ABUSE OF OFFICIAL AUTHORITY FOR PERSONAL
GAIN.
B. THE STATE CODE OF ETHICS SHALL PROVIDE THAT IT SHALL BE THE ETHICAL
DUTY OF ANY PERSON OR ENTITY WITHIN THE JURISDICTION OF THE COMMISSION
TO PROMPTLY REPORT TO THE COMMISSION ACTIVITY KNOWN TO BE IN VIOLATION
OF THE STATE CODE OF ETHICS OR OTHER LAW ENGAGED IN WITH RESPECT TO
ACTIVITY THAT IS WITHIN THE JURISDICTION OF THE COMMISSION. THERE SHALL
BE NO RETALIATION AGAINST A PERSON OR ENTITY MAKING SUCH A REPORT IN
GOOD FAITH ON INFORMATION AND BELIEF, AND ANY PERSON AGGRIEVED BY SUCH
RETALIATION MAY BRING A CIVIL ACTION FOR COMPENSATORY AND EXEMPLARY
DAMAGES.
C. THE STATE CODE OF ETHICS SHALL PROVIDE THAT NO PERSON WITHIN THE
JURISDICTION OF THE COMMISSION SHALL COMMIT AN ACT OF SEXUAL HARASSMENT
WHILE SERVING IN HIS OR HER OFFICIAL CAPACITY AND NO SUCH PERSON SERVING
IN A SUPERVISORY CAPACITY SHALL SUFFER AN ACT OF SEXUAL HARASSMENT TO
OCCUR WITHOUT TAKING CARE THAT THERE BE DUE CONSEQUENCES IN ACCORDANCE
WITH LAW. THE COMMISSION MAY BY RULE DEFINE THE CONDUCT THAT CONSTITUTES
AN ACT OF SEXUAL HARASSMENT AND SHALL ESTABLISH A UNIT RESPONSIBLE FOR
SEXUAL HARASSMENT COMPLAINTS AND INVESTIGATIONS.
§ 6. THE COMMISSION MAY RECOMMEND TO THE LEGISLATURE LIMITS FOR ALL
CATEGORIES OF CAMPAIGN CONTRIBUTIONS TO CANDIDATES AND POLITICAL ORGAN-
IZATIONS THAT IN ITS JUDGMENT ARE LOW ENOUGH TO PREVENT AN ELECTED OFFI-
CIAL FROM BEING SO BEHOLDEN TO A CAMPAIGN CONTRIBUTOR AS TO MATERIALLY
IMPAIR SUCH OFFICIAL'S EXERCISE OF INDEPENDENT POLICY JUDGMENT IN THE
PUBLIC INTEREST.
§ 7. THE COMMISSION SHALL BE SUBJECT TO ALL TRANSPARENCY AND PUBLIC
ACCESS LAWS SUBJECT TO SUCH REASONABLE EXCEPTIONS FOR PENDING CONFIDEN-
TIAL INVESTIGATIONS AS SHALL BE PROVIDED BY LAW. THE LEGISLATIVE BRANCH
SHALL BE SUBJECT TO LAWS PROVIDING FOR TRANSPARENCY TO THE SAME EXTENT
AS IS THE EXECUTIVE BRANCH.
§ 2. Resolved (if the Senate concur), That the foregoing amendment be
referred to the first regular legislative session convening after the
next succeeding general election of members of the assembly, and, in
conformity with section 1 of article 19 of the constitution, be
published for 3 months previous to the time of such election.