S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   3945
 
                        2019-2020 Regular Sessions
 
                           I N  A S S E M B L Y
 
                             January 31, 2019
                                ___________
 
 Introduced  by  M.  of  A.  KOLB, ASHBY, BARCLAY, BLANKENBUSH, BRABENEC,
   BYRNE,  CROUCH,  DiPIETRO,  FINCH,  FITZPATRICK,  FRIEND,   GARBARINO,
   GIGLIO,  GOODELL,  HAWLEY,  JOHNS, LALOR, LAWRENCE, MALLIOTAKIS, McDO-
   NOUGH, MIKULIN, B. MILLER, M. L. MILLER, MONTESANO, MORINELLO, NORRIS,
   PALMESANO, PALUMBO, RA, RAIA, SMITH, STEC, TAGUE, WALSH --  read  once
   and referred to the Committee on Governmental Operations
 
 AN  ACT  to amend the state finance law, in relation to requiring trans-
   parency, identification and disclosure of certain  appropriations  and
   intended  recipients (Part A); to establish the commission on official
   conduct, providing for its powers, duties and functions, and providing
   for the transfer of the functions, powers  and  duties  of  the  joint
   commission on public ethics, the office of the state inspector general
   and  the  former  temporary  state  commission of investigation to the
   commission on official conduct; to amend the civil service law and the
   legislative law, in relation to the joint commission on public ethics;
   to amend  the  racing,  pari-mutuel  wagering  and  breeding  law,  in
   relation  to membership on the franchise oversight board; to amend the
   public authorities law and the executive law, in relation to the state
   inspector general; to amend the criminal procedure law, the  executive
   law  and  the public officers law, in relation to the former temporary
   state commission of investigation; to repeal section 94 of the  execu-
   tive  law relating to the joint commission on public ethics; to repeal
   article 4-A of the executive law and subdivision 68 of section 2.10 of
   the criminal procedure law relating to the office of the state inspec-
   tor general; and to repeal chapter 989 of the laws of  1958,  relating
   to  creating  a  temporary state commission of investigation, relating
   thereto (Part B); to amend the election law, in relation to forfeiture
   of unspent campaign funds after criminal conviction and resignation of
   the elected official (Part C); to amend the penal law, in relation  to
   failure  to  report corruption (Part D); to amend the election law, in
   relation to limitations on use of campaign contributions and to repeal
   certain provisions of such law relating thereto (Part E); to amend the
   election law, in relation to filing late  campaign  disclosure  state-
   ments  (Part  F);  and  to  amend  the legislative law, in relation to
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
              

                       [ ] is old law to be omitted.
                                                            LBD06132-01-9

 A. 3945                             2
 
   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".
   §  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.
 
                                  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
   (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

 A. 3945                             3

 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.
   § 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".
   §  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.
   (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

 A. 3945                             4
 
 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.
   § 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
 violation of the provisions of this act, after written notice and oppor-
 tunity to be heard by the court of appeals.
   § 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

 A. 3945                             5
 
 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.
   § 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
 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

 A. 3945                             6
 
 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;
   (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;

 A. 3945                             7
 
   (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
 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

 A. 3945                             8
 
 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.
   § 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
 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

 A. 3945                             9
 
 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
 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,

 A. 3945                            10
 
 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.
   §  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.
   §  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;

 A. 3945                            11
 
   (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.
   § 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.
   § 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.
   § 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
 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.
   §  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

 A. 3945                            12
 
 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.
   § 13. Transfer of functions, powers and duties. All functions, powers,
 duties  and  obligations of the former joint commission on public ethics
 and the former office of the state inspector general are  hereby  trans-
 ferred to the commission.
   § 14. Transfer of employees. (a) Upon transfer of the functions of the
 former  joint  commission  on public ethics 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 agen-
 cies 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.
   § 15. Transfer of records. All  books,  papers  and  property  of  the
 former  joint  commission  on public ethics and the former office of the
 state inspector general are to be delivered to the  commission  at  such
 place and time, and in such manner as the commission shall require.
   §  16.  Continuity  of authority. For the purpose of succession to all
 functions, powers, duties and obligations of the former joint commission
 on public ethics 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.
   § 17. Completion of unfinished business. Any business or other  matter
 undertaken  or commenced by the former joint commission on public ethics
 and the former office of the state inspector general  pertaining  to  or
 connected with the functions, powers, duties and obligations transferred

 A. 3945                            13
 
 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.
   §  18.  Continuation of rules and regulations. All rules, regulations,
 acts, orders, determinations and decisions of the former  joint  commis-
 sion  on  public  ethics  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, deter-
 minations  and  decisions of the commission until duly modified or abro-
 gated.
   § 19. Terms occurring in laws, contracts and other documents. Whenever
 the former joint commission on public ethics 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.
   § 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.
   §  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 joint commission on public ethics and
 the former office of the state  inspector  general  transferred  to  the
 commission,  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.
   § 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 joint  commis-
 sion  on  public  ethics  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
 joint  commission  on  public  ethics 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
 approved by the executive director on audit and  warrant  of  the  comp-
 troller.
   §  23.  Transfer of assets and liabilities. All assets and liabilities
 of the former joint commission on public ethics and the former office of
 the state inspector general are hereby transferred to and assumed by the
 commission.
   § 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 joint commission on
 public ethics, the former office of the state inspector general and  the

 A. 3945                            14
 
 former temporary state commission of investigation within ninety days of
 the effective date of this act.
   §  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.
   § 26. Section 94 of the executive law is REPEALED.
   § 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.
   § 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.
   § 29. Article 4-A of the executive law is REPEALED.
   §  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.
   § 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:
   § 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.
   § 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.

 A. 3945                            15
 
   § 33. Subdivision 68 of section 2.10 of the criminal procedure law, as
 added by chapter 168 of the laws of 2000, is REPEALED.
   §  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.
   § 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.
   §  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
 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.

 A. 3945                            16

   § 37. Chapter 989 of the laws of  1958,  creating  a  temporary  state
 commission of investigation, is REPEALED.
   §  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.
   § 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;
   §  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-
 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-

 A. 3945                            17

 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.
   § 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.
   § 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 6 of part K of chapter 286 of the laws of 2016 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

 A. 3945                            18
 
 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, describe the  services  rendered  for
 which compensation was paid including a general description of the prin-
 cipal subject areas of matters undertaken by such individual and princi-
 pal  duties performed. Specifically state whether the reporting individ-
 ual provides services directly to  clients.  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 corpo-
 ration.
 
     ____________________________________________________________________
     ____________________________________________________________________
     ____________________________________________________________________
     ____________________________________________________________________
     ____________________________________________________________________
 
   (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
 PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
 THIRTY-FIRST,  TWO  THOUSAND  FIFTEEN,  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   AND   BEFORE   DECEMBER
 THIRTY-FIRST, TWO THOUSAND FIFTEEN:
   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 contract in an amount totaling $50,000 or more from the state or
 any state agency for services, materials, or property;
   (ii) A grant of $25,000 or more from the state  or  any  state  agency
 during the reporting period;
   (iii)  A  grant  obtained  through a legislative initiative during the
 reporting period; or
   (iv) 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 (iv) 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.
   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

 A. 3945                            19
 
 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-1) of subdivision  nine  of
 section ninety-four of the executive law] ON OFFICIAL CONDUCT, provided,
 however,  that  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
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 
   (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS  FOR  WHOM  SERVICES
 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
 FOR  NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
 SAND  FIFTEEN  (FOR  PURPOSES  OF  THIS  QUESTION, "SERVICES" SHALL MEAN
 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
   If the reporting individual receives income from employment reportable
 in question 8(a) and personally provides services to any person or enti-
 ty, or works as a member or employee of  a  partnership  or  corporation
 that  provides  such services (referred to hereinafter as a "firm"), the
 reporting individual shall 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 in direct connection with:
   (i) A contract in an amount totaling $10,000 or more from the state or
 any state agency for services, materials, or property;
   (ii) A grant of $10,000 or more from the state  or  any  state  agency
 during the reporting period;
   (iii)  A  grant  obtained  through a legislative initiative during the
 reporting period; or
   (iv) A case, proceeding, application or other matter  that  is  not  a
 ministerial matter before a state agency during the reporting period.
   For  such  services  rendered  by the reporting individual directly to
 each such client, describe each matter that  was  the  subject  of  such
 representation, the services actually provided and the payment received.
 For payments received from clients referred to the firm by the reporting
 individual, if the reporting individual directly received a referral fee
 or  fees  for  such  referral,  identify  the  client and the payment so
 received.
   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
 having  knowingly  solicited  or  directed 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 clauses (i) through (iv) of this subparagraph, as the  result
 of such procurement, solicitation or direction of the reporting individ-

 A. 3945                            20
 
 ual. A reporting individual need not disclose activities performed while
 lawfully  acting  in  his or her capacity as provided in paragraphs (c),
 (d), (e) and (f) of subdivision seven of section seventy-three  of  this
 article.
   Client   Matter     Nature of Services Provided      Category
                                                      of Amount
                                                     (in Table I)
 
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 
   (b-2)  APPLICABLE  ONLY  TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
 FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO  THOSE
 SERVICES  THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
 SAND FIFTEEN (FOR PURPOSES  OF  THIS  QUESTION,  "SERVICES"  SHALL  MEAN
 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
   (i)  With  respect  to  reporting individuals who receive ten thousand
 dollars or more from employment or activity  reportable  under  question
 8(a), for each client or customer NOT otherwise disclosed or exempted in
 question  8 or 13, disclose the name of each client or customer known to
 the reporting individual  to  whom  the  reporting  individual  provided
 services:  (A) who paid the reporting individual in excess of five thou-
 sand dollars for such services; or (B) who  had  been  billed  with  the
 knowledge of the reporting individual in excess of five thousand dollars
 by  the  firm  or  other entity named in question 8(a) for the reporting
 individual's services.
 Client               Services              Category of Amount
                  Actually Provided            (in Table I)
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 
 FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
 DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
   * REVIEWED DOCUMENTS AND CORRESPONDENCE;
   * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
   * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
   * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/
     MEMBERS OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
   * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT
     BY NAME);
   * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
     REPRESENTATION OR CONSULTATION;
   * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
   * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
     RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
   * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
   (ii) With respect to reporting individuals who disclosed  in  question
 8(a)  that the reporting individual did not provide services to a client
 but provided services to a firm or business, identify  the  category  of

 A. 3945                            21
 
 amount  received  for  providing such services and describe the services
 rendered.
 Services Actually Provided                  Category of Amount (Table I)
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
   A  reporting  individual  need not disclose activities performed while
 lawfully acting in his or her capacity as provided  in  paragraphs  (c),
 (d),  (e)  and (f) of subdivision seven of section seventy-three of this
 article.
 The disclosure requirement  in  questions  (b-1)  and  (b-2)  shall  not
 require  disclosing  clients  or customers receiving medical, pharmaceu-
 tical or dental services, mental health services,  or  residential  real
 estate  brokering  services  from the reporting individual or his or her
 firm or if federal law prohibits or  limits  disclosure.  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, family court,
 estate planning, or domestic relations matters, nor shall the  reporting
 individual  identify  individuals  represented  pursuant to an insurance
 policy but the reporting individual shall  in  such  circumstances  only
 report  the  entity that provides compensation to the reporting individ-
 ual; with respect to matters in which the client's name is  required  by
 law  to  be  kept  confidential  (such as matters governed by the family
 court act) or in matters in which the reporting individual represents or
 provides services to minors, the client's  name  may  be  replaced  with
 initials.  To  the  extent  that the reporting individual, or his or her
 firm, provided legal representation with respect to  an  initial  public
 offering,  and  professional  disciplinary  rules,  federal law or regu-
 lations restrict the disclosure of information relating  to  such  work,
 the  reporting  individual shall (i) disclose the identity of the client
 and the services provided relating to the initial public offering to the
 office of court  administration,  who  will  maintain  such  information
 confidentially  in a locked box; and (ii) include in his or her response
 to questions (b-1) and (b-2) that pursuant to this paragraph, a  disclo-
 sure to the office of court administration has been made. Upon such time
 that  the  disclosure  of information maintained in the locked box is no
 longer restricted by professional disciplinary  rules,  federal  law  or
 regulation,  the reporting individual shall disclose such information in
 an amended disclosure statement in response to the  disclosure  require-
 ments  in  questions (b-1) and (b-2). The office of court administration
 shall develop and maintain a secure  portal  through  which  information
 submitted  to  it pursuant to this paragraph can be safely and confiden-
 tially stored. With respect to clients represented in other matters  not
 otherwise  exempt,  the reporting individual may request an exemption to
 publicly disclosing the name of that client from the [joint]  commission
 [pursuant  to paragraph (i-1) of subdivision nine of section ninety-four
 of the executive law] ON OFFICIAL CONDUCT, or from the office  of  court
 administration.  In  such  application,  the  reporting individual shall
 state the following: "My client is not currently receiving  my  services
 or seeking my services in connection with:
   (i) A proposed bill or resolution in the senate or assembly during the
 reporting period;
   (ii)  A  contract in an amount totaling $10,000 or more from the state
 or any state agency for services, materials, or property;

 A. 3945                            22
 
   (iii) A grant of $10,000 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."
   In  reviewing  the request for an exemption, the [joint] commission ON
 OFFICIAL CONDUCT or the office of court administration may consult  with
 bar  or  other  professional  associations  and  the  legislative ethics
 commission for individuals subject to its jurisdiction and may  consider
 the  rules  of  professional  conduct.  In making its determination, the
 [joint] commission ON OFFICIAL CONDUCT or the office of  court  adminis-
 tration shall conduct its own inquiry and shall consider factors includ-
 ing, but not limited to: (i) the nature and the size of the client; (ii)
 whether  the  client  has  any business before the state; and if so, how
 significant the business is; and whether the client has any  particular-
 ized  interest  in  pending  legislation  and  if so how significant the
 interest is; (iii) whether disclosure may  reveal  trade  secrets;  (iv)
 whether  disclosure  could  reasonably result in retaliation against the
 client; (v) whether disclosure may cause undue harm to the client;  (vi)
 whether  disclosure  may  result  in  undue  harm to the attorney-client
 relationship; and (vii) whether disclosure may result in an  unnecessary
 invasion of privacy to the client.
   The [joint] commission ON OFFICIAL CONDUCT or, as the case may be, the
 office of court administration shall promptly make a final determination
 in  response to such request, which shall include an explanation for its
 determination.  The office of court administration shall issue its final
 determination within three days of receiving the request.  Notwithstand-
 ing  any other provision of law or any professional disciplinary rule to
 the contrary, the disclosure of the identity of any client  or  customer
 in  response  to this question shall not constitute professional miscon-
 duct or a ground for disciplinary action of any kind, or form the  basis
 for  any  civil  or  criminal cause of action or proceeding. A reporting
 individual who first enters public office after January first, two thou-
 sand sixteen, 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.
   (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
 PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
 NEW  MATTERS  FOR  EXISTING  CLIENTS  OR CUSTOMERS WITH RESPECT TO THOSE
 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
 SAND FIFTEEN:
   If the reporting individual receives income of ten 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 indi-
 vidual's  business  and  from  whom  the  reporting  individual  or firm
 received a fee for services in excess of five thousand  dollars.  Report
 only  those 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  client,
 the registered 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

 A. 3945                            23

 (f)  of  subdivision seven of section seventy-three of this article. The
 disclosure requirements in this question shall  not  require  disclosing
 clients   or  customers  receiving  medical,  pharmaceutical  or  dental
 services,  mental  health services, or residential real estate brokering
 services from the reporting individual or his or her firm or if  federal
 law  prohibits  or  limits disclosure. 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, family court, estate  planning,  or
 domestic  relations matters, nor shall the reporting individual identify
 individuals represented pursuant to an insurance policy but the  report-
 ing  individual  shall in such circumstances only report the entity that
 provides compensation to  the  reporting  individual;  with  respect  to
 matters  in which the client's name is required by law to be kept confi-
 dential (such as matters governed by the family court act) or in matters
 in which the reporting individual represents  or  provides  services  to
 minors,  the  client's name may be replaced with initials. To the extent
 that the reporting individual, or his or her firm, provided legal repre-
 sentation with respect to an initial public offering, and federal law or
 regulations restricts the disclosure of  information  relating  to  such
 work,  the  reporting  individual shall (i) disclose the identity of the
 client and the services provided relating to the initial public offering
 to the office of court administration, who will maintain  such  informa-
 tion  confidentially  in  a  locked  box; and (ii) include in his or her
 response a statement that pursuant to this paragraph,  a  disclosure  to
 the  office  of  court administration has been made. Upon such time that
 the disclosure of information maintained in the locked box is no  longer
 restricted  by federal law or regulation, the reporting individual shall
 disclose such information in an amended disclosure statement in response
 to the disclosure requirements of this paragraph.  The office  of  court
 administration  shall develop and maintain a secure portal through which
 information submitted to it pursuant to this paragraph can be safely and
 confidentially stored. With respect  to  clients  represented  in  other
 matters  not  otherwise  exempt, the reporting individual may request an
 exemption to publicly disclosing  the  name  of  that  client  from  the
 [joint]  commission  [pursuant to paragraph (i-1) of subdivision nine of
 section ninety-four of the executive law] ON OFFICIAL CONDUCT,  or  from
 the  office  of court administration. In such application, the reporting
 individual shall state  the  following:  "My  client  is  not  currently
 receiving my services or seeking my services in connection with:
   (i) A proposed bill or resolution in the senate or assembly during the
 reporting period;
   (ii)  A  contract in an amount totaling $10,000 or more from the state
 or any state agency for services, materials, or property;
   (iii) A grant of $10,000 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."
   In  reviewing  the request for an exemption, the [joint] commission ON
 OFFICIAL CONDUCT or the office of court administration may consult  with
 bar  or  other  professional  associations  and  the  legislative ethics
 commission for individuals subject to its jurisdiction and may  consider
 the  rules  of  professional  conduct.  In making its determination, the
 [joint] commission ON OFFICIAL CONDUCT or the office of  court  adminis-

 A. 3945                            24
 
 tration shall conduct its own inquiry and shall consider factors includ-
 ing, but not limited to: (i) the nature and the size of the client; (ii)
 whether  the  client  has  any business before the state; and if so, how
 significant  the business is; and whether the client has any particular-
 ized interest in pending legislation  and  if  so  how  significant  the
 interest  is;  (iii)  whether  disclosure may reveal trade secrets; (iv)
 whether disclosure could reasonably result in  retaliation  against  the
 client;  (v) whether disclosure may cause undue harm to the client; (vi)
 whether disclosure may result  in  undue  harm  to  the  attorney-client
 relationship;  and (vii) whether disclosure may result in an unnecessary
 invasion of privacy to the client.
   The [joint] commission ON OFFICIAL CONDUCT or, as the case may be, the
 office of court administration shall promptly make a final determination
 in response to such request, which shall include an explanation for  its
 determination.  The office of court administration shall issue its final
 determination  within three days of receiving the request. Notwithstand-
 ing any other provision of law or any professional disciplinary rule  to
 the  contrary,  the disclosure of the identity of any client or customer
 in response to this question shall not constitute  professional  miscon-
 duct  or a ground for disciplinary action of any kind, or form the basis
 for any civil or criminal cause of action  or  proceeding.  A  reporting
 individual  who  first enters public office after December thirty-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     Description    Category of Amount
                                    of Matter       (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

 A. 3945                            25
 
 "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-
 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.
   §  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:
   § 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.
   § 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:
   § 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

 A. 3945                            26
 
 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
 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.
   § 2. The election law is amended by adding a  new  section  16-111  to
 read as follows:
   §  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.
   § 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.
 § 201.00 FAILURE TO REPORT CORRUPTION.
   1. A PUBLIC SERVANT IS GUILTY OF FAILURE TO REPORT CORRUPTION WHEN:

 A. 3945                            27
 
   (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 CONDUCT.
   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.
   § 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 is REPEALED  and  a  new
 section 14-130 is added to read as follows:
   §  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.
   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;

 A. 3945                            28

   (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.
   § 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, subdivision 1
 as separately amended by section 1 of subpart B of part H of chapter  55
 of the laws of 2014, subdivision 3 as amended, subdivision 7 as added by
 section  12  of part JJJ of chapter 59 of the laws of 2018, and subdivi-
 sion 3-a as added by section 11 of part A of chapter 286 of the laws  of
 2016, is amended to read as follows:
   § 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 pursuant to  paragraph  (a)
 of  subdivision  five  of section 3-104 of this chapter. For purposes of
 this subdivision, the term  "person"  shall  mean  a  person,  group  of
 persons, corporation, unincorporated business entity, labor organization
 or  business, trade or professional association or organization or poli-
 tical committee.
   3-a. Any person who, acting as or on behalf of an independent expendi-
 ture committee or a political action committee, knowingly and  willfully
 violates  the  provisions  of  section 14-107-a 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,  to  be  recoverable  in  a

 A. 3945                            29
 
 special  proceeding  or civil action to be brought by the state board of
 elections.
   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.
   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.
   7.  Any  online platform that fails to comply with the requirements of
 section 14-107-b of this article shall be subject to a civil penalty  up
 to  one  thousand  dollars for each violation in a special proceeding or
 civil action brought by the state board of elections  chief  enforcement
 counsel  pursuant  to paragraph (a) of subdivision five of section 3-104
 of this chapter.
   § 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:
   §  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.
   §  2. This act shall take effect on the first of January next succeed-
 ing the date on which it shall have become a law.
   § 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

 A. 3945                            30
 
 the legislature that this act would  have  been  enacted  even  if  such
 invalid provisions had not been included herein.
   §  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.