S T A T E O F N E W Y O R K
________________________________________________________________________
6964--A
2021-2022 Regular Sessions
I N S E N A T E
May 20, 2021
___________
Introduced by Sen. BIAGGI -- read twice and ordered printed, and when
printed to be committed to the Committee on Ethics and Internal Gover-
nance -- committee discharged, bill amended, ordered reprinted as
amended and recommitted to said committee
AN ACT to amend the executive law, in relation to the joint commission
on public ethics; to amend the executive law, in relation to modifying
the composition of the voting majority upon the appointment and
removal of the executive director of the joint commission on public
ethics; and to amend the executive law, in relation to filling of
vacancies on the joint commission on public ethics
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Paragraph (a) of subdivision 13, the opening paragraph of
subdivision 14-a and subdivision 14-b of section 94 of the executive
law, paragraph (a) of subdivision 13 as amended by section 1 of part J
of chapter 286 of the laws of 2016, the opening paragraph of subdivision
14-a and subdivision 14-b as added by section 6 of part A of chapter 399
of the laws of 2011, are amended to read as follows:
(a) Investigations. If the commission receives a sworn complaint
alleging a violation of section seventy-three, seventy-three-a, or
seventy-four of the public officers law, section one hundred seven of
the civil service law or article one-A of the legislative law by a
person or entity subject to the jurisdiction of the commission including
members of the legislature and legislative employees and candidates for
member of the legislature, 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 possi-
ble violation, the commission shall notify the individual in writing,
describe the possible or alleged violation of such laws, provide a
description of the allegations against him or her and the evidence, if
any, supporting such allegations, provided however that the joint
commission shall redact any information that might, in the judgment of
the commission, be prejudicial to either the complainant or the investi-
gation; the letter also shall set forth the sections of law alleged to
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD11632-02-1
S. 6964--A 2
have been violated and provide the person with a fifteen day period in
which to submit a written response, including any evidence, statements,
and proposed witnesses, setting forth information relating to the activ-
ities cited as a possible or alleged violation of law. The commission
shall, within sixty calendar days after a complaint or a referral is
received or an investigation is initiated on the commission's own initi-
ative, vote on whether to commence a full investigation of the matter
under consideration to determine whether a substantial basis exists to
conclude that a violation of law has occurred. The staff of the joint
commission shall provide to the members prior to such vote information
regarding the likely scope and content of the investigation, and a
subpoena plan, to the extent such information is available. Such inves-
tigation shall be conducted if at least eight members of the commission
vote to authorize it. [Where the subject of such investigation is a
member of the legislature or a legislative employee or a candidate for
member of the legislature, at least two of the eight or more members who
so vote to authorize such an investigation must have been appointed by a
legislative leader or leaders from the major political party in which
the subject of the proposed investigation is enrolled if such person is
enrolled in a major political party. Where the subject of such investi-
gation is a state officer or state employee, at least two of the eight
or more members who so vote to authorize such an investigation must have
been appointed by the governor and lieutenant governor. Where the
subject of such investigation is a statewide elected official or a
direct appointee of such an official, at least two of the eight or more
members who so vote to authorize such an investigation must have been
appointed by the governor and lieutenant governor and be enrolled in the
major political party in which the subject of the proposed investigation
is enrolled, if such person is enrolled in a major political party.]
The joint commission on public ethics shall have jurisdiction to
investigate, but shall have no jurisdiction to impose penalties upon
members of or candidates for member of the legislature or legislative
employees for any violation of the public officers law. If, after its
substantial basis investigation, by a vote of at least eight members,
[two of whom are enrolled members of the investigated individual's poli-
tical party if the individual is enrolled in a major political party and
were appointed by a legislative leader of such political party,] the
joint commission on public ethics has found a substantial basis to
conclude that a member of the legislature or a legislative employee or
candidate for member of the legislature has violated any provisions of
such laws, it shall present a written report to the legislative ethics
commission, and deliver a copy of the report to the individual who is
the subject of the report. Such written report shall include:
14-b. With respect to the investigation of any individual who is not a
member of the legislature or a legislative employee or candidate for
member of the legislature, if after its investigation the joint commis-
sion has found a substantial basis to conclude that the individual has
violated the public officers law or the legislative law, the joint
commission shall send a substantial basis investigation report contain-
ing its findings of fact and conclusions of law to the individual. [With
respect to an individual who is a statewide elected official or a direct
appointee of such an official, no violation may be found unless the
majority voting in support of such a finding includes at least two
members appointed by the governor and lieutenant governor and enrolled
in the individual's major political party, if he or she is enrolled in a
major political party. Where the subject of such investigation is a
S. 6964--A 3
state officer or employee who is not a direct appointee of a statewide
elected official, at least two of the eight or more members who vote to
issue a substantial basis investigation report must have been appointed
by the governor and lieutenant governor.] The commission shall release
such report publicly within forty-five days of its issuance.
§ 2. Paragraph (a) of subdivision 9 of section 94 of the executive
law, as amended by section 6 of part A of chapter 399 of the laws of
2011, is amended to read as follows:
(a) Appoint an executive director who shall act in accordance with the
policies of the commission. The appointment and removal of the executive
director shall be made solely by a vote of a majority of the commis-
sion[, which majority shall include at least one member appointed by the
governor from each of the two major political parties, and one member
appointed by a legislative leader from each of the two major political
parties]. The commission may delegate authority to the executive direc-
tor to act in the name of the commission between meetings of the commis-
sion provided such delegation is in writing, the specific powers to be
delegated are enumerated, and the commission shall not delegate any
decisions specified in this section that require a vote of the commis-
sion. The executive director shall be appointed without regard to poli-
tical affiliation and solely on the basis of fitness to perform the
duties assigned by this article, and shall be a qualified, independent
professional. The commission may remove the executive director for
neglect of duty, misconduct in office, violation of the confidentiality
restrictions in subdivision nine-a of this section, or inability or
failure to discharge the powers or duties of office, including the fail-
ure to follow the lawful instructions of the commission;
§ 3. The opening paragraph of subdivision 2 of section 94 of the exec-
utive law, as amended by section 6 of part A of chapter 399 of the laws
of 2011, is amended to read as follows:
The members of the commission shall be appointed as follows: [three]
TWO members shall be appointed by the temporary president of the senate,
[three] TWO members shall be appointed by the speaker of the assembly,
[one member] TWO MEMBERS shall be appointed by the minority leader of
the senate, [one member] TWO MEMBERS shall be appointed by the minority
leader of the assembly, and six members shall be appointed by the gover-
nor and the lieutenant governor. [In the event that a vacancy arises
with respect to a member of the commission first appointed pursuant to
the chapter of the laws of two thousand eleven which amended this subdi-
vision by a legislative leader, the legislative leaders of the same
political party in the same house shall appoint a member to fill such
vacancy irrespective of whether that legislative leader's political
party is in the majority or minority.] Of the members appointed by the
governor and the lieutenant governor, at least three members shall be
and shall have been for at least three years enrolled members of the
major political party in which the governor is not enrolled. In the
event of a vacancy in a position previously appointed by the governor
and lieutenant governor, the governor and lieutenant governor shall
appoint a member of the same political party as the member that vacated
that position. Prior to making their respective appointments, the gover-
nor and the lieutenant governor and the legislative leaders shall solic-
it and receive recommendations for appointees from the attorney general
and the comptroller of the state of New York, which recommendations
shall be fully and properly considered but shall not be binding.
§ 4. This act shall take effect immediately.
