S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   2496
 
                        2023-2024 Regular Sessions
 
                           I N  A S S E M B L Y
 
                             January 26, 2023
                                ___________
 
 Introduced  by  M.  of  A. J. M. GIGLIO -- read once and referred to the
   Committee on Governmental Operations
 
 AN ACT to amend the public officers law, in relation to establishing the
   department of oversight and investigation, providing for  its  powers,
   duties  and  functions (Part A); to repeal section 94 of the executive
   law relating to the commission on ethics and lobbying  in  government;
   and  to repeal article 4-A of the executive law relating to the office
   of the state inspector general (Part B); in relation to providing  for
   the  transfer of the functions, powers and duties of the commission on
   ethics and lobbying in government, the office of the  state  inspector
   general  and the former temporary state commission of investigation to
   the department of oversight and investigation (Part C); and  to  amend
   the  civil  service  law  and  the legislative law, in relation to the
   commission on ethics and lobbying in government; to amend the  racing,
   pari-mutuel  wagering  and  breeding law, in relation to membership on
   the franchise oversight board; to amend  the  executive  law  and  the
   public authorities 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  amend  the public officers law, in relation to the
   commission on ethics and lobbying in government  and  the  legislative
   ethics  commission;  to  repeal  subdivision 68 of section 2.10 of the
   criminal procedure law relating to the office of the  state  inspector
   general;  and  to  repeal  chapter  989 of the laws of 1958 creating a
   temporary state commission of investigation, relating thereto (Part D)
 
   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 "ethics reform act of 2023".
   § 2. This act enacts into law major components  of  legislation  which
 are necessary to establish meaningful ethics reform and oversight within
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
                                                            LBD05623-01-3
              

 A. 2496                             2
 
 the  state of New York. Each component is wholly contained within a Part
 identified as Parts A through D. 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, includ-
 ing  the  effective date of the Part, which makes 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. The public officers law is amended by adding a new article
 7-A to read as follows:
                                ARTICLE 7-A
                 DEPARTMENT OF OVERSIGHT AND INVESTIGATION
 SECTION 113.   DEFINITIONS.
         113-A. ESTABLISHMENT OF DEPARTMENT  OF  OVERSIGHT  AND  INVESTI-
                  GATION.
         113-B. BOARD  OF  PUBLIC INTEGRITY; ESTABLISHMENT, ORGANIZATION,
                  AND POWERS.
         113-C. COMMISSIONER; APPOINTMENT, DUTIES, AND POWERS.
         113-D. RESPONSIBILITIES  OF  COVERED  AGENCIES,  OFFICERS,   AND
                  EMPLOYEES.
         113-E. FINANCIAL DISCLOSURE.
         113-F. INVESTIGATIONS;    FINANCIAL   DISCLOSURE   AND   ETHICAL
                  VIOLATIONS.
         113-G. INVESTIGATION; OTHER.
         113-H. VIOLATIONS.
         113-I. ADJUDICATORY PROCESS.
   § 113. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS SHALL
 HAVE THE FOLLOWING MEANING:
   1. "DEPARTMENT" MEANS THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION AS
 ESTABLISHED BY SECTION ONE HUNDRED THIRTEEN-A OF THIS ARTICLE.
   2. "COMMISSIONER" MEANS THE COMMISSIONER OF THE  DEPARTMENT  OF  OVER-
 SIGHT AND INVESTIGATION.
   3.  "COVERED  AGENCY"  SHALL  INCLUDE  ALL  EXECUTIVE BRANCH AGENCIES,
 DEPARTMENTS, DIVISIONS, OFFICERS, BOARDS AND COMMISSIONS, PUBLIC AUTHOR-
 ITIES, AND PUBLIC BENEFIT CORPORATIONS, THE HEADS OF WHICH ARE APPOINTED
 BY THE GOVERNOR.
   4. "BOARD" MEANS THE BOARD OF PUBLIC INTEGRITY ESTABLISHED BY  SECTION
 ONE HUNDRED THIRTEEN-B OF THIS ARTICLE.
   §  113-A.  ESTABLISHMENT OF DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
 1.  THERE IS ESTABLISHED WITHIN NEW YORK STATE A DEPARTMENT OF OVERSIGHT
 AND INVESTIGATION TO BE HEADED BY A COMMISSIONER APPOINTED  PURSUANT  TO
 THIS  ARTICLE.  THE  DEPARTMENT  SHALL  HAVE AND EXERCISE THE POWERS AND
 DUTIES SET FORTH IN THIS ARTICLE WITH RESPECT TO ALL  COVERED  AGENCIES,
 STATEWIDE ELECTED OFFICIALS, MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF
 THE  LEGISLATURE,  AND  STATE  OFFICERS  AND  EMPLOYEES,  AS  DEFINED IN
 SECTIONS SEVENTY-THREE AND SEVENTY-THREE-A OF THIS  CHAPTER,  CANDIDATES
 FOR  STATEWIDE  ELECTED  OFFICE  AND FOR THE SENATE OR ASSEMBLY, AND THE
 POLITICAL PARTY CHAIRMAN AS THAT TERM IS  DEFINED  IN  SECTION  SEVENTY-
 THREE-A  OF THIS CHAPTER, LOBBYISTS AND THE CLIENTS OF LOBBYISTS AS SUCH
 TERMS ARE DEFINED IN ARTICLE ONE-A OF THE LEGISLATIVE LAW, AND  INDIVID-
 UALS WHO HAVE FORMERLY HELD SUCH POSITIONS, WERE LOBBYISTS OR CLIENTS OF
 A. 2496                             3
 
 LOBBYISTS, AS SUCH TERMS ARE DEFINED IN ARTICLE ONE-A OF THE LEGISLATIVE
 LAW, OR WHO HAVE FORMERLY BEEN SUCH CANDIDATES.
   2.  THE ESTABLISHMENT OF THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION
 BY THIS ARTICLE, NOR ANY PROVISIONS CONTAINED HEREIN, SHALL BE DEEMED TO
 HAVE REVOKED OR RESCINDED ANY REGULATIONS OR ADVISORY OPINIONS ISSUED BY
 THE LEGISLATIVE ETHICS COMMISSION, THE COMMISSION ON ETHICS AND LOBBYING
 IN GOVERNMENT, THE COMMISSION ON PUBLIC INTEGRITY, OR THE  STATE  ETHICS
 COMMISSION  AND  THE  TEMPORARY  LOBBYING  COMMISSION IN EFFECT UPON THE
 EFFECTIVE DATE OF THIS ARTICLE.
   3. THE DEPARTMENT SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF ALL  REGU-
 LATIONS  AND  OPINIONS, WHICH WILL ADDRESS THE CONSISTENCY OF SUCH REGU-
 LATIONS AND OPINIONS AMONG EACH  OTHER,  AND  OF  THE  EFFECTIVENESS  OF
 EXISTING LAWS, REGULATIONS, GUIDANCE AND ETHICS ENFORCEMENT STRUCTURE TO
 ADDRESS THE ETHICS OF COVERED PUBLIC OFFICIALS AND RELATED PARTIES. SUCH
 REVIEW  SHALL  BE  CONDUCTED WITH THE LEGISLATIVE ETHICS COMMISSION. THE
 DEPARTMENT SHALL, BEFORE DECEMBER  THIRTY-FIRST,  TWO  THOUSAND  TWENTY-
 FOUR,  REPORT  TO THE GOVERNOR AND THE LEGISLATURE REGARDING SUCH REVIEW
 AND SHALL PROPOSE ANY REGULATORY OR  STATUTORY  CHANGES  AND  ISSUE  ANY
 ADVISORY OPINIONS NECESSITATED BY SUCH REVIEW.
   §  113-B.  BOARD OF PUBLIC INTEGRITY; ESTABLISHMENT, ORGANIZATION, AND
 POWERS. 1. A. THERE SHALL BE CREATED WITHIN THE DEPARTMENT A  BOARD,  TO
 BE  KNOWN AS THE BOARD OF PUBLIC INTEGRITY, CONSISTING OF TWELVE MEMBERS
 APPOINTED AS FOLLOWS: TWO MEMBERS APPOINTED BY THE SPEAKER OF THE ASSEM-
 BLY; TWO MEMBERS APPOINTED BY THE TEMPORARY PRESIDENT OF THE SENATE; TWO
 MEMBERS APPOINTED BY THE MINORITY LEADER OF THE  ASSEMBLY;  TWO  MEMBERS
 APPOINTED  BY  THE  MINORITY  LEADER  OF  THE  SENATE;  AND FOUR MEMBERS
 APPOINTED BY THE GOVERNOR, PROVIDED, HOWEVER, THAT THE  APPOINTMENTS  BY
 THE  GOVERNOR  SHALL  BE MADE UPON THE RECOMMENDATION OF THE LEGISLATIVE
 LEADERS. THE SPEAKER OF THE ASSEMBLY, THE  TEMPORARY  PRESIDENT  OF  THE
 SENATE,  THE MINORITY LEADER OF THE ASSEMBLY, AND THE MINORITY LEADER OF
 THE SENATE SHALL EACH SUBMIT A LIST OF NO LESS THAN THREE NAMES  TO  THE
 GOVERNOR FOR CONSIDERATION. THE GOVERNOR SHALL SELECT ONE NAME FROM EACH
 OF THE LEGISLATIVE LEADER'S LISTS FOR APPOINTMENT TO THE BOARD.
   B. EACH MEMBER OF THE BOARD SHALL SERVE A TERM OF FOUR YEARS, COMMENC-
 ING ON THE FIRST OF JANUARY OF THE CALENDAR YEAR IN WHICH THE VACANCY ON
 SUCH  BOARD  OCCURS;  PROVIDED,  HOWEVER,  THAT  THE  MEMBERS  INITIALLY
 APPOINTED BY THE SENATE LEADERS, AND BY THE GOVERNOR UPON THE  RECOMMEN-
 DATION OF THE SENATE LEADERS, SHALL SERVE ONLY TWO YEARS. ALL SUBSEQUENT
 APPOINTMENTS SHALL BE FOR A FULL FOUR-YEAR TERM.
   C.  ANY  VACANCY  OCCURRING ON THE BOARD SHALL BE FILLED WITHIN THIRTY
 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  OCCUR-
 RING OTHER THAN BY EXPIRATION OF A TERM OF OFFICE SHALL BE APPOINTED FOR
 THE UNEXPIRED TERM OF THE MEMBER HE OR SHE SUCCEEDS.
   D.  THERE  SHALL  BE NO EX-OFFICIO MEMBERS OF THE BOARD, AND NO MEMBER
 SHALL DELEGATE HIS OR HER DUTIES TO ANOTHER INDIVIDUAL.
   E. NO PERSON SHALL BE ELIGIBLE TO SERVE AS A MEMBER OF THE BOARD IF AT
 THE TIME OF APPOINTMENT, OR AT ANY TIME DURING A TERM, HE OR SHE  SERVES
 IN  ANY  OTHER  ELECTED  POSITION  OR IS AN EMPLOYEE OF THE STATE OF NEW
 YORK, A MUNICIPAL CORPORATION, A PUBLIC  AUTHORITY,  OR  PUBLIC  BENEFIT
 CORPORATION. ADDITIONALLY, NO MEMBER OF THE BOARD, OR HIS OR HER SPOUSE,
 SHALL,  DURING  THE  PERIOD  OF HIS OR HER SERVICE ON THE BOARD, MAKE OR
 SOLICIT FROM ANOTHER PERSON ANY CONTRIBUTIONS TO CANDIDATES FOR ELECTION
 TO THE OFFICES OF GOVERNOR, LIEUTENANT GOVERNOR, MEMBER OF THE  ASSEMBLY
 OR THE SENATE, ATTORNEY GENERAL, OR STATE COMPTROLLER, NOR MAY HE OR SHE
 MAKE OR SOLICIT ANY CONTRIBUTIONS TO A POLITICAL PARTY OR COMMITTEE.
 A. 2496                             4
 
   F.  MEMBERS OF THE BOARD SHALL BE CONSIDERED PUBLIC OFFICERS AND SHALL
 BE REQUIRED TO TAKE ALL NECESSARY OATHS  AND  FILE  ANY  DISCLOSURES  AS
 REQUIRED  BY  LAW,  WHICH  SHALL  BE MADE AVAILABLE TO THE PUBLIC ON THE
 DEPARTMENT'S WEBSITE.
   G. THE BOARD SHALL, ANNUALLY, ELECT FROM ITS APPOINTED MEMBERS A CHAIR
 AND  VICE CHAIR BY A MAJORITY VOTE OF THE TOTAL NUMBER OF MEMBERS OF THE
 BOARD. THE CHAIR SHALL PRESIDE OVER ALL BOARD MEETINGS  AND  SHALL  HAVE
 THE POWER TO SCHEDULE MEETINGS OF THE BOARD AS HE OR SHE DEEMS NECESSARY
 FOR  THE  PROPER EXECUTION OF ITS DUTIES. THE VICE-CHAIR, IN THE ABSENCE
 OR INCAPACITY OF THE CHAIR, SHALL EXERCISE ALL POWERS OF THE CHAIR.
   H. SEVEN MEMBERS SHALL CONSTITUTE A QUORUM OF THE BOARD, AND THE BOARD
 SHALL HAVE THE POWER TO ACT BY MAJORITY VOTE OF THE TOTAL NUMBER OF  THE
 MEMBERS  OF THE BOARD WITHOUT VACANCIES EXCEPT WHERE OTHERWISE SPECIFIED
 UNDER THIS ARTICLE.
   I. MEMBERS OF THE BOARD MAY BE REMOVED BY THE APPOINTING AUTHORITY FOR
 SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT IN  OFFICE,  INABILITY  TO
 DISCHARGE  THE  POWERS  OR  DUTIES  OF THE OFFICE, OR VIOLATIONS OF THIS
 ARTICLE, AFTER WRITTEN NOTICE AND AN OPPORTUNITY FOR A  REPLY  HAS  BEEN
 PROVIDED.
   J.  MEMBERS OF THE BOARD SHALL RECEIVE A PER DIEM ALLOWANCE IN THE SUM
 OF THREE HUNDRED DOLLARS FOR EACH DAY SPENT IN THE PERFORMANCE OF HIS OR
 HER DUTIES, AND, IN  ADDITION  THERETO,  SHALL  BE  REIMBURSED  FOR  ALL
 REASONABLE EXPENSES INCURRED IN THE PERFORMANCE OF HIS OR HER DUTIES.
   2. THE BOARD SHALL HAVE THE FOLLOWING DUTIES AND RESPONSIBILITIES:
   A. ELECT A COMMISSIONER FOR THE DEPARTMENT;
   B.  REVIEW AND EXAMINE ANNUALLY THE POLICIES AND PROCEDURES OF COVERED
 AGENCIES WITH REGARD TO THE  PREVENTION  AND  DETECTION  OF  CORRUPTION,
 FRAUD, CRIMINAL ACTIVITY, AND CONFLICTS OF INTEREST OR ABUSE;
   C.  CREATE,  IN CONSULTATION WITH THE COMMISSIONER, MODEL TRAINING AND
 PROGRAMMING THAT MAY BE USED BY COVERED AGENCIES TO INFORM  AND  EDUCATE
 EMPLOYEES  AND OFFICERS OF SUCH AGENCIES OF THE CODE OF ETHICS AND OTHER
 RELEVANT POLICIES AND PRACTICES MEANT TO PREVENT FRAUD,  CRIMINALITY  OR
 ANY OTHER MISCONDUCT;
   D.  MONITOR  THE IMPLEMENTATION BY COVERED AGENCIES OF ANY POLICIES OR
 PRACTICES PUT IN PLACE TO COMBAT CORRUPTION, FRAUD,  CRIMINAL  ACTIVITY,
 CONFLICTS OF INTEREST OR ABUSE;
   E.  IN  CONSULTATION WITH THE COMMISSIONER, PROMULGATE RULES AND REGU-
 LATIONS NECESSARY TO EFFECTUATE SECTION ONE HUNDRED SEVEN OF  THE  CIVIL
 SERVICE  LAW,  SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
 OF THIS CHAPTER, ARTICLE ONE-A OF THE LEGISLATIVE  LAW,  AND  ANY  OTHER
 PROVISION OF LAW RELATING TO CORRUPTION WITHIN THE GOVERNMENT.
   F.  IN  CONSULTATION  WITH  THE  COMMISSIONER, ISSUE OFFICIAL ADVISORY
 OPINIONS NECESSARY TO CLARIFY INTERPRETATIONS OF LAWS, RULES, AND  REGU-
 LATIONS;  PROVIDED,  HOWEVER,  THAT INFORMAL OPINIONS MAY BE PROVIDED BY
 APPOINTED STAFF OF THE DEPARTMENT UPON  REQUEST  BY  A  COVERED  AGENCY,
 EMPLOYEE, STATE OFFICERS, OR OTHER SUBJECT INDIVIDUAL.
   G. PROMULGATE RULES AND REGULATIONS NECESSARY TO GOVERN INVESTIGATIONS
 OF  COMPLAINTS  FILED  WITH  THE COMMISSIONER, INCLUDING RULES AND REGU-
 LATIONS NECESSARY TO ENSURE DUE PROCESS FOR THE SUBJECT OF A  COMPLAINT;
 AND
   H.  PUBLISH  AN  ANNUAL REPORT, NO LATER THAN DECEMBER THIRTY-FIRST OF
 EACH YEAR, TO THE GOVERNOR AND THE LEGISLATURE ON ANNUAL  ACTIVITIES  OF
 THE BOARD AND THE DEPARTMENT, AND INCLUDE THEREIN ALL GENERALLY APPLICA-
 BLE  ADVISORY  OPINIONS  ISSUED  DURING THE YEAR AND RECOMMENDATIONS FOR
 STATUTORY CHANGES NECESSARY TO FURTHER PROVIDE FOR INTEGRITY IN  GOVERN-
 MENT.  SUCH  REPORT  SHALL  BE MADE AVAILABLE ON THE DEPARTMENT'S PUBLIC
 A. 2496                             5
 
 WEBSITE. ALL INFORMATION DEEMED CONFIDENTIAL BY STATUTE OR OTHER RULE OR
 REGULATION SHALL BE REDACTED OR WITHHELD FROM THE REPORT.
   §  113-C.  COMMISSIONER;  APPOINTMENT,  DUTIES,  AND POWERS. 1. A. THE
 COMMISSIONER SHALL BE CHOSEN BY A MAJORITY VOTE OF THE BOARD  OF  PUBLIC
 INTEGRITY.  NOTWITHSTANDING ANY LAW TO THE CONTRARY, THE COMMISSION NEED
 NOT BE A RESIDENT OF THE STATE OF NEW YORK AT THE TIME  OF  APPOINTMENT,
 BUT  SHALL BE REQUIRED TO RESIDE WITHIN THE STATE AT ALL TIMES HE OR SHE
 SERVES AND IS EXERCISING THE FUNCTIONS OF THE  OFFICE  OF  COMMISSIONER.
 THE COMMISSIONER SHALL ALSO BE PROHIBITED FROM HOLDING ANY OTHER ELECTED
 POSITION  WITHIN  NEW  YORK STATE, OR ANY POLITICAL SUBDIVISION THEREOF.
 MOREOVER, THE COMMISSIONER, AND HIS OR HER SPOUSE, SHALL, DURING HIS  OR
 HER  TERM  OF  SERVICE,  NOT  MAKE  OR SOLICIT FROM ANY OTHER PERSON ANY
 CONTRIBUTIONS TO CANDIDATES FOR ELECTION TO  THE  OFFICES  OF  GOVERNOR,
 LIEUTENANT  GOVERNOR,  MEMBER  OF  THE  ASSEMBLY OR THE SENATE, ATTORNEY
 GENERAL, OR STATE COMPTROLLER, NOR MAY HE OR SHE  MAKE  OR  SOLICIT  ANY
 CONTRIBUTIONS TO A POLITICAL PARTY OR COMMITTEE.
   B.  THE  COMMISSIONER  SHALL BE APPOINTED TO SERVE A TERM OF SIX YEARS
 AND SHALL SERVE THE ENTIRETY OF SUCH TERM UNLESS A VACANCY ARISES PURSU-
 ANT TO SECTION THIRTY OF THIS CHAPTER, OR THE BOARD OF PUBLIC INTEGRITY,
 VOTING UNANIMOUSLY, APPROVES A MOTION TO REMOVE  THE  COMMISSIONER  FROM
 OFFICE.  IN THE EVENT THE BOARD OF PUBLIC INTEGRITY VOTES UNANIMOUSLY TO
 REMOVE AN INDIVIDUAL FROM OFFICE, THE BOARD OF  PUBLIC  INTEGRITY  SHALL
 PUBLISH  A  STATEMENT,  SIGNED BY ALL MEMBERS OF THE BOARD, ARTICULATING
 THE REASONING FOR SUCH ACTION.
   C. THE COMMISSIONER SHALL SERVE IN HIS  OR  HER  CAPACITY  BEYOND  THE
 SIX-YEAR  TERM IN OFFICE ONLY UPON RE-APPOINTMENT BY THE BOARD OF PUBLIC
 INTEGRITY OR, IF NECESSARY, AS A HOLDOVER UNTIL SUCH TIME AS SUCH  BOARD
 APPOINTS A REPLACEMENT.
   2.  THE  COMMISSIONER SHALL HAVE THE FOLLOWING DUTIES AND RESPONSIBIL-
 ITIES:
   A. APPOINT ANY NECESSARY DEPUTIES, ASSISTANTS, OR STAFF AS REQUIRED TO
 EFFICIENTLY CARRY OUT THE DUTIES AND PURPOSE OF THE DEPARTMENT;
   B. ASSIST COVERED AGENCIES AND  OTHER  SUBJECT  INDIVIDUALS  WITH  THE
 IMPLEMENTATION  OF  ANY  ETHICS  TRAINING  PROGRAMS  ESTABLISHED  BY THE
 DEPARTMENT; PROVIDED, HOWEVER THAT ANY ETHICS TRAINING FOR THE  LEGISLA-
 TURE  AND  LEGISLATIVE  EMPLOYEES  SHALL  BE OVERSEEN BY THE LEGISLATIVE
 ETHICS COMMISSION;
   C. RECEIVE AND INVESTIGATE COMPLAINTS FROM ANY SOURCE, OR UPON HIS  OR
 HER  OWN INITIATIVE, CONCERNING ALLEGATIONS OF CORRUPTION, FRAUD, CRIMI-
 NAL ACTIVITY, CONFLICTS OF INTEREST OR ABUSE IN ANY COVERED AGENCY, BY A
 STATE OFFICER, LEGISLATOR, LEGISLATIVE  EMPLOYEE,  CANDIDATE  FOR  STATE
 OFFICE,  CANDIDATE  FOR  STATE ASSEMBLY OR SENATE, LOBBYIST, CLIENT OF A
 LOBBYIST, OR POLITICAL PARTY CHAIR;
   D. WHEN APPLICABLE, INFORM  THE  HEADS  OF  COVERED  AGENCIES  OF  ANY
 COMPLAINTS   AND   THE   PROGRESS  OF  INVESTIGATIONS  RELATED  TO  SUCH
 COMPLAINTS;  UNLESS  CIRCUMSTANCES  REQUIRE  CONFIDENTIALITY;  PROVIDED,
 HOWEVER,  INFORMATION  REGARDING COMPLAINTS AND STATUS OF INVESTIGATIONS
 RELATED TO MEMBERS OF THE LEGISLATURE OR EMPLOYEES  OF  THE  LEGISLATURE
 SHALL BE PROVIDED TO THE LEGISLATIVE ETHICS COMMISSION;
   E.  MAKE DETERMINATIONS WITH RESPECT TO ANY ALLEGATIONS WHETHER DISCI-
 PLINARY ACTIONS, CIVIL OR CRIMINAL PROSECUTION, OR FURTHER INVESTIGATION
 BY ANOTHER GOVERNMENTAL AGENCY, FEDERAL, STATE OR LOCAL,  IS  NECESSARY,
 AND TO ASSIST IN ANY SUCH INVESTIGATION;
   F. FORWARD MATTERS, INCLUDING ALL RELEVANT DOCUMENTATION, TO APPROPRI-
 ATE  GOVERNMENTAL  AGENCIES,  FEDERAL  OR  STATE, FOR PROSECUTION, IF AN
 A. 2496                             6
 
 INVESTIGATION BY THE DEPARTMENT FINDS THERE IS PROBABLE CAUSE TO BELIEVE
 THAT A VIOLATION OF FEDERAL OR STATE LAW OCCURRED;
   G.  ENFORCE DETERMINATIONS OF THE DEPARTMENT, INCLUDING FINES OR OTHER
 FINDINGS LEVIED BY THE DEPARTMENT, AGAINST COVERED AGENCIES, STATE OFFI-
 CERS, EMPLOYEES, LOBBYISTS, CLIENTS OF LOBBYISTS,  AND  POLITICAL  PARTY
 CHAIRS; AND
   H.  ISSUE  AN ANNUAL REPORT TO THE BOARD, NO LATER THAN APRIL FIRST OF
 EACH YEAR, SUMMARIZING ALL  INVESTIGATIONS  AND  ACTIONS  TAKEN  BY  THE
 DEPARTMENT  RELATED  TO  ANY SUCH INVESTIGATIONS OR ACTIONS IN THE PRIOR
 CALENDAR YEAR.  SUCH REPORT SHALL BE USED BY THE BOARD IN COMPILING  ITS
 ANNUAL  REPORT TO THE GOVERNOR AND THE LEGISLATURE; PROVIDED SUCH REPORT
 SHALL BE CONFIDENTIAL AND NOT SUBJECT TO DISCLOSURE PURSUANT TO  ARTICLE
 SIX OF THIS CHAPTER.
   3. IN ADDITION TO THE DUTIES AND RESPONSIBILITIES PROVIDED IN SUBDIVI-
 SION  TWO OF THIS SECTION, THE COMMISSIONER SHALL EXERCISE THE FOLLOWING
 POWERS IN THE EXECUTION OF HIS OR HER DUTIES:
   A. SUBPOENA AND REQUIRE THE ATTENDANCE OF WITNESSES;
   B. ADMINISTER OATHS OF AFFIRMATION AND EXAMINE WITNESSES UNDER OATH;
   C. REQUIRE THE PRODUCTION OF ANY BOOKS AND PAPERS DEEMED  RELEVANT  OR
 MATERIAL TO ANY INVESTIGATION, EXAMINATION OR REVIEW;
   D. NOTWITHSTANDING ANY LAW TO THE CONTRARY, EXAMINE AND COPY OR REMOVE
 DOCUMENTS  OR  RECORDS  OF  ANY KIND PREPARED, MAINTAINED OR HELD BY ANY
 COVERED AGENCY, EMPLOYEE THEREOF, STATE OFFICER, LEGISLATOR, OR LEGISLA-
 TIVE EMPLOYEE;
   E. QUESTION ANY RELEVANT PARTY CONCERNING ANY MATTER  RELATED  TO  THE
 PERFORMANCE  OF  HIS  OR  HER  OFFICIAL DUTIES OR RELATED TO AN INVESTI-
 GATION;
   F. MONITOR ADHERENCE TO DISCIPLINARY DETERMINATIONS  RENDERED  BY  THE
 DEPARTMENT; AND
   G. PERFORM ANY OTHER FUNCTION NECESSARY AND APPROPRIATE TO FULFILL THE
 DUTIES AND RESPONSIBILITIES OF THE DEPARTMENT.
   §  113-D.  RESPONSIBILITIES OF COVERED AGENCIES, OFFICERS, AND EMPLOY-
 EES.  1. EVERY OFFICER AND EMPLOYEE IN A COVERED AGENCY, STATE  OFFICER,
 LEGISLATOR,  LEGISLATIVE  EMPLOYEE,  LOBBYIST, CLIENT OF A LOBBYIST, AND
 POLITICAL PARTY CHAIR, SHALL REPORT PROMPTLY TO THE DEPARTMENT  MATERIAL
 INFORMATION  CONCERNING  CORRUPTION, FRAUD, CRIMINAL ACTIVITY, CONFLICTS
 OF INTEREST, ETHICAL VIOLATIONS OR ABUSE BY ANOTHER RELATING TO  HIS  OR
 HER OFFICE OR EMPLOYMENT, OR BY A PERSON HAVING BUSINESS DEALINGS WITH A
 COVERED AGENCY RELATING TO THOSE DEALINGS, INCLUDING LOBBYIST AS DEFINED
 UNDER ARTICLE ONE-A OF THE LEGISLATIVE LAW.
   2.  THE  KNOWING FAILURE OF ANY SUBJECT INDIVIDUAL TO SO REPORT MAY BE
 CAUSE FOR SANCTIONS AND PUNITIVE ACTIONS  AGAINST  SUCH  INDIVIDUAL  WHO
 FAILS  TO  REPORT SUCH CONDUCT. ANY INDIVIDUAL WHO ACTS PURSUANT TO THIS
 SECTION BY REPORTING TO THE DEPARTMENT IMPROPER GOVERNMENTAL  ACTION  AS
 DEFINED  IN SECTION SEVENTY-FIVE-B OF THE CIVIL SERVICE LAW SHALL NOT BE
 SUBJECT TO DISCIPLINE BY THE  DEPARTMENT  FOR  FAILURE  TO  REPORT  SUCH
 ACTIVITY;  PROVIDED,  HOWEVER,  THAT  SUCH  PROTECTION FROM DEPARTMENTAL
 SANCTIONS DOES NOT PROVIDE LEGAL IMMUNITY FOR CRIMINAL ACTIONS.
   § 113-E. FINANCIAL DISCLOSURE. 1. A. THE COMMISSIONER, OR  ANY  DESIG-
 NATED  STAFF,  SHALL  INSPECT  ALL FINANCIAL DISCLOSURE STATEMENTS FILED
 WITH THE DEPARTMENT IN ORDER TO ASCERTAIN WHETHER ANY PERSON SUBJECT  TO
 THE  REPORTING  REQUIREMENTS  OF  THIS CHAPTER HAS FAILED TO FILE SUCH A
 STATEMENT, HAS FILED A DEFICIENT STATEMENT  OR  HAS  FILED  A  STATEMENT
 WHICH REVEALS A POSSIBLE VIOLATION OF LAW.
   B. THE COMMISSIONER, OR ANY DESIGNATED STAFF, IN RELATION TO FINANCIAL
 DISCLOSURES:
 A. 2496                             7

   (I)  SHALL  MAKE  AVAILABLE  FORMS  FOR ANNUAL STATEMENTS OF FINANCIAL
 DISCLOSURE REQUIRED TO BE FILED PURSUANT TO SECTION  SEVENTY-THREE-A  OF
 THIS CHAPTER;
   (II)  RECEIVE COMPLAINTS DIRECTLY OR THROUGH A REFERRAL FROM ANY OTHER
 COVERED AGENCY OR THE DEPARTMENT ALLEGING VIOLATIONS OF  SECTION  SEVEN-
 TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THIS CHAPTER, ARTICLE ONE-A
 OF THE LEGISLATIVE LAW OR SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE
 LAW;
   (III) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
 MENT  WITH  THE  DEPARTMENT  TO  REQUEST  DELETION FROM THE COPY OF SUCH
 STATEMENT MADE AVAILABLE FOR PUBLIC INSPECTION AND COPYING ONE  OR  MORE
 ITEMS OF INFORMATION WHICH MAY BE DELETED BY THE DEPARTMENT UPON A FIND-
 ING  BY  THE  DEPARTMENT  THAT  THE INFORMATION WHICH WOULD OTHERWISE BE
 REQUIRED TO BE MADE AVAILABLE FOR PUBLIC  INSPECTION  AND  COPYING  WILL
 HAVE  NO  MATERIAL  BEARING  ON  THE DISCHARGE OF THE REPORTING PERSON'S
 OFFICIAL DUTIES;
   (IV) GRANT ANY PERSON REQUIRED TO FILE A FINANCIAL  DISCLOSURE  STATE-
 MENT  AN  ADDITIONAL  PERIOD OF TIME WITHIN WHICH TO FILE SUCH STATEMENT
 DUE TO JUSTIFIABLE CAUSE OR UNDUE HARDSHIP;
   (V) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL  DISCLOSURE  STATE-
 MENT  TO  DELETE  SUCH INFORMATION PERTAINING TO SUCH PERSON'S SPOUSE OR
 EMANCIPATED CHILDREN AS SHALL BE FOUND BY  THE  DEPARTMENT  TO  HAVE  NO
 MATERIAL  BEARING  ON  THE  DISCHARGE OF THE REPORTING PERSON'S OFFICIAL
 DUTIES;
   (VI) ADVISE AND ASSIST ANY COVERED AGENCY IN  ESTABLISHING  RULES  AND
 REGULATIONS RELATING TO POSSIBLE CONFLICTS BETWEEN PRIVATE INTERESTS AND
 OFFICIAL DUTIES OF PRESENT AND FORMER STATE OFFICERS AND EMPLOYEES;
   (VII)  ADVISE  AND  ASSIST  ANY  COVERED AGENCY WITH TRAINING PROGRAMS
 RELATING TO ETHICAL COMPLIANCE;
   (VIII) 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 COMMISSIONER MAY GRANT SUCH
 AN EXEMPTION WHERE THE PUBLIC INTEREST DOES NOT REQUIRE  DISCLOSURE  AND
 THE  APPLICANT'S  DUTIES  DO  NOT  INVOLVE NEGOTIATION, AUTHORIZATION OR
 APPROVAL OF:
   A. CONTRACTS, LEASES,  FRANCHISES,  REVOCABLE  CONSENTS,  CONCESSIONS,
 VARIANCES,  SPECIAL PERMITS OR LICENSES AS SET FORTH IN SECTION SEVENTY-
 THREE OF THIS CHAPTER;
   B. THE PURCHASE, SALE, RENTAL OR LEASE  OF  REAL  PROPERTY,  GOODS  OR
 SERVICES, OR A CONTRACT THEREFOR;
   C. THE OBTAINING OF GRANTS OF MONEY OR LOANS; OR
   D.  THE  ADOPTION OR REPEAL OF ANY RULE OR REGULATION HAVING THE FORCE
 AND EFFECT OF LAW;
   (IX) 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 REQUIREMENTS OF SUCH SECTION; AND
   (X) CONDUCT INVESTIGATIONS INTO ANY COMPLAINTS.
   2.  IF A PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT WITH
 THE DEPARTMENT 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
 A. 2496                             8
 
 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 COMMISSIONER, OR DESIGNATED STAFF, SHALL SEND A NOTICE
 OF DELINQUENCY:
   A. TO THE REPORTING PERSON;
   B. IN THE CASE OF A STATEWIDE ELECTED OFFICIAL, TO THE TEMPORARY PRES-
 IDENT OF THE SENATE AND THE SPEAKER OF THE ASSEMBLY; AND
   C.  IN  THE  CASE  OF  A  STATE OFFICER OR EMPLOYEE, TO THE APPOINTING
 AUTHORITY FOR SUCH PERSON. SUCH NOTICE OF DELINQUENCY MAY BE SENT AT ANY
 TIME DURING THE REPORTING PERSON'S SERVICE AS A STATEWIDE ELECTED  OFFI-
 CIAL, STATE OFFICER OR EMPLOYEE, POLITICAL PARTY CHAIR OR WHILE A CANDI-
 DATE  FOR STATEWIDE OFFICE, OR WITHIN ONE YEAR AFTER TERMINATION OF SUCH
 SERVICE OR CANDIDACY.
   § 113-F. INVESTIGATIONS; FINANCIAL DISCLOSURE AND ETHICAL  VIOLATIONS.
 1.  IF THE DEPARTMENT RECEIVES A SWORN COMPLAINT ALLEGING A VIOLATION OF
 SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE  LAW,  SECTIONS  SEVENTY-
 THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THIS CHAPTER, OR ARTICLE ONE-A
 OF THE LEGISLATIVE LAW BY A PERSON OR ENTITY SUBJECT TO THE OVERSIGHT OF
 THE DEPARTMENT, OR IF A REPORTING INDIVIDUAL HAS FILED A STATEMENT WHICH
 REVEALS A POSSIBLE VIOLATION OF ANY SUCH PROVISION, OR IF THE DEPARTMENT
 DETERMINES  ON  ITS  OWN INITIATIVE TO INVESTIGATE A POSSIBLE VIOLATION,
 THE DEPARTMENT SHALL NOTIFY THE INDIVIDUAL IN WRITING, WITHIN FIVE BUSI-
 NESS DAYS OF RECEIPT OF A COMPLAINT OR ACTION  OF  ITS  OWN,  SO  AS  TO
 DESCRIBE  THE POSSIBLE OR ALLEGED VIOLATION OF SUCH LAWS AND PROVIDE THE
 PERSON WHO IS THE SUBJECT OF THE COMPLAINT 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.
   2.  IF  THE  DEPARTMENT DETERMINES, FOLLOWING AN INITIAL REVIEW OF THE
 COMPLAINT AND ANY RESPONSE, THAT THERE IS A SUBSTANTIAL BASIS TO BELIEVE
 THAT A VIOLATION HAS OCCURRED, IT SHALL SEND A NOTICE OF SUCH FINDINGS:
   A. TO THE COMPLAINANT, IF ANY; AND
   B. TO THE SUBJECT OF THE REPORT OR COMPLAINT.
   3. AN INVESTIGATION UNDERTAKEN BY THE DEPARTMENT FOLLOWING A COMPLAINT
 OR ACTION ON ITS OWN INITIATIVE SHALL TAKE NO  MORE  THAN  THIRTY  DAYS,
 COMMENCING  FROM  THE  DAY UPON WHICH THE DEPARTMENT DETERMINES THERE IS
 REASONABLE CAUSE TO BELIEVE THAT A VIOLATION OCCURRED AND  SENDS  NOTICE
 OF  SUCH  TO THE SUBJECT OF THE INVESTIGATION. HOWEVER, IF COMPLETION OF
 AN INVESTIGATION IS NOT POSSIBLE WITHIN THIRTY DAYS, SUCH  INVESTIGATION
 SHALL BE COMPLETED AS SOON AS PRACTICABLE THEREAFTER; PROVIDED NOTICE OF
 THE  EXTENDED  INVESTIGATION  IS GIVEN TO THE COMPLAINANT AND SUBJECT OF
 THE INVESTIGATION.
   4. UPON COMPLETION OF AN INVESTIGATION, THE DEPARTMENT SHALL  ISSUE  A
 DETERMINATION  IN WRITING TO THE INDIVIDUAL AND THE COMPLAINANT, IF ANY;
 AND THE APPOINTING AUTHORITY OF ANY STATE EMPLOYEE. IF THE INVESTIGATION
 INVOLVED A MEMBER OF THE LEGISLATURE OR  A  LEGISLATIVE  EMPLOYEE,  SUCH
 DETERMINATIONS  SHALL BE FORWARDED TO THE LEGISLATIVE ETHICS COMMISSION;
 WHILE DETERMINATIONS INVOLVING THE GOVERNOR,  THE  LIEUTENANT  GOVERNOR,
 THE  ATTORNEY  GENERAL OR THE STATE COMPTROLLER SHALL BE PROVIDED TO THE
 GOVERNOR, THE SPEAKER OF THE ASSEMBLY AND THE TEMPORARY PRESIDENT OF THE
 SENATE.   SUCH  FINAL  DETERMINATIONS  SHALL  BE  AVAILABLE  FOR  PUBLIC
 INSPECTION,  INCLUDING  FINDINGS  OF  FACT AND CONCLUSIONS OF LAW THAT A
 VIOLATION OF LAW OCCURRED; PROVIDED THAT NO OTHER  REPORTS  OR  INVESTI-
 GATIVE MATERIALS SHALL BE PUBLICLY REVIEWABLE AND SHALL REMAIN CONFIDEN-
 TIAL.
   5. A. THE DEPARTMENT SHALL HAVE JURISDICTION TO INVESTIGATE, BUT SHALL
 HAVE  NO  JURISDICTION TO IMPOSE PENALTIES UPON MEMBERS OF OR CANDIDATES
 A. 2496                             9
 
 FOR MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEES FOR ANY VIOLATION
 OF THIS CHAPTER. IF UPON COMPLETION OF ITS INVESTIGATION THE  DEPARTMENT
 CONCLUDES  THAT A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE OR
 CANDIDATE  FOR  MEMBER OF THE LEGISLATURE HAS VIOLATED ANY PROVISIONS OF
 LAW OVER WHICH THE DEPARTMENT HAS OVERSIGHT, 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:
   (I)  THE  DEPARTMENT'S  FINDINGS OF FACT AND ANY EVIDENCE ADDRESSED IN
 SUCH FINDINGS; AND CONCLUSIONS OF LAW AND CITATIONS TO ANY RELEVANT LAW,
 RULE, OPINION, REGULATION OR STANDARD OF CONDUCT UPON WHICH  IT  RELIED;
 AND
   (II)  A  DETERMINATION  THAT  THE  DEPARTMENT  HAS  CONCLUDED  THAT  A
 VIOLATION HAS OCCURRED, AND THE REASONS  AND  BASIS  FOR  SUCH  DETERMI-
 NATION.
   B.  THE  DEPARTMENT  SHALL  ALSO SEPARATELY PROVIDE TO THE LEGISLATIVE
 ETHICS COMMISSION COPIES  OF  ADDITIONAL  DOCUMENTS  OR  OTHER  EVIDENCE
 CONSIDERED INCLUDING EVIDENCE THAT MAY CONTRADICT THE DEPARTMENT'S FIND-
 INGS,  THE  NAMES  OF  AND  OTHER  INFORMATION  REGARDING ANY ADDITIONAL
 WITNESSES, AND ANY OTHER MATERIALS. WITH RESPECT TO A VIOLATION  OF  ANY
 LAW OTHER THAN SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
 OF  THIS  CHAPTER, WHERE THE DEPARTMENT FINDS SUFFICIENT CAUSE, IT SHALL
 REFER SUCH MATTER TO THE APPROPRIATE PROSECUTOR.
   § 113-G. INVESTIGATIONS;  OTHER.  1.  THE  DEPARTMENT  SHALL  ALSO  BE
 AUTHORIZED  TO  UNDERTAKE,  UPON A SUBMITTED COMPLAINT OR ITS OWN INITI-
 ATIVE, ANY INVESTIGATION INTO  POTENTIAL  CRIMINAL  ACTIVITY,  OR  OTHER
 CONDUCT OVER WHICH IT HAS JURISDICTION, BY A PERSON OR ENTITY SUBJECT TO
 THE OVERSIGHT OF THE DEPARTMENT.
   2. THE BOARD OF PUBLIC INTEGRITY, IN CONSULTATION WITH THE COMMISSION-
 ER, SHALL PROMULGATE ANY RULES AND REGULATIONS NECESSARY TO, AMONG OTHER
 THINGS,  ENSURE  INVESTIGATORY  INTEGRITY,  DUE PROCESS, AND APPROPRIATE
 CRIMINAL AND/OR CIVIL PROSECUTION, IF WARRANTED.
   3.  NOTWITHSTANDING REVIEW AND PUBLICATION OF A FINAL DETERMINATION OF
 THE DEPARTMENT, ANY PERSON CONDUCTING OR PARTICIPATING IN  ANY  EXAMINA-
 TION  OR  INVESTIGATION  UNDER THIS SECTION OR SECTION ONE HUNDRED THIR-
 TEEN-F THIS ARTICLE WHO SHALL DISCLOSE TO ANY  PERSON  NOT  INVOLVED  IN
 SUCH EXAMINATION OR INVESTIGATION, OR WHO THE COMMISSIONER MAY OTHERWISE
 HAVE  AUTHORIZED  TO RECEIVE SUCH INFORMATION RELATED TO OR DETAILING AN
 INVESTIGATION, SHALL BE GUILTY OF A MISDEMEANOR.
   § 113-H. VIOLATIONS. 1. AN INDIVIDUAL SUBJECT TO THE  JURISDICTION  OF
 THE  DEPARTMENT  WHO KNOWINGLY AND INTENTIONALLY VIOLATES THE PROVISIONS
 OF SUBDIVISIONS TWO THROUGH  FIVE,  SEVEN,  EIGHT,  TWELVE  OR  FOURTEEN
 THROUGH  SEVENTEEN OF SECTION SEVENTY-THREE OF THIS CHAPTER, SECTION ONE
 HUNDRED SEVEN OF THE CIVIL SERVICE LAW, OR A  REPORTING  INDIVIDUAL  WHO
 KNOWINGLY  AND  WILLFULLY FAILS TO FILE AN ANNUAL STATEMENT OF FINANCIAL
 DISCLOSURE OR WHO KNOWINGLY AND WILLFULLY WITH INTENT TO DECEIVE MAKES A
 FALSE STATEMENT OR FRAUDULENT OMISSION OR GIVES INFORMATION  WHICH  SUCH
 INDIVIDUAL  KNOWS  TO BE FALSE ON SUCH STATEMENT OF FINANCIAL DISCLOSURE
 FILED PURSUANT TO SECTION  SEVENTY-THREE-A  OF  THIS  CHAPTER  SHALL  BE
 SUBJECT  TO  A  CIVIL  PENALTY IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND
 DOLLARS 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 PARAGRAPH B, C, D OR I OF SUBDIVISION THREE
 OF SECTION SEVENTY-FOUR OF THIS CHAPTER SHALL  BE  SUBJECT  TO  A  CIVIL
 PENALTY IN AN AMOUNT NOT TO EXCEED TEN THOUSAND DOLLARS AND THE VALUE OF
 ANY  GIFT,  COMPENSATION  OR  BENEFIT  RECEIVED  AS  A  RESULT  OF  SUCH
 A. 2496                            10
 
 VIOLATION. AN INDIVIDUAL WHO KNOWINGLY AND  INTENTIONALLY  VIOLATES  THE
 PROVISIONS OF PARAGRAPH A, E OR G OF SUBDIVISION THREE OF SECTION SEVEN-
 TY-FOUR OF THIS CHAPTER 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 DEPARTMENT WHO KNOWINGLY AND WILLFULLY VIOLATES ARTICLE ONE-A OF THE
 LEGISLATIVE  LAW  SHALL  BE  SUBJECT TO CIVIL PENALTY AS PROVIDED FOR IN
 SUCH ARTICLE. ASSESSMENT OF A CIVIL PENALTY  PURSUANT  TO  THIS  SECTION
 SHALL  BE  MADE BY THE DEPARTMENT WITH RESPECT TO INDIVIDUALS SUBJECT TO
 ITS JURISDICTION. IN ASSESSING THE AMOUNT OF THE CIVIL PENALTIES  TO  BE
 IMPOSED, THE DEPARTMENT SHALL CONSIDER THE SERIOUSNESS OF THE VIOLATION,
 THE  AMOUNT OF GAIN TO THE INDIVIDUAL AND WHETHER SUCH INDIVIDUAL PREVI-
 OUSLY HAD ANY CIVIL OR  CRIMINAL  PENALTIES  IMPOSED  PURSUANT  TO  THIS
 SECTION, AND ANY OTHER FACTORS THE DEPARTMENT DEEMS APPROPRIATE.
   2.  A CIVIL PENALTY FOR FALSE FILING RELATING TO FINANCIAL DISCLOSURES
 MADE PURSUANT TO SECTION SEVENTY-THREE OR SEVENTY-THREE-A OF THIS  CHAP-
 TER  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 MATERIALLY FALSE.
   3.  ALL DETERMINATIONS OF ANY CIVIL FINE MADE BY THE DEPARTMENT PURSU-
 ANT TO THIS SECTION SHALL BE FORWARDED TO AN APPOINTING AUTHORITY OF THE
 SUBJECT INDIVIDUAL, AND SHALL BE REVIEWED FOR ANY OTHER POSSIBLE  CRIMI-
 NAL  VIOLATIONS  THAT  MAY  ARISE  FROM  SUCH  VIOLATIONS. VIOLATIONS OF
 SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE LAW, SUBDIVISION  TWELVE,
 FOURTEEN,  FIFTEEN,  SIXTEEN  OR  SEVENTEEN  OF SECTION SEVENTY-THREE OR
 SECTION SEVENTY-FOUR OF THIS CHAPTER OR ARTICLE ONE-A OF THE LEGISLATIVE
 LAW SHALL CONSTITUTE CLASS A MISDEMEANORS.
   § 113-I. ADJUDICATORY PROCESS. THE DEPARTMENT SHALL BE DEEMED TO BE AN
 AGENCY WITHIN THE MEANING OF ARTICLE THREE OF THE  STATE  ADMINISTRATIVE
 PROCEDURE ACT AND SHALL ADOPT RULES GOVERNING THE CONDUCT OF ADJUDICATO-
 RY  PROCEEDINGS  AND  APPEALS  TAKEN  PURSUANT TO A PROCEEDING COMMENCED
 UNDER ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES RELATING
 TO THE ASSESSMENT OF THE CIVIL PENALTIES AUTHORIZED BY THIS ARTICLE  AND
 DEPARTMENT DENIALS OF REQUESTS FOR CERTAIN DELETIONS OR EXEMPTIONS TO BE
 MADE  FROM  A FINANCIAL DISCLOSURE STATEMENT AS AUTHORIZED BY THIS ARTI-
 CLE. 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 SIMILAR TO THOSE SET FORTH IN  ARTI-
 CLE  THREE OF THE STATE ADMINISTRATIVE PROCEDURE ACT BUT SUCH MECHANISMS
 NEED NOT BE IDENTICAL IN TERMS OR SCOPE. ASSESSMENT OF A  CIVIL  PENALTY
 OR  DEPARTMENT  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  PENALTY,  OR UNLESS SUCH DENIAL OF REQUEST IS
 REVERSED WITHIN SUCH TIME PERIOD,  AND  UPON  BECOMING  FINAL  SHALL  BE
 SUBJECT  TO REVIEW AT THE INSTANCE OF THE AFFECTED REPORTING INDIVIDUALS
 IN A PROCEEDING COMMENCED AGAINST THE DEPARTMENT,  PURSUANT  TO  ARTICLE
 SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES.
   §  2. This act shall take effect on the first of January next succeed-
 ing the date on which it shall have become  a  law;  provided,  however,
 that appointments to the board of public integrity authorized by section
 113-b  of the public officers law shall be made within sixty days of the
 date on which this act shall have become a law and  such  board  members
 shall  be  authorized  to  hold  meetings  upon appointment necessary to
 ensure proper administration of such department.
 
                                  PART B
 A. 2496                            11
 
   Section 1. Section 94 of the executive law is REPEALED.
   § 2. Article 4-A of the executive law is REPEALED.
   §  3. This act shall take effect on the first of January next succeed-
 ing the date on which it shall have become a law.
 
                                  PART C
 
   Section 1.  Transfer of functions, powers and duties.  All  functions,
 powers,  duties  and  obligations of the former commission on ethics and
 lobbying in government, and the former office  of  the  state  inspector
 general are hereby transferred to the department of oversight and inves-
 tigation.
   §  2. Transfer of employees. (a) Upon transfer of the functions of the
 former commission on ethics and lobbying in government, and  the  former
 office of the state inspector general to the department of oversight and
 investigation, provisions shall be made for the transfer to such depart-
 ment  of  those  employees  of  such former agencies who were engaged in
 carrying out the functions transferred by this act  in  accordance  with
 section  70  of the civil service law or, where not subject to the civil
 service law, the provisions of such section 70 shall be deemed  applica-
 ble,  except  where  the  context  clearly  requires otherwise. Any such
 employee who, at the time of such transfer, has a  temporary  or  provi-
 sional  appointment  shall  be  transferred subject to the same right of
 removal, examination or termination as though such transfer had not been
 made except to the extent such  rights  are  modified  by  a  collective
 bargaining   agreement.  Employees  holding  permanent  appointments  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.
   § 3. Transfer of records. All books, papers and property of the former
 commission  on  ethics and lobbying in government, and the former office
 of the state inspector general are to be delivered to the department  of
 oversight  and  investigation at such place and time, and in such manner
 as the department of oversight and investigation shall require.
   § 4. Continuity of authority. For the purpose  of  succession  to  all
 functions,  powers,  duties  and obligations of the former commission on
 ethics and lobbying in government and the former  office  of  the  state
 A. 2496                            12
 
 inspector  general transferred to and assumed by the department of over-
 sight and investigation, such department shall  continue  the  operation
 thereof as if performed by such former agencies.
   §  5.  Completion of unfinished business. Any business or other matter
 undertaken or commenced by the former commission on ethics and  lobbying
 in  government,  or  the  former  office  of the state inspector general
 pertaining to or connected with the functions, powers, duties and  obli-
 gations  transferred  and  assigned  to  the department of oversight and
 investigation, and pending on the effective date of this  section  shall
 be  conducted  and  completed  by such department 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.
   §  6.  Continuation  of rules and regulations. All rules, regulations,
 acts, orders, determinations and decisions of the former  commission  on
 ethics  and  lobbying  in  government and the former office of the state
 inspector general in force at the time of such transfer and  assumption,
 shall  continue in force and effect as rules, regulations, acts, orders,
 determinations and decisions of the department of oversight and investi-
 gation until duly modified or abrogated.
   § 7. Terms occurring in laws, contracts and other documents.  Whenever
 the former commission on ethics and lobbying in government 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, obli-
 gations and duties transferred and assigned pursuant to this  act,  such
 reference  or  designation shall be deemed to refer to the department of
 oversight and investigation.
   § 8. 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.
   §  9.  Pending actions or proceedings. No action or proceeding pending
 upon the effective date of  this  section  relating  to  the  functions,
 powers  and  duties  of  the former commission on ethics and lobbying in
 government, and the former office of the state inspector general  trans-
 ferred  to  the department of oversight and investigation, brought by or
 against any such former agency or individual, shall be affected  by  any
 provision of this act, but the same may be prosecuted or defended in the
 name  of  such  department.  In  all  such  actions and proceedings, the
 department of oversight  and  investigation,  upon  application  to  the
 court, shall be substituted as a party.
   §  10.  Transfer  of  appropriations  heretofore  made. Subject to the
 approval of the director of the division of the  budget,  all  appropri-
 ations  and reappropriations heretofore made to the former commission on
 ethics and lobbying in government and the former  office  of  the  state
 inspector general for the purposes and functions transferred pursuant to
 this act to the department of oversight and investigation, to the extent
 of  remaining  unexpended or unencumbered balance thereof, whether allo-
 cated or unallocated, and whether obligated or unobligated,  are  hereby
 transferred  to  and  made  available  for  use  and expenditure by such
 department for the same purposes for which  originally  appropriated  or
 reappropriated and shall be payable on vouchers certified or approved by
 the  commissioner  of  the  department of oversight and investigation 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  complet-
 ing  the  affairs  of  the  former  commission on ethics and lobbying in
 government and the former office of the  state  inspector  general  with
 A. 2496                            13

 respect  to  the  powers,  duties and functions transferred in this act,
 shall also be made on vouchers or certificates approved by  the  commis-
 sioner  of  the  department  of oversight and investigation on audit and
 warrant of the comptroller.
   §  11. Transfer of assets and liabilities.  All assets and liabilities
 of the former commission on ethics and lobbying in  government  and  the
 former  office  of the state inspector general are hereby transferred to
 and assumed by the department of oversight and investigation.
   § 12. The department of oversight and investigation is hereby directed
 to immediately take any and all actions necessary to enable it to assume
 all powers, duties and functions of the former commission on ethics  and
 lobbying  in  government  and  the  former office of the state inspector
 general within 90 days of the effective date of this act.
   § 13. 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
 one through eleven of this act shall take effect on the first  of  April
 next succeeding the date on which it shall have become a law.
 
                                  PART D
 
   Section  1.  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] DEPARTMENT OF OVERSIGHT
 AND INVESTIGATION.
   § 2. Subdivision (f) of section 1-c of the legislative law, as amended
 by section 3 of part QQ of chapter 56 of the laws of 2022, is amended to
 read as follows:
   (f) The term "commission" shall mean the  [commission  on  ethics  and
 lobbying  in  government created by section ninety-four of the executive
 law] DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
   § 3. 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] COMMISSIONER OF
 THE DEPARTMENT OF OVERSIGHT AND  INVESTIGATION  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-mutu-
 el wagering business, video lottery terminal facility or any development
 at any racing facility.
   § 4. 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] COMMISSIONER OF THE DEPARTMENT OF OVER-
 A. 2496                            14
 
 SIGHT AND INVESTIGATION, 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.
   §  5. 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] THE DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION. The agency is subject to  the  jurisdiction
 of  the  [office  of  the  state  inspector general] COMMISSIONER OF THE
 DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
   § 6. 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  [of  the office of the state commission of investi-
 gation] ACTING FOR, OR AT THE REQUEST OF THE DEPARTMENT OF OVERSIGHT AND
 INVESTIGATION.
   § 7. Subdivision 68 of section 2.10 of the criminal procedure law,  as
 added by chapter 168 of the laws of 2000, is REPEALED.
   §  8.  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] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION, 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 offi-
 cial requesting such assistance in the investigation or  prosecution  of
 organized crime cases.
   §  9. 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] DEPARTMENT OF
 OVERSIGHT  AND  INVESTIGATION,  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.
 A. 2496                            15
 
   §  10.  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] DEPARTMENT OF OVERSIGHT
 AND INVESTIGATION, the department of corrections  and  community  super-
 vision, the office of children 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-sev-
 en-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.
   § 11. Chapter 989 of the laws of  1958,  creating  a  temporary  state
 commission of investigation, is REPEALED.
   §  12.  Subparagraphs  (ii) and (iii) of paragraph (c), and paragraphs
 (d) and (d-1) of subdivision 1 of section 73-a of  the  public  officers
 law,  as  amended  by  section 5 of part QQ of chapter 56 of the laws of
 2022, 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 [commission on ethics and lobbying in government
 established by section ninety-four of the executive law]  DEPARTMENT  OF
 OVERSIGHT  AND  INVESTIGATION  during  the  month of February, provided,
 however, that the appointing authority shall amend such written  instru-
 ment  after  such date within thirty days after the undertaking of poli-
 cy-making responsibilities by a new employee 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 [commission on ethics and lobbying in government
 established  by  section ninety-four of the executive law] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION during  the  month  of  February,  provided,
 however,  that the appointing authority shall amend such written instru-
 ment after such date within thirty days after the undertaking  of  poli-
 cy-making responsibilities by a new employee or any other employee whose
 name did not appear on the most recent written instrument.
   (d) The term "legislative employee" shall mean any officer or employee
 of  the  legislature  who  receives annual compensation in excess of the
 filing rate established by paragraph (l) below or who is  determined  to
 A. 2496                            16

 hold  a  policy-making position by the appointing authority as set forth
 in a written instrument which shall be filed with the legislative ethics
 commission and the [commission on ethics  and  lobbying  in  government]
 DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
   (d-1)  A  financial  disclosure statement required pursuant to section
 seventy-three of this article and this section shall be  deemed  "filed"
 with the [commission on ethics and lobbying in government] DEPARTMENT OF
 OVERSIGHT  AND  INVESTIGATION  upon  its filing, in accordance with this
 section, with the legislative ethics commission for all purposes includ-
 ing, but not limited to, [section  ninety-four  of  the  executive  law]
 ARTICLE  SEVEN-A  OF THIS CHAPTER, subdivision nine of section eighty of
 the legislative law and subdivision four of this section.
   § 13. Subdivision 2 of section 73-a of the  public  officers  law,  as
 amended  by  section  7 of part QQ of chapter 56 of the laws of 2022, is
 amended to read as follows:
   2. (a) Every statewide elected official, state  officer  or  employee,
 member  of  the  legislature,  legislative  employee and political party
 chair and every candidate for statewide elected office or for member  of
 the  legislature  shall file an annual statement of financial disclosure
 containing the information and in the  form  set  forth  in  subdivision
 three  of  this  section.  On  or  before  the fifteenth day of May with
 respect to the preceding calendar year: (1) every member of the legisla-
 ture, every candidate for member  of  the  legislature  and  legislative
 employee  shall  file such statement with the legislative ethics commis-
 sion which shall provide such statement  along  with  any  requests  for
 exemptions  or  deletions  to  the [commission on ethics and lobbying in
 government] DEPARTMENT OF OVERSIGHT AND  INVESTIGATION  for  filing  and
 rulings with respect to such requests for exemptions or deletions, on or
 before the thirtieth day of June; and (2) all other individuals required
 to  file such statement shall file it with the [commission on ethics and
 lobbying in  government]  DEPARTMENT  OF  OVERSIGHT  AND  INVESTIGATION,
 except that:
   (i)  a  person  who  is  subject to the reporting requirements of this
 subdivision and who timely filed with the internal  revenue  service  an
 application  for automatic extension of time in which to file his or her
 individual income tax return for the immediately preceding  calendar  or
 fiscal  year  shall be required to file such financial disclosure state-
 ment on or before May fifteenth but may, without being subjected to  any
 civil penalty on account of a deficient statement, indicate with respect
 to  any  item  of the disclosure statement that information with respect
 thereto is lacking but will be supplied in a supplementary statement  of
 financial  disclosure, which shall be filed on or before the seventh day
 after the expiration of the period of such automatic extension  of  time
 within  which  to  file such individual income tax return, provided that
 failure to file or to timely file such supplementary statement of finan-
 cial disclosure or the filing of an incomplete or deficient supplementa-
 ry statement of financial disclosure shall be subject to the notice  and
 penalty  provisions  of  this  section  respecting  annual statements of
 financial disclosure as if such supplementary statement were  an  annual
 statement;
   (ii)  a  person who is required to file an annual financial disclosure
 statement with the [commission on ethics  and  lobbying  in  government]
 DEPARTMENT  OF  OVERSIGHT AND INVESTIGATION, and who is granted an addi-
 tional period of time within which to file such statement due to  justi-
 fiable  cause  or undue hardship[, in accordance with required rules and
 regulations adopted pursuant to section  ninety-four  of  the  executive
 A. 2496                            17

 law]  shall  file  such  statement  within the additional period of time
 granted[; and the legislative ethics commission shall notify the commis-
 sion on ethics and lobbying  in  government  of  any  extension  granted
 pursuant to this paragraph];
   (iii)  candidates for statewide office who receive a party designation
 for nomination by a state committee pursuant to  section  6-104  of  the
 election law shall file such statement within ten days after the date of
 the meeting at which they are so designated;
   (iv)  candidates  for statewide office who receive twenty-five percent
 or more of the vote cast at the meeting  of  the  state  committee  held
 pursuant  to  section  6-104  of the election law and who demand to have
 their names placed on the primary ballot and who do not withdraw  within
 fourteen  days  after  such meeting shall file such statement within ten
 days after the last day to withdraw their names in accordance  with  the
 provisions of such section of the election law;
   (v)  candidates  for statewide office and candidates for member of the
 legislature who file party designating petitions  for  nomination  at  a
 primary  election  shall  file  such statement within ten days after the
 last day allowed by law for the filing of  party  designating  petitions
 naming them as candidates for the next succeeding primary election;
   (vi)  candidates  for  independent nomination who have not been desig-
 nated by a party to receive a nomination shall file such statement with-
 in ten days after the last day allowed by law for the  filing  of  inde-
 pendent  nominating  petitions  naming  them  as  candidates in the next
 succeeding general or special election;
   (vii) candidates who receive the nomination of a party for  a  special
 election shall file such statement within ten days after the date of the
 meeting of the party committee at which they are nominated; and
   (viii)  a  candidate  substituted  for  another candidate, who fills a
 vacancy in a party designation or in an independent  nomination,  caused
 by declination, shall file such statement within ten days after the last
 day allowed by law to file a certificate to fill a vacancy in such party
 designation or independent nomination[;].
   (ix)  [with] WITH respect to all candidates for member of the legisla-
 ture, the legislative  ethics  commission  shall  within  five  days  of
 receipt  provide  the  [commission on ethics and lobbying in government]
 DEPARTMENT OF OVERSIGHT AND INVESTIGATIONS the statement filed  pursuant
 to subparagraphs (v), (vi), (vii) and (viii) of this paragraph.
   (b)  As used in this subdivision, the terms "party", "committee" (when
 used in conjunction with the term  "party"),  "designation",  "primary",
 "primary  election", "nomination", "independent nomination" and "ballot"
 shall have the same meanings as those contained in section 1-104 of  the
 election law.
   (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
 [commission  on  ethics  and lobbying in government] DEPARTMENT OF OVER-
 SIGHT AND INVESTIGATION in accordance with paragraph (d-1)  of  subdivi-
 sion  one  of  this  section. If the reporting individual is a statewide
 elected official, candidate for statewide elected office, a state  offi-
 cer  or  employee  or  a  political party chair, such statement shall be
 filed with the [commission on ethics and lobbying in  government  estab-
 lished  by section ninety-four of the executive law] DEPARTMENT OF OVER-
 SIGHT AND INVESTIGATION.
 A. 2496                            18
 
   (d) The [commission on ethics and lobbying in  government]  DEPARTMENT
 OF  OVERSIGHT  AND  INVESTIGATION  shall  obtain from the state board of
 elections a list of all candidates for statewide office and  for  member
 of  the  legislature,  and from such list, shall determine and publish a
 list  of  those  candidates  who  have  not,  within  ten days after the
 required date for filing such statement, filed the statement required by
 this subdivision.
   (e) Any person required to file such statement who  commences  employ-
 ment  after  May  fifteenth  of any year and political party chair shall
 file such statement within thirty days after commencing employment or of
 taking the position of political party chair, as the case may be. In the
 case of members of  the  legislature  and  legislative  employees,  such
 statements  shall be filed with the legislative ethics commission within
 thirty days after commencing  employment,  and  the  legislative  ethics
 commission  shall  provide  such statements to the [commission on ethics
 and lobbying in government] DEPARTMENT OF  OVERSIGHT  AND  INVESTIGATION
 within forty-five days of receipt.
   (f) A person who may otherwise be required to file more than one annu-
 al  financial  disclosure  statement with both the [commission on ethics
 and lobbying in government] DEPARTMENT OF  OVERSIGHT  AND  INVESTIGATION
 and  the  legislative  ethics  commission  in  any one calendar year may
 satisfy such requirement by filing one such statement with  either  body
 and by notifying the other body of such compliance.
   (g)  A person who is employed in more than one employment capacity for
 one or more employers  certain  of  whose  officers  and  employees  are
 subject  to filing a financial disclosure statement with the same ethics
 commission, as the case may be, and  who  receives  distinctly  separate
 payments  of  compensation  for  such employment shall be subject to the
 filing requirements of this section if the aggregate annual compensation
 for all such employment capacities is  in  excess  of  the  filing  rate
 notwithstanding that such person would not otherwise be required to file
 with  respect  to  any  one particular employment capacity. A person not
 otherwise required to file a financial  disclosure  statement  hereunder
 who  is  employed  by an employer certain of whose officers or employees
 are subject to filing a financial disclosure statement with the [commis-
 sion on ethics and lobbying in government] DEPARTMENT OF  OVERSIGHT  AND
 INVESTIGATION  and  who is also employed by an employer certain of whose
 officers or employees are  subject  to  filing  a  financial  disclosure
 statement with the legislative ethics commission shall not be subject to
 filing  such statement with either such commission on the basis that his
 aggregate annual compensation from all such employers is  in  excess  of
 the filing rate.
   (h)  A statewide elected official or member of the legislature, who is
 simultaneously a candidate for statewide elected office or member of the
 legislature, shall satisfy the  filing  deadline  requirements  of  this
 subdivision  by  complying  only with the deadline applicable to one who
 holds a statewide elected office or who holds the office  of  member  of
 the legislature.
   (i)  A  candidate  whose  name will appear on both a party designating
 petition and on an independent nominating petition for the  same  office
 or  who  will  be listed on the election ballot for the same office more
 than once shall satisfy the filing deadline requirements of this  subdi-
 vision by complying with the earliest applicable deadline only.
   (j)  A  member  of  the legislature who is elected to such office at a
 special election prior to May fifteenth in any year  shall  satisfy  the
 A. 2496                            19
 
 filing  requirements  of this subdivision in such year by complying with
 the earliest applicable deadline only.
   (k)  The  [commission on ethics and lobbying in government] DEPARTMENT
 OF OVERSIGHT AND INVESTIGATION shall post for at least five years begin-
 ning for filings made on January first, two thousand thirteen the annual
 statement of financial disclosure  and  any  amendments  filed  by  each
 person  subject to the reporting requirements of this subdivision who is
 an elected official on its website for public review within thirty  days
 of  its  receipt  of such statement or within ten days of its receipt of
 such amendment that reflects any corrections of deficiencies  identified
 by [the commission] SUCH DEPARTMENT or by the reporting individual after
 the  reporting  individual's  initial  filing. Except upon an individual
 determination by the [commission] DEPARTMENT OF OVERSIGHT  AND  INVESTI-
 GATION that certain information may be deleted from a reporting individ-
 ual's  annual statement of financial disclosure, none of the information
 in the statement posted on [the commission's] SUCH DEPARTMENT'S  website
 shall be otherwise deleted.
   § 14. Subparagraphs (b), (b-2) and (c) of paragraph 8 of subdivision 3
 and  subdivision  4 of section 73-a of the public officers law, subpara-
 graphs (b), (b-2) and (c) of paragraph 8 of subdivision 3 as  separately
 amended  by sections 8 and 18, and subdivision 4 as amended by section 9
 of part QQ of chapter 56 of the laws of 2022, are  amended  to  read  as
 follows:
   (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.
 A. 2496                            20
 
   The  disclosure requirement in this question shall not require disclo-
 sure of clients or  customers  receiving  medical  or  dental  services,
 mental  health  services, residential real estate brokering services, or
 insurance brokering services from the reporting individual or his or her
 firm.  The  reporting individual need not identify any client to whom he
 or she or his or her firm provided legal representation with respect  to
 investigation or prosecution by law enforcement authorities, bankruptcy,
 or  domestic  relations  matters. With respect to clients represented in
 other matters, where disclosure of a  client's  identity  is  likely  to
 cause harm, the reporting individual shall request an exemption from the
 [commission  on  ethics  and  lobbying in government pursuant to section
 ninety-four of the executive law] DEPARTMENT OF OVERSIGHT  AND  INVESTI-
 GATION,  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-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);
 A. 2496                            21
 
   * 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
 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
 A. 2496                            22
 
 publicly disclosing the name of that  client  from  the  [commission  on
 ethics and lobbying in government pursuant to section ninety-four of the
 executive  law]  DEPARTMENT  OF OVERSIGHT AND INVESTIGATION, or from the
 office of court administration. In such application, the reporting indi-
 vidual  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 peri-
 od;
   (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 [commission  on  ethics
 and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or
 the office of court administration may consult with bar or other profes-
 sional  associations  and the legislative ethics commission for individ-
 uals subject to its jurisdiction and may consider the rules  of  profes-
 sional  conduct.  In making its determination, the [commission on ethics
 and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or
 the office of court administration shall conduct  its  own  inquiry  and
 shall consider factors including, 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 particularized 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 retal-
 iation  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  [commission  on  ethics and lobbying in government] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION 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.  Notwithstanding  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 misconduct 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 thousand 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),
 A. 2496                            23
 
 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
 (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
 [commission  on  ethics  and  lobbying in government pursuant to section
 ninety-four of the executive law] DEPARTMENT OF OVERSIGHT  AND  INVESTI-
 GATION, 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;
 A. 2496                            24

   (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 [commission  on  ethics
 and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or
 the office of court administration may consult with bar or other profes-
 sional  associations  and the legislative ethics commission for individ-
 uals subject to its jurisdiction and may consider the rules  of  profes-
 sional  conduct.  In making its determination, the [commission on ethics
 and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or
 the office of court administration shall conduct  its  own  inquiry  and
 shall consider factors including, 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 particularized 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 retal-
 iation  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  [commission  on  ethics and lobbying in government] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION 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.  Notwithstanding  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 misconduct 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 enter-
 ing public office.
 Client        Name of Lobbyist     Description    Category of Amount
                                    of Matter       (in Table 1)
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 
   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 [commission on ethics and
 A. 2496                            25

 lobbying in government or by the legislative ethics commission,  as  the
 case  may  be] DEPARTMENT OF OVERSIGHT AND INVESTIGATION OR THE LEGISLA-
 TIVE ETHICS COMMISSION, with respect to persons subject to their respec-
 tive jurisdictions. The [commission on ethics and lobbying in government
 acting  pursuant  to  subdivision fourteen of section ninety-four of the
 executive law] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or the legisla-
 tive ethics commission acting pursuant to subdivision eleven of  section
 eighty of the legislative law, as the case may be, may, in lieu of or in
 addition to a civil penalty, refer a violation to the appropriate prose-
 cutor  and  upon  such  conviction,  but  only after such referral, such
 violation shall be punishable as a class A misdemeanor. A civil  penalty
 for false filing may not be imposed hereunder in the event a category of
 "value" or "amount" reported hereunder is incorrect unless such reported
 information  is falsely understated. Notwithstanding any other provision
 of law to the contrary, no other  penalty,  civil  or  criminal  may  be
 imposed for a failure to file, or for a false filing, of such statement,
 except  that  the appointing authority may impose disciplinary action as
 otherwise provided by law. The [commission on  ethics  and  lobbying  in
 government]  DEPARTMENT  OF OVERSIGHT AND INVESTIGATION and the legisla-
 tive ethics commission shall each be deemed to be an agency  within  the
 meaning  of  article three of the state administrative procedure act and
 shall adopt rules governing the conduct of adjudicatory proceedings  and
 appeals relating to the assessment of the civil penalties herein author-
 ized.  Such  rules,  which shall not be subject to the approval require-
 ments of the state administrative procedure act, shall provide  for  due
 process  procedural  mechanisms substantially similar 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 report-
 ing individual in a proceeding  commenced  against  the  [commission  on
 ethics  and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTI-
 GATION or the legislative ethics commission, pursuant to article  seven-
 ty-eight of the civil practice law and rules.
   §  15. 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] DEPARTMENT OF  OVERSIGHT
 AND  INVESTIGATION shall, with respect to its lobbying-related functions
 only, have the power and duty to:
   § 16. 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  [state  inspector general in
 accordance with section fifty-five of the executive law,] DEPARTMENT  OF
 OVERSIGHT AND INVESTIGATION or prevent disclosure to any law enforcement
 authority.
   § 17. Paragraph (a) of subdivision 1 of section 73 of the public offi-
 cers  law, as amended by section 13 of part QQ of chapter 56 of the laws
 of 2022, is amended to read as follows:
 A. 2496                            26
 
   (a) The term "compensation" shall mean any money, thing  of  value  or
 financial  benefit  conferred  in  return for services rendered or to be
 rendered. With regard to matters undertaken by a  firm,  corporation  or
 association, compensation shall mean net revenues, as defined in accord-
 ance  with  generally  accepted  accounting principles as defined by the
 [commission on ethics and lobbying in government or] legislative  ethics
 commission  OR THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION in relation
 to persons subject to their respective jurisdictions.
   § 18. The opening paragraph of  paragraph  (a)  of  subdivision  6  of
 section  73 of the public officers law, as amended by section 15 of part
 QQ of chapter 56 of the laws of 2022, is amended to read as follows:
   Every legislative employee not subject to the  provisions  of  section
 seventy-three-a  of  this [chapter] ARTICLE shall, on and after December
 fifteenth and before the following January fifteenth, in each year, file
 with the [commission on ethics and lobbying in government] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION and  the  legislative  ethics  commission  a
 financial disclosure statement of:
   § 19. Paragraph (h) of subdivision 8 of section 73 of the public offi-
 cers  law, as amended by section 16 of part QQ of chapter 56 of the laws
 of 2022, is amended to read as follows:
   (h) Notwithstanding the provisions of subparagraphs (i)  and  (ii)  of
 paragraph  (a)  of  this subdivision, a former state officer or employee
 may contract individually, or as a member or employee of a firm,  corpo-
 ration  or  association, to render services to any state agency when the
 agency head certifies in writing to the [commission on ethics and lobby-
 ing in government] DEPARTMENT OF OVERSIGHT AND  INVESTIGATION  that  the
 services  of  such former officer or employee are required in connection
 with the agency's response to  a  disaster  emergency  declared  by  the
 governor pursuant to section twenty-eight of the executive law.
   §  20.  Subdivision  8-a  of section 73 of the public officers law, as
 amended by chapter 357 of the laws of 2001 and the opening paragraph  as
 amended  by  section 17 of part QQ of chapter 56 of the laws of 2022, is
 amended to read as follows:
   8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a)  of
 subdivision  eight  of  this  section shall not apply to any such former
 state officer or employee engaged  in  any  of  the  specific  permitted
 activities  defined  in  this  subdivision that are related to any civil
 action or proceeding in any state or federal court,  provided  that  the
 attorney  general  has certified in writing to the [commission on ethics
 and lobbying in government] DEPARTMENT OF OVERSIGHT  AND  INVESTIGATION,
 with  a copy to such former state officer or employee, that the services
 are rendered on behalf of the state, a state agency,  state  officer  or
 employee, or other person or entity represented by the attorney general,
 and  that such former state officer or employee has expertise, knowledge
 or experience which is unique or outstanding in a field or in a  partic-
 ular  matter  or  which  would  otherwise  be generally unavailable at a
 comparable cost to the state, a state agency, state officer or employee,
 or other person or entity represented by the attorney  general  in  such
 civil  action  or proceeding. In those instances where a state agency is
 not represented by the attorney general in a civil action or  proceeding
 in state or federal court, a former state officer or employee may engage
 in  permitted  activities provided that the general counsel of the state
 agency, after consultation with the [commission on ethics  and  lobbying
 in  government]  DEPARTMENT  OF OVERSIGHT AND INVESTIGATION, provides to
 [the commission on ethics and lobbying in government] SUCH DEPARTMENT  a
 written  certification which meets the requirements of this subdivision.
 A. 2496                            27
 
 For purposes of this subdivision the term "permitted  activities"  shall
 mean  generally  any  activity  performed at the request of the attorney
 general or the attorney general's designee, or in cases where the  state
 agency  is  not represented by the attorney general, the general counsel
 of such state agency, including without limitation:
   (a) preparing or giving testimony or executing one or more affidavits;
   (b) gathering, reviewing or analyzing information, including  documen-
 tary or oral information concerning facts or opinions, attending deposi-
 tions or participating in document review or discovery;
   (c)  performing  investigations, examinations, inspections or tests of
 persons, documents or things;
   (d) performing audits, appraisals, compilations  or  computations,  or
 reporting about them;
   (e) identifying information to be sought concerning facts or opinions;
 or
   (f)  otherwise  assisting  in the preparation for, or conduct of, such
 litigation.
   Nothing in this subdivision shall apply  to  the  provision  of  legal
 representation by any former state officer or employee.
   §  21.  Subdivision  8-b  of section 73 of the public officers law, as
 amended by section 17 of part QQ of chapter 56 of the laws of  2022,  is
 amended to read as follows:
   8-b.  Notwithstanding  the provisions of subparagraphs (i) and (ii) of
 paragraph (a) of subdivision eight of this section, a former state offi-
 cer or employee may contract individually, or as a member or employee of
 a firm, corporation or association, to  render  services  to  any  state
 agency  if, prior to engaging in such service, the agency head certifies
 in writing to the [commission on  ethics  and  lobbying  in  government]
 DEPARTMENT  OF  OVERSIGHT  AND INVESTIGATION that such former officer or
 employee has expertise,  knowledge  or  experience  with  respect  to  a
 particular  matter  which meets the needs of the agency and is otherwise
 unavailable at a comparable cost. Where  approval  of  the  contract  is
 required  under section one hundred twelve of the state finance law, the
 comptroller shall review and  consider  the  reasons  for  such  certif-
 ication.  The  [commission on ethics and lobbying in government] DEPART-
 MENT OF OVERSIGHT AND INVESTIGATION must review and approve all  certif-
 ications made pursuant to this subdivision.
   §  22.  Subdivision  10  of  section 73 of the public officers law, as
 amended by section 17 of part QQ of chapter 56 of the laws of  2022,  is
 amended to read as follows:
   10.  Nothing  contained in this section, the judiciary law, the educa-
 tion law or any other law or disciplinary rule  shall  be  construed  or
 applied  to  prohibit any firm, association or corporation, in which any
 present or former statewide elected official, state officer or employee,
 or political party chair,  member  of  the  legislature  or  legislative
 employee  is  a  member, associate, retired member, of counsel or share-
 holder, from appearing, practicing, communicating or otherwise rendering
 services in relation to any matter before, or transacting business  with
 a state agency, or a city agency with respect to a political party chair
 in a county wholly included in a city with a population of more than one
 million,  otherwise  proscribed  by this section, the judiciary law, the
 education law or any other law or disciplinary rule with respect to such
 official, member of the legislature or officer or employee, or political
 party chair, where such statewide elected  official,  state  officer  or
 employee,  member  of  the legislature or legislative employee, or poli-
 tical party chair does not share in the  net  revenues,  as  defined  in
 A. 2496                            28
 
 accordance with generally accepted accounting principles by the [commis-
 sion  on ethics and lobbying in government or by the] legislative ethics
 commission OR THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION in  relation
 to  persons  subject to their respective jurisdictions, resulting there-
 from, or, acting in good faith, reasonably believed that he or she would
 not share in  the  net  revenues  as  so  defined;  nor  shall  anything
 contained  in  this section, the judiciary law, the education law or any
 other law or disciplinary rule be construed to prohibit any firm,  asso-
 ciation  or corporation in which any present or former statewide elected
 official, member of the  legislature,  legislative  employee,  full-time
 salaried  state  officer or employee or state officer or employee who is
 subject to the provisions of section seventy-three-a of this article  is
 a  member,  associate,  retired  member, of counsel or shareholder, from
 appearing, practicing, communicating or otherwise rendering services  in
 relation  to  any matter before, or transacting business with, the court
 of claims, where such statewide elected official, member of the legisla-
 ture, legislative employee, full-time salaried state officer or employee
 or state officer or employee who is subject to the provisions of section
 seventy-three-a of this article does not share in the net  revenues,  as
 defined  in  accordance with generally accepted accounting principles by
 the [commission on ethics and lobbying in government or by the] legisla-
 tive ethics commission OR THE DEPARTMENT OF OVERSIGHT AND  INVESTIGATION
 in  relation  to  persons  subject  to  their  respective jurisdictions,
 resulting therefrom, or, acting in good faith, reasonably believed  that
 he or she would not share in the net revenues as so defined.
   § 23. 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 the
 amendment to subdivision 3 of section 212  of  the  racing,  pari-mutuel
 wagering  and  breeding  law made by section three of this act shall not
 affect the repeal of such section and shall be  deemed  repealed  there-
 with.
   § 3. Severability clause. If any clause, sentence, paragraph, subdivi-
 sion,  section  or  part  of  this act shall be adjudged by any court of
 competent jurisdiction to be invalid, such judgment  shall  not  affect,
 impair,  or  invalidate  the remainder thereof, but shall be confined in
 its operation to the clause, sentence, paragraph,  subdivision,  section
 or part thereof directly involved in the controversy in which such judg-
 ment shall have been rendered. It is hereby declared to be the intent of
 the  legislature  that  this  act  would  have been enacted even if such
 invalid provisions had not been included herein.
   § 4. This act shall take effect immediately; provided,  however,  that
 the applicable effective dates of Parts A through D of this act shall be
 as specifically set forth in the last section of such Parts.