§ 80. Legislative ethics commission; functions, powers and duties;
review of financial disclosure statements; advisory opinions; imposition
of penalties or other enforcement actions. 1. There is established a
legislative ethics commission which shall consist of nine members. Four
members shall be members of the legislature and shall be appointed as
follows: one by the temporary president of the senate, one by the
speaker of the assembly, one by the minority leader of the senate and
one by the minority leader of the assembly. The remaining five members
shall not be present or former members of the legislature, candidates
for member of the legislature, employees of the legislature, political
party chairmen as defined in paragraph (k) of subdivision one of section
seventy-three of the public officers law, or lobbyists, as defined in
section one-c of this chapter, or persons who have been employees of the
legislature, political party chairmen as defined in paragraph (k) of
subdivision one of section seventy-three of the public officers law, or
lobbyists, as defined in section one-c of this chapter in the previous
five years, and shall be appointed as follows: one by the temporary
president of the senate, one by the speaker of the assembly, one by the
minority leader of the senate, one by the minority leader of the
assembly, and one jointly by the speaker of the assembly and majority
leader of the senate. The commission shall serve as described in this
section and have and exercise the powers and duties set forth in this
section only with respect to members of the legislature, legislative
employees as defined in section seventy-three of the public officers
law, candidates for member of the legislature and individuals who have
formerly held such positions or who have formerly been such candidates.

2. Members of the legislature who serve on the commission shall each
have a two year term concurrent with their legislative terms of office.
The members of the commission who are not members of the legislature and
who are first appointed by the temporary president of the senate,
speaker of the assembly, minority leader of the senate, and minority
leader of the assembly shall serve one, two, three and four year terms,
respectively. The member of the commission first appointed jointly by
the temporary president of the senate and speaker of the assembly shall
serve a four year term. Each member of the commission who is not a
member of the legislature shall be appointed thereafter for a term of
four years.

3. The temporary president of the senate and the speaker of the
assembly shall each designate one member of the commission as a
co-chairperson thereof. The commission shall meet at least bi-monthly
and at such additional times as may be called for by the co-chairpersons
jointly or any five members of the commission.

4. Any vacancy occurring on the commission shall be filled within
thirty days by the appointing authority.

5. Five members of the commission shall constitute a quorum, and the
commission shall have power to act by majority vote of the total number
of members of the commission without vacancy.

6. The members of the commission who are not members of the
legislature shall be reimbursed for reasonable expenses and receive a
per diem allowance in the sum of three hundred dollars for each day
spent in the performance of their official duties.

7. The commission shall:

a. Appoint an executive director who shall act in accordance with the
policies of the commission, provided that the commission may remove the
executive director for neglect of duty, misconduct in office, or
inability or failure to discharge the powers or duties of office;

b. Appoint such other staff as are necessary to assist it to carry out
its duties under this section;

c. Adopt, amend, and rescind policies, rules and regulations
consistent with this section to govern procedures of the commission
which shall not be subject to the promulgation and hearing requirements
of the state administrative procedure act;

d. Administer the provisions of this section;

e. Specify the procedures whereby a person who is required to file an
annual financial disclosure statement with the commission may request an
additional period of time within which to file such statement, due to
justifiable cause or undue hardship; such rules or regulations shall
provide for a date beyond which in all cases of justifiable cause or
undue hardship no further extension of time will be granted;

f. Promulgate guidelines to assist appointing authorities in
determining which persons hold policy-making positions for purposes of
section seventy-three-a of the public officers law and may promulgate
guidelines to assist firms, associations and corporations in separating
affected persons from net revenues for purposes of subdivision ten of
section seventy-three of the public officers law, and promulgate
guidelines to assist any firm, association or corporation in which any
present or former statewide elected official, state officer or employee,
member of the legislature or legislative employee, or political party
chair is a member, associate, retired member, of counsel or shareholder,
in complying with the provisions of subdivision ten of section
seventy-three of the public officers law with respect to the separation
of such present or former statewide elected official, state officer or
employee, member of the legislature or legislative employee, or
political party chair from the net revenues of the firm, association or
corporation. Such firm, association or corporation shall not be required
to adopt the procedures contained in the guidelines to establish
compliance with subdivision ten of section seventy-three of the public
officers law, but if such firm, association or corporation does adopt
such procedures, it shall be deemed to be in compliance with such
subdivision ten;

g. Make available forms for financial disclosure statements required
to be filed pursuant to subdivision six of section seventy-three and
section seventy-three-a of the public officers law as provided by the
commission on ethics and lobbying in government;

h. Review financial disclosure statements in accordance with the
provisions of this section, provided however, that the commission may
delegate all or part of the review function relating to financial
disclosure statements filed by legislative employees pursuant to
sections seventy-three and seventy-three-a of the public officers law to
the executive director who shall be responsible for completing staff
review of such statements in a manner consistent with the terms of the
commission's delegation;

i. Upon written request from any person who is subject to the
jurisdiction of the commission and the requirements of sections
seventy-three, seventy-three-a and seventy-four of the public officers
law, and section five-b of this chapter render formal advisory opinions
on the requirements of said provisions. A formal written opinion
rendered by the commission, until and unless amended or revoked, shall
be binding on the legislative ethics commission in any subsequent
proceeding concerning the person who requested the opinion and who acted
in good faith, unless material facts were omitted or misstated by the
person in the request for an opinion. Such opinion may also be relied
upon by such person, and may be introduced and shall be a defense in any
criminal or civil action. The commission on ethics and lobbying in
government shall not investigate an individual for potential violations
of law based upon conduct approved and covered in its entirety by such
an opinion, except that such opinion shall not prevent or preclude an
investigation of and report to the legislative ethics commission
concerning the conduct of the person who obtained it by the commission
on ethics and lobbying in government for violations of section
seventy-three, seventy-three-a or seventy-four of the public officers
law and section 5-b of this chapter to determine whether the person
accurately and fully represented to the legislative ethics commission
the facts relevant to the formal advisory opinion and whether the
person's conduct conformed to those factual representations. The
commission on ethics and lobbying in government shall be authorized and
shall have jurisdiction to investigate potential violations of the law
arising from conduct outside of the scope of the terms of the advisory
opinion; and

j. Issue and publish generic advisory opinions covering questions
frequently posed to the commission, or questions common to a class or
defined category of persons, or that will tend to prevent undue
repetition of requests or undue complication, and which are intended to
provide general guidance and information to persons subject to the
commission's jurisdiction;

k. Develop educational materials and training with regard to
legislative ethics for members of the legislature and legislative
employees including an online ethics orientation course for newly-hired
employees and, as requested by the senate or the assembly, materials and
training in relation to a comprehensive ethics training program; and

l. Prepare an annual report to the governor and legislature
summarizing the activities of the commission during the previous year
and recommending any changes in the laws governing the conduct of
persons subject to the jurisdiction of the commission, or the rules,
regulations and procedures governing the commission's conduct. Such
report shall include: (i) a listing by assigned number of each complaint
and report received from the commission on ethics and lobbying in
government which alleged a possible violation within its jurisdiction,
including the current status of each complaint, and (ii) where a matter
has been resolved, the date and nature of the disposition and any
sanction imposed, subject to the confidentiality requirements of this
section. Such annual report shall not contain any information for which
disclosure is not permitted pursuant to subdivision twelve of this
section.

8. The jurisdiction of the commission to impose penalties when acting
pursuant to this section shall continue notwithstanding that a member of
the legislature or a legislative employee separates from state service,
or a candidate for member of the legislature ceases to be a candidate,
provided that such individual has been notified of the alleged violation
of law within one year from his or her separation from state service or
the termination of his or her candidacy.

9. (a) An individual subject to the jurisdiction of the commission
with respect to the imposition of penalties who knowingly and
intentionally violates the provisions of subdivisions two through
five-a, seven, eight, twelve, fourteen or fifteen of section
seventy-three of the public officers law or section five-b of this
chapter or 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 section seventy-three-a of the
public officers law 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. Any such individual
who knowingly and intentionally violates the provisions of paragraph a,
b, c, d, e, g, or i of subdivision three of section seventy-four of the
public officers law 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 violation. Assessment of a civil
penalty hereunder shall be made by the commission with respect to
persons subject to its jurisdiction. In assessing the amount of the
civil penalties to be imposed, the commission shall consider the
seriousness of the violation, the amount of gain to the individual and
whether the individual previously had any civil or criminal penalties
imposed pursuant to this section, and any other factors the commission
deems appropriate. For a violation of this section, other than for
conduct which constitutes a violation of subdivision twelve, fourteen or
fifteen of section seventy-three or section seventy-four of the public
officers law, the legislative ethics commission may, in lieu of or in
addition to a civil penalty, refer a violation to the appropriate
prosecutor and upon such conviction, but only after such referral, such
violation shall be punishable as a class A misdemeanor. Where the
commission finds sufficient cause, it shall refer such matter to the
appropriate prosecutor. 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, or a
violation of subdivision six of section seventy-three of the public
officers law, except that the appointing authority may impose
disciplinary action as otherwise provided by law. The legislative ethics
commission 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 adjudicatory 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 herein authorized. Such rules, which shall not be subject to
the promulgation and hearing requirements 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, 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 legislative ethics commission, pursuant to article
seventy-eight of the civil practice law and rules.

(b) Not later than twenty calendar days after receipt from the
commission on ethics and lobbying in government of a written substantial
basis investigation report and any supporting documentation or other
materials regarding a matter before the commission pursuant to section
ninety-four of the executive law, unless requested by a law enforcement
agency to suspend the commission's action because of an ongoing criminal
investigation, the legislative ethics commission shall make public such
report in its entirety; provided, however, that the commission may
withhold such information for not more than one additional period of the
same duration or refer the matter back to the commission on ethics and
lobbying in government once for additional investigation, in which case
the legislative ethics commission shall, upon the termination of such
additional period or upon receipt of a new report by the commission on
ethics and lobbying in government after such additional investigation,
make public the written report and publish it on the commission's
website. If the legislative ethics commission fails to make public the
written report received from the commission on ethics and lobbying in
government in accordance with this paragraph, the commission on ethics
and lobbying in government shall release such report publicly promptly
and in any event no later than ten days after the legislative ethics
commission is required to release such report. The legislative ethics
commission shall not refer the matter back to the commission on ethics
and lobbying in government for additional investigation more than once.
If the commission refers the matter back to the commission on ethics and
lobbying in government for additional fact-finding, the commission on
ethics and lobbying in government's original report shall remain
confidential.

10. Upon receipt of a written report from the commission on ethics and
lobbying in government pursuant to subdivision fourteen-a of section
seventy-three of the public officers law, the legislative ethics
commission shall commence its review of the matter addressed in such
report. No later than ninety days after receipt of such report, the
legislative ethics commission shall dispose of the matter by making one
or more of the following determinations:

a. whether the legislative ethics commission concurs with the
commission on ethics and lobbying in government's conclusions of law and
the reasons therefor;

b. whether and which penalties have been assessed pursuant to
applicable law or rule and the reasons therefor; and

c. whether further actions have been taken by the commission to punish
or deter the misconduct at issue and the reasons therefor.

The commission's disposition shall be reported in writing and
published on its website no later than ten days after such disposition
unless requested by a law enforcement agency to suspend the commission's
action because of an ongoing criminal investigation.

11. If the commission has a reasonable basis to believe that any
person subject to the jurisdiction of another state oversight body may
have violated section seventy-three or seventy-four of the public
officers law, section one hundred seven of the civil service law, or
article one-A of this chapter, it shall refer such violation to such
oversight body unless the commission determines that such a referral
would compromise the prosecution or confidentiality of its proceedings
and, if so, shall make such a referral as soon as practicable. The
referral by the commission shall include any information relating
thereto coming into the custody or under the control of the commission
at any time prior or subsequent to the time of the referral.

12. a. Notwithstanding the provisions of article six of the public
officers law, the only records of the commission which shall be
available for public inspection and copying are:

(1) the terms of any settlement or compromise of a complaint or
referral or report which includes a fine, penalty or other remedy
reached after the commission has received a report from the commission
on ethics and lobbying in government pursuant to section ninety-four of
the executive law;

(2) generic advisory opinions;

(3) all reports required by this section; and

(4) all reports received from the commission on ethics and lobbying in
government pursuant to section ninety-four of the executive law and in
conformance with paragraph (b) of subdivision nine of this section.

b. Notwithstanding the provisions of article seven of the public
officers law, no meeting or proceeding of the commission shall be open
to the public, except if expressly provided otherwise by this section or
the commission.

13. Within one hundred twenty days of the effective date of this
subdivision, the commission shall create and thereafter maintain a
publicly accessible website which shall set forth the procedure for
filing a complaint with the commission on ethics and lobbying in
government, and which shall contain any other records or information
which the commission determines to be appropriate.

14. This section shall not revoke or rescind any policies, rules,
regulations or advisory opinions issued by the legislative ethics
committee in effect upon the effective date of this subdivision, to the
extent that such regulations or opinions are not inconsistent with any
laws of the state of New York. The legislative ethics commission shall
undertake a comprehensive review of all such policies, rules,
regulations or advisory opinions which will address the consistency of
such policies, rules, regulations or advisory opinions with the laws of
the state of New York. The legislative ethics commission shall, before
April first, two thousand eight, report to the governor and legislature
regarding such review and shall propose any regulatory changes and issue
any advisory opinions necessitated by such review.

15. Separability clause. If any part or provision of this section or
the application thereof to any person is adjudged by a court of
competent jurisdiction to be unconstitutional or otherwise invalid, such
judgment shall not affect or impair any other part or provision or the
application thereof to any other person, but shall be confined to such
part or provision.