Bill Text: NY A03945 | 2019-2020 | General Assembly | Introduced


Bill Title: Enacts the public officers accountability act.

Spectrum: Partisan Bill (Republican 36-0)

Status: (Introduced) 2019-04-09 - held for consideration in governmental operations [A03945 Detail]

Download: New_York-2019-A03945-Introduced.html


                STATE OF NEW YORK
        ________________________________________________________________________
                                          3945
                               2019-2020 Regular Sessions
                   IN ASSEMBLY
                                    January 31, 2019
                                       ___________
        Introduced  by  M.  of  A.  KOLB, ASHBY, BARCLAY, BLANKENBUSH, BRABENEC,
          BYRNE,  CROUCH,  DiPIETRO,  FINCH,  FITZPATRICK,  FRIEND,   GARBARINO,
          GIGLIO,  GOODELL,  HAWLEY,  JOHNS, LALOR, LAWRENCE, MALLIOTAKIS, McDO-
          NOUGH, MIKULIN, B. MILLER, M. L. MILLER, MONTESANO, MORINELLO, NORRIS,
          PALMESANO, PALUMBO, RA, RAIA, SMITH, STEC, TAGUE, WALSH --  read  once
          and referred to the Committee on Governmental Operations
        AN  ACT  to amend the state finance law, in relation to requiring trans-
          parency, identification and disclosure of certain  appropriations  and
          intended  recipients (Part A); to establish the commission on official
          conduct, providing for its powers, duties and functions, and providing
          for the transfer of the functions, powers  and  duties  of  the  joint
          commission on public ethics, the office of the state inspector general
          and  the  former  temporary  state  commission of investigation to the
          commission on official conduct; to amend the civil service law and the
          legislative law, in relation to the joint commission on public ethics;
          to amend  the  racing,  pari-mutuel  wagering  and  breeding  law,  in
          relation  to membership on the franchise oversight board; to amend the
          public authorities law and the executive law, in relation to the state
          inspector general; to amend the criminal procedure law, the  executive
          law  and  the public officers law, in relation to the former temporary
          state commission of investigation; to repeal section 94 of the  execu-
          tive  law relating to the joint commission on public ethics; to repeal
          article 4-A of the executive law and subdivision 68 of section 2.10 of
          the criminal procedure law relating to the office of the state inspec-
          tor general; and to repeal chapter 989 of the laws of  1958,  relating
          to  creating  a  temporary state commission of investigation, relating
          thereto (Part B); to amend the election law, in relation to forfeiture
          of unspent campaign funds after criminal conviction and resignation of
          the elected official (Part C); to amend the penal law, in relation  to
          failure  to  report corruption (Part D); to amend the election law, in
          relation to limitations on use of campaign contributions and to repeal
          certain provisions of such law relating thereto (Part E); to amend the
          election law, in relation to filing late  campaign  disclosure  state-
          ments  (Part  F);  and  to  amend  the legislative law, in relation to
         EXPLANATION--Matter in italics (underscored) is new; matter in brackets
                              [ ] is old law to be omitted.
                                                                   LBD06132-01-9

        A. 3945                             2
          limiting the amount of time a legislator may serve  as  a  legislative
          leader (Part G)
          The  People of the State of New York, represented in Senate and Assem-
        bly, do enact as follows:
     1    Section 1. Short title. This act shall be known and may  be  cited  as
     2  the "public officers accountability act".
     3    §  2. This act enacts into law major components of legislation provid-
     4  ing for member item  reform,  creating  a  new  Commission  on  Official
     5  Conduct, requiring forfeiture of campaign funds upon felony convictions,
     6  creating  a  new crime for failure to report corruption, limiting use of
     7  campaign funds, enhancing penalties for filing late campaign  disclosure
     8  statements,  and  limiting  terms of leaders and committee chairs.  Each
     9  component is wholly contained  within  a  Part  identified  as  Parts  A
    10  through  G.  The  effective date for each particular provision contained
    11  within such Part is set forth in the last  section  of  such  Part.  Any
    12  provision  in  any section contained within a Part, including the effec-
    13  tive date of the Part, which makes a reference to  a  section  "of  this
    14  act",  when  used in connection with that particular component, shall be
    15  deemed to mean and refer to the corresponding section  of  the  Part  in
    16  which  it  is  found.  Section  four  of this act sets forth the general
    17  effective date of this act.
    18                                   PART A
    19    Section 1. Subdivisions 4 and 5 of section 24  of  the  state  finance
    20  law,  as  added by chapter 1 of the laws of 2007, are amended to read as
    21  follows:
    22    4. Any appropriation submitted by the governor or added to such budget
    23  bills, pursuant to section four of article seven  of  the  constitution,
    24  shall  only  contain  itemized  appropriations which shall not be in the
    25  form of lump sum appropriations, and provided further that for all  non-
    26  federal  state  operations appropriations, such bill or bills shall only
    27  contain itemized appropriations and shall be made, where practicable, by
    28  agency, and within each agency by program and within each program at the
    29  following level of detail and in the following order:
    30    (a) by fund type, which at  a  minimum  shall  include  general  fund,
    31  special  revenue-other  funds,  capital  projects funds and debt service
    32  funds;
    33    (b) for personal service appropriations, separate appropriations shall
    34  be made for regular personal service, temporary  personal  service,  and
    35  holiday and overtime pay;
    36    (c)  for  nonpersonal  service appropriations, separate appropriations
    37  shall be made for supplies and materials, travel, contractual  services,
    38  equipment and fringe benefits, as appropriate; and
    39    (d)  at  the  request or discretion of the governor or a member of the
    40  legislature, such appropriation shall include the name of  the  governor
    41  or member of the legislature.
    42    5.  [Any appropriation added pursuant to section four of article seven
    43  of the constitution without designating a  grantee  shall  be  allocated
    44  only  pursuant to a plan setting forth an itemized list of grantees with
    45  the amount to be received by each, or  the  methodology  for  allocating
    46  such  appropriation.  Such  plan shall be subject to the approval of the
    47  chair of the senate finance committee, the chair of  the  assembly  ways

        A. 3945                             3

     1  and  means  committee,  and  the  director of the budget, and thereafter
     2  shall be included in a concurrent resolution calling for the expenditure
     3  of such monies, which resolution must be approved by a majority vote  of
     4  all  members elected to each house upon a roll call vote.] Any appropri-
     5  ation submitted by the governor or added to such budget bills,  pursuant
     6  to  section  four of article seven of the constitution, shall be subject
     7  to the following:
     8    (a) the governor or member of the legislature requesting  such  appro-
     9  priation  shall be required to submit a signed conflict of interest form
    10  and submit such form to the attorney general to ensure that no  conflict
    11  of  interest  exists;  the attorney general shall designate the form and
    12  content of the conflict of interest form. The governor or member of  the
    13  legislature  shall  disclose  on the conflict of interest form all poli-
    14  tical donations he or she is receiving or has received in the past  from
    15  the  intended recipient of the appropriation funding. Such a conflict of
    16  interest form shall be signed by the governor or member of the  legisla-
    17  ture under penalty of perjury; and
    18    (b)  an  appropriation  provided  at the discretion of the governor or
    19  member of the legislature shall not be provided if a conflict of  inter-
    20  est exists between the governor or a member of the legislature designat-
    21  ing  the appropriation and the potential recipient. These appropriations
    22  cannot fund organizations that employ or otherwise compensate the gover-
    23  nor or member of the legislature, governor's family  or  member  of  the
    24  legislator's  family,  any  person  sharing  the home of the governor or
    25  member of the legislature or the governor's or a member of the  legisla-
    26  tor's staff for services or labor rendered. Furthermore, the governor or
    27  members  of  the  legislature  shall not designate appropriations if the
    28  governor or member of the legislature, a member  of  the  governor's  or
    29  member  of  the  legislator's family, any person sharing the home of the
    30  governor or member of the legislature or a member of the  governor's  or
    31  member  of the legislator's staff is involved with the operations of the
    32  organization in a decision-making capacity including but not limited  to
    33  working  on  an  unpaid, volunteer basis or as a member of the directing
    34  board of an organization.
    35    § 2. This act shall take effect immediately.
    36                                   PART B
    37    Section 1. Short title. This act shall be known and may  be  cited  as
    38  the "commission on official conduct act".
    39    §  2. Definitions. As used in this act, the following terms shall have
    40  the following meanings:
    41    (a) "Commission" means the commission on official conduct  established
    42  by section three of this act.
    43    (b)  "Executive  director" means the executive director of the commis-
    44  sion, appointed pursuant to section four of this act.
    45    (c) "Covered agency" means all executive branch agencies, departments,
    46  divisions, officers, boards and commissions, public  authorities  (other
    47  than  multi-state  or  multi-national  authorities)  and  public benefit
    48  corporations, the heads of which are  appointed  by  the  governor,  and
    49  which do not have their own inspector general by statute.
    50    (d)  Covered individual means all statewide elected officials, members
    51  of the legislature and employees of the legislature, and state  officers
    52  and employees, as defined in sections 73 and 73-a of the public officers
    53  law,  candidates  for  statewide  elected  office  and for the senate or
    54  assembly, and the political party chairman as that term  is  defined  in

        A. 3945                             4
     1  section  73-a  of  the public officers law, lobbyists and the clients of
     2  lobbyists as such terms are defined in article 1-A  of  the  legislative
     3  law,  and individuals who have formerly held such positions, were lobby-
     4  ists  or  clients of lobbyists, as such terms are defined in article 1-A
     5  of the legislative law, or who have formerly been such candidates.
     6    § 3. Commission on official conduct; established. (a) There is  hereby
     7  established,  as an independent state agency, the commission on official
     8  conduct. The commission shall  consist  of  five  members  appointed  as
     9  follows:
    10    (1)  one  member appointed by the chief judge of the court of appeals,
    11  who shall serve as the chair of the commission;
    12    (2) one member appointed by the presiding  justice  of  the  appellate
    13  division in the first department;
    14    (3)  one  member  appointed  by the presiding justice of the appellate
    15  division in the second department;
    16    (4) one member appointed by the presiding  justice  of  the  appellate
    17  division in the third department; and
    18    (5)  one  member  appointed  by the presiding justice of the appellate
    19  division in the fourth department.
    20    (b) Each member of the commission shall serve a  term  of  five  years
    21  commencing  on  the  first  of January of the calendar year in which the
    22  vacancy in such office occurs; provided, however, that for  the  members
    23  initially  appointed  as  members, the member appointed by the presiding
    24  justice in the fourth department shall serve a term  of  one  year,  the
    25  member appointed by the presiding justice in the second department shall
    26  serve a term of two years, the member appointed by the presiding justice
    27  in  the  third  department shall serve a term of three years, the member
    28  appointed by the presiding justice in the first department shall serve a
    29  term of four years and the member appointed by the chief  judge  of  the
    30  court of appeals shall serve a term of five years.
    31    Any  vacancy  occurring  in  the membership of the commission shall be
    32  filled within sixty days of its occurrence in the  same  manner  as  the
    33  member  whose  vacancy is being filled was appointed. A person appointed
    34  to fill a vacancy occurring other than by expiration of a term of office
    35  shall be appointed to the  unexpired  term  of  the  member  he  or  she
    36  replaces.
    37    (c)  Four members of the commission shall constitute a quorum, and the
    38  commission shall have power to act by majority vote of the total  number
    39  of members of the commission without vacancy.
    40    (d)  The  members  of the commission shall receive no compensation for
    41  their services, but shall be allowed their actual and necessary expenses
    42  incurred in the performance of their duties pursuant to this act.
    43    (e) Members of the commission may be removed by the chief judge of the
    44  court of appeals for substantial neglect of duty,  gross  misconduct  in
    45  office,  inability  to  discharge  the  powers  and  duties of office or
    46  violation of the provisions of this act, after written notice and oppor-
    47  tunity to be heard by the court of appeals.
    48    § 4. Executive director and staff. (a) The  commission  shall  appoint
    49  and  employ  an  executive director who shall serve a term of six years.
    50  Any vacancy in the office of executive director shall be  filled  within
    51  ten  days of its occurrence. A person appointed to fill a vacancy in the
    52  office of executive director occurring other than  by  expiration  of  a
    53  term of office shall be appointed to the unexpired term of the executive
    54  director he or she replaces.
    55    (b)  The executive director shall act in accordance with the policies,
    56  rules and regulations of the commission. He or she shall act in the name

        A. 3945                             5
     1  of the commission pursuant to  the  specific  powers  delegated  by  the
     2  commission to the office of executive director.
     3    (c)  The  commission  shall  appoint  and  employ such other staff and
     4  investigators as shall be necessary to carry out its powers  and  duties
     5  pursuant to this act.
     6    (d)  The  executive  director,  staff members and investigators may be
     7  removed by the commission for substantial neglect of duty, gross miscon-
     8  duct in office, inability to perform their duties or  violation  of  the
     9  provisions  of  this  act,  after  written  notice and opportunity to be
    10  heard.
    11    § 5. Powers and duties. The commission shall have the power  and  duty
    12  to:
    13    (a)  fix the compensation of the executive director, staff members and
    14  investigators;
    15    (b) request and receive, and shall utilize and be provided  with  such
    16  facilities,  resources  and  data  of  any  court, department, division,
    17  board, bureau, commission or agency of the state or any political subdi-
    18  vision thereof, or of any public  authority  or  public  benefit  corpo-
    19  ration,  as  it  may reasonably request to properly carry out its powers
    20  and duties pursuant to this act;
    21    (c) adopt, amend and rescind  rules  and  regulations  to  govern  the
    22  procedures  of  the  commission  and to implement the provisions of this
    23  act;
    24    (d) adopt, amend and rescind rules and regulations to assist  appoint-
    25  ing  authorities  in  determining which persons hold policy-making posi-
    26  tions for the purposes of section 73-a of the public officers law;
    27    (e) make available forms for annual statements of financial disclosure
    28  required to be filed pursuant to section 73-a  of  the  public  officers
    29  law;
    30    (f)  review  financial disclosure statements filed pursuant to section
    31  73-a of the public officers law;
    32    (g)  receive  and  investigate  complaints  and   referrals   alleging
    33  violations of section 73, 73-a or 74 of the public officers law, article
    34  1-A of the legislative law, or section 107 of the civil service law;
    35    (h)  permit  any person required to file a financial disclosure state-
    36  ment pursuant to section 73-a of the public officers law to delete  from
    37  the  copy  thereof made available for public inspection such information
    38  as shall be determined by the commission will have no  material  bearing
    39  on the discharge of the reporting person's official duties;
    40    (i) grant any person required to file a financial disclosure statement
    41  pursuant to section 73-a of the public officers law, an additional peri-
    42  od  of time within which to file such statement due to justifiable cause
    43  or undue hardship;
    44    (j) permit any person required to file a financial  disclosure  state-
    45  ment  pursuant to section 73-a of the public officers law to delete such
    46  information pertaining to such person's spouse or unemancipated children
    47  as shall be found by the commission will have no material bearing on the
    48  discharge of the reporting person's official duties;
    49    (k) advise and assist any state agency in establishing rules and regu-
    50  lations relating to possible conflicts  between  private  interests  and
    51  official duties of present and former state officers and employees;
    52    (l)  permit  any  person  who  has  not  been determined by his or her
    53  appointing authority to hold a policy-making position, but who is other-
    54  wise required to file a financial disclosure statement, to be granted an
    55  exemption from such filing requirement. The commission may grant such an
    56  exemption where the public interest does not require disclosure and  the

        A. 3945                             6
     1  applicant's duties do not involve negotiation, authorization or approval
     2  of:
     3    (1)  contracts,  leases,  franchises, revocable consents, concessions,
     4  variances, special permits or licenses as defined in section 73  of  the
     5  public officers law,
     6    (2)  the  purchase,  sale,  rental or lease of real property, goods or
     7  services, or a contract therefor,
     8    (3) the obtaining of grants of money or loans, or
     9    (4) the adoption or repeal of any rule or regulation having the  force
    10  and effect of law;
    11    (m)  determine  questions  common  to  a  class or defined category of
    12  persons or items of information required to be disclosed, where determi-
    13  nation of the question will prevent undue  repetition  of  requests  for
    14  exemption  or  deletion, or prevent undue complication in complying with
    15  the provisions of this act;
    16    (n) upon written request from a person subject to the requirements  of
    17  section  73,  73-a  or 74 of the public officers law, render an advisory
    18  opinion on the requirements of such provisions;
    19    (o) promulgate rules concerning restrictions on outside activities and
    20  limitations or the receipt of gifts and honoraria;
    21    (p) conduct training programs,  in  cooperation  with  the  governor's
    22  office  of employee relations, to provide instruction to persons subject
    23  to its jurisdiction;
    24    (q) administer and enforce all provisions of this act;
    25    (r) conduct any investigation necessary to carry out the provisions of
    26  this act;
    27    (s) receive and investigate complaints from any source,  or  upon  its
    28  own  initiative,  concerning  allegations of corruption, fraud, criminal
    29  activity, conflicts of interest or abuse in any covered agency or by any
    30  covered individual;
    31    (t) inform the heads of covered agencies of such allegations  and  the
    32  progress of investigations related thereto, unless special circumstances
    33  require confidentiality;
    34    (u)  determine  with  respect to such allegations whether disciplinary
    35  action, civil or criminal prosecution, or further  investigation  by  an
    36  appropriate  federal,  state or local agency is warranted, and to assist
    37  in such investigations;
    38    (v) prepare and release to the public written reports of such investi-
    39  gations, as appropriate and to the extent permitted by law,  subject  to
    40  redaction  to  protect  the confidentiality of witnesses. The release of
    41  all or portions of such reports may be deferred to protect the confiden-
    42  tiality of ongoing investigations;
    43    (w) review and examine periodically the  policies  and  procedures  of
    44  covered  agencies  with  regard  to  the  prevention  and  detection  of
    45  corruption, fraud, criminal activity, conflicts of interest or abuse;
    46    (x) recommend remedial acts to prevent or eliminate corruption, fraud,
    47  criminal activity, conflicts of interest or abuse in covered agencies;
    48    (y) establish programs  for  training  state  officers  and  employees
    49  regarding  the prevention and elimination of corruption, fraud, criminal
    50  activity, conflicts of interest or abuse in covered agencies;
    51    (z) subpoena and enforce the attendance of witnesses;
    52    (aa) administer oaths or  affirmations  and  examine  witnesses  under
    53  oath;
    54    (bb) require the production of any books and papers deemed relevant or
    55  material to any investigation, examination or review;

        A. 3945                             7
     1    (cc)  examine  and  copy  or  remove  documents or records of any kind
     2  prepared, maintained or held by any covered agency or  covered  individ-
     3  ual;
     4    (dd)  require  any  officer  or  employee  in  a covered agency or any
     5  covered individual to answer questions concerning any matter related  to
     6  the  performance  of  his  or her official duties. No statement or other
     7  evidence derived therefrom may be used against such officer or  employee
     8  in  any  subsequent  criminal  prosecution  other  than  for  perjury or
     9  contempt arising from such testimony. The  refusal  of  any  officer  or
    10  employee  to  answer questions shall be cause for removal from office or
    11  employment, or other appropriate penalty;
    12    (ee) monitor the implementation by covered agencies of any recommenda-
    13  tions made by the commission;
    14    (ff) perform any other functions that are necessary or appropriate  to
    15  fulfill the provisions of this act;
    16    (gg) conduct investigations in connection with:
    17    (1)  the  faithful execution and enforcement of the laws of the state,
    18  with particular reference but not limited to organized crime and  racke-
    19  teering,
    20    (2)  the conduct of public officers and public employees, and of offi-
    21  cers and employees of public benefit corporations  and  public  authori-
    22  ties, and
    23    (3)  any  matter concerning the public peace, public safety and public
    24  justice;
    25    (hh) at the direction of  the  governor,  conduct  investigations  and
    26  otherwise assist the governor in connection with:
    27    (1) the removal of public officers by the governor,
    28    (2)  the making of recommendations by the governor to any other person
    29  or body, with respect to the removal of public officers, and
    30    (3) the making of recommendations by the governor to  the  legislature
    31  with  respect  to  changes in or additions to existing provisions of law
    32  required for the more effective enforcement of the law;
    33    (ii) at the direction or request of the governor or the  head  of  any
    34  department,  board,  bureau,  commission  or  other agency of the state,
    35  investigate the management or affairs of  any  such  department,  board,
    36  bureau, commission or other agency;
    37    (jj)  upon the request of district attorneys and other law enforcement
    38  officers, cooperate with, advise and assist them in the  performance  of
    39  their official powers and duties;
    40    (kk)  cooperate  with  departments  and  officers of the United States
    41  government in the investigation of violations of the federal laws within
    42  this state;
    43    (ll) examine into matters relating to law enforcement extending across
    44  the boundaries of the state into  other  states,  and  may  consult  and
    45  exchange  information  with  officers  and agencies of other states with
    46  respect to law enforcement problems of mutual concern to this and  other
    47  states;
    48    (mm)  whenever  it  shall appear to the commission that there is cause
    49  for the prosecution of a crime or for the removal of  a  public  officer
    50  for  misconduct,  refer  the evidence of such crime or misconduct to the
    51  officials authorized to conduct the prosecution or to remove the  public
    52  officer;
    53    (nn)  keep the public informed as to the operations of organized crime
    54  and problems of law enforcement in the state; and
    55    (oo) exercise any and all powers of the former  commission  on  public
    56  integrity  and  the former office of the state inspector general as they

        A. 3945                             8
     1  existed immediately prior to the effective date of this act,  and  exer-
     2  cise  any  and  all  powers  of the former temporary state commission of
     3  investigation as they existed on March 30, 2011.
     4    § 6. Financial disclosure. (a) The commission shall inspect all finan-
     5  cial disclosure statements filed with the commission to ascertain wheth-
     6  er  any  person subject to the reporting requirements of section 73-a of
     7  the public officers law has failed to file such a statement, has filed a
     8  deficient statement or has filed a statement which  reveals  a  possible
     9  violation of section 73, 73-a or 74 of the public officers law.
    10    (b) If a person required to file a financial disclosure statement with
    11  the  commission has failed to file a disclosure statement or has filed a
    12  deficient statement, the commission shall notify the reporting person in
    13  writing, state the failure to file or detail the deficiency, provide the
    14  person with a fifteen day period to cure the deficiency, and advise  the
    15  person  of  the  penalties  for  failure  to  comply  with the reporting
    16  requirements. Such notice shall be confidential. If the person fails  to
    17  make  such  filing  or fails to cure the deficiency within the specified
    18  time period, the commission shall send a notice of delinquency:  (1)  to
    19  the  reporting  person; (2) in the case of a statewide elected official,
    20  to the temporary president of the senate and the speaker of  the  assem-
    21  bly; and (3) in the case of a state officer or employee, to the appoint-
    22  ing authority for such person. Such notice of delinquency may be sent at
    23  any  time  during  the reporting person's service as a statewide elected
    24  official, state officer or employee, political party chair  or  while  a
    25  candidate  for statewide office, or within one year after termination of
    26  such service or candidacy. The  jurisdiction  of  the  commission,  when
    27  acting  pursuant  to  subdivision  (d)  of  this section with respect to
    28  financial disclosure, shall continue notwithstanding that the  reporting
    29  person  separates  from  state  service,  or  ceases to hold office as a
    30  statewide elected official or political party chair, or ceases to  be  a
    31  candidate,  provided  the commission notifies such person of the alleged
    32  failure to file or deficient filing pursuant to this subdivision.
    33    (c)(1) If  the  commission  receives  a  sworn  complaint  alleging  a
    34  violation  of section 73, 73-a or 74 of the public officers law, section
    35  107 of the civil service law or article 1-A of the legislative law by  a
    36  person  or entity subject to the jurisdiction of the commission, or if a
    37  reporting individual has filed a  statement  which  reveals  a  possible
    38  violation  of  these  provisions, or if the commission determines on its
    39  own initiative to investigate a possible violation, the commission shall
    40  notify the individual in  writing,  describe  the  possible  or  alleged
    41  violation  of such laws and provide the person with a fifteen day period
    42  in which to submit a written response setting forth information relating
    43  to the activities cited as a possible or alleged violation  of  law.  If
    44  the  commission thereafter makes a determination that further inquiry is
    45  justified, it shall give the individual an opportunity to be heard.  The
    46  commission  shall  also inform the individual of its rules regarding the
    47  conduct of adjudicatory proceedings and  appeals  and  the  due  process
    48  procedural  mechanisms  available  to such individual. If the commission
    49  determines at any stage of the proceeding that there is no violation  or
    50  that any potential conflict of interest violation has been rectified, it
    51  shall  so  advise the individual and the complainant, if any. All of the
    52  foregoing proceedings shall be confidential.
    53    (2) If the commission determines that there  is  reasonable  cause  to
    54  believe that a violation has occurred, it shall send a notice of reason-
    55  able cause: (i) to the reporting person; (ii) to the complainant if any;
    56  (iii)  in  the  case  of  a statewide elected official, to the temporary

        A. 3945                             9
     1  president of the senate and the speaker of the assembly; and (iv) in the
     2  case of a state officer or employee, to  the  appointing  authority  for
     3  such person.
     4    (3)  The  jurisdiction  of the commission when acting pursuant to this
     5  act shall continue notwithstanding that a statewide elected official  or
     6  a state officer or employee separates from state service, or a political
     7  party  chair  ceases  to hold such office, or a candidate ceases to be a
     8  candidate, or a lobbyist or client of a lobbyist ceases to act as  such,
     9  provided  that  the commission notifies such individual or entity of the
    10  alleged violation of law pursuant to paragraph one of  this  subdivision
    11  within  one year from his or her separation from state service or his or
    12  her termination of party service or candidacy, or from his, her  or  its
    13  last report filed pursuant to article 1-A of the legislative law.  Noth-
    14  ing in this section shall serve to limit the jurisdiction of the commis-
    15  sion  in  enforcement of subdivision 8 of section 73 of the public offi-
    16  cers law.
    17    (d) An individual subject to the jurisdiction of  the  commission  who
    18  knowingly  and  intentionally  violates the provisions of subdivisions 2
    19  through 5, 7, 8, 12 or 14 through 17 of section 73 of the  public  offi-
    20  cers  law, section 107 of the civil service law, or a reporting individ-
    21  ual who knowingly and wilfully fails to  file  an  annual  statement  of
    22  financial  disclosure  or  who  knowingly  and  wilfully  with intent to
    23  deceive makes a false statement or fraudulent omission or gives informa-
    24  tion which such individual knows to be false on such statement of finan-
    25  cial disclosure filed pursuant to section 73-a of  the  public  officers
    26  law  shall  be  subject  to  a  civil penalty in an amount not to exceed
    27  $40,000 and the value of any gift, compensation or benefit received as a
    28  result of such violation. An individual who knowingly and  intentionally
    29  violates  the  provisions of paragraphs b, c, d or i of subdivision 3 of
    30  section 74 of the public officers law shall be subject to a civil penal-
    31  ty in an amount not to exceed $10,000 and the value of any gift, compen-
    32  sation or benefit received as a result of such violation. An  individual
    33  who knowingly and intentionally violates the provisions of paragraphs a,
    34  e  or  g of subdivision 3 of section 74 of the public officers law shall
    35  be subject to a civil penalty in an amount not to exceed  the  value  of
    36  any  gift,  compensation  or  benefit  received  as  a  result  of  such
    37  violation. An individual subject to the jurisdiction of  the  commission
    38  who  knowingly  and wilfully violates article 1-A of the legislative law
    39  shall be subject to civil penalty  as  provided  for  in  that  article.
    40  Assessment  of a civil penalty pursuant to this section shall be made by
    41  the commission with respect to persons subject to its  jurisdiction.  In
    42  assessing  the  amount of the civil penalties to be imposed, the commis-
    43  sion shall consider the seriousness of the violation, the amount of gain
    44  to the individual and whether the individual previously had any civil or
    45  criminal penalties imposed pursuant  to  this  section,  and  any  other
    46  factors the commission deems appropriate. For a violation of this subdi-
    47  vision,  other than for conduct which constitutes a violation of section
    48  107 of the civil service law,  subdivisions  12  or  14  through  17  of
    49  section  73  or  section 74 of the public officers law or article 1-A of
    50  the legislative law, the commission may, in lieu  of  a  civil  penalty,
    51  refer   a   violation  to  the  appropriate  prosecutor  and  upon  such
    52  conviction, such violation shall be punishable as a class A misdemeanor.
    53  A civil penalty for false filing may not be  imposed  pursuant  to  this
    54  section in the event a category of "value" or "amount" reported pursuant
    55  to this section is incorrect unless such reported information is falsely
    56  understated. Notwithstanding any other provision of law to the contrary,

        A. 3945                            10
     1  no  other  penalty,  civil  or  criminal may be imposed for a failure to
     2  file, or for a false filing,  of  such  statement,  or  a  violation  of
     3  section  73  of  the  public  officers  law,  except that the appointing
     4  authority  may  impose disciplinary action as otherwise provided by law.
     5  The commission may refer violations of this section  to  the  appointing
     6  authority  for  disciplinary  action  as  otherwise provided by law. The
     7  commission shall be deemed to be an agency within the meaning of article
     8  3 of the state  administrative  procedure  act  and  shall  adopt  rules
     9  governing  the  conduct  of  adjudicatory  proceedings and appeals taken
    10  pursuant to a proceeding commenced under article 78 of the  civil  prac-
    11  tice  law  and  rules  relating to the assessment of the civil penalties
    12  authorized by this subdivision and commission denials  of  requests  for
    13  certain  deletions  or exemptions to be made from a financial disclosure
    14  statement as authorized by this act. Such  rules,  which  shall  not  be
    15  subject  to the approval requirements of the state administrative proce-
    16  dure act, shall provide for due process procedural  mechanisms  substan-
    17  tially  similar to those set forth in article 3 of the state administra-
    18  tive procedure act but such mechanisms need not be identical in terms or
    19  scope. Assessment of a civil penalty or  commission  denial  of  such  a
    20  request  shall  be  final  unless  modified, suspended or vacated within
    21  thirty days of imposition, with respect to the assessment of such penal-
    22  ty, or unless such denial of request is reversed within such time  peri-
    23  od,  and  upon becoming final shall be subject to review at the instance
    24  of the affected reporting individuals in a proceeding commenced  against
    25  the  commission,  pursuant  to  article 78 of the civil practice law and
    26  rules.
    27    (e) If the commission has a  reasonable  basis  to  believe  that  any
    28  person  subject to the jurisdiction of the legislative ethics commission
    29  may have violated any provisions of section 73 or 74 of the public offi-
    30  cers law, it may refer such violation to the legislative ethics  commis-
    31  sion.  The  referral by the commission to the legislative ethics commis-
    32  sion shall include any information  relating  thereto  coming  into  the
    33  custody  or  under  the  control  of the commission at any time prior or
    34  subsequent to the time of the referral.
    35    (f) A copy of any notice of delinquency or notice of reasonable  cause
    36  sent  pursuant  to  subdivisions  (b)  and  (c) of this section shall be
    37  included in the reporting person's file  and  be  available  for  public
    38  inspection and copying.
    39    §  7. Website. Within one hundred twenty days of the effective date of
    40  this section, the commission shall  create  and  thereafter  maintain  a
    41  publicly  accessible  website  which  shall  set forth the procedure for
    42  filing a complaint with the commission,  and  which  shall  contain  the
    43  documents  identified in section eight of this act, other than financial
    44  disclosure statements, and any other records or  information  which  the
    45  commission determines to be appropriate.
    46    §  8.  Public access to records. (a) Notwithstanding the provisions of
    47  article 6 of the public officers law, the only records of the commission
    48  which shall be available for public inspection and copying are:
    49    (1) the information set forth in  an  annual  statement  of  financial
    50  disclosure  filed  pursuant  to  section 73-a of the public officers law
    51  except the categories of value or amount, which shall  remain  confiden-
    52  tial, and any other item of information deleted pursuant to this act;
    53    (2)  notices  of delinquency sent under subdivision (b) of section six
    54  of this act;
    55    (3) notices of reasonable cause sent under paragraph two  of  subdivi-
    56  sion (c) of section six of this act;

        A. 3945                            11
     1    (4)  notices  of  civil assessments imposed under this act which shall
     2  include a description of the  nature  of  the  alleged  wrongdoing,  the
     3  procedural  history  of  the  complaint, the findings and determinations
     4  made by the commission, and any sanction imposed;
     5    (5) the terms of any settlement or compromise of a complaint or refer-
     6  ral which includes a fine, penalty or other remedy; and
     7    (6)  those required to be held or maintained publicly available pursu-
     8  ant to article 1-A of the legislative law.
     9    (b) Pending any application for deletion or exemption to  the  commis-
    10  sion,  all information which is the subject or a part of the application
    11  shall remain confidential. Upon an adverse determination by the  commis-
    12  sion,  the  reporting  individual may request, and upon such request the
    13  commission shall provide, that any information which is the  subject  or
    14  part  of the application remain confidential for a period of thirty days
    15  following notice of such determination. In the event that the  reporting
    16  individual  resigns  his or her office and holds no other office subject
    17  to the jurisdiction of the commission, the information shall not be made
    18  public and shall be expunged in its entirety.
    19    § 9. Responsibilities of covered agencies, covered individuals,  state
    20  officers  and  employees.    (a)  Every  state  officer or employee in a
    21  covered agency and every covered individual shall report promptly to the
    22  commission any information concerning corruption, fraud, criminal activ-
    23  ity, conflicts of interest or abuse by another state officer or employee
    24  relating to his or her office or employment, or by a person having busi-
    25  ness dealings with a covered agency  relating  to  those  dealings.  The
    26  knowing  failure  of any officer or employee to so report shall be cause
    27  for removal from office or employment or other appropriate penalty.  Any
    28  officer  or  employee who acts pursuant to this subdivision by reporting
    29  to the commission improper governmental action  as  defined  in  section
    30  75-b  of the civil service law shall not be subject to dismissal, disci-
    31  pline or other adverse personnel action.
    32    (b) The head of any covered agency shall advise  the  governor  within
    33  ninety  days  of  the  issuance  of a report by the commission as to the
    34  remedial action that the agency has taken in response to any recommenda-
    35  tion for such action contained in such report.
    36    § 10. Confidentiality. Any person conducting or participating  in  any
    37  examination or investigation who shall disclose to any person other than
    38  the  commission or an officer having the power to appoint one or more of
    39  the commissioners the name of any witness examined, or  any  information
    40  obtained  or  given  upon  such  examination or investigation, except as
    41  directed by the commission, shall be guilty of a misdemeanor.
    42    § 11. Evidence to be impounded. Upon the application  of  the  commis-
    43  sion,  the  executive director or a duly authorized member of its staff,
    44  the supreme court or a justice thereof may impound any exhibit marked in
    45  evidence in any public or private hearing held  in  connection  with  an
    46  investigation conducted by the commission, and may order such exhibit to
    47  be  retained  by,  or  delivered  to  and  placed in the custody of, the
    48  commission. When so impounded such exhibit shall not be taken  from  the
    49  custody  of  the commission, except upon further order of the court or a
    50  justice thereof made upon five days' notice to the  commission  or  upon
    51  its application or with its consent.
    52    §  12.  Immunity  from  prosecution.  In  any investigation or hearing
    53  conducted by the commission pursuant to this act, relating to any  crime
    54  or  offense  with  respect  to which, by express provision of statute, a
    55  competent authority is authorized to confer immunity; the commission may
    56  confer immunity in accordance with the provisions of  section  50.20  of

        A. 3945                            12
     1  the criminal procedure law, but only after affording the attorney gener-
     2  al  and the appropriate district attorney the opportunity to be heard in
     3  respect to any objections which they may have to the  granting  of  such
     4  immunity.
     5    § 13. Transfer of functions, powers and duties. All functions, powers,
     6  duties  and  obligations of the former joint commission on public ethics
     7  and the former office of the state inspector general are  hereby  trans-
     8  ferred to the commission.
     9    § 14. Transfer of employees. (a) Upon transfer of the functions of the
    10  former  joint  commission  on public ethics and the former office of the
    11  state inspector general to the commission, provisions shall be made  for
    12  the  transfer  to the commission of those employees of such former agen-
    13  cies who were engaged in carrying out the functions transferred by  this
    14  act in accordance with section 70 of the civil service law or, where not
    15  subject  to  the  civil  service  law, the provisions of such section 70
    16  shall be deemed applicable, except where the  context  clearly  requires
    17  otherwise.    Any such employee who, at the time of such transfer, has a
    18  temporary or provisional appointment shall be transferred subject to the
    19  same right of removal, examination or termination as though such  trans-
    20  fer had not been made except to the extent such rights are modified by a
    21  collective  bargaining  agreement.  Employees holding permanent appoint-
    22  ments in competitive class positions who are not transferred pursuant to
    23  this  section  shall  have  their  names  entered  upon  an  appropriate
    24  preferred list for reinstatement pursuant to the civil service law.
    25    (b)  A  transferred  employee  shall  remain  in  the  same collective
    26  bargaining unit as was the case prior to his or her transfer;  successor
    27  employees  to  the  positions  held by such transferred employees shall,
    28  consistent with the provisions of article 14 of the civil  service  law,
    29  be included in the same unit as their predecessors. Employees other than
    30  management  or  confidential  persons  (as  defined in article 14 of the
    31  civil service law), serving positions in newly created titles  shall  be
    32  assigned  to  the appropriate bargaining unit. Nothing contained in this
    33  section shall be construed to affect:
    34    (1) the rights of employees pursuant to a collective bargaining agree-
    35  ment;
    36    (2) the representational relationships among employee organizations or
    37  the bargaining relationships between the state and an employee organiza-
    38  tion; or
    39    (3) existing law with respect to an application to the public  employ-
    40  ment relations board, provided, however, that the merger of such negoti-
    41  ating  units of employees shall be effected only with the consent of the
    42  recognized and certified representative of such units and of the depart-
    43  ment of law.
    44    § 15. Transfer of records. All  books,  papers  and  property  of  the
    45  former  joint  commission  on public ethics and the former office of the
    46  state inspector general are to be delivered to the  commission  at  such
    47  place and time, and in such manner as the commission shall require.
    48    §  16.  Continuity  of authority. For the purpose of succession to all
    49  functions, powers, duties and obligations of the former joint commission
    50  on public ethics and the former office of the  state  inspector  general
    51  transferred  to  and  assumed  by  the commission, such commission shall
    52  continue the operation thereof as if performed by such former agencies.
    53    § 17. Completion of unfinished business. Any business or other  matter
    54  undertaken  or commenced by the former joint commission on public ethics
    55  and the former office of the state inspector general  pertaining  to  or
    56  connected with the functions, powers, duties and obligations transferred

        A. 3945                            13
     1  and assigned to the commission and pending on the effective date of this
     2  section  shall  be conducted and completed by the commission in the same
     3  manner and under the same terms and conditions and with the same  effect
     4  as if conducted and completed by such former agencies.
     5    §  18.  Continuation of rules and regulations. All rules, regulations,
     6  acts, orders, determinations and decisions of the former  joint  commis-
     7  sion  on  public  ethics  and  the  former office of the state inspector
     8  general in force at the time of  such  transfer  and  assumption,  shall
     9  continue in force and effect as rules, regulations, acts, orders, deter-
    10  minations  and  decisions of the commission until duly modified or abro-
    11  gated.
    12    § 19. Terms occurring in laws, contracts and other documents. Whenever
    13  the former joint commission on public ethics or the former office of the
    14  state inspector general  is  referred  to  or  designated  in  any  law,
    15  contract  or  document  pertaining to the functions, powers, obligations
    16  and duties transferred and assigned pursuant to this act, such reference
    17  or designation shall be deemed to refer to the commission.
    18    § 20. Existing rights and remedies preserved.  No  existing  right  or
    19  remedy of any character shall be lost, impaired or affected by reason of
    20  any transfer or assignment pursuant to this act.
    21    §  21. Pending actions or proceedings. No action or proceeding pending
    22  upon the effective date of  this  section  relating  to  the  functions,
    23  powers  and  duties  of the former joint commission on public ethics and
    24  the former office of the state  inspector  general  transferred  to  the
    25  commission,  brought  by  or  against  any  such former agency, shall be
    26  affected by any provision of this act, but the same may be prosecuted or
    27  defended in the  name  of  the  commission.  In  all  such  actions  and
    28  proceedings,  the  commission,  upon  application to the court, shall be
    29  substituted as a party.
    30    § 22. Transfer of  appropriations  heretofore  made.  Subject  to  the
    31  approval  of  the  director of the division of the budget, all appropri-
    32  ations and reappropriations heretofore made to the former joint  commis-
    33  sion  on  public  ethics  and  the  former office of the state inspector
    34  general for the purposes and functions transferred pursuant to this  act
    35  to the commission, to the extent of remaining unexpended or unencumbered
    36  balance thereof, whether allocated or unallocated, and whether obligated
    37  or unobligated, are hereby transferred to and made available for use and
    38  expenditure by the commission for the same purposes for which originally
    39  appropriated  or  reappropriated and shall be payable on vouchers certi-
    40  fied or approved by the executive director on audit and warrant  of  the
    41  comptroller. Payments for liabilities for expenses of personal services,
    42  maintenance  and  operation  heretofore  incurred by and for liabilities
    43  incurred and to be incurred in completing  the  affairs  of  the  former
    44  joint  commission  on  public  ethics and the former office of the state
    45  inspector general with respect  to  the  powers,  duties  and  functions
    46  transferred  in this act, shall also be made on vouchers or certificates
    47  approved by the executive director on audit and  warrant  of  the  comp-
    48  troller.
    49    §  23.  Transfer of assets and liabilities. All assets and liabilities
    50  of the former joint commission on public ethics and the former office of
    51  the state inspector general are hereby transferred to and assumed by the
    52  commission.
    53    § 24. Actions of the commission.  The commission is hereby directed to
    54  immediately take any and all actions necessary to enable  it  to  assume
    55  all  powers,  duties  and  functions  of  the former joint commission on
    56  public ethics, the former office of the state inspector general and  the

        A. 3945                            14
     1  former temporary state commission of investigation within ninety days of
     2  the effective date of this act.
     3    §  25.  Subdivision  5  of  section  107  of the civil service law, as
     4  amended by chapter 14 of the  laws  of  2007,  is  amended  to  read  as
     5  follows:
     6    5.  Violation of this section. Complaints alleging a violation of this
     7  section by a statewide elected official or a state officer or  employee,
     8  as  defined  in section seventy-three of the public officers law, may be
     9  directed to the commission on [public integrity] official conduct.
    10    § 26. Section 94 of the executive law is REPEALED.
    11    § 27. Subdivision (f) of  section  1-c  of  the  legislative  law,  as
    12  amended  by  chapter  14  of  the  laws  of  2007, is amended to read as
    13  follows:
    14    (f) The term "commission" shall mean the commission on [public  integ-
    15  rity  created  by  section  ninety-four  of  the executive law] official
    16  conduct.
    17    § 28. Subdivision 3 of section 212 of the racing, pari-mutuel wagering
    18  and breeding law, as amended by chapter 18  of  the  laws  of  2008,  is
    19  amended to read as follows:
    20    3.  Such  members,  except as otherwise provided by law, may engage in
    21  private or public employment, or in a profession or business. The board,
    22  its members, officers and employees shall be subject to  the  provisions
    23  of  sections  seventy-three and seventy-four of the public officers law.
    24  No former trustee or officer of a non-profit racing association known as
    25  The New York Racing Association, Inc. or  its  predecessor,  no  current
    26  director or officer of a franchised corporation or any individual regis-
    27  tered  with  the  [New  York]  commission on [public integrity] official
    28  conduct shall be appointed as members to the board nor shall any  member
    29  of  the  board  have  any  direct or indirect interest in any racehorse,
    30  thoroughbred racing or  pari-mutuel  wagering  business,  video  lottery
    31  terminal facility or any development at any racing facility.
    32    § 29. Article 4-A of the executive law is REPEALED.
    33    §  30. Subdivision 3 of section 63 of the executive law, as amended by
    34  chapter 155 of the laws of 2012, is amended to read as follows:
    35    3. Upon request of the  governor,  comptroller,  secretary  of  state,
    36  commissioner  of  transportation,  superintendent of financial services,
    37  commissioner of taxation and finance, commissioner of motor vehicles, or
    38  the [state inspector general] commission on  official  conduct,  or  the
    39  head  of  any  other  department,  authority,  division or agency of the
    40  state, investigate the alleged commission of any indictable  offense  or
    41  offenses in violation of the law which the officer making the request is
    42  especially  required  to execute or in relation to any matters connected
    43  with such department, and to prosecute the person or persons believed to
    44  have committed the same and any crime or offense  arising  out  of  such
    45  investigation  or  prosecution  or  both,  including  but not limited to
    46  appearing before and presenting all such matters to a grand jury.
    47    § 31. Section 2350-dd of the public authorities law, as added by chap-
    48  ter 762 of the laws of 2005, is amended to read as follows:
    49    § 2350-dd. Jurisdiction of [state  inspector  general]  commission  on
    50  official  conduct.    The  agency  is subject to the jurisdiction of the
    51  [office of the state inspector general] commission on official conduct.
    52    § 32. Subdivision 3 of section 2.10 of the criminal procedure law,  as
    53  added by chapter 843 of the laws of 1980, is amended to read as follows:
    54    3.  [Investigators]  The  executive  director and investigators of the
    55  [office of the state] commission [of investigation] on official conduct.

        A. 3945                            15
     1    § 33. Subdivision 68 of section 2.10 of the criminal procedure law, as
     2  added by chapter 168 of the laws of 2000, is REPEALED.
     3    §  34. Subdivision 3 of section 70-a of the executive law, as added by
     4  chapter 1003 of the laws of 1970, is amended to read as follows:
     5    3. The deputy attorney general in charge of the organized  crime  task
     6  force  may  request and shall receive from the division of state police,
     7  the state department of taxation and finance, the  state  department  of
     8  labor,  the  [temporary state] commission [of investigation] on official
     9  conduct, and from every department, division, board, bureau,  commission
    10  or  other  agency of the state, or of any political subdivision thereof,
    11  cooperation and assistance in the performance of his duties. Such deputy
    12  attorney general may provide  technical  and  other  assistance  to  any
    13  district  attorney  or  other  local law enforcement official requesting
    14  such assistance in the investigation or prosecution of  organized  crime
    15  cases.
    16    § 35. Subdivision 9 of section 835 of the executive law, as separately
    17  amended  by  chapters 14 and 155 of the laws of 2012, is amended to read
    18  as follows:
    19    9. "Qualified agencies" means courts in the unified court system,  the
    20  administrative  board of the judicial conference, probation departments,
    21  sheriffs' offices, district attorneys' offices, the state department  of
    22  corrections  and  community supervision, the department of correction of
    23  any municipality, the financial frauds and consumer protection  unit  of
    24  the  state  department of financial services, the office of professional
    25  medical conduct of the state department of health for  the  purposes  of
    26  section  two  hundred thirty of the public health law, the child protec-
    27  tive services unit of a local social services district  when  conducting
    28  an  investigation  pursuant  to  subdivision six of section four hundred
    29  twenty-four of the social services law, the office of Medicaid inspector
    30  general, the [temporary state] commission [of investigation] on official
    31  conduct,  police  forces  and  departments  having  responsibility   for
    32  enforcement  of  the  general  criminal  laws of the state, the Onondaga
    33  County Center for Forensic Sciences Laboratory when  acting  within  the
    34  scope  of  its  law  enforcement  duties  and  the  division of forensic
    35  services of the Nassau county  medical  examiner's  office  when  acting
    36  within the scope of its law enforcement duties.
    37    §  36.  Subdivision  8  of  section  92 of the public officers law, as
    38  amended by section 135 of subpart B of part C of chapter 62 of the  laws
    39  of 2011, is amended to read as follows:
    40    (8)  Public  safety  agency  record.  The  term  "public safety agency
    41  record" means a record  of  the  state  commission  of  correction,  the
    42  [temporary state] commission [of investigation] on official conduct, the
    43  department of corrections and community supervision, the office of chil-
    44  dren  and  family services, the office of victim services, the office of
    45  probation and correctional alternatives or the division of state  police
    46  or  of  any  agency  or  component thereof whose primary function is the
    47  enforcement of civil or criminal statutes if  such  record  pertains  to
    48  investigation,  law  enforcement, confinement of persons in correctional
    49  facilities or supervision of persons pursuant to criminal conviction  or
    50  court  order,  and  any  records  maintained by the division of criminal
    51  justice services pursuant to sections eight hundred thirty-seven,  eight
    52  hundred  thirty-seven-a,  eight  hundred  thirty-seven-b,  eight hundred
    53  thirty-seven-c, eight hundred thirty-eight, eight  hundred  thirty-nine,
    54  and  eight hundred forty-five of the executive law and by the department
    55  of state pursuant to section ninety-nine of the executive law.

        A. 3945                            16
     1    § 37. Chapter 989 of the laws of  1958,  creating  a  temporary  state
     2  commission of investigation, is REPEALED.
     3    §  38. Paragraph (b) of subdivision 9 of section 80 of the legislative
     4  law, as added by section 9 of part A of chapter 399 of the laws of 2011,
     5  is amended to read as follows:
     6    (b) Not later than forty-five calendar days  after  receipt  from  the
     7  [joint]  commission  on  [public  ethics]  official conduct of a written
     8  substantial basis investigation report and any supporting  documentation
     9  or other materials regarding a matter before the commission [pursuant to
    10  subdivision  fourteen-a  of  section  ninety-four of the executive law],
    11  unless requested by a law enforcement agency to suspend the commission's
    12  action because of an ongoing  criminal  investigation,  the  legislative
    13  ethics  commission  shall  make  public  such  report  in  its entirety;
    14  provided, however, that the commission may withhold such information for
    15  not more than one additional period of the same duration  or  refer  the
    16  matter  back  to  the  [joint]  commission  on  [public ethics] official
    17  conduct once for additional investigation, in which case the legislative
    18  ethics commission shall, upon the termination of such additional  period
    19  or  upon  receipt  of  a new report by the [joint] commission on [public
    20  ethics] official  conduct  after  such  additional  investigation,  make
    21  public the written report and publish it on the commission's website. If
    22  the  legislative  ethics  commission  fails  to  make public the written
    23  report received from the [joint]  commission  in  accordance  with  this
    24  paragraph,  the  [joint]  commission  shall release such report publicly
    25  promptly and in any event no later than ten days after  the  legislative
    26  ethics  commission  is  required to release such report. The legislative
    27  ethics commission shall not refer the matter back to the [joint] commis-
    28  sion on [public ethics] official conduct  for  additional  investigation
    29  more than once.  If the commission refers the matter back to the [joint]
    30  commission   for   additional  fact-finding,  the  [joint]  commission's
    31  original report shall remain confidential.
    32    § 39. Subparagraph 1 of paragraph a of subdivision 12 of section 80 of
    33  the legislative law, as amended by section 9 of part A of chapter 399 of
    34  the laws of 2011, is amended to read as follows:
    35    (1) the terms of any settlement or compromise of a complaint or refer-
    36  ral or report which includes a fine, penalty  or  other  remedy  reached
    37  after  the  commission has received a report from the [joint] commission
    38  on [public ethics pursuant to subdivision fourteen-a of section  ninety-
    39  four of the executive law] official conduct;
    40    §  40.  Subparagraphs  (ii)  and  (iii) of paragraph (c) and paragraph
    41  (d-1) of subdivision 1 of section  73-a  of  the  public  officers  law,
    42  subparagraphs  (ii)  and (iii) of paragraph (c) as amended and paragraph
    43  (d-1) as added by section 5 of part A of chapter  399  of  the  laws  of
    44  2011, are amended to read as follows:
    45    (ii)  officers  and employees of statewide elected officials, officers
    46  and employees of state departments, boards, bureaus, divisions,  commis-
    47  sions, councils or other state agencies, who receive annual compensation
    48  in excess of the filing rate established by paragraph (l) of this subdi-
    49  vision  or  who  hold policy-making positions, as annually determined by
    50  the appointing authority and set forth in  a  written  instrument  which
    51  shall be filed with the [joint] commission on [public ethics established
    52  by section ninety-four of the executive law] official conduct during the
    53  month  of  February,  provided,  however,  that the appointing authority
    54  shall amend such written instrument after such date within  thirty  days
    55  after the undertaking of policy-making responsibilities by a new employ-

        A. 3945                            17
     1  ee  or  any  other employee whose name did not appear on the most recent
     2  written instrument; and
     3    (iii)  members  or  directors of public authorities, other than multi-
     4  state authorities, public benefit corporations and commissions at  least
     5  one of whose members is appointed by the governor, and employees of such
     6  authorities,  corporations  and  commissions  who receive annual compen-
     7  sation in excess of the filing rate established by paragraph (l) of this
     8  subdivision or who hold policy-making positions, as determined  annually
     9  by  the appointing authority and set forth in a written instrument which
    10  shall be filed with the [joint] commission on [public ethics established
    11  by section ninety-four of the executive law] official conduct during the
    12  month of February, provided,  however,  that  the  appointing  authority
    13  shall  amend  such written instrument after such date within thirty days
    14  after the undertaking of policy-making responsibilities by a new employ-
    15  ee or any other employee whose name did not appear on  the  most  recent
    16  written instrument.
    17    (d-1)  A  financial  disclosure statement required pursuant to section
    18  seventy-three of this article and this section shall be  deemed  "filed"
    19  with the [joint] commission on [public ethics] official conduct upon its
    20  filing,  in  accordance  with  this section, with the legislative ethics
    21  commission for all purposes including, but not limited to,  [subdivision
    22  fourteen  of section ninety-four of the executive law,] subdivision nine
    23  of section eighty of the legislative law and subdivision  four  of  this
    24  section.
    25    § 41. Subparagraph (ii) of paragraph (a) and paragraph (c) of subdivi-
    26  sion 2 of section 73-a of the public officers law, as amended by section
    27  5  of  part A of chapter 399 of the laws of 2011, are amended to read as
    28  follows:
    29    (ii) a person who is required to file an annual  financial  disclosure
    30  statement  with  the  [joint]  commission  on  [public  ethics] official
    31  conduct, and who is granted an additional period of time within which to
    32  file such statement due to justifiable  cause  or  undue  hardship[,  in
    33  accordance  with  required  rules and regulations on the subject adopted
    34  pursuant to paragraph c of subdivision nine of  section  ninety-four  of
    35  the executive law] shall file such statement within the additional peri-
    36  od  of  time granted; and the legislative ethics commission shall notify
    37  the [joint] commission on [public ethics] official conduct of any exten-
    38  sion granted pursuant to this paragraph;
    39    (c) If the reporting individual is a senator or  member  of  assembly,
    40  candidate  for the senate or member of assembly or a legislative employ-
    41  ee, such statement shall be  filed  with  both  the  legislative  ethics
    42  commission  established by section eighty of the legislative law and the
    43  [joint] commission on [public ethics]  official  conduct  in  accordance
    44  with  paragraph (d-1) of subdivision one of this section. If the report-
    45  ing individual is a statewide elected official, candidate for  statewide
    46  elected  office, a state officer or employee or a political party chair-
    47  man, such statement shall  be  filed  with  the  [joint]  commission  on
    48  [public  ethics established by section ninety-four of the executive law]
    49  official conduct.
    50    § 42. Paragraph 8 of subdivision 3 and subdivision 4 of  section  73-a
    51  of  the  public officers law, paragraph 8 of subdivision 3 as amended by
    52  section 6 of part K of chapter 286 of the laws of 2016 and subdivision 4
    53  as amended by section 5 of part A of chapter 399 of the  laws  of  2011,
    54  are amended to read as follows:
    55    8.  (a)  If the reporting individual practices law, is licensed by the
    56  department of state as a real estate broker  or  agent  or  practices  a

        A. 3945                            18
     1  profession licensed by the department of education, or works as a member
     2  or  employee of a firm required to register pursuant to section one-e of
     3  the legislative law as a lobbyist, describe the  services  rendered  for
     4  which compensation was paid including a general description of the prin-
     5  cipal subject areas of matters undertaken by such individual and princi-
     6  pal  duties performed. Specifically state whether the reporting individ-
     7  ual provides services directly to  clients.  Additionally,  if  such  an
     8  individual  practices  with  a  firm  or corporation and is a partner or
     9  shareholder of the firm or corporation, give a  general  description  of
    10  principal  subject  areas  of  matters undertaken by such firm or corpo-
    11  ration.
    12      ____________________________________________________________________
    13      ____________________________________________________________________
    14      ____________________________________________________________________
    15      ____________________________________________________________________
    16      ____________________________________________________________________
    17    (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
    18  PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
    19  THIRTY-FIRST,  TWO  THOUSAND  FIFTEEN,  OR  FOR NEW MATTERS FOR EXISTING
    20  CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
    21  OR  AFTER  JULY  FIRST,  TWO  THOUSAND  TWELVE   AND   BEFORE   DECEMBER
    22  THIRTY-FIRST, TWO THOUSAND FIFTEEN:
    23    If the reporting individual personally provides services to any person
    24  or  entity,  or works as a member or employee of a partnership or corpo-
    25  ration that  provides  such  services  (referred  to  hereinafter  as  a
    26  "firm"),  then  identify  each  client or customer to whom the reporting
    27  individual personally provided services, or who was referred to the firm
    28  by the reporting individual, and from whom the reporting  individual  or
    29  his  or  her  firm earned fees in excess of $10,000 during the reporting
    30  period for such services rendered in direct connection with:
    31    (i) A contract in an amount totaling $50,000 or more from the state or
    32  any state agency for services, materials, or property;
    33    (ii) A grant of $25,000 or more from the state  or  any  state  agency
    34  during the reporting period;
    35    (iii)  A  grant  obtained  through a legislative initiative during the
    36  reporting period; or
    37    (iv) A case, proceeding, application or other matter  that  is  not  a
    38  ministerial matter before a state agency during the reporting period.
    39    For  purposes  of  this  question,  "referred to the firm" shall mean:
    40  having intentionally and knowingly taken a specific  act  or  series  of
    41  acts  to  intentionally  procure  for the reporting individual's firm or
    42  knowingly solicit or direct to the reporting individual's firm in  whole
    43  or  substantial  part,  a person or entity that becomes a client of that
    44  firm for the purposes of representation  for  a  matter  as  defined  in
    45  subparagraphs  (i) through (iv) of this paragraph, as the result of such
    46  procurement, solicitation or direction of the  reporting  individual.  A
    47  reporting  individual  need  not  disclose  activities  performed  while
    48  lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
    49  sion seven of section seventy-three of this article.
    50    The disclosure requirement in this question shall not require  disclo-
    51  sure  of  clients  or  customers  receiving  medical or dental services,
    52  mental health services, residential real estate brokering  services,  or
    53  insurance brokering services from the reporting individual or his or her
    54  firm.  The  reporting individual need not identify any client to whom he

        A. 3945                            19
     1  or she or his or her firm provided legal representation with respect  to
     2  investigation or prosecution by law enforcement authorities, bankruptcy,
     3  or  domestic  relations  matters. With respect to clients represented in
     4  other  matters,  where  disclosure  of  a client's identity is likely to
     5  cause harm, the reporting individual shall request an exemption from the
     6  [joint] commission [pursuant to paragraph (i-1) of subdivision  nine  of
     7  section ninety-four of the executive law] on official conduct, provided,
     8  however,  that  a  reporting  individual  who first enters public office
     9  after July first, two  thousand  twelve,  need  not  report  clients  or
    10  customers  with respect to matters for which the reporting individual or
    11  his or her firm was retained prior to entering public office.
    12  Client                                     Nature of Services Provided
    13  ________________________________________________________________________
    14  ________________________________________________________________________
    15  ________________________________________________________________________
    16  ________________________________________________________________________
    17  ________________________________________________________________________
    18    (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS  FOR  WHOM  SERVICES
    19  ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
    20  FOR  NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
    21  SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
    22  SAND  FIFTEEN  (FOR  PURPOSES  OF  THIS  QUESTION, "SERVICES" SHALL MEAN
    23  CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
    24    If the reporting individual receives income from employment reportable
    25  in question 8(a) and personally provides services to any person or enti-
    26  ty, or works as a member or employee of  a  partnership  or  corporation
    27  that  provides  such services (referred to hereinafter as a "firm"), the
    28  reporting individual shall identify each client or customer to whom  the
    29  reporting  individual  personally provided services, or who was referred
    30  to the firm by the reporting individual, and  from  whom  the  reporting
    31  individual  or  his  or her firm earned fees in excess of $10,000 during
    32  the reporting period in direct connection with:
    33    (i) A contract in an amount totaling $10,000 or more from the state or
    34  any state agency for services, materials, or property;
    35    (ii) A grant of $10,000 or more from the state  or  any  state  agency
    36  during the reporting period;
    37    (iii)  A  grant  obtained  through a legislative initiative during the
    38  reporting period; or
    39    (iv) A case, proceeding, application or other matter  that  is  not  a
    40  ministerial matter before a state agency during the reporting period.
    41    For  such  services  rendered  by the reporting individual directly to
    42  each such client, describe each matter that  was  the  subject  of  such
    43  representation, the services actually provided and the payment received.
    44  For payments received from clients referred to the firm by the reporting
    45  individual, if the reporting individual directly received a referral fee
    46  or  fees  for  such  referral,  identify  the  client and the payment so
    47  received.
    48    For purposes of this question, "referred  to  the  firm"  shall  mean:
    49  having  intentionally  and  knowingly  taken a specific act or series of
    50  acts to intentionally procure for the  reporting  individual's  firm  or
    51  having  knowingly  solicited  or  directed to the reporting individual's
    52  firm in whole or substantial part, a person or  entity  that  becomes  a
    53  client  of  that firm for the purposes of representation for a matter as
    54  defined in clauses (i) through (iv) of this subparagraph, as the  result
    55  of such procurement, solicitation or direction of the reporting individ-

        A. 3945                            20
     1  ual. A reporting individual need not disclose activities performed while
     2  lawfully  acting  in  his or her capacity as provided in paragraphs (c),
     3  (d), (e) and (f) of subdivision seven of section seventy-three  of  this
     4  article.
     5    Client   Matter     Nature of Services Provided      Category
     6                                                       of Amount
     7                                                      (in Table I)
     8  ________________________________________________________________________
     9  ________________________________________________________________________
    10  ________________________________________________________________________
    11  ________________________________________________________________________
    12  ________________________________________________________________________
    13    (b-2)  APPLICABLE  ONLY  TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
    14  ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
    15  FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO  THOSE
    16  SERVICES  THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
    17  SAND FIFTEEN (FOR PURPOSES  OF  THIS  QUESTION,  "SERVICES"  SHALL  MEAN
    18  CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
    19    (i)  With  respect  to  reporting individuals who receive ten thousand
    20  dollars or more from employment or activity  reportable  under  question
    21  8(a), for each client or customer NOT otherwise disclosed or exempted in
    22  question  8 or 13, disclose the name of each client or customer known to
    23  the reporting individual  to  whom  the  reporting  individual  provided
    24  services:  (A) who paid the reporting individual in excess of five thou-
    25  sand dollars for such services; or (B) who  had  been  billed  with  the
    26  knowledge of the reporting individual in excess of five thousand dollars
    27  by  the  firm  or  other entity named in question 8(a) for the reporting
    28  individual's services.
    29  Client               Services              Category of Amount
    30                   Actually Provided            (in Table I)
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
    31  FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
    32  DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
    33    * REVIEWED DOCUMENTS AND CORRESPONDENCE;
    34    * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
    35    * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
    36    * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/
    37      MEMBERS OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
    38    * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT
    39      BY NAME);
    40    * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
    41      REPRESENTATION OR CONSULTATION;
    42    * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
    43    * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
    44      RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
    45    * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
    46    (ii) With respect to reporting individuals who disclosed  in  question
    47  8(a)  that the reporting individual did not provide services to a client
    48  but provided services to a firm or business, identify  the  category  of

        A. 3945                            21
     1  amount  received  for  providing such services and describe the services
     2  rendered.
     3  Services Actually Provided                  Category of Amount (Table I)
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
     4    A  reporting  individual  need not disclose activities performed while
     5  lawfully acting in his or her capacity as provided  in  paragraphs  (c),
     6  (d),  (e)  and (f) of subdivision seven of section seventy-three of this
     7  article.
     8  The disclosure requirement  in  questions  (b-1)  and  (b-2)  shall  not
     9  require  disclosing  clients  or customers receiving medical, pharmaceu-
    10  tical or dental services, mental health services,  or  residential  real
    11  estate  brokering  services  from the reporting individual or his or her
    12  firm or if federal law prohibits or  limits  disclosure.  The  reporting
    13  individual  need not identify any client to whom he or she or his or her
    14  firm provided legal representation  with  respect  to  investigation  or
    15  prosecution  by  law  enforcement authorities, bankruptcy, family court,
    16  estate planning, or domestic relations matters, nor shall the  reporting
    17  individual  identify  individuals  represented  pursuant to an insurance
    18  policy but the reporting individual shall  in  such  circumstances  only
    19  report  the  entity that provides compensation to the reporting individ-
    20  ual; with respect to matters in which the client's name is  required  by
    21  law  to  be  kept  confidential  (such as matters governed by the family
    22  court act) or in matters in which the reporting individual represents or
    23  provides services to minors, the client's  name  may  be  replaced  with
    24  initials.  To  the  extent  that the reporting individual, or his or her
    25  firm, provided legal representation with respect to  an  initial  public
    26  offering,  and  professional  disciplinary  rules,  federal law or regu-
    27  lations restrict the disclosure of information relating  to  such  work,
    28  the  reporting  individual shall (i) disclose the identity of the client
    29  and the services provided relating to the initial public offering to the
    30  office of court  administration,  who  will  maintain  such  information
    31  confidentially  in a locked box; and (ii) include in his or her response
    32  to questions (b-1) and (b-2) that pursuant to this paragraph, a  disclo-
    33  sure to the office of court administration has been made. Upon such time
    34  that  the  disclosure  of information maintained in the locked box is no
    35  longer restricted by professional disciplinary  rules,  federal  law  or
    36  regulation,  the reporting individual shall disclose such information in
    37  an amended disclosure statement in response to the  disclosure  require-
    38  ments  in  questions (b-1) and (b-2). The office of court administration
    39  shall develop and maintain a secure  portal  through  which  information
    40  submitted  to  it pursuant to this paragraph can be safely and confiden-
    41  tially stored. With respect to clients represented in other matters  not
    42  otherwise  exempt,  the reporting individual may request an exemption to
    43  publicly disclosing the name of that client from the [joint]  commission
    44  [pursuant  to paragraph (i-1) of subdivision nine of section ninety-four
    45  of the executive law] on official conduct, or from the office  of  court
    46  administration.  In  such  application,  the  reporting individual shall
    47  state the following: "My client is not currently receiving  my  services
    48  or seeking my services in connection with:
    49    (i) A proposed bill or resolution in the senate or assembly during the
    50  reporting period;
    51    (ii)  A  contract in an amount totaling $10,000 or more from the state
    52  or any state agency for services, materials, or property;

        A. 3945                            22
     1    (iii) A grant of $10,000 or more from the state or  any  state  agency
     2  during the reporting period;
     3    (iv)  A  grant  obtained  through  a legislative initiative during the
     4  reporting period; or
     5    (v) A case, proceeding, application or other  matter  that  is  not  a
     6  ministerial matter before a state agency during the reporting period."
     7    In  reviewing  the request for an exemption, the [joint] commission on
     8  official conduct or the office of court administration may consult  with
     9  bar  or  other  professional  associations  and  the  legislative ethics
    10  commission for individuals subject to its jurisdiction and may  consider
    11  the  rules  of  professional  conduct.  In making its determination, the
    12  [joint] commission on official conduct or the office of  court  adminis-
    13  tration shall conduct its own inquiry and shall consider factors includ-
    14  ing, but not limited to: (i) the nature and the size of the client; (ii)
    15  whether  the  client  has  any business before the state; and if so, how
    16  significant the business is; and whether the client has any  particular-
    17  ized  interest  in  pending  legislation  and  if so how significant the
    18  interest is; (iii) whether disclosure may  reveal  trade  secrets;  (iv)
    19  whether  disclosure  could  reasonably result in retaliation against the
    20  client; (v) whether disclosure may cause undue harm to the client;  (vi)
    21  whether  disclosure  may  result  in  undue  harm to the attorney-client
    22  relationship; and (vii) whether disclosure may result in an  unnecessary
    23  invasion of privacy to the client.
    24    The [joint] commission on official conduct or, as the case may be, the
    25  office of court administration shall promptly make a final determination
    26  in  response to such request, which shall include an explanation for its
    27  determination.  The office of court administration shall issue its final
    28  determination within three days of receiving the request.  Notwithstand-
    29  ing  any other provision of law or any professional disciplinary rule to
    30  the contrary, the disclosure of the identity of any client  or  customer
    31  in  response  to this question shall not constitute professional miscon-
    32  duct or a ground for disciplinary action of any kind, or form the  basis
    33  for  any  civil  or  criminal cause of action or proceeding. A reporting
    34  individual who first enters public office after January first, two thou-
    35  sand sixteen, need not report  clients  or  customers  with  respect  to
    36  matters  for  which  the  reporting  individual  or  his or her firm was
    37  retained prior to entering public office.
    38    (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
    39  PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
    40  NEW  MATTERS  FOR  EXISTING  CLIENTS  OR CUSTOMERS WITH RESPECT TO THOSE
    41  SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
    42  SAND FIFTEEN:
    43    If the reporting individual receives income of ten thousand dollars or
    44  greater  from any employment or activity reportable under question 8(a),
    45  identify each registered lobbyist who  has  directly  referred  to  such
    46  individual a client who was successfully referred to the reporting indi-
    47  vidual's  business  and  from  whom  the  reporting  individual  or firm
    48  received a fee for services in excess of five thousand  dollars.  Report
    49  only  those referrals that were made to a reporting individual by direct
    50  communication from a person known to such reporting individual to  be  a
    51  registered  lobbyist  at  the time the referral is made. With respect to
    52  each such referral, the reporting individual shall identify the  client,
    53  the registered lobbyist who has made the referral, the category of value
    54  of  the  compensation  received and a general description of the type of
    55  matter so referred. A reporting individual need not disclose  activities
    56  performed while lawfully acting pursuant to paragraphs (c), (d), (e) and

        A. 3945                            23
     1  (f)  of  subdivision seven of section seventy-three of this article. The
     2  disclosure requirements in this question shall  not  require  disclosing
     3  clients   or  customers  receiving  medical,  pharmaceutical  or  dental
     4  services,  mental  health services, or residential real estate brokering
     5  services from the reporting individual or his or her firm or if  federal
     6  law  prohibits  or  limits disclosure. The reporting individual need not
     7  identify any client to whom he or she or his or her firm provided  legal
     8  representation  with  respect  to  investigation  or  prosecution by law
     9  enforcement authorities, bankruptcy, family court, estate  planning,  or
    10  domestic  relations matters, nor shall the reporting individual identify
    11  individuals represented pursuant to an insurance policy but the  report-
    12  ing  individual  shall in such circumstances only report the entity that
    13  provides compensation to  the  reporting  individual;  with  respect  to
    14  matters  in which the client's name is required by law to be kept confi-
    15  dential (such as matters governed by the family court act) or in matters
    16  in which the reporting individual represents  or  provides  services  to
    17  minors,  the  client's name may be replaced with initials. To the extent
    18  that the reporting individual, or his or her firm, provided legal repre-
    19  sentation with respect to an initial public offering, and federal law or
    20  regulations restricts the disclosure of  information  relating  to  such
    21  work,  the  reporting  individual shall (i) disclose the identity of the
    22  client and the services provided relating to the initial public offering
    23  to the office of court administration, who will maintain  such  informa-
    24  tion  confidentially  in  a  locked  box; and (ii) include in his or her
    25  response a statement that pursuant to this paragraph,  a  disclosure  to
    26  the  office  of  court administration has been made. Upon such time that
    27  the disclosure of information maintained in the locked box is no  longer
    28  restricted  by federal law or regulation, the reporting individual shall
    29  disclose such information in an amended disclosure statement in response
    30  to the disclosure requirements of this paragraph.  The office  of  court
    31  administration  shall develop and maintain a secure portal through which
    32  information submitted to it pursuant to this paragraph can be safely and
    33  confidentially stored. With respect  to  clients  represented  in  other
    34  matters  not  otherwise  exempt, the reporting individual may request an
    35  exemption to publicly disclosing  the  name  of  that  client  from  the
    36  [joint]  commission  [pursuant to paragraph (i-1) of subdivision nine of
    37  section ninety-four of the executive law] on official conduct,  or  from
    38  the  office  of court administration. In such application, the reporting
    39  individual shall state  the  following:  "My  client  is  not  currently
    40  receiving my services or seeking my services in connection with:
    41    (i) A proposed bill or resolution in the senate or assembly during the
    42  reporting period;
    43    (ii)  A  contract in an amount totaling $10,000 or more from the state
    44  or any state agency for services, materials, or property;
    45    (iii) A grant of $10,000 or more from the state or  any  state  agency
    46  during the reporting period;
    47    (iv)  A  grant  obtained  through  a legislative initiative during the
    48  reporting period; or
    49    (v) A case, proceeding, application or other  matter  that  is  not  a
    50  ministerial matter before a state agency during the reporting period."
    51    In  reviewing  the request for an exemption, the [joint] commission on
    52  official conduct or the office of court administration may consult  with
    53  bar  or  other  professional  associations  and  the  legislative ethics
    54  commission for individuals subject to its jurisdiction and may  consider
    55  the  rules  of  professional  conduct.  In making its determination, the
    56  [joint] commission on official conduct or the office of  court  adminis-

        A. 3945                            24
     1  tration shall conduct its own inquiry and shall consider factors includ-
     2  ing, but not limited to: (i) the nature and the size of the client; (ii)
     3  whether  the  client  has  any business before the state; and if so, how
     4  significant  the business is; and whether the client has any particular-
     5  ized interest in pending legislation  and  if  so  how  significant  the
     6  interest  is;  (iii)  whether  disclosure may reveal trade secrets; (iv)
     7  whether disclosure could reasonably result in  retaliation  against  the
     8  client;  (v) whether disclosure may cause undue harm to the client; (vi)
     9  whether disclosure may result  in  undue  harm  to  the  attorney-client
    10  relationship;  and (vii) whether disclosure may result in an unnecessary
    11  invasion of privacy to the client.
    12    The [joint] commission on official conduct or, as the case may be, the
    13  office of court administration shall promptly make a final determination
    14  in response to such request, which shall include an explanation for  its
    15  determination.  The office of court administration shall issue its final
    16  determination  within three days of receiving the request. Notwithstand-
    17  ing any other provision of law or any professional disciplinary rule  to
    18  the  contrary,  the disclosure of the identity of any client or customer
    19  in response to this question shall not constitute  professional  miscon-
    20  duct  or a ground for disciplinary action of any kind, or form the basis
    21  for any civil or criminal cause of action  or  proceeding.  A  reporting
    22  individual  who  first enters public office after December thirty-first,
    23  two thousand fifteen, need not report clients or customers with  respect
    24  to  matters  for  which  the reporting individual or his or her firm was
    25  retained prior to entering public office.
    26  Client        Name of Lobbyist     Description    Category of Amount
    27                                     of Matter       (in Table 1)
    28  ________________________________________________________________________
    29  ________________________________________________________________________
    30  ________________________________________________________________________
    31  ________________________________________________________________________
    32  ________________________________________________________________________
    33    (d) List the name, principal address and general  description  or  the
    34  nature  of  the  business  activity of any entity in which the reporting
    35  individual or such individual's spouse had an investment  in  excess  of
    36  $1,000 excluding investments in securities and interests in real proper-
    37  ty.
    38    4.  A reporting individual who knowingly and wilfully fails to file an
    39  annual statement of financial disclosure or who knowingly  and  wilfully
    40  with  intent  to  deceive  makes  a false statement or gives information
    41  which such individual knows to be false on such statement  of  financial
    42  disclosure  filed  pursuant  to this section shall be subject to a civil
    43  penalty in an amount not to exceed forty thousand dollars. Assessment of
    44  a civil penalty hereunder shall be made by  the  [joint]  commission  on
    45  [public  ethics]  official  conduct or by the legislative ethics commis-
    46  sion, as the case may be, with  respect  to  persons  subject  to  their
    47  respective  jurisdictions.    The  [joint]  commission on [public ethics
    48  acting pursuant to subdivision fourteen of section  ninety-four  of  the
    49  executive  law]  official  conduct  or the legislative ethics commission
    50  acting pursuant to subdivision eleven of section eighty of the  legisla-
    51  tive  law, as the case may be, may, in lieu of or in addition to a civil
    52  penalty, refer a violation to the appropriate prosecutor and  upon  such
    53  conviction,  but  only  after  such  referral,  such  violation shall be
    54  punishable as a class A misdemeanor. A civil penalty  for  false  filing
    55  may  not  be  imposed  hereunder  in  the event a category of "value" or

        A. 3945                            25
     1  "amount" reported hereunder is incorrect unless such  reported  informa-
     2  tion  is falsely understated. Notwithstanding any other provision of law
     3  to the contrary, no other penalty, civil or criminal may be imposed  for
     4  a failure to file, or for a false filing, of such statement, except that
     5  the  appointing  authority  may  impose disciplinary action as otherwise
     6  provided by law. The [joint]  commission  on  [public  ethics]  official
     7  conduct and the legislative ethics commission shall each be deemed to be
     8  an  agency  within the meaning of article three of the state administra-
     9  tive procedure act and shall adopt rules governing the conduct of  adju-
    10  dicatory proceedings and appeals relating to the assessment of the civil
    11  penalties  herein  authorized. Such rules, which shall not be subject to
    12  the approval requirements of the  state  administrative  procedure  act,
    13  shall  provide for due process procedural mechanisms substantially simi-
    14  lar to those set forth in such article three but  such  mechanisms  need
    15  not  be identical in terms or scope. Assessment of a civil penalty shall
    16  be final unless modified, suspended or vacated  within  thirty  days  of
    17  imposition  and  upon  becoming  final shall be subject to review at the
    18  instance of the affected reporting individual in a proceeding  commenced
    19  against  the  [joint]  commission on [public ethics] official conduct or
    20  the legislative ethics commission, pursuant to article seventy-eight  of
    21  the civil practice law and rules.
    22    §  43. The opening paragraph of section 1-d of the legislative law, as
    23  amended by chapter 14 of the  laws  of  2007,  is  amended  to  read  as
    24  follows:
    25    In  addition to any other powers and duties [provided by section nine-
    26  ty-four of the executive law,] the commission shall, with respect to its
    27  lobbying-related functions only, have the power and duty to:
    28    § 44. Subdivision 3 of section 2986 of the public authorities law,  as
    29  added by chapter 506 of the laws of 2009, is amended to read as follows:
    30    3.  Any  communications between an employee and the authorities budget
    31  office pursuant to this section shall be held strictly  confidential  by
    32  the  authorities  budget office, unless the employee specifically waives
    33  in writing the right to confidentiality, except that such confidentiali-
    34  ty shall not exempt the authorities budget office from  disclosing  such
    35  information,  where  appropriate,  to the commission on official conduct
    36  [state inspector general in accordance with section  fifty-five  of  the
    37  executive law,] or prevent disclosure to any law enforcement authority.
    38    § 45. This act shall take effect on the first of January next succeed-
    39  ing the date on which it shall have become a law; provided that sections
    40  six  through  twenty-three and sections twenty-five through thirty-seven
    41  of this act shall take effect on the first of April next succeeding  the
    42  date  on which it shall have become a law; and provided further that the
    43  amendments to subdivision 3 of section 212 of  the  racing,  pari-mutuel
    44  wagering and breeding law made by section twenty-eight of this act shall
    45  not affect the repeal of such section and shall be deemed repealed ther-
    46  ewith.
    47                                   PART C
    48    Section  1. The election law is amended by adding a new section 14-131
    49  to read as follows:
    50    § 14-131. Contribution funds; forfeiture after criminal conviction. 1.
    51  All contributions received by an elected candidate for public office  or
    52  an  elected official, who is charged with a felony where such felony was
    53  directly related to his or her service as an elected official, or  offi-
    54  cer  of  the  state  or of a civil division thereof, shall be subject to

        A. 3945                            26
     1  immediate audit and  any  unspent  contributions  shall  be  subject  to
     2  forfeiture  proceedings  upon  conviction or resignation of such elected
     3  candidate.
     4    2.  The  attorney  general, or district attorney of the county wherein
     5  the election occurred, shall have  standing  to  initiate  a  forfeiture
     6  proceeding  brought  pursuant to article sixteen of this chapter. To the
     7  extent possible, this special proceeding shall be governed by the proce-
     8  dures of article thirteen-A of the civil practice law  and  rules  shall
     9  govern the proceedings and actions under this section.
    10    3.  The  comptroller shall receive any forfeited unspent contributions
    11  and, to the extent practicable, return such funds to the private  source
    12  of  such  funds,  as long as the private source of such funds is located
    13  within the district that is represented by  the  elected  candidate  for
    14  public  office  or  elected  official  or  statewide for governor, comp-
    15  troller, and attorney general.  If the comptroller fails to  locate  the
    16  private  source  of  such  funds, or if the private source of such funds
    17  resides outside of the election district  that  is  represented  by  the
    18  elected candidate for public office or elected official or statewide for
    19  governor,  comptroller,  and attorney general, the unspent contributions
    20  shall be donated to a charitable organization that  is,  to  the  extent
    21  practicable, located in the election district that is represented by the
    22  elected candidate for public office or elected official or statewide for
    23  governor,  comptroller,  and  attorney  general.   Any forfeited unspent
    24  contributions shall be returned to the private source of such funds,  or
    25  donated  to a charitable organization, within one hundred eighty days of
    26  the receipt of such funds by the comptroller.
    27    4. For the purposes of this section, "charitable  organization"  shall
    28  mean  any  non-profit  corporation organized for bona fide charitable or
    29  philanthropic purposes.
    30    5. The comptroller shall provide the governor and the legislature with
    31  a  list  of  charitable  organizations  that  are  eligible  to  receive
    32  donations  pursuant  to  this  section. Charitable organizations on such
    33  list may be deemed ineligible to  receive  donations  pursuant  to  this
    34  section  by  the  governor,  the  temporary president of the senate, the
    35  speaker of the assembly, the minority leader of the senate or the minor-
    36  ity leader of the assembly.
    37    § 2. The election law is amended by adding a  new  section  16-111  to
    38  read as follows:
    39    §  16-111. Proceedings as to forfeiture of funds. The attorney general
    40  or the district attorney may bring a special proceeding seeking to seize
    41  and cause to be forfeited the funds of a designated campaign account  as
    42  outlined in section 14-131 of this chapter. Upon a showing of indictment
    43  or  criminal  arraignment,  an action may be instituted pursuant to this
    44  section which will allow for the freezing of  said  designated  campaign
    45  account.
    46    § 3. This act shall take effect immediately.
    47                                   PART D
    48    Section  1.  The  penal  law is amended by adding a new article 201 to
    49  read as follows:
    50                                 ARTICLE 201
    51                        FAILURE TO REPORT CORRUPTION
    52  Section 201.00 Failure to report corruption.
    53  § 201.00 Failure to report corruption.
    54    1. A public servant is guilty of failure to report corruption when:

        A. 3945                            27
     1    (a) A public servant knows that another person or  public  servant  is
     2  guilty  of  official  misconduct pursuant to article one hundred ninety-
     3  five of this title; is guilty of bribery or bribe receiving pursuant  to
     4  article two hundred of this title; or is guilty of a crime of corrupting
     5  the  government  pursuant  to  article  four  hundred ninety-six of this
     6  title; and
     7    (b) Such public servant does not, as soon as  reasonably  practicable,
     8  report  such  crime to a district attorney or to the Commission on Offi-
     9  cial Conduct.
    10    2. Any public servant who makes a  report  pursuant  to  this  section
    11  shall  not be subject to dismissal, discipline or other personnel action
    12  as a result of making such report.
    13    Failure to report corruption is a class A misdemeanor.
    14    § 2. This act shall take effect on the one hundred twentieth day after
    15  it shall have become a law.
    16                                   PART E
    17    Section 1. Section 14-130 of the election law is REPEALED  and  a  new
    18  section 14-130 is added to read as follows:
    19    §  14-130. Campaign funds for personal use. 1.  Contributions received
    20  by a candidate or a political committee may be expended for  any  lawful
    21  purpose that is directly related to promoting the nomination or election
    22  of  a  candidate.  Such  funds shall not be converted by any person to a
    23  personal use.
    24    2. (a) As used in this section, expenditures for  "personal  use"  are
    25  defined as expenditures that:
    26    (i)  are  for the personal benefit of the candidate or any other indi-
    27  vidual;
    28    (ii) defray normal living expenses of the candidate, immediate  family
    29  of the candidate, or any other individual;
    30    (iii)  are used to fulfill any commitment, obligation, or expense of a
    31  person  that  would  exist  irrespective  of  the  candidate's  election
    32  campaign;
    33    (iv)  are  put to any use for which the candidate would be required to
    34  treat the amount of  the  expenditure  as  gross  income  under  section
    35  sixty-one  of the Internal Revenue Code, or any subsequent corresponding
    36  section of the Internal Revenue Code of the United States.
    37    (b) Expenditures for personal use shall include, but are  not  limited
    38  to, expenses for the following that are not related to campaign purposes
    39  or activities:
    40    (i) criminal attorney or legal fees;
    41    (ii) food;
    42    (iii) salary payments to a person or a family member;
    43    (iv) automobile purchases or leases;
    44    (v) travel and mileage;
    45    (vi) residential or household items;
    46    (vii) mortgage, rent, or utility payments;
    47    (viii) funeral, cremation, or burial;
    48    (ix) clothing;
    49    (x) tuition payments;
    50    (xi) childcare;
    51    (xii)  dues,  fees,  or  gratuities  at  a  country club, health club,
    52  fraternal organization  or  professional  organization  or  recreational
    53  facility;

        A. 3945                            28
     1    (xiii)  admission to a sporting event, concert, theater, or other form
     2  of entertainment;
     3    (xiv) payment of any fines, fees, or penalties; and
     4    (xv)  any  other  expenditure designated by the Commission on Official
     5  Conduct as constituting personal use.
     6    § 2. This act shall take effect on the first of January next  succeed-
     7  ing the date on which it shall have become a law.
     8                                   PART F
     9    Section 1. Section 14-126 of the election law, as amended by section 6
    10  of  subpart C of part H of chapter 55 of the laws of 2014, subdivision 1
    11  as separately amended by section 1 of subpart B of part H of chapter  55
    12  of the laws of 2014, subdivision 3 as amended, subdivision 7 as added by
    13  section  12  of part JJJ of chapter 59 of the laws of 2018, and subdivi-
    14  sion 3-a as added by section 11 of part A of chapter 286 of the laws  of
    15  2016, is amended to read as follows:
    16    § 14-126. Violations; penalties. 1. (a) Any person who fails to file a
    17  statement  required  to  be  filed by this article shall be subject to a
    18  civil penalty, not in excess of one thousand dollars, to be  recoverable
    19  in  a  special  proceeding  or  civil  action to be brought by the chief
    20  enforcement counsel pursuant to section 16-114 of this chapter or by the
    21  Commission on Official Conduct. Any person  who,  three  or  more  times
    22  within  a  given election cycle for such term of office, fails to file a
    23  statement or statements required to be filed by this article,  shall  be
    24  subject to a civil penalty, not in excess of ten thousand dollars, to be
    25  recoverable as provided for in this subdivision.
    26    (b)  All payments received by the state board of elections pursuant to
    27  this section shall be retained in the appropriate accounts as designated
    28  by the division of the budget for enforcement activities by the board of
    29  elections.
    30    2. Any person who, acting as or on behalf of a candidate or  political
    31  committee,  under  circumstances evincing an intent to violate such law,
    32  unlawfully accepts a contribution in excess of a contribution limitation
    33  established in this article, shall be required  to  refund  such  excess
    34  amount  and  shall  be  subject  to  a civil penalty equal to the excess
    35  amount plus a fine of up to ten thousand dollars, to be recoverable in a
    36  special proceeding or civil action to be brought by the state  board  of
    37  elections chief enforcement counsel.
    38    3.  Any  person  who falsely identifies or knowingly fails to identify
    39  any independent expenditure as required by subdivision  two  of  section
    40  14-107  of  this  article  shall be subject to a civil penalty up to one
    41  thousand dollars or up to the cost of the  communication,  whichever  is
    42  greater,  in  a  special proceeding or civil action brought by the state
    43  board of elections chief enforcement counsel pursuant to  paragraph  (a)
    44  of  subdivision  five  of section 3-104 of this chapter. For purposes of
    45  this subdivision, the term  "person"  shall  mean  a  person,  group  of
    46  persons, corporation, unincorporated business entity, labor organization
    47  or  business, trade or professional association or organization or poli-
    48  tical committee.
    49    3-a. Any person who, acting as or on behalf of an independent expendi-
    50  ture committee or a political action committee, knowingly and  willfully
    51  violates  the  provisions  of  section 14-107-a of this article shall be
    52  subject to a civil penalty, up to one thousand dollars or up to the cost
    53  of the communication, whichever is  greater,  to  be  recoverable  in  a

        A. 3945                            29
     1  special  proceeding  or civil action to be brought by the state board of
     2  elections.
     3    4.  (a)  Any person who knowingly and willfully fails to file a state-
     4  ment required to be filed by this article within ten days after the date
     5  provided for filing such statement or any person who knowingly and will-
     6  fully violates any other provision of this article shall be guilty of  a
     7  misdemeanor.
     8    (b)  Any  candidate or person acting as or on behalf of a candidate or
     9  political committee who knowingly and willfully fails to file  a  state-
    10  ment  required  to be filed by this article within thirty days after the
    11  date provided for filing such statement, unless granted an extension  by
    12  the  state  board  of  elections  or  other board of elections, shall be
    13  subject to a civil penalty of one thousand dollars for the first offense
    14  and two thousand five hundred dollars for the second offense  and  every
    15  offense  committed  thereafter to be recoverable in a special proceeding
    16  or civil action to be brought by the  Commission  on  Official  Conduct.
    17  Candidates shall be placed on notice by the board of elections, and will
    18  be  liable for any criminal or civil penalties for the treasurer's fail-
    19  ure to file required disclosure reports.
    20    5. Any person who knowingly and willfully contributes, accepts or aids
    21  or participates in the acceptance of a contribution in an amount exceed-
    22  ing an applicable maximum specified in this article shall be guilty of a
    23  class A misdemeanor.
    24    6. Any person who shall, acting on behalf of a candidate or  political
    25  committee,  knowingly  and willfully solicit, organize or coordinate the
    26  formation of activities of one or  more  unauthorized  committees,  make
    27  expenditures  in connection with the nomination for election or election
    28  of any candidate, or solicit any person to make any  such  expenditures,
    29  for the purpose of evading the contribution limitations of this article,
    30  shall be guilty of a class E felony.
    31    7.  Any  online platform that fails to comply with the requirements of
    32  section 14-107-b of this article shall be subject to a civil penalty  up
    33  to  one  thousand  dollars for each violation in a special proceeding or
    34  civil action brought by the state board of elections  chief  enforcement
    35  counsel  pursuant  to paragraph (a) of subdivision five of section 3-104
    36  of this chapter.
    37    § 2. This act shall take effect immediately.
    38                                   PART G
    39    Section 1. The legislative law is amended by adding a new section  5-b
    40  to read as follows:
    41    §  5-b. Limits on time a legislator may serve as a legislative leader.
    42  No member of the legislature may be elected  to  serve  more  than  four
    43  consecutive  two  year  terms  as the temporary president of the senate,
    44  minority leader of the senate, speaker of the assembly, minority  leader
    45  of the assembly or the chairperson of any senate or assembly committee.
    46    §  2. This act shall take effect on the first of January next succeed-
    47  ing the date on which it shall have become a law.
    48    § 3. Severability clause. If any clause, sentence, paragraph, subdivi-
    49  sion, section or part of this act shall be  adjudged  by  any  court  of
    50  competent  jurisdiction  to  be invalid, such judgment shall not affect,
    51  impair, or invalidate the remainder thereof, but shall  be  confined  in
    52  its  operation  to the clause, sentence, paragraph, subdivision, section
    53  or part thereof directly involved in the controversy in which such judg-
    54  ment shall have been rendered. It is hereby declared to be the intent of

        A. 3945                            30
     1  the legislature that this act would  have  been  enacted  even  if  such
     2  invalid provisions had not been included herein.
     3    §  4.  This act shall take effect immediately; provided, however, that
     4  the applicable effective dates of Parts A through G of this act shall be
     5  as specifically set forth in the last section of such Parts.
feedback