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 - Dead) 2020-01-08 - referred to 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. LBD06132-01-9A. 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 seven43of the constitution without designating a grantee shall be allocated44only pursuant to a plan setting forth an itemized list of grantees with45the amount to be received by each, or the methodology for allocating46such appropriation. Such plan shall be subject to the approval of the47chair of the senate finance committee, the chair of the assembly waysA. 3945 3 1and means committee, and the director of the budget, and thereafter2shall be included in a concurrent resolution calling for the expenditure3of such monies, which resolution must be approved by a majority vote of4all 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 inA. 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 nameA. 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 theA. 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 theyA. 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 temporaryA. 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 ofA. 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 transferredA. 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 theA. 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-15rity 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 to10subdivision 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 [public20ethics] 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-39four 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 established52by 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 established11by 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, [subdivision22fourteen 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[, in33accordance with required rules and regulations on the subject adopted34pursuant to paragraph c of subdivision nine of section ninety-four of35the 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 aA. 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 heA. 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 of7section 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 ofA. 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-four45of 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) andA. 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 of37section 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 ethics48acting pursuant to subdivision fourteen of section ninety-four of the49executive 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" orA. 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-26ty-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 the37executive 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 toA. 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 aA. 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 ofA. 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.