Bill Text: NY S01458 | 2017-2018 | General Assembly | Introduced
Bill Title: Does away with the legislative ethics commission and transfers certain duties to the joint commission on public ethics.
Sponsorship: Partisan Bill (Democrat 1)
Status: (Introduced - Dead) 2018-01-03 - REFERRED TO INVESTIGATIONS AND GOVERNMENT OPERATIONS [S01458 Detail]
Download: New_York-2017-S01458-Introduced.html
STATE OF NEW YORK ________________________________________________________________________ 1458 2017-2018 Regular Sessions IN SENATE January 9, 2017 ___________ Introduced by Sen. AVELLA -- read twice and ordered printed, and when printed to be committed to the Committee on Investigations and Govern- ment Operations AN ACT to amend the legislative law, the executive law and the public officers law, in relation to doing away with the legislative ethics commission and transferring certain duties to the joint commission on public ethics; and to repeal article 5 of the legislative law, in relation to the legislative ethics commission The People of the State of New York, represented in Senate and Assem- bly, do enact as follows: 1 Section 1. Article 5 of the legislative law is REPEALED. 2 § 2. Section 94 of the executive law, as amended by section 6 of part 3 A of chapter 399 of the laws of 2011, paragraph (a) of subdivision 13 as 4 amended by section 1 and paragraph (b) of subdivision 13 as amended by 5 section 2 of part J of chapter 286 of the laws of 2016, is amended to 6 read as follows: 7 § 94. Joint commission on public ethics; functions, powers and duties; 8 review of financial disclosure statements; advisory opinions; investi- 9 gation and enforcement. 10 1. There is established within the department of state a joint commis- 11 sion on public ethics which shall consist of [fourteen] five members and 12 shall have and exercise the powers and duties set forth in this section 13 with respect to statewide elected officials, members of the legislature 14 and employees of the legislature, and state officers and employees, as 15 defined in sections seventy-three and seventy-three-a of the public 16 officers law, candidates for statewide elected office and for the senate 17 or assembly, and the political party chairman as that term is defined in 18 section seventy-three-a of the public officers law, lobbyists and the 19 clients of lobbyists as such terms are defined in article one-A of the 20 legislative law, and individuals who have formerly held such positions, 21 were lobbyists or clients of lobbyists, as such terms are defined in EXPLANATION--Matter in italics (underscored) is new; matter in brackets [] is old law to be omitted. LBD01283-01-7S. 1458 2 1 article one-A of the legislative law, or who have formerly been such 2 candidates. This section shall not be deemed to have revoked or rescind- 3 ed any regulations or advisory opinions issued by the former legislative 4 ethics commission, the former commission on public integrity, the state 5 ethics commission and the temporary lobbying commission in effect upon 6 the effective date of chapter fourteen of the laws of two thousand seven 7 which amended this section to the extent that such regulations or opin- 8 ions are not inconsistent with any law of the state of New York, but 9 such regulations and opinions shall apply only to matters over which 10 such commissions had jurisdiction at the time such regulations and opin- 11 ions were promulgated or issued. The commission shall undertake a 12 comprehensive review of all such regulations and opinions, which will 13 address the consistency of such regulations and opinions among each 14 other and with the new statutory language, and of the effectiveness of 15 the existing laws, regulations, guidance and ethics enforcement struc- 16 ture to address the ethics of covered public officials and related 17 parties. [Such review shall be conducted with the legislative ethics18commission and, to the extent possible, the report's findings shall19reflect the full input and deliberations of both commissions after joint20consultation.] The commission shall, before February first, two thousand 21 fifteen, report to the governor and legislature regarding such review 22 and shall propose any regulatory or statutory changes and issue any 23 advisory opinions necessitated by such review. 24 2. The members of the commission shall be appointed [as follows: three25members shall be appointed by the temporary president of the senate,26three members shall be appointed by the speaker of the assembly, one27member shall be appointed by the minority leader of the senate, one28member shall be appointed by the minority leader of the assembly, and29six members shall be appointed] by the governor [and the lieutenant30governor. In the event that a vacancy arises with respect to a member of31the commission first appointed pursuant to the chapter of the laws of32two thousand eleven which amended this subdivision by a legislative33leader, the legislative leaders of the same political party in the same34house shall appoint a member to fill such vacancy irrespective of wheth-35er that legislative leader's political party is in the majority or36minority. Of the members appointed by the governor and the lieutenant37governor, at least three members shall be and shall have been for at38least three years enrolled members of the major political party in which39the governor is not enrolled. In the event of a vacancy in a position40previously appointed by the governor and lieutenant governor, the gover-41nor and lieutenant governor shall appoint a member of the same political42party as the member that vacated that position. Prior to making their43respective appointments, the governor and the lieutenant governor and44the legislative leaders shall solicit and receive recommendations for45appointees from the attorney general and the comptroller of the state of46New York, which recommendations shall be fully and properly considered47but shall not be binding] with the advice and consent of the legisla- 48 ture, without regard to political affiliation, from the list provided by 49 the nominating panel as described in subdivision two-a of this section. 50 No individual shall be eligible for appointment as a member of the 51 commission who currently or within the last three years: 52 (i) is or has been registered as a lobbyist in New York state; 53 (ii) is or has been a member of the New York state legislature or a 54 statewide elected official or a commissioner of an executive agency 55 appointed by the governor; orS. 1458 3 1 (iii) is or has been a political party chairman, as defined in para- 2 graph (k) of subdivision one of section seventy-three of [this article] 3 the public officers law. 4 No individual shall be eligible for appointment as a member of the 5 commission who currently or within the last year is or has been a state 6 officer or employee or legislative employee as defined in section seven- 7 ty-three of the public officers law. 8 2-a. The governor shall create a nominating panel composed of three 9 members whose sole function shall be to nominate persons for consider- 10 ation by the governor for appointment to the commission. Representation 11 on the panel and the selection of such members shall be as follows: one 12 member shall be the chief judge of the court of appeals or his or her 13 designee; one member shall be the president of the New York state bar 14 association or his or her designee; and one member shall be executive 15 director of the not-for-profit organization, common cause, or his or her 16 designee. 17 3. Members of the commission shall serve for terms of five years; 18 provided, however, that of the members first appointed by the governor 19 [and lieutenant governor], one shall serve for one year, one shall serve 20 for two years, one shall serve for three years, and one shall serve for 21 four years, as designated by the governor[; the members first appointed22by the temporary president of the senate and by the speaker of the23assembly shall serve for four years and the members first appointed by24the minority leaders of the senate and the assembly shall serve for two25years]. 26 4. The governor shall designate the chairman of the commission from 27 among the members thereof, who shall serve as chairman at the pleasure 28 of the governor. The chairman or any [eight] three members of the 29 commission may call a meeting. 30 5. Any vacancy occurring on the commission shall be filled within 31 thirty days of its occurrence in the same manner as the member whose 32 vacancy is being filled was appointed. A person appointed to fill a 33 vacancy occurring other than by expiration of a term of office shall be 34 appointed for the unexpired term of the member he or she succeeds. 35 6. [Eight] Three members of the commission shall constitute a quorum, 36 and the commission shall have power to act by majority vote of the total 37 number of members of the commission without vacancy except where the 38 commission acts pursuant to subdivision thirteen, subdivision fourteen-a 39 or subdivision fourteen-b of this section. 40 7. Members of the commission may be removed by the [appointing author-41ity] governor solely for substantial neglect of duty, gross misconduct 42 in office, violation of the confidentiality restrictions in subdivision 43 nine-a of this section, inability to discharge the powers or duties of 44 office or violation of this section, after written notice and opportu- 45 nity for a reply. 46 8. The members of the [joint] commission shall receive a per diem 47 allowance in the sum of three hundred dollars for each day actually 48 spent in the performance of his or her duties under this article, and, 49 in addition thereto, shall be reimbursed for all reasonable expenses 50 actually and necessarily incurred by him or her in the performance of 51 his or her duties under this article. 52 9. The commission shall: 53 (a) Appoint an executive director who shall act in accordance with the 54 policies of the commission. The appointment and removal of the executive 55 director shall be made solely by a vote of a majority of the commis- 56 sion[, which majority shall include at least one member appointed by theS. 1458 4 1governor from each of the two major political parties, and one member2appointed by a legislative leader from each of the two major political3parties]. The commission may delegate authority to the executive direc- 4 tor to act in the name of the commission between meetings of the commis- 5 sion provided such delegation is in writing, the specific powers to be 6 delegated are enumerated, and the commission shall not delegate any 7 decisions specified in this section that require a vote of the commis- 8 sion. The executive director shall be appointed without regard to poli- 9 tical affiliation and solely on the basis of fitness to perform the 10 duties assigned by this article, and shall be a qualified, independent 11 professional. The commission may remove the executive director for 12 neglect of duty, misconduct in office, violation of the confidentiality 13 restrictions in subdivision nine-a of this section, or inability or 14 failure to discharge the powers or duties of office, including the fail- 15 ure to follow the lawful instructions of the commission; 16 (b) Appoint such other staff as are necessary to carry out its duties 17 under this section; 18 (b-1) Review and approve a staffing plan provided and prepared by the 19 executive director which shall contain, at a minimum, a list of the 20 various units and divisions as well as the number of positions in each 21 unit, titles and their duties, and salaries, as well as the various 22 qualifications for each position including, but not limited to, educa- 23 tion and prior experience for each position[.]; 24 (c) Adopt, amend, and rescind rules and regulations to govern proce- 25 dures of the commission, which shall include, but not be limited to, the 26 procedure whereby a person who is required to file an annual financial 27 disclosure statement with the commission may request an additional peri- 28 od of time within which to file such statement, [other than members of29the legislature, candidates for members of the legislature and legisla-30tive employees,] due to justifiable cause or undue hardship; such rules 31 or regulations shall provide for a date beyond which in all cases of 32 justifiable cause or undue hardship no further extension of time will be 33 granted; 34 (d) Adopt, amend, and rescind rules and regulations to assist appoint- 35 ing authorities in determining which persons hold policy-making posi- 36 tions for purposes of section seventy-three-a of the public officers law 37 and may promulgate guidelines to assist firms, associations and corpo- 38 rations in separating affected persons from net revenues for purposes of 39 subdivision ten of section seventy-three of the public officers law, and 40 promulgate guidelines to assist any firm, association or corporation in 41 which any present or former statewide elected official, state officer or 42 employee, member of the legislature or legislative employee, or poli- 43 tical party chairman is a member, associate, retired member of counsel 44 or shareholder, in complying with the provisions of subdivision ten of 45 section seventy-three of the public officers law with respect to the 46 separation of such present or former statewide elected official, state 47 officer or employee, member of the legislature or legislative employee, 48 or political party chairman from the net revenues of the firm, associ- 49 ation or corporation. Such firm, association or corporation shall not be 50 required to adopt the procedures contained in the guidelines to estab- 51 lish compliance with subdivision ten of section seventy-three of the 52 public officers law, but if such firm, association or corporation does 53 adopt such procedures, it shall be deemed to be in compliance with such 54 subdivision ten;S. 1458 5 1 (d-1) Adopt, amend and rescind rules and regulations defining the 2 permissible use of and promoting the proper use of public service 3 announcements; 4 (e) Make available forms for annual statements of financial disclosure 5 required to be filed pursuant to subdivision six of section seventy- 6 three and section seventy-three-a of the public officers law; 7 (f) Review financial disclosure statements in accordance with the 8 provisions of this section, provided however, that the commission may 9 delegate all or part of this review function to the executive director 10 who shall be responsible for completing staff review of such statements 11 in a manner consistent with the terms of the commission's delegation; 12 (g) Receive complaints and referrals alleging violations of section 13 seventy-three, seventy-three-a or seventy-four of the public officers 14 law, article one-A of the legislative law or section one hundred seven 15 of the civil service law; 16 (h) Permit any person who is required to file a financial disclosure 17 statement with the [joint] commission [on public ethics] to request that 18 the commission delete from the copy thereof made available for public 19 inspection and copying one or more items of information which may be 20 deleted by the commission upon a finding by the commission that the 21 information which would otherwise be required to be made available for 22 public inspection and copying will have no material bearing on the 23 discharge of the reporting person's official duties. If such request for 24 deletion is denied, the commission, in its notification of denial, shall 25 inform the person of his or her right to appeal the commission's deter- 26 mination pursuant to its rules governing adjudicatory proceedings and 27 appeals adopted pursuant to subdivision fourteen of this section; 28 (i) Permit any person who is required to file a financial disclosure 29 statement with the [joint] commission [on public ethics] to request an 30 exemption from any requirement to report one or more items of informa- 31 tion which pertain to such person's spouse or unemancipated children 32 which item or items may be exempted by the commission upon a finding by 33 the commission that the reporting individual's spouse, on his or her own 34 behalf or on behalf of an unemancipated child, objects to providing the 35 information necessary to make such disclosure and that the information 36 which would otherwise be required to be reported will have no material 37 bearing on the discharge of the reporting person's official duties. If 38 such request for exemption is denied, the commission, in its notifica- 39 tion of denial, shall inform the person of his or her right to appeal 40 the commission's determination pursuant to its rules governing adjudica- 41 tory proceedings and appeals adopted pursuant to subdivision fourteen of 42 this section; 43 (i-1) Permit any person required to file a financial disclosure state- 44 ment to request an exemption from any requirement to report the identity 45 of a client pursuant to question 8(b) in such statement based upon an 46 exemption set forth in that question. The reporting individual need not 47 seek an exemption to refrain from disclosing the identity of any client 48 with respect to any matter he or she or his or her firm provided legal 49 representation to the client in connection with an investigation or 50 prosecution by law enforcement authorities, bankruptcy, or domestic 51 relations matters; in addition, clients or customers receiving medical 52 or dental services, mental health services, residential real estate 53 brokering services, or insurance brokering services need not be 54 disclosed[.]; 55 (j) Advise and assist any state agency in establishing rules and regu- 56 lations relating to possible conflicts between private interests andS. 1458 6 1 official duties of present or former statewide elected officials and 2 state officers and employees; 3 (k) Permit any person who has not been determined by his or her 4 appointing authority to hold a policy-making position but who is other- 5 wise required to file a financial disclosure statement to request an 6 exemption from such requirement in accordance with rules and regulations 7 governing such exemptions. Such rules and regulations shall provide for 8 exemptions to be granted either on the application of an individual or 9 on behalf of persons who share the same job title or employment classi- 10 fication which the commission deems to be comparable for purposes of 11 this section. Such rules and regulations may permit the granting of an 12 exemption where, in the discretion of the commission, the public inter- 13 est does not require disclosure and the applicant's duties do not 14 involve the negotiation, authorization or approval of: 15 (i) contracts, leases, franchises, revocable consents, concessions, 16 variances, special permits, or licenses as defined in section seventy- 17 three of the public officers law; 18 (ii) the purchase, sale, rental or lease of real property, goods or 19 services, or a contract therefor; 20 (iii) the obtaining of grants of money or loans; or 21 (iv) the adoption or repeal of any rule or regulation having the force 22 and effect of law; 23 (l) Prepare an annual report to the governor and legislature summariz- 24 ing the activities of the commission during the previous year and recom- 25 mending any changes in the laws governing the conduct of persons subject 26 to the jurisdiction of the commission, or the rules, regulations and 27 procedures governing the commission's conduct. Such report shall 28 include: (i) a listing by assigned number of each complaint and referral 29 received which alleged a possible violation within its jurisdiction, 30 including the current status of each complaint, and (ii) where a matter 31 has been resolved, the date and nature of the disposition and any sanc- 32 tion imposed, subject to the confidentiality requirements of this 33 section, provided, however, that such annual report shall not contain 34 any information for which disclosure is not permitted pursuant to subdi- 35 vision nineteen of this section; 36 (m) Determine a question common to a class or defined category of 37 persons or items of information required to be disclosed, where determi- 38 nation of the question will prevent undue repetition of requests for 39 exemption or deletion or prevent undue complication in complying with 40 the requirements of such section; and 41 (n) Promulgate guidelines for the commission to conduct a program of 42 random reviews, to be carried out in the following manner: (i) annual 43 statements of financial disclosure shall be selected for review in a 44 manner pursuant to which the identity of any particular person whose 45 statement is selected is unknown to the commission and its staff prior 46 to its selection; (ii) such review shall include a preliminary examina- 47 tion of the selected statement for internal consistency, a comparison 48 with other records maintained by the commission, including previously 49 filed statements and requests for advisory opinions, and examination of 50 relevant public information; (iii) upon completion of the preliminary 51 examination, the commission shall determine whether further inquiry is 52 warranted, whereupon it shall notify the reporting individual in writing 53 that the statement is under review, advise the reporting individual of 54 the specific areas of inquiry, and provide the reporting individual with 55 the opportunity to provide any relevant information related to the 56 specific areas of inquiry, and the opportunity to file amendments to theS. 1458 7 1 selected statement on forms provided by the commission; and (iv) if 2 thereafter sufficient cause exists, the commission shall take additional 3 actions, as appropriate and consistent with law. 4 9-a. (a) When an individual becomes a commissioner or staff of the 5 commission, that individual shall be required to sign a non-disclosure 6 statement. 7 (b) Except as otherwise required or provided by law, testimony 8 received or any other information obtained by a commissioner or staff of 9 the commission shall not be disclosed by any such individual to any 10 person or entity outside the commission during the pendency of any 11 matter. Any confidential communication to any person or entity outside 12 the commission related to the matters before the commission may occur 13 only as authorized by the commission. 14 (c) The commission shall establish procedures necessary to prevent the 15 unauthorized disclosure of any information received by any member of the 16 commission or staff of the commission. Any breaches of confidentiality 17 shall be investigated by the inspector general and appropriate action 18 shall be taken. Any commissioner or person employed by the commission 19 who intentionally and without authorization releases confidential infor- 20 mation received by the commission shall be guilty of a class A misdemea- 21 nor. 22 9-b. During the period of his or her service as a commissioner of the 23 commission, each commissioner shall refrain from making, or soliciting 24 from other persons, any contributions to candidates for election to the 25 offices of governor, lieutenant governor, member of the assembly or the 26 senate, attorney general or state comptroller. 27 10. The commission shall prepare materials and design and administer 28 an ethics training program for individuals subject to the financial 29 disclosure requirements of section seventy-three-a of the public offi- 30 cers law with respect to the provisions of sections seventy-three, 31 seventy-three-a, and seventy-four of the public officers law and any 32 other law, administrative regulation, or internal policy that is of 33 relevance to the ethical conduct of such individuals in public service, 34 as follows: 35 (a) The commission shall develop and administer a comprehensive ethics 36 training course and shall designate and train instructors to conduct 37 such training. Such course shall be designed as a two-hour program and 38 shall include practical application of the material covered and a ques- 39 tion-and-answer participatory segment. Unless the commission grants an 40 extension or waiver for good cause shown, all individuals subject to the 41 financial disclosure requirements of section seventy-three-a of the 42 public officers law shall complete such course within two years of the 43 effective date of the chapter of the laws of two thousand eleven which 44 amended this section, or for those individuals elected or appointed 45 after the effective date of [the] section six of part A of chapter three 46 hundred ninety-nine of the laws of two thousand eleven which amended 47 this section, within two years of becoming subject to the financial 48 disclosure requirements of section seventy-three-a of the public offi- 49 cers law. 50 (b) The commission shall develop and administer an online ethics 51 orientation course and shall notify all individuals newly subject to the 52 financial disclosure requirements of section seventy-three-a of the 53 public officers law of such course, which shall be completed by such 54 individuals within three months of becoming subject to such require- 55 ments, unless the commission grants an extension or waiver for good 56 cause shown. Individuals who have completed the comprehensive ethicsS. 1458 8 1 training course shall not be required to complete the online ethics 2 orientation course. 3 (c) The commission shall develop and administer an ethics seminar or 4 ethics seminars for individuals who have previously completed the 5 comprehensive ethics training course. Such seminars shall be designed as 6 ninety-minute programs and shall include any changes in law, regulation, 7 or policy or in the interpretation thereof, practical application of the 8 material covered, and a question-and-answer segment. Unless the commis- 9 sion grants an extension or waiver for good cause shown, such individ- 10 uals shall be scheduled to attend a seminar at least once every three 11 years after having completed the comprehensive ethics training course. 12 In lieu of attending an ethics seminar, such individuals may complete a 13 subsequent comprehensive ethics training program. 14 (d) The provisions of this subdivision shall be applicable to the 15 legislature except to the extent that an ethics training program is 16 otherwise established by the assembly or senate for their respective 17 members and employees and such program meets or exceeds each of the 18 requirements set forth in this section. 19 (e) On an annual basis, the [joint] commission [in coordination with20the legislative ethics commission] shall determine the status of compli- 21 ance with these training requirements by each state agency and by the 22 senate and the assembly. Such determination shall include aggregate 23 statistics regarding participation in such training, and shall be 24 reported to the governor and the legislature in writing. 25 10-a. The commission shall develop educational materials and training 26 with regard to legislative ethics for members of the legislature and 27 legislative employees including an online ethics orientation course for 28 newly-hired employees and, as requested by the senate or the assembly, 29 materials and training in relation to a comprehensive ethics training 30 program. 31 11. The commission, or the executive director and staff of the commis- 32 sion if responsibility therefor has been delegated, shall inspect all 33 financial disclosure statements filed with the commission to ascertain 34 whether any person subject to the reporting requirements of section 35 seventy-three-a of the public officers law has failed to file such a 36 statement, has filed a deficient statement or has filed a statement 37 which reveals a possible violation of section seventy-three, seventy- 38 three-a or seventy-four of the public officers law. 39 12. If a person required to file a financial disclosure statement with 40 the commission has failed to file a disclosure statement or has filed a 41 deficient statement, the commission shall notify the reporting person in 42 writing, state the failure to file or detail the deficiency, provide the 43 person with a fifteen day period to cure the deficiency, and advise the 44 person of the penalties for failure to comply with the reporting 45 requirements. Such notice shall be confidential. If the person fails to 46 make such filing or fails to cure the deficiency within the specified 47 time period, the commission shall send a notice of delinquency: (a) to 48 the reporting person; (b) in the case of a statewide elected official, 49 member of the legislature, or a legislative employee, to the temporary 50 president of the senate and the speaker of the assembly; and (c) in the 51 case of a state officer or employee, to the appointing authority for 52 such person. Such notice of delinquency may be sent at any time during 53 the reporting person's service as a statewide elected official, state 54 officer or employee, member of the assembly or the senate, or a legisla- 55 tive employee or a political party chair or while a candidate for state-S. 1458 9 1 wide office, or within one year after termination of such service or 2 candidacy. 3 12-a. The jurisdiction of the commission, when acting pursuant to 4 [subdivision fourteen of] this section [with respect to financial5disclosure], shall continue notwithstanding that the [reporting] person 6 separates from state service, or ceases to hold public or political 7 party office, or ceases to be a candidate, provided the commission noti- 8 fies such person of the alleged [failure to file or deficient filing9pursuant to this subdivision] violation of law within one year from his 10 or her separation from state service, the termination from his or her 11 office or the termination of his or her candidacy. 12 13. (a) Investigations. If the commission receives a sworn complaint 13 alleging a violation of section seventy-three, seventy-three-a, or 14 seventy-four of the public officers law, section one hundred seven of 15 the civil service law or article one-A of the legislative law by a 16 person or entity subject to the jurisdiction of the commission including 17 members of the legislature and legislative employees and candidates for 18 member of the legislature, or if a reporting individual has filed a 19 statement which reveals a possible violation of these provisions, or if 20 the commission determines on its own initiative to investigate a possi- 21 ble violation, the commission shall notify the individual in writing, 22 describe the possible or alleged violation of such laws, provide a 23 description of the allegations against him or her and the evidence, if 24 any, supporting such allegations, provided however that the joint 25 commission shall redact any information that might, in the judgment of 26 the commission, be prejudicial to either the complainant or the investi- 27 gation; the letter also shall set forth the sections of law alleged to 28 have been violated and provide the person with a fifteen day period in 29 which to submit a written response, including any evidence, statements, 30 and proposed witnesses, setting forth information relating to the activ- 31 ities cited as a possible or alleged violation of law. The commission 32 shall, within sixty calendar days after a complaint or a referral is 33 received or an investigation is initiated on the commission's own initi- 34 ative, vote on whether to commence a full investigation of the matter 35 under consideration to determine whether a substantial basis exists to 36 conclude that a violation of law has occurred. The staff of the joint 37 commission shall provide to the members prior to such vote information 38 regarding the likely scope and content of the investigation, and a 39 subpoena plan, to the extent such information is available. Such inves- 40 tigation shall be conducted if at least [eight] three members of the 41 commission vote to authorize it. [Where the subject of such investi-42gation is a member of the legislature or a legislative employee or a43candidate for member of the legislature, at least two of the eight or44more members who so vote to authorize such an investigation must have45been appointed by a legislative leader or leaders from the major poli-46tical party in which the subject of the proposed investigation is47enrolled if such person is enrolled in a major political party. Where48the subject of such investigation is a state officer or state employee,49at least two of the eight or more members who so vote to authorize such50an investigation must have been appointed by the governor and lieutenant51governor. Where the subject of such investigation is a statewide elected52official or a direct appointee of such an official, at least two of the53eight or more members who so vote to authorize such an investigation54must have been appointed by the governor and lieutenant governor and be55enrolled in the major political party in which the subject of theS. 1458 10 1proposed investigation is enrolled, if such person is enrolled in a2major political party.] 3 (b) Substantial basis investigation. Upon the affirmative vote of not 4 less than [eight] three commission members to commence a substantial 5 basis investigation, written notice of the commission's decision shall 6 be provided to the individual who is the subject of such substantial 7 basis investigation. Such written notice shall include a copy of the 8 commission's rules and procedures and shall also include notification of 9 such individual's right to be heard within thirty calendar days of the 10 date of the commission's written notice. If the commission votes to 11 commence a substantial basis investigation, the commission shall provide 12 to the individual a notice setting forth the alleged violations of law 13 and the factual basis for those allegations. The commission shall 14 provide to the individual any additional evidence supporting the allega- 15 tions not set forth in the letter sent pursuant to paragraph (a) of this 16 subdivision in sufficient detail to enable the individual to respond, at 17 least seven days before the hearing. Such hearing shall afford the indi- 18 vidual with a reasonable opportunity to appear in person, and by attor- 19 ney, give sworn testimony and present evidence. Such hearing shall occur 20 before the commission votes on whether or not to issue a substantial 21 basis report. The commission shall also inform the individual of its 22 rules regarding the conduct of adjudicatory proceedings and appeals and 23 the other due process procedural mechanisms available to such individ- 24 ual. If the commission determines at any stage that there is no 25 violation, that any potential violation has been rectified, or if the 26 investigation is closed for any other reason, it shall so advise the 27 individual and the complainant, if any in writing within fifteen days of 28 such decision. All of the foregoing proceedings shall be confidential. 29 (c) The jurisdiction of the commission when acting pursuant to this 30 section shall continue notwithstanding that a statewide elected official 31 or a state officer or employee or member of the legislature or legisla- 32 tive employee separates from state service, or a political party chair 33 ceases to hold such office, or a candidate ceases to be a candidate, or 34 a lobbyist or client of a lobbyist ceases to act as such, provided that 35 the commission notifies such individual or entity of the alleged 36 violation of law pursuant to paragraph (a) of this subdivision within 37 one year from his or her separation from state service or his or her 38 termination of party service or candidacy, or from his, her or its last 39 report filed pursuant to article one-A of the legislative law. Nothing 40 in this section shall serve to limit the jurisdiction of the commission 41 in enforcement of subdivision eight of section seventy-three of the 42 public officers law. 43 14. An individual subject to the jurisdiction of the commission who 44 knowingly and intentionally violates the provisions of subdivisions two 45 through five-a, seven, eight, twelve or fourteen through seventeen of 46 section seventy-three of the public officers law, section one hundred 47 seven of the civil service law, or a reporting individual who knowingly 48 and wilfully fails to file an annual statement of financial disclosure 49 or who knowingly and wilfully with intent to deceive makes a false 50 statement or fraudulent omission or gives information which such indi- 51 vidual knows to be false on such statement of financial disclosure filed 52 pursuant to section seventy-three-a of the public officers law shall be 53 subject to a civil penalty in an amount not to exceed forty thousand 54 dollars and the value of any gift, compensation or benefit received as a 55 result of such violation. An individual who knowingly and intentionally 56 violates the provisions of paragraph a, b, c, d, e, g, or i of subdivi-S. 1458 11 1 sion three of section seventy-four of the public officers law shall be 2 subject to a civil penalty in an amount not to exceed ten thousand 3 dollars and the value of any gift, compensation or benefit received as a 4 result of such violation. An individual subject to the jurisdiction of 5 the commission who knowingly and willfully violates article one-A of the 6 legislative law shall be subject to civil penalty as provided for in 7 that article. [Except with respect to members of the legislature and8legislative employees, assessment] Assessment of a civil penalty here- 9 under shall be made by the commission with respect to persons subject to 10 its jurisdiction. With respect to a violation of any law other than 11 sections seventy-three, seventy-three-a, and seventy-four of the public 12 officers law, where the commission finds sufficient cause by a vote held 13 in the same manner as set forth in paragraph (b) of subdivision thirteen 14 of this section, it shall refer such matter to the appropriate prosecu- 15 tor for further investigation. In assessing the amount of the civil 16 penalties to be imposed, the commission shall consider the seriousness 17 of the violation, the amount of gain to the individual and whether the 18 individual previously had any civil or criminal penalties imposed pursu- 19 ant to this section, and any other factors the commission deems appro- 20 priate. [Except with respect to members of the legislature and legisla-21tive employees, for] For a violation of this subdivision, other than for 22 conduct which constitutes a violation of section one hundred seven of 23 the civil service law, subdivisions twelve or fourteen through seventeen 24 of section seventy-three or section seventy-four of the public officers 25 law or article one-A of the legislative law, the commission may, in lieu 26 of or in addition to a civil penalty, refer a violation to the appropri- 27 ate prosecutor and upon such conviction, such violation shall be punish- 28 able as a class A misdemeanor. A civil penalty for false filing may not 29 be imposed hereunder in the event a category of "value" or "amount" 30 reported hereunder is incorrect unless such reported information is 31 falsely understated. Notwithstanding any other provision of law to the 32 contrary, no other penalty, civil or criminal may be imposed for a fail- 33 ure to file, or for a false filing, of such statement, or a violation of 34 subdivision six of section seventy-three of the public officers law, 35 except that the appointing authority may impose disciplinary action as 36 otherwise provided by law. The commission may refer violations of this 37 subdivision to the appointing authority for disciplinary action as 38 otherwise provided by law. The commission shall be deemed to be an agen- 39 cy within the meaning of article three of the state administrative 40 procedure act and shall adopt rules governing the conduct of adjudicato- 41 ry proceedings and appeals taken pursuant to a proceeding commenced 42 under article seventy-eight of the civil practice law and rules relating 43 to the assessment of the civil penalties herein authorized and commis- 44 sion denials of requests for certain deletions or exemptions to be made 45 from a financial disclosure statement as authorized in paragraph (h) or 46 paragraph (i) of subdivision nine of this section. Such rules, which 47 shall not be subject to the approval requirements of the state adminis- 48 trative procedure act, shall provide for due process procedural mech- 49 anisms substantially similar to those set forth in article three of the 50 state administrative procedure act but such mechanisms need not be iden- 51 tical in terms or scope. Assessment of a civil penalty or commission 52 denial of such a request shall be final unless modified, suspended or 53 vacated within thirty days of imposition, with respect to the assessment 54 of such penalty, or unless such denial of request is reversed within 55 such time period, and upon becoming final shall be subject to review at 56 the instance of the affected reporting individuals in a proceedingS. 1458 12 1 commenced against the commission, pursuant to article seventy-eight of 2 the civil practice law and rules. 3 14-a. [The joint commission on public ethics shall have jurisdiction4to investigate, but shall have no jurisdiction to impose penalties upon5members of or candidates for member of the legislature or legislative6employees for any violation of the public officers law.] If, after its 7 substantial basis investigation, by a vote of at least [eight] three 8 members, [two of whom are enrolled members of the investigated individ-9ual's political party if the individual is enrolled in a major political10party and were appointed by a legislative leader of such political11party,] the [joint] commission [on public ethics] has found a substan- 12 tial basis to conclude that a member of the legislature or a legislative 13 employee or candidate for member of the legislature has violated any 14 provisions of such laws, it shall [present] prepare a written report [to15the legislative ethics commission,] and deliver a copy of the report to 16 the individual who is the subject of the report. Such written report 17 shall include: 18 (a) the commission's findings of fact and any evidence addressed in 19 such findings; conclusions of law and citations to any relevant law, 20 rule, opinion, regulation or standard of conduct upon which it relied; 21 and 22 (b) a determination that a substantial basis exists to conclude that a 23 violation has occurred, and the reasons and basis for such determi- 24 nation. 25 [The joint commission shall also separately provide to the legislative26ethics commission copies of additional documents or other evidence27considered including evidence that may contradict the joint commission's28findings, the names of and other information regarding any additional29witnesses, and any other materials.] With respect to a violation of any 30 law other than sections seventy-three, seventy-three-a, and seventy-four 31 of the public officers law, where the joint commission finds sufficient 32 cause by a vote held in the same manner as set forth in paragraph (b) of 33 subdivision thirteen of this section, it shall refer such matter to the 34 appropriate prosecutor. 35 14-b. [With respect to the investigation of any individual who is not36a member of the legislature or a legislative employee or candidate for37member of the legislature, if after its investigation the joint commis-38sion has found a substantial basis to conclude that the individual has39violated the public officers law or the legislative law, the joint40commission shall send a substantial basis investigation report contain-41ing its findings of fact and conclusions of law to the individual. With42respect to an individual who is a statewide elected official or a direct43appointee of such an official, no violation may be found unless the44majority voting in support of such a finding includes at least two45members appointed by the governor and lieutenant governor and enrolled46in the individual's major political party, if he or she is enrolled in a47major political party. Where the subject of such investigation is a48state officer or employee who is not a direct appointee of a statewide49elected official, at least two of the eight or more members who vote to50issue a substantial basis investigation report must have been appointed51by the governor and lieutenant governor. The commission shall release52such report publicly within forty-five days of its issuance.5314-c. With respect to an investigation of a lobbyist, if after its54investigation the joint commission has found a substantial basis to55conclude that the lobbyist has violated the legislative law, the joint56commission shall issue a substantial basis investigation report contain-S. 1458 13 1ing its findings of fact and conclusions of law to the lobbyist and2shall make public such report within forty-five days of its issuance.] 3 Not later than forty-five calendar days after preparation by the commis- 4 sion of a written substantial basis investigation report and any 5 supporting documentation or other materials regarding a matter before 6 the commission pursuant to this section, unless requested by a law 7 enforcement agency to suspend the commission's action because of an 8 ongoing criminal investigation, the commission shall make public such 9 report in its entirety; provided, however, that the commission may with- 10 hold such information for not more than one additional period of the 11 same duration and, if deemed necessary, conduct additional investi- 12 gation, in which case the commission shall, upon the termination of such 13 additional period or upon preparation of a new report after such addi- 14 tional investigation, make public the written report and publish it on 15 the commission's website. The commission shall not conduct additional 16 investigation more than once. If the commission conducts additional 17 fact-finding, the commission's original report shall remain confiden- 18 tial. 19 14-c. The commission shall review the matter addressed in a written 20 substantial basis investigation report. No later than ninety days after 21 final preparation of such report, the commission shall dispose of the 22 matter by making one or more of the following determinations: 23 a. whether the commission adopts the final content of such a report; 24 b. whether and which penalties have been assessed pursuant to applica- 25 ble law or rule and the reasons therefor; and 26 c. whether further actions have been taken by the commission to punish 27 or deter the misconduct at issue and the reasons therefor. 28 The commission's disposition shall be reported in writing and 29 published on its website no later than ten days after such disposition 30 unless requested by a law enforcement agency to suspend the commission's 31 action because of an ongoing criminal investigation. 32 15. A copy of any notice of delinquency or substantial basis investi- 33 gation report shall be included in the reporting person's file and be 34 available for public inspection and copying pursuant to the provisions 35 of this section. 36 16. Upon written request from any person who is subject to the juris- 37 diction of the commission and the requirements of sections seventy- 38 three, seventy-three-a or seventy-four of the public officers law, 39 [other than members of the legislature, candidates for member of the40legislature and employees of the legislature,] the commission shall 41 render written advisory opinions on the requirements of said provisions. 42 An opinion rendered by the commission or by the former legislative 43 ethics commission, until and unless amended or revoked, shall be binding 44 on the commission in any subsequent proceeding concerning the person who 45 requested the opinion and who acted in good faith, unless material facts 46 were omitted or misstated by the person in the request for an opinion. 47 Such opinion may also be relied upon by such person, and may be intro- 48 duced and shall be a defense, in any criminal or civil action. Such 49 requests shall be confidential but the commission may publish such opin- 50 ions provided that the name of the requesting person and other identify- 51 ing details shall not be included in the publication. 52 17. In addition to any other powers and duties specified by law, the 53 commission shall have the power and duty to: 54 (a) Promulgate rules concerning restrictions on outside activities and 55 limitations on the receipt of gifts and honoraria by persons subject to 56 its jurisdiction, provided, however, a violation of such rules in and ofS. 1458 14 1 itself shall not be punishable pursuant to subdivision fourteen of this 2 section unless the conduct constituting the violation would otherwise 3 constitute a violation of this section; and 4 (b) Administer and enforce all the provisions of this section; and 5 (c) Conduct any investigation necessary to carry out the provisions of 6 this section. Pursuant to this power and duty, the commission may admin- 7 ister oaths or affirmations, subpoena witnesses, compel their attendance 8 and require the production of any books or records which it may deem 9 relevant or material; 10 18. Within one hundred twenty days of the effective date of this 11 subdivision, the commission shall create and thereafter maintain a 12 publicly accessible website which shall set forth the procedure for 13 filing a complaint with the commission, and which shall contain the 14 documents identified in subdivision nineteen of this section, other than 15 financial disclosure statements filed by state officers or employees or 16 legislative employees, and any other records or information which the 17 commission determines to be appropriate. 18 19. (a) Notwithstanding the provisions of article six of the public 19 officers law, the only records of the commission which shall be avail- 20 able for public inspection and copying are: 21 (1) the information set forth in an annual statement of financial 22 disclosure filed pursuant to section seventy-three-a of the public offi- 23 cers law except information deleted pursuant to paragraph (h) of subdi- 24 vision nine of this section; 25 (2) notices of delinquency sent under subdivision twelve of this 26 section; 27 (3) notices of civil assessments imposed under this section which 28 shall include a description of the nature of the alleged wrongdoing, the 29 procedural history of the complaint, the findings and determinations 30 made by the commission, and any sanction imposed; 31 (4) the terms of any settlement or compromise of a complaint or refer- 32 ral which includes a fine, penalty or other remedy; 33 (5) those required to be held or maintained publicly available pursu- 34 ant to article one-A of the legislative law; and 35 (6) substantial basis investigation reports issued by the commission 36 pursuant to subdivision fourteen-a or fourteen-b of this section. [With37respect to reports concerning members of the legislature or legislative38employees or candidates for member of the legislature, the joint commis-39sion shall not publicly disclose or otherwise disseminate such reports40except in conformance with the requirements of paragraph (b) of subdivi-41sion nine of section eighty of the legislative law.] 42 (b) Notwithstanding the provisions of article seven of the public 43 officers law, no meeting or proceeding, including any such proceeding 44 contemplated under paragraph (h) or (i) of subdivision nine of this 45 section, of the commission shall be open to the public, except if 46 expressly provided otherwise by the commission or as is required by 47 article one-A of the legislative law. 48 (c) Pending any application for deletion or exemption to the commis- 49 sion, all information which is the subject or a part of the application 50 shall remain confidential. Upon an adverse determination by the commis- 51 sion, the reporting individual may request, and upon such request the 52 commission shall provide, that any information which is the subject or 53 part of the application remain confidential for a period of thirty days 54 following notice of such determination. In the event that the reporting 55 individual resigns his office and holds no other office subject to theS. 1458 15 1 jurisdiction of the commission, the information shall not be made public 2 and shall be expunged in its entirety. 3 20. The commission shall create and thereafter maintain a publicly 4 accessible website which shall set forth the procedure for filing a 5 complaint with the commission, and which shall contain any other records 6 or information which the commission determines to be appropriate. 7 21. If any part or provision of this section or the application there- 8 of to any person or organization is adjudged by a court of competent 9 jurisdiction to be unconstitutional or otherwise invalid, such judgment 10 shall not affect or impair any other part or provision or the applica- 11 tion thereof to any other person or organization, but shall be confined 12 in its operation to such part or provision. 13 § 3. Subdivision 5 of section 12 of the legislative law, as added by 14 chapter 141 of the laws of 1994, is amended to read as follows: 15 5. Notwithstanding any provision of law to the contrary, services and 16 expenses of the legislative health service, legislative library, legis- 17 lative messenger service, [legislative ethics committee] joint commis- 18 sion on public ethics, joint operations of the legislative task force on 19 demographic research and reapportionment, and contributions to the 20 national conference of state legislatures shall be payable after audit 21 by and on the warrant of the comptroller upon vouchers certified by the 22 temporary president of the senate or his or her designee and the speaker 23 of the assembly or his or her designee. 24 § 4. Paragraph (a) of subdivision 1, the opening paragraph of para- 25 graph (a) and paragraph (c) of subdivision 6, paragraph (g) of subdivi- 26 sion 8, and subdivision 10 of section 73 of the public officers law, 27 paragraph (a) of subdivision 1 as amended by section 1 of part A of 28 chapter 399 of the laws of 2011, the opening paragraph of paragraph (a) 29 and paragraph (c) of subdivision 6 as amended by section 3 of part K of 30 chapter 286 of the laws of 2016, paragraph (g) of subdivision 8 as added 31 by chapter 218 of the laws of 1998, and subdivision 10 as amended by 32 section 5 of part K of chapter 286 of the laws of 2016, are amended to 33 read as follows: 34 (a) The term "compensation" shall mean any money, thing of value or 35 financial benefit conferred in return for services rendered or to be 36 rendered. With regard to matters undertaken by a firm, corporation or 37 association, compensation shall mean net revenues, as defined in accord- 38 ance with generally accepted accounting principles as defined by the 39 joint commission on public ethics [or legislative ethics commission] in 40 relation to persons subject to [their respective jurisdictions] the 41 joint commission's jurisdiction. 42 Every legislative employee not subject to the provisions of section 43 seventy-three-a of this chapter shall, on and after December fifteenth 44 and before the following January fifteenth, in each year, file with the 45 joint commission on public ethics [and the legislative ethics commis-46sion] a financial disclosure statement of 47 (c) Any such legislative employee who knowingly and wilfully with 48 intent to deceive makes a false statement or gives information which he 49 or she knows to be false in any written statement required to be filed 50 pursuant to this subdivision, shall be assessed a civil penalty in an 51 amount not to exceed ten thousand dollars. Assessment of a civil penalty 52 shall be made by the [legislative ethics commission] joint commission on 53 public ethics in accordance with the provisions of subdivision [ten] 54 fourteen of section [eighty] ninety-four of the [legislative] executive 55 law. For a violation of this subdivision, the joint commission may, in 56 lieu of a civil penalty, refer a violation to the appropriate prosecutorS. 1458 16 1 and upon conviction, but only after such referral, such violation shall 2 be punishable as a class A misdemeanor. 3 (g) Notwithstanding the provisions of subparagraphs (i) and (ii) of 4 paragraph (a) of this subdivision, a former state officer or employee 5 may contract individually, or as a member or employee of a firm, corpo- 6 ration or association, to render services to any state agency when the 7 agency head certifies in writing to the [state ethics commission] joint 8 commission on public ethics that the services of such former officer or 9 employee are required in connection with the agency's efforts to address 10 the state's year 2000 compliance problem. 11 10. Nothing contained in this section, the judiciary law, the educa- 12 tion law or any other law or disciplinary rule shall be construed or 13 applied to prohibit any firm, association or corporation, in which any 14 present or former statewide elected official, state officer or employee, 15 or political party chairman, member of the legislature or legislative 16 employee is a member, associate, retired member, of counsel or share- 17 holder, from appearing, practicing, communicating or otherwise rendering 18 services in relation to any matter before, or transacting business with 19 a state agency, or a city agency with respect to a political party 20 chairman in a county wholly included in a city with a population of more 21 than one million, otherwise proscribed by this section, the judiciary 22 law, the education law or any other law or disciplinary rule with 23 respect to such official, member of the legislature or officer or 24 employee, or political party chairman, where such statewide elected 25 official, state officer or employee, member of the legislature or legis- 26 lative employee, or political party chairman does not share in the net 27 revenues, as defined in accordance with generally accepted accounting 28 principles by the joint commission on public ethics [or by the legisla-29tive ethics commission] in relation to persons subject to [their respec-30tive jurisdictions] the joint commission's jurisdiction, resulting ther- 31 efrom, or, acting in good faith, reasonably believed that he or she 32 would not share in the net revenues as so defined; nor shall anything 33 contained in this section, the judiciary law, the education law or any 34 other law or disciplinary rule be construed to prohibit any firm, asso- 35 ciation or corporation in which any present or former statewide elected 36 official, member of the legislature, legislative employee, full-time 37 salaried state officer or employee or state officer or employee who is 38 subject to the provisions of section seventy-three-a of this article is 39 a member, associate, retired member, of counsel or shareholder, from 40 appearing, practicing, communicating or otherwise rendering services in 41 relation to any matter before, or transacting business with, the court 42 of claims, where such statewide elected official, member of the legisla- 43 ture, legislative employee, full-time salaried state officer or employee 44 or state officer or employee who is subject to the provisions of section 45 seventy-three-a of this article does not share in the net revenues, as 46 defined in accordance with generally accepted accounting principles by 47 the joint commission on public ethics [or by the legislative ethics48commission] in relation to persons subject to [their respective juris-49dictions] the joint commission's jurisdiction, resulting therefrom, or, 50 acting in good faith, reasonably believed that he or she would not share 51 in the net revenues as so defined. 52 § 5. Paragraphs (d) and (d-1) of subdivision 1, the opening paragraph 53 and subparagraphs (ii), (viii) and (ix) of paragraph (a) and paragraphs 54 (c), (e), (f) and (g) of subdivision 2 and subdivision 4 of section 73-a 55 of the public officers law, paragraph (d) of subdivision 1, the opening 56 paragraph and subparagraphs (ii), (viii) and (ix) of paragraph (a) andS. 1458 17 1 paragraphs (c), (e), (f) and (g) of subdivision 2 and subdivision 4 as 2 amended and paragraph (d-1) of subdivision 1 as added by section 5 of 3 part A of chapter 399 of the laws of 2011, are amended to read as 4 follows: 5 (d) The term "legislative employee" shall mean any officer or employee 6 of the legislature who receives annual compensation in excess of the 7 filing rate established by paragraph (l) below or who is determined to 8 hold a policy-making position by the appointing authority as set forth 9 in a written instrument which shall be filed with the [legislative10ethics commission and the] joint commission on public ethics. 11 (d-1) A financial disclosure statement required pursuant to section 12 seventy-three of this article and this section shall be deemed "filed" 13 with the joint commission on public ethics upon its filing, in accord- 14 ance with this section, [with the legislative ethics commission] for all 15 purposes including, but not limited to, subdivision fourteen of section 16 ninety-four of the executive law[, subdivision nine of section eighty of17the legislative law] and subdivision four of this section. 18 Every statewide elected official, state officer or employee, member of 19 the legislature, legislative employee and political party chairman and 20 every candidate for statewide elected office or for member of the legis- 21 lature shall file an annual statement of financial disclosure containing 22 the information and in the form set forth in subdivision three of this 23 section. On or before the fifteenth day of May with respect to the 24 preceding calendar year: (1) every member of the legislature, every 25 candidate for member of the legislature and legislative employee shall 26 file such statement, along with any requests for exemptions or 27 deletions, with the [legislative ethics commission which shall provide28such statement along with any requests for exemptions or deletions to29the] joint commission on public ethics [for filing and], which shall 30 make rulings with respect to such requests for exemptions or deletions, 31 on or before the thirtieth day of June; and (2) all other individuals 32 required to file such statement shall file it with the joint commission 33 on public ethics, except that: 34 (ii) a person who is required to file an annual financial disclosure 35 statement with the joint commission on public ethics, and who is granted 36 an additional period of time within which to file such statement due to 37 justifiable cause or undue hardship, in accordance with required rules 38 and regulations on the subject adopted pursuant to paragraph c of subdi- 39 vision nine of section ninety-four of the executive law shall file such 40 statement within the additional period of time granted[; and the legis-41lative ethics commission shall notify the joint commission on public42ethics of any extension granted pursuant to this paragraph]; 43 (viii) a candidate substituted for another candidate, who fills a 44 vacancy in a party designation or in an independent nomination, caused 45 by declination, shall file such statement within ten days after the last 46 day allowed by law to file a certificate to fill a vacancy in such party 47 designation or independent nomination[;48(ix) with respect to all candidates for member of the legislature, the49legislative ethics commission shall within five days of receipt provide50the joint commission on public ethics the statement filed pursuant to51subparagraphs (v), (vi), (vii) and (viii) of this paragraph]. 52 (c) If the reporting individual is a senator or member of assembly, 53 candidate for the senate or member of assembly or a legislative employ- 54 ee, [such statement shall be filed with both the legislative ethics55commission established by section eighty of the legislative law and the56joint commission on public ethics in accordance with paragraph (d-1) ofS. 1458 18 1subdivision one of this section. If the reporting individual is a] 2 statewide elected official, candidate for statewide elected office, a 3 state officer or employee or a political party chairman, such statement 4 shall be filed with the joint commission on public ethics established by 5 section ninety-four of the executive law. 6 (e) Any person required to file such statement who commences employ- 7 ment after May fifteenth of any year, members of the legislature, legis- 8 lative employees, and political party chairman shall file such statement 9 within thirty days after commencing employment or of taking the position 10 of political party chairman, as the case may be. [In the case of members11of the legislature and legislative employees, such statements shall be12filed with the legislative ethics commission within thirty days after13commencing employment, and the legislative ethics commission shall14provide such statements to the joint commission on public ethics within15forty-five days of receipt.] 16 (f) A person who may otherwise be required to file more than one annu- 17 al financial disclosure statement [with both the joint commission on18public ethics and the legislative ethics commission] in any one calendar 19 year may satisfy such requirement by filing one such statement with 20 [either body and by notifying the other body of such compliance] the 21 joint commission on public ethics. 22 (g) A person who is employed in more than one employment capacity for 23 one or more employers certain of whose officers and employees are 24 subject to filing a financial disclosure statement [with the same ethics25commission, as the case may be,] and who receives distinctly separate 26 payments of compensation for such employment shall be subject to the 27 filing requirements of this section if the aggregate annual compensation 28 for all such employment capacities is in excess of the filing rate 29 notwithstanding that such person would not otherwise be required to file 30 with respect to any one particular employment capacity. [A person not31otherwise required to file a financial disclosure statement hereunder32who is employed by an employer certain of whose officers or employees33are subject to filing a financial disclosure statement with the joint34commission on public ethics and who is also employed by an employer35certain of whose officers or employees are subject to filing a financial36disclosure statement with the legislative ethics commission shall not be37subject to filing such statement with either such commission on the38basis that his aggregate annual compensation from all such employers is39in excess of the filing rate.] 40 4. A reporting individual who knowingly and wilfully fails to file an 41 annual statement of financial disclosure or who knowingly and wilfully 42 with intent to deceive makes a false statement or gives information 43 which such individual knows to be false on such statement of financial 44 disclosure filed pursuant to this section shall be subject to a civil 45 penalty in an amount not to exceed forty thousand dollars. Assessment of 46 a civil penalty hereunder shall be made by the joint commission on 47 public ethics [or by the legislative ethics commission, as the case may48be, with respect to persons subject to their respective jurisdictions]. 49 The joint commission on public ethics acting pursuant to subdivision 50 fourteen of section ninety-four of the executive law [or the legislative51ethics commission acting pursuant to subdivision eleven of section52eighty of the legislative law, as the case may be,] may, in lieu of or 53 in addition to a civil penalty, refer a violation to the appropriate 54 prosecutor and upon such conviction, but only after such referral, such 55 violation shall be punishable as a class A misdemeanor. A civil penalty 56 for false filing may not be imposed hereunder in the event a category ofS. 1458 19 1 "value" or "amount" reported hereunder is incorrect unless such reported 2 information is falsely understated. Notwithstanding any other provision 3 of law to the contrary, no other penalty, civil or criminal may be 4 imposed for a failure to file, or for a false filing, of such statement, 5 except that the appointing authority may impose disciplinary action as 6 otherwise provided by law. The joint commission on public ethics [and7the legislative ethics commission] shall [each] be deemed to be an agen- 8 cy within the meaning of article three of the state administrative 9 procedure act and shall adopt rules governing the conduct of adjudicato- 10 ry 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 [or the legislative ethics20commission], pursuant to article seventy-eight of the civil practice law 21 and rules. 22 § 6. Transfer of records. The legislative ethics commission shall 23 deliver to the joint commission on public ethics all books, papers, 24 records, and property as requested by the joint commission. 25 § 7. Continuity of authority. For the purpose of succession to all 26 functions, powers, duties and obligations transferred and assigned to, 27 devolved upon and assumed by it pursuant to this act, the joint commis- 28 sion on public ethics shall be deemed and held to constitute the contin- 29 uation of the legislative ethics commission. 30 § 8. Completion of unfinished business. Any business or other matter 31 undertaken or commenced by the legislative ethics commission pertaining 32 to or connected with the functions, powers, obligations and duties here- 33 by transferred and assigned to the joint commission on public ethics, 34 and pending on the effective date of this act may be conducted and 35 completed by the joint commission on public ethics in the same manner 36 and under the same terms and conditions and with the same effect as if 37 conducted and completed by the former legislative ethics commission. 38 § 9. Terms occurring in laws, contracts and other documents. Whenever 39 the legislative ethics commission is referred to or designated in any 40 law, contract or documents pertaining solely to those functions, powers, 41 obligations and duties hereby transferred and assigned to the joint 42 commission on public ethics, such reference or designation shall be 43 deemed to refer to the joint commission on public ethics. 44 § 10. Existing rights and remedies preserved. No existing right or 45 remedy of any character shall be lost, impaired or affected by reason of 46 this act. 47 § 11. Pending actions and proceedings. No action or proceeding pending 48 at the time when this act shall take effect, brought by or against the 49 legislative ethics commission shall be affected by this act, but the 50 same may be prosecuted or defended in the name of the joint commission 51 on public ethics and upon application to the court, the joint commission 52 on public ethics shall be substituted as a party. 53 § 12. Notwithstanding any contrary provision of the state finance law, 54 transfer of appropriations heretofore made to the legislative ethics 55 commission, all appropriations or reappropriations for the functions 56 herein transferred heretofore made to the legislative ethics commission,S. 1458 20 1 or segregated pursuant to law, to the extent of remaining unexpended or 2 unencumbered balances thereof, whether allocated or unallocated and 3 whether obligated or unobligated, are hereby transferred to the joint 4 commission on public ethics to the extent necessary to carry out its 5 functions, powers and duties subject to the approval of the director of 6 the budget for the same purposes for which originally appropriated or 7 reappropriated and shall be payable on vouchers certified or approved by 8 the joint commission on public ethics on audit and warrant of the comp- 9 troller. 10 § 13. This act shall take effect January 1, 2018.
