Bill Text: NY S07061 | 2021-2022 | General Assembly | Introduced
Bill Title: Establishes the department of oversight and investigation, providing for its powers, duties and functions (Part A); relates to the joint commission on public ethics; relates to the office of the state inspector general (Part B); provides 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 department of oversight and investigation (Part C); relates to the joint commission on public ethics; relates to membership on the franchise oversight board; relates to the state inspector general; relates to the former temporary state commission of investigation; relates to the joint commission on public ethics and the legislative ethics commission; relates to the office of the state inspector general; creates a temporary state commission of investigation (Part D).
Spectrum: Partisan Bill (Republican 2-0)
Status: (Introduced - Dead) 2022-01-05 - REFERRED TO INVESTIGATIONS AND GOVERNMENT OPERATIONS [S07061 Detail]
Download: New_York-2021-S07061-Introduced.html
STATE OF NEW YORK ________________________________________________________________________ 7061 2021-2022 Regular Sessions IN SENATE May 26, 2021 ___________ Introduced by Sen. PALUMBO -- 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 public officers law, in relation to establishing the department of oversight and investigation, providing for its powers, duties and functions (Part A); to repeal section 94 of the executive law relating to the joint commission on public ethics; and to repeal article 4-A of the executive law relating to the office of the state inspector general (Part B); providing for the transfer of the func- tions, 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 department of oversight and inves- tigation (Part C); 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 executive law and the public authorities law, in relation to the state inspector general; to amend the criminal procedure law, the executive law and the public officers law, in relation to the former temporary state commission of investigation; to amend the public officers law, in relation to the joint commission on public ethics and the legislative ethics commission; to repeal subdivision 68 of section 2.10 of the criminal procedure law relating to the office of the state inspector general; and to repeal chapter 989 of the laws of 1958 relating to creating a temporary state commission of investigation, relating ther- eto (Part D) 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 "ethics reform act of 2021". EXPLANATION--Matter in italics (underscored) is new; matter in brackets [] is old law to be omitted. LBD09728-02-1S. 7061 2 1 § 2. This act enacts into law major components of legislation which 2 are necessary to establish meaningful ethics reform and oversight within 3 the state of New York. Each component is wholly contained within a Part 4 identified as Parts A through D. The effective date for each particular 5 provision contained within such Part is set forth in the last section of 6 such Part. Any provision in any section contained within a Part, includ- 7 ing the effective date of the Part, which makes reference to a section 8 "of this act", when used in connection with that particular component, 9 shall be deemed to mean and refer to the corresponding section of the 10 Part in which it is found. Section four of this act sets forth the 11 general effective date of this act. 12 PART A 13 Section 1. The public officers law is amended by adding a new article 14 7-A to read as follows: 15 ARTICLE 7-A 16 DEPARTMENT OF OVERSIGHT AND INVESTIGATION 17 Section 113. Definitions. 18 113-a. Establishment of department of oversight and investi- 19 gation. 20 113-b. Board of public integrity; establishment, organization, 21 and powers. 22 113-c. Commissioner; appointment, duties, and powers. 23 113-d. Responsibilities of covered agencies, officers, and 24 employees. 25 113-e. Financial disclosure. 26 113-f. Investigations; financial disclosure and ethical 27 violations. 28 113-g. Investigation; other. 29 113-h. Violations. 30 113-i. Adjudicatory process. 31 § 113. Definitions. As used in this article, the following terms shall 32 have the following meaning: 33 1. "department" means the department of oversight and investigation as 34 established by section one hundred thirteen-a of this article. 35 2. "commissioner" means the commissioner of the department of over- 36 sight and investigation. 37 3. "covered agency" shall include all executive branch agencies, 38 departments, divisions, officers, boards and commissions, public author- 39 ities, and public benefit corporations, the heads of which are appointed 40 by the governor. 41 4. "board" means the board of public integrity established by section 42 one hundred thirteen-b of this article. 43 § 113-a. Establishment of department of oversight and investigation. 44 1. There is established within New York state a department of oversight 45 and investigation to be headed by a commissioner appointed pursuant to 46 this article. The department shall have and exercise the powers and 47 duties set forth in this article with respect to all covered agencies, 48 statewide elected officials, members of the legislature and employees of 49 the legislature, and state officers and employees, as defined in 50 sections seventy-three and seventy-three-A of this chapter, candidates 51 for statewide elected office and for the senate or assembly, and the 52 political party chairman as that term is defined in section 53 seventy-three-A of this chapter, lobbyists and the clients of lobbyists 54 as such terms are defined in article one-A of the legislative law, andS. 7061 3 1 individuals who have formerly held such positions, were lobbyists or 2 clients of lobbyists, as such terms are defined in article one-A of the 3 legislative law, or who have formerly been such candidates. 4 2. The establishment of the department of oversight and investigation 5 by this article, nor any provisions contained herein, shall be deemed to 6 have revoked or rescinded any regulations or advisory opinions issued by 7 the legislative ethics commission, the joint commission on public 8 ethics, the commission on public integrity, or the state ethics commis- 9 sion and the temporary lobbying commission in effect upon the effective 10 date of this article. 11 3. The department shall undertake a comprehensive review of all regu- 12 lations and opinions, which will address the consistency of such regu- 13 lations and opinions among each other, and of the effectiveness of 14 existing laws, regulations, guidance and ethics enforcement structure to 15 address the ethics of covered public officials and related parties. Such 16 review shall be conducted with the legislative ethics commission. The 17 department shall, before December thirty-first, two thousand twenty-two, 18 report to the governor and legislature regarding such review and shall 19 propose any regulatory or statutory changes and issue any advisory opin- 20 ions necessitated by such review. 21 § 113-b. Board of public integrity; establishment, organization, and 22 powers. 1. a. There shall be created within the department a board, to 23 be known as the board of public integrity, consisting of twelve members 24 appointed as follows: two members appointed by the speaker of the assem- 25 bly; two members appointed by the temporary president of the senate; two 26 members appointed by the minority leader of the assembly; two members 27 appointed by the minority leader of the senate; and four members 28 appointed by the governor, provided, however, that the appointments by 29 the governor shall be made upon the recommendation of the legislative 30 leaders. The speaker of the assembly, temporary president of the senate, 31 minority leader of the assembly, and minority leader of the senate shall 32 each submit a list of no less than three names to the governor for 33 consideration. The governor shall select one name from each of the 34 legislative leader's lists for appointment to the board. 35 b. Each member of the board shall serve a term of four years, commenc- 36 ing on the first of January of the calendar year in which the vacancy on 37 such board occurs; provided, however, that the members initially 38 appointed by the senate leaders, and by the governor upon the recommen- 39 dation of the senate leaders, shall serve only two years. All subsequent 40 appointments shall be for a full four-year term. 41 c. Any vacancy occurring on the board shall be filled within thirty 42 days of its occurrence in the same manner as the member whose vacancy is 43 being filled was appointed. A person appointed to fill a vacancy occur- 44 ring other than by expiration of a term of office shall be appointed for 45 the unexpired term of the member he or she succeeds. 46 d. There shall be no ex-officio members of the board, and no member 47 shall delegate his or her duties to another individual. 48 e. No person shall be eligible to serve as a member of the board if at 49 the time of appointment, or at any time during a term, he or she serves 50 in any other elected position or is an employee of the state of New 51 York, a municipal corporation, a public authority, or public benefit 52 corporation. Additionally, no member of the board, or his or her spouse, 53 shall, during the period of his or her service on the board, make or 54 solicit from another person any contributions to candidates for election 55 to the offices of governor, lieutenant governor, member of the assemblyS. 7061 4 1 or the senate, attorney general, or state comptroller, nor may he or she 2 make or solicit any contributions to a political party or committee. 3 f. Members of the board shall be considered public officers and shall 4 be required to take all necessary oaths and file any disclosures as 5 required by law, which shall be made available to the public on the 6 department's website. 7 g. The board shall, annually, elect from its appointed members a chair 8 and vice chair by a majority vote of the total number of members of the 9 board. The chair shall preside over all board meetings and shall have 10 the power to schedule meetings of the board as he or she deems necessary 11 for the proper execution of its duties. The vice-chair, in the absence 12 or incapacity of the chair, shall exercise all powers of the chair. 13 h. Seven members shall constitute a quorum of the board, and the board 14 shall have the power to act by majority vote of the total number of the 15 members of the board without vacancies except where otherwise specified 16 under this article. 17 i. Members of the board may be removed by the appointing authority for 18 substantial neglect of duty, gross misconduct in office, inability to 19 discharge the powers or duties of the office, or violations of this 20 article, after written notice and an opportunity for a reply has been 21 provided. 22 j. Members of the board shall receive a per diem allowance in the sum 23 of three hundred dollars for each day spent in the performance of his or 24 her duties, and, in addition thereto, shall be reimbursed for all 25 reasonable expenses incurred in the performance of his or her duties. 26 2. The board shall have the following duties and responsibilities: 27 a. elect a commissioner for the department; 28 b. review and examine annually the policies and procedures of covered 29 agencies with regard to the prevention and detection of corruption, 30 fraud, criminal activity, and conflicts of interest or abuse; 31 c. create, in consultation with the commissioner, model training and 32 programming that may be used by covered agencies to inform and educate 33 employees and officers of such agencies of the code of ethics and other 34 relevant policies and practices meant to prevent fraud, criminality or 35 any other misconduct; 36 d. monitor the implementation by covered agencies of any policies or 37 practices put in place to combat corruption, fraud, criminal activity, 38 conflicts of interest or abuse; 39 e. in consultation with the commissioner, promulgate rules and regu- 40 lations necessary to effectuate section one hundred seven of the civil 41 service law, sections seventy-three, seventy-three-a, and seventy-four 42 of this chapter, article one-A of the legislative law, and any other 43 provision of law relating to corruption within the government. 44 f. in consultation with the commissioner, issue official advisory 45 opinions necessary to clarify interpretations of laws, rules, and regu- 46 lations; provided, however, that informal opinions may be provided by 47 appointed staff of the department upon request by a covered agency, 48 employee, state officers, or other subject individual. 49 g. promulgate rules and regulation necessary to govern investigations 50 of complaints filed with the commissioner, including rules and regu- 51 lations necessary to ensure due process for the subject of a complaint; 52 and 53 h. publish an annual report, no later than December thirty-first of 54 each year, to the governor and legislature on annual activities of the 55 board and the department, and include therein all generally applicable 56 advisory opinions issued during the year and recommendations for statu-S. 7061 5 1 tory changes necessary to further provide for integrity in government. 2 Such report shall be made available on the department's public website. 3 All information deemed confidential by statute or other rule or regu- 4 lation shall be redacted or withheld from the report. 5 § 113-c. Commissioner; appointment, duties, and powers. 1. a. The 6 commissioner shall be chosen by a majority vote of the board of public 7 integrity. Notwithstanding any law to the contrary, the commission need 8 not be a resident of the state of New York at the time of appointment, 9 but shall be required to reside within the state at all times he or she 10 serves and is exercising the functions of the office of commissioner. 11 The commissioner shall also be prohibited from holding any other elected 12 position within New York state, or any political subdivision thereof. 13 Moreover, the commissioner, and his or her spouse, shall, during his or 14 her term of service, not make or solicit from any other person any 15 contributions to candidates for election to the offices of governor, 16 lieutenant governor, member of the assembly or the senate, attorney 17 general, or state comptroller, nor may he or she make or solicit any 18 contributions to a political party or committee. 19 b. The commissioner shall be appointed to serve a term of six years 20 and shall serve the entirety of such term unless a vacancy arises pursu- 21 ant to section thirty of this chapter, or the board of public integrity, 22 voting unanimously, approves a motion to remove the commissioner from 23 office. In the event the board of public integrity votes unanimously to 24 remove an individual from office, the board of public integrity shall 25 publish a statement, signed by all members of the board, articulating 26 the reasoning for such action. 27 c. The commissioner shall serve in his or her capacity beyond the 28 six-year term in office only upon re-appointment by the board of public 29 integrity or, if necessary, as a holdover until such time as such board 30 appoints a replacement. 31 2. The commissioner shall have the following duties and responsibil- 32 ities: 33 a. appoint any necessary deputies, assistants, or staff as required to 34 efficiently carry out the duties and purpose of the department; 35 b. assist covered agencies and other subject individuals with the 36 implementation of any ethics training programs established by the 37 department; provided, however that any ethics training for the legisla- 38 ture and legislative employees shall be overseen by the legislative 39 ethics commission; 40 c. receive and investigate complaints from any source, or upon his or 41 her own initiative, concerning allegations of corruption, fraud, crimi- 42 nal activity, conflicts of interest or abuse in any covered agency, by a 43 state officer, legislator, legislative employee, candidate for state 44 office, candidate for state assembly or senate, lobbyist, client of a 45 lobbyist, or political party chair; 46 d. when applicable, inform the heads of covered agencies of any 47 complaints and the progress of investigations related to such 48 complaints; unless circumstances require confidentiality; provided, 49 however, information regarding complaints and status of investigations 50 related to members of the legislature or employees of the legislature 51 shall be provided to the legislative ethics commission; 52 e. make determinations with respect to any allegations whether disci- 53 plinary actions, civil or criminal prosecution, or further investigation 54 by another governmental agency, federal, state or local, is necessary, 55 and to assist in any such investigation;S. 7061 6 1 f. forward matters, including all relevant documentation, to appropri- 2 ate governmental agencies, federal or state, for prosecution, if an 3 investigation by the department finds there is probable cause to believe 4 that a violation of federal or state law occurred; 5 g. enforce determinations of the department, including fines or other 6 findings levied by the department, against covered agencies, state offi- 7 cers, employees, lobbyists, clients of lobbyists, and political party 8 chairs; and 9 h. issue an annual report to the board, no later than April first of 10 each year, summarizing all investigations and actions taken by the 11 department related to any such investigations or actions in the prior 12 calendar year. Such report shall be used by the board in compiling its 13 annual report to the governor and legislature; provided such report 14 shall be confidential and not subject to disclosure pursuant to article 15 six of this chapter. 16 3. In addition to the duties and responsibilities provided in subdivi- 17 sion two of this section, the commissioner shall exercise the following 18 powers in the execution of his or her duties: 19 a. subpoena and require the attendance of witnesses; 20 b. administer oaths of affirmation and examine witnesses under oath; 21 c. require the production of any books and papers deemed relevant or 22 material to any investigation, examination or review; 23 d. notwithstanding any law to the contrary, examine and copy or remove 24 documents or records of any kind prepared, maintained or held by any 25 covered agency, employee thereof, state officer, legislator, or legisla- 26 tive employee; 27 e. question any relevant party concerning any matter related to the 28 performance of his or her official duties or related to an investi- 29 gation; 30 f. monitor adherence to disciplinary determinations rendered by the 31 department; and 32 g. perform any other function necessary and appropriate to fulfill the 33 duties and responsibilities of the department. 34 § 113-d. Responsibilities of covered agencies, officers, and employ- 35 ees. 1. Every officer and employee in a covered agency, state officer, 36 legislator, legislative employee, lobbyist, client of a lobbyist, and 37 political party chair, shall report promptly to the department material 38 information concerning corruption, fraud, criminal activity, conflicts 39 of interest, ethical violations or abuse by another relating to his or 40 her office or employment, or by a person having business dealings with a 41 covered agency relating to those dealings, including lobbyist as defined 42 under article one-A of the legislative law. 43 2. The knowing failure of any subject individual to so report may be 44 cause for sanctions and punitive actions against such individual who 45 fails to report such conduct. Any individual who acts pursuant to this 46 section by reporting to the department improper governmental action as 47 defined in section seventy-five-b of the civil service law shall not be 48 subject to discipline by the department for failure to report such 49 activity; provided, however, that such protection from departmental 50 sanctions does not provide legal immunity for criminal actions. 51 § 113-e. Financial disclosure. 1. a. The commissioner, or any desig- 52 nated staff, shall inspect all financial disclosure statements filed 53 with the department in order to ascertain whether any person subject to 54 the reporting requirements of this chapter has failed to file such a 55 statement, has filed a deficient statement or has filed a statement 56 which reveals a possible violation of law.S. 7061 7 1 b. The commissioner, or any designated staff, in relation to financial 2 disclosures: 3 (i) shall make available forms for annual statements of financial 4 disclosure required to be filed pursuant to section seventy-three-a of 5 this chapter; 6 (ii) receive complaints directly or through a referral from any other 7 covered agency or the department alleging violations of section seven- 8 ty-three, seventy-three-a or seventy-four of this chapter, article one-A 9 of the legislative law or section one hundred seven of the civil service 10 law; 11 (iii) permit any person required to file a financial disclosure state- 12 ment with the department to request deletion from the copy of such 13 statement made available for public inspection and copying one or more 14 items of information which may be deleted by the department upon a find- 15 ing by the department that the information which would otherwise be 16 required to be made available for public inspection and copying will 17 have no material bearing on the discharge of the reporting person's 18 official duties; 19 (iv) grant any person required to file a financial disclosure state- 20 ment an additional period of time within which to file such statement 21 due to justifiable cause or undue hardship; 22 (v) permit any person required to file a financial disclosure state- 23 ment to delete such information pertaining to such person's spouse or 24 emancipated children as shall be found by the department to have no 25 material bearing on the discharge of the reporting person's official 26 duties; 27 (vi) advise and assist any covered agency in establishing rules and 28 regulations relating to possible conflicts between private interests and 29 official duties of present and former state officers and employees; 30 (vii) advise and assist any covered agency with training programs 31 relating to ethical compliance; 32 (viii) permit any person who has not been determined by his or her 33 appointing authority to hold a policy-making position, but who is other- 34 wise required to file a financial disclosure statement, to be granted an 35 exemption from such filing requirement. The commissioner may grant such 36 an exemption where the public interest does not require disclosure and 37 the applicant's duties do not involve negotiation, authorization or 38 approval of: 39 A. contracts, leases, franchises, revocable consents, concessions, 40 variances, special permits or licenses as set forth in section seventy- 41 three of this chapter; 42 B. the purchase, sale, rental or lease of real property, goods or 43 services, or a contract therefor; 44 C. the obtaining of grants of money or loans; or 45 D. the adoption or repeal of any rule or regulation having the force 46 and effect of law; 47 (ix) determine questions common to a class or defined category of 48 persons or items of information required to be disclosed, where determi- 49 nation of the question will prevent undue repetition of requests for 50 exemption or deletion or prevent undue complication in complying with 51 the requirements of such section; and 52 (x) conduct investigations into any complaints. 53 2. If a person required to file a financial disclosure statement with 54 the department has failed to file a disclosure statement or has filed a 55 deficient statement, the commission shall notify the reporting person in 56 writing, state the failure to file or detail the deficiency, provide theS. 7061 8 1 person with a fifteen-day period to cure the deficiency, and advise the 2 person of the penalties for failure to comply with the reporting 3 requirements. Such notice shall be confidential. If the person fails to 4 make such filing or fails to cure the deficiency within the specified 5 time period, the commissioner, or designated staff, shall send a notice 6 of delinquency: 7 a. to the reporting person; 8 b. in the case of a statewide elected official, to the temporary pres- 9 ident of the senate and the speaker of the assembly; and 10 c. in the case of a state officer or employee, to the appointing 11 authority for such person. Such notice of delinquency may be sent at any 12 time during the reporting person's service as a statewide elected offi- 13 cial, state officer or employee, political party chair or while a candi- 14 date for statewide office, or within one year after termination of such 15 service or candidacy. 16 § 113-f. Investigations; financial disclosure and ethical violations. 17 1. If the department receives a sworn complaint alleging a violation of 18 section one hundred seven of the civil service law, sections seventy- 19 three, seventy-three-a or seventy-four of this chapter, or article one-A 20 of the legislative law by a person or entity subject to the oversight of 21 the department, or if a reporting individual has filed a statement which 22 reveals a possible violation of any such provision, or if the department 23 determines on its own initiative to investigate a possible violation, 24 the department shall notify the individual in writing, within five busi- 25 ness days of receipt of a complaint or action of its own, so as to 26 describe the possible or alleged violation of such laws and provide the 27 person who is the subject of the complaint with a fifteen day period in 28 which to submit a written response setting forth information relating to 29 the activities cited as a possible or alleged violation of law. 30 2. If the department determines, following an initial review of the 31 complaint and any response, that there is a substantial basis to believe 32 that a violation has occurred, it shall send a notice of such findings: 33 a. to the complainant, if any; and 34 b. to the subject of the report or complaint. 35 3. An investigation undertaken by the department following a complaint 36 or action on its own initiative shall take no more than thirty days, 37 commencing from the day upon which the department determines there is 38 reasonable cause to believe that a violation occurred and sends notice 39 of such to the subject of the investigation. However, if completion of 40 an investigation is not possible within thirty days, such investigation 41 shall be completed as soon as practicable thereafter; provided notice of 42 the extended investigation is given to the complainant and subject of 43 the investigation. 44 4. Upon completion of an investigation, the department shall issue a 45 determination in writing to the individual and the complainant, if any; 46 and the appointing authority of any state employee. If the investigation 47 involved a member of the legislature or a legislative employee, such 48 determinations shall be forwarded to the legislative ethics commission; 49 while determinations involving the governor, the lieutenant governor, 50 attorney general or state comptroller shall be provided to the governor 51 and the speaker of the assembly and temporary president of the senate. 52 Such final determinations shall be available for public inspection, 53 including findings of fact and conclusions of law that a violation of 54 law occurred; provided that no other reports or investigative materials 55 shall be publicly reviewable and shall remain confidential.S. 7061 9 1 5. a. The department shall have jurisdiction to investigate, but shall 2 have no jurisdiction to impose penalties upon members of or candidates 3 for member of the legislature or legislative employees for any violation 4 of this chapter. If upon completion of its investigation the department 5 concludes that a member of the legislature or a legislative employee or 6 candidate for member of the legislature has violated any provisions of 7 law over which the department has oversight, it shall present a written 8 report to the legislative ethics commission, and deliver a copy of the 9 report to the individual who is the subject of the report. Such written 10 report shall include: 11 (i) the department's findings of fact and any evidence addressed in 12 such findings; and conclusions of law and citations to any relevant law, 13 rule, opinion, regulation or standard of conduct upon which it relied; 14 and 15 (ii) a determination that the department has concluded that a 16 violation has occurred, and the reasons and basis for such determi- 17 nation. 18 b. The department shall also separately provide to the legislative 19 ethics commission copies of additional documents or other evidence 20 considered including evidence that may contradict the department's find- 21 ings, the names of and other information regarding any additional 22 witnesses, and any other materials. With respect to a violation of any 23 law other than sections seventy-three, seventy-three-a, and seventy-four 24 of this chapter, where the department finds sufficient cause, it shall 25 refer such matter to the appropriate prosecutor. 26 § 113-g. Investigations; other. 1. The department shall also be 27 authorized to undertake, upon a submitted complaint or its own initi- 28 ative, any investigation into potential criminal activity, or other 29 conduct over which it has jurisdiction, by a person or entity subject to 30 the oversight of the department. 31 2. The board of public integrity, in consultation with the commission- 32 er, shall promulgate any rules and regulations necessary to, among other 33 things, ensure investigatory integrity, due process, and appropriate 34 criminal and/or civil prosecution, if warranted. 35 3. Notwithstanding review and publication of a final determination of 36 the department, any person conducting or participating in any examina- 37 tion or investigation under this section or section one hundred thir- 38 teen-f this article who shall disclose to any person not involved in 39 such examination or investigation, or who the commissioner may otherwise 40 have authorized to receive such information related to or detailing an 41 investigation, shall be guilty of a misdemeanor. 42 § 113-h. Violations. 1. An individual subject to the jurisdiction of 43 the department who knowingly and intentionally violates the provisions 44 of subdivisions two through five, seven, eight, twelve or fourteen 45 through seventeen of section seventy-three of this chapter, section one 46 hundred seven of the civil service law, or a reporting individual who 47 knowingly and willfully fails to file an annual statement of financial 48 disclosure or who knowingly and willfully with intent to deceive makes a 49 false statement or fraudulent omission or gives information which such 50 individual knows to be false on such statement of financial disclosure 51 filed pursuant to section seventy-three-a of this chapter shall be 52 subject to a civil penalty in an amount not to exceed forty thousand 53 dollars and the value of any gift, compensation or benefit received as a 54 result of such violation. An individual who knowingly and intentionally 55 violates the provisions of paragraph b, c, d or i of subdivision three 56 of section seventy-four of this chapter shall be subject to a civilS. 7061 10 1 penalty in an amount not to exceed ten thousand dollars and the value of 2 any gift, compensation or benefit received as a result of such 3 violation. An individual who knowingly and intentionally violates the 4 provisions of paragraph a, e or g of subdivision three of section seven- 5 ty-four of this chapter shall be subject to a civil penalty in an amount 6 not to exceed the value of any gift, compensation or benefit received as 7 a result of such violation. An individual subject to the jurisdiction of 8 the department who knowingly and willfully violates article one-A of the 9 legislative law shall be subject to civil penalty as provided for in 10 such article. Assessment of a civil penalty pursuant to this section 11 shall be made by the department with respect to individuals subject to 12 its jurisdiction. In assessing the amount of the civil penalties to be 13 imposed, the department shall consider the seriousness of the violation, 14 the amount of gain to the individual and whether such individual previ- 15 ously had any civil or criminal penalties imposed pursuant to this 16 section, and any other factors the department deems appropriate. 17 2. A civil penalty for false filing relating to financial disclosures 18 made pursuant to section seventy-three or seventy-three-a of this chap- 19 ter may not be imposed pursuant to this section in the event a category 20 of "value" or "amount" reported pursuant to this section is incorrect 21 unless such reported information is materially false. 22 3. All determinations of any civil fine made by the department pursu- 23 ant to this section shall be forwarded to appointing authority of the 24 subject individual, and shall reviewed any other possible criminal 25 violations that may arise from such violations. Violations of section 26 one hundred seven of the civil service law, subdivision twelve, four- 27 teen, fifteen, sixteen or seventeen of section seventy-three or section 28 seventy-four of this chapter or article one-A of the legislative law 29 shall constitute class A misdemeanors. 30 § 113-i. Adjudicatory process. The department shall be deemed to be an 31 agency within the meaning of article three of the state administrative 32 procedure act and shall adopt rules governing the conduct of adjudicato- 33 ry proceedings and appeals taken pursuant to a proceeding commenced 34 under article seventy-eight of the civil practice law and rules relating 35 to the assessment of the civil penalties authorized by this article and 36 department denials of requests for certain deletions or exemptions to be 37 made from a financial disclosure statement as authorized by this arti- 38 cle. Such rules, which shall not be subject to the approval requirements 39 of the state administrative procedure act, shall provide for due process 40 procedural mechanisms substantially similar to those set forth in arti- 41 cle three of the state administrative procedure act but such mechanisms 42 need not be identical in terms or scope. Assessment of a civil penalty 43 or department denial of such a request shall be final unless modified, 44 suspended or vacated within thirty days of imposition, with respect to 45 the assessment of such penalty, or unless such denial of request is 46 reversed within such time period, and upon becoming final shall be 47 subject to review at the instance of the affected reporting individuals 48 in a proceeding commenced against the department, pursuant to article 49 seventy-eight of the civil practice law and rules. 50 § 2. This act shall take effect on the first of January next succeed- 51 ing the date on which it shall have become a law; provided further, 52 however, that appointments to the board of public integrity authorized 53 by section 113-b of the public officers law shall be made within sixty 54 days of the date on which this act shall have become a law and such 55 board members shall be authorized to hold meetings upon appointment 56 necessary to ensure proper administration of such department.S. 7061 11 1 PART B 2 Section 1. Section 94 of the executive law is REPEALED. 3 § 2. Article 4-A of the executive law is REPEALED. 4 § 3. This act shall take effect on the first of January next succeed- 5 ing the date on which it shall have become a law. 6 PART C 7 Section 1. Transfer of functions, powers and duties. All functions, 8 powers, duties and obligations of the former joint commission on public 9 ethics, and the former office of the state inspector general are hereby 10 transferred to the department of oversight and investigation. 11 § 2. Transfer of employees. (a) Upon transfer of the functions of the 12 former joint commission on public ethics, and the former office of the 13 state inspector general to the department of oversight and investi- 14 gation, provisions shall be made for the transfer to such department of 15 those employees of such former agencies who were engaged in carrying out 16 the functions transferred by this act in accordance with section 70 of 17 the civil service law or, where not subject to the civil service law, 18 the provisions of such section 70 shall be deemed applicable, except 19 where the context clearly requires otherwise. Any such employee who, at 20 the time of such transfer, has a temporary or provisional appointment 21 shall be transferred subject to the same right of removal, examination 22 or termination as though such transfer had not been made except to the 23 extent such rights are modified by a collective bargaining agreement. 24 Employees holding permanent appointments in competitive class positions 25 who are not transferred pursuant to this section shall have their names 26 entered upon an appropriate preferred list for reinstatement pursuant to 27 the civil service law. 28 (b) A transferred employee shall remain in the same collective 29 bargaining unit as was the case prior to his or her transfer; successor 30 employees to the positions held by such transferred employees shall, 31 consistent with the provisions of article 14 of the civil service law, 32 be included in the same unit as their predecessors. Employees other than 33 management or confidential persons (as defined in article 14 of the 34 civil service law), serving positions in newly created titles shall be 35 assigned to the appropriate bargaining unit. Nothing contained in this 36 section shall be construed to affect: 37 (1) the rights of employees pursuant to a collective bargaining agree- 38 ment; 39 (2) the representational relationships among employee organizations or 40 the bargaining relationships between the state and an employee organiza- 41 tion; or 42 (3) existing law with respect to an application to the public employ- 43 ment relations board, provided, however, that the merger of such negoti- 44 ating units of employees shall be effected only with the consent of the 45 recognized and certified representative of such units and of the depart- 46 ment of law. 47 § 3. Transfer of records. All books, papers and property of the former 48 joint commission on public ethics, and the former office of the state 49 inspector general are to be delivered to the department of oversight and 50 investigation at such place and time, and in such manner as the depart- 51 ment of oversight and investigation shall require. 52 § 4. Continuity of authority. For the purpose of succession to all 53 functions, powers, duties and obligations of the former joint commissionS. 7061 12 1 on public ethics and the former office of the state inspector general 2 transferred to and assumed by the department of oversight and investi- 3 gation, such department shall continue the operation thereof as if 4 performed by such former agencies. 5 § 5. Completion of unfinished business. Any business or other matter 6 undertaken or commenced by the former joint commission on public ethics, 7 or the former office of the state inspector general pertaining to or 8 connected with the functions, powers, duties and obligations transferred 9 and assigned to the department of oversight and investigation, and pend- 10 ing on the effective date of this section shall be conducted and 11 completed by such department in the same manner and under the same terms 12 and conditions and with the same effect as if conducted and completed by 13 such former agencies. 14 § 6. Continuation of rules and regulations. All rules, regulations, 15 acts, orders, determinations and decisions of the former joint commis- 16 sion on public ethics and the former office of the state inspector 17 general in force at the time of such transfer and assumption, shall 18 continue in force and effect as rules, regulations, acts, orders, deter- 19 minations and decisions of the department of oversight and investigation 20 until duly modified or abrogated. 21 § 7. Terms occurring in laws, contracts and other documents. Whenever 22 the former joint commission on public ethics or the former office of the 23 state inspector general is referred to or designated in any law, 24 contract or document pertaining to the functions, powers, obligations 25 and duties transferred and assigned pursuant to this act, such reference 26 or designation shall be deemed to refer to the department of oversight 27 and investigation. 28 § 8. Existing rights and remedies preserved. No existing right or 29 remedy of any character shall be lost, impaired or affected by reason of 30 any transfer or assignment pursuant to this act. 31 § 9. Pending actions or proceedings. No action or proceeding pending 32 upon the effective date of this section relating to the functions, 33 powers and duties of the former joint commission on public ethics, and 34 the former office of the state inspector general transferred to the 35 department of oversight and investigation, brought by or against any 36 such former agency or individual, shall be affected by any provision of 37 this act, but the same may be prosecuted or defended in the name of such 38 department. In all such actions and proceedings, the department of over- 39 sight and investigation, upon application to the court, shall be substi- 40 tuted as a party. 41 § 10. Transfer of appropriations heretofore made. Subject to the 42 approval of the director of the division of the budget, all appropri- 43 ations and reappropriations heretofore made to the former joint commis- 44 sion on public ethics and the former office of the state inspector 45 general for the purposes and functions transferred pursuant to this act 46 to the department of oversight and investigation, to the extent of 47 remaining unexpended or unencumbered balance thereof, whether allocated 48 or unallocated, and whether obligated or unobligated, are hereby trans- 49 ferred to and made available for use and expenditure by such department 50 for the same purposes for which originally appropriated or reappropri- 51 ated and shall be payable on vouchers certified or approved by the 52 commissioner of the department of oversight and investigation on audit 53 and warrant of the comptroller. Payments for liabilities for expenses of 54 personal services, maintenance and operation heretofore incurred by and 55 for liabilities incurred and to be incurred in completing the affairs of 56 the former joint commission on public ethics and the former office ofS. 7061 13 1 the state inspector general with respect to the powers, duties and func- 2 tions transferred in this act, shall also be made on vouchers or certif- 3 icates approved by the commissioner of the department of oversight and 4 investigation on audit and warrant of the comptroller. 5 § 11. Transfer of assets and liabilities. All assets and liabilities 6 of the former joint commission on public ethics and the former office of 7 the state inspector general are hereby transferred to and assumed by the 8 department of oversight and investigation. 9 § 12. The department of oversight and investigation is hereby directed 10 to immediately take any and all actions necessary to enable it to assume 11 all powers, duties and functions of the former joint commission on 12 public ethics and the former office of the state inspector general with- 13 in 90 days of the effective date of this act. 14 § 13. This act shall take effect on the first of January next succeed- 15 ing the date on which it shall have become a law; provided that sections 16 one through eleven of this act shall take effect on the first of April 17 next succeeding the date on which it shall have become a law. 18 PART D 19 Section 1. Subdivision 5 of section 107 of the civil service law, as 20 amended by chapter 14 of the laws of 2007, is amended to read as 21 follows: 22 5. Violation of this section. Complaints alleging a violation of this 23 section by a statewide elected official or a state officer or employee, 24 as defined in section seventy-three of the public officers law, may be 25 directed to the [commission on public integrity] department of oversight 26 and investigation. 27 § 2. Subdivision (f) of section 1-c of the legislative law, as amended 28 by chapter 14 of the laws of 2007, is amended to read as follows: 29 (f) The term "commission" shall mean the [commission on public integ-30rity created by section ninety-four of the executive law] department of 31 oversight and investigation. 32 § 3. Subdivision 3 of section 212 of the racing, pari-mutuel wagering 33 and breeding law, as amended by chapter 18 of the laws of 2008, is 34 amended to read as follows: 35 3. Such members, except as otherwise provided by law, may engage in 36 private or public employment, or in a profession or business. The board, 37 its members, officers and employees shall be subject to the provisions 38 of sections seventy-three and seventy-four of the public officers law. 39 No former trustee or officer of a non-profit racing association known as 40 The New York Racing Association, Inc. or its predecessor, no current 41 director or officer of a franchised corporation or any individual regis- 42 tered with the [New York commission on public integrity] commissioner of 43 the department of oversight and investigation shall be appointed as 44 members to the board nor shall any member of the board have any direct 45 or indirect interest in any racehorse, thoroughbred racing or pari-mutu- 46 el wagering business, video lottery terminal facility or any development 47 at any racing facility. 48 § 4. Subdivision 3 of section 63 of the executive law, as amended by 49 chapter 155 of the laws of 2012, is amended to read as follows: 50 3. Upon request of the governor, comptroller, secretary of state, 51 commissioner of transportation, superintendent of financial services, 52 commissioner of taxation and finance, commissioner of motor vehicles, or 53 the [state inspector general] commissioner of the department of over- 54 sight and investigation, or the head of any other department, authority,S. 7061 14 1 division or agency of the state, investigate the alleged commission of 2 any indictable offense or offenses in violation of the law which the 3 officer making the request is especially required to execute or in 4 relation to any matters connected with such department, and to prosecute 5 the person or persons believed to have committed the same and any crime 6 or offense arising out of such investigation or prosecution or both, 7 including but not limited to appearing before and presenting all such 8 matters to a grand jury. 9 § 5. Section 2350-dd of the public authorities law, as added by chap- 10 ter 762 of the laws of 2005, is amended to read as follows: 11 § 2350-dd. Jurisdiction of [state inspector general] department of 12 oversight and investigation. The agency is subject to the jurisdiction 13 of the [office of the state inspector general] commissioner of the 14 department of oversight and investigation. 15 § 6. Subdivision 3 of section 2.10 of the criminal procedure law, as 16 added by chapter 843 of the laws of 1980, is amended to read as follows: 17 3. Investigators [of the office of the state commission of investi-18gation] acting for, or at the request of the department of oversight and 19 investigation. 20 § 7. Subdivision 68 of section 2.10 of the criminal procedure law, as 21 added by chapter 168 of the laws of 2000, is REPEALED. 22 § 8. Subdivision 3 of section 70-a of the executive law, as added by 23 chapter 1003 of the laws of 1970, is amended to read as follows: 24 3. The deputy attorney general in charge of the organized crime task 25 force may request and shall receive from the division of state police, 26 the state department of taxation and finance, the state department of 27 labor, the [temporary state commission of investigation] department of 28 oversight and investigation, and from every department, division, board, 29 bureau, commission or other agency of the state, or of any political 30 subdivision thereof, cooperation and assistance in the performance of 31 his duties. Such deputy attorney general may provide technical and other 32 assistance to any district attorney or other local law enforcement offi- 33 cial requesting such assistance in the investigation or prosecution of 34 organized crime cases. 35 § 9. Subdivision 9 of section 835 of the executive law, as separately 36 amended by chapters 14 and 155 of the laws of 2012, is amended to read 37 as follows: 38 9. "Qualified agencies" means courts in the unified court system, the 39 administrative board of the judicial conference, probation departments, 40 sheriffs' offices, district attorneys' offices, the state department of 41 corrections and community supervision, the department of correction of 42 any municipality, the financial frauds and consumer protection unit of 43 the state department of financial services, the office of professional 44 medical conduct of the state department of health for the purposes of 45 section two hundred thirty of the public health law, the child protec- 46 tive services unit of a local social services district when conducting 47 an investigation pursuant to subdivision six of section four hundred 48 twenty-four of the social services law, the office of Medicaid inspector 49 general, the [temporary state commission of investigation] department of 50 oversight and investigation, police forces and departments having 51 responsibility for enforcement of the general criminal laws of the 52 state, the Onondaga County Center for Forensic Sciences Laboratory when 53 acting within the scope of its law enforcement duties and the division 54 of forensic services of the Nassau county medical examiner's office when 55 acting within the scope of its law enforcement duties.S. 7061 15 1 § 10. Subdivision 8 of section 92 of the public officers law, as 2 amended by section 135 of subpart B of part C of chapter 62 of the laws 3 of 2011, is amended to read as follows: 4 (8) Public safety agency record. The term "public safety agency 5 record" means a record of the state commission of correction, the 6 [temporary state commission of investigation] department of oversight 7 and investigation, the department of corrections and community super- 8 vision, the office of children and family services, the office of victim 9 services, the office of probation and correctional alternatives or the 10 division of state police or of any agency or component thereof whose 11 primary function is the enforcement of civil or criminal statutes if 12 such record pertains to investigation, law enforcement, confinement of 13 persons in correctional facilities or supervision of persons pursuant to 14 criminal conviction or court order, and any records maintained by the 15 division of criminal justice services pursuant to sections eight hundred 16 thirty-seven, eight hundred thirty-seven-a, eight hundred thirty-sev- 17 en-b, eight hundred thirty-seven-c, eight hundred thirty-eight, eight 18 hundred thirty-nine, and eight hundred forty-five of the executive law 19 and by the department of state pursuant to section ninety-nine of the 20 executive law. 21 § 11. Chapter 989 of the laws of 1958, creating a temporary state 22 commission of investigation, is REPEALED. 23 § 12. Subparagraphs (ii) and (iii) of paragraph (c), and paragraphs 24 (d) and (d-1) of subdivision 1 of section 73-a of the public officers 25 law, subparagraphs (ii) and (iii) of paragraph (c) and paragraph (d) as 26 amended and paragraph (d-1) as added by section 5 of part A of chapter 27 399 of the laws of 2011, are amended to read as follows: 28 (ii) officers and employees of statewide elected officials, officers 29 and employees of state departments, boards, bureaus, divisions, commis- 30 sions, councils or other state agencies, who receive annual compensation 31 in excess of the filing rate established by paragraph (l) of this subdi- 32 vision or who hold policy-making positions, as annually determined by 33 the appointing authority and set forth in a written instrument which 34 shall be filed with the [joint commission on public ethics established35by section ninety-four of the executive law] department of oversight and 36 investigation during the month of February, provided, however, that the 37 appointing authority shall amend such written instrument after such date 38 within thirty days after the undertaking of policy-making responsibil- 39 ities by a new employee or any other employee whose name did not appear 40 on the most recent written instrument; and 41 (iii) members or directors of public authorities, other than multi- 42 state authorities, public benefit corporations and commissions at least 43 one of whose members is appointed by the governor, and employees of such 44 authorities, corporations and commissions who receive annual compen- 45 sation in excess of the filing rate established by paragraph (l) of this 46 subdivision or who hold policy-making positions, as determined annually 47 by the appointing authority and set forth in a written instrument which 48 shall be filed with the [joint commission on public ethics established49by section ninety-four of the executive law] department of oversight and 50 investigation during the month of February, provided, however, that the 51 appointing authority shall amend such written instrument after such date 52 within thirty days after the undertaking of policy-making responsibil- 53 ities by a new employee or any other employee whose name did not appear 54 on the most recent written instrument. 55 (d) The term "legislative employee" shall mean any officer or employee 56 of the legislature who receives annual compensation in excess of theS. 7061 16 1 filing rate established by paragraph (l) [below] of this subdivision or 2 who is determined to hold a policy-making position by the appointing 3 authority as set forth in a written instrument which shall be filed with 4 the legislative ethics commission and the [joint commission on public5ethics] department of oversight and investigation. 6 (d-1) A financial disclosure statement required pursuant to section 7 seventy-three of this article and this section shall be deemed "filed" 8 with the [joint commission on public ethics] department of oversight and 9 investigation upon its filing, in accordance with this section, with the 10 legislative ethics commission for all purposes including, but not limit- 11 ed to, [subdivision fourteen of section ninety-four of the executive12law,] article seven-A of this chapter, subdivision nine of section 13 eighty of the legislative law and subdivision four of this section. 14 § 13. Subdivision 2 of section 73-a of the public officers law, as 15 amended by section 5 of part A of chapter 399 of the laws of 2011, is 16 amended to read as follows: 17 2. (a) Every statewide elected official, state officer or employee, 18 member of the legislature, legislative employee and political party 19 chairman and every candidate for statewide elected office or for member 20 of the legislature shall file an annual statement of financial disclo- 21 sure containing the information and in the form set forth in subdivision 22 three of this section. On or before the fifteenth day of May with 23 respect to the preceding calendar year: (1) every member of the legisla- 24 ture, every candidate for member of the legislature and legislative 25 employee shall file such statement with the legislative ethics commis- 26 sion which shall provide such statement along with any requests for 27 exemptions or deletions to the [joint commission on public ethics] 28 department of oversight and investigation for filing and rulings with 29 respect to such requests for exemptions or deletions, on or before the 30 thirtieth day of June; and (2) all other individuals required to file 31 such statement shall file it with the [joint commission on public32ethics] department of oversight and investigation, except that: 33 (i) a person who is subject to the reporting requirements of this 34 subdivision and who timely filed with the internal revenue service an 35 application for automatic extension of time in which to file his or her 36 individual income tax return for the immediately preceding calendar or 37 fiscal year shall be required to file such financial disclosure state- 38 ment on or before May fifteenth but may, without being subjected to any 39 civil penalty on account of a deficient statement, indicate with respect 40 to any item of the disclosure statement that information with respect 41 thereto is lacking but will be supplied in a supplementary statement of 42 financial disclosure, which shall be filed on or before the seventh day 43 after the expiration of the period of such automatic extension of time 44 within which to file such individual income tax return, provided that 45 failure to file or to timely file such supplementary statement of finan- 46 cial disclosure or the filing of an incomplete or deficient supplementa- 47 ry statement of financial disclosure shall be subject to the notice and 48 penalty provisions of this section respecting annual statements of 49 financial disclosure as if such supplementary statement were an annual 50 statement; 51 (ii) a person who is required to file an annual financial disclosure 52 statement with the [joint commission on public ethics] department of 53 oversight and investigation, and who is granted an additional period of 54 time within which to file such statement due to justifiable cause or 55 undue hardship[, in accordance with required rules and regulations on56the subject adopted pursuant to paragraph c of subdivision nine ofS. 7061 17 1section ninety-four of the executive law] shall file such statement 2 within the additional period of time granted[; and the legislative3ethics commission shall notify the joint commission on public ethics of4any extension granted pursuant to this paragraph]; 5 (iii) candidates for statewide office who receive a party designation 6 for nomination by a state committee pursuant to section 6-104 of the 7 election law shall file such statement within ten days after the date of 8 the meeting at which they are so designated; 9 (iv) candidates for statewide office who receive twenty-five percent 10 or more of the vote cast at the meeting of the state committee held 11 pursuant to section 6-104 of the election law and who demand to have 12 their names placed on the primary ballot and who do not withdraw within 13 fourteen days after such meeting shall file such statement within ten 14 days after the last day to withdraw their names in accordance with the 15 provisions of such section of the election law; 16 (v) candidates for statewide office and candidates for member of the 17 legislature who file party designating petitions for nomination at a 18 primary election shall file such statement within ten days after the 19 last day allowed by law for the filing of party designating petitions 20 naming them as candidates for the next succeeding primary election; 21 (vi) candidates for independent nomination who have not been desig- 22 nated by a party to receive a nomination shall file such statement with- 23 in ten days after the last day allowed by law for the filing of inde- 24 pendent nominating petitions naming them as candidates in the next 25 succeeding general or special election; 26 (vii) candidates who receive the nomination of a party for a special 27 election shall file such statement within ten days after the date of the 28 meeting of the party committee at which they are nominated; and 29 (viii) a candidate substituted for another candidate, who fills a 30 vacancy in a party designation or in an independent nomination, caused 31 by declination, shall file such statement within ten days after the last 32 day allowed by law to file a certificate to fill a vacancy in such party 33 designation or independent nomination; 34 (ix) with respect to all candidates for member of the legislature, the 35 legislative ethics commission shall within five days of receipt provide 36 the joint commission on public ethics the statement filed pursuant to 37 subparagraphs (v), (vi), (vii) and (viii) of this paragraph. 38 (b) As used in this subdivision, the terms "party", "committee" (when 39 used in conjunction with the term "party"), "designation", "primary", 40 "primary election", "nomination", "independent nomination" and "ballot" 41 shall have the same meanings as those contained in section 1-104 of the 42 election law. 43 (c) If the reporting individual is a senator or member of assembly, 44 candidate for the senate or member of assembly or a legislative employ- 45 ee, such statement shall be filed with both the legislative ethics 46 commission established by section eighty of the legislative law and the 47 [joint commission on public ethics] department of oversight and investi- 48 gation in accordance with paragraph (d-1) of subdivision one of this 49 section. If the reporting individual is a statewide elected official, 50 candidate for statewide elected office, a state officer or employee or a 51 political party chairman, such statement shall be filed with the joint 52 commission on public ethics established by section ninety-four of the 53 executive law. 54 (d) The [joint commission on public ethics] department of oversight 55 and investigation shall obtain from the state board of elections a list 56 of all candidates for statewide office and for member of the legisla-S. 7061 18 1 ture, and from such list, shall determine and publish a list of those 2 candidates who have not, within ten days after the required date for 3 filing such statement, filed the statement required by this subdivision. 4 (e) Any person required to file such statement who commences employ- 5 ment after May fifteenth of any year and political party chairman shall 6 file such statement within thirty days after commencing employment or of 7 taking the position of political party chairman, as the case may be. In 8 the case of members of the legislature and legislative employees, such 9 statements shall be filed with the legislative ethics commission within 10 thirty days after commencing employment, and the legislative ethics 11 commission shall provide such statements to the joint commission on 12 public ethics within forty-five days of receipt. 13 (f) A person who may otherwise be required to file more than one annu- 14 al financial disclosure statement with both the [joint commission on15public ethics] department of oversight and investigation and the legis- 16 lative ethics commission in any one calendar year may satisfy such 17 requirement by filing one such statement with either body and by notify- 18 ing the other body of such compliance. 19 (g) A person who is employed in more than one employment capacity for 20 one or more employers certain of whose officers and employees are 21 subject to filing a financial disclosure statement with the same ethics 22 commission, as the case may be, and who receives distinctly separate 23 payments of compensation for such employment shall be subject to the 24 filing requirements of this section if the aggregate annual compensation 25 for all such employment capacities is in excess of the filing rate 26 notwithstanding that such person would not otherwise be required to file 27 with respect to any one particular employment capacity. A person not 28 otherwise required to file a financial disclosure statement hereunder 29 who is employed by an employer certain of whose officers or employees 30 are subject to filing a financial disclosure statement with the [joint31commission on public ethics] department of oversight and investigation 32 and who is also employed by an employer certain of whose officers or 33 employees are subject to filing a financial disclosure statement with 34 the legislative ethics commission shall not be subject to filing such 35 statement with either such commission on the basis that his aggregate 36 annual compensation from all such employers is in excess of the filing 37 rate. 38 (h) A statewide elected official or member of the legislature, who is 39 simultaneously a candidate for statewide elected office or member of the 40 legislature, shall satisfy the filing deadline requirements of this 41 subdivision by complying only with the deadline applicable to one who 42 holds a statewide elected office or who holds the office of member of 43 the legislature. 44 (i) A candidate whose name will appear on both a party designating 45 petition and on an independent nominating petition for the same office 46 or who will be listed on the election ballot for the same office more 47 than once shall satisfy the filing deadline requirements of this subdi- 48 vision by complying with the earliest applicable deadline only. 49 (j) A member of the legislature who is elected to such office at a 50 special election prior to May fifteenth in any year shall satisfy the 51 filing requirements of this subdivision in such year by complying with 52 the earliest applicable deadline only. 53 (k) The [joint commission on public ethics] department of oversight 54 and investigation shall post for at least five years beginning for 55 filings made on January first, two thousand thirteen the annual state- 56 ment of financial disclosure and any amendments filed by each personS. 7061 19 1 subject to the reporting requirements of this subdivision who is an 2 elected official on its website for public review within thirty days of 3 its receipt of such statement or within ten days of its receipt of such 4 amendment that reflects any corrections of deficiencies identified by 5 [the commission] such department or by the reporting individual after 6 the reporting individual's initial filing. Except upon an individual 7 determination by the [commission] department of oversight and investi- 8 gation that certain information may be deleted from a reporting individ- 9 ual's annual statement of financial disclosure, none of the information 10 in the statement posted on [the commission's] such department's website 11 shall be otherwise deleted. 12 § 14. Subparagraphs (b), (b-2) and (c) of paragraph 8 of subdivision 3 13 and subdivision 4 of section 73-a of the public officers law, subpara- 14 graphs (b), (b-2) and (c) of paragraph 8 of subdivision 3 as amended by 15 section 6 of part K of chapter 286 of the laws of 2016, and subdivision 16 4 as amended by section 5 of part A of chapter 399 of the laws of 2011, 17 are amended to read as follows: 18 (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE 19 PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER 20 THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING 21 CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON 22 OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER 23 THIRTY-FIRST, TWO THOUSAND FIFTEEN: 24 If the reporting individual personally provides services to any person 25 or entity, or works as a member or employee of a partnership or corpo- 26 ration that provides such services (referred to hereinafter as a 27 "firm"), then identify each client or customer to whom the reporting 28 individual personally provided services, or who was referred to the firm 29 by the reporting individual, and from whom the reporting individual or 30 his or her firm earned fees in excess of $10,000 during the reporting 31 period for such services rendered in direct connection with: 32 (i) A contract in an amount totaling $50,000 or more from the state or 33 any state agency for services, materials, or property; 34 (ii) A grant of $25,000 or more from the state or any state agency 35 during the reporting period; 36 (iii) A grant obtained through a legislative initiative during the 37 reporting period; or 38 (iv) A case, proceeding, application or other matter that is not a 39 ministerial matter before a state agency during the reporting period. 40 For purposes of this question, "referred to the firm" shall mean: 41 having intentionally and knowingly taken a specific act or series of 42 acts to intentionally procure for the reporting individual's firm or 43 knowingly solicit or direct to the reporting individual's firm in whole 44 or substantial part, a person or entity that becomes a client of that 45 firm for the purposes of representation for a matter as defined in 46 subparagraphs (i) through (iv) of this paragraph, as the result of such 47 procurement, solicitation or direction of the reporting individual. A 48 reporting individual need not disclose activities performed while 49 lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi- 50 sion seven of section seventy-three of this article. 51 The disclosure requirement in this question shall not require disclo- 52 sure of clients or customers receiving medical or dental services, 53 mental health services, residential real estate brokering services, or 54 insurance brokering services from the reporting individual or his or her 55 firm. The reporting individual need not identify any client to whom he 56 or she or his or her firm provided legal representation with respect toS. 7061 20 1 investigation or prosecution by law enforcement authorities, bankruptcy, 2 or domestic relations matters. With respect to clients represented in 3 other matters, where disclosure of a client's identity is likely to 4 cause harm, the reporting individual shall request an exemption from the 5 [joint commission pursuant to paragraph (i-1) of subdivision nine of6section ninety-four of the executive law] department of oversight and 7 investigation, provided, however, that a reporting individual who first 8 enters public office after July first, two thousand twelve, need not 9 report clients or customers with respect to matters for which the 10 reporting individual or his or her firm was retained prior to entering 11 public office. 12 Client Nature of Services Provided 13 ________________________________________________________________________ 14 ________________________________________________________________________ 15 ________________________________________________________________________ 16 ________________________________________________________________________ 17 ________________________________________________________________________ 18 (b-2) 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 (i) With respect to reporting individuals who receive ten thousand 25 dollars or more from employment or activity reportable under question 26 8(a), for each client or customer NOT otherwise disclosed or exempted in 27 question 8 or 13, disclose the name of each client or customer known to 28 the reporting individual to whom the reporting individual provided 29 services: (A) who paid the reporting individual in excess of five thou- 30 sand dollars for such services; or (B) who had been billed with the 31 knowledge of the reporting individual in excess of five thousand dollars 32 by the firm or other entity named in question 8(a) for the reporting 33 individual's services. 34 Client Services Category of Amount 35 Actually Provided (in Table I) ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 36 FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF 37 DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED": 38 * REVIEWED DOCUMENTS AND CORRESPONDENCE; 39 * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING; 40 * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME); 41 * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/ 42 MEMBERS OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME); 43 * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT 44 BY NAME); 45 * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR 46 REPRESENTATION OR CONSULTATION; 47 * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME); 48 * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING RENDERINGS FOR 49 CLIENT (IDENTIFY CUSTOMER BY NAME);S. 7061 21 1 * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT). 2 (ii) With respect to reporting individuals who disclosed in question 3 8(a) that the reporting individual did not provide services to a client 4 but provided services to a firm or business, identify the category of 5 amount received for providing such services and describe the services 6 rendered. 7 Services Actually Provided Category of Amount (Table I) ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 8 A reporting individual need not disclose activities performed while 9 lawfully acting in his or her capacity as provided in paragraphs (c), 10 (d), (e) and (f) of subdivision seven of section seventy-three of this 11 article. The disclosure requirement in questions (b-1) and (b-2) shall 12 not require disclosing clients or customers receiving medical, pharma- 13 ceutical or dental services, mental health services, or residential real 14 estate brokering services from the reporting individual or his or her 15 firm or if federal law prohibits or limits disclosure. The reporting 16 individual need not identify any client to whom he or she or his or her 17 firm provided legal representation with respect to investigation or 18 prosecution by law enforcement authorities, bankruptcy, family court, 19 estate planning, or domestic relations matters, nor shall the reporting 20 individual identify individuals represented pursuant to an insurance 21 policy but the reporting individual shall in such circumstances only 22 report the entity that provides compensation to the reporting individ- 23 ual; with respect to matters in which the client's name is required by 24 law to be kept confidential (such as matters governed by the family 25 court act) or in matters in which the reporting individual represents or 26 provides services to minors, the client's name may be replaced with 27 initials. To the extent that the reporting individual, or his or her 28 firm, provided legal representation with respect to an initial public 29 offering, and professional disciplinary rules, federal law or regu- 30 lations restrict the disclosure of information relating to such work, 31 the reporting individual shall (i) disclose the identity of the client 32 and the services provided relating to the initial public offering to the 33 office of court administration, who will maintain such information 34 confidentially in a locked box; and (ii) include in his or her response 35 to questions (b-1) and (b-2) that pursuant to this paragraph, a disclo- 36 sure to the office of court administration has been made. Upon such time 37 that the disclosure of information maintained in the locked box is no 38 longer restricted by professional disciplinary rules, federal law or 39 regulation, the reporting individual shall disclose such information in 40 an amended disclosure statement in response to the disclosure require- 41 ments in questions (b-1) and (b-2). The office of court administration 42 shall develop and maintain a secure portal through which information 43 submitted to it pursuant to this paragraph can be safely and confiden- 44 tially stored. With respect to clients represented in other matters not 45 otherwise exempt, the reporting individual may request an exemption to 46 publicly disclosing the name of that client from the [joint commission47pursuant to paragraph (i-1) of subdivision nine of section ninety-four48of the executive law] department of oversight and investigation, or from 49 the office of court administration. In such application, the reporting 50 individual shall state the following: "My client is not currently 51 receiving my services or seeking my services in connection with: 52 (i) A proposed bill or resolution in the senate or assembly during the 53 reporting period;S. 7061 22 1 (ii) A contract in an amount totaling $10,000 or more from the state 2 or any state agency for services, materials, or property; 3 (iii) A grant of $10,000 or more from the state or any state agency 4 during the reporting period; 5 (iv) A grant obtained through a legislative initiative during the 6 reporting period; or 7 (v) A case, proceeding, application or other matter that is not a 8 ministerial matter before a state agency during the reporting period." 9 In reviewing the request for an exemption, the [joint commission] 10 department of oversight and investigation or the office of court admin- 11 istration may consult with bar or other professional associations and 12 the legislative ethics commission for individuals subject to its juris- 13 diction and may consider the rules of professional conduct. In making 14 its determination, the [joint commission] department of oversight and 15 investigation or the office of court administration shall conduct its 16 own inquiry and shall consider factors including, but not limited to: 17 (i) the nature and the size of the client; (ii) whether the client has 18 any business before the state; and if so, how significant the business 19 is; and whether the client has any particularized interest in pending 20 legislation and if so how significant the interest is; (iii) whether 21 disclosure may reveal trade secrets; (iv) whether disclosure could 22 reasonably result in retaliation against the client; (v) whether disclo- 23 sure may cause undue harm to the client; (vi) whether disclosure may 24 result in undue harm to the attorney-client relationship; and (vii) 25 whether disclosure may result in an unnecessary invasion of privacy to 26 the client. 27 The [joint commission] department of oversight and investigation or, 28 as the case may be, the office of court administration shall promptly 29 make a final determination in response to such request, which shall 30 include an explanation for its determination. The office of court 31 administration shall issue its final determination within three days of 32 receiving the request. Notwithstanding any other provision of law or any 33 professional disciplinary rule to the contrary, the disclosure of the 34 identity of any client or customer in response to this question shall 35 not constitute professional misconduct or a ground for disciplinary 36 action of any kind, or form the basis for any civil or criminal cause of 37 action or proceeding. A reporting individual who first enters public 38 office after January first, two thousand sixteen, need not report 39 clients or customers with respect to matters for which the reporting 40 individual or his or her firm was retained prior to entering public 41 office. 42 (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE 43 PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR 44 NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE 45 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU- 46 SAND FIFTEEN: 47 If the reporting individual receives income of ten thousand dollars or 48 greater from any employment or activity reportable under question 8(a), 49 identify each registered lobbyist who has directly referred to such 50 individual a client who was successfully referred to the reporting indi- 51 vidual's business and from whom the reporting individual or firm 52 received a fee for services in excess of five thousand dollars. Report 53 only those referrals that were made to a reporting individual by direct 54 communication from a person known to such reporting individual to be a 55 registered lobbyist at the time the referral is made. With respect to 56 each such referral, the reporting individual shall identify the client,S. 7061 23 1 the registered lobbyist who has made the referral, the category of value 2 of the compensation received and a general description of the type of 3 matter so referred. A reporting individual need not disclose activities 4 performed while lawfully acting pursuant to paragraphs (c), (d), (e) and 5 (f) of subdivision seven of section seventy-three of this article. The 6 disclosure requirements in this question shall not require disclosing 7 clients or customers receiving medical, pharmaceutical or dental 8 services, mental health services, or residential real estate brokering 9 services from the reporting individual or his or her firm or if federal 10 law prohibits or limits disclosure. The reporting individual need not 11 identify any client to whom he or she or his or her firm provided legal 12 representation with respect to investigation or prosecution by law 13 enforcement authorities, bankruptcy, family court, estate planning, or 14 domestic relations matters, nor shall the reporting individual identify 15 individuals represented pursuant to an insurance policy but the report- 16 ing individual shall in such circumstances only report the entity that 17 provides compensation to the reporting individual; with respect to 18 matters in which the client's name is required by law to be kept confi- 19 dential (such as matters governed by the family court act) or in matters 20 in which the reporting individual represents or provides services to 21 minors, the client's name may be replaced with initials. To the extent 22 that the reporting individual, or his or her firm, provided legal repre- 23 sentation with respect to an initial public offering, and federal law or 24 regulations restricts the disclosure of information relating to such 25 work, the reporting individual shall (i) disclose the identity of the 26 client and the services provided relating to the initial public offering 27 to the office of court administration, who will maintain such informa- 28 tion confidentially in a locked box; and (ii) include in his or her 29 response a statement that pursuant to this paragraph, a disclosure to 30 the office of court administration has been made. Upon such time that 31 the disclosure of information maintained in the locked box is no longer 32 restricted by federal law or regulation, the reporting individual shall 33 disclose such information in an amended disclosure statement in response 34 to the disclosure requirements of this paragraph. The office of court 35 administration shall develop and maintain a secure portal through which 36 information submitted to it pursuant to this paragraph can be safely and 37 confidentially stored. With respect to clients represented in other 38 matters not otherwise exempt, the reporting individual may request an 39 exemption to publicly disclosing the name of that client from the [joint40commission pursuant to paragraph (i-1) of subdivision nine of section41ninety-four of the executive law] department of oversight and investi- 42 gation, or from the office of court administration. In such application, 43 the reporting individual shall state the following: "My client is not 44 currently receiving my services or seeking my services in connection 45 with: 46 (i) A proposed bill or resolution in the senate or assembly during the 47 reporting period; 48 (ii) A contract in an amount totaling $10,000 or more from the state 49 or any state agency for services, materials, or property; 50 (iii) A grant of $10,000 or more from the state or any state agency 51 during the reporting period; 52 (iv) A grant obtained through a legislative initiative during the 53 reporting period; or 54 (v) A case, proceeding, application or other matter that is not a 55 ministerial matter before a state agency during the reporting period."S. 7061 24 1 In reviewing the request for an exemption, the [joint commission] 2 department of oversight and investigation or the office of court admin- 3 istration may consult with bar or other professional associations and 4 the legislative ethics commission for individuals subject to its juris- 5 diction and may consider the rules of professional conduct. In making 6 its determination, the [joint commission] department of oversight and 7 investigation or the office of court administration shall conduct its 8 own inquiry and shall consider factors including, but not limited to: 9 (i) the nature and the size of the client; (ii) whether the client has 10 any business before the state; and if so, how significant the business 11 is; and whether the client has any particularized interest in pending 12 legislation and if so how significant the interest is; (iii) whether 13 disclosure may reveal trade secrets; (iv) whether disclosure could 14 reasonably result in retaliation against the client; (v) whether disclo- 15 sure may cause undue harm to the client; (vi) whether disclosure may 16 result in undue harm to the attorney-client relationship; and (vii) 17 whether disclosure may result in an unnecessary invasion of privacy to 18 the client. 19 The [joint commission] department of oversight and investigation or, 20 as the case may be, the office of court administration shall promptly 21 make a final determination in response to such request, which shall 22 include an explanation for its determination. The office of court 23 administration shall issue its final determination within three days of 24 receiving the request. Notwithstanding any other provision of law or any 25 professional disciplinary rule to the contrary, the disclosure of the 26 identity of any client or customer in response to this question shall 27 not constitute professional misconduct or a ground for disciplinary 28 action of any kind, or form the basis for any civil or criminal cause of 29 action or proceeding. A reporting individual who first enters public 30 office after December thirty-first, two thousand fifteen, need not 31 report clients or customers with respect to matters for which the 32 reporting individual or his or her firm was retained prior to entering 33 public office. 34 Client Name of Lobbyist Description Category of Amount 35 of Matter (in Table 1) 36 ________________________________________________________________________ 37 ________________________________________________________________________ 38 ________________________________________________________________________ 39 ________________________________________________________________________ 40 ________________________________________________________________________ 41 4. A reporting individual who knowingly and wilfully fails to file an 42 annual statement of financial disclosure or who knowingly and wilfully 43 with intent to deceive makes a false statement or gives information 44 which such individual knows to be false on such statement of financial 45 disclosure filed pursuant to this section shall be subject to a civil 46 penalty in an amount not to exceed forty thousand dollars. Assessment of 47 a civil penalty hereunder shall be made by the [joint commission on48public ethics or by the legislative ethics commission, as the case may49be] department of oversight and investigation or the legislative ethics 50 commission, with respect to persons subject to their respective juris- 51 dictions. The [joint commission on public ethics acting pursuant to52subdivision fourteen of section ninety-four of the executive law] 53 department of oversight and investigation or the legislative ethics 54 commission acting pursuant to subdivision eleven of section eighty of 55 the legislative law, as the case may be, may, in lieu of or in additionS. 7061 25 1 to a civil penalty, refer a violation to the appropriate prosecutor and 2 upon such conviction, but only after such referral, such violation shall 3 be punishable as a class A misdemeanor. A civil penalty for false filing 4 may not be imposed hereunder in the event a category of "value" or 5 "amount" reported hereunder is incorrect unless such reported informa- 6 tion is falsely understated. Notwithstanding any other provision of law 7 to the contrary, no other penalty, civil or criminal may be imposed for 8 a failure to file, or for a false filing, of such statement, except that 9 the appointing authority may impose disciplinary action as otherwise 10 provided by law. The [joint commission on public ethics] department of 11 oversight and investigation and the legislative ethics commission shall 12 each be deemed to be an agency within the meaning of article three of 13 the state administrative procedure act and shall adopt rules governing 14 the conduct of adjudicatory proceedings and appeals relating to the 15 assessment of the civil penalties herein authorized. Such rules, which 16 shall not be subject to the approval requirements of the state adminis- 17 trative procedure act, shall provide for due process procedural mech- 18 anisms substantially similar to those set forth in such article three 19 but such mechanisms need not be identical in terms or scope. Assessment 20 of a civil penalty shall be final unless modified, suspended or vacated 21 within thirty days of imposition and upon becoming final shall be 22 subject to review at the instance of the affected reporting individual 23 in a proceeding commenced against the [joint commission on public24ethics] department of oversight and investigation or the legislative 25 ethics commission, pursuant to article seventy-eight of the civil prac- 26 tice law and rules. 27 § 15. The opening paragraph of section 1-d of the legislative law, as 28 amended by chapter 14 of the laws of 2007, is amended to read as 29 follows: 30 In addition to any other powers and duties [provided by section nine-31ty-four of the executive law,] the [commission] department of oversight 32 and investigation shall, with respect to its lobbying-related functions 33 only, have the power and duty to: 34 § 16. Subdivision 3 of section 2986 of the public authorities law, as 35 added by chapter 506 of the laws of 2009, is amended to read as follows: 36 3. Any communications between an employee and the authorities budget 37 office pursuant to this section shall be held strictly confidential by 38 the authorities budget office, unless the employee specifically waives 39 in writing the right to confidentiality, except that such confidentiali- 40 ty shall not exempt the authorities budget office from disclosing such 41 information, where appropriate, to the [state inspector general in42accordance with section fifty-five of the executive law,] department of 43 oversight and investigation or prevent disclosure to any law enforcement 44 authority. 45 § 17. Paragraph (a) of subdivision 1 of section 73 of the public offi- 46 cers law, as amended by section 1 of part A of chapter 399 of the laws 47 of 2011, is amended to read as follows: 48 (a) The term "compensation" shall mean any money, thing of value or 49 financial benefit conferred in return for services rendered or to be 50 rendered. With regard to matters undertaken by a firm, corporation or 51 association, compensation shall mean net revenues, as defined in accord- 52 ance with generally accepted accounting principles as defined by the 53 [joint commission on public ethics or] legislative ethics commission or 54 the department of oversight and investigation in relation to persons 55 subject to their respective jurisdictions.S. 7061 26 1 § 18. The opening paragraph of paragraph (a) of subdivision 6 of 2 section 73 of the public officers law, as amended by section 3 of part K 3 of chapter 286 of the laws of 2016, is amended to read as follows: 4 Every legislative employee not subject to the provisions of section 5 seventy-three-a of this chapter shall, on and after December fifteenth 6 and before the following January fifteenth, in each year, file with the 7 [joint commission on public ethics and the] legislative ethics commis- 8 sion a financial disclosure statement of 9 § 19. Paragraph (h) of subdivision 8 of section 73 of the public offi- 10 cers law, as amended by section 10 of part A of chapter 399 of the laws 11 of 2011, is amended to read as follows: 12 (h) Notwithstanding the provisions of subparagraphs (i) and (ii) of 13 paragraph (a) of this subdivision, a former state officer or employee 14 may contract individually, or as a member or employee of a firm, corpo- 15 ration or association, to render services to any state agency when the 16 agency head certifies in writing to the [joint commission on public17ethics] department of oversight and investigation that the services of 18 such former officer or employee are required in connection with the 19 agency's response to a disaster emergency declared by the governor 20 pursuant to section twenty-eight of the executive law. 21 § 20. Subdivision 8-a of section 73 of the public officers law, as 22 amended by chapter 357 of the laws of 2001 and the opening paragraph as 23 amended by section 11 of part A of chapter 399 of the laws of 2011, is 24 amended to read as follows: 25 8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a) of 26 subdivision eight of this section shall not apply to any such former 27 state officer or employee engaged in any of the specific permitted 28 activities defined in this subdivision that are related to any civil 29 action or proceeding in any state or federal court, provided that the 30 attorney general has certified in writing to the [joint commission on31public ethics] department of oversight and investigation, with a copy to 32 such former state officer or employee, that the services are rendered on 33 behalf of the state, a state agency, state officer or employee, or other 34 person or entity represented by the attorney general, and that such 35 former state officer or employee has expertise, knowledge or experience 36 which is unique or outstanding in a field or in a particular matter or 37 which would otherwise be generally unavailable at a comparable cost to 38 the state, a state agency, state officer or employee, or other person or 39 entity represented by the attorney general in such civil action or 40 proceeding. In those instances where a state agency is not represented 41 by the attorney general in a civil action or proceeding in state or 42 federal court, a former state officer or employee may engage in permit- 43 ted activities provided that the general counsel of the state agency, 44 after consultation with the [joint commission on public ethics] depart- 45 ment of oversight and investigation, provides to [the joint commission46on public ethics] such department a written certification which meets 47 the requirements of this subdivision. For purposes of this subdivision 48 the term "permitted activities" shall mean generally any activity 49 performed at the request of the attorney general or the attorney gener- 50 al's designee, or in cases where the state agency is not represented by 51 the attorney general, the general counsel of such state agency, includ- 52 ing without limitation: 53 (a) preparing or giving testimony or executing one or more affidavits; 54 (b) gathering, reviewing or analyzing information, including documen- 55 tary or oral information concerning facts or opinions, attending deposi- 56 tions or participating in document review or discovery;S. 7061 27 1 (c) performing investigations, examinations, inspections or tests of 2 persons, documents or things; 3 (d) performing audits, appraisals, compilations or computations, or 4 reporting about them; 5 (e) identifying information to be sought concerning facts or opinions; 6 or 7 (f) otherwise assisting in the preparation for, or conduct of, such 8 litigation. 9 Nothing in this subdivision shall apply to the provision of legal 10 representation by any former state officer or employee. 11 § 21. Subdivision 8-b of section 73 of the public officers law, as 12 amended by section 12 of part A of chapter 399 of the laws of 2011, is 13 amended to read as follows: 14 8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of 15 paragraph (a) of subdivision eight of this section, a former state offi- 16 cer or employee may contract individually, or as a member or employee of 17 a firm, corporation or association, to render services to any state 18 agency if, prior to engaging in such service, the agency head certifies 19 in writing to the [joint commission on public ethics] department of 20 oversight and investigation that such former officer or employee has 21 expertise, knowledge or experience with respect to a particular matter 22 which meets the needs of the agency and is otherwise unavailable at a 23 comparable cost. Where approval of the contract is required under 24 section one hundred twelve of the state finance law, the comptroller 25 shall review and consider the reasons for such certification. The [joint26commission on public ethics] department of oversight and investigation 27 must review and approve all certifications made pursuant to this subdi- 28 vision. 29 § 22. Subdivision 10 of section 73 of the public officers law, as 30 amended by section 5 of part K of chapter 286 of the laws of 2016, is 31 amended to read as follows: 32 10. Nothing contained in this section, the judiciary law, the educa- 33 tion law or any other law or disciplinary rule shall be construed or 34 applied to prohibit any firm, association or corporation, in which any 35 present or former statewide elected official, state officer or employee, 36 or political party chairman, member of the legislature or legislative 37 employee is a member, associate, retired member, of counsel or share- 38 holder, from appearing, practicing, communicating or otherwise rendering 39 services in relation to any matter before, or transacting business with 40 a state agency, or a city agency with respect to a political party 41 chairman in a county wholly included in a city with a population of more 42 than one million, otherwise proscribed by this section, the judiciary 43 law, the education law or any other law or disciplinary rule with 44 respect to such official, member of the legislature or officer or 45 employee, or political party chairman, where such statewide elected 46 official, state officer or employee, member of the legislature or legis- 47 lative employee, or political party chairman does not share in the net 48 revenues, as defined in accordance with generally accepted accounting 49 principles by the [joint commission on public ethics or by the] legisla- 50 tive ethics commission or the department of oversight and investigation 51 in relation to persons subject to their respective jurisdictions, 52 resulting therefrom, or, acting in good faith, reasonably believed that 53 he or she would not share in the net revenues as so defined; nor shall 54 anything contained in this section, the judiciary law, the education law 55 or any other law or disciplinary rule be construed to prohibit any firm, 56 association or corporation in which any present or former statewideS. 7061 28 1 elected official, member of the legislature, legislative employee, full- 2 time salaried state officer or employee or state officer or employee who 3 is subject to the provisions of section seventy-three-a of this article 4 is a member, associate, retired member, of counsel or shareholder, from 5 appearing, practicing, communicating or otherwise rendering services in 6 relation to any matter before, or transacting business with, the court 7 of claims, where such statewide elected official, member of the legisla- 8 ture, legislative employee, full-time salaried state officer or employee 9 or state officer or employee who is subject to the provisions of section 10 seventy-three-a of this article does not share in the net revenues, as 11 defined in accordance with generally accepted accounting principles by 12 the [joint commission on public ethics or by the] legislative ethics 13 commission or the department of oversight and investigation in relation 14 to persons subject to their respective jurisdictions, resulting there- 15 from, or, acting in good faith, reasonably believed that he or she would 16 not share in the net revenues as so defined. 17 § 23. This act shall take effect on the first of January next succeed- 18 ing the date on which it shall have become a law; provided that the 19 amendment to subdivision 3 of section 212 of the racing, pari-mutuel 20 wagering and breeding law made by section three of this act shall not 21 affect the repeal of such section and shall be deemed repealed there- 22 with. 23 § 3. Severability clause. If any clause, sentence, paragraph, subdivi- 24 sion, section or part of this act shall be adjudged by any court of 25 competent jurisdiction to be invalid, such judgment shall not affect, 26 impair, or invalidate the remainder thereof, but shall be confined in 27 its operation to the clause, sentence, paragraph, subdivision, section 28 or part thereof directly involved in the controversy in which such judg- 29 ment shall have been rendered. It is hereby declared to be the intent of 30 the legislature that this act would have been enacted even if such 31 invalid provisions had not been included herein. 32 § 4. This act shall take effect immediately; provided, however, that 33 the applicable effective dates of Parts A through D of this act shall be 34 as specifically set forth in the last section of such Parts.
