S T A T E   O F   N E W   Y O R K
       ________________________________________________________________________
                                          892
                              2015-2016 Regular Sessions
                                   I N  S E N A T E
                                    January 7, 2015
                                      ___________
       Introduced  by  Sen.  AVELLA -- read twice and ordered printed, and when
         printed to be committed to the Committee on Investigations and Govern-
         ment Operations
       AN ACT to amend the executive law, the legislative law  and  the  public
         officers  law,  in  relation to doing away with the legislative ethics
         commission and transferring certain duties to the joint commission  on
         public  ethics;  and  to  repeal  article 5 of the legislative law, in
         relation to the legislative ethics commission
         THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
       BLY, DO ENACT AS FOLLOWS:
    1    Section 1. Article 5 of the legislative law is REPEALED.
    2    S  2. Section 94 of the executive law, as amended by section 6 of part
    3  A of chapter 399 of the laws of 2011, is amended to read as follows:
    4    S 94. Joint commission on public ethics; functions, powers and duties;
    5  review of financial disclosure statements; advisory  opinions;  investi-
    6  gation and enforcement.
    7    1. There is established within the department of state a joint commis-
    8  sion on public ethics which shall consist of [fourteen] FIVE members and
    9  shall  have and exercise the powers and duties set forth in this section
   10  with respect to statewide elected officials, members of the  legislature
   11  and  employees  of the legislature, and state officers and employees, as
   12  defined in sections seventy-three  and  seventy-three-a  of  the  public
   13  officers law, candidates for statewide elected office and for the senate
   14  or assembly, and the political party chairman as that term is defined in
   15  section  seventy-three-a  of  the public officers law, lobbyists and the
   16  clients of lobbyists as such terms are defined in article one-A  of  the
   17  legislative  law, and individuals who have formerly held such positions,
   18  were lobbyists or clients of lobbyists, as such  terms  are  defined  in
   19  article  one-A  of  the  legislative law, or who have formerly been such
   20  candidates. This section shall not be deemed to have revoked or rescind-
   21  ed any regulations or advisory opinions issued by the FORMER legislative
        EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                             [ ] is old law to be omitted.
                                                                  LBD02058-01-5
       S. 892                              2
    1  ethics commission, the FORMER commission on public integrity, the  state
    2  ethics  commission  and the temporary lobbying commission in effect upon
    3  the effective date of chapter fourteen of the laws of two thousand seven
    4  which  amended this section to the extent that such regulations or opin-
    5  ions are not inconsistent with any law of the state  of  New  York,  but
    6  such  regulations  and  opinions  shall apply only to matters over which
    7  such commissions had jurisdiction at the time such regulations and opin-
    8  ions were promulgated  or  issued.  The  commission  shall  undertake  a
    9  comprehensive  review  of  all such regulations and opinions, which will
   10  address the consistency of such  regulations  and  opinions  among  each
   11  other  and  with the new statutory language, and of the effectiveness of
   12  the existing laws, regulations, guidance and ethics  enforcement  struc-
   13  ture  to  address  the  ethics  of  covered public officials and related
   14  parties. [Such review shall be conducted  with  the  legislative  ethics
   15  commission  and,  to  the  extent  possible, the report's findings shall
   16  reflect the full input and deliberations of both commissions after joint
   17  consultation.] The commission shall, before February first, two thousand
   18  fifteen, report to the governor and legislature  regarding  such  review
   19  and  shall  propose  any  regulatory  or statutory changes and issue any
   20  advisory opinions necessitated by such review.
   21    2. The members of the commission shall be appointed [as follows: three
   22  members shall be appointed by the temporary  president  of  the  senate,
   23  three  members  shall  be  appointed by the speaker of the assembly, one
   24  member shall be appointed by the minority  leader  of  the  senate,  one
   25  member  shall  be  appointed by the minority leader of the assembly, and
   26  six members shall be appointed] by  the  governor  [and  the  lieutenant
   27  governor. In the event that a vacancy arises with respect to a member of
   28  the  commission  first  appointed pursuant to the chapter of the laws of
   29  two thousand eleven which amended  this  subdivision  by  a  legislative
   30  leader,  the legislative leaders of the same political party in the same
   31  house shall appoint a member to fill such vacancy irrespective of wheth-
   32  er that legislative leader's political  party  is  in  the  majority  or
   33  minority.  Of  the  members appointed by the governor and the lieutenant
   34  governor, at least three members shall be and shall  have  been  for  at
   35  least three years enrolled members of the major political party in which
   36  the  governor  is  not enrolled. In the event of a vacancy in a position
   37  previously appointed by the governor and lieutenant governor, the gover-
   38  nor and lieutenant governor shall appoint a member of the same political
   39  party as the member that vacated that position. Prior  to  making  their
   40  respective  appointments,  the  governor and the lieutenant governor and
   41  the legislative leaders shall solicit and  receive  recommendations  for
   42  appointees from the attorney general and the comptroller of the state of
   43  New  York,  which recommendations shall be fully and properly considered
   44  but shall not be binding] WITH THE ADVICE AND CONSENT  OF  THE  LEGISLA-
   45  TURE, WITHOUT REGARD TO POLITICAL AFFILIATION, FROM THE LIST PROVIDED BY
   46  THE NOMINATING PANEL AS DESCRIBED IN SUBDIVISION TWO-A OF THIS SECTION.
   47    No  individual  shall  be  eligible for appointment as a member of the
   48  commission who currently or within the last three years:
   49    (i) is or has been registered as a lobbyist in New York state;
   50    (ii) is or has been a member of the New York state  legislature  or  a
   51  statewide  elected  official  or  a  commissioner of an executive agency
   52  appointed by the governor; or
   53    (iii) is or has been a political party chairman, as defined  in  para-
   54  graph  (k) of subdivision one of section seventy-three of [this article]
   55  THE PUBLIC OFFICERS LAW.
       S. 892                              3
    1    No individual shall be eligible for appointment as  a  member  of  the
    2  commission  who currently or within the last year is or has been a state
    3  officer or employee or legislative employee as defined in section seven-
    4  ty-three of the public officers law.
    5    2-A.  (A)  THE  GOVERNOR  SHALL  CREATE A NOMINATING PANEL COMPOSED OF
    6  THREE MEMBERS WHOSE SOLE FUNCTION  SHALL  BE  TO  NOMINATE  PERSONS  FOR
    7  CONSIDERATION  BY THE GOVERNOR FOR APPOINTMENT TO THE COMMISSION. REPRE-
    8  SENTATION ON THE PANEL AND THE SELECTION OF SUCH  MEMBERS  SHALL  BE  AS
    9  FOLLOWS:  ONE MEMBER SHALL BE THE CHIEF JUDGE OF THE COURT OF APPEALS OR
   10  HIS OR HER DESIGNEE; ONE MEMBER SHALL BE THE PRESIDENT OF THE  NEW  YORK
   11  STATE  BAR  ASSOCIATION  OR HIS OR HER DESIGNEE; AND ONE MEMBER SHALL BE
   12  EXECUTIVE DIRECTOR OF THE NOT-FOR-PROFIT ORGANIZATION, COMMON CAUSE,  OR
   13  HIS OR HER DESIGNEE.
   14    3.  Members  of  the  commission  shall serve for terms of five years;
   15  provided, however, that of the members first appointed by  the  governor
   16  [and lieutenant governor], one shall serve for one year, one shall serve
   17  for  two years, one shall serve for three years, and one shall serve for
   18  four years, as designated by the governor[; the members first  appointed
   19  by  the  temporary  president  of  the  senate and by the speaker of the
   20  assembly shall serve for four years and the members first  appointed  by
   21  the  minority leaders of the senate and the assembly shall serve for two
   22  years].
   23    4. The governor shall designate the chairman of  the  commission  from
   24  among  the  members thereof, who shall serve as chairman at the pleasure
   25  of the governor. The chairman  or  any  [eight]  THREE  members  of  the
   26  commission may call a meeting.
   27    5.  Any  vacancy  occurring  on  the commission shall be filled within
   28  thirty days of its occurrence in the same manner  as  the  member  whose
   29  vacancy  is  being  filled  was  appointed. A person appointed to fill a
   30  vacancy occurring other than by expiration of a term of office shall  be
   31  appointed for the unexpired term of the member he or she succeeds.
   32    6.  [Eight] THREE members of the commission shall constitute a quorum,
   33  and the commission shall have power to act by majority vote of the total
   34  number of members of the commission without  vacancy  except  where  the
   35  commission acts pursuant to subdivision thirteen, subdivision fourteen-a
   36  or subdivision fourteen-b of this section.
   37    7. Members of the commission may be removed by the [appointing author-
   38  ity]  GOVERNOR  solely for substantial neglect of duty, gross misconduct
   39  in office, violation of the confidentiality restrictions in  subdivision
   40  nine-a  of  this section, inability to discharge the powers or duties of
   41  office or violation of this section, after written notice  and  opportu-
   42  nity for a reply.
   43    8. The members of the joint commission shall receive a per diem allow-
   44  ance  in the sum of three hundred dollars for each day actually spent in
   45  the performance of his or her duties under this article, and,  in  addi-
   46  tion  thereto,  shall be reimbursed for all reasonable expenses actually
   47  and necessarily incurred by him or her in the performance of his or  her
   48  duties under this article.
   49    9. The commission shall:
   50    (a) Appoint an executive director who shall act in accordance with the
   51  policies of the commission. The appointment and removal of the executive
   52  director  shall  be  made  solely by a vote of a majority of the commis-
   53  sion[, which majority shall include at least one member appointed by the
   54  governor from each of the two major political parties,  and  one  member
   55  appointed  by  a legislative leader from each of the two major political
   56  parties]. The commission may delegate authority to the executive  direc-
       S. 892                              4
    1  tor to act in the name of the commission between meetings of the commis-
    2  sion  provided  such delegation is in writing, the specific powers to be
    3  delegated are enumerated, and the  commission  shall  not  delegate  any
    4  decisions  specified  in this section that require a vote of the commis-
    5  sion. The executive director shall be appointed without regard to  poli-
    6  tical  affiliation  and  solely  on  the basis of fitness to perform the
    7  duties assigned by this article, and shall be a  qualified,  independent
    8  professional.  The  commission  may  remove  the  executive director for
    9  neglect of duty, misconduct in office, violation of the  confidentiality
   10  restrictions  in  subdivision  nine-a  of  this section, or inability or
   11  failure to discharge the powers or duties of office, including the fail-
   12  ure to follow the lawful instructions of the commission;
   13    (b) Appoint such other staff as are necessary to carry out its  duties
   14  under this section;
   15    (b-1)  Review and approve a staffing plan provided and prepared by the
   16  executive director which shall contain, at a  minimum,  a  list  of  the
   17  various  units  and divisions as well as the number of positions in each
   18  unit, titles and their duties, and salaries,  as  well  as  the  various
   19  qualifications  for  each position including, but not limited to, educa-
   20  tion and prior experience for each position[.];
   21    (c) Adopt, amend, and rescind rules and regulations to  govern  proce-
   22  dures of the commission, which shall include, but not be limited to, the
   23  procedure  whereby  a person who is required to file an annual financial
   24  disclosure statement with the commission may request an additional peri-
   25  od of time within which to file such statement, [other than  members  of
   26  the  legislature, candidates for members of the legislature and legisla-
   27  tive employees,] due to justifiable cause or undue hardship; such  rules
   28  or  regulations  shall  provide  for a date beyond which in all cases of
   29  justifiable cause or undue hardship no further extension of time will be
   30  granted;
   31    (d) Adopt, amend, and rescind rules and regulations to assist appoint-
   32  ing authorities in determining which persons  hold  policy-making  posi-
   33  tions for purposes of section seventy-three-a of the public officers law
   34  AND  MAY  PROMULGATE GUIDELINES TO ASSIST FIRMS, ASSOCIATIONS AND CORPO-
   35  RATIONS IN SEPARATING AFFECTED PERSONS FROM NET REVENUES FOR PURPOSES OF
   36  SUBDIVISION TEN OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, AND
   37  PROMULGATE GUIDELINES TO ASSIST ANY FIRM, ASSOCIATION OR CORPORATION  IN
   38  WHICH ANY PRESENT OR FORMER STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR
   39  EMPLOYEE,  MEMBER  OF  THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR POLI-
   40  TICAL PARTY CHAIRMAN IS A MEMBER, ASSOCIATE, RETIRED MEMBER  OF  COUNSEL
   41  OR  SHAREHOLDER,  IN COMPLYING WITH THE PROVISIONS OF SUBDIVISION TEN OF
   42  SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW  WITH  RESPECT  TO  THE
   43  SEPARATION  OF  SUCH PRESENT OR FORMER STATEWIDE ELECTED OFFICIAL, STATE
   44  OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGISLATIVE  EMPLOYEE,
   45  OR  POLITICAL  PARTY CHAIRMAN FROM THE NET REVENUES OF THE FIRM, ASSOCI-
   46  ATION OR CORPORATION. SUCH FIRM, ASSOCIATION OR CORPORATION SHALL NOT BE
   47  REQUIRED TO ADOPT THE PROCEDURES CONTAINED IN THE GUIDELINES  TO  ESTAB-
   48  LISH  COMPLIANCE  WITH  SUBDIVISION  TEN OF SECTION SEVENTY-THREE OF THE
   49  PUBLIC OFFICERS LAW, BUT IF SUCH FIRM, ASSOCIATION OR  CORPORATION  DOES
   50  ADOPT  SUCH PROCEDURES, IT SHALL BE DEEMED TO BE IN COMPLIANCE WITH SUCH
   51  SUBDIVISION TEN;
   52    (d-1) Adopt, amend and rescind  rules  and  regulations  defining  the
   53  permissible  use  of  and  promoting  the  proper  use of public service
   54  announcements;
       S. 892                              5
    1    (e) Make available forms for annual statements of financial disclosure
    2  required  to  be  filed  pursuant  to   SUBDIVISION   SIX   OF   SECTION
    3  SEVENTY-THREE AND section seventy-three-a of the public officers law;
    4    (f)  Review  financial  disclosure  statements  in accordance with the
    5  provisions of this section, provided however, that  the  commission  may
    6  delegate  all  or part of this review function to the executive director
    7  who shall be responsible for completing staff review of such  statements
    8  in a manner consistent with the terms of the commission's delegation;
    9    (g)  Receive  complaints  and referrals alleging violations of section
   10  seventy-three, seventy-three-a or seventy-four of  the  public  officers
   11  law,  article  one-A of the legislative law or section one hundred seven
   12  of the civil service law;
   13    (h) Permit any person who is required to file a  financial  disclosure
   14  statement with the [joint] commission [on public ethics] to request that
   15  the  commission  delete  from the copy thereof made available for public
   16  inspection and copying one or more items of  information  which  may  be
   17  deleted  by  the  commission  upon  a finding by the commission that the
   18  information which would otherwise be required to be made  available  for
   19  public  inspection  and  copying  will  have  no material bearing on the
   20  discharge of the reporting person's official duties. If such request for
   21  deletion is denied, the commission, in its notification of denial, shall
   22  inform the person of his or her right to appeal the commission's  deter-
   23  mination  pursuant  to  its rules governing adjudicatory proceedings and
   24  appeals adopted pursuant to subdivision fourteen of this section;
   25    (i) Permit any person who is required to file a  financial  disclosure
   26  statement  with  the [joint] commission [on public ethics] to request an
   27  exemption from any requirement to report one or more items  of  informa-
   28  tion  which  pertain  to  such person's spouse or unemancipated children
   29  which item or items may be exempted by the commission upon a finding  by
   30  the commission that the reporting individual's spouse, on his or her own
   31  behalf  or on behalf of an unemancipated child, objects to providing the
   32  information necessary to make such disclosure and that  the  information
   33  which  would  otherwise be required to be reported will have no material
   34  bearing on the discharge of the reporting person's official  duties.  If
   35  such  request  for exemption is denied, the commission, in its notifica-
   36  tion of denial, shall inform the person of his or her  right  to  appeal
   37  the commission's determination pursuant to its rules governing adjudica-
   38  tory proceedings and appeals adopted pursuant to subdivision fourteen of
   39  this section;
   40    (i-1) Permit any person required to file a financial disclosure state-
   41  ment to request an exemption from any requirement to report the identity
   42  of  a  client  pursuant to question 8(b) in such statement based upon an
   43  exemption set forth in that question. The reporting individual need  not
   44  seek  an exemption to refrain from disclosing the identity of any client
   45  with respect to any matter he or she or his or her firm  provided  legal
   46  representation  to  the  client  in  connection with an investigation or
   47  prosecution by law  enforcement  authorities,  bankruptcy,  or  domestic
   48  relations  matters;  in addition, clients or customers receiving medical
   49  or dental services, mental  health  services,  residential  real  estate
   50  brokering   services,  or  insurance  brokering  services  need  not  be
   51  disclosed[.];
   52    (j) Advise and assist any state agency in establishing rules and regu-
   53  lations relating to possible conflicts  between  private  interests  and
   54  official  duties  of  present  or former statewide elected officials and
   55  state officers and employees;
       S. 892                              6
    1    (k) Permit any person who has  not  been  determined  by  his  or  her
    2  appointing  authority to hold a policy-making position but who is other-
    3  wise required to file a financial disclosure  statement  to  request  an
    4  exemption from such requirement in accordance with rules and regulations
    5  governing  such exemptions. Such rules and regulations shall provide for
    6  exemptions to be granted either on the application of an  individual  or
    7  on  behalf of persons who share the same job title or employment classi-
    8  fication which the commission deems to be  comparable  for  purposes  of
    9  this  section.  Such rules and regulations may permit the granting of an
   10  exemption where, in the discretion of the commission, the public  inter-
   11  est  does  not  require  disclosure  and  the  applicant's duties do not
   12  involve the negotiation, authorization or approval of:
   13    (i) contracts, leases, franchises,  revocable  consents,  concessions,
   14  variances,  special  permits, or licenses as defined in section seventy-
   15  three of the public officers law;
   16    (ii) the purchase, sale, rental or lease of real  property,  goods  or
   17  services, or a contract therefor;
   18    (iii) the obtaining of grants of money or loans; or
   19    (iv) the adoption or repeal of any rule or regulation having the force
   20  and effect of law;
   21    (l) Prepare an annual report to the governor and legislature summariz-
   22  ing the activities of the commission during the previous year and recom-
   23  mending any changes in the laws governing the conduct of persons subject
   24  to  the  jurisdiction  of  the commission, or the rules, regulations and
   25  procedures  governing  the  commission's  conduct.  Such  report   shall
   26  include: (i) a listing by assigned number of each complaint and referral
   27  received  which  alleged  a  possible violation within its jurisdiction,
   28  including the current status of each complaint, and (ii) where a  matter
   29  has  been resolved, the date and nature of the disposition and any sanc-
   30  tion imposed,  subject  to  the  confidentiality  requirements  of  this
   31  section,  provided,  however,  that such annual report shall not contain
   32  any information for which disclosure is not permitted pursuant to subdi-
   33  vision nineteen of this section;
   34    (m) Determine a question common to a  class  or  defined  category  of
   35  persons or items of information required to be disclosed, where determi-
   36  nation  of  the  question  will prevent undue repetition of requests for
   37  exemption or deletion or prevent undue complication  in  complying  with
   38  the requirements of such section; and
   39    (n)  Promulgate  guidelines for the commission to conduct a program of
   40  random reviews, to be carried out in the following  manner:  (i)  annual
   41  statements  of  financial  disclosure  shall be selected for review in a
   42  manner pursuant to which the identity of  any  particular  person  whose
   43  statement  is  selected is unknown to the commission and its staff prior
   44  to its selection; (ii) such review shall include a preliminary  examina-
   45  tion  of  the  selected statement for internal consistency, a comparison
   46  with other records maintained by the  commission,  including  previously
   47  filed  statements and requests for advisory opinions, and examination of
   48  relevant public information; (iii) upon completion  of  the  preliminary
   49  examination,  the  commission shall determine whether further inquiry is
   50  warranted, whereupon it shall notify the reporting individual in writing
   51  that the statement is under review, advise the reporting  individual  of
   52  the specific areas of inquiry, and provide the reporting individual with
   53  the  opportunity  to  provide  any  relevant  information related to the
   54  specific areas of inquiry, and the opportunity to file amendments to the
   55  selected statement on forms provided by  the  commission;  and  (iv)  if
       S. 892                              7
    1  thereafter sufficient cause exists, the commission shall take additional
    2  actions, as appropriate and consistent with law.
    3    9-a.  (a)  When  an  individual becomes a commissioner or staff of the
    4  commission, that individual shall be required to sign  a  non-disclosure
    5  statement.
    6    (b)  Except  as  otherwise  required  or  provided  by  law, testimony
    7  received or any other information obtained by a commissioner or staff of
    8  the commission shall not be disclosed by  any  such  individual  to  any
    9  person  or  entity  outside  the  commission  during the pendency of any
   10  matter. Any confidential communication to any person or  entity  outside
   11  the  commission  related  to the matters before the commission may occur
   12  only as authorized by the commission.
   13    (c) The commission shall establish procedures necessary to prevent the
   14  unauthorized disclosure of any information received by any member of the
   15  commission or staff of the commission. Any breaches  of  confidentiality
   16  shall  be  investigated  by the inspector general and appropriate action
   17  shall be taken. Any commissioner or person employed  by  the  commission
   18  who intentionally and without authorization releases confidential infor-
   19  mation received by the commission shall be guilty of a class A misdemea-
   20  nor.
   21    9-b.  During the period of his or her service as a commissioner of the
   22  commission, each commissioner shall refrain from making,  or  soliciting
   23  from  other persons, any contributions to candidates for election to the
   24  offices of governor, lieutenant governor, member of the assembly or  the
   25  senate, attorney general or state comptroller.
   26    10.  The  commission shall prepare materials and design and administer
   27  an ethics training program for  individuals  subject  to  the  financial
   28  disclosure  requirements  of section seventy-three-a of the public offi-
   29  cers law with respect  to  the  provisions  of  sections  seventy-three,
   30  seventy-three-a,  and  seventy-four  of  the public officers law and any
   31  other law, administrative regulation, or  internal  policy  that  is  of
   32  relevance  to the ethical conduct of such individuals in public service,
   33  as follows:
   34    (a) The commission shall develop and administer a comprehensive ethics
   35  training course and shall designate and  train  instructors  to  conduct
   36  such  training.  Such course shall be designed as a two-hour program and
   37  shall include practical application of the material covered and a  ques-
   38  tion-and-answer  participatory  segment. Unless the commission grants an
   39  extension or waiver for good cause shown, all individuals subject to the
   40  financial disclosure requirements  of  section  seventy-three-a  of  the
   41  public  officers  law shall complete such course within two years of the
   42  effective date of the chapter of the laws of two thousand  eleven  which
   43  amended  this  section,  or  for  those individuals elected or appointed
   44  after the effective date of [the] SECTION SIX OF PART A OF chapter THREE
   45  HUNDRED NINETY-NINE of the laws of two  thousand  eleven  which  amended
   46  this  section,  within  two  years  of becoming subject to the financial
   47  disclosure requirements of section seventy-three-a of the  public  offi-
   48  cers law.
   49    (b)  The  commission  shall  develop  and  administer an online ethics
   50  orientation course and shall notify all individuals newly subject to the
   51  financial disclosure requirements  of  section  seventy-three-a  of  the
   52  public  officers  law  of  such course, which shall be completed by such
   53  individuals within three months of becoming  subject  to  such  require-
   54  ments,  unless  the  commission  grants  an extension or waiver for good
   55  cause shown. Individuals who have  completed  the  comprehensive  ethics
       S. 892                              8
    1  training  course  shall  not  be  required to complete the online ethics
    2  orientation course.
    3    (c)  The  commission shall develop and administer an ethics seminar or
    4  ethics seminars  for  individuals  who  have  previously  completed  the
    5  comprehensive ethics training course. Such seminars shall be designed as
    6  ninety-minute programs and shall include any changes in law, regulation,
    7  or policy or in the interpretation thereof, practical application of the
    8  material  covered, and a question-and-answer segment. Unless the commis-
    9  sion grants an extension or waiver for good cause shown,  such  individ-
   10  uals  shall  be  scheduled to attend a seminar at least once every three
   11  years after having completed the comprehensive ethics  training  course.
   12  In  lieu of attending an ethics seminar, such individuals may complete a
   13  subsequent comprehensive ethics training program.
   14    (d) The provisions of this subdivision  shall  be  applicable  to  the
   15  legislature  except  to  the  extent  that an ethics training program is
   16  otherwise established by the assembly or  senate  for  their  respective
   17  members  and  employees  and  such  program meets or exceeds each of the
   18  requirements set forth in this section.
   19    (e) On an annual basis, the joint commission [in coordination with the
   20  legislative ethics commission] shall determine the status of  compliance
   21  with  these training requirements by each state agency and by the senate
   22  and the assembly. Such determination shall include aggregate  statistics
   23  regarding  participation  in such training, and shall be reported to the
   24  governor and the legislature in writing.
   25    10-A. THE COMMISSION SHALL DEVELOP EDUCATIONAL MATERIALS AND  TRAINING
   26  WITH  REGARD  TO  LEGISLATIVE  ETHICS FOR MEMBERS OF THE LEGISLATURE AND
   27  LEGISLATIVE EMPLOYEES INCLUDING AN ONLINE ETHICS ORIENTATION COURSE  FOR
   28  NEWLY-HIRED  EMPLOYEES  AND, AS REQUESTED BY THE SENATE OR THE ASSEMBLY,
   29  MATERIALS AND TRAINING IN RELATION TO A  COMPREHENSIVE  ETHICS  TRAINING
   30  PROGRAM.
   31    11. The commission, or the executive director and staff of the commis-
   32  sion  if  responsibility  therefor has been delegated, shall inspect all
   33  financial disclosure statements filed with the commission  to  ascertain
   34  whether  any  person  subject  to  the reporting requirements of section
   35  seventy-three-a of the public officers law has failed  to  file  such  a
   36  statement,  has  filed  a  deficient  statement or has filed a statement
   37  which reveals a possible violation of  section  seventy-three,  seventy-
   38  three-a or seventy-four of the public officers law.
   39    12. If a person required to file a financial disclosure statement with
   40  the  commission has failed to file a disclosure statement or has filed a
   41  deficient statement, the commission shall notify the reporting person in
   42  writing, state the failure to file or detail the deficiency, provide the
   43  person with a fifteen day period to cure the deficiency, and advise  the
   44  person  of  the  penalties  for  failure  to  comply  with the reporting
   45  requirements. Such notice shall be confidential. If the person fails  to
   46  make  such  filing  or fails to cure the deficiency within the specified
   47  time period, the commission shall send a notice of delinquency:  (a)  to
   48  the  reporting  person; (b) in the case of a statewide elected official,
   49  member of the legislature, or a legislative employee, to  the  temporary
   50  president  of the senate and the speaker of the assembly; and (c) in the
   51  case of a state officer or employee, to  the  appointing  authority  for
   52  such  person.  Such notice of delinquency may be sent at any time during
   53  the reporting person's service as a statewide  elected  official,  state
   54  officer or employee, member of the assembly or the senate, or a legisla-
   55  tive employee or a political party chair or while a candidate for state-
       S. 892                              9
    1  wide  office,  or  within  one year after termination of such service or
    2  candidacy.
    3    12-A.  The  jurisdiction  of  the  commission, when acting pursuant to
    4  [subdivision fourteen  of]  this  section  [with  respect  to  financial
    5  disclosure],  shall continue notwithstanding that the [reporting] person
    6  separates from state service, or ceases  to  hold  public  or  political
    7  party office, or ceases to be a candidate, provided the commission noti-
    8  fies  such  person  of  the alleged [failure to file or deficient filing
    9  pursuant to this subdivision] VIOLATION OF LAW WITHIN ONE YEAR FROM  HIS
   10  OR  HER  SEPARATION  FROM STATE SERVICE, THE TERMINATION FROM HIS OR HER
   11  OFFICE OR THE TERMINATION OF HIS OR HER CANDIDACY.
   12    13. (a) Investigations. If the commission receives a  sworn  complaint
   13  alleging  a  violation  of  section  seventy-three,  seventy-three-a, or
   14  seventy-four of the public officers law, section one  hundred  seven  of
   15  the  civil  service  law  or  article  one-A of the legislative law by a
   16  person or entity subject to the jurisdiction of the commission including
   17  members of the legislature and legislative employees and candidates  for
   18  member  of  the  legislature,  or  if a reporting individual has filed a
   19  statement which reveals a possible violation of these provisions, or  if
   20  the  commission determines on its own initiative to investigate a possi-
   21  ble violation, the commission shall notify the  individual  in  writing,
   22  describe  the possible or alleged violation of such laws and provide the
   23  person with a fifteen day period in which to submit a  written  response
   24  setting forth information relating to the activities cited as a possible
   25  or  alleged  violation  of  law. The commission shall, within forty-five
   26  calendar days after a complaint or a referral is received or an investi-
   27  gation is initiated on the commission's own initiative, vote on  whether
   28  to  commence  a  full investigation of the matter under consideration to
   29  determine  whether  a  substantial  basis  exists  to  conclude  that  a
   30  violation  of  law has occurred. The staff of the joint commission shall
   31  provide to the members prior to  such  vote  information  regarding  the
   32  likely  scope  and content of the investigation, and a subpoena plan, to
   33  the extent such information is available. Such  investigation  shall  be
   34  conducted  if  at  least [eight] THREE members of the commission vote to
   35  authorize it. [Where the subject of such investigation is  a  member  of
   36  the  legislature  or a legislative employee or a candidate for member of
   37  the legislature, at least two of the eight or more members who  so  vote
   38  to  authorize such an investigation must have been appointed by a legis-
   39  lative leader or leaders from the major political  party  in  which  the
   40  subject  of  the  proposed  investigation  is enrolled if such person is
   41  enrolled in a major political party. Where the subject of such  investi-
   42  gation  is  a state officer or state employee, at least two of the eight
   43  or more members who so vote to authorize such an investigation must have
   44  been appointed by  the  governor  and  lieutenant  governor.  Where  the
   45  subject  of  such  investigation  is  a  statewide elected official or a
   46  direct appointee of such an official, at least two of the eight or  more
   47  members  who  so  vote to authorize such an investigation must have been
   48  appointed by the governor and lieutenant governor and be enrolled in the
   49  major political party in which the subject of the proposed investigation
   50  is enrolled, if such person is enrolled in a major political party.]
   51    (b) Substantial basis investigation. Upon the affirmative vote of  not
   52  less  than  [eight]  THREE  commission members to commence a substantial
   53  basis investigation, written notice of the commission's  decision  shall
   54  be  provided  to  the  individual who is the subject of such substantial
   55  basis investigation. Such written notice shall include  a  copy  of  the
   56  commission's rules and procedures and shall also include notification of
       S. 892                             10
    1  such  individual's  right to be heard within thirty calendar days of the
    2  date of the commission's  written  notice.  The  commission  shall  also
    3  inform the individual of its rules regarding the conduct of adjudicatory
    4  proceedings  and appeals and the other due process procedural mechanisms
    5  available to such individual. If the commission determines at any  stage
    6  that  there  is  no violation or that any potential conflict of interest
    7  violation has been rectified, it shall so advise the individual and  the
    8  complainant, if any. All of the foregoing proceedings shall be confiden-
    9  tial.
   10    (c)  The  jurisdiction  of the commission when acting pursuant to this
   11  section shall continue notwithstanding that a statewide elected official
   12  or a state officer or employee or member of the legislature or  legisla-
   13  tive  employee  separates from state service, or a political party chair
   14  ceases to hold such office, or a candidate ceases to be a candidate,  or
   15  a  lobbyist or client of a lobbyist ceases to act as such, provided that
   16  the commission  notifies  such  individual  or  entity  of  the  alleged
   17  violation  of  law  pursuant to paragraph (a) of this subdivision within
   18  one year from his or her separation from state service  or  his  or  her
   19  termination  of party service or candidacy, or from his, her or its last
   20  report filed pursuant to article one-A of the legislative law.   Nothing
   21  in  this section shall serve to limit the jurisdiction of the commission
   22  in enforcement of subdivision eight  of  section  seventy-three  of  the
   23  public officers law.
   24    14.  An  individual  subject to the jurisdiction of the commission who
   25  knowingly and intentionally violates the provisions of subdivisions  two
   26  through  five-a,  seven,  eight, twelve or fourteen through seventeen of
   27  section seventy-three of the public officers law,  section  one  hundred
   28  seven  of the civil service law, or a reporting individual who knowingly
   29  and wilfully fails to file an annual statement of  financial  disclosure
   30  or  who  knowingly  and  wilfully  with  intent to deceive makes a false
   31  statement or fraudulent omission or gives information which  such  indi-
   32  vidual knows to be false on such statement of financial disclosure filed
   33  pursuant  to section seventy-three-a of the public officers law shall be
   34  subject to a civil penalty in an amount not  to  exceed  forty  thousand
   35  dollars and the value of any gift, compensation or benefit received as a
   36  result  of such violation. An individual who knowingly and intentionally
   37  violates the provisions of paragraph a, b, c, d, e, g, or i of  subdivi-
   38  sion  three  of section seventy-four of the public officers law shall be
   39  subject to a civil penalty in an  amount  not  to  exceed  ten  thousand
   40  dollars and the value of any gift, compensation or benefit received as a
   41  result  of  such violation. An individual subject to the jurisdiction of
   42  the commission who knowingly and willfully violates article one-A of the
   43  legislative law shall be subject to civil penalty  as  provided  for  in
   44  that  article.  [Except  with  respect to members of the legislature and
   45  legislative employees, assessment] ASSESSMENT of a civil  penalty  here-
   46  under shall be made by the commission with respect to persons subject to
   47  its  jurisdiction.  With  respect  to  a violation of any law other than
   48  sections seventy-three, seventy-three-a, and seventy-four of the  public
   49  officers law, where the commission finds sufficient cause by a vote held
   50  in the same manner as set forth in paragraph (b) of subdivision thirteen
   51  of  this section, it shall refer such matter to the appropriate prosecu-
   52  tor for further investigation. In assessing  the  amount  of  the  civil
   53  penalties  to  be imposed, the commission shall consider the seriousness
   54  of the violation, the amount of gain to the individual and  whether  the
   55  individual previously had any civil or criminal penalties imposed pursu-
   56  ant  to  this section, and any other factors the commission deems appro-
       S. 892                             11
    1  priate. [Except with respect to members of the legislature and  legisla-
    2  tive employees, for] FOR a violation of this subdivision, other than for
    3  conduct  which  constitutes  a violation of section one hundred seven of
    4  the civil service law, subdivisions twelve or fourteen through seventeen
    5  of  section seventy-three or section seventy-four of the public officers
    6  law or article one-A of the legislative law, the commission may, in lieu
    7  of or in addition to a civil penalty, refer a violation to the appropri-
    8  ate prosecutor and upon such conviction, such violation shall be punish-
    9  able as a class A misdemeanor. A civil penalty for false filing may  not
   10  be  imposed  hereunder  in  the  event a category of "value" or "amount"
   11  reported hereunder is incorrect  unless  such  reported  information  is
   12  falsely  understated.  Notwithstanding any other provision of law to the
   13  contrary, no other penalty, civil or criminal may be imposed for a fail-
   14  ure to file, or for a false filing, of such statement, or a violation of
   15  subdivision six of section seventy-three of  the  public  officers  law,
   16  except  that  the appointing authority may impose disciplinary action as
   17  otherwise provided by law. The commission may refer violations  of  this
   18  subdivision  to  the  appointing  authority  for  disciplinary action as
   19  otherwise provided by law. The commission shall be deemed to be an agen-
   20  cy within the meaning of  article  three  of  the  state  administrative
   21  procedure act and shall adopt rules governing the conduct of adjudicato-
   22  ry  proceedings  and  appeals  taken  pursuant to a proceeding commenced
   23  under article seventy-eight of the civil practice law and rules relating
   24  to the assessment of the civil penalties herein authorized  and  commis-
   25  sion  denials of requests for certain deletions or exemptions to be made
   26  from a financial disclosure statement as authorized in paragraph (h)  or
   27  paragraph  (i)  of  subdivision  nine of this section. Such rules, which
   28  shall not be subject to the approval requirements of the state  adminis-
   29  trative  procedure  act,  shall provide for due process procedural mech-
   30  anisms substantially similar to those set forth in article three of  the
   31  state administrative procedure act but such mechanisms need not be iden-
   32  tical  in  terms  or  scope. Assessment of a civil penalty or commission
   33  denial of such a request shall be final unless  modified,  suspended  or
   34  vacated within thirty days of imposition, with respect to the assessment
   35  of  such  penalty,  or  unless such denial of request is reversed within
   36  such time period, and upon becoming final shall be subject to review  at
   37  the  instance  of  the  affected  reporting  individuals in a proceeding
   38  commenced against the commission, pursuant to article  seventy-eight  of
   39  the civil practice law and rules.
   40    14-a.  [The  joint commission on public ethics shall have jurisdiction
   41  to investigate, but shall have no jurisdiction to impose penalties  upon
   42  members  of  or  candidates for member of the legislature or legislative
   43  employees for any violation of the public officers law.] If,  after  its
   44  substantial  basis  investigation,  by  a vote of at least [eight] THREE
   45  members, [two of whom are enrolled members of the investigated  individ-
   46  ual's political party if the individual is enrolled in a major political
   47  party  and  were  appointed  by  a  legislative leader of such political
   48  party,] the joint commission on public ethics has  found  a  substantial
   49  basis  to  conclude  that  a  member of the legislature or a legislative
   50  employee or candidate for member of the  legislature  has  violated  any
   51  provisions of such laws, it shall [present] PREPARE a written report [to
   52  the  legislative ethics commission,] and deliver a copy of the report to
   53  the individual who is the subject of the  report.  Such  written  report
   54  shall include:
   55    (a)  the  commission's  findings of fact and any evidence addressed in
   56  such findings; conclusions of law and citations  to  any  relevant  law,
       S. 892                             12
    1  rule,  opinion,  regulation or standard of conduct upon which it relied;
    2  and
    3    (b) a determination that a substantial basis exists to conclude that a
    4  violation  has  occurred,  and  the  reasons and basis for such determi-
    5  nation.
    6    [The joint commission shall also separately provide to the legislative
    7  ethics commission copies  of  additional  documents  or  other  evidence
    8  considered including evidence that may contradict the joint commission's
    9  findings,  the  names  of and other information regarding any additional
   10  witnesses, and any other materials.] With respect to a violation of  any
   11  law other than sections seventy-three, seventy-three-a, and seventy-four
   12  of  the public officers law, where the joint commission finds sufficient
   13  cause by a vote held in the same manner as set forth in paragraph (b) of
   14  subdivision thirteen of this section, it shall refer such matter to  the
   15  appropriate prosecutor.
   16    14-b.  [With respect to the investigation of any individual who is not
   17  a member of the legislature or a legislative employee or  candidate  for
   18  member  of the legislature, if after its investigation the joint commis-
   19  sion has found a substantial basis to conclude that the  individual  has
   20  violated  the  public  officers  law  or  the legislative law, the joint
   21  commission shall send a substantial basis investigation report  contain-
   22  ing  its findings of fact and conclusions of law to the individual. With
   23  respect to an individual who is a statewide elected official or a direct
   24  appointee of such an official, no violation  may  be  found  unless  the
   25  majority  voting  in  support  of  such  a finding includes at least two
   26  members appointed by the governor and lieutenant governor  and  enrolled
   27  in the individual's major political party, if he or she is enrolled in a
   28  major  political  party.  Where  the  subject of such investigation is a
   29  state officer or employee who is not a direct appointee of  a  statewide
   30  elected  official, at least two of the eight or more members who vote to
   31  issue a substantial basis investigation report must have been  appointed
   32  by  the  governor  and lieutenant governor. The commission shall release
   33  such report publicly within forty-five days of its issuance.
   34    14-c. With respect to an investigation of a  lobbyist,  if  after  its
   35  investigation  the  joint  commission  has  found a substantial basis to
   36  conclude that the lobbyist has violated the legislative law,  the  joint
   37  commission shall issue a substantial basis investigation report contain-
   38  ing  its  findings  of  fact  and conclusions of law to the lobbyist and
   39  shall make public such report within forty-five days of  its  issuance.]
   40  NOT LATER THAN FORTY-FIVE CALENDAR DAYS AFTER PREPARATION BY THE COMMIS-
   41  SION  OF  A  WRITTEN  SUBSTANTIAL  BASIS  INVESTIGATION  REPORT  AND ANY
   42  SUPPORTING DOCUMENTATION OR OTHER MATERIALS REGARDING  A  MATTER  BEFORE
   43  THE  COMMISSION  PURSUANT  TO  THIS  SECTION,  UNLESS REQUESTED BY A LAW
   44  ENFORCEMENT AGENCY TO SUSPEND THE  COMMISSION'S  ACTION  BECAUSE  OF  AN
   45  ONGOING  CRIMINAL  INVESTIGATION,  THE COMMISSION SHALL MAKE PUBLIC SUCH
   46  REPORT IN ITS ENTIRETY; PROVIDED, HOWEVER, THAT THE COMMISSION MAY WITH-
   47  HOLD SUCH INFORMATION FOR NOT MORE THAN ONE  ADDITIONAL  PERIOD  OF  THE
   48  SAME  DURATION  AND,  IF  DEEMED  NECESSARY, CONDUCT ADDITIONAL INVESTI-
   49  GATION, IN WHICH CASE THE COMMISSION SHALL, UPON THE TERMINATION OF SUCH
   50  ADDITIONAL PERIOD OR UPON PREPARATION OF A NEW REPORT AFTER  SUCH  ADDI-
   51  TIONAL  INVESTIGATION,  MAKE PUBLIC THE WRITTEN REPORT AND PUBLISH IT ON
   52  THE COMMISSION'S WEBSITE. THE COMMISSION SHALL  NOT  CONDUCT  ADDITIONAL
   53  INVESTIGATION  MORE  THAN  ONCE.  IF  THE COMMISSION CONDUCTS ADDITIONAL
   54  FACT-FINDING, THE COMMISSION'S ORIGINAL REPORT  SHALL  REMAIN  CONFIDEN-
   55  TIAL.
       S. 892                             13
    1    14-C.  THE  COMMISSION  SHALL REVIEW THE MATTER ADDRESSED IN A WRITTEN
    2  SUBSTANTIAL BASIS INVESTIGATION REPORT. NO LATER THAN NINETY DAYS  AFTER
    3  FINAL  PREPARATION  OF  SUCH REPORT, THE COMMISSION SHALL DISPOSE OF THE
    4  MATTER BY MAKING ONE OR MORE OF THE FOLLOWING DETERMINATIONS:
    5    A. WHETHER THE COMMISSION ADOPTS THE FINAL CONTENT OF SUCH A REPORT;
    6    B. WHETHER AND WHICH PENALTIES HAVE BEEN ASSESSED PURSUANT TO APPLICA-
    7  BLE LAW OR RULE AND THE REASONS THEREFOR; AND
    8    C. WHETHER FURTHER ACTIONS HAVE BEEN TAKEN BY THE COMMISSION TO PUNISH
    9  OR DETER THE MISCONDUCT AT ISSUE AND THE REASONS THEREFOR.
   10    THE   COMMISSION'S  DISPOSITION  SHALL  BE  REPORTED  IN  WRITING  AND
   11  PUBLISHED ON ITS WEBSITE NO LATER THAN TEN DAYS AFTER  SUCH  DISPOSITION
   12  UNLESS REQUESTED BY A LAW ENFORCEMENT AGENCY TO SUSPEND THE COMMISSION'S
   13  ACTION BECAUSE OF AN ONGOING CRIMINAL INVESTIGATION.
   14    15.  A copy of any notice of delinquency or substantial basis investi-
   15  gation report shall be included in the reporting person's  file  and  be
   16  available  for  public inspection and copying pursuant to the provisions
   17  of this section.
   18    16. Upon written request from any person who is subject to the  juris-
   19  diction  of  the  commission  and  the requirements of sections seventy-
   20  three, seventy-three-a or  seventy-four  of  the  public  officers  law,
   21  [other  than  members  of  the legislature, candidates for member of the
   22  legislature and employees of  the  legislature,]  the  commission  shall
   23  render written advisory opinions on the requirements of said provisions.
   24  An  opinion  rendered  by  the  commission  OR BY THE FORMER LEGISLATIVE
   25  ETHICS COMMISSION, until and unless amended or revoked, shall be binding
   26  on the commission in any subsequent proceeding concerning the person who
   27  requested the opinion and who acted in good faith, unless material facts
   28  were omitted or misstated by the person in the request for  an  opinion.
   29  Such  opinion  may also be relied upon by such person, and may be intro-
   30  duced and shall be a defense, in any  criminal  or  civil  action.  Such
   31  requests shall be confidential but the commission may publish such opin-
   32  ions provided that the name of the requesting person and other identify-
   33  ing details shall not be included in the publication.
   34    17.  In  addition to any other powers and duties specified by law, the
   35  commission shall have the power and duty to:
   36    (a) Promulgate rules concerning restrictions on outside activities and
   37  limitations on the receipt of gifts and honoraria by persons subject  to
   38  its jurisdiction, provided, however, a violation of such rules in and of
   39  itself  shall not be punishable pursuant to subdivision fourteen of this
   40  section unless the conduct constituting the  violation  would  otherwise
   41  constitute a violation of this section; and
   42    (b) Administer and enforce all the provisions of this section; and
   43    (c) Conduct any investigation necessary to carry out the provisions of
   44  this section. Pursuant to this power and duty, the commission may admin-
   45  ister oaths or affirmations, subpoena witnesses, compel their attendance
   46  and  require  the  production  of any books or records which it may deem
   47  relevant or material;
   48    18. Within one hundred twenty days  of  the  effective  date  of  this
   49  subdivision,  the  commission  shall  create  and  thereafter maintain a
   50  publicly accessible website which shall  set  forth  the  procedure  for
   51  filing  a  complaint  with  the  commission, and which shall contain the
   52  documents identified in subdivision nineteen of this section, other than
   53  financial disclosure statements filed by state officers or employees  or
   54  legislative  employees,  and  any other records or information which the
   55  commission determines to be appropriate.
       S. 892                             14
    1    19. (a) Notwithstanding the provisions of article six  of  the  public
    2  officers  law,  the only records of the commission which shall be avail-
    3  able for public inspection and copying are:
    4    (1)  the  information  set  forth  in an annual statement of financial
    5  disclosure filed pursuant to section seventy-three-a of the public offi-
    6  cers law except information deleted pursuant to paragraph (h) of  subdi-
    7  vision nine of this section;
    8    (2)  notices  of  delinquency  sent  under  subdivision twelve of this
    9  section;
   10    (3) notices of civil assessments  imposed  under  this  section  which
   11  shall include a description of the nature of the alleged wrongdoing, the
   12  procedural  history  of  the  complaint, the findings and determinations
   13  made by the commission, and any sanction imposed;
   14    (4) the terms of any settlement or compromise of a complaint or refer-
   15  ral which includes a fine, penalty or other remedy;
   16    (5) those required to be held or maintained publicly available  pursu-
   17  ant to article one-A of the legislative law; and
   18    (6)  substantial  basis investigation reports issued by the commission
   19  pursuant to subdivision fourteen-a or fourteen-b of this section.  [With
   20  respect  to reports concerning members of the legislature or legislative
   21  employees or candidates for member of the legislature, the joint commis-
   22  sion shall not publicly disclose or otherwise disseminate  such  reports
   23  except in conformance with the requirements of paragraph (b) of subdivi-
   24  sion nine of section eighty of the legislative law.]
   25    (b)  Notwithstanding  the  provisions  of  article seven of the public
   26  officers law, no meeting or proceeding, including  any  such  proceeding
   27  contemplated  under  paragraph  (h)  or  (i) of subdivision nine of this
   28  section, of the commission shall  be  open  to  the  public,  except  if
   29  expressly  provided  otherwise  by  the  commission or as is required by
   30  article one-A of the legislative law.
   31    (c) Pending any application for deletion or exemption to  the  commis-
   32  sion,  all information which is the subject or a part of the application
   33  shall remain confidential. Upon an adverse determination by the  commis-
   34  sion,  the  reporting  individual may request, and upon such request the
   35  commission shall provide, that any information which is the  subject  or
   36  part  of the application remain confidential for a period of thirty days
   37  following notice of such determination. In the event that the  reporting
   38  individual  resigns  his office and holds no other office subject to the
   39  jurisdiction of the commission, the information shall not be made public
   40  and shall be expunged in its entirety.
   41    20.  THE COMMISSION SHALL CREATE AND THEREAFTER  MAINTAIN  A  PUBLICLY
   42  ACCESSIBLE  WEBSITE  WHICH  SHALL  SET  FORTH THE PROCEDURE FOR FILING A
   43  COMPLAINT WITH THE COMMISSION, AND WHICH SHALL CONTAIN ANY OTHER RECORDS
   44  OR INFORMATION WHICH THE COMMISSION DETERMINES TO BE APPROPRIATE.
   45    21. If any part or provision of this section or the application there-
   46  of to any person or organization is adjudged by  a  court  of  competent
   47  jurisdiction  to be unconstitutional or otherwise invalid, such judgment
   48  shall not affect or impair any other part or provision or  the  applica-
   49  tion  thereof to any other person or organization, but shall be confined
   50  in its operation to such part or provision.
   51    S 3. Subdivision 5 of section 12 of the legislative law, as  added  by
   52  chapter 141 of the laws of 1994, is amended to read as follows:
   53    5.  Notwithstanding any provision of law to the contrary, services and
   54  expenses of the legislative health service, legislative library,  legis-
   55  lative  messenger  service, [legislative ethics committee] JOINT COMMIS-
   56  SION ON PUBLIC ETHICS, joint operations of the legislative task force on
       S. 892                             15
    1  demographic research  and  reapportionment,  and  contributions  to  the
    2  national  conference  of state legislatures shall be payable after audit
    3  by and on the warrant of the comptroller upon vouchers certified by  the
    4  temporary president of the senate or his or her designee and the speaker
    5  of the assembly or his or her designee.
    6    S  4.   Paragraph (a) of subdivision 1, the opening paragraph of para-
    7  graph (a) and paragraph (c) of subdivision 6, paragraph (g) of  subdivi-
    8  sion  8,  and  subdivision  10 of section 73 of the public officers law,
    9  paragraph (a) of subdivision 1 as amended by section  1  of  part  A  of
   10  chapter  399 of the laws of 2011, the opening paragraph of paragraph (a)
   11  of subdivision 6 as amended by section 3 of part A of chapter 399 of the
   12  laws of 2011, paragraph (c) of subdivision 6 as amended by  chapter  813
   13  of  the laws of 1987, paragraph (g) of subdivision 8 as added by chapter
   14  218 of the laws of 1998, and subdivision 10 as amended by section 13  of
   15  part  A  of  chapter  399  of  the  laws of 2011, are amended to read as
   16  follows:
   17    (a) The term "compensation" shall mean any money, thing  of  value  or
   18  financial  benefit  conferred  in  return for services rendered or to be
   19  rendered. With regard to matters undertaken by a  firm,  corporation  or
   20  association, compensation shall mean net revenues, as defined in accord-
   21  ance  with  generally  accepted  accounting principles as defined by the
   22  joint commission on public ethics [or legislative ethics commission]  in
   23  relation  to  persons  subject  to  [their respective jurisdictions] THE
   24  JOINT COMMISSION'S JURISDICTION.
   25    Every legislative employee not subject to the  provisions  of  section
   26  seventy-three-a  of  this chapter shall, on and after December fifteenth
   27  and before the following January fifteenth, in each year, file with  the
   28  joint  commission  on  public ethics [and the legislative ethics commis-
   29  sion] a financial disclosure statement of
   30    (c) Any such legislative employee  who  knowingly  and  wilfully  with
   31  intent  to deceive makes a false statement or gives information which he
   32  knows to be false in any written statement required to be filed pursuant
   33  to this subdivision, shall be assessed a civil penalty in an amount  not
   34  to  exceed  ten thousand dollars. Assessment of a civil penalty shall be
   35  made by the [legislative ethics committee] JOINT  COMMISSION  ON  PUBLIC
   36  ETHICS  in  accordance with the provisions of subdivision [twelve] FOUR-
   37  TEEN of section [eighty] NINETY-FOUR of the [legislative] EXECUTIVE law.
   38  For a violation of this subdivision, the  [committee]  JOINT  COMMISSION
   39  may,  in  lieu  of a civil penalty, refer a violation to the appropriate
   40  prosecutor and upon conviction,  but  only  after  such  referral,  such
   41  violation shall be punishable as a class A misdemeanor.
   42    (g)  Notwithstanding  the  provisions of subparagraphs (i) and (ii) of
   43  paragraph (a) of this subdivision, a former state  officer  or  employee
   44  may  contract individually, or as a member or employee of a firm, corpo-
   45  ration or association, to render services to any state agency  when  the
   46  agency  head certifies in writing to the [state ethics commission] JOINT
   47  COMMISSION ON PUBLIC ETHICS that the services of such former officer  or
   48  employee are required in connection with the agency's efforts to address
   49  the state's year 2000 compliance problem.
   50    10.  Nothing  contained in this section, the judiciary law, the educa-
   51  tion law or any other law or disciplinary rule  shall  be  construed  or
   52  applied  to  prohibit any firm, association or corporation, in which any
   53  present or former statewide elected official, state officer or employee,
   54  or political party chairman, member of the  legislature  or  legislative
   55  employee  is  a  member, associate, retired member, of counsel or share-
   56  holder, from appearing, practicing, communicating or otherwise rendering
       S. 892                             16
    1  services in relation to any matter before, or transacting business  with
    2  a  state  agency,  or  a  city  agency with respect to a political party
    3  chairman in a county wholly included in a city with a population of more
    4  than  one  million,  otherwise proscribed by this section, the judiciary
    5  law, the education law or  any  other  law  or  disciplinary  rule  with
    6  respect  to  such  official,  member  of  the  legislature or officer or
    7  employee, or political party  chairman,  where  such  statewide  elected
    8  official, state officer or employee, member of the legislature or legis-
    9  lative  employee,  or political party chairman does not share in the net
   10  revenues, as defined in accordance with  generally  accepted  accounting
   11  principles  by the joint commission on public ethics [or by the legisla-
   12  tive ethics committee] in relation to persons subject to [their  respec-
   13  tive jurisdictions] THE JOINT COMMISSION'S JURISDICTION, resulting ther-
   14  efrom,  or,  acting  in  good  faith, reasonably believed that he or she
   15  would not share in the net revenues as so defined;  nor  shall  anything
   16  contained  in  this section, the judiciary law, the education law or any
   17  other law or disciplinary rule be construed to prohibit any firm,  asso-
   18  ciation  or corporation in which any present or former statewide elected
   19  official, member of the  legislature,  legislative  employee,  full-time
   20  salaried  state  officer or employee or state officer or employee who is
   21  subject to the provisions of section seventy-three-a of this article  is
   22  a  member,  associate,  retired  member, of counsel or shareholder, from
   23  appearing, practicing, communicating or otherwise rendering services  in
   24  relation  to  any matter before, or transacting business with, the court
   25  of claims, where such statewide elected official, member of the legisla-
   26  ture, legislative employee, full-time salaried state officer or employee
   27  or state officer or employee who is subject to the provisions of section
   28  seventy-three-a of this article does not share in the net  revenues,  as
   29  defined  in  accordance with generally accepted accounting principles by
   30  the joint commission on public ethics  [or  by  the  legislative  ethics
   31  committee] in relation to persons subject to [their respective jurisdic-
   32  tions]  THE  JOINT  COMMISSION'S  JURISDICTION, resulting therefrom, or,
   33  acting in good faith, reasonably believed that he or she would not share
   34  in the net revenues as so defined.
   35    S 5. Paragraphs (d) and (d-1) of subdivision 1, the opening  paragraph
   36  and  subparagraphs (ii), (viii) and (ix) of paragraph (a) and paragraphs
   37  (c), (e), (f) and (g) of subdivision 2 and subdivision 4 of section 73-a
   38  of the public officers law, paragraph (d) of subdivision 1, the  opening
   39  paragraph  and  subparagraphs (ii), (viii) and (ix) of paragraph (a) and
   40  paragraphs (c), (e), (f) and (g) of subdivision 2 and subdivision  4  as
   41  amended  and  paragraph  (d-1) of subdivision 1 as added by section 5 of
   42  part A of chapter 399 of the laws  of  2011,  are  amended  to  read  as
   43  follows:
   44    (d) The term "legislative employee" shall mean any officer or employee
   45  of  the  legislature  who  receives annual compensation in excess of the
   46  filing rate established by paragraph (l) below or who is  determined  to
   47  hold  a  policy-making position by the appointing authority as set forth
   48  in a written instrument which  shall  be  filed  with  the  [legislative
   49  ethics commission and the] joint commission on public ethics.
   50    (d-1)  A  financial  disclosure statement required pursuant to section
   51  seventy-three of this article and this section shall be  deemed  "filed"
   52  with  the  joint commission on public ethics upon its filing, in accord-
   53  ance with this section, [with the legislative ethics commission] for all
   54  purposes including, but not limited to, subdivision fourteen of  section
   55  ninety-four of the executive law[, subdivision nine of section eighty of
   56  the legislative law] and subdivision four of this section.
       S. 892                             17
    1    Every statewide elected official, state officer or employee, member of
    2  the  legislature,  legislative employee and political party chairman and
    3  every candidate for statewide elected office or for member of the legis-
    4  lature shall file an annual statement of financial disclosure containing
    5  the  information  and in the form set forth in subdivision three of this
    6  section. On or before the fifteenth day  of  May  with  respect  to  the
    7  preceding  calendar  year:  (1)  every  member of the legislature, every
    8  candidate for member of the legislature and legislative  employee  shall
    9  file   such  statement,  ALONG  WITH  ANY  REQUESTS  FOR  EXEMPTIONS  OR
   10  DELETIONS, with the [legislative ethics commission which  shall  provide
   11  such  statement  along  with any requests for exemptions or deletions to
   12  the] joint commission on public ethics [for  filing  and],  WHICH  SHALL
   13  MAKE  rulings with respect to such requests for exemptions or deletions,
   14  on or before the thirtieth day of June; and (2)  all  other  individuals
   15  required  to file such statement shall file it with the joint commission
   16  on public ethics, except that:
   17    (ii) a person who is required to file an annual  financial  disclosure
   18  statement with the joint commission on public ethics, and who is granted
   19  an  additional period of time within which to file such statement due to
   20  justifiable cause or undue hardship, in accordance with  required  rules
   21  and regulations on the subject adopted pursuant to paragraph c of subdi-
   22  vision  nine of section ninety-four of the executive law shall file such
   23  statement within the additional period of time granted[; and the  legis-
   24  lative  ethics  commission  shall  notify the joint commission on public
   25  ethics of any extension granted pursuant to this paragraph];
   26    (viii) a candidate substituted for  another  candidate,  who  fills  a
   27  vacancy  in  a party designation or in an independent nomination, caused
   28  by declination, shall file such statement within ten days after the last
   29  day allowed by law to file a certificate to fill a vacancy in such party
   30  designation or independent nomination[;
   31    (ix) with respect to all candidates for member of the legislature, the
   32  legislative ethics commission shall within five days of receipt  provide
   33  the  joint  commission  on public ethics the statement filed pursuant to
   34  subparagraphs (v), (vi), (vii) and (viii) of this paragraph].
   35    (c) If the reporting individual is a senator or  member  of  assembly,
   36  candidate  for the senate or member of assembly or a legislative employ-
   37  ee, [such statement shall be filed  with  both  the  legislative  ethics
   38  commission  established by section eighty of the legislative law and the
   39  joint commission on public ethics in accordance with paragraph (d-1)  of
   40  subdivision  one  of  this  section.  If  the reporting individual is a]
   41  statewide elected official, candidate for statewide  elected  office,  a
   42  state  officer or employee or a political party chairman, such statement
   43  shall be filed with the joint commission on public ethics established by
   44  section ninety-four of the executive law.
   45    (e) Any person required to file such statement who  commences  employ-
   46  ment after May fifteenth of any year, MEMBERS OF THE LEGISLATURE, LEGIS-
   47  LATIVE EMPLOYEES, and political party chairman shall file such statement
   48  within thirty days after commencing employment or of taking the position
   49  of political party chairman, as the case may be. [In the case of members
   50  of  the  legislature and legislative employees, such statements shall be
   51  filed with the legislative ethics commission within  thirty  days  after
   52  commencing  employment,  and  the  legislative  ethics  commission shall
   53  provide such statements to the joint commission on public ethics  within
   54  forty-five days of receipt.]
   55    (f) A person who may otherwise be required to file more than one annu-
   56  al  financial  disclosure  statement  [with both the joint commission on
       S. 892                             18
    1  public ethics and the legislative ethics commission] in any one calendar
    2  year may satisfy such requirement by  filing  one  such  statement  with
    3  [either  body  and  by  notifying the other body of such compliance] THE
    4  JOINT COMMISSION ON PUBLIC ETHICS.
    5    (g)  A person who is employed in more than one employment capacity for
    6  one or more employers  certain  of  whose  officers  and  employees  are
    7  subject to filing a financial disclosure statement [with the same ethics
    8  commission,  as  the  case may be,] and who receives distinctly separate
    9  payments of compensation for such employment shall  be  subject  to  the
   10  filing requirements of this section if the aggregate annual compensation
   11  for  all  such  employment  capacities  is  in excess of the filing rate
   12  notwithstanding that such person would not otherwise be required to file
   13  with respect to any one particular employment capacity.  [A  person  not
   14  otherwise  required  to  file a financial disclosure statement hereunder
   15  who is employed by an employer certain of whose  officers  or  employees
   16  are  subject  to  filing a financial disclosure statement with the joint
   17  commission on public ethics and who is  also  employed  by  an  employer
   18  certain of whose officers or employees are subject to filing a financial
   19  disclosure statement with the legislative ethics commission shall not be
   20  subject  to  filing  such  statement  with either such commission on the
   21  basis that his aggregate annual compensation from all such employers  is
   22  in excess of the filing rate.]
   23    4.  A reporting individual who knowingly and wilfully fails to file an
   24  annual statement of financial disclosure or who knowingly  and  wilfully
   25  with  intent  to  deceive  makes  a false statement or gives information
   26  which such individual knows to be false on such statement  of  financial
   27  disclosure  filed  pursuant  to this section shall be subject to a civil
   28  penalty in an amount not to exceed forty thousand dollars. Assessment of
   29  a civil penalty hereunder shall be  made  by  the  joint  commission  on
   30  public  ethics [or by the legislative ethics commission, as the case may
   31  be, with respect to persons subject to their respective  jurisdictions].
   32  The  joint  commission  on  public ethics acting pursuant to subdivision
   33  fourteen of section ninety-four of the executive law [or the legislative
   34  ethics commission acting  pursuant  to  subdivision  eleven  of  section
   35  eighty  of  the legislative law, as the case may be,] may, in lieu of or
   36  in addition to a civil penalty, refer a  violation  to  the  appropriate
   37  prosecutor  and upon such conviction, but only after such referral, such
   38  violation shall be punishable as a class A misdemeanor. A civil  penalty
   39  for false filing may not be imposed hereunder in the event a category of
   40  "value" or "amount" reported hereunder is incorrect unless such reported
   41  information  is falsely understated. Notwithstanding any other provision
   42  of law to the contrary, no other  penalty,  civil  or  criminal  may  be
   43  imposed for a failure to file, or for a false filing, of such statement,
   44  except  that  the appointing authority may impose disciplinary action as
   45  otherwise provided by law. The joint commission on  public  ethics  [and
   46  the legislative ethics commission] shall [each] be deemed to be an agen-
   47  cy  within  the  meaning  of  article  three of the state administrative
   48  procedure act and shall adopt rules governing the conduct of adjudicato-
   49  ry proceedings and appeals relating  to  the  assessment  of  the  civil
   50  penalties  herein  authorized. Such rules, which shall not be subject to
   51  the approval requirements of the  state  administrative  procedure  act,
   52  shall  provide for due process procedural mechanisms substantially simi-
   53  lar to those set forth in such article three but  such  mechanisms  need
   54  not  be identical in terms or scope. Assessment of a civil penalty shall
   55  be final unless modified, suspended or vacated  within  thirty  days  of
   56  imposition  and  upon  becoming  final shall be subject to review at the
       S. 892                             19
    1  instance of the affected reporting individual in a proceeding  commenced
    2  against the joint commission on public ethics [or the legislative ethics
    3  commission], pursuant to article seventy-eight of the civil practice law
    4  and rules.
    5    S  6.  Transfer  of  records.  The legislative ethics commission shall
    6  deliver to the joint commission on  public  ethics  all  books,  papers,
    7  records, and property as requested by the joint commission.
    8    S  7.  Continuity  of  authority. For the purpose of succession to all
    9  functions, powers, duties and obligations transferred and  assigned  to,
   10  devolved  upon and assumed by it pursuant to this act, the joint commis-
   11  sion on public ethics shall be deemed and held to constitute the contin-
   12  uation of the legislative ethics commission.
   13    S 8. Completion of unfinished business. Any business or  other  matter
   14  undertaken  or commenced by the legislative ethics commission pertaining
   15  to or connected with the functions, powers, obligations and duties here-
   16  by transferred and assigned to the joint commission  on  public  ethics,
   17  and  pending  on  the  effective  date  of this act may be conducted and
   18  completed by the joint commission on public ethics in  the  same  manner
   19  and  under  the same terms and conditions and with the same effect as if
   20  conducted and completed by the former legislative ethics commission.
   21    S 9. Terms occurring in laws, contracts and other documents.  Whenever
   22  the legislative ethics commission is referred to or  designated  in  any
   23  law, contract or documents pertaining solely to those functions, powers,
   24  obligations  and  duties  hereby  transferred  and assigned to the joint
   25  commission on public ethics, such  reference  or  designation  shall  be
   26  deemed to refer to the joint commission on public ethics.
   27    S  10.  Existing  rights  and remedies preserved. No existing right or
   28  remedy of any character shall be lost, impaired or affected by reason of
   29  this act.
   30    S 11. Pending actions and proceedings. No action or proceeding pending
   31  at the time when this act shall take effect, brought by or  against  the
   32  legislative  ethics  commission  shall  be affected by this act, but the
   33  same may be prosecuted or defended in the name of the  joint  commission
   34  on public ethics and upon application to the court, the joint commission
   35  on public ethics shall be substituted as a party.
   36    S 12. Notwithstanding any contrary provision of the state finance law,
   37  transfer  of  appropriations  heretofore  made to the legislative ethics
   38  commission, all appropriations or  reappropriations  for  the  functions
   39  herein transferred heretofore made to the legislative ethics commission,
   40  or  segregated pursuant to law, to the extent of remaining unexpended or
   41  unencumbered balances thereof,  whether  allocated  or  unallocated  and
   42  whether  obligated  or  unobligated, are hereby transferred to the joint
   43  commission on public ethics to the extent necessary  to  carry  out  its
   44  functions,  powers and duties subject to the approval of the director of
   45  the budget for the same purposes for which  originally  appropriated  or
   46  reappropriated and shall be payable on vouchers certified or approved by
   47  the  joint commission on public ethics on audit and warrant of the comp-
   48  troller.
   49    S 13. This act shall take effect January 1, 2016.