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Assembly Actions -
Lowercase Senate Actions - UPPERCASE |
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| Jan 04, 2012 |
referred to finance |
| Feb 01, 2011 |
referred to finance |
Senate Bill S2794
2011-2012 Legislative Session
Creates an executive ethics and compliance commission and the NY state commission on lobbying ethics and compliance; repealer
download bill text pdfSponsored By
(D, WF) Senate District
Archive: Last Bill Status - In Senate Committee Finance Committee
- Introduced
-
- In Committee Assembly
- In Committee Senate
-
- On Floor Calendar Assembly
- On Floor Calendar Senate
-
- Passed Assembly
- Passed Senate
- Delivered to Governor
- Signed By Governor
Actions
2011-S2794 (ACTIVE) - Details
- Current Committee:
- Senate Finance
- Law Section:
- Executive Law
- Laws Affected:
- Amd §94, Exec L; rpld & add §80, rpld §66-a, amd Leg L, generally; add §89-a, amd §§73 & 73-a, Pub Off L; rpld §14-102 sub 5, rpld & add §14-104 sub 3, amd Ed L, generally
- Versions Introduced in 2009-2010 Legislative Session:
-
S6457
2011-S2794 (ACTIVE) - Summary
Creates an executive ethics and compliance commission and the New York state commission on lobbying ethics and compliance; establishes the the legislative office of ethics investigation and joint legislative commission on ethics standards; relates to ethics reports and financial disclosure of public officers; relates to a state board of elections enforcement unit and counsel
2011-S2794 (ACTIVE) - Sponsor Memo
BILL NUMBER:S2794 REVISED 02/04/11
TITLE OF BILL:
An act
to amend the executive law, in relation to establishing the executive
ethics and compliance commission;
to amend the legislative law, in relation to the creation of the New
York state commission on lobbying ethics and compliance;
to amend the legislative law, in relation to establishing the
legislative
office of ethics investigation and the
joint legislative commission on ethics standards and to repeal
certain provisions of such law relating to ethics;
and to amend the public officers law, in relation to ethics reports;
to amend the legislative law and the public officers law, in relation to
financial disclosure of public officers;
to amend the election law, in relation to a state board of elections
enforcement unit and counsel, personal use of campaign funds, filing
requirements, political communication, independent expenditure
reporting, enforcement proceeding and penalties for violations; to
repeal certain provisions of the election law relating to filing of
statements;
to repeal certain provisions of the legislative law relating to
prohibited activities of legislative employees; and providing for the
repeal of certain provisions upon the expiration thereof
PURPOSE: This bill significantly enhances and provides more independence for the governmental structures that address issues of ethics for the executive and legislative branches as well as for lobbyists. The legislation would promote compliance with and enforcement of campaign finance laws and increase transparency and accountability by requiring additional disclosure of candidate and independent campaign activities. SUMMARY OF PROVISIONS: This bill would establish a new independent State Commission on Lobbying to be known as the "New York State Commission on Lobbying Ethics and Compliance." This Commission would consist of six members; two of the members would be appointed by the Governor, and one by the Temporary President of the Senate, one by the Speaker of the Assembly, one by the Minority Leader of the Senate and one by the Minority Leader of the Assembly. Members would serve four year terms commencing on the thirty-first day of July, two thousand ten, and could not have served as a public officer, legislator, or lobbyist for five years prior to their appointment. The Chair and vice Chair would be elected by the majority of members of the Commission to serve a one year term and the chair and vice chair must be members of different political parties. Members of the Commission would receive a per diem allowance for their services in the sum of one hundred dollars for each day spent in the performance of their duties to a maximum of $5,000. An Executive Director would be appointed by a majority vote of the commission and would serve a three year term. The Executive Director could only be removed for cause by a majority vote of the Commission. This bill also would add new language to clarify the definition of "widely attended event. Such event must be attended by at least 25 people who are not associated with the government entity for which the attendee in question works and be related to the attendee's duties or responsibilities, or an event at which the attendee is to perform ceremonial duties. Whether or not the event is related to the attendee's ceremonial duties shall be determined in accordance with standards and guidance issued by the relevant ethics oversight body. The bill also would: * define "nominal food and beverage" to be of an amount worth less than ten dollars, and allow otherwise permissible transportation for local tours to be provided by an entity that does not own the facility being toured, * establish the "Executive Ethics and Compliance commission" to oversee ethics compliance by the executive branch, to replace the current commission on Public Integrity. The Commission would consist of six members, who could not have served as a public officer, legislator, or lobbyist for five years prior to their appointment; two each would be appointed by the Governor, the comptroller, and the Attorney General. The commission would appoint an Executive Director to a three year term who could only be removed for cause by a majority vote of the Board; * establish a "Joint Legislative commission on Ethics Standards" consisting of eight members to replace the current Legislative Ethics commission. Four members would be members of the Legislature, one appointed by each of the legislative leaders. The remaining four members would also be appointed, one each by the legislative leaders, and could not be present or former members of the Legislature, candidates for member of the Legislature or employees of the Legislature. No member may have served as a public officer or lobbyist for five years prior to their appointment. The commission would be responsible for advisory opinions, financial disclosures, ethics training and education, and the imposition of penalties for violations of section 73, 73-a and 74 of the public officers law; * establish a new "Legislative Office of Ethics Investigations" responsible for assisting the Legislature to carry out its investigatory and enforcement responsibilities with regard to ethical standards. It would receive referrals of complaints for investigations from the Joint Legislative commission on Ethics standards, and the Standing committees on Ethics in the Senate and Assembly and complaints from the public. The Legislative Office of Ethics Investigations would conduct investigations pursuant to procedures and timelines set forth in the legislation; * provide appropriate funds for the establishment of the "New york state commission on Lobbying Ethics and compliance," the "Executive Ethics and compliance commission," the "Joint Legislative commission on Ethics standards," and the "Legislative Office of Ethics Investigations"; * expand financial disclosure to make categories of value public, add an additional category of value, increase disclosure by public officials regarding business and appearances before state agencies and consulting services, require lobbying disclosure regarding business relationships with state public officials, increase scrutiny of financial disclosure statements, and require financial disclosure forms to be posted on ethics commission web sites; * require the Committee on Open Government to prepare an annual report summarizing the public actions of the Joint Legislative commission on Ethics Standards, the Legislative Office of Ethics Investigations, the State Commission on Lobbying, the Senate and Assembly Standing Committees on Ethics, and the Executive Ethics and Compliance Commission. * codify an enforcement unit within the State Board of Elections (SBOE) with a mandate that at least 35 percent of the SBOE's annual budget be dedicated to the unit to promote increased enforcement of campaign finance laws. * expand the jurisdiction of the enforcement unit and promote the independence of the enforcement counsel by making the office a 4 year term, and the office of special counsel, the other legal unit at the SBOE, a 4 year term and codifies the requirement that the deputy in each unit be a member of the opposite political party than the counsel. * change the way that campaign finance enforcement matters are processed at the SBOE by requiring three of the four SBOE commissioners to vote to stop an investigation by the enforcement counsel, rather than requiring, as current law does, 3 votes to begin an investigation. * mandate that all votes to stop an investigation, or to act on the recommendation of the enforcement counsel after an investigation, occur in public, as currently all discussion and all determinations made regarding campaign finance enforcement matters occur in executive session and not in public. The bill would also promote compliance with campaign finance laws by: * increasing the penalty for failure to file from $500 to $1,000; * creating a substantial new penalty of up to $10,000 for the failure to file required statements three or more times in an election cycle; and * creating a new penalty for accepting an excess contribution. In addition to returning the excess, a candidate or committee could be fined an amount equal to 2 times the excess plus face a civil penalty up to $10,000. The bill would also promote the legal and appropriate use of campaign funds by requiring the State Board of Elections to issue formal opinions on the use of such funds. Such opinions would be published without identifying the person making the request, would be binding on the board in any subsequent proceeding and could be used as a defense in any civil or criminal action alleging personal use of campaign funds. The bill would also require greater disclosure and transparency of campaign finance information. Specifically, it would: * define the term "independent expenditures"and require that such political communications that use such expenditures identify the source of such funds. Violators would be penalized by a civil fine of up to $1,000 or the cost of the independent expenditure, whichever is greater; mandate that independent expenditures on communications opposing or supporting a candidate or ballot initiative in excess of $1,000 be Subject to the same filing requirements currently in place for candidates and political committees; prohibit a person, campaign committee or political party from falsely identifying the source of a political communication; * require itemization of candidate and political committee credit card payments and other like payments; and * add an additional campaign finance filing for candidates and political committees during the legislative session. EXISTING LAW: This act amends section 94 of the executive law. Sections 1-b, 1-c, 1-d, 1-e, 1-h, 1-i, and 1-j of the legislative law are amended. Section 80 of the legislative law is repealed and two new sections 80 and 81 are added to the legislative law. A new section 89 is added to the public officers law. Additionally, sections 73 and 73-a of the public officers law are amended. This act amends the following sections of the election law: 3-100, 3-102, 3104, 14-100, 14-102, 14-104, 14-106,14-108,14_126 and 16-100. It also adds three new sections to the election law: 3-111, 14-107 and 16-120. JUSTIFICATION: On May 13, 2009, the New York State Inspector General issued a report detailing alleged ethics violations by certain members of the Commission on Public Integrity and former Governor Spitzer's staff. The alleged violations arose from the Commission's investigation into the so-called "Troopergate" scandal. In addition, ethics violations by executive officers and legislators have been discovered that might have been addressed at an earlier point if there had been greater financial disclosure. Such recent events have created a desire in the public and within the Legislature to ensure that the ethics oversight over public officials is independent, transparent, and accountable to the public. In addition, it has become clear that the structure established in 2007 that joined the lobbying commission with the body that oversees ethics compliance by executive branch employees and gave control of that new entity to the appointees of one office (the Governor) was not as effective as the former independent commission on lobbying. In response, this bill seeks to create multiple bodies able to develop expertise in the fields on which they focus and that will function independently from the branches of government and lobbying industry that they seek to regulate. These bodies would be charged with different responsibilities, including compliance and oversight of the public officers law, issuing advisory opinions to prevent ethical lapses before they occur, investigatory powers for alleged violations of the public officers law, enforcement of the public officers law, and compliance and enforcement of the lobbying law. These ethics bodies will help to ensure that public officials carry on their duties free from impropriety and undue external influence. When public officials allegedly fail to behave ethically, the structure established by this bill will ensure that the public has access to accurate and fair information to evaluate the allegation. The legislative ethics entities are separated into a compliance body and an investigative body in order to remove any real or perceived conflict for members of a body investigating the same members to whom it is supposed to be providing advice. The lobbying compliance body would work to ensure the continued disclosure of various lobbying practices and information and compliance with the existing lobbying law. The New York State Constitution mandates that all boards of elections be bipartisan. pursuant to the constitution, the Election Law established the state Board of Elections and requires that it be comprised of two commissioners from each of the two major political parties. The Election Law further provides that any act of the board be taken only upon a vote of at least 3 of the 4 commissioners. As a result, some issues come before the board and result in a tie vote, rendering the board unable to act. The enforcement of campaign violations has been limited due to this structure, resulting in flagrant campaign finance abuses that are not prosecuted. This bill would empower the enforcement unit at the SBOE to allow independent investigations of campaign finance violations. The bill would promote compliance with campaign finance laws by increasing current penalties and creating new penalties for violations of campaign finance laws and by requiring that the SBOE issue formal opinions on the use of campaign funds. It would also promote transparency and accountability by requiring the disclosure of additional information regarding political committee activities and, for the first time, requiring the identification of the source of, and the filing of statements about, independent expenditures made in an election. The bill would require the SBOE to vote on campaign finance matters in public for the first time to allow the public to evaluate the effectiveness of campaign finance laws and increase the public's confidence in our electoral system. Passage of the bill is needed to help strengthen our current ethics and campaign finance laws, and by so doing help to improve compliance with the standards of conduct, legal and ethical, to which all of New York's public servants should be held. LEGISLATIVE HISTORY: 2010: S.6457/A.9544 (Schneiderman/Silver) FISCAL IMPLICATIONS: The state of New York shall appropriate during each fiscal year to the New York state commission on Lobbying Ethics and compliance an amount equivalent to seven and one-half per centum of the appropriation available from the General Fund to pay for the expenses of the Department of State~ it shall appropriate during each fiscal year to the Executive Ethics and compliance Commission an amount equivalent to seven and one half per centum of the appropriation available to pay for the expenses of the Department of state; it shall appropriate to the Joint Legislative commission on Ethics Standards and the Legislative Office of Ethics Investigations an amount equivalent to one per centum of the appropriation available to the State Senate. The State of New York shall appropriate at least 35 percent of the State Board of Elections' annual budget to the enforcement unit charged with enforcement of state campaign finance laws. EFFECTIVE DATE: July 31, 2011; provided, however, sections five-a, five-b and fourteen of this act shall take effect January 1, 2012; provided further, that sections one, two, three-a, four, five, six through eight and nine through eleven of this act shall expire and be deemed repealed 4 years after such effective date; provided further that sections twenty-two, twenty-three, twenty-four, twenty-five, twenty-six, twenty-seven, twenty-eight, twenty-nine, thirty, thirty-one, thirty-three, thirty-four, and thirty-five of this act shall take effect on the sixtieth day after it shall have become a law; and provided further that section thirty-two of this act shall take effect on January 1, 2012.
2011-S2794 (ACTIVE) - Bill Text download pdf
S T A T E O F N E W Y O R K
________________________________________________________________________
2794
2011-2012 Regular Sessions
I N S E N A T E
February 1, 2011
___________
Introduced by Sen. SQUADRON -- read twice and ordered printed, and when
printed to be committed to the Committee on Finance
AN ACT to amend the executive law, in relation to establishing the exec-
utive ethics and compliance commission; to amend the legislative law,
in relation to the creation of the New York state commission on lobby-
ing ethics and compliance; to amend the legislative law, in relation
to establishing the legislative office of ethics investigation and the
joint legislative commission on ethics standards and to repeal certain
provisions of such law relating to ethics; and to amend the public
officers law, in relation to ethics reports; to amend the legislative
law and the public officers law, in relation to financial disclosure
of public officers; to amend the election law, in relation to a state
board of elections enforcement unit and counsel, personal use of
campaign funds, filing requirements, political communication, inde-
pendent expenditure reporting, enforcement proceeding and penalties
for violations; to repeal certain provisions of the election law
relating to filing of statements; to repeal certain provisions of the
legislative law relating to prohibited activities of legislative
employees; and providing for the repeal of certain provisions upon the
expiration thereof
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Section 94 of the executive law, as added by chapter 813 of
the laws of 1987, the section heading and subdivisions 1, 2, 3, 4, 5, 6,
7 and 8 as amended by section 2, subdivisions 9, 10, 11, 12, 13, 14, 16
and 17 as amended and subdivisions 13-a, 16-a and 18 as added by section
2-a, paragraph (l) of subdivision 9 as amended by section 3, paragraph
(c) of subdivision 12 as amended by section 4, subdivision 15 as amended
by section 5, and paragraphs (a) and (b) of subdivision 17 as amended by
section 6 of chapter 14 of the laws of 2007, is amended to read as
follows:
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD07738-01-1
S. 2794 2
S 94. [Commission on public integrity; functions, powers and duties;
review of financial disclosure statements; advisory opinions; investi-
gation and enforcement] EXECUTIVE ETHICS AND COMPLIANCE COMMISSION. 1.
There is established within the department of state [a commission on
public integrity] AN EXECUTIVE ETHICS AND COMPLIANCE COMMISSION which
shall consist of [thirteen] SIX members and shall have and exercise the
powers and duties set forth in this section only with respect to state-
wide elected officials [and], state officers and employees, as defined
in sections seventy-three and seventy-three-a of the public officers
law, candidates for statewide elected office, [and the] A political
party chairman as [that term is] defined in PARAGRAPH (K) OF SUBDIVISION
ONE OF section [seventy-three-a] SEVENTY-THREE of the public officers
law, [lobbyists and the clients of lobbyists as such terms are defined
in article one-A of the legislative law], and individuals who have
formerly held such positions, [were lobbyists or clients of lobbyists,
as such terms are defined in article one-A of the legislative law,] or
who have formerly been such candidates. This section shall not revoke or
rescind any regulations or advisory opinions issued by the state ethics
commission [and], the temporary lobbying commission AND THE COMMISSION
ON PUBLIC INTEGRITY in effect upon the effective date of [a] THE chapter
of the laws of two thousand [seven] TEN which amended this section to
the extent that such regulations or opinions are not inconsistent with
any law of the state of New York, but such regulations and opinions
shall apply only to matters over which such commissions had jurisdiction
at the time such regulations and opinions were promulgated or issued.
The commission shall undertake a comprehensive review of all such regu-
lations and opinions, which will address the consistency of such regu-
lations and opinions among each other and with the [new] statutory
language. The commission shall, before April first, two thousand [eight]
ELEVEN, report to the governor and legislature regarding such review and
shall propose any regulatory changes and issue any advisory opinions
necessitated by such review.
2. The SIX members of the commission shall be appointed [by the gover-
nor provided, however, that one member shall be appointed on the nomi-
nation of the comptroller, one member shall be appointed on the nomi-
nation of the attorney general, one member shall be appointed on the
nomination of the temporary president of the senate, one member shall be
appointed on the nomination of the speaker of the assembly, one member
shall be appointed on the nomination of the minority leader of the
senate, and one member shall be appointed on the nomination of the
minority leader of the assembly. Of the seven members appointed by the
governor without prior nomination, no more than four members shall
belong to the same political party and no members shall be public offi-
cers or employees or hold any public office, elected or appointed.] AS
FOLLOWS: TWO BY THE GOVERNOR, TWO BY THE ATTORNEY GENERAL, AND TWO BY
THE COMPTROLLER. NO TWO APPOINTMENTS BY EACH OF THE FOREGOING OFFICERS
SHALL BE FROM THE SAME POLITICAL PARTY AS DEFINED IN SECTION 1-104 OF
THE ELECTION LAW. No member shall be OR SHALL HAVE BEEN WITHIN THE
PRECEDING FIVE YEARS a member of the legislature, a candidate for member
of the legislature, an employee of the legislature, a political party
chairman as defined in paragraph (k) of subdivision one of section
seventy-three of the public officers law, A STATE OFFICER OR EMPLOYEE AS
DEFINED BY PARAGRAPH (I) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE OF
THE PUBLIC OFFICERS LAW, or a lobbyist [as defined in subdivision (a) of
section one-c of the legislative law] REQUIRED TO REGISTER IN NEW YORK
STATE OR ANY OTHER JURISDICTION.
S. 2794 3
3. Members of the commission shall serve for terms of [five] FOUR
years; provided, however, that [of the members first appointed without
prior nomination, one shall serve for one year, one shall serve for two
years, one shall serve for three years, and one shall serve for four
years, as designated by the governor; the members first appointed on the
nominations of the comptroller and the temporary president of the senate
shall serve for four years and the members first appointed on the nomi-
nations of the attorney general and the speaker of the assembly shall
serve for two years] THE MEMBERS FIRST APPOINTED BY THE GOVERNOR SHALL
SERVE TWO YEAR TERMS, THE MEMBERS FIRST APPOINTED BY THE ATTORNEY GENER-
AL SHALL SERVE THREE YEAR TERMS AND THE MEMBERS FIRST APPOINTED BY THE
COMPTROLLER SHALL SERVE FOUR YEAR TERMS.
4. The [governor shall designate the chairman of the commission from
among the members thereof, who shall serve as chairman at the pleasure
of the governor] CHAIRPERSON OF THE COMMISSION SHALL BE ELECTED BY THE
MEMBERS OF THE COMMISSION BY A MAJORITY VOTE OF THE TOTAL NUMBER OF
MEMBERS OF THE COMMISSION. The [chairman] CHAIRPERSON or any [seven]
THREE members of the commission may call a meeting.
5. Any vacancy occurring on the commission shall be filled within
sixty days of its occurrence, by the governor, ATTORNEY GENERAL, OR
COMPTROLLER in the same manner as the member whose vacancy is being
filled was appointed. A person appointed to fill a vacancy occurring
other than by expiration of a term of office shall be appointed for the
unexpired term of the member he succeeds. IN THE EVENT OF A VACANCY,
THE APPOINTING AUTHORITY MUST APPOINT A MEMBER OF THE COMMISSION FROM A
POLITICAL PARTY OTHER THAN THAT OF THE APPOINTING AUTHORITY'S ALREADY
SEATED MEMBER OF THE COMMISSION.
6. [Seven] FOUR members of the commission shall constitute a quorum,
and the commission shall have power to act by majority vote of the total
number of members of the commission without vacancy.
7. Members of the commission may be removed by the [governor] APPOINT-
ING AUTHORITY for substantial neglect of duty, gross misconduct in
office, inability to discharge the powers or duties of office or
violation of this section, after written notice and opportunity for a
reply.
8. The members of the commission shall [not] receive [compensation
but] A PER DIEM ALLOWANCE IN THE SUM OF ONE HUNDRED DOLLARS FOR EACH DAY
ACTUALLY SPENT IN THE PERFORMANCE OF HIS OR HER DUTIES UNDER THIS ARTI-
CLE, NOT EXCEEDING, HOWEVER, THE SUM OF FIVE THOUSAND DOLLARS IN ANY
CALENDAR YEAR AND IN ADDITION THERETO shall be reimbursed for ALL
reasonable expenses ACTUALLY AND NECESSARILY incurred in the performance
of their official duties.
9. The commission shall:
(a) Appoint an executive director who shall act in accordance with the
policies of the commission. The commission may delegate authority to the
executive director to act in the name of the commission between meetings
of the commission provided such delegation is in writing and the specif-
ic powers to be delegated are enumerated. THE EXECUTIVE DIRECTOR SHALL
BE APPOINTED FOR A TERM OF THREE YEARS AND SHALL BE DISMISSED ONLY FOR
CAUSE BY A MAJORITY VOTE OF THE COMMISSION;
(b) Appoint such other staff as are necessary to carry out its duties
under this section;
(c) Adopt, amend, and rescind rules and regulations to govern proce-
dures of the commission, which shall include, but not be limited to, the
procedure whereby a person who is required to file an annual financial
disclosure statement with the commission may request an additional peri-
S. 2794 4
od of time within which to file such statement, due to justifiable cause
or undue hardship; such rules or regulations shall provide for a date
beyond which in all cases of justifiable cause or undue hardship no
further extension of time will be granted;
(d) Adopt, amend, and rescind rules and regulations to assist appoint-
ing authorities in determining which persons hold policy-making posi-
tions for purposes of section seventy-three-a of the public officers
law;
(e) Make available forms for annual statements of financial disclosure
required to be filed pursuant to section seventy-three-a of the public
officers law;
(f) Review financial disclosure statements in accordance with the
provisions of this section, provided however, that the commission may
delegate all or part of this review function to the executive director
who shall be responsible for completing staff review of such statements
in a manner consistent with the terms of the commission's delegation.
SUCH REVIEW SHALL REQUIRE THAT ALL STATEMENTS OF FINANCIAL DISCLOSURE
FILED WITH THE COMMISSION BE EXAMINED TO ENSURE THAT EACH STATEMENT IS
FACIALLY COMPLETE AND SIGNED BY THE REPORTING INDIVIDUAL;
(g) [Receive] INITIATE OR RECEIVE complaints and referrals alleging
violations of section seventy-three, seventy-three-a or seventy-four of
the public officers law[, article one-A of the legislative law] or
section one hundred seven of the civil service law;
(h) Permit any person subject to the jurisdiction of the commission
who is required to file a financial disclosure statement to request the
commission to delete from the copy thereof made available for public
inspection and copying one or more items of information which may be
deleted by the commission upon a finding by the commission that the
information which would otherwise be required to be made available for
public inspection and copying will have no material bearing on the
discharge of the reporting person's official duties. If such request for
deletion is denied, the commission, in its notification of denial, shall
inform the person of his or her right to appeal the commission's deter-
mination pursuant to its rules governing adjudicatory proceedings and
appeals adopted pursuant to subdivision thirteen of this section;
(i) Permit any person subject to the jurisdiction of the commission
who is required to file a financial disclosure statement to request an
exemption from any requirement to report one or more items of informa-
tion which pertain to such person's spouse or unemancipated children
which item or items may be exempted by the commission upon a finding by
the commission that the reporting individual's spouse, on his or her own
behalf or on behalf of an unemancipated child, objects to providing the
information necessary to make such disclosure and that the information
which would otherwise be required to be reported will have no material
bearing on the discharge of the reporting person's official duties. If
such request for exemption is denied, the commission, in its notifica-
tion of denial, shall inform the person of his or her right to appeal
the commission's determination pursuant to its rules governing adjudica-
tory proceedings and appeals adopted pursuant to subdivision thirteen of
this section;
(j) Advise and assist any state agency in establishing rules and regu-
lations relating to possible conflicts between private interests and
official duties of present or former statewide elected officials and
state officers and employees;
(k) Permit any person who has not been determined by his or her
appointing authority to hold a policy-making position but who is other-
S. 2794 5
wise required to file a financial disclosure statement to request an
exemption from such requirement in accordance with rules and regulations
governing such exemptions. Such rules and regulations shall provide for
exemptions to be granted either on the application of an individual or
on behalf of persons who share the same job title or employment classi-
fication which the commission deems to be comparable for purposes of
this section. Such rules and regulations may permit the granting of an
exemption where, in the discretion of the commission, the public inter-
est does not require disclosure and the applicant's duties do not
involve the negotiation, authorization or approval of:
(i) contracts, leases, franchises, revocable consents, concessions,
variances, special permits, or licenses as defined in section seventy-
three of the public officers law;
(ii) the purchase, sale, rental or lease of real property, goods or
services, or a contract therefor;
(iii) the obtaining of grants of money or loans; or
(iv) the adoption or repeal of any rule or regulation having the force
and effect of law;
(l) Prepare an annual report to the governor and legislature summariz-
ing the activities of the commission during the previous year and recom-
mending any changes in the laws governing the conduct of persons subject
to the jurisdiction of the commission, or the rules, regulations and
procedures governing the commission's conduct. Such report shall BE
POSTED ON THE COMMISSION'S WEBSITE AND SHALL include: (i) THE NUMBER OF
REPORTING INDIVIDUALS WHOSE FILES WERE REVIEWED PURSUANT TO SUBDIVISION
(O) OF THIS SECTION DURING THE PREVIOUS YEAR AND WHICH, IF ANY, CLASSES
OF REPORTING INDIVIDUALS WERE SELECTED FOR CLASS REVIEW RATHER THAN
RANDOM REVIEW; (II) a listing by assigned number of each complaint and
referral received which alleged a possible violation within its juris-
diction, including the current status of each complaint[,]; and [(ii)]
(III) where a matter has been resolved, the date and nature of the
disposition and any sanction imposed, subject to the confidentiality
requirements of this section, provided, however, that such annual report
shall not contain any information for which disclosure is not permitted
pursuant to subdivision seventeen of this section; [and]
(m) Determine a question common to a class or defined category of
persons or items of information required to be disclosed, where determi-
nation of the question will prevent undue repetition of requests for
exemption or deletion or prevent undue complication in complying with
the requirements of such section[.];
(N) PREPARE AND ISSUE A REPORT BY DECEMBER FIRST, TWO THOUSAND TWELVE
TO THE GOVERNOR AND THE LEGISLATURE RECOMMENDING ANY CHANGES TO THE LAW
GOVERNING THE FILING OF ANNUAL STATEMENTS OF FINANCIAL DISCLOSURE, WHICH
SHALL INCLUDE AN ANALYSIS OF THE STATUTES WHICH REQUIRE INDIVIDUALS TO
FILE FINANCIAL DISCLOSURE STATEMENTS, THE SCOPE OF DISCLOSURE REQUIRED,
AND ALTERNATIVE APPROACHES TO THE CURRENT SYSTEM, AND RECOMMENDATIONS AS
TO THE APPROPRIATE SCOPE OF DISCLOSURE FOR DIFFERENT CLASSES OF INDIVID-
UALS, INCLUDING THOSE WHO SERVE IN UNCOMPENSATED POSITIONS; AND
(O) PROMULGATE GUIDELINES FOR THE COMMISSION TO CONDUCT A PROGRAM OF
RANDOM REVIEWS, TO BE CARRIED OUT IN THE FOLLOWING MANNER: (I) ANNUAL
STATEMENTS OF FINANCIAL DISCLOSURE SHALL BE SELECTED FOR REVIEW IN A
MANNER PURSUANT TO WHICH THE IDENTITY OF ANY PARTICULAR PERSON WHOSE
STATEMENT IS SELECTED IS UNKNOWN TO THE COMMISSION AND ITS STAFF PRIOR
TO ITS SELECTION; (II) SUCH REVIEW SHALL INCLUDE A PRELIMINARY EXAMINA-
TION OF THE SELECTED STATEMENT FOR INTERNAL CONSISTENCY, A COMPARISON
WITH OTHER RECORDS MAINTAINED BY THE COMMISSION, INCLUDING PREVIOUSLY
S. 2794 6
FILED STATEMENTS AND REQUESTS FOR ADVISORY OPINIONS, AND AN EXAMINATION
OF RELEVANT PUBLIC INFORMATION, INCLUDING, BUT NOT LIMITED TO, RECORDS
FILED WITH THE COMMISSION ON LOBBYING ETHICS AND COMPLIANCE AND THE
DEPARTMENT OF STATE; (III) UPON COMPLETION OF THE PRELIMINARY EXAMINA-
TION, THE COMMISSION SHALL DETERMINE WHETHER FURTHER INQUIRY IS
WARRANTED, WHEREUPON IT SHALL NOTIFY THE REPORTING INDIVIDUAL IN WRITING
THAT THE STATEMENT IS UNDER REVIEW, ADVISE THE REPORTING INDIVIDUAL OF
THE SPECIFIC AREAS OF INQUIRY, AND PROVIDE THE REPORTING INDIVIDUAL WITH
THE OPPORTUNITY TO PROVIDE THE COMMISSION WITH ANY RELEVANT INFORMATION
RELATED TO THE SPECIFIC AREAS OF INQUIRY, AND THE OPPORTUNITY TO FILE
AMENDMENTS TO THE SELECTED STATEMENT ON FORMS PROVIDED BY THE COMMIS-
SION; AND (IV) IF THEREAFTER SUFFICIENT CAUSE EXISTS, THE COMMISSION
SHALL INITIATE AN INVESTIGATION TO DETERMINE WHETHER THE REPORTING INDI-
VIDUAL HAS FILED A DEFICIENT STATEMENT; PROVIDED, HOWEVER IF THE COMMIS-
SION CONDUCTS A REVIEW OF ALL STATEMENTS OF FINANCIAL DISCLOSURE FILED
BY A CLASS OF REPORTING INDIVIDUALS IN THE MANNER SET FORTH IN THIS
PARAGRAPH WITH RESPECT TO A GIVEN CALENDAR YEAR, THE INDIVIDUALS WITHIN
SUCH CLASS SHALL NOT BE SUBJECT TO RANDOM REVIEW. FOR THE PURPOSES OF
THIS PARAGRAPH, THE CLASSES OF REPORTING INDIVIDUALS ARE (A) STATEWIDE
ELECTED OFFICIALS, (B) CANDIDATES FOR STATEWIDE OFFICE, (C) HEADS OF
STATE DEPARTMENTS AND THEIR DEPUTIES AND ASSISTANTS PURSUANT TO SUBPARA-
GRAPH (I) OF PARAGRAPH (I) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE
OF THE PUBLIC OFFICERS LAW, AND (D) OTHER STATE OFFICERS AND EMPLOYEES.
10. The commission, or the executive director and staff of the
commission if responsibility therefor has been delegated, shall inspect
all financial disclosure statements filed with the commission to ascer-
tain whether any person subject to the reporting requirements of section
seventy-three-a of the public officers law has failed to file such a
statement, has filed a deficient statement or has filed a statement
which reveals a possible violation of section seventy-three, seventy-
three-a or seventy-four of the public officers law.
11. If a person required to file a financial disclosure statement
with the commission has failed to file a disclosure statement or has
filed a deficient statement, the commission shall notify the reporting
person in writing, state the failure to file or detail the deficiency,
provide the person with a fifteen day period to cure the deficiency, and
advise the person of the penalties for failure to comply with the
reporting requirements. Such notice shall be confidential. If the person
fails to make such filing or fails to cure the deficiency within the
specified time period, the commission shall send a notice of delinquen-
cy: (a) to the reporting person; (b) in the case of a statewide elected
official, to the temporary president of the senate and the speaker of
the assembly; and (c) in the case of a state officer or employee, to the
appointing authority for such person. Such notice of delinquency may be
sent at any time during the reporting person's service as a statewide
elected official, state officer or employee, political party chair or
while a candidate for statewide office, or within one year after termi-
nation of such service or candidacy. The jurisdiction of the commission,
when acting pursuant to subdivision thirteen of this section with
respect to financial disclosure, shall continue notwithstanding that the
reporting person separates from state service, or ceases to hold office
as a statewide elected official or political party chair, or ceases to
be a candidate, provided the commission notifies such person of the
alleged failure to file or deficient filing pursuant to this subdivi-
sion.
S. 2794 7
12. (a) If the commission receives a sworn complaint alleging a
violation of section seventy-three, seventy-three-a or seventy-four of
the public officers law[,] OR section one hundred seven of the civil
service law [or article one-A of the legislative law] by a person or
entity subject to the jurisdiction of the commission, or if a reporting
individual has filed a statement which reveals a possible violation of
these provisions, or if the commission determines on its own initiative
to investigate a possible violation, the commission shall notify the
individual in writing, describe the possible or alleged violation of
such laws and provide the person with a fifteen day period in which to
submit a written response setting forth information relating to the
activities cited as a possible or alleged violation of law. THE COMMIS-
SION SHALL ALSO, AT THE TIME OF PROVIDING NOTICE, INFORM THE INDIVIDUAL
OF ITS RULES REGARDING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND
APPEALS AND THE DUE PROCESS PROCEDURAL MECHANISMS AVAILABLE TO SUCH
INDIVIDUAL. If the commission thereafter makes a determination that
further inquiry is justified, it shall give the individual an opportu-
nity to be heard. [The commission shall also inform the individual of
its rules regarding the conduct of adjudicatory proceedings and appeals
and the due process procedural mechanisms available to such individual.]
If the commission determines at any stage of the proceeding, that there
is no violation or that any potential conflict of interest violation has
been rectified, it shall [so advise the individual and the complainant,
if any] ISSUE WRITTEN NOTICE TO THE INDIVIDUAL AND THE COMPLAINANT, IF
ANY, STATING THE CIRCUMSTANCES UNDER WHICH THE MATTER HAS BEEN RECTIFIED
AND THE COMPLAINT DISMISSED. All of the foregoing proceedings shall be
confidential.
(b) If the commission determines that there is reasonable cause to
believe that a violation has occurred, it shall send a notice of reason-
able cause: (i) to the reporting person; (ii) to the complainant if any;
(iii) in the case of a statewide elected official, to the temporary
president of the senate and the speaker of the assembly; and (iv) in the
case of a state officer or employee, to the appointing authority for
such person.
(c) The jurisdiction of the commission when acting pursuant to this
section shall continue notwithstanding that a statewide elected official
or a state officer or employee separates from state service, or a poli-
tical party chair ceases to hold such office, or a candidate ceases to
be a candidate, [or a lobbyist or client of a lobbyist ceases to act as
such,] provided that the commission notifies such individual or entity
of the alleged violation of law pursuant to paragraph (a) of this subdi-
vision within one year from his or her separation from state service or
his or her termination of party service or candidacy[, or from his, her
or its last report filed pursuant to article one-A of the legislative
law]. Nothing in this section shall serve to limit the jurisdiction of
the commission in enforcement of subdivision eight of section seventy-
three of the public officers law.
13. An individual subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions of subdivisions two
through [five,] FIVE-A, seven, eight, twelve [or], fourteen through
[seventeen] SIXTEEN OR EIGHTEEN of section seventy-three of the public
officers law, section one hundred seven of the civil service law, or a
reporting individual who knowingly and wilfully fails to file an annual
statement of financial disclosure or who knowingly and wilfully with
intent to deceive makes a false statement or fraudulent omission or
gives information which such individual knows to be false on such state-
S. 2794 8
ment of financial disclosure filed pursuant to section seventy-three-a
of the public officers law shall be subject to a civil penalty in an
amount not to exceed forty thousand dollars and the value of any gift,
compensation or benefit received as a result of such violation. An indi-
vidual who knowingly and intentionally violates the provisions of para-
graph b, c, d or i of subdivision three of section seventy-four of the
public officers law shall be subject to a civil penalty in an amount not
to exceed ten thousand dollars and the value of any gift, compensation
or benefit received as a result of such violation. An individual who
knowingly and intentionally violates the provisions of paragraph a, e or
g of subdivision three of section seventy-four of the public officers
law shall be subject to a civil penalty in an amount not to exceed the
value of any gift, compensation or benefit received as a result of such
violation. [An individual subject to the jurisdiction of the commission
who knowingly and willfully violates article one-A of the legislative
law shall be subject to civil penalty as provided for in that article.]
Assessment of a civil penalty hereunder shall be made by the commission
with respect to persons subject to its jurisdiction. In assessing the
amount of the civil penalties to be imposed, the commission shall
consider the seriousness of the violation, the amount of gain to the
individual and whether the individual previously had any civil or crimi-
nal penalties imposed pursuant to this section, and any other factors
the commission deems appropriate. For a violation of this subdivision,
other than for conduct which constitutes a violation of section one
hundred seven of the civil service law, subdivisions twelve or fourteen
through [seventeen] SIXTEEN OR EIGHTEEN of section seventy-three or
section seventy-four of the public officers law [or article one-A of the
legislative law,] the commission may, in lieu of a civil penalty, refer
a violation to the appropriate prosecutor and upon such conviction, such
violation shall be punishable as a class A misdemeanor. A civil penalty
for false filing may not be imposed hereunder in the event a category of
"value" or "amount" reported hereunder is incorrect unless such reported
information is falsely understated. Notwithstanding any other provision
of law to the contrary, no other penalty, civil or criminal may be
imposed for a failure to file, or for a false filing, of such statement,
or a violation of section seventy-three of the public officers law,
except that the appointing authority may impose disciplinary action as
otherwise provided by law. The commission may refer violations of this
subdivision to the appointing authority for disciplinary action as
otherwise provided by law. The commission shall be deemed to be an agen-
cy within the meaning of article three of the state administrative
procedure act and shall adopt rules governing the conduct of adjudicato-
ry proceedings and appeals taken pursuant to a proceeding commenced
under article seventy-eight of the civil practice law and rules relating
to the assessment of the civil penalties herein authorized and commis-
sion denials of requests for certain deletions or exemptions to be made
from a financial disclosure statement as authorized in paragraph (h) or
paragraph (i) of subdivision nine of this section. Such rules, which
shall not be subject to the approval requirements of the state adminis-
trative procedure act, shall provide for due process procedural mech-
anisms substantially similar to those set forth in article three of the
state administrative procedure act but such mechanisms need not be iden-
tical in terms or scope. Assessment of a civil penalty or commission
denial of such a request shall be final unless modified, suspended or
vacated within thirty days of imposition, with respect to the assessment
of such penalty, or unless such denial of request is reversed within
S. 2794 9
such time period, and upon becoming final shall be subject to review at
the instance of the affected reporting individuals in a proceeding
commenced against the commission, pursuant to article seventy-eight of
the civil practice law and rules.
13-a. [If] NOTWITHSTANDING ANY OTHER PROVISION OF LAW, IF the commis-
sion has a reasonable basis to believe that any person subject to the
jurisdiction of the [legislative ethics] commission ON LOBBYING ETHICS
AND COMPLIANCE may have violated any provisions of [section seventy-
three or seventy-four] ARTICLE ONE-A of the [public officers] LEGISLA-
TIVE law OR THAT ANY PERSON SUBJECT TO THE JURISDICTION OF THE STATE
BOARD OF ELECTIONS MAY HAVE VIOLATED ARTICLE FOURTEEN OF THE ELECTION
LAW, it shall refer such violation to the [legislative ethics commis-
sion] COMMISSION ON LOBBYING ETHICS AND COMPLIANCE OR TO THE BOARD OF
ELECTIONS, AS APPROPRIATE, unless the commission determines that such a
referral would compromise the prosecution or confidentiality of its
investigations and, if so, shall make such a referral as soon as practi-
cable. The referral by the commission to the [legislative ethics commis-
sion] COMMISSION ON LOBBYING ETHICS AND COMPLIANCE OR TO THE BOARD OF
ELECTIONS, AS APPROPRIATE, shall include any information relating there-
to coming into the custody or under the control of the commission at any
time prior or subsequent to the time of the referral.
14. A copy of any notice of delinquency or notice of reasonable cause
sent pursuant to subdivisions eleven and twelve of this section shall be
included in the reporting person's file and be available for public
inspection and copying.
15. Upon written request from any person who is subject to the juris-
diction of the commission and the requirements of sections seventy-
three, seventy-three-a or seventy-four of the public officers law, the
commission shall render advisory opinions on the requirements of said
provisions. An opinion rendered by the commission, until and unless
amended or revoked, shall be binding on the commission in any subsequent
proceeding concerning the person who requested the opinion and who acted
in good faith, unless material facts were omitted or misstated by the
person in the request for an opinion. Such opinion may also be relied
upon by such person, and may be introduced and shall be a defense, in
any criminal or civil action. Such requests shall be confidential but
the commission may publish such opinions provided that the name of the
requesting person and other identifying details shall not be included in
the publication.
16. In addition to any other powers and duties specified by law, the
commission shall have the power and duty to:
(a) Promulgate rules concerning restrictions on outside activities and
limitations on the receipt of gifts and honoraria by persons subject to
its jurisdiction, provided, however, a violation of such rules in and of
itself shall not be punishable pursuant to subdivision thirteen of this
section unless the conduct constituting the violation would otherwise
constitute a violation of this section; and
(b) Conduct training programs in cooperation with the governor's
office of employee relations to provide education to individuals subject
to its jurisdiction; and
(c) Administer and enforce all the provisions of this section; and
(d) Conduct any investigation necessary to carry out the provisions of
this section. Pursuant to this power and duty, the commission may admin-
ister oaths or affirmations, subpoena witnesses, compel their attendance
and require the production of any books or records which it may deem
relevant or material[;].
S. 2794 10
16-a. Within one hundred twenty days of the effective date of this
subdivision, the commission shall create and thereafter maintain a
publicly accessible website which shall set forth the procedure for
filing a complaint with the commission, and which shall contain the
documents identified in subdivision seventeen of this section, other
than financial disclosure statements OF STATE OFFICERS AND EMPLOYEES,
and any other records or information which the commission determines to
be appropriate.
16-B. (A) WHEN AN INDIVIDUAL BECOMES A MEMBER OF THE COMMISSION OR
STAFF OF THE COMMISSION, THAT INDIVIDUAL SHALL BE REQUIRED TO SIGN A
NON-DISCLOSURE STATEMENT.
(B) NO TESTIMONY RECEIVED OR ANY OTHER INFORMATION OBTAINED BY A
MEMBER OF THE COMMISSION OR STAFF OF THE COMMISSION SHALL BE DISCLOSED
BY ANY SUCH INDIVIDUAL TO ANY PERSON OR ENTITY OUTSIDE THE COMMISSION.
ANY CONFIDENTIAL COMMUNICATION TO ANY PERSON OR ENTITY OUTSIDE THE
COMMISSION RELATED TO THE MATTERS BEFORE THE COMMISSION MAY OCCUR ONLY
AS AUTHORIZED BY THE COMMISSION AS NECESSARY TO CONDUCT OFFICIAL BUSI-
NESS OR PURSUANT TO COMMISSION RULES OR AS REQUIRED BY LAW.
(C) THE COMMISSION SHALL ESTABLISH PROCEDURES NECESSARY TO PREVENT THE
UNAUTHORIZED DISCLOSURE OF ANY INFORMATION RECEIVED BY ANY MEMBER OF THE
COMMISSION OR STAFF OF THE COMMISSION. ANY BREACHES OF CONFIDENTIALITY
SHALL BE INVESTIGATED BY THE COMMISSION AND APPROPRIATE ACTION SHALL BE
TAKEN.
17. (a) Notwithstanding the provisions of article six of the public
officers law, the only records of the commission which shall be avail-
able for public inspection and copying are:
(1) the information set forth in an annual statement of financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers law except [the categories of value or amount, which shall remain
confidential, and] any [other] item of information deleted pursuant to
paragraph (h) of subdivision nine of this section;
(2) notices of delinquency sent under subdivision eleven of this
section;
(3) notices of reasonable cause sent under paragraph (b) of subdivi-
sion twelve of this section;
(4) notices of civil assessments imposed under this section which
shall include a description of the nature of the alleged wrongdoing, the
procedural history of the complaint, the findings and determinations
made by the commission, and any sanction imposed; AND
(5) the terms of any settlement or compromise of a complaint or refer-
ral which includes a fine, penalty or other remedy[; and
(6) those required to be held or maintained publicly available pursu-
ant to article one-A of the legislative law].
(b) Notwithstanding the provisions of article seven of the public
officers law, no meeting or proceeding, including any such proceeding
contemplated under paragraph (h) or (i) of subdivision nine of this
section, of the commission shall be open to the public, except if
expressly provided otherwise by the commission [or as is required by
article one-A of the legislative law], PROVIDED HOWEVER THAT THE COMMIS-
SION SHALL MEET PUBLICLY WHENEVER IT ADOPTS, AMENDS OR RESCINDS ITS
POLICIES, RULES OR REGULATIONS, PROMULGATES ITS GUIDELINES, APPROVES
EDUCATIONAL MATERIAL, OR ADOPTS ITS ANNUAL REPORT.
(c) Pending any application for deletion or exemption to the commis-
sion, all information which is the subject or a part of the application
shall remain confidential. Upon an adverse determination by the commis-
sion, the reporting individual may request, and upon such request the
S. 2794 11
commission shall provide, that any information which is the subject or
part of the application remain confidential for a period of thirty days
following notice of such determination. In the event that the reporting
individual resigns his office and holds no other office subject to the
jurisdiction of the commission, the information shall not be made public
and shall be expunged in its entirety.
18. IF THE COMMISSION BECOMES AWARE OR IS AWARE THAT ALLEGED CRIMINAL
CONDUCT THAT MIGHT ALSO VIOLATE SECTION SEVENTY-THREE, SEVENTY-THREE-A
OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW IS UNDER INVESTIGATION BY A
FEDERAL, STATE OR LOCAL LAW ENFORCEMENT AGENCY, OR IS BEING PROSECUTED
IN LOCAL, STATE OR FEDERAL COURT, THE COMMISSION SHALL HOLD THE MATTER
IN ABEYANCE UNTIL THE CRIMINAL MATTER IS RESOLVED.
19. If any part or provision of this section or the application there-
of to any person or organization is adjudged by a court of competent
jurisdiction to be unconstitutional or otherwise invalid, such judgment
shall not affect or impair any other part or provision or the applica-
tion thereof to any other person or organization, but shall be confined
in its operation to such part or provision.
S 2. Section 1-b of the legislative law, as added by chapter 2 of the
laws of 1999, is amended to read as follows:
S 1-b. Short title. This article shall be known and may be cited as
the "ETHICAL STANDARDS IN Lobbying act OF 2010".
S 3. Paragraph (i) of subdivision (c) and subdivision (j) of section
1-c of the legislative law, paragraph (i) of subdivision (c) as added by
chapter 1 of the laws of 2005 and subdivision (j) as added by chapter 14
of the laws of 2007, are amended and a new subdivision (w) is added to
read as follows:
(i) the passage or defeat of any legislation OR RESOLUTION by either
house of the state legislature or approval or disapproval of any legis-
lation by the governor;
(j) The term "gift" shall mean anything of more than nominal value
given to a public official in any form including, but not limited to
money, service, loan, travel, lodging, meals, refreshments, enter-
tainment, discount, forbearance, or promise, having a monetary value.
The following are excluded from the definition of a gift:
(i) complimentary attendance, including food and beverage, at bona
fide charitable or political events[, and food and beverage of a nominal
value offered other than as part of a meal];
(ii) complimentary attendance, food and beverage offered by the spon-
sor of [an event that is] A widely attended [or was in good faith
intended to be widely attended, when attendance at the event is related
to the attendee's duties or responsibilities as a public official or
allows the public official to perform a ceremonial function appropriate
to his or her position] EVENT. THE TERM "WIDELY ATTENDED EVENT" SHALL
MEAN AN EVENT: (A) WHICH AT LEAST TWENTY-FIVE INDIVIDUALS OTHER THAN
MEMBERS, OFFICERS, OR EMPLOYEES FROM THE GOVERNMENTAL ENTITY IN WHICH
THE PUBLIC OFFICIAL SERVES ATTEND OR WERE, IN GOOD FAITH, INTENDED TO
ATTEND, AND (B) WHICH IS RELATED TO THE ATTENDEE'S DUTIES OR RESPONSI-
BILITIES AS DETERMINED IN ACCORDANCE WITH STANDARDS AND GUIDANCE ISSUED
BY THE ETHICS OVERSIGHT BODY THAT HAS JURISDICTION OVER THE ATTENDEE OR
WHICH ALLOWS THE PUBLIC OFFICIAL TO PERFORM A CEREMONIAL FUNCTION APPRO-
PRIATE TO HIS OR HER POSITION;
(iii) awards, plaques, and other ceremonial items which are publicly
presented, or intended to be publicly presented, in recognition of
public service, provided that the item or items are of the type custom-
arily bestowed at such or similar ceremonies and are otherwise reason-
S. 2794 12
able under the circumstances, and further provided that the functionali-
ty of such items shall not determine whether such items are permitted
under this paragraph;
(iv) an honorary degree bestowed upon a public official by a public or
private college or university;
(v) promotional items having no substantial resale value such as pens,
mugs, calendars, hats, and t-shirts which bear an organization's name,
logo, or message in a manner which promotes the organization's cause;
(vi) goods and services, or discounts for goods and services, offered
to the general public or a segment of the general public defined on a
basis other than status as a public official and offered on the same
terms and conditions as the goods or services are offered to the general
public or segment thereof;
(vii) gifts from a family member, member of the same household, or
person with a personal relationship with the public official, including
invitations to attend personal or family social events, when the circum-
stances establish that it is the family, household, or personal
relationship that is the primary motivating factor; in determining moti-
vation, the following factors shall be among those considered: (A) the
history and nature of the relationship between the donor and the recipi-
ent, including whether or not items have previously been exchanged; (B)
whether the item was purchased by the donor; and (C) whether or not the
donor at the same time gave similar items to other public officials; the
transfer shall not be considered to be motivated by a family, household,
or personal relationship if the donor seeks to charge or deduct the
value of such item as a business expense or seeks reimbursement from a
client;
(viii) contributions reportable under article fourteen of the election
law;
(ix) travel reimbursement or payment for transportation, meals and
accommodations for an attendee, panelist or speaker at an informational
event when such reimbursement or payment is made by a governmental enti-
ty or by an in-state accredited public or private institution of higher
education that hosts the event on its campus, provided, however, that
the public official may only accept lodging from an institution of high-
er education: (A) at a location on or within close proximity to the host
campus; and (B) for the night preceding and the nights of the days on
which the attendee, panelist or speaker actually attends the event;
(x) provision of local transportation to inspect or tour facilities,
operations or property [owned or operated by the entity providing such
transportation] LOCATED IN NEW YORK STATE, provided, however, THAT SUCH
INSPECTION OR TOUR IS RELATED TO THE INDIVIDUAL'S OFFICIAL DUTIES OR
RESPONSIBILITIES AS DETERMINED IN ACCORDANCE WITH STANDARDS AND GUIDANCE
ISSUED BY THE ETHICS OVERSIGHT BOARD THAT HAS JURISDICTION OVER THE
INDIVIDUAL AND that payment or reimbursement of lodging, meals or travel
expenses to and from the locality where such facilities, operations or
property are located shall be considered to be gifts unless otherwise
permitted under this subdivision; [and]
(xi) meals or refreshments when participating in a professional or
educational program and the meals or refreshments are provided to all
participants; AND
(XII) FOOD OR BEVERAGE VALUED AT TEN DOLLARS OR LESS OFFERED OTHER
THAN AS PART OF A MEAL.
(W) THE TERM "REPORTABLE BUSINESS RELATIONSHIP" SHALL MEAN A RELATION-
SHIP IN WHICH COMPENSATION IS PAID BY A LOBBYIST OR BY A CLIENT OF A
LOBBYIST, IN EXCHANGE FOR ANY GOODS, SERVICES OR ANYTHING OF VALUE, THE
S. 2794 13
TOTAL VALUE OF WHICH IS IN EXCESS OF ONE THOUSAND DOLLARS ANNUALLY, TO
BE PERFORMED OR PROVIDED BY OR INTENDED TO BE PERFORMED OR PROVIDED BY
(I) ANY STATEWIDE ELECTED OFFICIAL, STATE OFFICER, STATE EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE OR (II) ANY ENTITY IN
WHICH THE LOBBYIST OR THE CLIENT OF A LOBBYIST KNOWS OR HAS REASON TO
KNOW THE STATEWIDE ELECTED OFFICIAL, STATE OFFICER, STATE EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE IS A PROPRIETOR, PART-
NER, DIRECTOR, OFFICER OR MANAGER, OR OWNS OR CONTROLS TEN PERCENT OR
MORE OF THE STOCK OF SUCH ENTITY (OR ONE PERCENT IN THE CASE OF A CORPO-
RATION WHOSE STOCK IS REGULARLY TRADED ON AN ESTABLISHED SECURITIES
EXCHANGE).
S 3-a. Subdivision (f) of section 1-c of the legislative law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
(f) The term "commission" shall mean the [commission on public integ-
rity created by section ninety-four of the executive law] NEW YORK STATE
COMMISSION ON LOBBYING ETHICS AND COMPLIANCE CREATED BY SECTION ONE-D OF
THIS ARTICLE.
S 4. Section 1-d of the legislative law, as amended by chapter 14 of
the laws of 2007, is amended to read as follows:
S 1-d. [Lobby-related powers of the commission] THE NEW YORK STATE
COMMISSION ON LOBBYING ETHICS AND COMPLIANCE. (A) (I) THERE SHALL BE
ESTABLISHED A COMMISSION TO BE KNOWN AS THE NEW YORK STATE COMMISSION ON
LOBBYING ETHICS AND COMPLIANCE WHICH SHALL CONSIST OF SIX MEMBERS. THE
MEMBERS OF THE COMMISSION SHALL BE APPOINTED AS FOLLOWS:
(1) TWO BY THE GOVERNOR;
(2) ONE BY THE TEMPORARY PRESIDENT OF THE SENATE;
(3) ONE BY THE SPEAKER OF THE ASSEMBLY;
(4) ONE BY THE MINORITY LEADER OF THE SENATE; AND
(5) ONE BY THE MINORITY LEADER OF THE ASSEMBLY.
(II) OF THE TWO MEMBERS APPOINTED BY THE GOVERNOR, ONE SHALL BE A
MEMBER OF THE SAME POLITICAL PARTY AS THE SPEAKER OF THE ASSEMBLY AND
ONE SHALL BE A MEMBER OF THE SAME POLITICAL PARTY AS THE MINORITY LEADER
OF THE ASSEMBLY.
(B) THE TERM OF OFFICE OF THE MEMBERS SHALL BE FOR FOUR YEARS COMMENC-
ING WITH THE FIRST DAY OF AUGUST, TWO THOUSAND ELEVEN, PROVIDED, HOWEV-
ER, THAT OF THE INITIAL MEMBERS SO APPOINTED: ONE MEMBER APPOINTED BY
THE GOVERNOR SHALL SERVE A TERM OF ONE YEAR; THE MEMBER APPOINTED BY THE
TEMPORARY PRESIDENT OF THE SENATE AND THE MEMBER APPOINTED BY THE MINOR-
ITY LEADER OF THE SENATE SHALL SERVE A TERM OF TWO YEARS; AND THE MEMBER
APPOINTED BY THE SPEAKER OF THE ASSEMBLY AND THE MEMBER APPOINTED BY THE
MINORITY LEADER OF THE ASSEMBLY SHALL SERVE A TERM OF THREE YEARS. NO
MEMBER OF THE COMMISSION SHALL HOLD OR SHALL HAVE HELD WITHIN THE
PRECEDING FIVE YEARS ANY STATE OR LOCAL ELECTED OFFICE; AND NO MEMBER OF
THE COMMISSION SHALL BE OR HAVE BEEN WITHIN THE PRECEDING FIVE YEARS
EMPLOYED BY THE STATE OR BY ANY LOCAL POLITICAL SUBDIVISION SUBJECT TO
THIS ARTICLE. NO PERSON SUBJECT TO THE JURISDICTION OF THE COMMISSION
AND THE PROVISIONS OF THIS ARTICLE OR REGISTERED AS A LOBBYIST IN ANY
OTHER JURISDICTION WITHIN THE PRECEDING FIVE YEARS MAY SERVE ON THE
COMMISSION.
(C) THE CHAIR AND THE VICE-CHAIR OF THE COMMISSION SHALL BE ELECTED BY
A MAJORITY OF THE MEMBERS OF THE COMMISSION TO SERVE A ONE YEAR TERM.
THE CHAIR SHALL BE A MEMBER OF A DIFFERENT POLITICAL PARTY THAN THE
CHAIR OF THE COMMISSION DURING THE PRECEDING TERM. THE CHAIR AND VICE-
CHAIR SHALL EACH BE A MEMBER OF A DIFFERENT MAJOR POLITICAL PARTY AS
SUCH TERM IS DEFINED IN THE ELECTION LAW.
S. 2794 14
(D) ANY MATTER UPON WHICH THE COMMISSION MUST ACT BY A VOTE OF THE
MEMBERSHIP MUST BE BY AN AFFIRMATIVE VOTE OF A MAJORITY OF THE MEMBERS
OF THE COMMISSION WITHOUT VACANCY. EACH MEMBER SHALL CONTINUE TO SERVE
UNTIL A SUCCESSOR IS APPOINTED IN THE MANNER PROVIDED IN THIS SECTION.
(E) EACH OF THE MEMBERS OF THE COMMISSION SHALL RECEIVE, AS COMPEN-
SATION FOR HIS OR HER SERVICES UNDER THIS ARTICLE, A PER DIEM ALLOWANCE
IN THE SUM OF ONE HUNDRED DOLLARS FOR EACH DAY ACTUALLY SPENT IN THE
PERFORMANCE OF HIS OR HER DUTIES UNDER THIS ARTICLE, NOT EXCEEDING,
HOWEVER, THE SUM OF FIVE THOUSAND DOLLARS IN ANY CALENDAR YEAR, AND, IN
ADDITION THERETO, SHALL BE REIMBURSED FOR ALL REASONABLE EXPENSES ACTU-
ALLY AND NECESSARILY INCURRED BY HIM OR HER IN THE PERFORMANCE OF HIS OR
HER DUTIES UNDER THIS ARTICLE.
(F) VACANCIES IN THE MEMBERSHIP OF THE COMMISSION OCCURRING FOR ANY
CAUSE SHALL BE FILLED FOR THE BALANCE OF THE UNEXPIRED TERM IN THE SAME
MANNER AS THE ORIGINAL APPOINTMENT OF THE MEMBER WHOSE OFFICE BECOMES
VACANT.
(G) MEMBERS OF THE COMMISSION MAY BE REMOVED BY THE APPOINTING AUTHOR-
ITY FOR SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT IN OFFICE, INABIL-
ITY TO DISCHARGE THE POWERS OR DUTIES OF OFFICE OR VIOLATION OF THIS
SECTION, AFTER WRITTEN NOTICE AND OPPORTUNITY FOR A REPLY.
(H) STRUCTURE OF THE COMMISSION:
(I) THE CHIEF ADMINISTRATIVE OFFICER OF THE COMMISSION SHALL BE THE
EXECUTIVE DIRECTOR, WHO SHALL BE APPOINTED BY A MAJORITY VOTE OF THE
COMMISSION AND SHALL SERVE A THREE YEAR TERM, EXCEPT THAT HE OR SHE
SHALL BE DISMISSED ONLY FOR CAUSE BY A MAJORITY VOTE OF THE COMMISSION.
[In addition to any other powers and duties provided by section nine-
ty-four of the executive law, the] (II) THE commission shall[, with
respect to its lobbying-related functions only,] have the power and duty
to:
[(a)] (1) administer and enforce all the provisions of this article;
[(b)] (2) conduct a program of random audits subject to the terms and
conditions of this section. Any such program shall be carried out in the
following manner:
[(i)] A. The commission may randomly select reports or registration
statements required to be filed by lobbyists or clients pursuant to this
article for audit. Any such selection shall be done in a manner pursuant
to which the identity of any particular lobbyist or client whose state-
ment or report is selected for audit is unknown to the commission, its
staff or any of their agents prior to selection.
[(ii)] B. The commission shall develop protocols for the conduct of
such random audits. Such random audits may require the production of
books, papers, records or memoranda relevant and material to the prepa-
ration of the selected statements or reports, for examination by the
commission. Any such protocols shall ensure that similarly situated
statements or reports are audited in a uniform manner.
[(iii)] C. The commission shall contract with an outside accounting
entity, which shall monitor the process pursuant to which the commission
selects statements or reports for audit and carries out the provisions
of [paragraphs (i) and (ii) of this subdivision] CLAUSES A AND B OF THIS
SUBPARAGRAPH and [certifies] CERTIFY that such process complies with the
provisions of such [paragraphs] CLAUSES.
[(iv)] D. Upon completion of a random audit conducted in accordance
with the provisions of [paragraphs (i), (ii) and (iii) of this subdivi-
sion] CLAUSES A, B AND C OF THIS SUBPARAGRAPH, the commission shall
determine whether there is reasonable cause to believe that any such
statement or report is inaccurate or incomplete. Upon a determination
S. 2794 15
that such reasonable cause exists, the commission may require the
production of further books, records or memoranda, subpoena witnesses,
compel their attendance and testimony and administer oaths or affirma-
tions, to the extent the commission determines such actions are neces-
sary to obtain information relevant and material to investigating such
inaccuracies or omissions;
[(c)] (3) conduct hearings pursuant to article seven of the public
officers law. Any hearing may be conducted as a video conference in
accordance with the provisions of subdivision four of section one
hundred four of the public officers law;
[(d)] (4) prepare uniform forms for the statements and reports
required by this article;
[(e)] (5) meet at least once during each bi-monthly reporting period
of the year as established by subdivision (a) of section one-h of this
article and may meet at such other times as the commission, or the chair
and vice-chair jointly, shall determine;
[(f)] (6) issue advisory opinions to those under its jurisdiction.
Such advisory opinions, which shall be published and made available to
the public, shall not be binding upon such commission except with
respect to the person to whom such opinion is rendered, provided, howev-
er, that a subsequent modification by such commission of such an advi-
sory opinion shall operate prospectively only; and
[(g)] (7) submit by the first day of March next following the year for
which such report is made to the governor and the members of the legis-
lature an annual report summarizing the commission's work, listing the
lobbyists and clients required to register pursuant to this article and
the expenses and compensation reported pursuant to this article and
making recommendations with respect to this article. The commission
shall make this report available free of charge to the public.
(I) THE COMMISSION SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF ALL
APPLICABLE REGULATIONS AND OPINIONS ISSUED BY THE TEMPORARY LOBBYING
COMMISSION AND THE COMMISSION ON PUBLIC INTEGRITY, WHICH REVIEWS WILL
ADDRESS THE CONSISTENCY OF SUCH REGULATIONS AND OPINIONS AMONG EACH
OTHER AND WITH THE STATUTORY LANGUAGE. THE COMMISSION SHALL, BEFORE
DECEMBER FIRST, TWO THOUSAND TWELVE, REPORT TO THE GOVERNOR AND LEGISLA-
TURE REGARDING SUCH REVIEW AND SHALL PROPOSE ANY REGULATORY CHANGES AND
ISSUE ANY ADVISORY OPINIONS NECESSITATED BY SUCH REVIEW.
S 5. Subdivision (b) and paragraph 3 of subdivision (c) of section 1-e
of the legislative law, subdivision (b) as amended by section 1 of part
S of chapter 62 of the laws of 2003 and paragraph 3 of subdivision (c)
as amended by chapter 1 of the laws of 2005, are amended to read as
follows:
(b) (i) Such statements of registration shall be kept on file for a
period of [three] FOUR years for those filing periods where annual
statements are required, and shall be open to public inspection during
such period; (ii) Biennial statements of registration shall be kept on
file for a period of [three] TWO biennial filing periods where biennial
statements are required, and shall be open to public inspection during
such period.
(3) if such lobbyist is retained or employed pursuant to a written
agreement of retainer or employment, a copy of such shall also be
attached and if such retainer or employment is oral, a statement of the
substance thereof; such written retainer, or if it is oral, a statement
of the substance thereof, and any amendment thereto, shall be retained
for a period of [three] FOUR years;
S. 2794 16
S 5-a. Subdivision (c) of section 1-e of the legislative law is
amended by adding a new paragraph 8 to read as follows:
(8) (I) THE NAME AND PUBLIC OFFICE ADDRESS OF ANY STATEWIDE ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY WITH WHOM THE LOBBYIST HAS A REPORTABLE BUSI-
NESS RELATIONSHIP;
(II) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE LOBBYIST OR LOBBYISTS AND THE STATEWIDE ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY; AND
(III) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF
THE BUSINESS RELATIONSHIP.
S 5-b. Subdivision (b) of section 1-j of the legislative law is
amended by adding a new paragraph 6 to read as follows:
(6) (I) THE NAME AND PUBLIC OFFICE ADDRESS OF ANY STATEWIDE ELECTED
OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGIS-
LATIVE EMPLOYEE AND ENTITY WITH WHOM THE CLIENT OF A LOBBYIST HAS A
REPORTABLE BUSINESS RELATIONSHIP;
(II) A DESCRIPTION OF THE GENERAL SUBJECT OR SUBJECTS OF THE TRANS-
ACTIONS BETWEEN THE CLIENT OF THE LOBBYIST OR LOBBYISTS AND THE STATE-
WIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLA-
TURE OR LEGISLATIVE EMPLOYEE AND ENTITY;
(III) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID BY VIRTUE OF
THE BUSINESS RELATIONSHIP.
S 6. Subparagraph (v) of paragraph 5 of subdivision (b) and paragraph
2 of subdivision (c) of section 1-h of the legislative law, as added by
chapter 2 of the laws of 1999, are amended to read as follows:
(v) expenses of more than fifty dollars shall be paid by check or
substantiated by receipts and such checks and receipts shall be kept on
file by the lobbyist for a period of [three] FOUR years.
(2) Such bi-monthly reports shall be kept on file for [three] FOUR
years and shall be open to public inspection during such time.
S 7. Subparagraph (v) of paragraph 6 of subdivision (b) and paragraph
2 of subdivision (c) of section 1-i of the legislative law, as added by
chapter 2 of the laws of 1999, are amended to read as follows:
(v) expenses of more than fifty dollars must be paid by check or
substantiated by receipts and such checks and receipts shall be kept on
file by such public corporation for a period of [three] FOUR years.
(2) Such bi-monthly reports shall be kept on file for a period of
[three] FOUR years and shall be open to public inspection during such
period.
S 8. Subparagraph (v) of paragraph 5 of subdivision (b) and paragraph
2 of subdivision (c) of section 1-j of the legislative law, as amended
by chapter 1 of the laws of 2005, are amended to read as follows:
(v) expenses of more than fifty dollars must be paid by check or
substantiated by receipts and such checks and receipts shall be kept on
file by such client for a period of [three] FOUR years.
(2) Such semi-annual reports shall be kept on file for a period of
[three] FOUR years and shall be open to public inspection during such
period.
S 8-a. Subdivision (a) of section 1-o of the legislative law, as added
by chapter 14 of the laws of 2007, is amended to read as follows:
(a) (i) Any lobbyist, public corporation, or client who knowingly and
wilfully fails to file timely a report or statement required by this
[section] ARTICLE or knowingly and wilfully files false information or
S. 2794 17
knowingly and wilfully violates section one-m of this article shall be
guilty of a class A misdemeanor; and
(ii) any lobbyist, public corporation, or client who knowingly and
wilfully fails to file timely a report or statement required by this
[section] ARTICLE or knowingly and wilfully files false information or
knowingly and wilfully violates section one-m of this article, after
having previously been convicted in the preceding five years of the
crime described in paragraph (i) of this subdivision, shall be guilty of
a class E felony. Any lobbyist convicted of or pleading guilty to a
felony under the provisions of this section may be barred from acting as
a lobbyist for a period of one year from the date of the conviction. For
the purposes of this subdivision, the chief administrative officer of
any organization required to file a statement or report shall be the
person responsible for making and filing such statement or report unless
some other person prior to the due date thereof has been duly designated
to make and file such statement or report.
S 8-b. Section 1-p of the legislative law is amended by adding a new
subdivision (d) to read as follows:
(D) NOTWITHSTANDING ANY OTHER PROVISION OF LAW, IF THE COMMISSION HAS
A REASONABLE BASIS TO BELIEVE THAT ANY PERSON SUBJECT TO THE JURISDIC-
TION OF THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION OR THE JOINT
LEGISLATIVE COMMISSION ON ETHICS STANDARDS MAY HAVE VIOLATED ANY
PROVISION OF SECTION SEVENTY-THREE OR SEVENTY-FOUR OF THE PUBLIC OFFI-
CERS LAW OR THAT ANY PERSON SUBJECT TO THE JURISDICTION OF THE STATE
BOARD OF ELECTIONS MAY HAVE VIOLATED ARTICLE FOURTEEN OF THE ELECTION
LAW, IT SHALL REFER SUCH VIOLATION TO THE EXECUTIVE ETHICS AND COMPLI-
ANCE COMMISSION OR THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS,
AS APPROPRIATE, UNLESS THE COMMISSION DETERMINES THAT SUCH A REFERRAL
WOULD COMPROMISE THE PROSECUTION OR CONFIDENTIALITY OF ITS INVESTI-
GATIONS AND, IF SO, SHALL MAKE A REFERRAL AS SOON AS PRACTICABLE. THE
REFERRAL BY THE COMMISSION TO SUCH ENTITIES SHALL INCLUDE ANY INFORMA-
TION RELATING THERETO COMING INTO THE CUSTODY OR CONTROL OF THE COMMIS-
SION AT ANY TIME PRIOR OR SUBSEQUENT TO THE REFERRAL.
S 9. Section 80 of the legislative law is REPEALED and two new
sections 80 and 81 are added to read as follows:
S 80. LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS. 1. OFFICE ESTAB-
LISHED. THERE IS ESTABLISHED A LEGISLATIVE OFFICE OF ETHICS INVESTI-
GATIONS FOR THE PURPOSE OF ASSISTING THE LEGISLATURE IN CARRYING OUT ITS
INVESTIGATORY AND ENFORCEMENT RESPONSIBILITIES WITH REGARD TO ITS
ETHICAL STANDARDS AND RECEIVING REFERRALS OF COMPLAINTS FOR INVESTI-
GATION FROM THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS AND
FROM THE STANDING COMMITTEES ON ETHICS OF THE SENATE AND ASSEMBLY, AND
RECEIVING COMPLAINTS FROM THE PUBLIC.
2. THE GOVERNING BOARD. (A) THE OFFICE SHALL BE GOVERNED BY A BOARD
CONSISTING OF EIGHT INDIVIDUALS OF WHOM TWO SHALL BE APPOINTED BY THE
SPEAKER OF THE ASSEMBLY; TWO SHALL BE APPOINTED BY THE MINORITY LEADER
OF THE ASSEMBLY; TWO SHALL BE APPOINTED BY THE TEMPORARY PRESIDENT OF
THE SENATE; AND TWO SHALL BE APPOINTED BY THE MINORITY LEADER OF THE
SENATE.
(B) THE LEGISLATIVE LEADERS EACH SHALL APPOINT INDIVIDUALS WHO ARE
QUALIFIED TO SERVE ON THE BOARD BY VIRTUE OF THEIR EDUCATION, TRAINING
OR EXPERIENCE IN ONE OR MORE OF THE FOLLOWING DISCIPLINES OR PROCESSES:
LEGISLATIVE, JUDICIAL, ADMINISTRATIVE, PROFESSIONAL ETHICS, BUSINESS,
LEGAL, AND ACADEMIC.
(C) THE SPEAKER AND THE TEMPORARY PRESIDENT OF THE SENATE SHALL EACH
DESIGNATE ONE MEMBER OF THE BOARD AS CO-CHAIRPERSON.
S. 2794 18
(D) NO INDIVIDUAL SHALL BE ELIGIBLE FOR APPOINTMENT TO, OR SERVICE ON,
THE BOARD WHO CURRENTLY OR WITHIN THE LAST FIVE YEARS:
(I) IS REQUIRED TO REGISTER AS A LOBBYIST OR HAS BEEN A LOBBYIST IN
NEW YORK STATE OR IN ANY OTHER JURISDICTION;
(II) IS OR HAS BEEN A CANDIDATE FOR A POSITION IN THE NEW YORK STATE
LEGISLATURE;
(III) IS OR HAS BEEN A MEMBER, OFFICER, OR EMPLOYEE OF THE NEW YORK
STATE LEGISLATURE; OR
(IV) IS OR HAS BEEN A POLITICAL PARTY CHAIRMAN, AS DEFINED IN PARA-
GRAPH (K) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC
OFFICERS LAW.
(E) NO BOARD MEMBER SHALL BE CURRENTLY A STATEWIDE ELECTED OFFICIAL OR
AN OFFICER OR EMPLOYEE OF THE NEW YORK STATE GOVERNMENT.
(F) THE TERM OF A BOARD MEMBER SHALL BE FOUR YEARS.
(G) BOARD MEMBERS SHALL RECEIVE A PER DIEM ALLOWANCE IN THE SUM OF ONE
HUNDRED DOLLARS FOR EACH DAY ACTUALLY SPENT IN THE PERFORMANCE OF HIS OR
HER DUTIES UNDER THIS ARTICLE, NOT EXCEEDING, HOWEVER, THE SUM OF FIVE
THOUSAND DOLLARS IN ANY CALENDAR YEAR, AND, IN ADDITION THERETO, SHALL
BE REIMBURSED FOR ALL REASONABLE EXPENSES ACTUALLY AND NECESSARILY
INCURRED BY HIM OR HER IN THE PERFORMANCE OF HIS OR HER DUTIES UNDER
THIS ARTICLE.
(H) A MAJORITY OF THE MEMBERS OF THE BOARD WITHOUT VACANCY SHALL
CONSTITUTE A QUORUM.
(I) THE BOARD SHALL MEET AT THE CALL OF THE CHAIRPERSONS OR FOUR OF
ITS MEMBERS PURSUANT TO ITS RULES.
(J) ANY VACANCY OCCURRING ON THE BOARD SHALL BE FILLED WITHIN SIXTY
DAYS BY THE APPOINTING AUTHORITY.
3. POWERS AND DUTIES OF THE BOARD. THE BOARD IS AUTHORIZED AND
DIRECTED TO:
(A) APPOINT AN EXECUTIVE DIRECTOR FOR A TERM OF THREE YEARS, WHO SHALL
BE DISMISSED ONLY FOR CAUSE BY A MAJORITY VOTE OF THE BOARD, APPOINT
SUCH OTHER STAFF AS ARE NECESSARY TO ASSIST IT TO CARRY OUT ITS DUTIES
UNDER THIS SECTION AND ENTER INTO CONTRACTS FOR SERVICES AS ARE NECES-
SARY TO ASSIST IT TO CARRY OUT ITS DUTIES UNDER THIS SECTION;
(B) RECEIVE AND ACT ON SWORN COMPLAINTS REGARDING PERSONS SUBJECT TO
ITS JURISDICTION ALLEGING A POSSIBLE VIOLATION OF SECTION SEVENTY-THREE,
SEVENTY-THREE-A, OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, AND CONDUCT
SUCH INVESTIGATIONS AND PROCEEDINGS AS ARE AUTHORIZED AND NECESSARY TO
CARRY OUT THE PROVISIONS OF THIS SECTION. IN CONNECTION WITH SUCH INVES-
TIGATIONS, THE BOARD MAY ADMINISTER OATHS OR AFFIRMATIONS, SUBPOENA
WITNESSES, COMPEL THEIR ATTENDANCE AND REQUIRE THE PRODUCTION OF ANY
BOOKS OR RECORDS WHICH IT MAY DEEM RELEVANT OR MATERIAL;
(C) RECEIVE AND ACT ON, AS IF IT WERE A SWORN COMPLAINT, ANY REFERRALS
FROM THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS OR THE STAND-
ING COMMITTEES ON ETHICS OF THE SENATE AND ASSEMBLY;
(D) RECEIVE AND ACT ON, AS IF IT WERE A SWORN COMPLAINT, ANY REFERRAL
FROM ANOTHER OVERSIGHT BODY INDICATING THAT A VIOLATION OF SECTION
SEVENTY-THREE OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW MAY HAVE
OCCURRED INVOLVING PERSONS SUBJECT TO THE JURISDICTION OF THE LEGISLA-
TIVE OFFICE OF ETHICS INVESTIGATIONS;
(E) DELIVER TO THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS A
REPORT ON THE BOARD'S FINDINGS AND DETERMINATIONS REGARDING ANY ALLEGED
VIOLATIONS OF SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
OF THE PUBLIC OFFICERS LAW AND DELIVER TO THE STANDING COMMITTEES ON
ETHICS OF THE SENATE OR ASSEMBLY, AS APPROPRIATE, A REPORT ON THE
S. 2794 19
BOARD'S FINDINGS AND DETERMINATIONS REGARDING ANY COMPLAINT REFERRED TO
IT BY THE COMMITTEES; AND
(F) ADOPT RULES TO CARRY OUT ITS DUTIES CONSISTENT WITH THE PROVISIONS
OF SUBDIVISION FOUR OF THIS SECTION.
4. PROCEDURE. (A) PRELIMINARY REVIEW. (I) UPON RECEIPT OF A WRITTEN
SWORN COMPLAINT OR REFERRAL PURSUANT TO SUBDIVISION THREE OF THIS
SECTION, THE GOVERNING BOARD SHALL, WITHIN TEN CALENDAR DAYS:
(A) INITIATE A PRELIMINARY REVIEW OF ANY ALLEGED VIOLATION BY A MEMBER
OF THE LEGISLATURE, OFFICER, OR LEGISLATIVE EMPLOYEE OF SECTION SEVEN-
TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW,
AND ANY OTHER MATTER REFERRED TO IT BY THE ASSEMBLY OR SENATE STANDING
COMMITTEE ON ETHICS OR THE JOINT LEGISLATIVE COMMISSION ON ETHICS STAND-
ARDS PURSUANT TO SUBDIVISION THREE OF THIS SECTION;
(B) NOTIFY IN WRITING THE JOINT LEGISLATIVE COMMISSION ON ETHICS STAN-
DARDS OR THE APPROPRIATE STANDING COMMITTEE ON ETHICS AND THE COMPLAIN-
ANT, IF THERE IS ONE, THAT THE PRELIMINARY REVIEW HAS COMMENCED; AND
(C) NOTIFY IN WRITING ANY INDIVIDUAL WHO IS THE SUBJECT OF SUCH
PRELIMINARY REVIEW AND PROVIDE SUCH INDIVIDUAL WITH A DESCRIPTION OF THE
POSSIBLE OR ALLEGED VIOLATION AND A COPY OF ITS RULES AND PROCEDURES,
WHICH SHALL INCLUDE THE DUE PROCESS PROCEDURAL MECHANISMS AVAILABLE TO
SUCH INDIVIDUAL AND THE OPPORTUNITY FOR SUCH INDIVIDUAL TO SUBMIT A
WRITTEN RESPONSE IN ACCORDANCE WITH SUBPARAGRAPH (II) OF THIS PARAGRAPH.
(II) THE INDIVIDUAL WHO IS THE SUBJECT OF THE PRELIMINARY REVIEW SHALL
HAVE THE OPPORTUNITY TO SUBMIT WITHIN FIFTEEN CALENDAR DAYS OF RECEIPT
OF NOTICE PURSUANT TO CLAUSE (C) OF SUBPARAGRAPH (I) OF THIS PARAGRAPH,
A WRITTEN RESPONSE SETTING FORTH INFORMATION RELATING TO THE ACTIVITIES
CITED AS A POSSIBLE OR ALLEGED VIOLATION OF LAW.
(III) THE GOVERNING BOARD SHALL, WITHIN FORTY-FIVE CALENDAR DAYS AFTER
RECEIPT OF A WRITTEN COMPLAINT OR REFERRAL UNDER SUBPARAGRAPH (I) OF
THIS PARAGRAPH, COMPLETE ITS PRELIMINARY REVIEW AND SHALL VOTE ON WHETH-
ER TO COMMENCE A SECOND PHASE REVIEW OF THE MATTER UNDER CONSIDERATION.
(IV) NOTWITHSTANDING THE PROVISIONS OF SUBPARAGRAPHS (I), (II) AND
(III) OF THIS PARAGRAPH, THE GOVERNING BOARD MAY TERMINATE A PRELIMINARY
REVIEW BY AN AFFIRMATIVE VOTE OF NOT LESS THAN FIVE MEMBERS AT ANY TIME
WITHIN THE APPLICABLE FORTY-FIVE CALENDAR DAYS UPON ITS DETERMINATION
THAT THE ALLEGED VIOLATION UNDER REVIEW IS DE MINIMIS IN NATURE OR
CURED. UPON THE TERMINATION OF A PRELIMINARY REVIEW PURSUANT TO THIS
SUBPARAGRAPH OR SUBPARAGRAPH (III) OF THIS PARAGRAPH, THE GOVERNING
BOARD SHALL NOTIFY, IN WRITING, THE JOINT LEGISLATIVE COMMISSION ON
ETHICS STANDARDS OR THE APPROPRIATE STANDING COMMITTEE ON ETHICS, THE
COMPLAINANT, IF THERE IS ONE, AND THE INDIVIDUAL WHO WAS THE SUBJECT OF
SUCH PRELIMINARY REVIEW, OF SUCH TERMINATION. UPON SUCH TERMINATION, THE
GOVERNING BOARD SHALL NOT DISCLOSE ANY MATERIALS OR INFORMATION RELATED
TO SUCH PRELIMINARY REVIEW.
(B) SECOND-PHASE REVIEW. (I) UPON THE AFFIRMATIVE VOTE OF NOT LESS
THAN FOUR GOVERNING BOARD MEMBERS TO COMMENCE A SECOND-PHASE REVIEW,
WRITTEN NOTICE OF THE GOVERNING BOARD'S DECISION SHALL BE PROVIDED TO
THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS OR THE APPROPRIATE
STANDING COMMITTEE ON ETHICS, AND TO THE INDIVIDUAL WHO IS THE SUBJECT
OF SUCH SECOND-PHASE REVIEW. SUCH WRITTEN NOTICE SHALL INCLUDE A COPY OF
THE GOVERNING BOARD'S RULES AND PROCEDURES AND SHALL ALSO INCLUDE
NOTIFICATION OF SUCH INDIVIDUAL'S RIGHT TO BE HEARD WITHIN THIRTY CALEN-
DAR DAYS OF THE DATE OF THE GOVERNING BOARD'S WRITTEN NOTICE.
(II) THE GOVERNING BOARD MAY HOLD SUCH HEARINGS AS MAY BE NECESSARY
AND SIT AND ACT ONLY IN EXECUTIVE SESSION AT SUCH TIMES AND PLACES AND
SOLICIT SUCH TESTIMONY AND RECEIVE SUCH RELEVANT EVIDENCE AS MAY BE
S. 2794 20
NECESSARY TO CARRY OUT ITS DUTIES. THE BOARD SHALL PROVIDE THE INDIVID-
UAL WHO IS THE SUBJECT OF THE REVIEW THE OPPORTUNITY TO BE HEARD ON THE
MATTER WITHIN THIRTY CALENDAR DAYS OF SUCH WRITTEN NOTICE.
(III) NOT LATER THAN FORTY-FIVE CALENDAR DAYS AFTER THE GOVERNING
BOARD'S DECISION TO COMMENCE A SECOND-PHASE REVIEW, THE GOVERNING BOARD
SHALL PRESENT A WRITTEN REPORT TO THE JOINT LEGISLATIVE COMMISSION ON
ETHICS STANDARDS OR THE APPROPRIATE STANDING COMMITTEE ON ETHICS AND
DELIVER A COPY OF THE REPORT TO THE INDIVIDUAL WHO IS THE SUBJECT OF THE
REVIEW. SUCH WRITTEN REPORT SHALL INCLUDE:
(A) A STATEMENT THAT THE MATTER REQUIRES FURTHER REVIEW BY SUCH
COMMITTEE OR COMMISSION, AS APPROPRIATE; OR
(B) A RECOMMENDATION THAT THE MATTER UNDER REVIEW BE DISMISSED BY SUCH
COMMITTEE OR COMMISSION IN ACCORDANCE WITH PARAGRAPH (C) OF THIS SUBDI-
VISION; OR
(C) A STATEMENT THAT THE GOVERNING BOARD IS UNABLE TO RECOMMEND ACTION
BECAUSE OF A TIE VOTE. SUCH STATEMENT SHALL INCLUDE THE NUMBER OF
MEMBERS VOTING IN THE AFFIRMATIVE AND NEGATIVE AND A STATEMENT OF THE
NATURE OF THE REVIEW; AND
(D) A SUMMARY OF THE GOVERNING BOARD'S FINDINGS OF FACT.
(IV) THE GOVERNING BOARD SHALL ALSO TRANSMIT TO THE JOINT LEGISLATIVE
COMMISSION ON ETHICS STANDARDS OR THE APPROPRIATE STANDING COMMITTEE ON
ETHICS; CITATIONS TO ANY RELEVANT LAW, RULE, REGULATION OR STANDARD OF
CONDUCT; THE NAMES OF ALL WITNESSES; COPIES OF ANY DOCUMENTS SUBMITTED;
ANY CONCLUSIONS REGARDING THE VALIDITY OF THE ALLEGATIONS UPON WHICH THE
COMPLAINT OR REFERRAL IS BASED; AND A DESCRIPTION OF ANY RELEVANT INFOR-
MATION THAT THE GOVERNING BOARD WAS UNABLE TO OBTAIN AND WITNESSES IT
WAS UNABLE TO INTERVIEW, AND THE REASONS THEREFOR.
(V) THE GOVERNING BOARD MAY, BY AN AFFIRMATIVE VOTE OF A MAJORITY OF
ITS MEMBERS, EXTEND THE PERIOD TO PRESENT A WRITTEN REPORT PURSUANT TO
SUBPARAGRAPH (III) OF THIS PARAGRAPH FOR ONE ADDITIONAL PERIOD OF NOT
MORE THAN FOURTEEN CALENDAR DAYS.
(C) RECOMMENDATION TO DISMISS. PURSUANT TO CLAUSE (B) OF SUBPARAGRAPH
(III) OF PARAGRAPH (B) OF THIS SUBDIVISION, THE GOVERNING BOARD MAY, BY
AN AFFIRMATIVE VOTE OF NOT LESS THAN FOUR MEMBERS, RECOMMEND TO THE
JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS OR THE APPROPRIATE
STANDING COMMITTEE ON ETHICS THAT THE MATTER UNDER SECOND-PHASE REVIEW
BE DISMISSED. SUCH RECOMMENDATION TO SUCH COMMITTEE OR COMMISSION MAY BE
BASED ON ANY GROUND INCLUDING, BUT NOT LIMITED TO, ITS DETERMINATION
THAT THE ALLEGED VIOLATION:
(I) WAS DE MINIMIS IN NATURE;
(II) WAS CURED; OR
(III) SHOULD BE RESOLVED PURSUANT TO A SETTLEMENT AGREEMENT.
ANY MATTER SO DISMISSED BY SUCH COMMITTEE OR COMMISSION SHALL BE DEEMED
A PRELIMINARY REVIEW TERMINATION PURSUANT TO SUBPARAGRAPH (IV) OF PARA-
GRAPH (A) OF THIS SUBDIVISION, PROVIDED THAT SUCH COMMITTEE OR COMMIS-
SION SHALL MAKE PUBLIC THE TERMS OF ANY SETTLEMENT OR COMPROMISE WHICH
INCLUDES A FINE, PENALTY OR OTHER REMEDY.
(D) ADOPTION OF RULES. THE GOVERNING BOARD SHALL ADOPT RULES TO CARRY
OUT ITS DUTIES, WHICH SHALL INCLUDE, BUT NOT BE LIMITED TO, THE FOLLOW-
ING:
(I) A RULE REQUIRING THAT ALL WITNESSES SIGN A STATEMENT ACKNOWLEDGING
THE UNDERSTANDING THAT FALSE TESTIMONY AND THE SUBMISSION OF FALSE DOCU-
MENTS CONSTITUTES PERJURY AND IS PUNISHABLE BY LAW.
(II) A RULE REQUIRING THAT THERE BE NO EX PARTE COMMUNICATIONS BETWEEN
ANY MEMBER OF THE GOVERNING BOARD OR STAFF OF THE OFFICE AND ANY INDI-
VIDUAL WHO IS THE SUBJECT OF ANY REVIEW BY THE GOVERNING BOARD OR
S. 2794 21
BETWEEN ANY MEMBER OR STAFF AND ANY INTERESTED PARTY, AND THAT NO MEMBER
OR OFFICER OF THE LEGISLATURE, OR LEGISLATIVE EMPLOYEE MAY COMMUNICATE
WITH ANY MEMBER OF THE GOVERNING BOARD OR STAFF OF THE OFFICE REGARDING
ANY MATTER UNDER REVIEW BY THE GOVERNING BOARD EXCEPT AS AUTHORIZED BY
THE BOARD.
(III) A RULE THAT ESTABLISHES A CODE OF CONDUCT TO GOVERN THE BEHAVIOR
OF ITS MEMBERS AND STAFF, WHICH SHALL INCLUDE THE AVOIDANCE OF CONFLICTS
OF INTEREST.
5. REQUESTS FROM THE ASSEMBLY OR SENATE STANDING COMMITTEE ON ETHICS.
IN ADDITION TO REFERRALS OF POSSIBLE VIOLATIONS OF SECTION
SEVENTY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS
LAW, THE ASSEMBLY OR SENATE STANDING COMMITTEE ON ETHICS MAY REQUEST
THAT THE BOARD REVIEW AND CONDUCT AN INVESTIGATION OF ANY MATTER OR
ASPECT OF ANY MATTER BEFORE THE COMMITTEE. NOTWITHSTANDING ANY OTHER
PROVISIONS OF THIS SECTION, UPON RECEIPT OF A WRITTEN REQUEST FROM THE
APPROPRIATE COMMITTEE THAT THE BOARD CEASE ITS REVIEW OF ANY MATTER
OTHER THAN A REFERRAL OF AN ALLEGED VIOLATION OF SECTIONS SEVENTY-THREE,
SEVENTY-THREE-A, AND SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW AND REFER
SUCH MATTER TO THE COMMITTEE BECAUSE OF THE ONGOING INVESTIGATION OF
SUCH MATTER BY THE COMMITTEE, THE BOARD SHALL REFER SUCH MATTER BACK TO
THE COMMITTEE AND CEASE ITS PRELIMINARY OR SECOND-PHASE REVIEW, AS
APPLICABLE, OF THAT MATTER AND SO NOTIFY ANY INDIVIDUAL WHO IS THE
SUBJECT OF THE REVIEW. IN ANY SUCH CASE, THE BOARD SHALL SEND A WRITTEN
REPORT TO THE COMMITTEE CONTAINING A STATEMENT THAT, UPON THE REQUEST OF
THAT COMMITTEE, THE MATTER IS REFERRED TO IT FOR ITS CONSIDERATION, BUT
NOT ANY FINDINGS. SUCH REPORT SHALL BE SUBJECT TO THE PROVISIONS OF
SUBPARAGRAPH (IV) OF PARAGRAPH (A) OF SUBDIVISION SEVEN OF THIS SECTION.
6. LIMITATIONS ON REVIEW. (A) NO REVIEW SHALL BE UNDERTAKEN BY THE
BOARD OF ANY ALLEGED VIOLATION OF LAW, RULE, REGULATION OR STANDARD OF
CONDUCT NOT IN EFFECT AT THE TIME OF THE ALLEGED VIOLATION.
(B) IF THE BOARD IS AWARE OR BECOMES AWARE THAT ALLEGED CRIMINAL
CONDUCT WHICH MIGHT ALSO VIOLATE SECTION SEVENTY-THREE, SEVENTY-THREE-A
OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW IS UNDER INVESTIGATION BY A
FEDERAL, STATE, OR LOCAL LAW ENFORCEMENT AGENCY OR IS BEING PROSECUTED
IN STATE OR FEDERAL COURT, IT SHALL HOLD THE MATTER IN ABEYANCE UNTIL
THE CRIMINAL MATTER IS RESOLVED.
7. PROHIBITION ON PUBLIC DISCLOSURE. (A) (I) WHEN AN INDIVIDUAL
BECOMES A MEMBER OF THE BOARD OR STAFF OF THE OFFICE, THAT INDIVIDUAL
SHALL BE REQUIRED TO SIGN A NON-DISCLOSURE STATEMENT.
(II) NO TESTIMONY RECEIVED OR ANY OTHER INFORMATION OBTAINED BY A
MEMBER OF THE BOARD OR STAFF OF THE OFFICE SHALL BE DISCLOSED BY ANY
SUCH INDIVIDUAL TO ANY PERSON OR ENTITY OUTSIDE THE OFFICE. ANY CONFI-
DENTIAL COMMUNICATION TO ANY PERSON OR ENTITY OUTSIDE THE OFFICE RELATED
TO THE MATTERS BEFORE THE BOARD MAY OCCUR ONLY AS AUTHORIZED BY THE
BOARD AS NECESSARY TO CONDUCT OFFICIAL BUSINESS OR PURSUANT TO BOARD
RULES.
(III) THE OFFICE SHALL ESTABLISH PROCEDURES NECESSARY TO PREVENT THE
UNAUTHORIZED DISCLOSURE OF ANY INFORMATION RECEIVED BY ANY MEMBER OF THE
BOARD OR STAFF OF THE OFFICE. ANY BREACHES OF CONFIDENTIALITY SHALL BE
INVESTIGATED BY THE BOARD AND APPROPRIATE ACTION SHALL BE TAKEN.
(IV) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC OFFI-
CERS LAW, THE RECORDS OF THE BOARD ARE CONFIDENTIAL AND SHALL BE
DISCLOSED ONLY AS EXPRESSLY PROVIDED OTHERWISE BY THIS SECTION OR THE
BOARD.
S. 2794 22
(V) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SEVEN OF THE PUBLIC
OFFICERS LAW, NO MEETING OF THE BOARD SHALL BE OPEN TO THE PUBLIC EXCEPT
IF EXPRESSLY PROVIDED OTHERWISE BY THIS SECTION OR THE BOARD.
(B) PARAGRAPH (A) OF THIS SUBDIVISION SHALL NOT PRECLUDE BOARD MEMBERS
OR THE BOARD'S STAFF FROM PRESENTING A REPORT OR FINDINGS OR TESTIFYING
BEFORE THE ASSEMBLY OR SENATE STANDING COMMITTEE ON ETHICS OR TO THE
JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS RELATING TO OFFICIAL
CONDUCT OF ANY MEMBER, OFFICER, OR LEGISLATIVE EMPLOYEE.
8. PRESENTATION OF REPORTS. WHENEVER THE BOARD TRANSMITS ANY REPORT
TO A STANDING COMMITTEE ON ETHICS OR TO THE JOINT LEGISLATIVE COMMISSION
ON ETHICS STANDARDS RELATING TO OFFICIAL CONDUCT OF ANY MEMBER, OFFICER,
OR LEGISLATIVE EMPLOYEE, IT SHALL DESIGNATE A MEMBER OF THE BOARD OR
STAFF TO PRESENT THE REPORT TO SUCH COMMITTEE OR COMMISSION IF REQUESTED
BY SUCH COMMITTEE OR COMMISSION.
9. REIMBURSEMENTS. THE BOARD MAY REIMBURSE ITS MEMBERS AND STAFF FOR
TRAVEL, SUBSISTENCE, AND OTHER NECESSARY EXPENSES INCURRED BY THEM IN
THE PERFORMANCE OF THEIR DUTIES IN THE SAME MANNER AS IS PERMISSIBLE FOR
SUCH EXPENSES OF LEGISLATIVE EMPLOYEES.
10. (A) PUBLIC DISCLOSURE. NOT LATER THAN FORTY-FIVE CALENDAR DAYS
AFTER RECEIPT FROM THE BOARD OF A WRITTEN REPORT AND ANY FINDINGS AND
SUPPORTING DOCUMENTATION REGARDING A MATTER BEFORE THE BOARD, THE CHAIR-
PERSON OF THE ASSEMBLY OR SENATE STANDING COMMITTEE ON ETHICS OR THE
CHAIRPERSONS OF THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS, AS
APPROPRIATE, SHALL MAKE PUBLIC THE WRITTEN REPORT OF THE BOARD UNLESS
THE COMMITTEE OR COMMISSION, AS APPROPRIATE, DECIDES TO WITHHOLD SUCH
INFORMATION FOR NOT MORE THAN ONE ADDITIONAL PERIOD OF THE SAME DURA-
TION, IN WHICH CASE THE CHAIRPERSON OR CHAIRPERSONS SHALL UPON THE
TERMINATION OF SUCH ADDITIONAL PERIOD, MAKE PUBLIC THE WRITTEN REPORT,
AND UPON THE DAY OF SUCH DECISION OR VOTE, MAKE A PUBLIC STATEMENT THAT
THE COMMITTEE OR COMMISSION, AS APPROPRIATE, HAS VOTED TO EXTEND THE
MATTER RELATING TO THE REFERRAL MADE BY THE BOARD REGARDING THE INDIVID-
UAL WHO IS THE SUBJECT OF THE APPLICABLE REFERRAL.
(B) AT LEAST ONE CALENDAR DAY BEFORE THE COMMITTEE OR COMMISSION, AS
APPROPRIATE, MAKES PUBLIC ANY WRITTEN REPORT AND FINDINGS OF THE BOARD,
THE CHAIRPERSON OR CHAIRPERSONS SHALL NOTIFY SUCH BOARD AND THE INDIVID-
UAL WHO IS THE SUBJECT OF THE INVESTIGATION OF THAT FACT AND TRANSMIT TO
SUCH INDIVIDUAL A COPY OF THE STATEMENT ON THE COMMITTEE'S OR COMMIS-
SION'S DISPOSITION OF, AND ANY COMMITTEE REPORT ON, THE MATTER.
11. NOTWITHSTANDING PARAGRAPH (A) OF SUBDIVISION TEN OF THIS SECTION,
IF THE COMMITTEE OR COMMISSION, AS APPROPRIATE, VOTES TO DISMISS A
MATTER WHICH IS THE SUBJECT OF A REFERRAL FROM THE BOARD, THE COMMITTEE
OR COMMISSION IS NOT REQUIRED TO MAKE PUBLIC THE WRITTEN REPORT
DESCRIBED IN SUCH SUBDIVISION UNLESS THE COMMITTEE'S OR COMMISSION'S
VOTE IS INCONSISTENT WITH THE RECOMMENDATION OF THE BOARD. FOR PURPOSES
OF THE PREVIOUS SENTENCE, A VOTE BY THE COMMITTEE OR COMMISSION TO
DISMISS A MATTER IS NOT INCONSISTENT WITH A REPORT FROM THE BOARD
RESPECTING THE MATTER AS UNRESOLVED DUE TO A TIE VOTE.
12. NOTWITHSTANDING PARAGRAPH (A) OF SUBDIVISION TEN OF THIS SECTION,
IF THE BOARD TRANSMITS A REPORT RESPECTING ANY MATTER WITH A RECOMMENDA-
TION TO DISMISS OR AS UNRESOLVED DUE TO A TIE VOTE, AND THE COMMITTEE OR
COMMISSION VOTES TO EXTEND THE MATTER FOR AN ADDITIONAL PERIOD AS
PROVIDED IN SUBDIVISION TEN OF THIS SECTION, THE COMMITTEE OR COMMISSION
IS NOT REQUIRED TO MAKE A PUBLIC STATEMENT THAT THE COMMITTEE OR COMMIS-
SION HAS VOTED TO EXTEND THE MATTER. EXCEPT AS OTHERWISE PROVIDED, THE
REPORT SHALL BE MADE PUBLIC.
S. 2794 23
13. IF THE COMMISSION OR COMMITTEE IS AWARE THAT ALLEGED CRIMINAL
CONDUCT WHICH MIGHT ALSO VIOLATE SECTION SEVENTY-THREE, SEVENTY-THREE-A
OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW IS UNDER INVESTIGATION BY A
FEDERAL, STATE, OR LOCAL LAW ENFORCEMENT AGENCY OR IS BEING PROSECUTED
IN LOCAL, STATE OR FEDERAL COURT, IT SHALL HOLD THE MATTER IN ABEYANCE
UNTIL THE CRIMINAL MATTER IS RESOLVED.
S 81. JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS. A. THERE IS
ESTABLISHED A JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS WHICH
SHALL CONSIST OF EIGHT MEMBERS AND WHICH SHALL BE RESPONSIBLE FOR TRAIN-
ING, EDUCATION, AND ADVICE REGARDING SECTIONS SEVENTY-THREE,
SEVENTY-THREE-A AND SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW AND REVIEW
THE ENFORCEMENT OF SUCH SECTIONS. FOUR MEMBERS SHALL BE MEMBERS OF THE
LEGISLATURE AND SHALL BE APPOINTED AS FOLLOWS: ONE BY THE TEMPORARY
PRESIDENT OF THE SENATE, ONE BY THE SPEAKER OF THE ASSEMBLY, ONE BY THE
MINORITY LEADER OF THE SENATE AND ONE BY THE MINORITY LEADER OF THE
ASSEMBLY. THE REMAINING FOUR MEMBERS SHALL NOT BE PRESENT OR FORMER
MEMBERS OF THE LEGISLATURE AND SHALL NOT BE AND SHALL NOT HAVE BEEN IN
THE PREVIOUS FIVE YEARS, CANDIDATES FOR MEMBER OF THE LEGISLATURE,
EMPLOYEES OF THE LEGISLATURE, OR PERSONS WHO HAVE BEEN EMPLOYEES OF THE
LEGISLATURE, POLITICAL PARTY CHAIRMEN AS DEFINED IN PARAGRAPH (K) OF
SUBDIVISION ONE OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, OR
LOBBYISTS REQUIRED TO REGISTER IN NEW YORK STATE OR ANY OTHER JURISDIC-
TION. THE FOUR MEMBERS WHO ARE NOT LEGISLATORS SHALL BE APPOINTED AS
FOLLOWS: ONE BY THE TEMPORARY PRESIDENT OF THE SENATE, ONE BY THE SPEAK-
ER OF THE ASSEMBLY, ONE BY THE MINORITY LEADER OF THE SENATE, AND ONE BY
THE MINORITY LEADER OF THE ASSEMBLY. THE COMMISSION SHALL SERVE AS
DESCRIBED IN THIS SECTION AND HAVE AND EXERCISE THE POWERS AND DUTIES
SET FORTH IN THIS SECTION ONLY WITH RESPECT TO MEMBERS OF THE LEGISLA-
TURE, LEGISLATIVE EMPLOYEES AS DEFINED IN SECTION SEVENTY-THREE OF THE
PUBLIC OFFICERS LAW, CANDIDATES FOR MEMBER OF THE LEGISLATURE AND INDI-
VIDUALS WHO HAVE FORMERLY HELD SUCH POSITIONS OR WHO HAVE FORMERLY BEEN
SUCH CANDIDATES.
B. MEMBERS OF THE LEGISLATURE WHO SERVE ON THE COMMISSION SHALL EACH
HAVE A TWO YEAR TERM CONCURRENT WITH THEIR LEGISLATIVE TERMS OF OFFICE.
THE MEMBERS OF THE COMMISSION WHO ARE NOT MEMBERS OF THE LEGISLATURE AND
WHO ARE FIRST APPOINTED BY THE TEMPORARY PRESIDENT OF THE SENATE, SPEAK-
ER OF THE ASSEMBLY, MINORITY LEADER OF THE SENATE, AND MINORITY LEADER
OF THE ASSEMBLY SHALL SERVE ONE, TWO, THREE AND FOUR YEAR TERMS, RESPEC-
TIVELY. EACH MEMBER OF THE COMMISSION WHO IS NOT A MEMBER OF THE LEGIS-
LATURE SHALL BE APPOINTED THEREAFTER FOR A TERM OF FOUR YEARS AND MAY BE
REMOVED BY THE APPOINTING AUTHORITY FOR SUBSTANTIAL NEGLECT OF DUTY,
MISCONDUCT IN OFFICE, INABILITY TO DISCHARGE THE POWERS OR DUTIES OF THE
OFFICE OR VIOLATIONS OF THIS SECTION AFTER WRITTEN NOTICE AND OPPORTU-
NITY FOR A REPLY.
C. THE TEMPORARY PRESIDENT OF THE SENATE AND THE SPEAKER OF THE ASSEM-
BLY SHALL EACH DESIGNATE ONE MEMBER OF THE COMMISSION AS A CO-CHAIRPER-
SON THEREOF. THE COMMISSION SHALL MEET AT LEAST BI-MONTHLY AND AT SUCH
ADDITIONAL TIMES AS MAY BE CALLED FOR BY THE CO-CHAIRPERSONS JOINTLY OR
ANY FOUR MEMBERS OF THE COMMISSION.
D. ANY VACANCY OCCURRING ON THE COMMISSION SHALL BE FILLED WITHIN
SIXTY DAYS BY THE APPOINTING AUTHORITY.
E. FIVE MEMBERS OF THE COMMISSION SHALL CONSTITUTE A QUORUM, AND THE
COMMISSION SHALL HAVE POWER TO ACT BY MAJORITY VOTE OF THE TOTAL NUMBER
OF MEMBERS OF THE COMMISSION WITHOUT VACANCY.
F. EACH MEMBER OF THE COMMISSION WHO IS NOT A MEMBER OF THE LEGISLA-
TURE SHALL RECEIVE, AS COMPENSATION FOR HIS OR HER SERVICES UNDER THIS
S. 2794 24
ARTICLE, A PER DIEM ALLOWANCE IN THE SUM OF ONE HUNDRED DOLLARS FOR EACH
DAY ACTUALLY SPENT IN THE PERFORMANCE OF HIS OR HER DUTIES UNDER THIS
ARTICLE, NOT EXCEEDING, HOWEVER, THE SUM OF FIVE THOUSAND DOLLARS IN ANY
CALENDAR YEAR, AND, IN ADDITION THERETO, SHALL BE REIMBURSED FOR ALL
REASONABLE EXPENSES ACTUALLY AND NECESSARILY INCURRED BY HIM OR HER IN
THE PERFORMANCE OF HIS OR HER DUTIES UNDER THIS ARTICLE.
G. THE COMMISSION SHALL:
1. APPOINT AN EXECUTIVE DIRECTOR FOR A THREE YEAR TERM WHO SHALL ACT
IN ACCORDANCE WITH THE POLICIES OF THE COMMISSION AND WHO SHALL BE
DISMISSED ONLY FOR CAUSE BY A MAJORITY VOTE OF THE COMMISSION;
2. APPOINT SUCH OTHER STAFF AS ARE NECESSARY TO ASSIST IT TO CARRY
OUT ITS DUTIES UNDER THIS SECTION;
3. ADOPT, AMEND, AND RESCIND POLICIES, RULES AND REGULATIONS CONSIST-
ENT WITH THIS SECTION TO GOVERN PROCEDURES OF THE COMMISSION WHICH SHALL
NOT BE SUBJECT TO THE PROMULGATION AND HEARING REQUIREMENTS OF THE STATE
ADMINISTRATIVE PROCEDURE ACT;
4. ADMINISTER THE PROVISIONS OF THIS SECTION;
5. SPECIFY THE PROCEDURES WHEREBY A PERSON WHO IS REQUIRED TO FILE AN
ANNUAL FINANCIAL DISCLOSURE STATEMENT WITH THE COMMISSION MAY REQUEST AN
ADDITIONAL PERIOD OF TIME WITHIN WHICH TO FILE SUCH STATEMENT, DUE TO
JUSTIFIABLE CAUSE OR UNDUE HARDSHIP; SUCH RULES OR REGULATIONS SHALL
PROVIDE FOR A DATE BEYOND WHICH IN ALL CASES OF JUSTIFIABLE CAUSE OR
UNDUE HARDSHIP NO FURTHER EXTENSION OF TIME WILL BE GRANTED;
6. PROMULGATE GUIDELINES TO ASSIST APPOINTING AUTHORITIES IN DETER-
MINING WHICH PERSONS HOLD POLICY-MAKING POSITIONS FOR PURPOSES OF
SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW AND MAY PROMULGATE
GUIDELINES TO ASSIST FIRMS, ASSOCIATIONS AND CORPORATIONS IN SEPARATING
AFFECTED PERSONS FROM NET REVENUES FOR PURPOSES OF SUBDIVISION TEN OF
SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, AND PROMULGATE GUIDE-
LINES TO ASSIST ANY FIRM, ASSOCIATION OR CORPORATION IN WHICH ANY PRES-
ENT OR FORMER STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR POLITICAL PARTY
CHAIR IS A MEMBER, ASSOCIATE, RETIRED MEMBER, OF COUNSEL OR SHAREHOLDER,
IN COMPLYING WITH THE PROVISIONS OF SUBDIVISION TEN OF SECTION SEVENTY-
THREE OF THE PUBLIC OFFICERS LAW WITH RESPECT TO THE SEPARATION OF SUCH
PRESENT OR FORMER STATEWIDE ELECTED OFFICIAL, STATE OFFICER OR EMPLOYEE,
MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE, OR POLITICAL PARTY
CHAIRMAN FROM THE NET REVENUES OF THE FIRM, ASSOCIATION OR CORPORATION.
SUCH FIRM, ASSOCIATION OR CORPORATION SHALL NOT BE REQUIRED TO ADOPT THE
PROCEDURES CONTAINED IN THE GUIDELINES TO ESTABLISH COMPLIANCE WITH
SUBDIVISION TEN OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, BUT
IF SUCH FIRM, ASSOCIATION OR CORPORATION DOES ADOPT SUCH PROCEDURES, IT
SHALL BE DEEMED TO BE IN COMPLIANCE WITH SUCH SUBDIVISION TEN;
7. MAKE AVAILABLE FORMS FOR FINANCIAL DISCLOSURE STATEMENTS REQUIRED
TO BE FILED PURSUANT TO SUBDIVISION SIX OF SECTION SEVENTY-THREE AND
SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW;
8. REVIEW FINANCIAL DISCLOSURE STATEMENTS IN ACCORDANCE WITH THE
PROVISIONS OF THIS SECTION, PROVIDED HOWEVER, THAT THE COMMISSION MAY
DELEGATE ALL OR PART OF THE REVIEW FUNCTION RELATING TO FINANCIAL
DISCLOSURE STATEMENTS PURSUANT TO SECTIONS SEVENTY-THREE AND
SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW TO THE EXECUTIVE DIRECTOR WHO
SHALL BE RESPONSIBLE FOR COMPLETING STAFF REVIEW OF SUCH STATEMENTS IN A
MANNER CONSISTENT WITH THE TERMS OF THE COMMISSION'S DELEGATION. SUCH
REVIEW SHALL REQUIRE THAT ALL STATEMENTS OF FINANCIAL DISCLOSURE FILED
WITH THE COMMISSION BE EXAMINED TO ENSURE THAT EACH STATEMENT IS FACIAL-
LY COMPLETE AND SIGNED BY THE REPORTING INDIVIDUAL;
S. 2794 25
9. PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO REQUEST THE COMMISSION TO DELETE FROM THE COPY THEREOF MADE
AVAILABLE FOR PUBLIC INSPECTION AND COPYING ONE OR MORE ITEMS OF INFOR-
MATION, WHICH MAY BE DELETED BY THE COMMISSION UPON A FINDING THAT THE
INFORMATION WHICH WOULD OTHERWISE BE REQUIRED TO BE DISCLOSED WILL HAVE
NO MATERIAL BEARING ON THE DISCHARGE OF THE REPORTING PERSON'S OFFICIAL
DUTIES;
10. PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO REQUEST AN EXEMPTION FROM ANY REQUIREMENT TO REPORT ONE OR MORE
ITEMS OF INFORMATION WHICH PERTAIN TO SUCH PERSON'S SPOUSE OR UNEMANCI-
PATED CHILDREN WHICH ITEM OR ITEMS MAY BE EXEMPTED BY THE COMMISSION
UPON A FINDING THAT THE REPORTING INDIVIDUAL'S SPOUSE, ON HIS OR HER OWN
BEHALF OR ON BEHALF OF AN UNEMANCIPATED CHILD, OBJECTS TO PROVIDING THE
INFORMATION NECESSARY TO MAKE SUCH DISCLOSURE AND THAT THE INFORMATION
WHICH WOULD OTHERWISE BE REQUIRED TO BE REPORTED WILL HAVE NO MATERIAL
BEARING ON THE DISCHARGE OF THE REPORTING PERSON'S OFFICIAL DUTIES;
11. ADVISE AND ASSIST THE LEGISLATURE IN ESTABLISHING RULES AND REGU-
LATIONS RELATING TO POSSIBLE CONFLICTS BETWEEN PRIVATE INTERESTS AND
OFFICIAL DUTIES OF PRESENT MEMBERS OF THE LEGISLATURE AND LEGISLATIVE
EMPLOYEES;
12. RECEIVE COMPLAINTS REGARDING PERSONS SUBJECT TO ITS JURISDICTION
ALLEGING A POSSIBLE VIOLATION OF SECTION SEVENTY-THREE, SEVENTY-THREE-A
OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, AND REFER SUCH COMPLAINTS
FOR INVESTIGATION TO THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS AS
WELL AS ANY OTHER POSSIBLE VIOLATIONS OF SUCH SECTIONS BY SUCH PERSONS
THAT THE COMMISSION DETERMINES ON ITS OWN INITIATIVE WARRANTS INVESTI-
GATION;
13. RECEIVE AND REFER AS APPROPRIATE, AS IF IT WERE A SWORN COMPLAINT,
ANY REFERRAL FROM ANOTHER STATE OVERSIGHT BODY INDICATING THAT A
VIOLATION OF SECTION SEVENTY-THREE OR SEVENTY-FOUR OF THE PUBLIC OFFI-
CERS LAW MAY HAVE OCCURRED INVOLVING PERSONS SUBJECT TO THE JURISDICTION
OF THE COMMISSION;
14. UPON WRITTEN REQUEST FROM ANY PERSON WHO IS SUBJECT TO THE JURIS-
DICTION OF THE COMMISSION AND THE REQUIREMENTS OF SECTIONS
SEVENTY-THREE, SEVENTY-THREE-A AND SEVENTY-FOUR OF THE PUBLIC OFFICERS
LAW RENDER FORMAL ADVISORY OPINIONS ON THE REQUIREMENTS OF SAID
PROVISIONS. A FORMAL OPINION RENDERED BY THE COMMISSION, UNTIL AND
UNLESS AMENDED OR REVOKED, SHALL BE BINDING ON THE LEGISLATIVE OFFICE OF
ETHICS INVESTIGATIONS IN ANY SUBSEQUENT PROCEEDING CONCERNING THE PERSON
WHO REQUESTED THE OPINION AND WHO ACTED IN GOOD FAITH, UNLESS MATERIAL
FACTS WERE OMITTED OR MISSTATED BY THE PERSON IN THE REQUEST FOR AN
OPINION. SUCH OPINION MAY ALSO BE RELIED UPON BY SUCH PERSON, AND MAY BE
INTRODUCED AND SHALL BE A DEFENSE IN ANY CRIMINAL OR CIVIL ACTION;
15. ISSUE AND PUBLISH GENERIC ADVISORY OPINIONS COVERING QUESTIONS
FREQUENTLY POSED TO THE COMMISSION, OR QUESTIONS COMMON TO A CLASS OR
DEFINED CATEGORY OF PERSONS, OR THAT WILL TEND TO PREVENT UNDUE REPE-
TITION OF REQUESTS OR UNDUE COMPLICATION, AND WHICH ARE INTENDED TO
PROVIDE GENERAL GUIDANCE AND INFORMATION TO PERSONS SUBJECT TO THE
COMMISSION'S JURISDICTION;
16. DEVELOP EDUCATIONAL MATERIALS AND TRAINING WITH REGARD TO LEGIS-
LATIVE ETHICS FOR MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOYEES;
17. PREPARE AN ANNUAL REPORT TO THE GOVERNOR AND LEGISLATURE SUMMARIZ-
ING THE ACTIVITIES OF THE COMMISSION DURING THE PREVIOUS YEAR AND RECOM-
MENDING ANY CHANGES IN THE LAWS GOVERNING THE CONDUCT OF PERSONS SUBJECT
TO THE JURISDICTION OF THE COMMISSION, OR THE RULES, REGULATIONS AND
PROCEDURES GOVERNING THE COMMISSION'S CONDUCT. SUCH REPORT SHALL BE
S. 2794 26
POSTED ON THE COMMISSION'S WEBSITE AND SHALL INCLUDE: (I) THE NUMBER OF
REPORTING INDIVIDUALS WHOSE FILES WERE REVIEWED PURSUANT TO SUBDIVISION
EIGHTEEN OF THIS SECTION DURING THE PREVIOUS YEAR AND WHICH, IF ANY,
CLASSES WERE SELECTED FOR CLASS REVIEW RATHER THAN RANDOM REVIEW, (II) A
LISTING BY ASSIGNED NUMBER OF EACH COMPLAINT AND REFERRAL RECEIVED WHICH
ALLEGED A POSSIBLE VIOLATION WITHIN ITS JURISDICTION, INCLUDING THE
CURRENT STATUS OF EACH COMPLAINT, AND (III) WHERE A MATTER HAS BEEN
RESOLVED, THE DATE AND NATURE OF THE DISPOSITION AND ANY SANCTION
IMPOSED, SUBJECT TO THE CONFIDENTIALITY REQUIREMENTS OF THIS SECTION.
SUCH ANNUAL REPORT SHALL NOT CONTAIN ANY INFORMATION FOR WHICH DISCLO-
SURE IS NOT PERMITTED PURSUANT TO SUBDIVISION FOURTEEN OF THIS SECTION;
AND
18. PROMULGATE GUIDELINES FOR THE COMMISSION TO CONDUCT A PROGRAM OF
RANDOM REVIEWS, TO BE CARRIED OUT IN THE FOLLOWING MANNER: (I) ANNUAL
STATEMENTS OF FINANCIAL DISCLOSURE SHALL BE SELECTED FOR REVIEW IN A
MANNER PURSUANT TO WHICH THE IDENTITY OF ANY PARTICULAR PERSON WHOSE
STATEMENT IS SELECTED IS UNKNOWN TO THE COMMISSION, ITS STAFF AND TO THE
LEGISLATIVE OFFICE OF ETHICS INVESTIGATION PRIOR TO ITS SELECTION; (II)
SUCH REVIEW SHALL INCLUDE A PRELIMINARY EXAMINATION OF THE SELECTED
STATEMENT FOR INTERNAL CONSISTENCY, A COMPARISON WITH OTHER RECORDS
MAINTAINED BY THE COMMISSION, INCLUDING PREVIOUSLY FILED STATEMENTS AND
REQUESTS FOR ADVISORY OPINIONS, AND EXAMINATION OF RELEVANT PUBLIC
INFORMATION, INCLUDING, BUT NOT LIMITED TO, RECORDS FILED WITH THE
COMMISSION ON LOBBYING ETHICS AND COMPLIANCE AND THE DEPARTMENT OF
STATE; (III) UPON COMPLETION OF THE PRELIMINARY EXAMINATION, THE COMMIS-
SION SHALL DETERMINE WHETHER FURTHER INQUIRY IS WARRANTED, WHEREUPON IT
SHALL NOTIFY THE REPORTING INDIVIDUAL IN WRITING THAT THE STATEMENT IS
UNDER REVIEW, ADVISE THE REPORTING INDIVIDUAL OF THE SPECIFIC AREAS OF
INQUIRY, AND PROVIDE THE REPORTING INDIVIDUAL WITH THE OPPORTUNITY TO
PROVIDE THE COMMISSION WITH ANY RELEVANT INFORMATION RELATED TO THE
SPECIFIC AREAS OF INQUIRY, AND THE OPPORTUNITY TO FILE AMENDMENTS TO THE
SELECTED STATEMENT ON FORMS PROVIDED BY THE COMMISSION; AND (IV) IF
THEREAFTER SUFFICIENT CAUSE EXISTS, THE COMMISSION SHALL REFER THE
MATTER TO THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS; PROVIDED,
HOWEVER IF THE COMMISSION CONDUCTS A REVIEW OF ALL STATEMENTS OF FINAN-
CIAL DISCLOSURE FILED BY A CLASS OF REPORTING INDIVIDUALS IN THE MANNER
SET FORTH IN THIS PARAGRAPH WITH RESPECT TO A GIVEN CALENDAR YEAR, THE
INDIVIDUALS WITHIN SUCH CLASS SHALL NOT BE SUBJECT TO RANDOM REVIEW. FOR
THE PURPOSES OF THIS PARAGRAPH, THE CLASSES OF REPORTING INDIVIDUALS ARE
MEMBERS OF THE LEGISLATURE, CANDIDATES FOR MEMBER OF THE LEGISLATURE,
LEGISLATIVE EMPLOYEES SUBJECT TO THE PROVISIONS OF SECTION
SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW, AND LEGISLATIVE EMPLOYEES
REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT PURSUANT TO SUBDIVI-
SION SIX OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW.
H. THE COMMISSION, OR THE EXECUTIVE DIRECTOR AND STAFF OF THE COMMIS-
SION IF RESPONSIBILITY REGARDING SUCH FINANCIAL DISCLOSURE STATEMENTS
FILED HAS BEEN DELEGATED, SHALL INSPECT ALL FINANCIAL DISCLOSURE STATE-
MENTS FILED WITH THE COMMISSION TO ASCERTAIN WHETHER ANY PERSON SUBJECT
TO THE REPORTING REQUIREMENTS OF SUBDIVISION SIX OF SECTION
SEVENTY-THREE OR SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW HAS
FAILED TO FILE SUCH A STATEMENT, HAS FILED A DEFICIENT STATEMENT OR HAS
FILED A STATEMENT WHICH REVEALS A POSSIBLE VIOLATION OF SECTION SEVEN-
TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW.
I. 1. IF A PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT
WITH THE COMMISSION HAS FAILED TO FILE A FINANCIAL DISCLOSURE STATEMENT
OR HAS FILED A DEFICIENT STATEMENT, THE COMMISSION SHALL NOTIFY THE
S. 2794 27
REPORTING PERSON IN WRITING, STATE THE FAILURE TO FILE OR DETAIL THE
DEFICIENCY, PROVIDE THE PERSON WITH A FIFTEEN DAY PERIOD TO CURE THE
DEFICIENCY, AND ADVISE THE PERSON OF THE PENALTIES FOR FAILURE TO COMPLY
WITH THE REPORTING REQUIREMENTS. SUCH NOTICE SHALL BE CONFIDENTIAL. IF
THE PERSON FAILS TO MAKE SUCH FILING OR FAILS TO CURE THE DEFICIENCY
WITHIN THE SPECIFIED TIME PERIOD, THE COMMISSION SHALL SEND A NOTICE OF
DELINQUENCY: (A) TO THE REPORTING PERSON; (B) IN THE CASE OF A SENATOR,
TO THE TEMPORARY PRESIDENT OF THE SENATE, AND IF A MEMBER OF ASSEMBLY,
TO THE SPEAKER OF THE ASSEMBLY; AND (C) IN THE CASE OF A LEGISLATIVE
EMPLOYEE, TO THE APPOINTING AUTHORITY FOR SUCH PERSON AND TO THE TEMPO-
RARY PRESIDENT OF THE SENATE OR THE SPEAKER OF THE ASSEMBLY, AS APPRO-
PRIATE, WHO HAS JURISDICTION OVER SUCH APPOINTING AUTHORITY. SUCH
NOTICE OF DELINQUENCY MAY BE SENT AT ANY TIME DURING THE REPORTING
PERSON'S SERVICE AS A MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEE
OR WHILE A CANDIDATE FOR MEMBER OF THE LEGISLATURE, OR WITHIN ONE YEAR
AFTER SEPARATION FROM SUCH SERVICE OR THE TERMINATION OF SUCH CANDIDACY.
THE JURISDICTION OF THE COMMISSION, WHEN ACTING PURSUANT TO SUBDIVISION
K OF THIS SECTION WITH RESPECT TO FINANCIAL DISCLOSURE, SHALL CONTINUE
NOTWITHSTANDING THAT THE REPORTING PERSON SEPARATES FROM STATE SERVICE
OR TERMINATES HIS OR HER CANDIDACY, PROVIDED THE COMMISSION NOTIFIES
SUCH PERSON OF THE ALLEGED FAILURE TO FILE OR DEFICIENT FILING PURSUANT
TO THIS SUBDIVISION.
2. IF THE PERSON REQUIRED TO FILE FAILS TO MAKE THE REQUIRED FILING
WITHIN THE FIFTEEN DAYS OF THE NOTICE OF DELINQUENCY, THE COMMISSION
SHALL NOTIFY THE PERSON IN WRITING, DESCRIBE THE ALLEGED VIOLATION THER-
EOF AND PROVIDE THE PERSON WITH A FIFTEEN DAY PERIOD IN WHICH TO SUBMIT
A WRITTEN RESPONSE SETTING FORTH INFORMATION RELATING TO THE ALLEGED
VIOLATION. IF THE COMMISSION THEREAFTER MAKES A DETERMINATION THAT
FURTHER INQUIRY IS JUSTIFIED, IT SHALL GIVE THE PERSON AN OPPORTUNITY
TO BE HEARD. THE COMMISSION SHALL ALSO PROVIDE THE PERSON WITH ITS RULES
REGARDING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND APPEALS AND THE
DUE PROCESS PROCEDURAL MECHANISMS AVAILABLE TO SUCH PERSON. IF THE
COMMISSION DETERMINES AT ANY STAGE OF THE PROCEEDING THAT THERE IS NO
VIOLATION OR THAT SUCH VIOLATION HAS BEEN CURED, IT SHALL SO ADVISE THE
PERSON. ALL OF THE FOREGOING PROCEEDINGS SHALL BE CONFIDENTIAL.
J. 1. IF A REPORTING PERSON HAS FILED A STATEMENT WHICH REVEALS A
POSSIBLE VIOLATION OF SECTION SEVENTY-THREE, SEVENTY-THREE-A OR SEVEN-
TY-FOUR OF THE PUBLIC OFFICERS LAW, OR THE COMMISSION RECEIVES A REFER-
RAL FROM ANOTHER STATE OVERSIGHT BODY, OR THE COMMISSION RECEIVES A
SWORN COMPLAINT ALLEGING SUCH A VIOLATION BY A REPORTING PERSON OR A
LEGISLATIVE EMPLOYEE SUBJECT TO THE PROVISIONS OF SUCH LAWS, OR IF THE
PERSON FAILS TO MAKE THE REQUIRED FILING WITHIN FIFTEEN DAYS OF THE
NOTICE OF DELINQUENCY, THE COMMISSION SHALL REFER THE MATTER TO THE
LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS FOR INVESTIGATION AND A
REPORT TO THE COMMISSION CONTAINING FINDINGS AND RECOMMENDATIONS. IF THE
COMMISSION THEREAFTER MAKES A DETERMINATION THAT FURTHER INQUIRY IS
JUSTIFIED, IT SHALL GIVE THE REPORTING PERSON AN OPPORTUNITY TO BE
HEARD. THE COMMISSION SHALL ALSO INFORM THE REPORTING INDIVIDUAL OF ITS
RULES REGARDING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND APPEALS AND
THE DUE PROCESS PROCEDURAL MECHANISMS AVAILABLE TO SUCH INDIVIDUAL. IF
THE COMMISSION DETERMINES AT ANY STAGE OF THE PROCEEDING THAT THERE IS
NO VIOLATION OR THAT ANY POTENTIAL CONFLICT OF INTEREST VIOLATION OR
DEFICIENCY HAS BEEN RECTIFIED, IT SHALL SO ADVISE THE REPORTING PERSON
AND THE COMPLAINANT, IF ANY. ALL OF THE FOREGOING PROCEEDINGS SHALL BE
CONFIDENTIAL.
S. 2794 28
2. IF THE COMMISSION DETERMINES THAT THERE IS REASONABLE CAUSE TO
BELIEVE THAT A VIOLATION HAS OCCURRED, IT SHALL SEND A NOTICE OF REASON-
ABLE CAUSE: (A) TO THE REPORTING PERSON; (B) TO THE COMPLAINANT IF ANY;
(C) IN THE CASE OF A SENATOR, TO THE TEMPORARY PRESIDENT OF THE SENATE,
AND IF A MEMBER OF THE ASSEMBLY, TO THE SPEAKER OF THE ASSEMBLY; AND (D)
IN THE CASE OF A LEGISLATIVE EMPLOYEE, TO THE APPOINTING AUTHORITY FOR
SUCH PERSON AND TO THE TEMPORARY PRESIDENT OF THE SENATE AND/OR THE
SPEAKER OF THE ASSEMBLY, AS THE CASE MAY BE, WHO HAS JURISDICTION OVER
SUCH APPOINTING AUTHORITY.
3. THE JURISDICTION OF THE COMMISSION WHEN ACTING PURSUANT TO THIS
SECTION SHALL CONTINUE NOTWITHSTANDING THAT A MEMBER OF THE LEGISLATURE
OR A LEGISLATIVE EMPLOYEE SEPARATES FROM STATE SERVICE, OR A CANDIDATE
FOR MEMBER OF THE LEGISLATURE CEASES TO BE A CANDIDATE, PROVIDED THAT
THE COMMISSION NOTIFIES SUCH INDIVIDUAL OF THE ALLEGED VIOLATION OF LAW
PURSUANT TO THIS SECTION WITHIN ONE YEAR FROM HIS OR HER SEPARATION FROM
STATE SERVICE OR THE TERMINATION OF HIS OR HER CANDIDACY. NOTHING IN
THIS SECTION SHALL SERVE TO LIMIT THE JURISDICTION OF THE COMMISSION IN
ENFORCEMENT OF SUBDIVISION EIGHT OF SECTION SEVENTY-THREE OF THE PUBLIC
OFFICERS LAW.
K. AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF THE COMMISSION WHO
KNOWINGLY AND INTENTIONALLY VIOLATES THE PROVISIONS OF SUBDIVISIONS TWO
THROUGH FIVE-A, SEVEN, EIGHT, TWELVE, FOURTEEN, FIFTEEN OR SEVENTEEN OF
SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW OR A REPORTING INDIVID-
UAL WHO KNOWINGLY AND WILFULLY FAILS TO FILE AN ANNUAL STATEMENT OF
FINANCIAL DISCLOSURE OR WHO KNOWINGLY AND WILFULLY WITH INTENT TO
DECEIVE MAKES A FALSE STATEMENT OR GIVES INFORMATION WHICH SUCH INDIVID-
UAL KNOWS TO BE FALSE ON SUCH STATEMENT OF FINANCIAL DISCLOSURE FILED
PURSUANT TO SECTION SEVENTY-THREE-A OF THE PUBLIC OFFICERS LAW SHALL BE
SUBJECT TO A CIVIL PENALTY IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND
DOLLARS AND THE VALUE OF ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A
RESULT OF SUCH VIOLATION. ANY SUCH INDIVIDUAL WHO KNOWINGLY AND INTEN-
TIONALLY VIOLATES THE PROVISIONS OF PARAGRAPH B, C, D, OR I OF SUBDIVI-
SION THREE OF SECTION SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW SHALL BE
SUBJECT TO A CIVIL PENALTY IN AN AMOUNT NOT TO EXCEED TEN THOUSAND
DOLLARS AND THE VALUE OF ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A
RESULT OF SUCH VIOLATION. ANY SUCH INDIVIDUAL WHO KNOWINGLY AND INTEN-
TIONALLY VIOLATES THE PROVISIONS OF PARAGRAPH A, E OR G OF SUBDIVISION
THREE OF SECTION SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW SHALL BE
SUBJECT TO A CIVIL PENALTY IN AN AMOUNT EQUAL TO THE VALUE OF ANY GIFT,
COMPENSATION OR BENEFIT RECEIVED AS A RESULT OF SUCH VIOLATION. ASSESS-
MENT OF A CIVIL PENALTY HEREUNDER SHALL BE MADE BY THE COMMISSION WITH
RESPECT TO PERSONS SUBJECT TO ITS JURISDICTION BUT NOT BEFORE ITS
RECEIPT OF A REPORT FROM THE LEGISLATIVE OFFICE OF ETHICS INVESTI-
GATIONS; PROVIDED THAT IT DOES NOT NEED TO OBTAIN SUCH REPORT BEFORE
ASSESSING A CIVIL PENALTY FOR FAILURE TO FILE. IN ASSESSING THE AMOUNT
OF THE CIVIL PENALTIES TO BE IMPOSED, THE COMMISSION SHALL CONSIDER THE
SERIOUSNESS OF THE VIOLATION, THE AMOUNT OF GAIN TO THE INDIVIDUAL AND
WHETHER THE INDIVIDUAL PREVIOUSLY HAD ANY CIVIL OR CRIMINAL PENALTIES
IMPOSED PURSUANT TO THIS SECTION, AND ANY OTHER FACTORS THE COMMISSION
DEEMS APPROPRIATE. FOR A VIOLATION OF THIS SECTION, OTHER THAN FOR
CONDUCT WHICH CONSTITUTES A VIOLATION OF SUBDIVISION TWELVE, FOURTEEN OR
FIFTEEN OF SECTION SEVENTY-THREE OR SECTION SEVENTY-FOUR OF THE PUBLIC
OFFICERS LAW, THE COMMISSION MAY, IN LIEU OF A CIVIL PENALTY, REFER A
VIOLATION TO THE APPROPRIATE PROSECUTOR AND UPON SUCH CONVICTION, BUT
ONLY AFTER SUCH REFERRAL, SUCH VIOLATION SHALL BE PUNISHABLE AS A CLASS
A MISDEMEANOR. A CIVIL PENALTY FOR FALSE FILING MAY NOT BE IMPOSED HERE-
S. 2794 29
UNDER IN THE EVENT A CATEGORY OF "VALUE" OR "AMOUNT" REPORTED HEREUNDER
IS INCORRECT UNLESS SUCH REPORTED INFORMATION IS FALSELY UNDERSTATED.
NOTWITHSTANDING ANY OTHER PROVISION OF LAW TO THE CONTRARY, NO OTHER
PENALTY, CIVIL OR CRIMINAL, MAY BE IMPOSED FOR A FAILURE TO FILE, OR FOR
A FALSE FILING, OF SUCH STATEMENT, OR A VIOLATION OF SECTION
SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, EXCEPT THAT THE APPOINTING
AUTHORITY MAY IMPOSE DISCIPLINARY ACTION AS OTHERWISE PROVIDED BY LAW.
THE COMMISSION SHALL BE DEEMED TO BE AN AGENCY WITHIN THE MEANING OF
ARTICLE THREE OF THE STATE ADMINISTRATIVE PROCEDURE ACT AND SHALL ADOPT
RULES GOVERNING THE CONDUCT OF ADJUDICATORY PROCEEDINGS AND APPEALS
TAKEN PURSUANT TO A PROCEEDING COMMENCED UNDER ARTICLE SEVENTY-EIGHT OF
THE CIVIL PRACTICE LAW AND RULES RELATING TO THE ASSESSMENT OF THE CIVIL
PENALTIES HEREIN AUTHORIZED AND COMMISSION DENIALS OF REQUESTS FOR
CERTAIN DELETIONS OR EXEMPTIONS TO BE MADE FROM A FINANCIAL DISCLOSURE
STATEMENT AS AUTHORIZED IN PARAGRAPHS NINE AND TEN OF SUBDIVISION G OF
THIS SECTION. SUCH RULES, WHICH SHALL NOT BE SUBJECT TO THE PROMULGATION
AND HEARING REQUIREMENTS OF THE STATE ADMINISTRATIVE PROCEDURE ACT,
SHALL PROVIDE FOR DUE PROCESS PROCEDURAL MECHANISMS SUBSTANTIALLY SIMI-
LAR TO THOSE SET FORTH IN SUCH ARTICLE THREE BUT SUCH MECHANISMS NEED
NOT BE IDENTICAL IN TERMS OR SCOPE. ASSESSMENT OF A CIVIL PENALTY OR
COMMISSION DENIAL OF SUCH A DELETION OR EXEMPTION REQUEST SHALL BE FINAL
UNLESS MODIFIED, SUSPENDED OR VACATED WITHIN THIRTY DAYS OF IMPOSITION,
WITH RESPECT TO THE ASSESSMENT OF SUCH PENALTY, OR UNLESS SUCH DENIAL OF
REQUEST IS REVERSED WITHIN SUCH TIME PERIOD, AND UPON BECOMING FINAL
SHALL BE SUBJECT TO REVIEW AT THE INSTANCE OF THE AFFECTED REPORTING
INDIVIDUALS IN A PROCEEDING COMMENCED AGAINST THE COMMISSION, PURSUANT
TO ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES.
L. IF THE COMMISSION HAS A REASONABLE BASIS TO BELIEVE THAT ANY PERSON
SUBJECT TO THE JURISDICTION OF ANOTHER STATE OVERSIGHT BODY MAY HAVE
VIOLATED SECTION SEVENTY-THREE OR SEVENTY-FOUR OF THE PUBLIC OFFICERS
LAW, OR THAT ANY PERSON SUBJECT TO THE JURISDICTION OF THE STATE BOARD
OF ELECTIONS MAY HAVE VIOLATED ARTICLE FOURTEEN OF THE ELECTION LAW, IT
SHALL REFER SUCH VIOLATION TO SUCH OVERSIGHT BODY OR TO THE BOARD OF
ELECTIONS, AS APPROPRIATE, UNLESS THE COMMISSION DETERMINES THAT SUCH A
REFERRAL WOULD COMPROMISE THE PROSECUTION OR CONFIDENTIALITY OF ITS OR
THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATIONS' INVESTIGATIONS AND, IF
SO, SHALL MAKE SUCH A REFERRAL AS SOON AS PRACTICABLE. THE REFERRAL BY
THE COMMISSION SHALL INCLUDE ANY INFORMATION RELATING THERETO COMING
INTO THE CUSTODY OR UNDER THE CONTROL OF THE COMMISSION AT ANY TIME
PRIOR OR SUBSEQUENT TO THE TIME OF THE REFERRAL.
M. A COPY OF ANY NOTICE OF DELINQUENCY SENT PURSUANT TO SUBDIVISION I
OF THIS SECTION SHALL BE INCLUDED IN THE REPORTING PERSON'S FILE AND BE
AVAILABLE FOR PUBLIC INSPECTION AND COPYING.
N. 1. NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC
OFFICERS LAW, THE ONLY RECORDS OF THE COMMISSION WHICH SHALL BE AVAIL-
ABLE FOR PUBLIC INSPECTION AND COPYING ARE AS FOLLOWS:
(A) THE INFORMATION SET FORTH IN AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THE PUBLIC OFFI-
CERS LAW, EXCEPT ANY ITEM OF INFORMATION DELETED PURSUANT TO PARAGRAPH
NINE OF SUBDIVISION G OF THIS SECTION, WHICH SHALL BE MADE AVAILABLE TO
THE PUBLIC NO LATER THAN THIRTY DAYS AFTER RECEIPT;
(B) FINANCIAL DISCLOSURE STATEMENTS FILED PURSUANT TO SUBDIVISION SIX
OF SECTION SEVENTY-THREE OF THE PUBLIC OFFICERS LAW WHICH SHALL BE MADE
AVAILABLE TO THE PUBLIC NO LATER THAN THIRTY DAYS AFTER THEIR RECEIPT;
(C) NOTICES OF DELINQUENCY SENT UNDER SUBDIVISION I OF THIS SECTION;
S. 2794 30
(D) NOTICES OF CIVIL ASSESSMENT IMPOSED UNDER THIS SECTION WHICH SHALL
INCLUDE A DESCRIPTION OF THE NATURE OF THE ALLEGED WRONGDOING, THE
PROCEDURAL HISTORY OF THE COMPLAINT, THE FINDINGS AND DETERMINATIONS
MADE BY THE COMMISSION, AND ANY SANCTION IMPOSED;
(E) GENERIC ADVISORY OPINIONS; AND
(F) ALL REPORTS REQUIRED BY THIS SECTION.
2. NOTWITHSTANDING THE PROVISIONS OF ARTICLE SEVEN OF THE PUBLIC
OFFICERS LAW, NO MEETING OR PROCEEDING OF THE COMMISSION SHALL BE OPEN
TO THE PUBLIC, EXCEPT IF EXPRESSLY PROVIDED OTHERWISE BY THIS SECTION OR
THE COMMISSION PROVIDED, HOWEVER, THAT THE COMMISSION SHALL MEET PUBLIC-
LY WHENEVER IT ADOPTS, AMENDS OR RESCINDS ITS POLICIES, RULES OR REGU-
LATIONS, PROMULGATES ITS GUIDELINES, APPROVES EDUCATIONAL MATERIAL, OR
ADOPTS ITS ANNUAL REPORT.
3. NOTWITHSTANDING ANY OTHER PROVISION OF LAW, THE COMMISSION SHALL
MAKE AVAILABLE TO THE LEGISLATIVE OFFICE OF ETHICS INVESTIGATION ALL
RECORDS MAINTAINED BY THE COMMISSION AND SHALL REGULARLY FORWARD TO SUCH
OFFICE COPIES OF ALL ADVISORY OPINIONS ADOPTED BY THE COMMISSION.
O. THE COMMISSION SHALL MAINTAIN A PUBLICLY ACCESSIBLE WEBSITE WHICH
SHALL SET FORTH THE PROCEDURE FOR FILING A COMPLAINT AND WHICH SHALL
CONTAIN THE DOCUMENTS IDENTIFIED IN SUBDIVISION N OF THIS SECTION, OTHER
THAN FINANCIAL DISCLOSURE STATEMENTS FILED BY LEGISLATIVE EMPLOYEES, AND
ANY OTHER RECORDS OR INFORMATION WHICH THE COMMISSION DETERMINES TO BE
APPROPRIATE.
P. THE LEGISLATIVE COMMITTEES RESPONSIBLE FOR OVERSIGHT OF THE
COMMISSION SHALL HOLD ONE OR MORE PUBLIC HEARINGS REGARDING THE EFFEC-
TIVENESS OF THE COMMISSION AT LEAST FIVE MONTHS BEFORE THIS SECTION
EXPIRES PURSUANT TO THE PROVISIONS OF THE CHAPTER OF THE LAWS OF TWO
THOUSAND TEN WHICH ADDED THIS SECTION.
Q. THIS SECTION SHALL NOT REVOKE OR RESCIND ANY POLICIES, RULES,
REGULATIONS OR ADVISORY OPINIONS ISSUED BY THE LEGISLATIVE ETHICS
COMMITTEE AND LEGISLATIVE ETHICS COMMISSION IN EFFECT UPON THE EFFECTIVE
DATE OF THIS SUBDIVISION, TO THE EXTENT THAT SUCH REGULATIONS OR OPIN-
IONS ARE NOT INCONSISTENT WITH ANY LAWS OF THE STATE OF NEW YORK. THE
COMMISSION SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF ALL SUCH POLICIES,
RULES, REGULATIONS OR ADVISORY OPINIONS WHICH WILL ADDRESS THE CONSIST-
ENCY OF SUCH POLICIES, RULES, REGULATIONS OR ADVISORY OPINIONS WITH THE
LAWS OF THE STATE OF NEW YORK. THE COMMISSION SHALL, BEFORE DECEMBER
FIRST, TWO THOUSAND ELEVEN, REPORT TO THE GOVERNOR AND LEGISLATURE
REGARDING SUCH REVIEW AND SHALL PROPOSE ANY REGULATORY CHANGES AND ISSUE
ANY ADVISORY OPINIONS NECESSITATED BY SUCH REVIEW.
R. SEPARABILITY CLAUSE. IF ANY PART OR PROVISION OF THIS SECTION OR
THE APPLICATION THEREOF TO ANY PERSON IS ADJUDGED BY A COURT OF COMPE-
TENT JURISDICTION TO BE UNCONSTITUTIONAL OR OTHERWISE INVALID, SUCH
JUDGMENT SHALL NOT AFFECT OR IMPAIR ANY OTHER PART OR PROVISION OR THE
APPLICATION THEREOF TO ANY OTHER PERSON, BUT SHALL BE CONFINED TO SUCH
PART OR PROVISION.
S 10. The public officers law is amended by adding a new section 89-a
to read as follows:
S 89-A. ETHICS REPORTS. THE COMMITTEE ON OPEN GOVERNMENT SHALL ANNUAL-
LY PREPARE A REPORT THAT SUMMARIZES THE PUBLIC ACTIONS AND REPORTS OF
THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS, THE LEGISLATIVE
OFFICE OF ETHICS INVESTIGATIONS, THE STATE COMMISSION ON LOBBYING ETHICS
AND COMPLIANCE, THE SENATE AND ASSEMBLY STANDING COMMITTEES ON ETHICS,
AND THE EXECUTIVE ETHICS AND COMPLIANCE COMMISSION. IT SHALL DELIVER THE
REPORT TO THE GOVERNOR, THE SPEAKER OF THE ASSEMBLY, THE TEMPORARY PRES-
IDENT OF THE SENATE, THE MINORITY LEADER OF THE ASSEMBLY, THE MINORITY
S. 2794 31
LEADER OF THE SENATE, THE COMPTROLLER, AND THE ATTORNEY GENERAL ON OR
BEFORE MARCH FIRST OF EACH YEAR. IT ALSO SHALL PUBLISH THE REPORT ON ITS
WEBSITE.
S 11. The state of New York shall appropriate during each fiscal year
to the New York state commission on lobbying ethics and compliance an
amount equivalent to not less than seven and one-half per centum of the
appropriation available from the general fund in the department of state
to pay for the expenses of such commission; it shall appropriate during
each fiscal year to the executive ethics and compliance commission an
amount equivalent to not less than seven and one-half per centum of the
general fund appropriation in the department of state to pay for the
expenses of such commission; it shall appropriate to the joint legisla-
tive commission on ethics standards and the legislative office of ethics
investigations an amount equivalent to not less than one per centum of
the appropriation available to the state senate.
S 12. Subdivisions 17 and 18 of section 73 of the public officers law
are renumbered subdivisions 18 and 19 and a new subdivision 17 is added
to read as follows:
17. NO LEGISLATIVE EMPLOYEE SHALL, EXCEPT WITHIN THE SCOPE OF LEGISLA-
TIVE EMPLOYMENT, USE HIS OR HER POSITION, INFLUENCE OR ACCESS TO DIRECT-
LY OR INDIRECTLY PROMOTE OR OPPOSE THE PASSAGE OF BILLS OR RESOLUTIONS
BY EITHER HOUSE. NOTWITHSTANDING THE PROVISIONS OF THIS SUBDIVISION, A
LEGISLATIVE EMPLOYEE WHO SERVES AS AN ELECTED CHIEF EXECUTIVE OFFICER OR
MEMBER OF A GOVERNING BODY OF A MUNICIPAL CORPORATION OR DISTRICT CORPO-
RATION SHALL BE AUTHORIZED TO PARTICIPATE WHILE CARRYING OUT THE OFFI-
CIAL DUTIES OF SUCH OFFICE IN THE DISCUSSION, DRAFTING, PREPARATION,
VOTING AND DISPATCH OF A RESOLUTION, MESSAGE OR PROCLAMATION ADDRESSED
TO EITHER HOUSE.
S 13. Section 66-a of the legislative law is REPEALED.
S 13-a. Paragraph (c) of subdivision 6 and subdivision 10 of section
73 of the public officers law, as amended by chapter 813 of the laws of
1987, are amended to read as follows:
(c) Any such legislative employee who knowingly and wilfully with
intent to deceive makes a false statement or gives information which he
OR SHE knows to be false in any written statement required to be filed
pursuant to this subdivision, shall be assessed a civil penalty in an
amount not to exceed ten thousand dollars. Assessment of a civil penalty
shall be made by the [legislative ethics committee] JOINT LEGISLATIVE
COMMISSION ON ETHICS STANDARDS in accordance with the provisions of
[subdivision twelve of] section [eighty] EIGHTY-ONE of the legislative
law. For a violation of this subdivision, the [committee] COMMISSION
may, in lieu of a civil penalty, refer a violation to the appropriate
prosecutor and upon conviction, but only after such referral, such
violation shall be punishable as a class A misdemeanor.
10. Nothing contained in this section, the judiciary law, the educa-
tion law or any other law or disciplinary rule shall be construed or
applied to prohibit any firm, association or corporation, in which any
present or former statewide elected official, state officer or employee,
or political party chairman, member of the legislature or legislative
employee is a member, associate, retired member, of counsel or share-
holder, from appearing, practicing, communicating or otherwise rendering
services in relation to any matter before, or transacting business with
a state agency, or a city agency with respect to a political party
chairman in a county wholly included in a city with a population of more
than one million, otherwise proscribed by this section, the judiciary
law, the education law or any other law or disciplinary rule with
S. 2794 32
respect to such official, member of the legislature or officer or
employee, or political party chairman, where such statewide elected
official, state officer or employee, member of the legislature or legis-
lative employee, or political party chairman does not share in the net
revenues, as defined in accordance with generally accepted accounting
principles by the [state ethics commission] EXECUTIVE ETHICS AND COMPLI-
ANCE COMMISSION or by the [legislative ethics committee] JOINT LEGISLA-
TIVE COMMISSION ON ETHICS STANDARDS in relation to persons subject to
their respective jurisdictions, resulting therefrom, or, acting in good
faith, reasonably believed that he or she would not share in the net
revenues as so defined; nor shall anything contained in this section,
the judiciary law, the education law or any other law or disciplinary
rule be construed to prohibit any firm, association or corporation in
which any present or former statewide elected official, member of the
legislature, legislative employee, full-time salaried state officer or
employee or state officer or employee who is subject to the provisions
of section seventy-three-a of this chapter is a member, associate,
retired member, of counsel or shareholder, from appearing, practicing,
communicating or otherwise rendering services in relation to any matter
before, or transacting business with, the court of claims, where such
statewide elected official, member of the legislature, legislative
employee, full-time salaried state officer or employee or state officer
or employee who is subject to the provisions of section seventy-three-a
of this chapter does not share in the net revenues, as defined in
accordance with generally accepted accounting principles by the [state
ethics commission] EXECUTIVE ETHICS AND COMPLIANCE COMMISSION or by the
[legislative ethics committee] JOINT LEGISLATIVE COMMISSION ON ETHICS
STANDARDS in relation to persons subject to their respective jurisdic-
tions, resulting therefrom, or, acting in good faith, reasonably
believed that he or she would not share in the net revenues as so
defined.
S 13-b. Subparagraph (ii) of paragraph (a) and paragraphs (c), (d),
(f) and (g) of subdivision 2 of section 73-a of the public officers law,
subparagraph (ii) of paragraph (a) and paragraphs (c), (d) and (f) as
added by chapter 813 of the laws of 1987 and paragraph (g) as amended by
chapter 242 of the laws of 1989, are amended to read as follows:
(ii) a person who is required to file an annual financial disclosure
statement with the [state ethics] EXECUTIVE ETHICS AND COMPLIANCE
commission or with the [legislative ethics committee] JOINT LEGISLATIVE
COMMISSION ON ETHICS STANDARDS, and who is granted an additional period
of time within which to file such statement due to justifiable cause or
undue hardship, in accordance with required rules and regulations on the
subject adopted pursuant to paragraph [c] (C) of subdivision nine of
section ninety-four of the executive law or pursuant to [paragraph c of
subdivision eight of] section [eighty] EIGHTY-ONE of the legislative
law, shall file such statement within the additional period of time
granted;
(c) If the reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative employ-
ee, such statement shall be filed with the [legislative ethics commit-
tee] JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS established by
section [eighty] EIGHTY-ONE of the legislative law. If the reporting
individual is a statewide elected official, candidate for statewide
elected office, a state officer or employee or a political party chair-
man, such statement shall be filed with the [state ethics] EXECUTIVE
S. 2794 33
ETHICS AND COMPLIANCE commission established by section ninety-four of
the executive law.
(d) The [legislative ethics committee] JOINT LEGISLATIVE COMMISSION ON
ETHICS STANDARDS and the [state ethics] EXECUTIVE ETHICS AND COMPLIANCE
commission shall obtain from the state board of elections a list of all
candidates for statewide office and for member of the legislature, and
from such list, shall determine and publish a list of those candidates
who have not, within ten days after the required date for filing such
statement, filed the statement required by this subdivision.
(f) A person who may otherwise be required to file more than one annu-
al financial disclosure statement with both the [state ethics] EXECUTIVE
ETHICS AND COMPLIANCE commission and the [legislative ethics committee]
JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS in any one calendar
year may satisfy such requirement by filing one such statement with
either body and by notifying the other body of such compliance.
(g) A person who is employed in more than one employment capacity for
one or more employers certain of whose officers and employees are
subject to filing a financial disclosure statement with the [same
ethics] EXECUTIVE ETHICS AND COMPLIANCE commission or [ethics committee]
THE JOINT LEGISLATIVE COMMISSION ON ETHICS STANDARDS, as the case may
be, and who receives distinctly separate payments of compensation for
such employment shall be subject to the filing requirements of this
section if the aggregate annual compensation for all such employment
capacities is in excess of the filing rate notwithstanding that such
person would not otherwise be required to file with respect to any one
particular employment capacity. A person not otherwise required to file
a financial disclosure statement hereunder who is employed by an employ-
er certain of whose officers or employees are subject to filing a finan-
cial disclosure statement with the [state ethics] EXECUTIVE ETHICS AND
COMPLIANCE commission and who is also employed by an employer certain of
whose officers or employees are subject to filing a financial disclosure
statement with the [legislative ethics committee] JOINT LEGISLATIVE
COMMISSION ON ETHICS STANDARDS shall not be subject to filing such
statement with either such commission or such committee on the basis
that his aggregate annual compensation from all such employers is in
excess of the filing rate.
S 14. Subdivision 3 of section 73-a of the public officers law, as
added by chapter 813 of the laws of 1987, the third and fourth undesig-
nated paragraphs of paragraph 3 as added and paragraph 4, subparagraph
(a) of paragraph 5, paragraphs 6, 9, 10, 11, subparagraph (b) of para-
graph 12 and paragraphs 13, 14, 15, 16, 17, 18 and 19 as amended by
chapter 242 of the laws of 1989, is amended to read as follows:
3. The annual statement of financial disclosure shall contain the
[information and shall be in the form] LANGUAGE set forth hereinbelow:
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)
1. Name ______________________________________________________________
2. (a) Title of Position _____________________________________________
(b) Department, Agency or other Governmental Entity _______________
(c) Address of Present Office _____________________________________
(d) Office Telephone Number _______________________________________
3. (a) Marital Status ______________. If married, please give spouse's
full name including maiden name where applicable.
_____________________________________________________________ .
S. 2794 34
(b) List the names of all unemancipated children.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
Answer each of the following questions completely, with respect to
calendar year _________, unless another period or date is otherwise
specified. If additional space is needed, attach additional pages.
Whenever a "value" or "amount" is required to be reported herein, such
value or amount shall be reported as being within one of the following
Categories: Category A - under $5,000; Category B - $5,000 to under
$20,000; Category C - $20,000 to under $60,000; Category D - $60,000 to
under $100,000; Category E - $100,000 to under $250,000; and Category F
- $250,000 TO UNDER $1,000,000; AND CATEGORY G - $1,000,000 or over. A
reporting individual shall indicate the Category by letter only.
Whenever "income" is required to be reported herein, the term "income"
shall mean the aggregate net income before taxes from the source identi-
fied.
The term "calendar year" shall mean the year ending the December 31st
preceding the date of filing of the annual statement.
4. (a) List any office, trusteeship, directorship, partnership, or
position of any nature, whether compensated or not, held by the
reporting individual with any firm, corporation, association, part-
nership, or other organization other than the State of New York.
Include compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity was licensed
by any state or local agency, was regulated by any state regulatory
agency or local agency, or, as a regular and significant part of the
business or activity of said entity, did business with, or had
matters other than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) List any office, trusteeship, directorship, partnership, or position
of any nature, whether compensated or not, held by the spouse or
unemancipated child of the reporting individual, with any firm,
corporation, association, partnership, or other organization other
than the State of New York. Include compensated honorary positions;
do NOT list membership or uncompensated honorary positions. If the
listed entity was licensed by any state or local agency, was regu-
lated by any state regulatory agency or local agency, or, as a regu-
lar and significant part of the business or activity of said entity,
S. 2794 35
did business with, or had matters other than ministerial matters
before, any state or local agency, list the name of any such agency.
State or
Position Organization Local Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
5. (a) List the name, address and description of any [occupation,]
employment (other than the employment listed under Item 2 above),
trade, business [or], profession OR OCCUPATION engaged in by the
reporting individual. If such activity was licensed by any state or
local agency[,] OR was regulated by any state regulatory agency or
local agency, [or, as a regular and significant part of the business
or activity of said entity, did business with, or had matters other
than ministerial matters before, any state or local agency,] list
the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) IF THE REPORTING INDIVIDUAL DID BUSINESS WITH OR HAD MATTERS OTHER
THAN MINISTERIAL MATTERS BEFORE ANY STATE OR LOCAL AGENCY IN THE
COURSE OF ANY EMPLOYMENT, TRADE, BUSINESS, PROFESSION OR OCCUPATION
ENGAGED IN BY THE REPORTING INDIVIDUAL, LIST THE NAME AND ADDRESS OF
THE ENTITY, A BRIEF DESCRIPTION OF THE ACTIVITY AND THE NAME OF ANY
SUCH AGENCY.
STATE OR
NAME & ADDRESS LOCAL
OF ORGANIZATION DESCRIPTION AGENCY
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(C) If the spouse or unemancipated child of the reporting individual was
engaged in any occupation, employment, trade, business or profession
which activity was licensed by any state or local agency, was regu-
lated by any state regulatory agency or local agency, or, as a regu-
lar and significant part of the business or activity of said entity,
did business with, or had matters other than ministerial matters
before, any state or local agency, list the name, address and
S. 2794 36
description of such occupation, employment, trade, business or
profession and the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
6. List any interest, in EXCESS of $1,000, held by the reporting indi-
vidual, such individual's spouse or unemancipated child, or partner-
ship of which any such person is a member, or corporation, 10% or
more of the stock of which is owned or controlled by any such
person, whether vested or contingent, in any contract made or
executed by a state or local agency and include the name of the
entity which holds such interest and the relationship of the report-
ing individual or such individual's spouse or such child to such
entity and the interest in such contract. Do NOT include bonds and
notes. Do NOT list any interest in any such contract on which final
payment has been made and all obligations under the contract except
for guarantees and warranties have been performed, provided, howev-
er, that such an interest must be listed if there has been an ongo-
ing dispute during the calendar year for which this statement is
filed with respect to any such guarantees or warranties. Do NOT list
any interest in a contract made or executed by a local agency after
public notice and pursuant to a process for competitive bidding or a
process for competitive requests for proposals.
Entity Relationship Contracting Category
Self, Which Held to Entity State or of
Spouse or Interest in and Interest Local Value of
Child Contract in Contract Agency Contract
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
7. List any position the reporting individual held as an officer of any
political party or political organization, as a member of any poli-
tical party committee, or as a political party district leader. The
term "party" shall have the same meaning as "party" in the election
law. The term "political organization" means any party or independ-
ent body as defined in the election law or any organization that is
affiliated with or a subsidiary of a party or independent body.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 2794 37
8. (a) If the reporting individual practices law, is licensed by the
department of state as a real estate broker or agent or practices a
profession licensed by the department of education, give a general
description of the principal subject areas of matters undertaken by
such individual. IF THE NATURE OF THE REPORTING INDIVIDUAL'S PRAC-
TICE OR ACTIVITIES WERE SUCH THAT NO PRINCIPAL SUBJECT AREAS OR
MATTERS WERE UNDERTAKEN, GIVE A GENERAL DESCRIPTION OF THE PRACTICE
OR ACTIVITIES UNDERTAKEN. Additionally, if such an individual prac-
tices with a firm or corporation and is a partner or shareholder of
the firm or corporation, give a general description of THE principal
subject areas of matters undertaken by such firm or corporation. IF
THE MATTERS UNDERTAKEN BY SUCH FIRM OR CORPORATION WERE SUCH THAT NO
PRINCIPAL SUBJECT AREAS OR MATTERS WERE UNDERTAKEN, GIVE A GENERAL
DESCRIPTION OF THE PRACTICE OR ACTIVITIES UNDERTAKEN. Do not list
the name of the individual clients, customers or patients.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) List the name, principal address and general description or the
nature of the business activity of any entity in which the reporting
individual or such individual's spouse had an investment in excess
of $1,000 excluding investments in securities and interests in real
property.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(C) IF THE REPORTING INDIVIDUAL RECEIVED INCOME IN EXCESS OF $1,000 FROM
CONSULTING SERVICES, NOT INCLUDING ANY SERVICES RENDERED AS PART OF
ANY PRACTICE OR ACTIVITY REQUIRED TO BE DISCLOSED IN ITEM 8(A) OR
SERVICES RENDERED AS PART OF THE PRACTICE OR ACTIVITY IDENTIFIED IN
SECTIONS FORTY-FIVE HUNDRED FOUR, FORTY-FIVE HUNDRED FIVE,
FORTY-FIVE HUNDRED SEVEN, FORTY-FIVE HUNDRED EIGHT AND FORTY-FIVE
HUNDRED TEN OF THE CIVIL PRACTICE LAW AND RULES, PROVIDE THE NAME
AND ADDRESS OF EACH CLIENT, THE COMPENSATION RECEIVED FROM EACH
CLIENT, AND A GENERAL DESCRIPTION OF THE SERVICES RENDERED OR
CONSIDERATION GIVEN.
CLIENT ADDRESS SERVICES/CONSIDERATION CATEGORY OF VALUE
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
9. List each source of gifts, EXCLUDING campaign contributions, in
EXCESS of $1,000, received during the reporting period for which
this statement is filed by the reporting individual or such individ-
ual's spouse or unemancipated child from the same donor, EXCLUDING
gifts from a relative. INCLUDE the name and address of the donor.
The term "gifts" does not include reimbursements, which term is
defined in item 10. Indicate the value and nature of each such
gift.
S. 2794 38
Category
Self, of
Spouse or Name of Nature Value of
Child Donor Address of Gift Gift
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
10. Identify and briefly describe the source of any reimbursements for
expenditures, EXCLUDING campaign expenditures and expenditures in
connection with official duties reimbursed by the state, in EXCESS
of $1,000 from each such source. For purposes of this item, the term
"reimbursements" shall mean any travel-related expenses provided by
nongovernmental sources and for activities related to the reporting
individual's official duties such as, speaking engagements, confer-
ences, or factfinding events. The term "reimbursements" does NOT
include gifts reported under item 9.
Source Description
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
11. List the identity and value, if reasonably ascertainable, of each
interest in a trust, estate or other beneficial interest, including
retirement plans (other than retirement plans of the state of New
York or the city of New York[,]) and deferred compensation plans
(e.g., 401, 403(b), 457, etc.) established in accordance with the
internal revenue code, in which the REPORTING INDIVIDUAL held a
beneficial interest in EXCESS of $1,000 at any time during the
preceding year. Do NOT report interests in a trust, estate or other
beneficial interest established by or for, or the estate of, a rela-
tive.
Category
Identity of Value*
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
* The value of such interest shall be reported only if reasonably
ascertainable.
12. (a) Describe the terms of, and the parties to, any contract, prom-
ise, or other agreement between the reporting individual and any
person, firm, or corporation with respect to the employment of such
individual after leaving office or position (other than a leave of
absence).
S. 2794 39
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) Describe the parties to and the terms of any agreement providing
for continuation of payments or benefits to the REPORTING INDIVIDUAL
in EXCESS of $1,000 from a prior employer OTHER THAN the State.
(This includes interests in or contributions to a pension fund,
profit-sharing plan, or life or health insurance; buy-out agree-
ments; severance payments; etc.)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
13. List below the nature and amount of any income in EXCESS of $1,000
from EACH SOURCE for the reporting individual and such individual's
spouse for the taxable year last occurring prior to the date of
filing. Nature of income includes, but is not limited to, all
income (other than that received from the employment listed under
Item 2 above) from compensated employment whether public or private,
directorships and other fiduciary positions, contractual arrange-
ments, teaching income, partnerships, honorariums, lecture fees,
consultant fees, bank and bond interest, dividends, income derived
from a trust, real estate rents, and recognized gains from the sale
or exchange of real or other property. Income from a business or
profession and real estate rents shall be reported with the source
identified by the building address in the case of real estate rents
and otherwise by the name of the entity and not by the name of the
individual customers, clients or tenants, with the aggregate net
income before taxes for each building address or entity. The
receipt of maintenance received in connection with a matrimonial
action, alimony and child support payments shall not be listed.
Self/ Category
Spouse Source Nature of Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
14. List the sources of any deferred income (not retirement income) in
EXCESS of $1,000 from each source to be paid to the reporting indi-
vidual following the close of the calendar year for which this
disclosure statement is filed, other than deferred compensation
reported in item 11 hereinabove. Deferred income derived from the
practice of a profession shall be listed in the aggregate and shall
identify as the source, the name of the firm, corporation, partner-
ship or association through which the income was derived, but shall
not identify individual clients.
S. 2794 40
Category
Source of Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
15. List each assignment of income in EXCESS of $1,000, and each trans-
fer other than to a relative during the reporting period for which
this statement is filed for less than fair consideration of an
interest in a trust, estate or other beneficial interest, securities
or real property, by the reporting individual, in excess of $1,000,
which would otherwise be required to be reported herein and is not
or has not been so reported.
Item Assigned Assigned or Category
or Transferred Transferred to of Value
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
16. List below the type and market value of securities held by the
reporting individual or such individual's spouse from each issuing
entity in EXCESS of $1,000 at the close of the taxable year last
occurring prior to the date of filing, including the name of the
issuing entity exclusive of securities held by the reporting indi-
vidual issued by a professional corporation. Whenever an interest in
securities exists through a beneficial interest in a trust, the
securities held in such trust shall be listed ONLY IF the reporting
individual has knowledge thereof except where the reporting individ-
ual or the reporting individual's spouse has transferred assets to
such trust for his or her benefit in which event such securities
shall be listed unless they are not ascertainable by the reporting
individual because the trustee is under an obligation or has been
instructed in writing not to disclose the contents of the trust to
the reporting individual. Securities of which the reporting individ-
ual or the reporting individual's spouse is the owner of record but
in which such individual or the reporting individual's spouse has no
beneficial interest shall not be listed. Indicate percentage of
ownership ONLY if the reporting person or the reporting person's
spouse holds more than five percent (5%) of the stock of a corpo-
ration in which the stock is publicly traded or more than ten
percent (10%) of the stock of a corporation in which the stock is
NOT publicly traded. Also list securities owned for investment
purposes by a corporation more than fifty percent (50%) of the stock
of which is owned or controlled by the reporting individual or such
individual's spouse. For the purpose of this item the term "securi-
ties" shall mean mutual funds, bonds, mortgages, notes, obligations,
warrants and stocks of any class, investment interests in limited or
general partnerships and certificates of deposits (CDs) and such
S. 2794 41
other evidences of indebtedness and certificates of interest as are
usually referred to as securities. The market value for such secu-
rities shall be reported only if reasonably ascertainable and shall
not be reported if the security is an interest in a general partner-
ship that was listed in item 8 (a) or if the security is corporate
stock, NOT publicly traded, in a trade or business of a reporting
individual or a reporting individual's spouse.
Percentage
of corporate
stock owned
or controlled Category of
(if more than Market Value
5% of pub- as of the close
licly traded of the
stock, or taxable year
more than last occurring
10% if stock prior to
Self/ Issuing Type of not publicly the filing of
Spouse Entity Security traded, is held) this statement
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
17. List below the location, size, general nature, acquisition date,
market value and percentage of ownership of any real property in
which any vested or contingent interest in EXCESS of $1,000 is held
by the reporting individual or the reporting individual's spouse.
Also list real property owned for investment purposes by a corpo-
ration more than fifty percent 50% of the stock of which is owned or
controlled by the reporting individual or such individual's spouse.
Do NOT list any real property which is the primary or secondary
personal residence of the reporting individual or the reporting
individual's spouse, except where there is a co-owner who is other
than a relative.
Category
Self/ Percentage of
Spouse/ General Acquisition of Market
Corporation Location Size Nature Date Ownership Value
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
18. List below all notes and accounts receivable, other than from goods
or services sold, held by the reporting individual at the close of
the taxable year last occurring prior to the date of filing and
other debts owed to such individual at the close of the taxable year
last occurring prior to the date of filing, in EXCESS of $1,000,
including the name of the debtor, type of obligation, date due and
S. 2794 42
the nature of the collateral securing payment of each, if any,
excluding securities reported in item 16 hereinabove. Debts, notes
and accounts receivable owed to the individual by a relative shall
not be reported.
Type of Obligation, Category
Date Due, and Nature of
Name of Debtor of Collateral, if any Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and such
individual's spouse, in EXCESS of $5,000 as of the date of filing of
this statement, other than liabilities to a relative. Do NOT list
liabilities incurred by, or guarantees made by, the reporting indi-
vidual or such individual's spouse or by any proprietorship, part-
nership or corporation in which the reporting individual or such
individual's spouse has an interest, when incurred or made in the
ordinary course of the trade, business or professional practice of
the reporting individual or such individual's spouse. Include the
name of the creditor and any collateral pledged by such individual
to secure payment of any such liability. A reporting individual
shall not list any obligation to pay maintenance in connection with
a matrimonial action, alimony or child support payments. Any loan
issued in the ordinary course of business by a financial institution
to finance educational costs, the cost of home purchase or improve-
ments for a primary or secondary residence, or purchase of a
personally owned motor vehicle, household furniture or appliances
shall be excluded. If any such reportable liability has been guaran-
teed by any third person, list the liability and name the guarantor.
Category
Name of Creditor Type of Liability of
or Guarantor and Collateral, if any Amount
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
The requirements of law relating to the reporting of financial
interests are in the public interest and no adverse inference of
unethical or illegal conduct or behavior will be drawn merely from
compliance with these requirements.
___________________________________ _________________________
(Signature of Reporting Individual) Date (month/day/year)
S 15. Transfer of employees. Upon the transfer of the functions, as
provided for in this act any affected employees shall be transferred to
the commission on lobbying ethics and compliance, the executive ethics
S. 2794 43
and compliance commission, and the joint legislative commission on
ethics standards, as appropriate, in accordance with section 70 of the
civil service law.
S 16. Transfer of records. The commission on public integrity and the
legislative ethics commission shall deliver to the commission on lobby-
ing ethics and compliance, the executive ethics and compliance commis-
sion, and the joint legislative commission on ethics standards, as
appropriate, all books, papers, records, and property as requested by
the commission on lobbying ethics and compliance, the executive ethics
and compliance commission, and the joint legislative commission on
ethics standards, as appropriate, pursuant to this act.
S 17. Completion of unfinished business. Any business or other matter
undertaken or commenced by the commission on public integrity and the
legislative ethics commission pertaining to or connected with the func-
tions, powers, obligations and duties hereby transferred and assigned to
the commission on lobbying ethics and compliance, the executive ethics
and compliance commission, and the joint legislative commission on
ethics standards, as appropriate, and pending on the effective date of
this act may be conducted and completed by the commission on lobbying
ethics and compliance, the executive ethics and compliance commission,
and the joint legislative commission on ethics standards, as appropri-
ate, in the same manner and under the same terms and conditions and with
the same effect as if conducted and completed by the former commission
on public integrity and the legislative ethics commission.
S 18. Terms occurring in laws, contracts and other documents. Whenev-
er the commission on public integrity and the legislative ethics commis-
sion are referred to or designated in any law, contract or documents
pertaining to the functions, powers, obligations and duties hereby
transferred and assigned to the commission on lobbying ethics and
compliance, the executive ethics and compliance commission, and the
joint legislative commission on ethics standards, as appropriate, such
reference or designation shall be deemed to refer to the commission on
lobbying ethics and compliance, the executive ethics and compliance
commission, and the joint legislative commission on ethics standards, as
appropriate, as created by this act.
S 19. Existing rights and remedies preserved. No existing right or
remedy of any character shall be lost, impaired or affected by reason of
this act.
S 20. Pending actions and proceedings. No action or proceeding pending
at the time when this act shall take effect, brought by or against the
commission on public integrity or the legislative ethics commission
relating to the function, power or duty transferred to or devolved upon
the commission on lobbying ethics and compliance, the executive ethics
and compliance commission, and the joint legislative commission on
ethics standards, as appropriate, shall be affected by this act, but the
same may be prosecuted or defended in the name of the commission on
lobbying ethics and compliance, the executive ethics and compliance
commission, and the joint legislative commission on ethics standards, as
appropriate, and upon application to the court, the commission on lobby-
ing ethics and compliance, the executive ethics and compliance commis-
sion, and the joint legislative commission on ethics standards, as
appropriate, shall be substituted as a party.
S 21. Notwithstanding any contrary provision of the state finance law,
transfer of appropriations heretofore made to the commission on public
integrity and the legislative ethics commission, all appropriations or
reappropriations for the functions herein transferred heretofore made to
S. 2794 44
the commission on public integrity and the legislative ethics commission
or segregated pursuant to law, to the extent of remaining unexpended or
unencumbered balances thereof, whether allocated or unallocated and
whether obligated or unobligated, are hereby transferred to the commis-
sion on lobbying ethics and compliance, the executive ethics and compli-
ance commission, and the joint legislative commission on ethics stand-
ards, as appropriate, to the extent necessary to carry out the
commission on lobbying ethics and compliance, the executive ethics and
compliance commission, and the joint legislative commission on ethics
standards' functions, powers and duties subject to the approval of the
director of the budget for the same purposes for which originally appro-
priated or reappropriated and shall be payable on vouchers certified or
approved by the commission on lobbying ethics and compliance, the execu-
tive ethics and compliance commission, and the joint legislative commis-
sion on ethics standards, as appropriate, on audit and warrant of the
comptroller.
S 22. Subdivision 3 of section 3-100 of the election law, as amended
by chapter 220 of the laws of 2005, is amended to read as follows:
3. The commissioners of the state board of elections shall have no
other public employment. The commissioners shall receive an annual sala-
ry of twenty-five thousand dollars, within the amounts made available
therefor by appropriation. The board shall, for the purposes of sections
seventy-three and seventy-four of the public officers law, be a "state
agency", and such commissioners shall be "officers" of the state board
of elections for the purposes of such sections. Within the amounts made
available by appropriation therefor, the state board of elections shall
appoint two co-executive directors, AN ENFORCEMENT COUNSEL, A SPECIAL
counsel, A DEPUTY ENFORCEMENT COUNSEL, WHO SHALL BE A MEMBER OF A
DIFFERENT MAJOR POLITICAL PARTY THAN THE ENFORCEMENT COUNSEL, A DEPUTY
SPECIAL COUNSEL, WHO SHALL BE A MEMBER OF A DIFFERENT MAJOR POLITICAL
PARTY THAN THE SPECIAL COUNSEL, and such other staff members as are
necessary in the exercise of its functions, and may fix their compen-
sation. [Anytime after the effective date of the chapter of the laws of
two thousand five which amended this subdivision, the] THE commissioners
or, in the case of a vacancy on the board, the commissioner of each of
the major political parties shall appoint one co-executive director.
Each co-executive director shall serve a term of four years. THE
ENFORCEMENT COUNSEL AND THE SPECIAL COUNSEL SHALL EACH SERVE A TERM OF
FOUR YEARS AND MAY ONLY BE REMOVED FOR CAUSE. ANY TIME AFTER THE EFFEC-
TIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND TEN WHICH AMENDED
THIS SUBDIVISION, THE COMMISSIONERS, OR IN THE CASE OF A VACANCY ON THE
BOARD, THE COMMISSIONER, OF EACH OF THE SAME MAJOR POLITICAL PARTY AS
THE INCUMBENT ENFORCEMENT AND SPECIAL COUNSELS SHALL APPOINT SUCH COUN-
SEL. Any vacancy in the office of co-executive director, ENFORCEMENT
COUNSEL OR SPECIAL COUNSEL shall be filled by the commissioners or, in
the case of a vacancy on the board, the commissioner of the same major
political party as the vacating incumbent for the remaining period of
the term of such vacating incumbent.
S 23. Subdivision 3, paragraph (c) of subdivision 9-A and subdivision
17 of section 3-102 of the election law, subdivisions 3 and 17 as
amended by chapter 9 of the laws of 1978, paragraph (c) of subdivision
9-A as added by chapter 430 of the laws of 1997 and subdivision 17 as
renumbered by chapter 23 of the laws of 2005, are amended to read as
follows:
3. conduct any investigation necessary to carry out the provisions of
this chapter, PROVIDED, HOWEVER, THAT THE STATE BOARD OF ELECTIONS
S. 2794 45
ENFORCEMENT COUNSEL, ESTABLISHED PURSUANT TO SECTION 3-104 OF THIS ARTI-
CLE, SHALL CONDUCT ANY INVESTIGATION NECESSARY TO ENFORCE THE PROVISIONS
OF ARTICLE FOURTEEN OF THIS CHAPTER ON BEHALF OF THE BOARD OF ELECTIONS;
(c) establish [a] AN EDUCATIONAL AND training program on ALL REPORTING
REQUIREMENTS INCLUDING BUT NOT LIMITED TO the electronic reporting proc-
ess and make it EASILY AND READILY available to any such candidate or
committee AND NOTIFY ANY SUCH CANDIDATE OR COMMITTEE OF THE AVAILABILITY
OF THE MOST RECENT CAMPAIGN FINANCE HANDBOOK;
17. HEAR AND CONSIDER THE RECOMMENDATIONS OF THE STATE BOARD OF
ELECTIONS ENFORCEMENT COUNSEL REGARDING THE ENFORCEMENT OF VIOLATIONS OF
ARTICLE FOURTEEN OF THIS CHAPTER;
18. perform such other acts as may be necessary to carry out the
purposes of this chapter.
S 24. Section 3-104 of the election law, subdivisions 1, 3, 4 and 5
as redesignated and subdivision 2 as amended by chapter 9 of the laws of
1978, is amended to read as follows:
S 3-104. State board of elections AND THE STATE BOARD OF ELECTIONS
ENFORCEMENT COUNSEL; enforcement powers. 1. (A) THERE SHALL BE A UNIT
KNOWN AS THE STATE BOARD OF ELECTIONS ENFORCEMENT UNIT ESTABLISHED WITH-
IN THE STATE BOARD OF ELECTIONS. THE HEAD OF SUCH UNIT SHALL BE THE
ENFORCEMENT COUNSEL.
(B) The state board of elections shall have jurisdiction of, and be
responsible for, the execution and enforcement of the provisions of
[article fourteen of this chapter and other] statutes governing
campaigns, elections and related procedures; PROVIDED HOWEVER THAT THE
ENFORCEMENT COUNSEL SHALL HAVE SOLE AUTHORITY WITHIN THE STATE BOARD OF
ELECTIONS TO INVESTIGATE ON HIS OR HER OWN INITIATIVE OR UPON COMPLAINT,
ALLEGED VIOLATIONS OF ARTICLE FOURTEEN OF THIS CHAPTER AND ALL
COMPLAINTS ALLEGING ARTICLE FOURTEEN VIOLATIONS SHALL BE FORWARDED TO
THE ENFORCEMENT UNIT. NOTHING IN THIS SECTION SHALL BE CONSTRUED TO
DIMINISH OR ALTER THE STATE BOARD OF ELECTIONS' JURISDICTION PURSUANT TO
THIS CHAPTER.
2. Whenever [the state board of elections or other] A LOCAL board of
elections shall determine, on its own initiative or upon complaint, or
otherwise, that there is substantial reason to believe a violation of
this chapter or any code or regulation promulgated thereunder has
[occurred] BEEN COMMITTED BY A CANDIDATE OR POLITICAL COMMITTEE THAT
FILES STATEMENTS REQUIRED BY ARTICLE FOURTEEN OF THIS CHAPTER SOLELY
WITH SUCH LOCAL BOARD, it shall expeditiously make an investigation
which shall also include investigation of reports and statements made or
failed to be made by the complainant and any political committee
supporting his candidacy if the complainant is a candidate or, if the
complaint was made by an officer or member of a political committee, of
reports and statements made or failed to be made by such political
committee and any candidates supported by it. [The state board of
elections, in lieu of making such an investigation, may direct the
appropriate board of elections to make an investigation.]
(C) The state board of elections may request, and shall receive, the
assistance of the state police in any investigation it shall conduct.
[3. If, after an investigation, the state or other board of elections
finds reasonable cause to believe that a violation warranting criminal
prosecution has taken place, it shall forthwith refer the matter to the
district attorney of the appropriate county and shall make available to
such district attorney all relevant papers, documents, testimony and
findings relevant to its investigation.
S. 2794 46
4. The state or other board of elections may, where appropriate,
commence a judicial proceeding with respect to the filing or failure to
file any statement of receipts, expenditures, or contributions, under
the provisions of this chapter, and the state board of elections may
direct the appropriate other board of elections to commence such
proceeding.
5.] 3. IF THE ENFORCEMENT COUNSEL DETERMINES THAT A VIOLATION OF
SUBDIVISION ONE OF SECTION 14-126 OF THIS CHAPTER HAS OCCURRED WHICH
COULD WARRANT A CIVIL PENALTY, THE ENFORCEMENT COUNSEL SHALL, UPON HIS
OR HER DISCRETION, SEEK TO RESOLVE THE MATTER EXTRA-JUDICIALLY OR
COMMENCE A SPECIAL PROCEEDING IN THE SUPREME COURT PURSUANT TO SECTION
16-114 OF THIS CHAPTER.
4. UPON RECEIPT OF A COMPLAINT AND SUPPORTING INFORMATION ALLEGING
ANY OTHER VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, THE ENFORCEMENT
COUNSEL SHALL ANALYZE THE COMPLAINT TO DETERMINE IF AN INVESTIGATION
SHOULD BE UNDERTAKEN. THE ENFORCEMENT COUNSEL SHALL, IF NECESSARY,
REQUEST ADDITIONAL INFORMATION FROM THE COMPLAINANT TO ASSIST SUCH COUN-
SEL IN MAKING THIS DETERMINATION. SUCH ANALYSIS SHALL INCLUDE THE
FOLLOWING: FIRST, WHETHER THE ALLEGATIONS, IF TRUE, WOULD CONSTITUTE A
VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER AND, SECOND, WHETHER THE
ALLEGATIONS ARE SUPPORTED BY CREDIBLE EVIDENCE.
5. IF THE ENFORCEMENT COUNSEL DETERMINES THAT THE ALLEGATIONS, IF
TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAP-
TER OR THAT THE ALLEGATIONS ARE NOT SUPPORTED BY CREDIBLE EVIDENCE, HE
OR SHE SHALL ISSUE A LETTER TO THE COMPLAINANT DISMISSING THE COMPLAINT.
6. IF THE ENFORCEMENT COUNSEL DETERMINES THAT THE ALLEGATIONS, IF
TRUE, WOULD CONSTITUTE A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER
AND THAT THE ALLEGATIONS APPEAR TO BE SUPPORTED BY CREDIBLE EVIDENCE, HE
OR SHE SHALL NOTIFY THE STATE BOARD OF ELECTIONS OF (A) HIS OR HER
INTENT TO RESOLVE THE MATTER EXTRA-JUDICIALLY DUE TO THE DE MINIMUS
NATURE OF THE VIOLATION; OR (B) HIS OR HER INTENT TO COMMENCE AN INVES-
TIGATION, NO LATER THAN THE BOARD'S NEXT REGULARLY SCHEDULED MEETING.
NOTIFICATION SHALL SUMMARIZE THE RELEVANT FACTS AND THE APPLICABLE LAW
AND SHALL, TO THE EXTENT POSSIBLE, PROTECT FROM PUBLIC DISCLOSURE THE
IDENTITY OF THE COMPLAINANT AND THE INDIVIDUAL SUBJECT TO THE COMPLAINT.
7. IF, UPON CONSIDERING THE ENFORCEMENT COUNSEL'S NOTICE OF INTENT TO
COMMENCE AN INVESTIGATION, THE STATE BOARD OF ELECTIONS BELIEVES THAT
THE ALLEGATIONS, IF TRUE, WOULD NOT CONSTITUTE A VIOLATION OF ARTICLE
FOURTEEN OF THIS CHAPTER, OR THE ALLEGATIONS ARE NOT SUPPORTED BY CREDI-
BLE EVIDENCE OR, THAT ON BALANCE, THE EQUITIES FAVOR A DISMISSAL OF THE
COMPLAINT, THE BOARD SHALL PUBLICLY DIRECT THAT AN INVESTIGATION NOT BE
UNDERTAKEN NO LATER THAN SIXTY DAYS AFTER THE RECEIPT OF NOTIFICATION
FROM THE ENFORCEMENT COUNSEL OF HIS OR HER INTENT TO COMMENCE AN INVES-
TIGATION. IN DETERMINING WHETHER THE EQUITIES FAVOR A DISMISSAL OF THE
COMPLAINT, THE STATE BOARD OF ELECTIONS SHALL CONSIDER THE FOLLOWING
FACTORS: (A) WHETHER THE COMPLAINT ALLEGES A DE MINIMUS VIOLATION OF
ARTICLE FOURTEEN OF THIS CHAPTER; (B) WHETHER THE SUBJECT OF THE
COMPLAINT HAS MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION; AND (C)
WHETHER THE SUBJECT OF THE COMPLAINT HAS A HISTORY OF SIMILAR
VIOLATIONS. DETERMINATIONS OF THE STATE BOARD OF ELECTIONS TO DISMISS A
COMPLAINT AND NOT PROCEED WITH A FORMAL INVESTIGATION SHALL BE VOTED
UPON AS PROVIDED IN SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT
AN OPEN MEETING PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW,
AND SHALL BE MADE ON A FAIR AND EQUITABLE BASIS AND WITHOUT REGARD TO
THE STATUS OF THE SUBJECT OF THE COMPLAINT.
S. 2794 47
8. ABSENT A TIMELY DETERMINATION BY THE STATE BOARD OF ELECTIONS THAT
AN INVESTIGATION SHALL NOT BE UNDERTAKEN, THE ENFORCEMENT COUNSEL SHALL
COMMENCE AN INVESTIGATION ON A TIMELY BASIS. IF THE ENFORCEMENT COUNSEL
DETERMINES THAT ADDITIONAL INVESTIGATIVE POWERS, AS PROVIDED FOR IN
SUBDIVISIONS FOUR, FIVE AND SIX OF SECTION 3-102 OF THIS TITLE, ARE
NEEDED TO COMPLETE THE COUNSEL'S INVESTIGATION, HE OR SHE SHALL REQUEST
SUCH ADDITIONAL POWERS FROM THE STATE BOARD OF ELECTIONS. SUCH POWERS
SHALL BE GRANTED BY THE BOARD IN PUBLIC, AS PROVIDED IN SUBDIVISION FOUR
OF SECTION 3-100 OF THIS TITLE, ONLY WHEN THE BOARD FINDS THAT FURTHER
INVESTIGATION IS WARRANTED AND JUSTIFIED.
9. AT THE CONCLUSION OF ITS INVESTIGATION, THE ENFORCEMENT COUNSEL
SHALL PROVIDE THE STATE BOARD OF ELECTIONS WITH A WRITTEN RECOMMENDATION
AS TO: (A) WHETHER SUBSTANTIAL REASON EXISTS TO BELIEVE A VIOLATION OF
ARTICLE FOURTEEN OF THIS CHAPTER HAS OCCURRED AND, IF SO, THE NATURE OF
THE VIOLATION AND ANY APPLICABLE PENALTY, AS DEFINED IN SECTION 14-126
OF THIS CHAPTER, BASED ON THE NATURE OF THE VIOLATION; (B) WHETHER THE
MATTER SHOULD BE RESOLVED EXTRA-JUDICIALLY; (C) WHETHER A SPECIAL
PROCEEDING SHOULD BE COMMENCED IN THE SUPREME COURT TO RECOVER A CIVIL
PENALTY; AND (D) WHETHER A REFERRAL SHOULD BE MADE TO A DISTRICT ATTOR-
NEY PURSUANT TO SUBDIVISION ELEVEN OF THIS SECTION BECAUSE REASONABLE
CAUSE EXISTS TO BELIEVE A VIOLATION WARRANTING CRIMINAL PROSECUTION HAS
TAKEN PLACE.
10. THE STATE BOARD OF ELECTIONS SHALL ACCEPT, MODIFY OR REJECT THE
ENFORCEMENT COUNSEL'S RECOMMENDATION NO LATER THAN SIXTY DAYS AFTER
RECEIPT OF SUCH RECOMMENDATION. IN MAKING ITS DETERMINATION, THE BOARD
SHALL AGAIN CONSIDER: (A) WHETHER THE COMPLAINT ALLEGES A DE MINIMUS
VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER; (B) WHETHER THE SUBJECT
OF THE COMPLAINT HAS MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION;
AND (C) WHETHER THE SUBJECT OF THE COMPLAINT HAS A HISTORY OF SIMILAR
VIOLATIONS. ALL SUCH DETERMINATIONS SHALL BE VOTED UPON AS PROVIDED IN
SUBDIVISION FOUR OF SECTION 3-100 OF THIS TITLE AT AN OPEN MEETING
PURSUANT TO ARTICLE SEVEN OF THE PUBLIC OFFICERS LAW, AND SHALL BE MADE
ON A FAIR AND EQUITABLE BASIS, WITHOUT REGARD TO THE STATUS OF THE
SUBJECT OF THE COMPLAINT.
11. (A) IF THE STATE BOARD OF ELECTIONS DETERMINES, AS PROVIDED IN
SUBDIVISION TEN OF THIS SECTION, THAT SUBSTANTIAL REASON EXISTS TO
BELIEVE THAT A PERSON, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLI-
TICAL COMMITTEE UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH
LAW, HAS UNLAWFULLY ACCEPTED A CONTRIBUTION IN EXCESS OF A CONTRIBUTION
LIMITATION ESTABLISHED IN ARTICLE FOURTEEN OF THIS CHAPTER, WHICH COULD
WARRANT A CIVIL PENALTY AS PROVIDED FOR IN SUBDIVISION THREE OF SECTION
14-126 OF THIS CHAPTER, THE BOARD SHALL DIRECT THE COMMENCEMENT OF A
SPECIAL PROCEEDING IN THE SUPREME COURT PURSUANT TO SECTION 16-120 OF
THIS CHAPTER.
(B) IF THE STATE BOARD OF ELECTIONS DETERMINES, AS PROVIDED IN SUBDI-
VISION TEN OF THIS SECTION THAT REASONABLE CAUSE EXISTS TO BELIEVE A
VIOLATION WARRANTING CRIMINAL PROSECUTION HAS TAKEN PLACE, THE BOARD
SHALL REFER THE MATTER TO A DISTRICT ATTORNEY AND SHALL MAKE AVAILABLE
TO SUCH DISTRICT ATTORNEY ALL PAPERS, DOCUMENTS, TESTIMONY AND FINDINGS
RELEVANT TO ITS INVESTIGATION.
12. UPON NOTIFICATION THAT A SPECIAL PROCEEDING HAS BEEN COMMENCED BY
A PARTY OTHER THAN THE STATE BOARD OF ELECTIONS, PURSUANT TO SECTION
16-114 OF THIS CHAPTER, THE STATE BOARD OF ELECTIONS SHALL DIRECT THE
ENFORCEMENT COUNSEL TO INVESTIGATE THE ALLEGED VIOLATIONS UNLESS OTHER-
WISE DIRECTED BY THE COURT.
S. 2794 48
13. THE ENFORCEMENT COUNSEL SHALL PREPARE A REPORT, TO BE INCLUDED IN
THE ANNUAL REPORT TO THE GOVERNOR AND LEGISLATURE, SUMMARIZING THE
ACTIVITIES OF THE UNIT DURING THE PREVIOUS YEAR. SUCH REPORT SHALL
INCLUDE: (I) THE NUMBER OF COMPLAINTS RECEIVED; (II) THE NUMBER OF
COMPLAINTS THAT WERE FOUND TO NEED INVESTIGATION AND THE NATURE OF EACH
COMPLAINT; AND (III) THE NUMBER OF MATTERS THAT HAVE BEEN RESOLVED. THE
REPORT SHALL NOT CONTAIN ANY INFORMATION FOR WHICH DISCLOSURE IS NOT
PERMITTED.
14. The state board of elections may promulgate rules and regulations
consistent with law to effectuate the provisions of this section.
S 25. The state of New York shall appropriate during each fiscal year
to the New York state board of elections enforcement unit, not less than
thirty-five percent of the appropriation available from the general fund
for the state board of elections to pay for the expenses of such
enforcement unit.
S 26. The election law is amended by adding a new section 3-111 to
read as follows:
S 3-111. PERSONAL USE OF CAMPAIGN FUNDS. UPON WRITTEN REQUEST FROM ANY
PERSON WHO IS SUBJECT TO THE REQUIREMENTS OF SECTION 14-130 OF THIS
CHAPTER, THE STATE BOARD OF ELECTIONS SHALL RENDER FORMAL OPINIONS ON
THE REQUIREMENTS OF SAID PROVISION. AN OPINION RENDERED BY THE BOARD,
UNTIL AND UNLESS AMENDED OR REVOKED, SHALL BE BINDING ON THE BOARD IN
ANY SUBSEQUENT PROCEEDING CONCERNING THE PERSON WHO REQUESTED THE OPIN-
ION AND WHO ACTED IN GOOD FAITH, UNLESS MATERIAL FACTS WERE OMITTED OR
MISSTATED BY THE PERSON IN THE REQUEST FOR AN OPINION. SUCH OPINION MAY
ALSO BE RELIED UPON BY SUCH PERSON, AND MAY BE INTRODUCED AND SHALL BE
DEFENSE IN ANY CRIMINAL OR CIVIL ACTION. SUCH REQUEST SHALL BE CONFIDEN-
TIAL, BUT THE BOARD SHALL PUBLISH SUCH OPINIONS PROVIDED THAT THE NAME
OF THE REQUESTING PERSON AND OTHER IDENTIFYING DETAILS SHALL NOT BE
INCLUDED IN THE PUBLICATION.
S 27. Section 14-100 of the election law is amended by adding three
new subdivisions 12, 13 and 14 to read as follows:
12. "CLEARLY IDENTIFIED CANDIDATE" MEANS THAT:
(A) THE NAME OF THE CANDIDATE INVOLVED APPEARS;
(B) A PHOTOGRAPH OR DRAWING OF THE CANDIDATE APPEARS; OR
(C) THE IDENTITY OF THE CANDIDATE IS APPARENT BY UNAMBIGUOUS REFER-
ENCE.
13. "GENERAL PUBLIC AUDIENCE" MEANS AN AUDIENCE COMPOSED OF MEMBERS OF
THE PUBLIC, INCLUDING A TARGETED SUBGROUP OF MEMBERS OF THE PUBLIC;
PROVIDED, HOWEVER, IT DOES NOT MEAN AN AUDIENCE SOLELY COMPRISED OF
MEMBERS, RETIREES AND STAFF OF A LABOR ORGANIZATION OR THEIR IMMEDIATE
FAMILY MEMBERS OR AN AUDIENCE SOLELY COMPRISED OF EMPLOYEES OF A BUSI-
NESS ENTITY OR MEMBERS OF A BUSINESS, TRADE OR PROFESSIONAL ASSOCIATION.
14. "LABOR ORGANIZATION" MEANS ANY ORGANIZATION OF ANY KIND WHICH
EXISTS FOR THE PURPOSE, IN WHOLE OR IN PART, OF REPRESENTING EMPLOYEES
EMPLOYED WITHIN THE STATE OF NEW YORK IN DEALING WITH EMPLOYERS OR
EMPLOYER ORGANIZATIONS OR WITH A STATE GOVERNMENT, OR ANY POLITICAL OR
CIVIL SUBDIVISION OR OTHER AGENCY THEREOF, CONCERNING TERMS AND CONDI-
TIONS OF EMPLOYMENT, GRIEVANCES, LABOR DISPUTES, OR OTHER MATTERS INCI-
DENTAL TO THE EMPLOYMENT RELATIONSHIP. FOR THE PURPOSES OF THIS ARTI-
CLE, EACH LOCAL, PARENT NATIONAL OR PARENT INTERNATIONAL ORGANIZATION OF
A STATEWIDE LABOR ORGANIZATION, AND EACH STATEWIDE FEDERATION RECEIVING
DUES FROM SUBSIDIARY LABOR ORGANIZATIONS, SHALL BE CONSIDERED A SEPARATE
LABOR ORGANIZATION.
S 28. Subdivision 5 of section 14-102 of the election law is REPEALED,
subdivisions 1 and 3, as amended by chapter 8 of the laws of 1978,
S. 2794 49
subdivision 1 as redesignated by chapter 9 of the laws of 1978 and
subdivision 3 as renumbered by chapter 70 of the laws of 1983, are
amended and a new subdivision 5 is added to read as follows:
1. The treasurer of every political committee which, or any officer,
member or agent of any such committee who, in connection with any
election, receives or expends any money or other [valuable thing] ITEM
OF VALUE or incurs any liability to pay money or its equivalent shall
file statements sworn, or subscribed and bearing a form notice that
false statements made therein are punishable as a class A misdemeanor
pursuant to section 210.45 of the penal law, at the times prescribed by
this article setting forth all the receipts, contributions to and the
expenditures by and liabilities of the committee, and of its officers,
members and agents in its behalf. Such statements shall include the
dollar amount of any receipt, contribution or transfer, or the fair
market value of any receipt, contribution or transfer, which is other
than of money, the name and address of the transferor, contributor or
person from whom received, and if the transferor, contributor or person
is a political committee; the name of and the political unit represented
by the committee, the date of its receipt, the dollar amount of every
expenditure, the name and address of the person to whom it was made or
the name of and the political unit represented by the committee to which
it was made and the date thereof, and shall state clearly the purpose of
such expenditure. IF ANY ONE EXPENDITURE IS MADE FOR MORE THAN ONE
PURPOSE, OR AS PAYMENT FOR GOODS OR SERVICES SUPPLIED BY MORE THAN ONE
SUPPLIER, SUCH STATEMENT SHALL SET FORTH SEPARATELY EACH SUCH PURPOSE OR
SUPPLIER AND THE AMOUNT EXPENDED FOR EACH SUCH PURPOSE OR TO EACH SUCH
SUPPLIER.
Any statement reporting a loan shall have attached to it a copy of the
evidence of indebtedness. Expenditures in sums under fifty dollars need
not be specifically accounted for by separate items in said statements,
and receipts and contributions aggregating not more than ninety-nine
dollars, from any one contributor need not be specifically accounted for
by separate items in said statements, provided however, that such
expenditures, receipts and contributions shall be subject to the other
provisions of section 14-118 of this article.
3. The state board of elections shall promulgate regulations with
respect to the accounting methods to be applied IN COMPLYING WITH, AND
in preparing the statements required by, the provisions of this article
and shall provide forms suitable for such statements. SUCH REGULATIONS
SHALL BE DRAWN TO ASSURE SUCH COMPLIANCE AND OBTAIN THE MAXIMUM POSSIBLE
DISCLOSURE.
5. (A) PURSUANT TO THE PROVISIONS OF THIS SECTION, ANY CANDIDATE
AND/OR POLITICAL COMMITTEE WHICH IS REQUIRED TO FILE STATEMENTS WITH A
COUNTY BOARD OF ELECTIONS OR WITH THE BOARD OF ELECTIONS OF THE CITY OF
NEW YORK, WHICH RAISES OR SPENDS OR EXPECTS TO RAISE OR SPEND MORE THAN
ONE THOUSAND DOLLARS DURING ANY CALENDAR YEAR, IN ADDITION TO FILING
SUCH STATEMENTS WITH SUCH BOARDS OF ELECTIONS IN THE FILING FORMAT
REQUIRED THEREBY, SHALL ALSO FILE SUCH STATEMENTS ELECTRONICALLY WITH
THE STATE BOARD OF ELECTIONS PURSUANT TO ITS ELECTRONIC REPORTING
SYSTEM, ESTABLISHED PURSUANT TO SUBDIVISION NINE-A OF SECTION 3-102 OF
THIS CHAPTER, OR ON PAPER IF AN EXEMPTION FROM THE ELECTRONIC FILING
REQUIREMENTS HAS BEEN GRANTED BY THE STATE BOARD OF ELECTIONS PURSUANT
TO SUBDIVISION FOUR OF THIS SECTION OR SUBDIVISION TWO OF SECTION 14-104
OF THIS TITLE.
(B) NOTWITHSTANDING THE PROVISIONS OF PARAGRAPH (A) OF THIS SUBDIVI-
SION, ANY STATEMENTS FILED ELECTRONICALLY, OR ON PAPER IF EXEMPTED, WITH
S. 2794 50
THE STATE BOARD OF ELECTIONS BY A CANDIDATE AND/OR POLITICAL COMMITTEE
WHICH IS REQUIRED TO FILE SUCH STATEMENTS ELECTRONICALLY WITH THE STATE
BOARD OF ELECTIONS PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION, SHALL
SATISFY THE FILING REQUIREMENTS OF THIS SECTION WITH REGARDS TO FILING
WITH THE APPLICABLE COUNTY OR CITY BOARD OF ELECTIONS. THE COUNTY AND
CITY BOARDS OF ELECTIONS SHALL MAKE STATEMENTS FILED WITH THE STATE
BOARD OF ELECTIONS, WHICH WOULD OTHERWISE HAVE BEEN FILED SPECIFICALLY
WITH THEIR INDIVIDUAL BOARD PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVI-
SION, AVAILABLE FOR PUBLIC INSPECTION AND COPYING VIA ELECTRONIC
CONNECTION TO THE STATE BOARD OF ELECTIONS' WEBSITE, WHICH WILL CONTAIN
SUCH STATEMENTS, OR BY SUCH OTHER MODE OF ELECTRONIC COMMUNICATION THAT
IS AVAILABLE AND APPROVED BY THE STATE BOARD OF ELECTIONS FOR SUCH
PURPOSES.
(C) ANY CANDIDATE AND/OR POLITICAL COMMITTEE WHICH IS REQUIRED TO FILE
STATEMENTS WITH A COUNTY BOARD OF ELECTIONS OR WITH THE BOARD OF
ELECTIONS OF THE CITY OF NEW YORK PURSUANT TO THE PROVISIONS OF THIS
SECTION, WHICH IS NOT REQUIRED TO FILE SUCH STATEMENTS WITH THE STATE
BOARD OF ELECTIONS PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION, MAY
NOT ELECT TO FILE SUCH STATEMENTS WITH THE STATE BOARD OF ELECTIONS
PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION IN SUBSTITUTION FOR, OR IN
SATISFACTION OF, THE REQUIREMENT TO FILE WITH THE APPLICABLE COUNTY OR
CITY BOARD OF ELECTIONS.
S 29. Subdivision 3 of section 14-104 of the election law is REPEALED
and a new subdivision 3 is added to read as follows:
3. (A) PURSUANT TO THE PROVISIONS OF THIS SECTION, ANY CANDIDATE
AND/OR POLITICAL COMMITTEE WHICH IS REQUIRED TO FILE STATEMENTS WITH A
COUNTY BOARD OF ELECTIONS OR WITH THE BOARD OF ELECTIONS OF THE CITY OF
NEW YORK, WHICH RAISES OR SPENDS OR EXPECTS TO RAISE OR SPEND MORE THAN
ONE THOUSAND DOLLARS DURING ANY CALENDAR YEAR, IN ADDITION TO FILING
SUCH STATEMENTS WITH SUCH BOARDS OF ELECTIONS IN THE FILING FORMAT
REQUIRED THEREBY, SHALL ALSO FILE SUCH STATEMENTS ELECTRONICALLY WITH
THE STATE BOARD OF ELECTIONS PURSUANT TO ITS ELECTRONIC REPORTING
SYSTEM, ESTABLISHED PURSUANT TO SUBDIVISION NINE-A OF SECTION 3-102 OF
THIS CHAPTER, OR ON PAPER IF AN EXEMPTION FROM THE ELECTRONIC FILING
REQUIREMENTS HAS BEEN GRANTED BY THE STATE BOARD OF ELECTIONS PURSUANT
TO SUBDIVISION FOUR OF SECTION 14-102 OF THIS TITLE OR SUBDIVISION TWO
OF THIS SECTION.
(B) NOTWITHSTANDING THE PROVISIONS OF PARAGRAPH (A) OF THIS SUBDIVI-
SION, ANY STATEMENTS FILED ELECTRONICALLY, OR ON PAPER IF EXEMPTED, WITH
THE STATE BOARD OF ELECTIONS BY A CANDIDATE AND/OR POLITICAL COMMITTEE
WHICH IS REQUIRED TO FILE SUCH STATEMENTS ELECTRONICALLY WITH THE STATE
BOARD OF ELECTIONS PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION, SHALL
SATISFY THE FILING REQUIREMENTS OF THIS SECTION WITH REGARDS TO FILING
WITH THE APPLICABLE COUNTY OR CITY BOARD OF ELECTIONS. THE COUNTY AND
CITY BOARDS OF ELECTIONS SHALL MAKE STATEMENTS FILED WITH THE STATE
BOARD OF ELECTIONS, WHICH WOULD OTHERWISE HAVE BEEN FILED SPECIFICALLY
WITH THEIR INDIVIDUAL BOARD PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVI-
SION, AVAILABLE FOR PUBLIC INSPECTION AND COPYING VIA ELECTRONIC
CONNECTION TO THE STATE BOARDS OF ELECTIONS' WEBSITE, WHICH WILL CONTAIN
SUCH STATEMENTS, OR BY SUCH OTHER MODE OF ELECTRONIC COMMUNICATION THAT
IS AVAILABLE AND APPROVED BY THE STATE BOARD OF ELECTIONS FOR SUCH
PURPOSES.
(C) ANY CANDIDATE AND/OR POLITICAL COMMITTEE WHICH IS REQUIRED TO FILE
STATEMENTS WITH A COUNTY BOARD OF ELECTIONS OR WITH THE BOARD OF
ELECTIONS OF THE CITY OF NEW YORK PURSUANT TO THE PROVISIONS OF THIS
SECTION, WHICH IS NOT REQUIRED TO FILE SUCH STATEMENTS WITH THE STATE
S. 2794 51
BOARD OF ELECTIONS PURSUANT TO PARAGRAPH (A) OF THIS SUBDIVISION, MAY
NOT ELECT TO FILE SUCH STATEMENTS WITH THE STATE BOARD OF ELECTIONS
PURSUANT TO PARAGRAPH (B) OF THIS SUBDIVISION IN SUBSTITUTION FOR, OR IN
SATISFACTION OF, THE REQUIREMENT TO FILE WITH THE APPLICABLE COUNTY OR
CITY BOARD OF ELECTIONS.
S 30. Section 14-106 of the election law, as amended by chapter 8 of
the laws of 1978, is amended to read as follows:
S 14-106. Political [advertisements and literature] COMMUNICATION. 1.
The statements required to be filed under the provisions of this article
next succeeding a primary, general or special election shall be accompa-
nied by a [facsimile or] copy of all BROADCAST, CABLE OR SATELLITE SCHE-
DULES AND SCRIPTS, advertisements, pamphlets, circulars, flyers,
brochures, letterheads and other printed matter purchased or produced
[and a schedule of all radio or television time, and scripts used there-
in], AND REPRODUCTIONS OF STATEMENTS OR INFORMATION CONVEYED TO FIVE
HUNDRED OR MORE MEMBERS OF A GENERAL PUBLIC AUDIENCE BY COMPUTER OR
OTHER ELECTRONIC DEVICE, purchased in connection with such election by
or under the authority of the person filing the statement or the commit-
tee or the person on whose behalf it is filed, as the case may be. Such
[facsimiles,] copies, schedules and scripts shall be preserved by the
officer with whom or the board with which it is required to be filed for
a period of one year from the date of filing thereof.
2. NO PERSON, POLITICAL PARTY OR COMMITTEE SHALL, DURING THE COURSE OF
ANY CAMPAIGN FOR NOMINATION OR ELECTION TO PUBLIC OFFICE OR PARTY POSI-
TION, PREPARE OR DISTRIBUTE ANY POLITICAL COMMUNICATION THAT FALSELY
IDENTIFIES THE SOURCE OF SUCH COMMUNICATION.
S 31. The election law is amended by adding a new section 14-107 to
read as follows:
S 14-107. INDEPENDENT EXPENDITURE REPORTING. 1. FOR PURPOSES OF THIS
ARTICLE:
(A) "INDEPENDENT EXPENDITURE" MEANS AN EXPENDITURE MADE BY A PERSON
FOR AN AUDIO OR VIDEO COMMUNICATION TO A GENERAL PUBLIC AUDIENCE VIA
BROADCAST, CABLE OR SATELLITE OR A WRITTEN COMMUNICATION TO A GENERAL
PUBLIC AUDIENCE VIA ADVERTISEMENTS, PAMPHLETS, CIRCULARS, FLYERS,
BROCHURES, LETTERHEADS OR OTHER PRINTED MATTER AND STATEMENTS OR INFOR-
MATION CONVEYED TO FIVE HUNDRED OR MORE MEMBERS OF A GENERAL PUBLIC
AUDIENCE BY COMPUTER OR OTHER ELECTRONIC DEVICES WHICH: (I) EXPRESSLY
ADVOCATES THE ELECTION OR DEFEAT OF A CLEARLY IDENTIFIED CANDIDATE OR
THE SUCCESS OR DEFEAT OF A BALLOT PROPOSAL AND (II) SUCH CANDIDATE, THE
CANDIDATE'S POLITICAL COMMITTEE OR ITS AGENTS, OR A POLITICAL COMMITTEE
FORMED TO PROMOTE THE SUCCESS OR DEFEAT OF A BALLOT PROPOSAL OR ITS
AGENTS, DID NOT AUTHORIZE, REQUEST, SUGGEST, FOSTER OR COOPERATE IN ANY
SUCH COMMUNICATION.
(B) INDEPENDENT EXPENDITURES DO NOT INCLUDE:
(I) IN A WRITTEN NEWS STORY, COMMENTARY, OR EDITORIAL OR A NEWS STORY,
COMMENTARY, OR EDITORIAL DISTRIBUTED THROUGH THE FACILITIES OF ANY
BROADCASTING STATION, CABLE OR SATELLITE UNLESS SUCH PUBLICATION OR
FACILITIES ARE OWNED OR CONTROLLED BY ANY POLITICAL PARTY, POLITICAL
COMMITTEE OR CANDIDATE; OR
(II) A COMMUNICATION THAT CONSTITUTES A CANDIDATE DEBATE OR FORUM; OR
(III) A COMMUNICATION WHICH CONSTITUTES AN EXPENDITURE MADE BY AN
ENTITY REQUIRED TO REPORT SUCH EXPENDITURE WITH A BOARD OF ELECTIONS
PURSUANT TO SECTIONS 14-102 AND 14-104 OF THIS ARTICLE.
(C) FOR PURPOSES OF THIS SECTION, THE TERM "PERSON" SHALL MEAN PERSON,
GROUP OF PERSONS, ENTITY, ORGANIZATION OR ASSOCIATION.
S. 2794 52
2. WHENEVER ANY PERSON MAKES AN INDEPENDENT EXPENDITURE THAT COSTS
MORE THAN ONE THOUSAND DOLLARS IN THE AGGREGATE, SUCH COMMUNICATION
SHALL CLEARLY STATE THE NAME OF THE PERSON WHO PAID FOR, OR OTHERWISE
PUBLISHED OR DISTRIBUTED, THE COMMUNICATION AND STATE, WITH RESPECT TO
COMMUNICATIONS REGARDING CANDIDATES, THAT THE COMMUNICATION IS NOT
AUTHORIZED BY ANY CANDIDATE, ANY CANDIDATE'S POLITICAL COMMITTEE OR ANY
OF ITS AGENTS.
3. (A) ANY PERSON WHICH MAKES INDEPENDENT EXPENDITURES THAT COST MORE
THAN ONE THOUSAND DOLLARS IN THE AGGREGATE SHALL REPORT SUCH INDEPENDENT
EXPENDITURES TO THE STATE BOARD OF ELECTIONS ON STATEMENTS AS PROVIDED
FOR IN SECTION 14-108 OF THIS ARTICLE.
(B) ANY INDEPENDENT EXPENDITURE MADE AFTER THE CLOSE OF THE PERIOD TO
BE COVERED IN THE LAST STATEMENT FILED BEFORE ANY PRIMARY, GENERAL OR
SPECIAL ELECTION, BUT BEFORE SUCH ELECTION, SHALL BE REPORTED WITHIN
TWENTY-FOUR HOURS IN THE SAME MANNER AS PROVIDED FOR IN SUBDIVISION TWO
OF SECTION 14-108 OF THIS ARTICLE.
4. EACH SUCH STATEMENT SHALL INCLUDE:
(A) THE NAME AND ADDRESS OF THE PERSON MAKING THE STATEMENT;
(B) THE NAME AND ADDRESS OF THE PERSON MAKING THE INDEPENDENT EXPENDI-
TURE;
(C) THE NAME AND ADDRESS OF ANY PERSON OR ENTITY PROVIDING A GIFT,
LOAN, ADVANCE OR DEPOSIT OF ONE HUNDRED DOLLARS OR MORE FOR THE INDE-
PENDENT EXPENDITURE, OR THE PROVISION OF SERVICES FOR THE SAME, AND THE
DATE IT WAS GIVEN; PROVIDED, HOWEVER, THE NAME AND ADDRESS OF A MEMBER
OF A LABOR ORGANIZATION IS NOT REQUIRED FOR A GIFT, LOAN, ADVANCE OR
DEPOSIT OF ONE HUNDRED DOLLARS OR MORE TO A LABOR ORGANIZATION; AND
PROVIDED FURTHER THAT THE NAME AND ADDRESS OF AN EMPLOYEE OF A BUSINESS
ENTITY OR A MEMBER OF A BUSINESS, TRADE OR PROFESSIONAL ASSOCIATION IS
NOT REQUIRED FOR A GIFT, LOAN, ADVANCE OR DEPOSIT OF ONE HUNDRED DOLLARS
OR MORE TO SUCH BUSINESS ENTITY OR BUSINESS, TRADE OR PROFESSIONAL ASSO-
CIATION RESPECTIVELY;
(D) THE DOLLAR AMOUNT PAID FOR EACH INDEPENDENT EXPENDITURE, THE NAME
AND ADDRESS OF THE PERSON OR ENTITY RECEIVING THE PAYMENT, THE DATE THE
PAYMENT WAS MADE AND A DESCRIPTION OF THE INDEPENDENT EXPENDITURE; AND
(E) THE ELECTION TO WHICH THE INDEPENDENT EXPENDITURE PERTAINS AND THE
NAME OF THE CLEARLY IDENTIFIED CANDIDATE OR THE BALLOT PROPOSAL REFER-
ENCED.
5. A COPY OF ALL MATERIALS THAT PERTAIN TO THE INDEPENDENT EXPENDI-
TURE, INCLUDING BUT NOT LIMITED TO BROADCAST, CABLE OR SATELLITE SCHED-
ULE AND SCRIPTS, ADVERTISEMENTS, PAMPHLETS, CIRCULARS, FLYERS,
BROCHURES, LETTERHEADS AND OTHER PRINTED MATTER SHALL IMMEDIATELY BE
FILED WITH THE STATE BOARD OF ELECTIONS AS PROVIDED IN SECTION 14-108 OF
THIS ARTICLE.
6. WRITTEN EVIDENCE OF THE INDEBTEDNESS RELATED TO A LOAN THAT IS MADE
FOR AN INDEPENDENT EXPENDITURE SHALL BE PROVIDED TO THE STATE BOARD OF
ELECTIONS.
7. EVERY STATEMENT REQUIRED TO BE FILED PURSUANT TO THIS SECTION SHALL
BE FILED ELECTRONICALLY TO THE STATE BOARD OF ELECTIONS.
8. THE STATE BOARD OF ELECTIONS SHALL PROMULGATE REGULATIONS WITH
RESPECT TO THE STATEMENTS REQUIRED TO BE FILED BY THIS SECTION AND SHALL
PROVIDE FORMS SUITABLE FOR SUCH STATEMENTS.
S 32. Subdivision 1 of section 14-108 of the election law, as amended
by chapter 955 of the laws of 1983, is amended to read as follows:
1. The statements required by this article shall be filed at such
times as the state board of elections, by rule or regulation, shall
specify; provided, however, that in no event shall the board provide for
S. 2794 53
fewer than three filings in the aggregate in connection with any prima-
ry, general or special election, or in connection with a question to be
voted on and two of said filings shall be before any such election,
including one such filing not less than thirty days nor more than
forty-five days prior to such election and one such filing not less than
eleven days nor more than fifteen days prior to such election. In addi-
tion, the board shall provide that every political committee which has
filed a statement of treasurer and depository shall make at least one
PERIODIC filing [every six months] DURING THE MONTHS OF JANUARY, MAY AND
JULY between the time such statement of treasurer and depository is
filed and the time such committee goes out of business. If any candi-
date or committee shall be required by the provisions of this section,
or by rule or regulation hereunder, to effect two filings within a peri-
od of five days OF EACH OTHER, the state board of elections may, by rule
or regulation, waive the requirement of filing the earlier of such
statements. If a statement filed by a candidate or committee after the
election to which it pertains is not a final statement showing satisfac-
tion of all liabilities and disposition of all assets, such candidate or
committee shall file such additional statements as the board shall, by
rule or regulation provide until such a final statement is filed.
S 33. Section 14-126 of the election law, as amended by chapter 8 of
the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
1994 and subdivisions 2, 3 and 4 as redesignated by chapter 9 of the
laws of 1978, is amended to read as follows:
S 14-126. Violations; penalties. 1. Any person who fails to file a
statement required to be filed by this article shall be subject to a
civil penalty, not in excess of [five hundred] ONE THOUSAND dollars, to
be recoverable in a special proceeding or civil action to be brought by
the state board of elections [or other board of elections] ENFORCEMENT
COUNSEL PURSUANT TO SECTION 16-114 OF THIS CHAPTER. ANY PERSON WHO,
THREE OR MORE TIMES WITHIN A GIVEN ELECTION CYCLE FOR SUCH TERM OF
OFFICE, FAILS TO FILE A STATEMENT OR STATEMENTS REQUIRED TO BE FILED BY
THIS ARTICLE, SHALL BE SUBJECT TO A CIVIL PENALTY, NOT IN EXCESS OF TEN
THOUSAND DOLLARS, TO BE RECOVERABLE AS PROVIDED FOR IN THIS SUBDIVISION.
2. ANY PERSON WHO ACTS, UNDER CIRCUMSTANCES EVINCING AN INTENT TO
VIOLATE SUCH LAW, UNLAWFULLY FAILS TO IDENTIFY INDEPENDENT EXPENDITURES
AS REQUIRED BY SUBDIVISION TWO OF SECTION 14-107 OF THIS ARTICLE SHALL
BE SUBJECT TO A CIVIL PENALTY EQUAL TO ONE THOUSAND DOLLARS OR THE COST
OF THE COMMUNICATION, WHICHEVER IS GREATER, IN A SPECIAL PROCEEDING OR
CIVIL ACTION BROUGHT BY THE STATE BOARD OF ELECTIONS ENFORCEMENT COUNSEL
PURSUANT TO SECTION 16-120 OF THIS CHAPTER.
3. ANY PERSON WHO, ACTING AS OR ON BEHALF OF A CANDIDATE OR POLITICAL
COMMITTEE, UNDER CIRCUMSTANCES EVINCING AN INTENT TO VIOLATE SUCH LAW,
UNLAWFULLY ACCEPTS A CONTRIBUTION IN EXCESS OF A CONTRIBUTION LIMITATION
ESTABLISHED IN THIS ARTICLE, SHALL BE REQUIRED TO REFUND SUCH EXCESS
AMOUNT AND SHALL BE SUBJECT TO A CIVIL PENALTY EQUAL TO TWO TIMES THE
EXCESS AMOUNT PLUS A FINE OF UP TO TEN THOUSAND DOLLARS, TO BE RECOVERA-
BLE IN A SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE STATE
BOARD OF ELECTIONS ENFORCEMENT COUNSEL PURSUANT TO SECTION 16-120 OF
THIS CHAPTER.
4. Any person who knowingly and willfully fails to file a statement
required to be filed by this article within ten days after the date
provided for filing such statement or any person who knowingly and will-
fully violates any other provision of this article shall be guilty of a
misdemeanor.
S. 2794 54
[3.] 5. Any person who knowingly and willfully contributes, accepts or
aids or participates in the acceptance of a contribution in an amount
exceeding an applicable maximum specified in this article shall be guil-
ty of a misdemeanor.
[4.] 6. Any person who shall, acting on behalf of a candidate or poli-
tical committee, knowingly and willfully solicit, organize or coordinate
the formation of activities of one or more unauthorized committees, make
expenditures in connection with the nomination for election or election
of any candidate, or solicit any person to make any such expenditures,
for the purpose of evading the contribution limitations of this article,
shall be guilty of a class E felony.
S 34. Section 16-100 of the election law is amended to read as
follows:
S 16-100. Jurisdiction; supreme court, county court. 1. The supreme
court is vested with jurisdiction to summarily determine any question of
law or fact arising as to any subject set forth in this article, which
shall be construed liberally.
2. The county court is vested with jurisdiction to summarily determine
any question of law or fact except proceedings as to a nomination or
election at a primary election or a nomination at a judicial convention,
proceedings as to the casting and canvass of ballots [and], proceedings
for examination or preservation of ballots AND PROCEEDINGS TO ENFORCE
THE PROVISIONS OF ARTICLE FOURTEEN OF THIS CHAPTER.
S 35. The election law is amended by adding a new section 16-120 to
read as follows:
S 16-120. ENFORCEMENT PROCEEDINGS. 1. THE SUPREME COURT OR A JUSTICE
THEREOF, IN A PROCEEDING INSTITUTED BY THE STATE BOARD OF ELECTIONS
ENFORCEMENT COUNSEL, MAY IMPOSE A CIVIL PENALTY, AS PROVIDED FOR IN
SUBDIVISION TWO OR THREE OF SECTION 14-126 OF THIS CHAPTER.
2. UPON PROOF THAT A VIOLATION OF ARTICLE FOURTEEN OF THIS CHAPTER, AS
PROVIDED IN SUBDIVISION ONE OF THIS SECTION, HAS OCCURRED, THE COURT MAY
IMPOSE A CIVIL PENALTY, PURSUANT TO SUBDIVISION TWO OR THREE OF SECTION
14-126 OF THIS CHAPTER, AFTER CONSIDERING, AMONG OTHER FACTORS, THE
SEVERITY OF THE VIOLATION OR VIOLATIONS, WHETHER THE SUBJECT OF THE
VIOLATION MADE A GOOD FAITH EFFORT TO CORRECT THE VIOLATION AND WHETHER
THE SUBJECT OF THE VIOLATION HAS A HISTORY OF SIMILAR VIOLATIONS. ALL
SUCH DETERMINATIONS SHALL BE MADE ON A FAIR AND EQUITABLE BASIS WITHOUT
REGARD TO THE STATUS OF THE CANDIDATE OR POLITICAL COMMITTEE.
S 36. Separability clause. If any clause, sentence, paragraph, section
or part of this act shall be adjudged by any court of competent juris-
diction to be invalid, such judgment shall not affect, impair or invali-
date the remainder thereof, but shall be confined in its operation to
the clause, sentence, paragraph, section or part thereof directly
involved in the controversy in which such judgment shall have been
rendered.
S 37. This act shall take effect July 31, 2011; provided, however,
sections five-a, five-b and fourteen of this act shall take effect Janu-
ary 1, 2012; provided further, that sections one, two, three-a, four,
five, six through eight and nine through eleven of this act shall expire
and be deemed repealed 4 years after such effective date; provided
further that sections twenty-two, twenty-three, twenty-four, twenty-
five, twenty-six, twenty-seven, twenty-eight, twenty-nine, thirty, thir-
ty-one, thirty-three, thirty-four, and thirty-five of this act shall
take effect on the sixtieth day after it shall have become a law; and
provided further that section thirty-two of this act shall take effect
on January 1, 2012.
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