S. 5679 2
date for each particular provision contained within such Part is set
forth in the last section of such Part. Any provision in any section
contained within a Part, including the effective date of the Part, which
makes a reference to a section "of this act", when used in connection
with that particular component, shall be deemed to mean and refer to the
corresponding section of the Part in which it is found. Section four of
this act sets forth the general effective date of this act.
PART A
Section 1. Paragraph (a) of subdivision 1 of section 73 of the public
officers law, as amended by chapter 813 of the laws of 1987, is amended
to read as follows:
(a) The term "compensation" shall mean any money, thing of value or
financial benefit conferred in return for services rendered or to be
rendered. With regard to matters undertaken by a firm, corporation or
association, compensation shall mean net revenues, as defined in accord-
ance with generally accepted accounting principles as defined by the
[state] JOINT COMMISSION ON PUBLIC ethics [commission] or legislative
ethics [committee] COMMISSION in relation to persons subject to their
respective jurisdictions.
S 2. Subdivision 2 of section 73 of the public officers law, as
amended by chapter 813 of the laws of 1987, is amended to read as
follows:
2. In addition to the prohibitions contained in subdivision seven
[hereof] OF THIS SECTION, no statewide elected official, state officer
or employee, member of the legislature or legislative employee shall
receive, or enter into any agreement express or implied for, compen-
sation for services to be rendered in relation to any case, proceeding,
application, or other matter before any state agency, OR ANY EXECUTIVE
ORDER, OR ANY LEGISLATION OR RESOLUTION BEFORE THE STATE LEGISLATURE,
whereby his OR HER compensation is to be dependent or contingent upon
any action by such agency OR LEGISLATURE with respect to any license,
contract, certificate, ruling, decision, EXECUTIVE ORDER, opinion, rate
schedule, franchise, LEGISLATION, RESOLUTION or other benefit; provided,
however, that nothing in this subdivision shall be deemed to prohibit
the fixing at any time of fees based upon the reasonable value of the
services rendered.
S 3. Paragraph (a) of subdivision 6 of section 73 of the public offi-
cers law, as amended by chapter 813 of the laws of 1987, is amended to
read as follows:
(a) Every legislative employee not subject to the provisions of
section seventy-three-a of this chapter shall, on and after December
fifteenth and before the following January fifteenth, in each year, file
with the [legislative] JOINT COMMISSION ON PUBLIC ethics [committee
established by section eighty of the legislative law] AND THE LEGISLA-
TIVE ETHICS COMMISSION a financial disclosure statement of
(1) each financial interest, direct or indirect of himself, his spouse
and his unemancipated children under the age of eighteen years in any
activity which is subject to the jurisdiction of a regulatory agency or
name of the entity in which the interest is had and whether such inter-
est is over or under five thousand dollars in value.
(2) every office and directorship held by him in any corporation, firm
or enterprise which is subject to the jurisdiction of a regulatory agen-
cy, including the name of such corporation, firm or enterprise.
S. 5679 3
(3) any other interest or relationship which he determines in his
discretion might reasonably be expected to be particularly affected by
legislative action or in the public interest should be disclosed.
S 4. Every state agency, department, division, office, and board;
every public benefit corporation, public authority and commission at
least one of whose members is appointed by the governor; the state
university of New York and the city university of New York, including
all their constituent units except community colleges of the state
university of New York; and the independent institutions operating stat-
utory or contract colleges on behalf of the state, shall cooperate with
the office of general services and supply to that office on a schedule
and in a format determined by the office of general services in consul-
tation with such governmental bodies, a list of all individuals, firms,
or other entities (other than state or local governmental agencies) who
have appeared before such governmental body in a representative capacity
on behalf of a client or customer for purposes of: (a) procuring a state
contract for real property, goods or services for such client; (b)
representing such client or customer in a proceeding relating to rate
making; (c) representing such client in a regulatory matter; (d) repres-
enting such client or customer in a judicial or quasi-judicial proceed-
ing; or (e) representing such client or customer in the adoption or
repeal of a rule or regulation. The office of general services shall
create forms upon which such information shall be supplied and a data-
base which shall collect and systemize the collection of such informa-
tion. The office of general services shall make the database available
and accessible to members of the public on a webpage subject to statuto-
ry confidentiality restrictions, and shall ensure that the information
contained in the database is readily searchable and available for down-
load. The database shall be known as "project sunlight".
S 5. Section 73-a of the public officers law, as added by chapter 813
of the laws of 1987, paragraph (b) of subdivision 1 as amended by chap-
ter 283 of the laws of 1996, subparagraphs (ii) and (iii) of paragraph
(c) and paragraph (d) of subdivision 1, subparagraphs (v), (vi) and
(vii) of paragraph (a) and paragraphs (e) and (g) of subdivision 2,
paragraph 4, subparagraph (a) of paragraph 5, paragraphs 6, 9, 10, 11,
subparagraph (b) of paragraph 12, paragraphs 13, 14, 15, 16, 17, 18 and
19 of subdivision 3 and subdivision 4 as amended and paragraph (l) of
subdivision 1, subparagraph (viii) of paragraph (a) and paragraph (j) of
subdivision 2 and the third and fourth undesignated paragraphs of para-
graph 3 of subdivision 3 as added by chapter 242 of the laws of 1989, is
amended to read as follows:
S 73-a. Financial disclosure. 1. As used in this section:
(a) The term "statewide elected official" shall mean the governor,
lieutenant governor, comptroller, or attorney general.
(b) The term "state agency" shall mean any state department, or divi-
sion, board, commission, or bureau of any state department, any public
benefit corporation, public authority or commission at least one of
whose members is appointed by the governor, or the state university of
New York or the city university of New York, including all their
constituent units except community colleges of the state university of
New York and the independent institutions operating statutory or
contract colleges on behalf of the state.
(c) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies and assistants;
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions, commis-
S. 5679 4
sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-
vision or who hold policy-making positions, as annually determined by
the appointing authority and set forth in a written instrument which
shall be filed with the [state] JOINT COMMISSION ON PUBLIC ethics
[commission] established by section ninety-four of the executive law
during the month of February, provided, however, that the appointing
authority shall amend such written instrument after such date within
thirty days after the undertaking of policy-making responsibilities by a
new employee or any other employee whose name did not appear on the most
recent written instrument; and
(iii) members or directors of public authorities, other than multi-
state authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, and employees of such
authorities, corporations and commissions who receive annual compen-
sation in excess of the filing rate established by paragraph (l) of this
subdivision or who hold policy-making positions, as determined annually
by the appointing authority and set forth in a written instrument which
shall be filed with the [state] JOINT COMMISSION ON PUBLIC ethics
[commission] established by section ninety-four of the executive law
during the month of February, provided, however, that the appointing
authority shall amend such written instrument after such date within
thirty days after the undertaking of policy-making responsibilities by a
new employee or any other employee whose name did not appear on the most
recent written instrument.
(d) The term "legislative employee" shall mean any officer or employee
of the legislature who receives annual compensation in excess of the
filing rate established by paragraph (l) below or who is determined to
hold a policy-making position by the appointing authority as set forth
in a written instrument which shall be filed with the legislative ETHICS
COMMISSION AND THE JOINT COMMISSION ON PUBLIC ethics [committee estab-
lished by section eighty of the legislative law].
(D-1) A FINANCIAL DISCLOSURE STATEMENT REQUIRED PURSUANT TO SECTION
SEVENTY-THREE OF THIS ARTICLE AND THIS SECTION SHALL BE DEEMED "FILED"
WITH THE JOINT COMMISSION ON PUBLIC ETHICS UPON ITS FILING, IN ACCORD-
ANCE WITH THIS SECTION, WITH THE LEGISLATIVE ETHICS COMMISSION FOR ALL
PURPOSES INCLUDING, BUT NOT LIMITED TO, SUBDIVISION FOURTEEN OF SECTION
NINETY-FOUR OF THE EXECUTIVE LAW, SUBDIVISION NINE OF SECTION EIGHTY OF
THE LEGISLATIVE LAW AND SUBDIVISION FOUR OF THIS SECTION.
(e) The term "spouse" shall mean the husband or wife of the reporting
individual unless living separate and apart from the reporting individ-
ual with the intention of terminating the marriage or providing for
permanent separation or unless separated pursuant to: (i) a judicial
order, decree or judgment, or (ii) a legally binding separation agree-
ment.
(f) The term "relative" shall mean such individual's spouse, child,
stepchild, stepparent, or any person who is a direct descendant of the
grandparents of the reporting individual or of the reporting individ-
ual's spouse.
(g) The term "unemancipated child" shall mean any son, daughter, step-
son or stepdaughter who is under age eighteen, unmarried and living in
the household of the reporting individual.
(h) The term "political party chairman" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this [chapter] ARTICLE.
(i) The term "local agency" shall mean:
S. 5679 5
(i) any county, city, town, village, school district or district
corporation, or any agency, department, division, board, commission or
bureau thereof; and
(ii) any public benefit corporation or public authority not included
in the definition of a state agency.
(j) The term "regulatory agency" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this [chapter] ARTICLE.
(k) The term "ministerial matter" shall have the same meaning as
ascribed to such term by subdivision one of section seventy-three of
this [chapter] ARTICLE.
(l) The term "filing rate" shall mean the job rate of SG-24 as set
forth in paragraph a of subdivision one of section one hundred thirty of
the civil service law as of April first of the year in which an annual
financial disclosure statement shall be filed.
(M) THE TERM "LOBBYIST" SHALL HAVE THE SAME MEANING AS ASCRIBED TO
SUCH TERM IN SUBDIVISION (A) OF SECTION ONE-C OF THE LEGISLATIVE LAW.
2. (a) Every statewide elected official, state officer or employee,
member of the legislature, legislative employee and political party
chairman and every candidate for statewide elected office or for member
of the legislature shall file an annual statement of financial disclo-
sure containing the information and in the form set forth in subdivision
three [hereof] OF THIS SECTION. [Such statement shall be filed on or
before the fifteenth day of May with respect to the preceding calendar
year, except that] ON OR BEFORE THE FIFTEENTH DAY OF MAY WITH RESPECT TO
THE PRECEDING CALENDAR YEAR: (1) EVERY MEMBER OF THE LEGISLATURE, EVERY
CANDIDATE FOR MEMBER OF THE LEGISLATURE AND LEGISLATIVE EMPLOYEE SHALL
FILE SUCH STATEMENT WITH THE LEGISLATIVE ETHICS COMMISSION WHICH SHALL
PROVIDE SUCH STATEMENT ALONG WITH ANY REQUESTS FOR EXEMPTIONS OR
DELETIONS TO THE JOINT COMMISSION ON PUBLIC ETHICS FOR FILING AND
RULINGS WITH RESPECT TO SUCH REQUESTS FOR EXEMPTIONS OR DELETIONS, ON OR
BEFORE THE THIRTIETH DAY OF JUNE; AND (2) ALL OTHER INDIVIDUALS REQUIRED
TO FILE SUCH STATEMENT SHALL FILE IT WITH THE JOINT COMMISSION ON PUBLIC
ETHICS, EXCEPT THAT:
(i) a person who is subject to the reporting requirements of this
subdivision and who timely filed with the internal revenue service an
application for automatic extension of time in which to file his or her
individual income tax return for the immediately preceding calendar or
fiscal year shall be required to file such financial disclosure state-
ment on or before May fifteenth but may, without being subjected to any
civil penalty on account of a deficient statement, indicate with respect
to any item of the disclosure statement that information with respect
thereto is lacking but will be supplied in a supplementary statement of
financial disclosure, which shall be filed on or before the seventh day
after the expiration of the period of such automatic extension of time
within which to file such individual income tax return, provided that
failure to file or to timely file such supplementary statement of finan-
cial disclosure or the filing of an incomplete or deficient supplementa-
ry statement of financial disclosure shall be subject to the notice and
penalty provisions of this section respecting annual statements of
financial disclosure as if such supplementary statement were an annual
statement;
(ii) a person who is required to file an annual financial disclosure
statement with the [state] JOINT COMMISSION ON PUBLIC ethics [commission
or with the legislative ethics committee], and who is granted an addi-
tional period of time within which to file such statement due to justi-
S. 5679 6
fiable cause or undue hardship, in accordance with required rules and
regulations on the subject adopted pursuant to paragraph c of subdivi-
sion nine of section ninety-four of the executive law [or pursuant to
paragraph c of subdivision eight of section eighty of the legislative
law,] shall file such statement within the additional period of time
granted; AND THE LEGISLATIVE ETHICS COMMISSION SHALL NOTIFY THE JOINT
COMMISSION ON PUBLIC ETHICS OF ANY EXTENSION GRANTED PURSUANT TO THIS
PARAGRAPH;
(iii) candidates for statewide office who receive a party designation
for nomination by a state committee pursuant to section 6-104 of the
election law shall file such statement within [seven] TEN days after the
date of the meeting at which they are so designated;
(iv) candidates for statewide office who receive twenty-five percent
or more of the vote cast at the meeting of the state committee held
pursuant to section 6-104 of the election law and who demand to have
their names placed on the primary ballot and who do not withdraw within
fourteen days after such meeting shall file such statement within
[seven] TEN days after the last day to withdraw their names in accord-
ance with the provisions of such section of the election law;
(v) candidates for statewide office and candidates for member of the
legislature who file party designating petitions for nomination at a
primary election shall file such statement within [seven] TEN days after
the last day allowed by law for the filing of party designating
petitions naming them as candidates for the next succeeding primary
election;
(vi) candidates for independent nomination who have not been desig-
nated by a party to receive a nomination shall file such statement with-
in [seven] TEN days after the last day allowed by law for the filing of
independent nominating petitions naming them as candidates in the next
succeeding general or special election;
(vii) candidates who receive the nomination of a party for a special
election shall file such statement within [seven] TEN days after the
date of the meeting of the party committee at which they are nominated;
[and]
(viii) a candidate substituted for another candidate, who fills a
vacancy in a party designation or in an independent nomination, caused
by declination, shall file such statement within [seven] TEN days after
the last day allowed by law to file a certificate to fill a vacancy in
such party designation or independent nomination[.];
(IX) WITH RESPECT TO ALL CANDIDATES FOR MEMBER OF THE LEGISLATURE, THE
LEGISLATIVE ETHICS COMMISSION SHALL WITHIN FIVE DAYS OF RECEIPT PROVIDE
THE JOINT COMMISSION ON PUBLIC ETHICS THE STATEMENT FILED PURSUANT TO
SUBPARAGRAPHS (V), (VI), (VII) AND (VIII) OF THIS PARAGRAPH.
(b) As used in this subdivision, the terms "party", "committee" (when
used in conjunction with the term "party"), "designation", "primary",
"primary election", "nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in section 1-104 of the
election law.
(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 BOTH the legislative ethics
[committee] COMMISSION established by section eighty of the legislative
law AND THE JOINT COMMISSION ON PUBLIC ETHICS IN ACCORDANCE WITH PARA-
GRAPH (D-1) OF SUBDIVISION ONE OF THIS SECTION. If the reporting indi-
vidual is a statewide elected official, candidate for statewide elected
office, a state officer or employee or a political party chairman, such
S. 5679 7
statement shall be filed with the [state] JOINT COMMISSION ON PUBLIC
ethics [commission] established by section ninety-four of the executive
law.
(d) The [legislative ethics committee and the state] JOINT COMMISSION
ON PUBLIC ethics [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.
(e) Any person required to file such statement who commences employ-
ment after May fifteenth of any year and political party chairman shall
file such statement within thirty days after commencing employment or of
taking the position of political party chairman, as the case may be. IN
THE CASE OF MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOYEES, SUCH
STATEMENTS SHALL BE FILED WITH THE LEGISLATIVE ETHICS COMMISSION WITHIN
THIRTY DAYS AFTER COMMENCING EMPLOYMENT, AND THE LEGISLATIVE ETHICS
COMMISSION SHALL PROVIDE SUCH STATEMENTS TO THE JOINT COMMISSION ON
PUBLIC ETHICS WITHIN FORTY-FIVE DAYS OF RECEIPT.
(f) A person who may otherwise be required to file more than one annu-
al financial disclosure statement with both the [state ethics commis-
sion] JOINT COMMISSION ON PUBLIC ETHICS and the legislative ethics
[committee] COMMISSION in any one calendar year may satisfy such
requirement by filing one such statement with either body and by notify-
ing 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
commission [or ethics committee], 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 employer certain of whose officers or
employees are subject to filing a financial disclosure statement with
the [state ethics] JOINT commission ON PUBLIC ETHICS 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] COMMISSION shall not be subject to filing such state-
ment 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.
(h) A statewide elected official or member of the legislature, who is
simultaneously a candidate for statewide elected office or member of the
legislature, shall satisfy the filing deadline requirements of this
subdivision by complying only with the deadline applicable to one who
holds a statewide elected office or who holds the office of member of
the legislature.
(i) A candidate whose name will appear on both a party designating
petition and on an independent nominating petition for the same office
or who will be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this subdi-
vision by complying with the earliest applicable deadline only.
S. 5679 8
(j) A member of the legislature who is elected to such office at a
special election prior to May fifteenth in any year shall satisfy the
filing requirements of this subdivision in such year by complying with
the earliest applicable deadline only.
(K) THE JOINT COMMISSION ON PUBLIC ETHICS SHALL POST FOR AT LEAST FIVE
YEARS BEGINNING FOR FILINGS MADE ON JANUARY FIRST, TWO THOUSAND THIRTEEN
THE ANNUAL STATEMENT OF FINANCIAL DISCLOSURE AND ANY AMENDMENTS FILED BY
EACH PERSON SUBJECT TO THE REPORTING REQUIREMENTS OF THIS SUBDIVISION
WHO IS AN ELECTED OFFICIAL ON ITS WEBSITE FOR PUBLIC REVIEW WITHIN THIR-
TY DAYS OF ITS RECEIPT OF SUCH STATEMENT OR WITHIN TEN DAYS OF ITS
RECEIPT OF SUCH AMENDMENT THAT REFLECTS ANY CORRECTIONS OF DEFICIENCIES
IDENTIFIED BY THE COMMISSION OR BY THE REPORTING INDIVIDUAL AFTER THE
REPORTING INDIVIDUAL'S INITIAL FILING. EXCEPT UPON AN INDIVIDUAL DETER-
MINATION BY THE COMMISSION THAT CERTAIN INFORMATION MAY BE DELETED FROM
A REPORTING INDIVIDUAL'S ANNUAL STATEMENT OF FINANCIAL DISCLOSURE, NONE
OF THE INFORMATION IN THE STATEMENT POSTED ON THE COMMISSION'S WEBSITE
SHALL BE OTHERWISE DELETED.
3. The annual statement of financial disclosure shall contain the
information and shall be in the form 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.
_____________________________________________________________ .
(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 IN TABLE I OR TABLE II OF THIS SUBDIVISION AS CALLED FOR IN
THE QUESTION: [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 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.
S. 5679 9
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,
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 engaged in by the reporting individ-
ual. If such activity 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
Name & Address Local
Position of Organization Description Agency
S. 5679 10
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) 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
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
(IN TABLE II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 5679 11
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.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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, OR WORKS AS A
MEMBER OR EMPLOYEE OF A FIRM REQUIRED TO REGISTER PURSUANT TO
SECTION ONE-E OF THE LEGISLATIVE LAW AS A LOBBYIST, give a general
description of the principal subject areas of matters undertaken by
such individual. Additionally, if such an individual practices with
a firm or corporation and is a partner or shareholder of the firm or
corporation, give a general description of principal subject areas
of matters undertaken by such firm or corporation. [Do not list the
name of the individual clients, customers or patients.]
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE, OR FOR NEW MATTERS
FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT
ARE PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE:
IF THE REPORTING INDIVIDUAL PERSONALLY PROVIDES SERVICES TO ANY PERSON
OR ENTITY, OR WORKS AS A MEMBER OR EMPLOYEE OF A PARTNERSHIP OR CORPO-
RATION THAT PROVIDES SUCH SERVICES (REFERRED TO HEREINAFTER AS A
"FIRM"), THEN IDENTIFY EACH CLIENT OR CUSTOMER TO WHOM THE REPORTING
INDIVIDUAL PERSONALLY PROVIDED SERVICES, OR WHO WAS REFERRED TO THE FIRM
BY THE REPORTING INDIVIDUAL, AND FROM WHOM THE REPORTING INDIVIDUAL OR
HIS OR HER FIRM EARNED FEES IN EXCESS OF $10,000 DURING THE REPORTING
PERIOD FOR SUCH SERVICES RENDERED IN DIRECT CONNECTION WITH:
(I) A PROPOSED BILL OR RESOLUTION IN THE SENATE OR ASSEMBLY DURING THE
REPORTING PERIOD;
(II) A CONTRACT IN AN AMOUNT TOTALING $50,000 OR MORE FROM THE STATE
OR ANY STATE AGENCY FOR SERVICES, MATERIALS, OR PROPERTY;
(III) A GRANT OF $25,000 OR MORE FROM THE STATE OR ANY STATE AGENCY
DURING THE REPORTING PERIOD;
(IV) A GRANT OBTAINED THROUGH A LEGISLATIVE INITIATIVE DURING THE
REPORTING PERIOD; OR
(V) A CASE, PROCEEDING, APPLICATION OR OTHER MATTER THAT IS NOT A
MINISTERIAL MATTER BEFORE A STATE AGENCY DURING THE REPORTING PERIOD.
S. 5679 12
FOR PURPOSES OF THIS QUESTION, "REFERRED TO THE FIRM" SHALL MEAN:
HAVING INTENTIONALLY AND KNOWINGLY TAKEN A SPECIFIC ACT OR SERIES OF
ACTS TO INTENTIONALLY PROCURE FOR THE REPORTING INDIVIDUAL'S FIRM OR
KNOWINGLY SOLICIT OR DIRECT TO THE REPORTING INDIVIDUAL'S FIRM IN WHOLE
OR SUBSTANTIAL PART, A PERSON OR ENTITY THAT BECOMES A CLIENT OF THAT
FIRM FOR THE PURPOSES OF REPRESENTATION FOR A MATTER AS DEFINED IN
SUBPARAGRAPHS (I) THROUGH (V) OF THIS PARAGRAPH, AS THE RESULT OF SUCH
PROCUREMENT, SOLICITATION OR DIRECTION OF THE REPORTING INDIVIDUAL. A
REPORTING INDIVIDUAL NEED NOT DISCLOSE ACTIVITIES PERFORMED WHILE
LAWFULLY ACTING PURSUANT TO PARAGRAPHS (C), (D), (E) AND (F) OF SUBDIVI-
SION SEVEN OF SECTION SEVENTY-THREE OF THIS ARTICLE.
THE DISCLOSURE REQUIREMENT IN THIS QUESTION SHALL NOT REQUIRE DISCLO-
SURE OF CLIENTS OR CUSTOMERS RECEIVING MEDICAL OR DENTAL SERVICES,
MENTAL HEALTH SERVICES, RESIDENTIAL REAL ESTATE BROKERING SERVICES, OR
INSURANCE BROKERING SERVICES FROM THE REPORTING INDIVIDUAL OR HIS OR HER
FIRM. THE REPORTING INDIVIDUAL NEED NOT IDENTIFY ANY CLIENT TO WHOM HE
OR SHE OR HIS OR HER FIRM PROVIDED LEGAL REPRESENTATION WITH RESPECT TO
INVESTIGATION OR PROSECUTION BY LAW ENFORCEMENT AUTHORITIES, BANKRUPTCY,
OR DOMESTIC RELATIONS MATTERS. WITH RESPECT TO CLIENTS REPRESENTED IN
OTHER MATTERS, WHERE DISCLOSURE OF A CLIENT'S IDENTITY IS LIKELY TO
CAUSE HARM, THE REPORTING INDIVIDUAL SHALL REQUEST AN EXEMPTION FROM THE
JOINT COMMISSION PURSUANT TO PARAGRAPH (I) OF SUBDIVISION NINE OF
SECTION NINETY-FOUR OF THE EXECUTIVE LAW. ONLY A REPORTING INDIVIDUAL
WHO FIRST ENTERS PUBLIC OFFICE AFTER JULY FIRST, TWO THOUSAND TWELVE,
NEED NOT REPORT CLIENTS OR CUSTOMERS WITH RESPECT TO MATTERS FOR WHICH
THE REPORTING INDIVIDUAL OR HIS OR HER FIRM WAS RETAINED PRIOR TO ENTER-
ING PUBLIC OFFICE.
CLIENT NATURE OF SERVICES PROVIDED
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(c) 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 proper-
ty.
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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. 5679 13
Category
Self, of
Spouse or Name of Nature Value of
Child Donor Address of Gift Gift
(IN TABLE I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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*
(IN TABLE II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
* 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
S. 5679 14
individual after leaving office or position (other than a leave of
absence).
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
(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
(IN TABLE I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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
S. 5679 15
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.
Category
Source of Amount
(IN TABLE I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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
(IN TABLE I)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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
S. 5679 16
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
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
(IN TABLE II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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
(IN
TABLE
II)
____________________________________________________________________
____________________________________________________________________
S. 5679 17
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
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
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
(IN TABLE II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
19. List below all liabilities of the reporting individual and such
individual's spouse, in EXCESS of [$5,000] $10,000 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 report-
ing individual or such individual's spouse or by any proprietorship,
partnership 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
(IN TABLE II)
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
____________________________________________________________________
S. 5679 18
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)
TABLE I
CATEGORY A NONE
CATEGORY B $ 1 TO UNDER $ 1,000
CATEGORY C $ 1,000 TO UNDER $ 5,000
CATEGORY D $ 5,000 TO UNDER $ 20,000
CATEGORY E $ 20,000 TO UNDER $ 50,000
CATEGORY F $ 50,000 TO UNDER $ 75,000
CATEGORY G $ 75,000 TO UNDER $ 100,000
CATEGORY H $ 100,000 TO UNDER $ 150,000
CATEGORY I $ 150,000 TO UNDER $ 250,000
CATEGORY J $ 250,000 TO UNDER $ 350,000
CATEGORY K $ 350,000 TO UNDER $ 450,000
CATEGORY L $ 450,000 TO UNDER $ 550,000
CATEGORY M $ 550,000 TO UNDER $ 650,000
CATEGORY N $ 650,000 TO UNDER $ 750,000
CATEGORY O $ 750,000 TO UNDER $ 850,000
CATEGORY P $ 850,000 TO UNDER $ 950,000
CATEGORY Q $ 950,000 TO UNDER $1,050,000
CATEGORY R $1,050,000 TO UNDER $1,150,000
CATEGORY S $1,150,000 TO UNDER $1,250,000
CATEGORY T $1,250,000 TO UNDER $1,350,000
CATEGORY U $1,350,000 TO UNDER $1,450,000
CATEGORY V $1,450,000 TO UNDER $1,550,000
CATEGORY W $1,550,000 TO UNDER $1,650,000
CATEGORY X $1,650,000 TO UNDER $1,750,000
CATEGORY Y $1,750,000 TO UNDER $1,850,000
CATEGORY Z $1,850,000 TO UNDER $1,950,000
CATEGORY AA $1,950,000 TO UNDER $2,050,000
CATEGORY BB $2,050,000 TO UNDER $2,150,000
CATEGORY CC $2,150,000 TO UNDER $2,250,000
CATEGORY DD $2,250,000 TO UNDER $2,350,000
CATEGORY EE $2,350,000 TO UNDER $2,450,000
CATEGORY FF $2,450,000 TO UNDER $2,550,000
CATEGORY GG $2,550,000 TO UNDER $2,650,000
CATEGORY HH $2,650,000 TO UNDER $2,750,000
CATEGORY II $2,750,000 TO UNDER $2,850,000
CATEGORY JJ $2,850,000 TO UNDER $2,950,000
CATEGORY KK $2,950,000 TO UNDER $3,050,000
CATEGORY LL $3,050,000 TO UNDER $3,150,000
CATEGORY MM $3,150,000 TO UNDER $3,250,000
CATEGORY NN $3,250,000 TO UNDER $3,350,000
CATEGORY OO $3,350,000 TO UNDER $3,450,000
CATEGORY PP $3,450,000 TO UNDER $3,550,000
CATEGORY QQ $3,550,000 TO UNDER $3,650,000
CATEGORY RR $3,650,000 TO UNDER $3,750,000
CATEGORY SS $3,750,000 TO UNDER $3,850,000
CATEGORY TT $3,850,000 TO UNDER $3,950,000
CATEGORY UU $3,950,000 TO UNDER $4,050,000
S. 5679 19
CATEGORY VV $4,050,000 TO UNDER $4,150,000
CATEGORY WW $4,150,000 TO UNDER $4,250,000
CATEGORY XX $4,250,000 TO UNDER $4,350,000
CATEGORY YY $4,350,000 TO UNDER $4,450,000
CATEGORY ZZ $4,450,000 TO UNDER $4,550,000
CATEGORY AAA $4,550,000 TO UNDER $4,650,000
CATEGORY BBB $4,650,000 TO UNDER $4,750,000
CATEGORY CCC $4,750,000 TO UNDER $4,850,000
CATEGORY DDD $4,850,000 TO UNDER $4,950,000
CATEGORY EEE $4,950,000 TO UNDER $5,050,000
CATEGORY FFF $5,050,000 TO UNDER $5,150,000
CATEGORY GGG $5,150,000 TO UNDER $5,250,000
CATEGORY HHH $5,250,000 TO UNDER $5,350,000
CATEGORY III $5,350,000 TO UNDER $5,450,000
CATEGORY JJJ $5,450,000 TO UNDER $5,550,000
CATEGORY KKK $5,550,000 TO UNDER $5,650,000
CATEGORY LLL $5,650,000 TO UNDER $5,750,000
CATEGORY MMM $5,750,000 TO UNDER $5,850,000
CATEGORY NNN $5,580,000 TO UNDER $5,950,000
CATEGORY OOO $5,950,000 TO UNDER $6,050,000
CATEGORY PPP $6,050,000 TO UNDER $6,150,000
CATEGORY QQQ $6,150,000 TO UNDER $6,250,000
CATEGORY RRR $6,250,000 TO UNDER $6,350,000
CATEGORY SSS $6,350,000 TO UNDER $6,450,000
CATEGORY TTT $6,450,000 TO UNDER $6,550,000
CATEGORY UUU $6,550,000 TO UNDER $6,650,000
CATEGORY VVV $6,650,000 TO UNDER $6,750,000
CATEGORY WWW $6,750,000 TO UNDER $6,850,000
CATEGORY XXX $6,850,000 TO UNDER $6,950,000
CATEGORY YYY $6,950,000 TO UNDER $7,050,000
CATEGORY ZZZ $7,050,000 TO UNDER $7,150,000
CATEGORY AAAA $7,150,000 TO UNDER $7,250,000
CATEGORY BBBB $7,250,000 TO UNDER $7,350,000
CATEGORY CCCC $7,350,000 TO UNDER $7,450,000
CATEGORY DDDD $7,450,000 TO UNDER $7,550,000
CATEGORY EEEE $7,550,000 TO UNDER $7,650,000
CATEGORY FFFF $7,650,000 TO UNDER $7,750,000
CATEGORY GGGG $7,750,000 TO UNDER $7,850,000
CATEGORY HHHH $7,850,000 TO UNDER $7,950,000
CATEGORY IIII $7,950,000 TO UNDER $8,050,000
CATEGORY JJJJ $8,050,000 TO UNDER $8,150,000
CATEGORY KKKK $8,150,000 TO UNDER $8,250,000
CATEGORY LLLL $8,250,000 TO UNDER $8,350,000
CATEGORY MMMM $8,350,000 TO UNDER $8,450,000
CATEGORY NNNN $8,450,000 TO UNDER $8,550,000
CATEGORY OOOO $8,550,000 TO UNDER $8,650,000
CATEGORY PPPP $8,650,000 TO UNDER $8,750,000
CATEGORY QQQQ $8,750,000 TO UNDER $8,850,000
CATEGORY RRRR $8,850,000 TO UNDER $8,950,000
CATEGORY SSSS $8,950,000 TO UNDER $9,050,000
CATEGORY TTTT $9,050,000 TO UNDER $9,150,000
CATEGORY UUUU $9,150,000 TO UNDER $9,250,000
CATEGORY VVVV $9,250,000 TO UNDER $9,350,000
CATEGORY WWWW $9,350,000 TO UNDER $9,450,000
CATEGORY XXXX $9,450,000 TO UNDER $9,550,000
CATEGORY YYYY $9,550,000 TO UNDER $9,650,000
S. 5679 20
CATEGORY ZZZZ $9,650,000 TO UNDER $9,750,000
CATEGORY AAAAA $9,750,000 TO UNDER $9,850,000
CATEGORY BBBBB $9,850,000 TO UNDER $9,950,000
CATEGORY CCCCC $9,950,000 TO UNDER $10,000,000
CATEGORY DDDDD $10,000,000 OR OVER
TABLE II
CATEGORY A NONE
CATEGORY B $ 1 TO UNDER $ 1,000
CATEGORY C $ 1,000 TO UNDER $ 5,000
CATEGORY D $ 5,000 TO UNDER $ 20,000
CATEGORY E $ 20,000 TO UNDER $ 50,000
CATEGORY F $ 50,000 TO UNDER $ 75,000
CATEGORY G $ 75,000 TO UNDER $ 100,000
CATEGORY H $ 100,000 TO UNDER $ 150,000
CATEGORY I $ 150,000 TO UNDER $ 250,000
CATEGORY J $ 250,000 TO UNDER $ 500,000
CATEGORY K $ 500,000 TO UNDER $ 750,000
CATEGORY L $ 750,000 TO UNDER $1,000,000
CATEGORY M $1,000,000 TO UNDER $1,250,000
CATEGORY N $1,250,000 TO UNDER $1,500,000
CATEGORY O $1,500,000 TO UNDER $1,750,000
CATEGORY P $1,750,000 TO UNDER $2,000,000
CATEGORY Q $2,000,000 TO UNDER $2,250,000
CATEGORY R $2,250,000 TO UNDER $2,500,000
CATEGORY S $2,500,000 TO UNDER $2,750,000
CATEGORY T $2,750,000 TO UNDER $3,000,000
CATEGORY U $3,000,000 TO UNDER $3,250,000
CATEGORY V $3,250,000 TO UNDER $3,500,000
CATEGORY W $3,500,000 TO UNDER $3,750,000
CATEGORY X $3,750,000 TO UNDER $4,000,000
CATEGORY Y $4,000,000 TO UNDER $4,250,000
CATEGORY Z $4,250,000 TO UNDER $4,500,000
CATEGORY AA $4,500,000 TO UNDER $4,750,000
CATEGORY BB $4,750,000 TO UNDER $5,000,000
CATEGORY CC $5,000,000 TO UNDER $5,250,000
CATEGORY DD $5,250,000 TO UNDER $5,500,000
CATEGORY EE $5,500,000 TO UNDER $5,750,000
CATEGORY FF $5,750,000 TO UNDER $6,000,000
CATEGORY GG $6,000,000 TO UNDER $6,250,000
CATEGORY HH $6,250,000 TO UNDER $6,500,000
CATEGORY II $6,500,000 TO UNDER $6,750,000
CATEGORY JJ $6,750,000 TO UNDER $7,000,000
CATEGORY KK $7,000,000 TO UNDER $7,250,000
CATEGORY LL $7,250,000 TO UNDER $7,500,000
CATEGORY MM $7,500,000 TO UNDER $7,750,000
CATEGORY NN $7,750,000 TO UNDER $8,000,000
CATEGORY OO $8,000,000 TO UNDER $8,250,000
CATEGORY PP $8,250,000 TO UNDER $8,500,000
CATEGORY QQ $8,500,000 TO UNDER $8,750,000
CATEGORY RR $8,750,000 TO UNDER $9,000,000
CATEGORY SS $9,000,000 TO UNDER $9,250,000
CATEGORY TT $9,250,000 TO UNDER $9,500,000
CATEGORY UU $9,500,000 OR OVER
4. A reporting individual who knowingly and wilfully fails to file an
annual statement of financial disclosure or who knowingly and wilfully
S. 5679 21
with intent to deceive makes a false statement or gives information
which such individual knows to be false on such statement of financial
disclosure filed pursuant to this section shall be subject to a civil
penalty in an amount not to exceed [ten] FORTY thousand dollars. Assess-
ment of a civil penalty hereunder shall be made by the [state] JOINT
COMMISSION ON PUBLIC ethics [commission] or by the legislative ethics
[committee] COMMISSION, as the case may be, with respect to persons
subject to their respective jurisdictions. The [state] JOINT COMMISSION
ON PUBLIC ethics [commission] acting pursuant to subdivision [thirteen]
FOURTEEN of section ninety-four of the executive law or the legislative
ethics [committee] COMMISSION acting pursuant to subdivision [twelve]
ELEVEN of section eighty of the legislative law, as the case may be,
may, in lieu of OR IN ADDITION TO 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 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 crim-
inal may be imposed for a failure to file, or for a false filing, of
such statement, except that the appointing authority may impose disci-
plinary action as otherwise provided by law. The [state] JOINT COMMIS-
SION ON PUBLIC ethics [commission] and the legislative ethics [commit-
tee] COMMISSION shall each 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 relating to the assessment of the civil penalties herein author-
ized. Such rules, which shall not be subject to the approval require-
ments of the state administrative procedure act, shall provide for due
process procedural mechanisms substantially similar to those set forth
in such article three but such mechanisms need not be identical in terms
or scope. Assessment of a civil penalty shall be final unless modified,
suspended or vacated within thirty days of imposition and upon becoming
final shall be subject to review at the instance of the affected report-
ing individual in a proceeding commenced against the [state] JOINT
COMMISSION ON PUBLIC ethics [commission or legislative ethics committee]
OR THE LEGISLATIVE ETHICS COMMISSION, pursuant to article seventy-eight
of the civil practice law and rules.
5. Nothing contained in this section shall be construed as precluding
any public authority or public benefit corporation from exercising any
authority or power now or hereafter existing to require any of its
members, directors, officers or employees to file financial disclosure
statements with such public authority or public benefit corporation that
are the same as, different from or supplemental to any of the require-
ments contained herein and to provide only for internal employment
discipline for any violation arising out of such internal filing.
6. NOTWITHSTANDING ANY OTHER PROVISION OF LAW OR ANY PROFESSIONAL
DISCIPLINARY RULE TO THE CONTRARY, THE DISCLOSURE OF THE IDENTITY OF ANY
CLIENT OR CUSTOMER ON A REPORTING INDIVIDUAL'S ANNUAL STATEMENT OF
FINANCIAL DISCLOSURE SHALL NOT CONSTITUTE PROFESSIONAL MISCONDUCT OR A
GROUND FOR DISCIPLINARY ACTION OF ANY KIND, OR FORM THE BASIS FOR ANY
CIVIL OR CRIMINAL CAUSE OF ACTION OR PROCEEDING.
S 6. 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
S. 5679 22
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:
S 94. [Commission] JOINT COMMISSION on public [integrity] ETHICS;
functions, powers and duties; review of financial disclosure statements;
advisory opinions; investigation and enforcement.
1. There is established within the department of state a JOINT commis-
sion on public [integrity] ETHICS which shall consist of [thirteen]
FOURTEEN members and shall have and exercise the powers and duties set
forth in this section [only] with respect to statewide elected
officials, MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF THE LEGISLATURE,
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 FOR THE SENATE OR ASSEMBLY, and the political party
chairman as that term is defined in section seventy-three-a 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 individ-
uals 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] BE DEEMED TO HAVE REVOKED OR RESCINDED any regu-
lations or advisory opinions issued by THE LEGISLATIVE ETHICS COMMIS-
SION, THE COMMISSION ON PUBLIC INTEGRITY, the state ethics commission
and the temporary lobbying commission in effect upon the effective date
of [a] chapter FOURTEEN of the laws of two thousand seven 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 regulations and opinions, which will address the consistency of
such regulations and opinions among each other and with the new statuto-
ry language, AND OF THE EFFECTIVENESS OF THE EXISTING LAWS, REGULATIONS,
GUIDANCE AND ETHICS ENFORCEMENT STRUCTURE TO ADDRESS THE ETHICS OF
COVERED PUBLIC OFFICIALS AND RELATED PARTIES. SUCH REVIEW SHALL BE
CONDUCTED WITH THE LEGISLATIVE ETHICS COMMISSION AND, TO THE EXTENT
POSSIBLE, THE REPORT'S FINDINGS SHALL REFLECT THE FULL INPUT AND DELIB-
ERATIONS OF BOTH COMMISSIONS AFTER JOINT CONSULTATION. The commission
shall, before [April first, two thousand eight] FEBRUARY FIRST, TWO
THOUSAND FIFTEEN, report to the governor and legislature regarding such
review and shall propose any regulatory OR STATUTORY changes and issue
any advisory opinions necessitated by such review.
2. The members of the commission shall be appointed [by the governor
provided, however, that one member shall be appointed on the nomination
of the comptroller, one member shall be appointed on the nomination of
the attorney general, one member] AS FOLLOWS: THREE MEMBERS shall be
appointed [on the nomination of] BY the temporary president of the
senate, [one member] THREE MEMBERS shall be appointed [on the nomination
of] BY the speaker of the assembly, one member shall be appointed [on
the nomination of] BY the minority leader of the senate, [and] one
member shall be appointed [on the nomination of] BY the minority leader
of the assembly, AND SIX MEMBERS SHALL BE APPOINTED BY THE GOVERNOR AND
THE LIEUTENANT GOVERNOR. IN THE EVENT THAT A VACANCY ARISES WITH
RESPECT TO A MEMBER OF THE COMMISSION FIRST APPOINTED PURSUANT TO THE
S. 5679 23
CHAPTER OF THE LAWS OF TWO THOUSAND ELEVEN WHICH AMENDED THIS SUBDIVI-
SION BY A LEGISLATIVE LEADER, THE LEGISLATIVE LEADERS OF THE SAME POLI-
TICAL PARTY IN THE SAME HOUSE SHALL APPOINT A MEMBER TO FILL SUCH VACAN-
CY IRRESPECTIVE OF WHETHER THAT LEGISLATIVE LEADER'S POLITICAL PARTY IS
IN THE MAJORITY OR MINORITY. 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. No
member shall be 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, or a lobbyist as defined in
subdivision (a) of section one-c of the legislative law] AND THE LIEU-
TENANT GOVERNOR, AT LEAST THREE MEMBERS SHALL BE AND SHALL HAVE BEEN FOR
AT LEAST THREE YEARS ENROLLED MEMBERS OF THE MAJOR POLITICAL PARTY IN
WHICH THE GOVERNOR IS NOT ENROLLED. IN THE EVENT OF A VACANCY IN A
POSITION PREVIOUSLY APPOINTED BY THE GOVERNOR AND LIEUTENANT GOVERNOR,
THE GOVERNOR AND LIEUTENANT GOVERNOR SHALL APPOINT A MEMBER OF THE SAME
POLITICAL PARTY AS THE MEMBER THAT VACATED THAT POSITION. PRIOR TO
MAKING THEIR RESPECTIVE APPOINTMENTS, THE GOVERNOR AND THE LIEUTENANT
GOVERNOR AND THE LEGISLATIVE LEADERS SHALL SOLICIT AND RECEIVE RECOMMEN-
DATIONS FOR APPOINTEES FROM THE ATTORNEY GENERAL AND THE COMPTROLLER OF
THE STATE OF NEW YORK, WHICH RECOMMENDATIONS SHALL BE FULLY AND PROPERLY
CONSIDERED BUT SHALL NOT BE BINDING.
NO INDIVIDUAL SHALL BE ELIGIBLE FOR APPOINTMENT AS A MEMBER OF THE
COMMISSION WHO CURRENTLY OR WITHIN THE LAST THREE YEARS:
(I) IS OR HAS BEEN REGISTERED AS A LOBBYIST IN NEW YORK STATE;
(II) IS OR HAS BEEN A MEMBER OF THE NEW YORK STATE LEGISLATURE OR A
STATEWIDE ELECTED OFFICIAL OR A COMMISSIONER OF AN EXECUTIVE AGENCY
APPOINTED BY THE GOVERNOR; OR
(III) IS OR HAS BEEN A POLITICAL PARTY CHAIRMAN, AS DEFINED IN PARA-
GRAPH (K) OF SUBDIVISION ONE OF SECTION SEVENTY-THREE OF THIS ARTICLE.
NO INDIVIDUAL SHALL BE ELIGIBLE FOR APPOINTMENT AS A MEMBER OF THE
COMMISSION WHO CURRENTLY OR WITHIN THE LAST YEAR IS OR HAS BEEN A STATE
OFFICER OR EMPLOYEE OR LEGISLATIVE EMPLOYEE AS DEFINED IN SECTION SEVEN-
TY-THREE OF THE PUBLIC OFFICERS LAW.
3. Members of the commission shall serve for terms of five years;
provided, however, that of the members first appointed [without prior
nomination] BY THE GOVERNOR AND LIEUTENANT GOVERNOR, 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 gover-
nor; the members first appointed [on the nominations of the comptroller
and] BY the temporary president of the senate AND BY THE SPEAKER OF THE
ASSEMBLY shall serve for four years and the members first appointed [on
the nominations of the attorney general and the speaker of] BY THE
MINORITY LEADERS OF THE SENATE AND the assembly shall serve for two
years.
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. The chairman or any [seven] EIGHT members of the
commission may call a meeting.
5. Any vacancy occurring on the commission shall be filled within
[sixty] THIRTY days of its occurrence[, by the governor,] 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
S. 5679 24
a term of office shall be appointed for the unexpired term of the member
he OR SHE succeeds.
6. [Seven] EIGHT 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 EXCEPT WHERE THE
COMMISSION ACTS PURSUANT TO SUBDIVISION THIRTEEN, SUBDIVISION FOURTEEN-A
OR SUBDIVISION FOURTEEN-B OF THIS SECTION.
7. Members of the commission may be removed by the [governor] APPOINT-
ING AUTHORITY SOLELY for substantial neglect of duty, gross misconduct
in office, VIOLATION OF THE CONFIDENTIALITY RESTRICTIONS IN SUBDIVISION
NINE-A OF THIS SECTION, inability to discharge the powers or duties of
office or violation of this section, after written notice and opportu-
nity for a reply.
8. [The members of the commission shall not receive compensation but
shall be reimbursed for reasonable expenses incurred in the performance
of their official duties] THE MEMBERS OF THE JOINT COMMISSION SHALL
RECEIVE A PER DIEM ALLOWANCE IN THE SUM OF THREE HUNDRED DOLLARS FOR
EACH DAY ACTUALLY SPENT IN THE PERFORMANCE OF HIS OR HER DUTIES UNDER
THIS ARTICLE, 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.
9. The commission shall:
(a) Appoint an executive director who shall act in accordance with the
policies of the commission. THE APPOINTMENT AND REMOVAL OF THE EXECU-
TIVE DIRECTOR SHALL BE MADE SOLELY BY A VOTE OF A MAJORITY OF THE
COMMISSION, WHICH MAJORITY SHALL INCLUDE AT LEAST ONE MEMBER APPOINTED
BY THE GOVERNOR FROM EACH OF THE TWO MAJOR POLITICAL PARTIES, AND ONE
MEMBER APPOINTED BY A LEGISLATIVE LEADER FROM EACH OF THE TWO MAJOR
POLITICAL PARTIES. The commission may delegate authority to the execu-
tive 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, AND THE COMMISSION SHALL NOT
DELEGATE ANY DECISIONS SPECIFIED IN THIS SECTION THAT REQUIRE A VOTE OF
THE COMMISSION. THE EXECUTIVE DIRECTOR SHALL BE APPOINTED WITHOUT
REGARD TO POLITICAL AFFILIATION AND SOLELY ON THE BASIS OF FITNESS TO
PERFORM THE DUTIES ASSIGNED BY THIS ARTICLE, AND SHALL BE A QUALIFIED,
INDEPENDENT PROFESSIONAL. THE COMMISSION MAY REMOVE THE EXECUTIVE
DIRECTOR FOR NEGLECT OF DUTY, MISCONDUCT IN OFFICE, VIOLATION OF THE
CONFIDENTIALITY RESTRICTIONS IN SUBDIVISION NINE-A OF THIS SECTION, OR
INABILITY OR FAILURE TO DISCHARGE THE POWERS OR DUTIES OF OFFICE,
INCLUDING THE FAILURE TO FOLLOW THE LAWFUL INSTRUCTIONS OF THE COMMIS-
SION;
(b) Appoint such other staff as are necessary to carry out its duties
under this section;
(B-1) REVIEW AND APPROVE A STAFFING PLAN PROVIDED AND PREPARED BY THE
EXECUTIVE DIRECTOR WHICH SHALL CONTAIN, AT A MINIMUM, A LIST OF THE
VARIOUS UNITS AND DIVISIONS AS WELL AS THE NUMBER OF POSITIONS IN EACH
UNIT, TITLES AND THEIR DUTIES, AND SALARIES, AS WELL AS THE VARIOUS
QUALIFICATIONS FOR EACH POSITION INCLUDING, BUT NOT LIMITED TO, EDUCA-
TION AND PRIOR EXPERIENCE FOR EACH POSITION.
(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-
od of time within which to file such statement, OTHER THAN MEMBERS OF
THE LEGISLATURE, CANDIDATES FOR MEMBERS OF THE LEGISLATURE AND LEGISLA-
S. 5679 25
TIVE EMPLOYEES, 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;
(D-1) ADOPT, AMEND AND RESCIND RULES AND REGULATIONS DEFINING THE
PERMISSIBLE USE OF AND PROMOTING THE PROPER USE OF PUBLIC SERVICE
ANNOUNCEMENTS;
(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;
(g) 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 WITH THE JOINT
COMMISSION ON PUBLIC ETHICS to request THAT 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 other-
wise 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 determination pursuant to its rules
governing adjudicatory proceedings and appeals adopted pursuant to
subdivision [thirteen] FOURTEEN of this section;
(i) Permit any person [subject to the jurisdiction of the commission]
who is required to file a financial disclosure statement WITH THE JOINT
COMMISSION ON PUBLIC ETHICS to request an exemption from any requirement
to report one or more items of information 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 notification of denial,
shall inform the person of his or her right to appeal the commission's
determination pursuant to its rules governing adjudicatory proceedings
and appeals adopted pursuant to subdivision [thirteen] FOURTEEN of this
section;
(I-1) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO REQUEST AN EXEMPTION FROM ANY REQUIREMENT TO REPORT THE IDENTITY
OF A CLIENT PURSUANT TO QUESTION 8(B) IN SUCH STATEMENT BASED UPON AN
EXEMPTION SET FORTH IN THAT QUESTION. THE REPORTING INDIVIDUAL NEED NOT
S. 5679 26
SEEK AN EXEMPTION TO REFRAIN FROM DISCLOSING THE IDENTITY OF ANY CLIENT
WITH RESPECT TO ANY MATTER HE OR SHE OR HIS OR HER FIRM PROVIDED LEGAL
REPRESENTATION TO THE CLIENT IN CONNECTION WITH AN INVESTIGATION OR
PROSECUTION BY LAW ENFORCEMENT AUTHORITIES, BANKRUPTCY, OR DOMESTIC
RELATIONS MATTERS; IN ADDITION, CLIENTS OR CUSTOMERS RECEIVING MEDICAL
OR DENTAL SERVICES, MENTAL HEALTH SERVICES, RESIDENTIAL REAL ESTATE
BROKERING SERVICES, OR INSURANCE BROKERING SERVICES NEED NOT BE
DISCLOSED.
(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-
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
include: (i) 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 (ii) where a matter
has been resolved, the date and nature of the disposition and any sanc-
tion 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 subdi-
vision [seventeen] NINETEEN 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[.]; AND
(N) 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-
S. 5679 27
TION 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; (III) UPON COMPLETION OF THE PRELIMINARY
EXAMINATION, 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 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 TAKE ADDITIONAL
ACTIONS, AS APPROPRIATE AND CONSISTENT WITH LAW.
9-A. (A) WHEN AN INDIVIDUAL BECOMES A COMMISSIONER OR STAFF OF THE
COMMISSION, THAT INDIVIDUAL SHALL BE REQUIRED TO SIGN A NON-DISCLOSURE
STATEMENT.
(B) EXCEPT AS OTHERWISE REQUIRED OR PROVIDED BY LAW, TESTIMONY
RECEIVED OR ANY OTHER INFORMATION OBTAINED BY A COMMISSIONER OR STAFF OF
THE COMMISSION SHALL NOT BE DISCLOSED BY ANY SUCH INDIVIDUAL TO ANY
PERSON OR ENTITY OUTSIDE THE COMMISSION DURING THE PENDENCY OF ANY
MATTER. 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.
(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 INSPECTOR GENERAL AND APPROPRIATE ACTION
SHALL BE TAKEN. ANY COMMISSIONER OR PERSON EMPLOYED BY THE COMMISSION
WHO INTENTIONALLY AND WITHOUT AUTHORIZATION RELEASES CONFIDENTIAL INFOR-
MATION RECEIVED BY THE COMMISSION SHALL BE GUILTY OF A CLASS A MISDEMEA-
NOR.
9-B. DURING THE PERIOD OF HIS OR HER SERVICE AS A COMMISSIONER OF THE
COMMISSION, EACH COMMISSIONER SHALL REFRAIN FROM MAKING, OR SOLICITING
FROM OTHER PERSONS, ANY CONTRIBUTIONS TO CANDIDATES FOR ELECTION TO THE
OFFICES OF GOVERNOR, LIEUTENANT GOVERNOR, MEMBER OF THE ASSEMBLY OR THE
SENATE, ATTORNEY GENERAL OR STATE COMPTROLLER.
10. THE COMMISSION SHALL PREPARE MATERIALS AND DESIGN AND ADMINISTER
AN ETHICS TRAINING PROGRAM FOR INDIVIDUALS SUBJECT TO THE FINANCIAL
DISCLOSURE REQUIREMENTS OF SECTION SEVENTY-THREE-A OF THE PUBLIC OFFI-
CERS LAW WITH RESPECT TO THE PROVISIONS OF SECTIONS SEVENTY-THREE,
SEVENTY-THREE-A, AND SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW AND ANY
OTHER LAW, ADMINISTRATIVE REGULATION, OR INTERNAL POLICY THAT IS OF
RELEVANCE TO THE ETHICAL CONDUCT OF SUCH INDIVIDUALS IN PUBLIC SERVICE,
AS FOLLOWS:
(A) THE COMMISSION SHALL DEVELOP AND ADMINISTER A COMPREHENSIVE ETHICS
TRAINING COURSE AND SHALL DESIGNATE AND TRAIN INSTRUCTORS TO CONDUCT
SUCH TRAINING. SUCH COURSE SHALL BE DESIGNED AS A TWO-HOUR PROGRAM AND
SHALL INCLUDE PRACTICAL APPLICATION OF THE MATERIAL COVERED AND A QUES-
TION-AND-ANSWER PARTICIPATORY SEGMENT. UNLESS THE COMMISSION GRANTS AN
EXTENSION OR WAIVER FOR GOOD CAUSE SHOWN, ALL INDIVIDUALS SUBJECT TO THE
FINANCIAL DISCLOSURE REQUIREMENTS OF SECTION SEVENTY-THREE-A OF THE
PUBLIC OFFICERS LAW SHALL COMPLETE SUCH COURSE WITHIN TWO YEARS OF THE
EFFECTIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND ELEVEN WHICH
AMENDED THIS SECTION, OR FOR THOSE INDIVIDUALS ELECTED OR APPOINTED
AFTER THE EFFECTIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND
ELEVEN WHICH AMENDED THIS SECTION, WITHIN TWO YEARS OF BECOMING SUBJECT
S. 5679 28
TO THE FINANCIAL DISCLOSURE REQUIREMENTS OF SECTION SEVENTY-THREE-A OF
THE PUBLIC OFFICERS LAW.
(B) THE COMMISSION SHALL DEVELOP AND ADMINISTER AN ONLINE ETHICS
ORIENTATION COURSE AND SHALL NOTIFY ALL INDIVIDUALS NEWLY SUBJECT TO THE
FINANCIAL DISCLOSURE REQUIREMENTS OF SECTION SEVENTY-THREE-A OF THE
PUBLIC OFFICERS LAW OF SUCH COURSE, WHICH SHALL BE COMPLETED BY SUCH
INDIVIDUALS WITHIN THREE MONTHS OF BECOMING SUBJECT TO SUCH REQUIRE-
MENTS, UNLESS THE COMMISSION GRANTS AN EXTENSION OR WAIVER FOR GOOD
CAUSE SHOWN. INDIVIDUALS WHO HAVE COMPLETED THE COMPREHENSIVE ETHICS
TRAINING COURSE SHALL NOT BE REQUIRED TO COMPLETE THE ONLINE ETHICS
ORIENTATION COURSE.
(C) THE COMMISSION SHALL DEVELOP AND ADMINISTER AN ETHICS SEMINAR OR
ETHICS SEMINARS FOR INDIVIDUALS WHO HAVE PREVIOUSLY COMPLETED THE
COMPREHENSIVE ETHICS TRAINING COURSE. SUCH SEMINARS SHALL BE DESIGNED AS
NINETY-MINUTE PROGRAMS AND SHALL INCLUDE ANY CHANGES IN LAW, REGULATION,
OR POLICY OR IN THE INTERPRETATION THEREOF, PRACTICAL APPLICATION OF THE
MATERIAL COVERED, AND A QUESTION-AND-ANSWER SEGMENT. UNLESS THE COMMIS-
SION GRANTS AN EXTENSION OR WAIVER FOR GOOD CAUSE SHOWN, SUCH INDIVID-
UALS SHALL BE SCHEDULED TO ATTEND A SEMINAR AT LEAST ONCE EVERY THREE
YEARS AFTER HAVING COMPLETED THE COMPREHENSIVE ETHICS TRAINING COURSE.
IN LIEU OF ATTENDING AN ETHICS SEMINAR, SUCH INDIVIDUALS MAY COMPLETE A
SUBSEQUENT COMPREHENSIVE ETHICS TRAINING PROGRAM.
(D) THE PROVISIONS OF THIS SUBDIVISION SHALL BE APPLICABLE TO THE
LEGISLATURE EXCEPT TO THE EXTENT THAT AN ETHICS TRAINING PROGRAM IS
OTHERWISE ESTABLISHED BY THE ASSEMBLY OR SENATE FOR THEIR RESPECTIVE
MEMBERS AND EMPLOYEES AND SUCH PROGRAM MEETS OR EXCEEDS EACH OF THE
REQUIREMENTS SET FORTH IN THIS SECTION.
(E) ON AN ANNUAL BASIS, THE JOINT COMMISSION IN COORDINATION WITH THE
LEGISLATIVE ETHICS COMMISSION SHALL DETERMINE THE STATUS OF COMPLIANCE
WITH THESE TRAINING REQUIREMENTS BY EACH STATE AGENCY AND BY THE SENATE
AND THE ASSEMBLY. SUCH DETERMINATION SHALL INCLUDE AGGREGATE STATISTICS
REGARDING PARTICIPATION IN SUCH TRAINING, AND SHALL BE REPORTED TO THE
GOVERNOR AND THE LEGISLATURE IN WRITING.
11. The commission, or the executive director and staff of the commis-
sion if responsibility therefor has been delegated, shall inspect all
financial disclosure statements filed with the commission to ascertain
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.] 12. If a person required to file a financial disclosure state-
ment with the commission has failed to file a disclosure statement or
has filed a deficient statement, the commission shall notify the report-
ing person in writing, state the failure to file or detail the deficien-
cy, 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, MEMBER OF THE LEGISLATURE, OR A LEGISLATIVE EMPLOYEE, 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 offi-
S. 5679 29
cial, state officer or employee, MEMBER OF THE ASSEMBLY OR THE SENATE,
OR A LEGISLATIVE EMPLOYEE OR A political party chair or while a candi-
date for statewide office, or within one year after termination of such
service or candidacy. The jurisdiction of the commission, when acting
pursuant to subdivision [thirteen] FOURTEEN of this section with respect
to financial disclosure, shall continue notwithstanding that the report-
ing person separates from state service, or ceases to hold PUBLIC OR
POLITICAL PARTY office [as a statewide elected official or political
party chair], or ceases to be a candidate, provided the commission noti-
fies such person of the alleged failure to file or deficient filing
pursuant to this subdivision.
[12.] 13. (a) INVESTIGATIONS. 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, section one
hundred seven of the civil service law or article one-A of the legisla-
tive law by a person or entity subject to the jurisdiction of the
commission INCLUDING MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOY-
EES AND CANDIDATES FOR MEMBER OF THE LEGISLATURE, 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. [If the
commission thereafter makes a determination that further inquiry is
justified, it shall give the individual an opportunity to be heard.] THE
COMMISSION SHALL, WITHIN FORTY-FIVE CALENDAR DAYS AFTER A COMPLAINT OR A
REFERRAL IS RECEIVED OR AN INVESTIGATION IS INITIATED ON THE COMMIS-
SION'S OWN INITIATIVE, VOTE ON WHETHER TO COMMENCE A FULL INVESTIGATION
OF THE MATTER UNDER CONSIDERATION TO DETERMINE WHETHER A SUBSTANTIAL
BASIS EXISTS TO CONCLUDE THAT A VIOLATION OF LAW HAS OCCURRED. THE
STAFF OF THE JOINT COMMISSION SHALL PROVIDE TO THE MEMBERS PRIOR TO SUCH
VOTE INFORMATION REGARDING THE LIKELY SCOPE AND CONTENT OF THE INVESTI-
GATION, AND A SUBPOENA PLAN, TO THE EXTENT SUCH INFORMATION IS AVAIL-
ABLE. SUCH INVESTIGATION SHALL BE CONDUCTED IF AT LEAST EIGHT MEMBERS
OF THE COMMISSION VOTE TO AUTHORIZE IT. WHERE THE SUBJECT OF SUCH
INVESTIGATION IS A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE
OR A CANDIDATE FOR MEMBER OF THE LEGISLATURE, AT LEAST TWO OF THE EIGHT
OR MORE MEMBERS WHO SO VOTE TO AUTHORIZE SUCH AN INVESTIGATION MUST HAVE
BEEN APPOINTED BY A LEGISLATIVE LEADER OR LEADERS FROM THE MAJOR POLI-
TICAL PARTY IN WHICH THE SUBJECT OF THE PROPOSED INVESTIGATION IS
ENROLLED IF SUCH PERSON IS ENROLLED IN A MAJOR POLITICAL PARTY. WHERE
THE SUBJECT OF SUCH INVESTIGATION IS A STATE OFFICER OR STATE EMPLOYEE,
AT LEAST TWO OF THE EIGHT OR MORE MEMBERS WHO SO VOTE TO AUTHORIZE SUCH
AN INVESTIGATION MUST HAVE BEEN APPOINTED BY THE GOVERNOR AND LIEUTENANT
GOVERNOR. WHERE THE SUBJECT OF SUCH INVESTIGATION IS A STATEWIDE ELECTED
OFFICIAL OR A DIRECT APPOINTEE OF SUCH AN OFFICIAL, AT LEAST TWO OF THE
EIGHT OR MORE MEMBERS WHO SO VOTE TO AUTHORIZE SUCH AN INVESTIGATION
MUST HAVE BEEN APPOINTED BY THE GOVERNOR AND LIEUTENANT GOVERNOR AND BE
ENROLLED IN THE MAJOR POLITICAL PARTY IN WHICH THE SUBJECT OF THE
PROPOSED INVESTIGATION IS ENROLLED, IF SUCH PERSON IS ENROLLED IN A
MAJOR POLITICAL PARTY.
(B) SUBSTANTIAL BASIS INVESTIGATION. UPON THE AFFIRMATIVE VOTE OF NOT
LESS THAN EIGHT COMMISSION MEMBERS TO COMMENCE A SUBSTANTIAL BASIS
INVESTIGATION, WRITTEN NOTICE OF THE COMMISSION'S DECISION SHALL BE
S. 5679 30
PROVIDED TO THE INDIVIDUAL WHO IS THE SUBJECT OF SUCH SUBSTANTIAL BASIS
INVESTIGATION. SUCH WRITTEN NOTICE SHALL INCLUDE A COPY OF THE COMMIS-
SION'S RULES AND PROCEDURES AND SHALL ALSO INCLUDE NOTIFICATION OF SUCH
INDIVIDUAL'S RIGHT TO BE HEARD WITHIN THIRTY CALENDAR DAYS OF THE DATE
OF THE COMMISSION'S WRITTEN NOTICE. The commission shall also inform the
individual of its rules regarding the conduct of adjudicatory
proceedings and appeals and the other 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. 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 OR MEMBER OF THE LEGISLATURE OR LEGISLA-
TIVE EMPLOYEE separates from state service, or a political 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 subdivision 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.] 14. 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 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 finan-
cial 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 statement of financial
disclosure filed pursuant to section seventy-three-a of the public offi-
cers 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 bene-
fit received as a result of such violation. An individual who knowingly
and intentionally violates the provisions of paragraph A, b, c, d, E, G,
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 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 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 knowing-
S. 5679 31
ly and willfully violates article one-A of the legislative law shall be
subject to civil penalty as provided for in that article. [Assessment]
EXCEPT WITH RESPECT TO MEMBERS OF THE LEGISLATURE AND LEGISLATIVE
EMPLOYEES, ASSESSMENT of a civil penalty hereunder shall be made by the
commission with respect to persons subject to its jurisdiction. WITH
RESPECT TO A VIOLATION OF ANY LAW OTHER THAN SECTIONS SEVENTY-THREE,
SEVENTY-THREE-A, AND SEVENTY-FOUR OF THE PUBLIC OFFICERS LAW, WHERE THE
COMMISSION FINDS SUFFICIENT CAUSE BY A VOTE HELD IN THE SAME MANNER AS
SET FORTH IN PARAGRAPH (B) OF SUBDIVISION THIRTEEN OF THIS SECTION, IT
SHALL REFER SUCH MATTER TO THE APPROPRIATE PROSECUTOR FOR FURTHER INVES-
TIGATION. 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] EXCEPT
WITH RESPECT TO MEMBERS OF THE LEGISLATURE AND LEGISLATIVE EMPLOYEES,
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 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,] MAY, IN LIEU OF OR IN ADDITION TO 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 SUBDIVISION SIX OF section seventy-
three of the public officers law, except that the appointing authority
may impose disciplinary action as otherwise provided by law. The commis-
sion may refer violations of this subdivision to the appointing authori-
ty for 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 author-
ized in paragraph (h) or paragraph (i) of subdivision nine of this
section. Such rules, which shall not be subject to the approval require-
ments of the state administrative procedure act, shall provide for due
process procedural mechanisms substantially similar to those set forth
in article three of the state administrative procedure act but such
mechanisms need not be identical 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 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 the commission has a reasonable basis to believe that any
person subject to the jurisdiction of the legislative ethics commission
S. 5679 32
may have violated any provisions of section seventy-three or seventy-
four of the public officers law, it shall refer such violation to the
legislative ethics commission 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 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.
14.] 14-A. THE JOINT COMMISSION ON PUBLIC ETHICS SHALL HAVE JURISDIC-
TION TO INVESTIGATE, BUT SHALL HAVE NO JURISDICTION TO IMPOSE PENALTIES
UPON MEMBERS OF OR CANDIDATES FOR MEMBER OF THE LEGISLATURE OR LEGISLA-
TIVE EMPLOYEES FOR ANY VIOLATION OF THE PUBLIC OFFICERS LAW. IF, AFTER
ITS SUBSTANTIAL BASIS INVESTIGATION, BY A VOTE OF AT LEAST EIGHT
MEMBERS, TWO OF WHOM ARE ENROLLED MEMBERS OF THE INVESTIGATED INDIVID-
UAL'S POLITICAL PARTY IF THE INDIVIDUAL IS ENROLLED IN A MAJOR POLITICAL
PARTY AND WERE APPOINTED BY A LEGISLATIVE LEADER OF SUCH POLITICAL
PARTY, THE JOINT COMMISSION ON PUBLIC ETHICS HAS FOUND A SUBSTANTIAL
BASIS TO CONCLUDE THAT A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE
EMPLOYEE OR CANDIDATE FOR MEMBER OF THE LEGISLATURE HAS VIOLATED ANY
PROVISIONS OF SUCH LAWS, IT SHALL PRESENT A WRITTEN REPORT TO THE LEGIS-
LATIVE ETHICS COMMISSION, AND DELIVER A COPY OF THE REPORT TO THE INDI-
VIDUAL WHO IS THE SUBJECT OF THE REPORT. SUCH WRITTEN REPORT SHALL
INCLUDE:
(A) THE COMMISSION'S FINDINGS OF FACT AND ANY EVIDENCE ADDRESSED IN
SUCH FINDINGS; CONCLUSIONS OF LAW AND CITATIONS TO ANY RELEVANT LAW,
RULE, OPINION, REGULATION OR STANDARD OF CONDUCT UPON WHICH IT RELIED;
AND
(B) A DETERMINATION THAT A SUBSTANTIAL BASIS EXISTS TO CONCLUDE THAT A
VIOLATION HAS OCCURRED, AND THE REASONS AND BASIS FOR SUCH DETERMI-
NATION.
THE JOINT COMMISSION SHALL ALSO SEPARATELY PROVIDE TO THE LEGISLATIVE
ETHICS COMMISSION COPIES OF ADDITIONAL DOCUMENTS OR OTHER EVIDENCE
CONSIDERED INCLUDING EVIDENCE THAT MAY CONTRADICT THE JOINT COMMISSION'S
FINDINGS, THE NAMES OF AND OTHER INFORMATION REGARDING ANY ADDITIONAL
WITNESSES, AND ANY OTHER MATERIALS. WITH RESPECT TO A VIOLATION OF ANY
LAW OTHER THAN SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
OF THE PUBLIC OFFICERS LAW, WHERE THE JOINT COMMISSION FINDS SUFFICIENT
CAUSE BY A VOTE HELD IN THE SAME MANNER AS SET FORTH IN PARAGRAPH (B) OF
SUBDIVISION THIRTEEN OF THIS SECTION, IT SHALL REFER SUCH MATTER TO THE
APPROPRIATE PROSECUTOR.
14-B. WITH RESPECT TO THE INVESTIGATION OF ANY INDIVIDUAL WHO IS NOT A
MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE OR CANDIDATE FOR
MEMBER OF THE LEGISLATURE, IF AFTER ITS INVESTIGATION THE JOINT COMMIS-
SION HAS FOUND A SUBSTANTIAL BASIS TO CONCLUDE THAT THE INDIVIDUAL HAS
VIOLATED THE PUBLIC OFFICERS LAW OR THE LEGISLATIVE LAW, THE JOINT
COMMISSION SHALL SEND A SUBSTANTIAL BASIS INVESTIGATION REPORT CONTAIN-
ING ITS FINDINGS OF FACT AND CONCLUSIONS OF LAW TO THE INDIVIDUAL. WITH
RESPECT TO AN INDIVIDUAL WHO IS A STATEWIDE ELECTED OFFICIAL OR A DIRECT
APPOINTEE OF SUCH AN OFFICIAL, NO VIOLATION MAY BE FOUND UNLESS THE
MAJORITY VOTING IN SUPPORT OF SUCH A FINDING INCLUDES AT LEAST TWO
MEMBERS APPOINTED BY THE GOVERNOR AND LIEUTENANT GOVERNOR AND ENROLLED
IN THE INDIVIDUAL'S MAJOR POLITICAL PARTY, IF HE OR SHE IS ENROLLED IN A
MAJOR POLITICAL PARTY. WHERE THE SUBJECT OF SUCH INVESTIGATION IS A
STATE OFFICER OR EMPLOYEE WHO IS NOT A DIRECT APPOINTEE OF A STATEWIDE
ELECTED OFFICIAL, AT LEAST TWO OF THE EIGHT OR MORE MEMBERS WHO VOTE TO
S. 5679 33
ISSUE A SUBSTANTIAL BASIS INVESTIGATION REPORT MUST HAVE BEEN APPOINTED
BY THE GOVERNOR AND LIEUTENANT GOVERNOR. THE COMMISSION SHALL RELEASE
SUCH REPORT PUBLICLY WITHIN FORTY-FIVE DAYS OF ITS ISSUANCE.
14-C. WITH RESPECT TO AN INVESTIGATION OF A LOBBYIST, IF AFTER ITS
INVESTIGATION THE JOINT COMMISSION HAS FOUND A SUBSTANTIAL BASIS TO
CONCLUDE THAT THE LOBBYIST HAS VIOLATED THE LEGISLATIVE LAW, THE JOINT
COMMISSION SHALL ISSUE A SUBSTANTIAL BASIS INVESTIGATION REPORT CONTAIN-
ING ITS FINDINGS OF FACT AND CONCLUSIONS OF LAW TO THE LOBBYIST AND
SHALL MAKE PUBLIC SUCH REPORT WITHIN FORTY-FIVE DAYS OF ITS ISSUANCE.
15. A copy of any notice of delinquency or [notice of reasonable cause
sent pursuant to subdivisions eleven and twelve of this section]
SUBSTANTIAL BASIS INVESTIGATION REPORT shall be included in the report-
ing person's file and be available for public inspection and copying
PURSUANT TO THE PROVISIONS OF THIS SECTION.
[15.] 16. Upon written request from any person who is subject to the
jurisdiction of the commission and the requirements of sections seven-
ty-three, seventy-three-a or seventy-four of the public officers law,
OTHER THAN MEMBERS OF THE LEGISLATURE, CANDIDATES FOR MEMBER OF THE
LEGISLATURE AND EMPLOYEES OF THE LEGISLATURE, the commission shall
render WRITTEN 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.] 17. 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] FOUR-
TEEN 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)] (C) Conduct any investigation necessary to carry out the
provisions of this section. Pursuant to this power and duty, the commis-
sion 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;
[16-a.] 18. 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] NINETEEN of this
section, other than financial disclosure statements[,] FILED BY STATE
OFFICERS OR EMPLOYEES OR LEGISLATIVE EMPLOYEES, and any other records or
information which the commission determines to be appropriate.
S. 5679 34
[17.] 19. (a) Notwithstanding the provisions of article six of the
public officers law, the only records of the commission which shall be
available 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] TWELVE 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;
[(5)] (4) the terms of any settlement or compromise of a complaint or
referral which includes a fine, penalty or other remedy; [and
(6)] (5) those required to be held or maintained publicly available
pursuant to article one-A of the legislative law[.]; AND
(6) SUBSTANTIAL BASIS INVESTIGATION REPORTS ISSUED BY THE COMMISSION
PURSUANT TO SUBDIVISION FOURTEEN-A OR FOURTEEN-B OF THIS SECTION. WITH
RESPECT TO REPORTS CONCERNING MEMBERS OF THE LEGISLATURE OR LEGISLATIVE
EMPLOYEES OR CANDIDATES FOR MEMBER OF THE LEGISLATURE, THE JOINT COMMIS-
SION SHALL NOT PUBLICLY DISCLOSE OR OTHERWISE DISSEMINATE SUCH REPORTS
EXCEPT IN CONFORMANCE WITH THE REQUIREMENTS OF PARAGRAPH (B) OF SUBDIVI-
SION NINE OF SECTION EIGHTY 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.
(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
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] 20. If any part or provision of this section or the application
thereof to any person or organization 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 or organization, but shall be
confined in its operation to such part or provision.
S 7. Section 1-d of the legislative law is amended by adding a new
subdivision (h) to read as follows:
(H) PROVIDE AN ONLINE ETHICS TRAINING COURSE FOR INDIVIDUALS REGIS-
TERED AS LOBBYISTS PURSUANT TO SECTION ONE-E OF THIS ARTICLE. THE
CURRICULUM FOR THE COURSE SHALL INCLUDE, BUT NOT BE LIMITED TO, EXPLANA-
TIONS AND DISCUSSIONS OF THE STATUTES AND REGULATIONS OF NEW YORK
CONCERNING ETHICS IN THE PUBLIC OFFICERS LAW, THE ELECTION LAW, THE
S. 5679 35
LEGISLATIVE LAW, SUMMARIES OF ADVISORY OPINIONS, UNDERLYING PURPOSES AND
PRINCIPLES OF THE RELEVANT LAWS, AND EXAMPLES OF PRACTICAL APPLICATION
OF THESE LAWS AND PRINCIPLES. THE COMMISSION SHALL PREPARE THOSE METHODS
AND MATERIALS NECESSARY TO IMPLEMENT THE CURRICULUM. EACH INDIVIDUAL
REGISTERED AS A LOBBYIST PURSUANT TO SECTION ONE-E OF THIS ARTICLE SHALL
COMPLETE SUCH TRAINING COURSE AT LEAST ONCE IN ANY THREE-YEAR PERIOD
DURING WHICH HE OR SHE IS REGISTERED AS A LOBBYIST.
S 7-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 AND PAID BY
VIRTUE OF THE BUSINESS RELATIONSHIP.
S 7-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 A LOBBYIST AND THE STATEWIDE ELECTED OFFI-
CIAL, STATE OFFICER OR EMPLOYEE, MEMBER OF THE LEGISLATURE OR LEGISLA-
TIVE EMPLOYEE AND ENTITY; AND
(III) THE COMPENSATION, INCLUDING EXPENSES, TO BE PAID AND PAID BY
VIRTUE OF THE BUSINESS RELATIONSHIP.
S 8. Section 1-c of the legislative law is amended by adding a new
subdivision (w) to read as follows:
(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
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 9. Section 80 of the legislative law, as amended by chapter 14 of
the laws of 2007, is amended to read as follows:
S 80. Legislative ethics commission; functions, powers and duties;
review of financial disclosure statements; advisory opinions; [investi-
gation and enforcement] IMPOSITION OF PENALTIES OR OTHER ENFORCEMENT
ACTIONS. 1. There is established a legislative ethics commission which
shall consist of nine members. 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
S. 5679 36
minority leader of the senate and one by the minority leader of the
assembly. The remaining five members shall not be present or former
members of the legislature, candidates for member of the legislature,
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, as defined in section one-c of this chapter,
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, as defined in
section one-c of this chapter in the previous five years, 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, one by the minority leader of the assembly, and one jointly by
the speaker of the assembly and majority leader of the senate. The
commission shall serve as described in this section and have and exer-
cise the powers and duties set forth in this section only with respect
to members of the legislature, legislative employees as defined in
section seventy-three of the public officers law, candidates for member
of the legislature and individuals who have formerly held such positions
or who have formerly been such candidates.
2. 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. The member of the commission first appointed jointly by the
TEMPORARY president of the senate and speaker of the assembly shall
serve a four year term. Each member of the commission who is not a
member of the legislature shall be appointed thereafter for a term of
four years.
3. 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 five members of the commission.
4. Any vacancy occurring on the commission shall be filled within
thirty days by the appointing authority.
5. 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.
6. The members of the commission WHO ARE NOT MEMBERS OF THE LEGISLA-
TURE shall be reimbursed for reasonable expenses [incurred] AND RECEIVE
A PER DIEM ALLOWANCE IN THE SUM OF THREE HUNDRED DOLLARS FOR EACH DAY
SPENT in the performance of their official duties.
7. The commission shall:
a. Appoint an executive director who shall act in accordance with the
policies of the commission, PROVIDED THAT THE COMMISSION MAY REMOVE THE
EXECUTIVE DIRECTOR FOR NEGLECT OF DUTY, MISCONDUCT IN OFFICE, OR INABIL-
ITY OR FAILURE TO DISCHARGE THE POWERS OR DUTIES OF OFFICE;
b. Appoint such other staff as are necessary to assist it to carry out
its duties under this section;
c. 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;
S. 5679 37
d. Administer the provisions of this section;
e. 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;
f. Promulgate guidelines to assist appointing authorities in determin-
ing 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 guidelines to
assist any firm, association or corporation in which any present or
former statewide elected official, state officer or employee, member of
the legislature or legislative employee, or political party chairman 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;
g. 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 AS PROVIDED BY THE
JOINT COMMISSION ON PUBLIC ETHICS;
h. 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 filed by legislative employees 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;
i. [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;
j. Permit any person required to file a financial disclosure statement
to request an exemption from any requirement to report one or more items
of information which pertain to such person's spouse or unemancipated
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 infor-
mation 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;
S. 5679 38
k. 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;
l. Receive and act on 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 commission 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;
m. Accept and act upon, 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 officers law may have
occurred involving persons subject to the jurisdiction of the commis-
sion;
n.] 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 WRITTEN opinion rendered by the commission, until and unless
amended or revoked, shall be binding on the LEGISLATIVE ETHICS commis-
sion 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. THE JOINT
COMMISSION ON PUBLIC ETHICS SHALL NOT INVESTIGATE AN INDIVIDUAL FOR
POTENTIAL VIOLATIONS OF LAW BASED UPON CONDUCT APPROVED AND COVERED IN
ITS ENTIRETY BY SUCH AN OPINION, EXCEPT THAT SUCH OPINION SHALL NOT
PREVENT OR PRECLUDE AN INVESTIGATION OF AND REPORT TO THE LEGISLATIVE
ETHICS COMMISSION CONCERNING THE CONDUCT OF THE PERSON WHO OBTAINED IT
BY THE JOINT COMMISSION ON PUBLIC ETHICS FOR VIOLATIONS OF SECTION
SEVENTY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THE PUBLIC OFFICERS
LAW TO DETERMINE WHETHER THE PERSON ACCURATELY AND FULLY REPRESENTED TO
THE LEGISLATIVE ETHICS COMMISSION THE FACTS RELEVANT TO THE FORMAL ADVI-
SORY OPINION AND WHETHER THE PERSON'S CONDUCT CONFORMED TO THOSE FACTUAL
REPRESENTATIONS. THE JOINT COMMISSION SHALL BE AUTHORIZED AND SHALL HAVE
JURISDICTION TO INVESTIGATE POTENTIAL VIOLATIONS OF THE LAW ARISING FROM
CONDUCT OUTSIDE OF THE SCOPE OF THE TERMS OF THE ADVISORY OPINION; AND
[o.] J. 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;
[p.] K. Develop educational materials and training with regard to
legislative ethics for members of the legislature and legislative
employees INCLUDING AN ONLINE ETHICS ORIENTATION COURSE FOR NEWLY-HIRED
EMPLOYEES AND, AS REQUESTED BY THE SENATE OR THE ASSEMBLY, MATERIALS AND
TRAINING IN RELATION TO A COMPREHENSIVE ETHICS TRAINING PROGRAM; and
[q.] L. Prepare an annual report to the governor and legislature
summarizing the activities of the commission during the previous year
and recommending any changes in the laws governing the conduct of
persons subject to the jurisdiction of the commission, or the rules,
S. 5679 39
regulations and procedures governing the commission's conduct. Such
report shall include: (i) a listing by assigned number of each complaint
and [referral] REPORT received FROM THE JOINT COMMISSION ON PUBLIC
ETHICS which alleged a possible violation within its jurisdiction,
including the current status of each complaint, and (ii) where a matter
has been resolved, the date and nature of the disposition and any sanc-
tion imposed, subject to the confidentiality requirements of this
section. Such annual report shall not contain any information for which
disclosure is not permitted pursuant to subdivision [fourteen] TWELVE of
this section.
8. [The commission, or the executive director and staff of the commis-
sion if responsibility regarding such financial disclosure statements
filed by legislative employees has been delegated, shall inspect all
financial disclosure statements 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 seventy-three, seventy-three-a or seventy-four of the public
officers law.
9. 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 report-
ing person in writing, state the failure to file or detail the deficien-
cy, 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 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 temporary presi-
dent of the senate and/or the speaker of the assembly, as the case may
be, 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
eleven 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.
10. a. 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
commission determines on its own initiative to investigate a possible
violation by a reporting person or a legislative employee subject to the
provisions of such laws, the commission shall notify the reporting
person in writing, describe the possible or alleged violation thereof
and provide the person with a fifteen day period in which to submit a
S. 5679 40
written response setting forth information relating to the activities
cited as a possible or alleged violation of law. If the commission ther-
eafter 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 has been rectified, it
shall so advise the reporting person and the complainant, if any. 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 senator, to the temporary president of the
senate, and if a member of the assembly, to the speaker of the assembly;
and (iv) 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 juris-
diction over such appointing authority.
c.] The jurisdiction of the commission TO IMPOSE PENALTIES 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 HAS BEEN NOTI-
FIED of the alleged violation of law [pursuant to paragraph a of this
subdivision] 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.
11.] 9. (A) An individual subject to the jurisdiction of the commis-
sion WITH RESPECT TO THE IMPOSITION OF PENALTIES who knowingly and
intentionally violates the provisions of subdivisions two through [five]
FIVE-A, seven, eight, twelve, fourteen or fifteen of section seventy-
three of the public officers 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 gives information which such individual 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 intentionally violates
the provisions of paragraph A, b, c, d, E, G, 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. [Any such 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 equal to the value of any gift, compensation or
benefit received as a result of such violation.] 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 seri-
S. 5679 41
ousness 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 legislative ethics commission may, in lieu of OR IN
ADDITION TO a civil penalty, refer a violation to the appropriate prose-
cutor and upon such conviction, but only after such referral, such
violation shall be punishable as a class A misdemeanor. WHERE THE
COMMISSION FINDS SUFFICIENT CAUSE, IT SHALL REFER SUCH MATTER TO THE
APPROPRIATE PROSECUTOR. 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 fail-
ure to file, or for a false filing, of such statement, or a violation of
SUBDIVISION SIX OF section seventy-three of the public officers law,
except that the appointing authority may impose disciplinary action as
otherwise provided by law. The legislative ethics 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 author-
ized [and commission denials of requests for certain deletions or
exemptions to be made from a financial disclosure statement as author-
ized in paragraph i or paragraph j of subdivision seven 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 similar 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 commis-
sion 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 legislative ethics
commission, pursuant to article seventy-eight of the civil practice law
and rules.
[12.] (B) NOT LATER THAN FORTY-FIVE CALENDAR DAYS AFTER RECEIPT FROM
THE JOINT COMMISSION ON PUBLIC ETHICS OF A WRITTEN SUBSTANTIAL BASIS
INVESTIGATION REPORT AND ANY SUPPORTING DOCUMENTATION OR OTHER MATERIALS
REGARDING A MATTER BEFORE THE COMMISSION PURSUANT TO SUBDIVISION FOUR-
TEEN-A OF SECTION NINETY-FOUR OF THE EXECUTIVE LAW, UNLESS REQUESTED BY
A LAW ENFORCEMENT AGENCY TO SUSPEND THE COMMISSION'S ACTION BECAUSE OF
AN ONGOING CRIMINAL INVESTIGATION, THE LEGISLATIVE ETHICS COMMISSION
SHALL MAKE PUBLIC SUCH REPORT IN ITS ENTIRETY; PROVIDED, HOWEVER, THAT
THE COMMISSION MAY WITHHOLD SUCH INFORMATION FOR NOT MORE THAN ONE ADDI-
TIONAL PERIOD OF THE SAME DURATION OR REFER THE MATTER BACK TO THE JOINT
COMMISSION ON PUBLIC ETHICS ONCE FOR ADDITIONAL INVESTIGATION, IN WHICH
CASE THE LEGISLATIVE ETHICS COMMISSION SHALL, UPON THE TERMINATION OF
SUCH ADDITIONAL PERIOD OR UPON RECEIPT OF A NEW REPORT BY THE JOINT
COMMISSION ON PUBLIC ETHICS AFTER SUCH ADDITIONAL INVESTIGATION, MAKE
PUBLIC THE WRITTEN REPORT AND PUBLISH IT ON THE COMMISSION'S WEBSITE.
S. 5679 42
IF THE LEGISLATIVE ETHICS COMMISSION FAILS TO MAKE PUBLIC THE WRITTEN
REPORT RECEIVED FROM THE JOINT COMMISSION IN ACCORDANCE WITH THIS PARA-
GRAPH, THE JOINT COMMISSION SHALL RELEASE SUCH REPORT PUBLICLY PROMPTLY
AND IN ANY EVENT NO LATER THAN TEN DAYS AFTER THE LEGISLATIVE ETHICS
COMMISSION IS REQUIRED TO RELEASE SUCH REPORT. THE LEGISLATIVE ETHICS
COMMISSION SHALL NOT REFER THE MATTER BACK TO THE JOINT COMMISSION ON
PUBLIC ETHICS FOR ADDITIONAL INVESTIGATION MORE THAN ONCE. IF THE
COMMISSION REFERS THE MATTER BACK TO THE JOINT COMMISSION FOR ADDITIONAL
FACT-FINDING, THE JOINT COMMISSION'S ORIGINAL REPORT SHALL REMAIN CONFI-
DENTIAL.
10. UPON RECEIPT OF A WRITTEN REPORT FROM THE JOINT COMMISSION ON
PUBLIC ETHICS PURSUANT TO SUBDIVISION FOURTEEN-A OF SECTION
SEVENTY-THREE OF THE PUBLIC OFFICERS LAW, THE LEGISLATIVE ETHICS COMMIS-
SION SHALL COMMENCE ITS REVIEW OF THE MATTER ADDRESSED IN SUCH REPORT.
NO LATER THAN NINETY DAYS AFTER RECEIPT OF SUCH REPORT, THE LEGISLATIVE
ETHICS COMMISSION SHALL DISPOSE OF THE MATTER BY MAKING ONE OR MORE OF
THE FOLLOWING DETERMINATIONS:
A. WHETHER THE LEGISLATIVE ETHICS COMMISSION CONCURS WITH THE JOINT
COMMISSION'S CONCLUSIONS OF LAW AND THE REASONS THEREFOR;
B. WHETHER AND WHICH PENALTIES HAVE BEEN ASSESSED PURSUANT TO APPLICA-
BLE LAW OR RULE AND THE REASONS THEREFOR; AND
C. WHETHER FURTHER ACTIONS HAVE BEEN TAKEN BY THE COMMISSION TO PUNISH
OR DETER THE MISCONDUCT AT ISSUE AND THE REASONS THEREFOR.
THE COMMISSION'S DISPOSITION SHALL BE REPORTED IN WRITING AND
PUBLISHED ON ITS WEBSITE NO LATER THAN TEN DAYS AFTER SUCH DISPOSITION
UNLESS REQUESTED BY A LAW ENFORCEMENT AGENCY TO SUSPEND THE COMMISSION'S
ACTION BECAUSE OF AN ONGOING CRIMINAL INVESTIGATION.
11. 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 offi-
cers law, section one hundred seven of the civil service law, or article
one-A of this chapter, it shall refer such violation to such oversight
body unless the commission determines that such a referral would compro-
mise the prosecution or confidentiality of its [investigations]
PROCEEDINGS and, if so, shall make such a referral as soon as practica-
ble. The referral by the commission shall include any information relat-
ing thereto coming into the custody or under the control of the commis-
sion at any time prior or subsequent to the time of the referral.
[13. A copy of any notice of delinquency or notice of reasonable cause
sent pursuant to subdivisions nine and ten of this section shall be
included in the reporting person's file and be available for public
inspection and copying.
14.] 12. a. Notwithstanding the provisions of article six of the
public officers law, the only records of the commission which shall be
available 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 be confi-
dential, and any other item of information deleted pursuant to paragraph
i of subdivision seven of this section;
(2) financial disclosure statements filed pursuant to subdivision six
of section seventy-three of the public officers law;
(3) notices of delinquency sent under subdivision nine of this
section;
(4) notices of reasonable cause sent under paragraph b of subdivision
ten of this section;
S. 5679 43
(5) 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;
(6)] the terms of any settlement or compromise of a complaint or
referral OR REPORT which includes a fine, penalty or other remedy
REACHED AFTER THE COMMISSION HAS RECEIVED A REPORT FROM THE JOINT
COMMISSION ON PUBLIC ETHICS PURSUANT TO SUBDIVISION FOURTEEN-A OF
SECTION NINETY-FOUR OF THE EXECUTIVE LAW;
[(7)] (2) generic advisory opinions; [and
(8)] (3) all reports required by this section[.]; AND
(4) ALL REPORTS RECEIVED FROM THE JOINT COMMISSION ON PUBLIC ETHICS
PURSUANT TO SUBDIVISION FOURTEEN-A OF SECTION NINETY-FOUR OF THE EXECU-
TIVE LAW AND IN CONFORMANCE WITH PARAGRAPH (B) OF SUBDIVISION NINE-B OF
THIS SECTION.
b. Notwithstanding the provisions of article seven of the public offi-
cers 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.
[15.] 13. 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 JOINT commission ON PUBLIC ETHICS, and which
shall contain [the documents identified in subdivision fourteen of this
section, other than financial disclosure statements, and] any other
records or information which the commission determines to be appropri-
ate.
[16.] 14. This section shall not revoke or rescind any policies,
rules, regulations or advisory opinions issued by the legislative ethics
committee in effect upon the effective date of this subdivision, to the
extent that such regulations or opinions are not inconsistent with any
laws of the state of New York. The legislative ethics commission shall
undertake a comprehensive review of all such policies, rules, regu-
lations or advisory opinions which will address the consistency of such
policies, rules, regulations or advisory opinions with the laws of the
state of New York. The legislative ethics commission shall, before April
first, two thousand eight, report to the governor and legislature
regarding such review and shall propose any regulatory changes and issue
any advisory opinions necessitated by such review.
[17.] 15. Separability clause. If any part or provision of this
section or the application thereof to any person 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 application thereof to any other person, but shall be confined to
such part or provision.
S 10. Paragraph (h) of subdivision 8 of section 73 of the public offi-
cers law, as added by chapter 514 of the laws of 2002, is amended to
read as follows:
(h) Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of this subdivision, a former state officer or employee
may contract individually, or as a member or employee of a firm, corpo-
ration or association, to render services to any state agency when the
agency head certifies in writing to the [state ethics] JOINT commission
ON PUBLIC ETHICS that the services of such former officer or employee
are required in connection with the agency's response to a disaster
S. 5679 44
emergency declared by the governor pursuant to section twenty-eight of
the executive law.
S 11. The opening paragraph of subdivision 8-a of section 73 of the
public officers law, as amended by chapter 357 of the laws of 2001, is
amended to read as follows:
The provisions of subparagraphs (i) and (ii) of paragraph (a) of
subdivision eight of this section shall not apply to any such former
state officer or employee engaged in any of the specific permitted
activities defined in this subdivision that are related to any civil
action or proceeding in any state or federal court, provided that the
attorney general has certified in writing to the [state ethics] JOINT
commission ON PUBLIC ETHICS, with a copy to such former state officer or
employee, that the services are rendered on behalf of the state, a state
agency, state officer or employee, or other person or entity represented
by the attorney general, and that such former state officer or employee
has expertise, knowledge or experience which is unique or outstanding in
a field or in a particular matter or which would otherwise be generally
unavailable at a comparable cost to the state, a state agency, state
officer or employee, or other person or entity represented by the attor-
ney general in such civil action or proceeding. In those instances where
a state agency is not represented by the attorney general in a civil
action or proceeding in state or federal court, a former state officer
or employee may engage in permitted activities provided that the general
counsel of the state agency, after consultation with the [state ethics]
JOINT commission ON PUBLIC ETHICS, provides to the [state ethics] JOINT
commission ON PUBLIC ETHICS a written certification which meets the
requirements of this subdivision. For purposes of this subdivision the
term "permitted activities" shall mean generally any activity performed
at the request of the attorney general or the attorney general's desig-
nee, or in cases where the state agency is not represented by the attor-
ney general, the general counsel of such state agency, including without
limitation:
S 12. Subdivision 8-b of section 73 of the public officers law, as
added by chapter 523 of the laws of 2004, is amended to read as follows:
8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of subdivision eight of this section, a former state offi-
cer or employee may contract individually, or as a member or employee of
a firm, corporation or association, to render services to any state
agency if, prior to engaging in such service, the agency head certifies
in writing to the [state ethics] JOINT commission ON PUBLIC ETHICS that
such former officer or employee has expertise, knowledge or experience
with respect to a particular matter which meets the needs of the agency
and is otherwise unavailable at a comparable cost. Where approval of the
contract is required under section one hundred twelve of the state
finance law, the comptroller shall review and consider the reasons for
such certification. The [state ethics] JOINT commission ON PUBLIC ETHICS
must review and approve all certifications made pursuant to this subdi-
vision.
S 13. Subdivision 10 of section 73 of the public officers law, as
amended by chapter 813 of the laws of 1987, is amended to read as
follows:
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
S. 5679 45
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
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] JOINT COMMISSION ON PUBLIC ethics [commission]
or by the legislative ethics committee 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] ARTICLE is a member, asso-
ciate, retired member, of counsel or shareholder, from appearing, prac-
ticing, 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] ARTICLE does not share in the net revenues, as defined
in accordance with generally accepted accounting principles by the
[state] JOINT COMMISSION ON PUBLIC ethics [commission] or by the legis-
lative ethics committee in relation to persons subject to their respec-
tive jurisdictions, resulting therefrom, or, acting in good faith,
reasonably believed that he or she would not share in the net revenues
as so defined.
S 14. Transfer of records. The state commission on public integrity,
shall deliver to the joint commission on public ethics all books,
papers, records, and property as requested by the joint commission.
S 15. Continuity of authority. For the purpose of succession to all
functions, powers, duties and obligations transferred and assigned to,
devolved upon and assumed by it pursuant to this act, the joint commis-
sion on public ethics shall be deemed and held to constitute the contin-
uation of the state commission on public integrity.
S 16. Completion of unfinished business. Any business or other matter
undertaken or commenced by the state commission on public integrity or
the legislative ethics commission pertaining to or connected with the
functions, powers, obligations and duties hereby transferred and
assigned to the joint commission on public ethics, and pending on the
effective date of this act may be conducted and completed by the joint
commission on public ethics in the same manner and under the same terms
and conditions and with the same effect as if conducted and completed by
the former state commission on public integrity or the legislative
ethics commission.
S 17. Terms occurring in laws, contracts and other documents. Whenever
the state commission on public integrity is referred to or designated in
S. 5679 46
any law, contract or documents pertaining solely to those functions,
powers, obligations and duties hereby transferred and assigned to the
joint commission on public ethics, such reference or designation shall
be deemed to refer to the joint commission on public ethics as created
by this act.
S 18. 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 19. Pending actions and proceedings. No action or proceeding pending
at the time when this act shall take effect, brought by or against the
state commission on public integrity shall be affected by this act, but
the same may be prosecuted or defended in the name of the joint commis-
sion on public ethics and upon application to the court, the joint
commission on public ethics shall be substituted as a party.
S 20. Notwithstanding any contrary provision of the state finance law,
transfer of appropriations heretofore made to the state commission on
public integrity, all appropriations or reappropriations for the func-
tions herein transferred heretofore made to the state commission on
public integrity, 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 trans-
ferred to the joint commission on public ethics to the extent necessary
to carry out its functions, powers and duties subject to the approval of
the director of the budget for the same purposes for which originally
appropriated or reappropriated and shall be payable on vouchers certi-
fied or approved by the joint commission on public ethics on audit and
warrant of the comptroller.
S 21. No later than June 1, 2014, the governor and the legislative
leaders shall jointly appoint a review commission to review and evaluate
the activities and performance of the joint commission on public ethics
and the legislative ethics commission in implementing the provisions of
this act. On or before March 1, 2015, the review commission shall report
to the governor and the legislature on its review and evaluation which
report shall include any administrative and legislative recommendations
on strengthening the administration and enforcement of the ethics law in
New York state. The review commission shall be comprised of eight
members and the governor and the legislative leaders shall jointly
designate a chair from among the members.
S 22. This act shall take effect immediately, provided that:
1. the state commission on public integrity shall continue to accept
filings and provide records as otherwise required but shall not other-
wise investigate, discipline or provide advisory opinions;
2. the joint commission on public ethics shall be fully operational on
or before the one hundred twentieth day after this act shall have become
a law and until such time as it becomes operational (a) the state
commission on public integrity shall deposit all records in its
possession with the inspector general and (b) the legislative ethics
commission shall continue to exercise such functions, powers, obli-
gations and duties to be transferred to the joint commission on public
ethics; and
3. section four of this act, the amendments to subdivision 3 of
section 73-a of the public officers law made by section five of this
act, paragraph (i-1) of subdivision 9 of section 94 of the executive
law, as added by section six of this act, and the amendments to subpara-
graph 1 of paragraph (a) of subdivision 19 of section 94 of the execu-
S. 5679 47
tive law, made by section six of this act, shall take effect January 1,
2013.
PART B
Section 1. Subdivision (c) of section 1-h of the legislative law is
amended by adding a new paragraph 4 to read as follows:
(4) ANY LOBBYIST REGISTERED PURSUANT TO SECTION ONE-E OF THIS ARTICLE
WHOSE LOBBYING ACTIVITY IS PERFORMED ON ITS OWN BEHALF AND NOT PURSUANT
TO RETENTION BY A CLIENT:
(I) THAT HAS SPENT OVER FIFTY THOUSAND DOLLARS FOR REPORTABLE COMPEN-
SATION AND EXPENSES FOR LOBBYING EITHER DURING THE CALENDAR YEAR, OR
DURING THE TWELVE-MONTH PERIOD, PRIOR TO THE DATE OF THIS BI-MONTHLY
REPORT, AND
(II) AT LEAST THREE PERCENT OF WHOSE TOTAL EXPENDITURES DURING THE
SAME PERIOD WERE DEVOTED TO LOBBYING IN NEW YORK
SHALL REPORT TO THE COMMISSION THE NAMES OF EACH SOURCE OF FUNDING OVER
FIVE THOUSAND DOLLARS FROM A SINGLE SOURCE THAT WERE USED TO FUND THE
LOBBYING ACTIVITIES REPORTED AND THE AMOUNTS RECEIVED FROM EACH IDENTI-
FIED SOURCE OF FUNDING.
THIS DISCLOSURE SHALL NOT REQUIRE DISCLOSURE OF THE SOURCES OF FUNDING
WHOSE DISCLOSURE, IN THE DETERMINATION OF THE COMMISSION BASED UPON A
REVIEW OF THE RELEVANT FACTS PRESENTED BY THE REPORTING LOBBYIST, MAY
CAUSE HARM, THREATS, HARASSMENT, OR REPRISALS TO THE SOURCE OR TO INDI-
VIDUALS OR PROPERTY AFFILIATED WITH THE SOURCE. THE REPORTING LOBBYIST
MAY APPEAL THE COMMISSION'S DETERMINATION AND SUCH APPEAL SHALL BE HEARD
BY A JUDICIAL HEARING OFFICER WHO IS INDEPENDENT AND NOT AFFILIATED WITH
OR EMPLOYED BY THE COMMISSION, PURSUANT TO REGULATIONS PROMULGATED BY
THE COMMISSION. THE REPORTING LOBBYIST SHALL NOT BE REQUIRED TO DISCLOSE
THE SOURCES OF FUNDING THAT ARE THE SUBJECT OF SUCH APPEAL PENDING FINAL
JUDGMENT ON APPEAL.
THE DISCLOSURE SHALL NOT APPLY TO:
(I) ANY CORPORATION REGISTERED PURSUANT TO ARTICLE SEVEN-A OF THE
EXECUTIVE LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
STATES DEPARTMENT OF THE TREASURY UNDER I.R.C. S 501(C)(3);
(II) ANY CORPORATION REGISTERED PURSUANT TO ARTICLE SEVEN-A OF THE
EXECUTIVE LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
STATES DEPARTMENT OF THE TREASURY UNDER I.R.C. S 501(C)(4) AND WHOSE
PRIMARY ACTIVITIES CONCERN ANY AREA OF PUBLIC CONCERN DETERMINED BY THE
COMMISSION TO CREATE A SUBSTANTIAL LIKELIHOOD THAT APPLICATION OF THIS
DISCLOSURE REQUIREMENT WOULD LEAD TO HARM, THREATS, HARASSMENT, OR
REPRISALS TO A SOURCE OF FUNDING OR TO INDIVIDUALS OR PROPERTY AFFIL-
IATED WITH SUCH SOURCE, INCLUDING BUT NOT LIMITED TO THE AREA OF CIVIL
RIGHTS AND CIVIL LIBERTIES AND ANY OTHER AREA OF PUBLIC CONCERN DETER-
MINED PURSUANT TO REGULATIONS PROMULGATED BY THE COMMISSION TO FORM A
PROPER BASIS FOR EXEMPTION ON THIS BASIS FROM THIS DISCLOSURE REQUIRE-
MENT; OR
(III) ANY GOVERNMENTAL ENTITY.
THE JOINT COMMISSION ON PUBLIC ETHICS SHALL PROMULGATE REGULATIONS TO
IMPLEMENT THESE REQUIREMENTS.
S 2. Subdivision (c) of section 1-j of the legislative law is amended
by adding a new paragraph 4 to read as follows:
(4) ANY CLIENT OF A LOBBYIST THAT IS REQUIRED TO FILE A SEMI-ANNUAL
REPORT AND:
(I) THAT HAS SPENT OVER FIFTY THOUSAND DOLLARS FOR REPORTABLE COMPEN-
SATION AND EXPENSES FOR LOBBYING EITHER DURING THE CALENDAR YEAR, OR
S. 5679 48
DURING THE TWELVE-MONTH PERIOD, PRIOR TO THE DATE OF THIS SEMI-ANNUAL
REPORT, AND
(II) AT LEAST THREE PERCENT OF WHOSE TOTAL EXPENDITURES DURING THE
SAME PERIOD WERE DEVOTED TO LOBBYING IN NEW YORK
SHALL REPORT TO THE COMMISSION THE NAMES OF EACH SOURCE OF FUNDING OVER
FIVE THOUSAND DOLLARS FROM A SINGLE SOURCE THAT WERE USED TO FUND THE
LOBBYING ACTIVITIES REPORTED AND THE AMOUNTS RECEIVED FROM EACH IDENTI-
FIED SOURCE OF FUNDING.
THIS DISCLOSURE SHALL NOT REQUIRE DISCLOSURE OF THE SOURCES OF FUNDING
WHOSE DISCLOSURE, IN THE DETERMINATION OF THE COMMISSION BASED UPON A
REVIEW OF THE RELEVANT FACTS PRESENTED BY THE REPORTING CLIENT OR LOBBY-
IST, MAY CAUSE HARM, THREATS, HARASSMENT, OR REPRISALS TO THE SOURCE OR
TO INDIVIDUALS OR PROPERTY AFFILIATED WITH THE SOURCE. THE REPORTING
LOBBYIST MAY APPEAL THE COMMISSION'S DETERMINATION AND SUCH APPEAL SHALL
BE HEARD BY A JUDICIAL HEARING OFFICER WHO IS INDEPENDENT AND NOT AFFIL-
IATED WITH OR EMPLOYED BY THE COMMISSION, PURSUANT TO REGULATIONS
PROMULGATED BY THE COMMISSION. THE REPORTING LOBBYIST SHALL NOT BE
REQUIRED TO DISCLOSE THE SOURCES OF FUNDING THAT ARE THE SUBJECT OF SUCH
APPEAL PENDING FINAL JUDGMENT ON APPEAL.
THE DISCLOSURE SHALL NOT APPLY TO:
(I) ANY CORPORATION REGISTERED PURSUANT TO ARTICLE SEVEN-A OF THE
EXECUTIVE LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
STATES DEPARTMENT OF THE TREASURY UNDER I.R.C. S 501(C)(3);
(II) ANY CORPORATION REGISTERED PURSUANT TO ARTICLE SEVEN-A OF THE
EXECUTIVE LAW THAT IS QUALIFIED AS AN EXEMPT ORGANIZATION BY THE UNITED
STATES DEPARTMENT OF THE TREASURY UNDER I.R.C. S 501(C)(4) AND WHOSE
PRIMARY ACTIVITIES CONCERN ANY AREA OF PUBLIC CONCERN DETERMINED BY THE
COMMISSION TO CREATE A SUBSTANTIAL LIKELIHOOD THAT APPLICATION OF THIS
DISCLOSURE REQUIREMENT WOULD LEAD TO HARM, THREATS, HARASSMENT, OR
REPRISALS TO A SOURCE OF FUNDING OR TO INDIVIDUALS OR PROPERTY AFFIL-
IATED WITH SUCH SOURCE, INCLUDING BUT NOT LIMITED TO THE AREA OF CIVIL
RIGHTS AND CIVIL LIBERTIES AND ANY OTHER AREA OF PUBLIC CONCERN DETER-
MINED PURSUANT TO REGULATIONS PROMULGATED BY THE COMMISSION TO FORM A
PROPER BASIS FOR EXEMPTION ON THIS BASIS FROM THIS DISCLOSURE REQUIRE-
MENT; OR
(III) ANY GOVERNMENTAL ENTITY.
THE JOINT COMMISSION ON PUBLIC ETHICS SHALL PROMULGATE REGULATIONS TO
IMPLEMENT THESE REQUIREMENTS.
S 3. This act shall take effect June 1, 2012.
PART C
Section 1. The retirement and social security law is amended by adding
a new article 3-B to read as follows:
ARTICLE 3-B
PENSION FORFEITURE FOR PUBLIC OFFICIALS
SECTION 156. DEFINITIONS.
157. PENSION FORFEITURE.
158. PENSION CONTRIBUTIONS RETURNED.
159. MISCELLANEOUS.
S 156. DEFINITIONS. THE FOLLOWING WORDS AND PHRASES, AS USED IN THIS
ARTICLE, SHALL HAVE THE FOLLOWING MEANINGS, UNLESS A DIFFERENT MEANING
IS PLAINLY REQUIRED BY THE CONTEXT:
1. "CRIME RELATED TO PUBLIC OFFICE" SHALL MEAN ANY OF THE FOLLOWING
CRIMINAL OFFENSES WHETHER COMMITTED IN THIS STATE OR IN ANY OTHER JURIS-
DICTION BY A PUBLIC OFFICIAL THROUGH THE USE OF HIS OR HER PUBLIC OFFICE
S. 5679 49
OR BY THE INDIVIDUAL REPRESENTING THAT HE OR SHE WAS ACTING WITH THE
AUTHORITY OF ANY GOVERNMENTAL ENTITY, AND ACTING AS A PUBLIC OFFICIAL:
(A) A FELONY FOR COMMITTING, AIDING OR ABETTING A LARCENY OF PUBLIC
FUNDS FROM THE STATE OR A MUNICIPALITY;
(B) A FELONY COMMITTED IN DIRECT CONNECTION WITH SERVICE AS A PUBLIC
OFFICIAL; OR
(C) A FELONY COMMITTED BY SUCH PERSON WHO, WITH THE INTENT TO DEFRAUD,
REALIZES OR OBTAINS, OR ATTEMPTS TO REALIZE OR OBTAIN, A PROFIT, GAIN OR
ADVANTAGE FOR HIMSELF OR HERSELF OR FOR SOME OTHER PERSON, THROUGH THE
USE OR ATTEMPTED USE OF THE POWER, RIGHTS, PRIVILEGES OR DUTIES OF HIS
OR HER POSITION AS A PUBLIC OFFICIAL.
2. "CHIEF ADMINISTRATOR OF THE RETIREMENT SYSTEM" SHALL MEAN THE COMP-
TROLLER OF THE STATE OF NEW YORK WITH RESPECT TO THE NEW YORK STATE AND
LOCAL EMPLOYEES' RETIREMENT SYSTEM AND THE BOARDS OF TRUSTEES WITH
RESPECT TO THE OTHER PUBLIC RETIREMENT SYSTEMS AND PENSION FUNDS OF THE
STATE AND THE CITY OF NEW YORK.
3. "DEFENDANT" SHALL MEAN A STATE OR LOCAL OFFICER AGAINST WHOM A
FORFEITURE ACTION IS COMMENCED.
4. "DEPENDENT PERSON" SHALL MEAN AND INCLUDE:
(A) ANY CHILD OF A PUBLIC OFFICIAL OR OTHER PERSON FOR WHOM SUCH
PERSON IS LEGALLY RESPONSIBLE TO PROVIDE SUPPORT;
(B) ANY PRESENT OR FORMER SPOUSE OR DOMESTIC PARTNER OF A PUBLIC OFFI-
CIAL;
(C) ANY FAMILY OR HOUSEHOLD MEMBER OF A PUBLIC OFFICIAL, REGARDLESS OF
SUCH PERSON'S AGE, WHERE SUCH PERSON HAS A DISABILITY, AS DEFINED IN
SUBDIVISION TWENTY-ONE OF SECTION TWO HUNDRED NINETY-TWO OF THE EXECU-
TIVE LAW; AND
(D) ANY PERSON TO WHOM A PUBLIC OFFICIAL HAS PROVIDED SUPPORT.
5. "PENSION" SHALL MEAN THE ANNUAL ALLOWANCE FOR LIFE, PAYABLE IN
MONTHLY INSTALLMENTS, DERIVED FROM CONTRIBUTIONS MADE BY A PUBLIC OFFI-
CIAL TO THE APPROPRIATE PENSION ACCUMULATION FUND OF A RETIREMENT SYSTEM
PURSUANT TO APPLICABLE LAW.
6. (A) "PUBLIC OFFICIAL" SHALL MEAN ANY OF THE FOLLOWING INDIVIDUALS
WHO WERE NOT MEMBERS OF ANY RETIREMENT SYSTEM PRIOR TO THE EFFECTIVE
DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND ELEVEN WHICH ADDED THIS
ARTICLE BUT WHO HAVE BECOME MEMBERS OF A COVERED RETIREMENT SYSTEM ON OR
AFTER THE EFFECTIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND
ELEVEN WHICH ADDED THIS ARTICLE:
(I) THE GOVERNOR, LIEUTENANT GOVERNOR, COMPTROLLER OR ATTORNEY GENER-
AL;
(II) MEMBERS OF THE STATE LEGISLATURE;
(III) STATE OFFICERS AND EMPLOYEES INCLUDING:
(A) HEADS OF STATE DEPARTMENTS AND THEIR DEPUTIES AND ASSISTANTS OTHER
THAN MEMBERS OF THE BOARD OF REGENTS OF THE UNIVERSITY OF THE STATE OF
NEW YORK WHO RECEIVE NO COMPENSATION OR ARE COMPENSATED ON A PER DIEM
BASIS;
(B) OFFICERS AND EMPLOYEES OF STATEWIDE ELECTED OFFICIALS;
(C) OFFICERS AND EMPLOYEES OF STATE DEPARTMENTS, BOARDS, BUREAUS,
DIVISIONS, COMMISSIONS, COUNCILS OR OTHER STATE AGENCIES; AND
(D) MEMBERS OR DIRECTORS OF PUBLIC AUTHORITIES, OTHER THAN MULTI-STATE
AUTHORITIES, PUBLIC BENEFIT CORPORATIONS AND COMMISSIONS AT LEAST ONE OF
WHOSE MEMBERS IS APPOINTED BY THE GOVERNOR, AND EMPLOYEES OF SUCH
AUTHORITIES, CORPORATIONS AND COMMISSIONS;
(IV) JUDGES, JUSTICES AND EMPLOYEES OF THE UNIFIED COURT SYSTEM;
(V) OFFICERS AND EMPLOYEES OF THE LEGISLATURE; AND
S. 5679 50
(VI) PAID MUNICIPAL OFFICERS AND EMPLOYEES INCLUDING AN OFFICER OR
EMPLOYEE OF A MUNICIPALITY, PAID MEMBERS OF ANY ADMINISTRATIVE BOARD,
COMMISSION OR OTHER AGENCY THEREOF AND IN THE CASE OF A COUNTY, SHALL BE
DEEMED TO ALSO INCLUDE ANY OFFICER OR EMPLOYEE PAID FROM COUNTY FUNDS.
(B) A PERSON WHO RECEIVES NO COMPENSATION OR IS COMPENSATED ON A PER
DIEM BASIS FOR HIS OR HER DUTIES AS A PUBLIC OFFICIAL SHALL NOT BE
DEEMED A PUBLIC OFFICIAL PURSUANT TO THIS SUBDIVISION.
7. "RETIREMENT SYSTEM" SHALL MEAN THE NEW YORK STATE AND LOCAL EMPLOY-
EES' RETIREMENT SYSTEM, AND THE NEW YORK CITY EMPLOYEES' RETIREMENT
SYSTEM.
S 157. PENSION FORFEITURE. 1. NOTWITHSTANDING ANY OTHER LAW TO THE
CONTRARY, IT SHALL BE A TERM AND CONDITION OF MEMBERSHIP FOR EVERY
PUBLIC OFFICIAL WHO BECOMES A MEMBER OF ANY RETIREMENT SYSTEM ON OR
AFTER THE EFFECTIVE DATE OF THE CHAPTER OF THE LAWS OF TWO THOUSAND
ELEVEN WHICH ADDED THIS ARTICLE, THAT SUCH PUBLIC OFFICIAL'S RIGHTS TO A
PENSION IN A RETIREMENT SYSTEM THAT ACCRUE IN SUCH RETIREMENT SYSTEM
AFTER HIS OR HER DATE OF INITIAL MEMBERSHIP IN THE RETIREMENT SYSTEM
SHALL BE SUBJECT TO THE PROVISIONS OF THIS ARTICLE.
2. IN THE CASE OF A PUBLIC OFFICIAL WHO STANDS CONVICTED, BY PLEA OF
NOLO CONTENDERE OR PLEA OF GUILTY TO, OR BY CONVICTION AFTER TRIAL, OF
ANY CRIME RELATED TO PUBLIC OFFICE, AN ACTION MAY BE COMMENCED IN
SUPREME COURT OF THE COUNTY IN WHICH SUCH PUBLIC OFFICIAL WAS CONVICTED
OF SUCH FELONY CRIME, BY THE DISTRICT ATTORNEY HAVING JURISDICTION OVER
SUCH CRIME, OR BY THE ATTORNEY GENERAL IF THE ATTORNEY GENERAL BROUGHT
THE CRIMINAL CHARGE WHICH RESULTED IN SUCH CONVICTION, FOR AN ORDER TO
REDUCE OR REVOKE THE PENSION TO WHICH SUCH PUBLIC OFFICIAL IS OTHERWISE
ENTITLED FOR SERVICE AS A PUBLIC OFFICIAL. SUCH COMPLAINT SHALL SPECIFY
WITH PARTICULARITY WHICH CATEGORY OF FELONY PURSUANT TO SUBDIVISION ONE
OF SECTION ONE HUNDRED FIFTY-SIX OF THIS ARTICLE THE DEFENDANT HAS
COMMITTED, AND ALL OTHER FACTS THAT ARE ALLEGED TO QUALIFY SUCH CRIME AS
A FELONY CRIME RELATED TO PUBLIC OFFICE SUBJECT TO PENSION REDUCTION OR
REVOCATION PURSUANT TO THIS ARTICLE, AND THE AMOUNT OF PENSION REDUCTION
OR REVOCATION REQUESTED. SUCH ACTION SHALL BE COMMENCED WITHIN SIX
MONTHS AFTER SUCH CONVICTION.
3. BEFORE COMMENCING AN ACTION DESCRIBED IN SUBDIVISION TWO OF THIS
SECTION, THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL, AS THE CASE MAY
BE, SHALL SERVE WRITTEN NOTICE ON THE CHIEF ADMINISTRATOR OF THE DEFEND-
ANT'S RETIREMENT SYSTEM STATING THAT HE OR SHE HAS REASON TO BELIEVE
THAT THE PERSON CONVICTED COMMITTED THE CRIME RELATED TO PUBLIC OFFICE
IN THE PERFORMANCE OF OR FAILURE TO PERFORM THE PUBLIC OFFICIAL'S DUTIES
AND RESPONSIBILITIES. SUCH NOTICE SHALL SPECIFY WITH PARTICULARITY
WHICH CATEGORY OF FELONY PURSUANT TO SUBDIVISION ONE OF SECTION ONE
HUNDRED FIFTY-SIX OF THIS ARTICLE THE DEFENDANT HAS COMMITTED. WITHIN
TWENTY DAYS AFTER RECEIPT OF SUCH NOTICE, THE CHIEF ADMINISTRATOR OF THE
DEFENDANT'S RETIREMENT SYSTEM SHALL SUBMIT A NOTICE OF APPLICABILITY TO
THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL AS THE CASE MAY BE. THE
NOTICE OF APPLICABILITY SHALL CONTAIN A STATEMENT SPECIFYING WHETHER THE
PERSON CONVICTED IS OR HAS BEEN A MEMBER OR RETIRED MEMBER OF A RETIRE-
MENT SYSTEM AND SHALL DESCRIBE THE PORTION OF SUCH RIGHTS AND BENEFITS
TO WHICH SUCH PERSON IS OR WILL BE ENTITLED TO SOLELY FROM SERVICE AS
SUCH A PUBLIC OFFICIAL.
4. NO FORFEITURE ACTION MAY BE COMMENCED BY THE DISTRICT ATTORNEY OR
THE ATTORNEY GENERAL UNTIL SUCH DISTRICT ATTORNEY OR THE ATTORNEY GENER-
AL, AS THE CASE MAY BE, HAS RECEIVED AND SERVED ON THE DEFENDANT THE
NOTICE OF APPLICABILITY AS SET FORTH IN SUBDIVISION THREE OF THIS
SECTION.
S. 5679 51
5. THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL, OR ANY INTERESTED
PARTY, MAY SEEK, OR THE COURT ON ITS OWN MOTION MAY ORDER, THAT SOME OR
ALL OF THE PENSION THAT WOULD OTHERWISE BE REDUCED OR REVOKED PURSUANT
TO THIS ARTICLE BE PAID FOR THE BENEFIT OF ANY DEPENDENT PERSONS, AS MAY
BE IN THE INTERESTS OF JUSTICE.
6. THE DEFENDANT SHALL HAVE THE RIGHT TO A HEARING.
7. THE BURDEN OF PROOF SHALL BE UPON THE DISTRICT ATTORNEY OR THE
ATTORNEY GENERAL, AS THE CASE MAY BE, TO PROVE BY CLEAR AND CONVINCING
EVIDENCE THE FACTS NECESSARY TO ESTABLISH A CLAIM OF PENSION FORFEITURE.
THE DISTRICT ATTORNEY OR THE ATTORNEY GENERAL AS THE CASE MAY BE MUST,
AT THE TIME OF THE HEARING, PROVE BY CLEAR AND CONVINCING EVIDENCE THAT
THE DEFENDANT KNOWINGLY AND INTENTIONALLY COMMITTED THE CRIME RELATED TO
PUBLIC OFFICE.
8. IN DETERMINING WHETHER THE PENSION SHALL BE REDUCED OR REVOKED, THE
SUPREME COURT SHALL CONSIDER AND MAKE FINDINGS OF FACT AND CONCLUSIONS
OF LAW THAT INCLUDE, BUT SHALL NOT BE LIMITED TO, A CONSIDERATION OF THE
FOLLOWING FACTORS:
(A) WHETHER THE DEFENDANT STANDS CONVICTED OF SUCH A FELONY OF A CRIME
RELATED TO PUBLIC OFFICE, AND THE SPECIFIC PARAGRAPH OR PARAGRAPHS OF
SUBDIVISION ONE OF SECTION ONE HUNDRED FIFTY-SIX OF THIS ARTICLE THAT
HAVE BEEN PROVEN OR NOT PROVEN;
(B) THE SEVERITY OF THE CRIME RELATED TO PUBLIC OFFICE OF WHICH THE
DEFENDANT STANDS CONVICTED;
(C) THE AMOUNT OF MONETARY LOSS SUFFERED BY SUCH STATE OR MUNICIPALITY
AS A RESULT OF SUCH CRIME RELATED TO PUBLIC OFFICE;
(D) THE DEGREE OF PUBLIC TRUST REPOSED IN THE PUBLIC OFFICIAL BY
VIRTUE OF THE PERSON'S POSITION AS A PUBLIC OFFICIAL;
(E) IF THE CRIME RELATED TO PUBLIC OFFICE WAS PART OF A FRAUDULENT
SCHEME AGAINST THE STATE OR A MUNICIPALITY, THE ROLE OF THE PUBLIC OFFI-
CIAL IN SUCH FRAUDULENT SCHEME AGAINST SUCH STATE OR A MUNICIPALITY;
(F) THE DEFENDANT'S CRIMINAL HISTORY, IF ANY;
(G) THE IMPACT OF FORFEITURE, IN WHOLE OR IN PART, ON DEFENDANT'S
DEPENDENTS, PRESENT OR FORMER SPOUSES, OR DOMESTIC PARTNERS;
(H) THE PROPORTIONALITY OF FORFEITURE OF ALL OR PART OF THE PENSION TO
THE CRIME COMMITTED; AND
(I) ANY SUCH OTHER FACTORS AS, IN THE JUDGMENT OF THE SUPREME COURT,
JUSTICE MAY REQUIRE.
9. AT ANY TIME DURING THE PENDENCY OF A FORFEITURE ACTION, THE COURT
MAY DISMISS THE ACTION IF IT FINDS THAT SUCH RELIEF IS WARRANTED BY THE
EXISTENCE OF SOME COMPELLING FACTOR, CONSIDERATION OR CIRCUMSTANCE OR
OTHER INFORMATION OR EVIDENCE WHICH DEMONSTRATES THAT FORFEITURE WOULD
NOT SERVE THE ENDS OF JUSTICE. THE COURT MAY ORDER THAT SOME OR ALL OF
THE REDUCED OR REVOKED PENSION BE PAID TO SATISFY THE TERMS OF ANY
EXISTING ORDER FOR THE PAYMENT OF MAINTENANCE, CHILD SUPPORT OR RESTITU-
TION OR FOR THE BENEFIT OF ANY DEPENDENT PERSONS, AS MAY BE IN THE
INTERESTS OF JUSTICE, AFTER TAKING INTO CONSIDERATION THE FINANCIAL
NEEDS AND RESOURCES AVAILABLE FOR SUPPORT OF SUCH PERSONS.
10. UPON A FINDING BY THE COURT BY CLEAR AND CONVINCING EVIDENCE THAT
THE DEFENDANT KNOWINGLY AND INTENTIONALLY COMMITTED A CRIME RELATED TO
PUBLIC OFFICE, THE COURT MAY ISSUE AN ORDER TO THE APPROPRIATE RETIRE-
MENT SYSTEM TO REDUCE OR REVOKE THE DEFENDANT'S PENSION TO WHICH HE OR
SHE IS OTHERWISE ENTITLED AS SUCH A PUBLIC OFFICIAL. ALL ORDERS AND
FINDINGS MADE BY THE COURT PURSUANT TO THIS SECTION SHALL BE SERVED BY
THE ATTORNEY GENERAL OR THE DISTRICT ATTORNEY, AS THE CASE MAY BE UPON
THE CHIEF ADMINISTRATOR OF THE DEFENDANT'S RETIREMENT SYSTEM AND THE
DEFENDANT.
S. 5679 52
11. THE COURT SHALL ISSUE A WRITTEN DECISION INCLUDING FINDINGS OF
FACT AND CONCLUSIONS OF LAW THAT ARE THE BASIS FOR ANY ORDER ISSUED
PURSUANT TO THIS SECTION.
12. UPON A FINAL DETERMINATION THAT REVERSES OR VACATES THE CONVICTION
OR CONVICTIONS OF A CRIME RELATED TO PUBLIC OFFICE, OR REDUCES SUCH
CRIME TO A VIOLATION, MISDEMEANOR OR OTHER CRIMINAL ACT THAT IS NOT A
CRIME RELATED TO PUBLIC OFFICE, THE PUBLIC OFFICIAL, OR IF HE OR SHE
SHALL BE DECEASED, HIS OR HER ESTATE, SHALL HAVE SUCH PENSION RETROAC-
TIVELY RESTORED UPON APPLICATION TO THE COURT WITH JURISDICTION OVER THE
FORFEITURE ACTION. SUCH COURT, UPON FINDING THAT SUCH A FINAL DETERMI-
NATION HAS OCCURRED, SHALL ISSUE AN ORDER RETROACTIVELY RESTORING SUCH
PENSION, TOGETHER WITH SUCH OTHER RELIEF DEEMED APPROPRIATE.
13. A FINAL JUDGMENT ENTERED PURSUANT TO THIS ARTICLE MAY BE APPEALED
PURSUANT TO SUBDIVISION (A) OF SECTION FIFTY-SEVEN HUNDRED ONE AND
SECTION FIFTY-SIX HUNDRED TWO OF THE CIVIL PRACTICE LAW AND RULES.
14. EXCEPT AS OTHERWISE PROVIDED BY THIS ARTICLE, THE CIVIL PRACTICE
LAW AND RULES SHALL GOVERN THE PROCEDURE IN ALL ACTIONS COMMENCED PURSU-
ANT TO THIS ARTICLE, EXCEPT WHERE THE ACTION IS SPECIFICALLY REGULATED
BY ANY INCONSISTENT PROVISIONS HEREIN.
S 158. PENSION CONTRIBUTIONS RETURNED. 1. ANY PUBLIC OFFICIAL WHOSE
PENSION IS REDUCED OR REVOKED PURSUANT TO THIS ARTICLE SHALL BE ENTITLED
TO A RETURN OF HIS OR HER CONTRIBUTION PAID INTO THE RELEVANT RETIREMENT
SYSTEM, WITHOUT INTEREST.
2. NOTWITHSTANDING THE PROVISIONS OF SUBDIVISION ONE OF THIS SECTION,
NO PAYMENTS IN RETURN OF CONTRIBUTIONS SHALL BE MADE OR ORDERED UNLESS
AND UNTIL THE SUPREME COURT DETERMINES THAT THE PUBLIC OFFICIAL WHOSE
PENSION HAS BEEN REDUCED OR REVOKED HAS SATISFIED IN FULL ANY JUDGMENTS
OR ORDERS RENDERED BY ANY COURT OF COMPETENT JURISDICTION FOR THE
PAYMENT OF RESTITUTION TO THE STATE OR A MUNICIPALITY FOR LOSSES
INCURRED AS A RESULT OF SUCH CRIME RELATED TO PUBLIC OFFICE. IF THE
SUPREME COURT DETERMINES THAT SUCH PUBLIC OFFICIAL WHOSE PENSION IS TO
BE REDUCED OR REVOKED HAS FAILED TO SATISFY ANY OUTSTANDING JUDGMENT OR
ORDER OF RESTITUTION RENDERED BY A COURT OF COMPETENT JURISDICTION, IT
MAY ORDER THAT ANY FUNDS OTHERWISE DUE TO SUCH PUBLIC OFFICIAL AS A
RETURN OF CONTRIBUTION, OR ANY PORTION THEREOF, BE PAID IN SATISFACTION
OF SUCH JUDGMENT OR ORDER.
S 159. MISCELLANEOUS. THE REMEDIES PROVIDED FOR IN THIS ARTICLE ARE
NOT INTENDED TO SUBSTITUTE FOR, LIMIT OR SUPERSEDE THE LAWFUL AUTHORITY
OF ANY PUBLIC OFFICER, AGENCY OR OTHER PERSON TO ENFORCE ANY OTHER RIGHT
OR REMEDY PROVIDED FOR BY LAW.
S 2. The criminal procedure law is amended by adding a new section
220.51 to read as follows:
S 220.51 NOTICE BEFORE ENTRY OF PLEA OR TRIAL INVOLVING A PUBLIC OFFI-
CIAL.
PRIOR TO TRIAL, AND BEFORE ACCEPTING A DEFENDANT'S PLEA TO A COUNT OR
COUNTS OF AN INDICTMENT OR A SUPERIOR COURT INFORMATION CHARGING A FELO-
NY OFFENSE, THE COURT MUST INDIVIDUALLY ADVISE THE DEFENDANT, ON THE
RECORD, THAT IF AT THE TIME OF THE ALLEGED FELONY CRIME THE DEFENDANT
WAS A PUBLIC OFFICIAL, AS DEFINED IN SUBDIVISION SIX OF SECTION ONE
HUNDRED FIFTY-SIX OF THE RETIREMENT AND SOCIAL SECURITY LAW, THE DEFEND-
ANT'S PLEA OF GUILTY AND THE COURT'S ACCEPTANCE THEREOF OR CONVICTION
AFTER TRIAL MAY RESULT IN PROCEEDINGS FOR THE REDUCTION OR REVOCATION OF
SUCH DEFENDANT'S PENSION PURSUANT TO ARTICLE THREE-B OF THE RETIREMENT
AND SOCIAL SECURITY LAW.
S. 5679 53
S 3. This act shall take effect on the ninetieth day after it shall
have become a law and shall only apply to acts committed by public offi-
cials on or after such date.
PART D
Section 1. 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 to read as follows:
(i) the passage or defeat of any legislation OR RESOLUTION by either
house of the state legislature INCLUDING BUT NOT LIMITED TO THE INTRO-
DUCTION OR INTENDED INTRODUCTION OF SUCH LEGISLATION OR RESOLUTION or
approval or disapproval of any legislation 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, INVITED TO
ATTEND, AND (B) WHICH IS RELATED TO THE ATTENDEE'S DUTIES OR RESPONSI-
BILITIES OR WHICH ALLOWS THE PUBLIC OFFICIAL TO PERFORM A CEREMONIAL
FUNCTION APPROPRIATE TO HIS OR HER POSITION. FOR THE PURPOSES OF THIS
EXCLUSION, A PUBLIC OFFICIAL'S DUTIES OR RESPONSIBILITIES SHALL INCLUDE
BUT NOT BE LIMITED TO EITHER (1) ATTENDING AN EVENT OR A MEETING AT
WHICH A SPEAKER OR ATTENDEE ADDRESSES AN ISSUE OF PUBLIC INTEREST OR
CONCERN AS A SIGNIFICANT ACTIVITY AT SUCH EVENT OR MEETING; OR (2) FOR
ELECTED PUBLIC OFFICIALS, OR THEIR STAFF ATTENDING WITH OR ON BEHALF OF
SUCH ELECTED OFFICIALS, ATTENDING AN EVENT OR A MEETING AT WHICH MORE
THAN ONE-HALF OF THE ATTENDEES, OR PERSONS INVITED IN GOOD FAITH TO
ATTEND, ARE RESIDENTS OF THE COUNTY, DISTRICT OR JURISDICTION FROM WHICH
THE ELECTED PUBLIC OFFICIAL WAS ELECTED;
(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-
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;
S. 5679 54
(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, INCLUDING CONTRIBUTIONS MADE IN VIOLATION OF THAT ARTICLE OF THE
ELECTION LAW;
(ix) travel reimbursement or payment for transportation, meals and
accommodations for an attendee, panelist or speaker at an informational
event OR INFORMATIONAL MEETING when such reimbursement or payment is
made by a governmental entity 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 higher education: (A) at a location on or
within close proximity to the host campus; and (B) for the night preced-
ing and the nights of the days on which the attendee, panelist or speak-
er actually attends the event OR MEETING;
(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 AND that payment or reimbursement [of] FOR EXPENSES FOR
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 FIFTEEN DOLLARS OR LESS.
S 2. This act shall take effect immediately.
PART E
Section 1. The state board of elections shall, no later than January
1, 2012, issue regulations setting forth and implementing the require-
ments under existing law for individuals, organizations, corporations,
political committees, or any other entities to disclose independent
expenditures made for advertisements or any other type of advocacy that
expressly identifies a political candidate or ballot proposal. Such
regulations shall require such disclosure to the fullest extent of the
law.
S. 5679 55
S 2. 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.
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, INTERNET, PRINT AND OTHER TYPES OF 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 therein], purchased in connection with such
election by or under the authority of the person filing the statement or
the committee 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.
S 3. 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. 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, 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 THE EXCESS
AMOUNT PLUS A FINE OF UP TO TEN THOUSAND DOLLARS, TO BE RECOVERABLE IN A
SPECIAL PROCEEDING OR CIVIL ACTION TO BE BROUGHT BY THE STATE BOARD OF
ELECTIONS.
3. 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.
[3.] 4. 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.] 5. 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 4. 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
S. 5679 56
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 5. 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, MAY
IMPOSE A CIVIL PENALTY, AS PROVIDED FOR IN SUBDIVISIONS ONE AND TWO 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 SUBDIVISIONS ONE AND TWO 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 6. 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 7. This act shall take effect immediately.
S 3. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair, or invalidate the remainder thereof, but shall be confined in
its operation to the clause, sentence, paragraph, subdivision, section
or part thereof directly involved in the controversy in which such judg-
ment shall have been rendered. It is hereby declared to be the intent of
the legislature that this act would have been enacted even if such
invalid provisions had not been included herein.
S 4. This act shall take effect immediately provided, however, that
the applicable effective date of Parts A through E of this act shall be
as specifically set forth in the last section of such Parts.
