S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                  4617

                       2015-2016 Regular Sessions

                          I N  A S S E M B L Y

                            February 5, 2015
                               ___________

Introduced  by  M.  of A. KOLB, BARCLAY, BLANKENBUSH, BORELLI, BRABENEC,
  BUTLER, CERETTO, CORWIN,  CROUCH,  CURRAN,  DiPIETRO,  DUPREY,  FINCH,
  FITZPATRICK,  FRIEND, GARBARINO, GIGLIO, GOODELL, GRAF, HAWLEY, JOHNS,
  KATZ,  LALOR,  LAWRENCE,  LOPEZ,  LUPINACCI,  MALLIOTAKIS,  McDONOUGH,
  McKEVITT,  McLAUGHLIN,  MONTESANO,  MURRAY,  NOJAY,  OAKS,  PALMESANO,
  PALUMBO, RA, RAIA, SALADINO, STEC, TEDISCO, TENNEY, WALTER, WOZNIAK --
  read once and referred to the Committee on Governmental Operations

AN ACT to amend the state finance law, in relation to  requiring  trans-
  parency,  identification  and disclosure of certain appropriations and
  intended recipients (Part A); to establish the commission on  official
  conduct, providing for its powers, duties and functions, and providing
  for the transfer of the functions, powers and duties of the commission
  on public integrity, the office of the state inspector general and the
  former  temporary  state commission of investigation to the commission
  on official conduct; to amend the civil service law and  the  legisla-
  tive  law, in relation to the commission on public integrity; to amend
  the racing, pari-mutuel wagering  and  breeding  law  in  relation  to
  membership  on  the  franchise  oversight  board;  to amend the public
  authorities law and the  executive  law,  in  relation  to  the  state
  inspector  general; to amend the criminal procedure law, the executive
  law and the public officers law, in relation to the  former  temporary
  state  commission of investigation; to repeal section 94 of the execu-
  tive law relating to the joint commission on public ethics; to  repeal
  article 4-A of the executive law and subdivision 68 of section 2.10 of
  the criminal procedure law relating to the office of the state inspec-
  tor  general;  and to repeal chapter 989 of the laws of 1958, relating
  to creating a temporary state commission  of  investigation,  relating
  thereto (Part B); to amend the election law, in relation to forfeiture
  of unspent campaign funds after criminal conviction and resignation of
  the  elected official (Part C); to amend the penal law, in relation to
  failure to report corruption (Part D); to amend the election  law,  in
  relation  to limitations on use of campaign contributions (Part E); to
  amend the election law, in relation to filing late campaign disclosure
  statements (Part F); and to amend the legislative law, in relation  to

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
              

                                                           LBD06996-01-5

A. 4617                             2

  limiting  the  amount  of time a legislator may serve as a legislative
  leader (Part G)

  THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section 1. Short title. This act shall be known and may  be  cited  as
the "public officers accountability act of 2015".
  S  2. This act enacts into law major components of legislation provid-
ing for member item  reform,  creating  a  new  Commission  on  Official
Conduct, requiring forfeiture of campaign funds upon felony convictions,
creating  a  new crime for failure to report corruption, limiting use of
campaign funds, enhancing penalties for filing late campaign  disclosure
statements,  and  limiting  terms of leaders and committee chairs.  Each
component is wholly contained  within  a  Part  identified  as  Parts  A
through  G.  The  effective 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 effec-
tive 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. The "public officers accountability  act  of
2015"  provided  in  this  act,  includes  the support of constitutional
amendments that are consistent with the intent of this act. The legisla-
ture supports constitutional proposals that remove pension benefits from
public officials who are convicted of a felony related to such  individ-
ual's  official duties and to provide that no person who is convicted of
a felony, related to such official duties, shall be eligible to serve in
the legislature.

                                 PART A

  Section 1. Subdivisions 4 and 5 of section 24  of  the  state  finance
law,  as  added by chapter 1 of the laws of 2007, are amended to read as
follows:
  4. Any appropriation SUBMITTED BY THE GOVERNOR OR added to such budget
bills, pursuant to section four of article seven  of  the  constitution,
shall  only  contain  itemized  appropriations which shall not be in the
form of lump sum appropriations, and provided further that for all  non-
federal  state  operations appropriations, such bill or bills shall only
contain itemized appropriations and shall be made, where practicable, by
agency, and within each agency by program and within each program at the
following level of detail and in the following order:
  (a) by fund type, which at  a  minimum  shall  include  general  fund,
special  revenue-other  funds,  capital  projects funds and debt service
funds;
  (b) for personal service appropriations, separate appropriations shall
be made for regular personal service, temporary  personal  service,  and
holiday and overtime pay;
  (c)  for  nonpersonal  service appropriations, separate appropriations
shall be made for supplies and materials, travel, contractual  services,
equipment and fringe benefits, as appropriate; AND

A. 4617                             3

  (D)  AT  THE  REQUEST OR DISCRETION OF THE GOVERNOR OR A MEMBER OF THE
LEGISLATURE, SUCH APPROPRIATION SHALL INCLUDE THE NAME OF  THE  GOVERNOR
OR MEMBER OF THE LEGISLATURE.
  5.  [Any appropriation added pursuant to section four of article seven
of the constitution without designating a  grantee  shall  be  allocated
only  pursuant to a plan setting forth an itemized list of grantees with
the amount to be received by each, or  the  methodology  for  allocating
such  appropriation.  Such  plan shall be subject to the approval of the
chair of the senate finance committee, the chair of  the  assembly  ways
and  means  committee,  and  the  director of the budget, and thereafter
shall be included in a concurrent resolution calling for the expenditure
of such monies, which resolution must be approved by a majority vote  of
all  members elected to each house upon a roll call vote.] ANY APPROPRI-
ATION SUBMITTED BY THE GOVERNOR OR ADDED TO SUCH BUDGET BILLS,  PURSUANT
TO  SECTION  FOUR OF ARTICLE SEVEN OF THE CONSTITUTION, SHALL BE SUBJECT
TO THE FOLLOWING:
  (A) THE GOVERNOR OR MEMBER OF THE LEGISLATURE REQUESTING  SUCH  APPRO-
PRIATION  SHALL BE REQUIRED TO SUBMIT A SIGNED CONFLICT OF INTEREST FORM
AND SUBMIT SUCH FORM TO THE ATTORNEY GENERAL TO ENSURE THAT NO  CONFLICT
OF  INTEREST  EXISTS;  THE ATTORNEY GENERAL SHALL DESIGNATE THE FORM AND
CONTENT OF THE CONFLICT OF INTEREST FORM. THE GOVERNOR OR MEMBER OF  THE
LEGISLATURE  SHALL  DISCLOSE  ON THE CONFLICT OF INTEREST FORM ALL POLI-
TICAL DONATIONS HE OR SHE IS RECEIVING OR HAS RECEIVED IN THE PAST  FROM
THE  INTENDED RECIPIENT OF THE APPROPRIATION FUNDING. SUCH A CONFLICT OF
INTEREST FORM SHALL BE SIGNED BY THE GOVERNOR OR MEMBER OF THE  LEGISLA-
TURE UNDER PENALTY OF PERJURY; AND
  (B)  AN  APPROPRIATION  PROVIDED  AT THE DISCRETION OF THE GOVERNOR OR
MEMBER OF THE LEGISLATURE SHALL NOT BE PROVIDED IF A CONFLICT OF  INTER-
EST EXISTS BETWEEN THE GOVERNOR OR A MEMBER OF THE LEGISLATURE DESIGNAT-
ING  THE APPROPRIATION AND THE POTENTIAL RECIPIENT. THESE APPROPRIATIONS
CANNOT FUND ORGANIZATIONS THAT EMPLOY OR OTHERWISE COMPENSATE THE GOVER-
NOR OR MEMBER OF THE LEGISLATURE, GOVERNOR'S FAMILY  OR  MEMBER  OF  THE
LEGISLATOR'S  FAMILY,  ANY  PERSON  SHARING  THE HOME OF THE GOVERNOR OR
MEMBER OF THE LEGISLATURE OR THE GOVERNOR'S OR A MEMBER OF THE  LEGISLA-
TOR'S STAFF FOR SERVICES OR LABOR RENDERED. FURTHERMORE, THE GOVERNOR OR
MEMBERS  OF  THE  LEGISLATURE  SHALL NOT DESIGNATE APPROPRIATIONS IF THE
GOVERNOR OR MEMBER OF THE LEGISLATURE, A MEMBER  OF  THE  GOVERNOR'S  OR
MEMBER  OF  THE  LEGISLATOR'S FAMILY, ANY PERSON SHARING THE HOME OF THE
GOVERNOR OR MEMBER OF THE LEGISLATURE OR A MEMBER OF THE  GOVERNOR'S  OR
MEMBER  OF THE LEGISLATOR'S STAFF IS INVOLVED WITH THE OPERATIONS OF THE
ORGANIZATION IN A DECISION-MAKING CAPACITY INCLUDING BUT NOT LIMITED  TO
WORKING  ON  AN  UNPAID, VOLUNTEER BASIS OR AS A MEMBER OF THE DIRECTING
BOARD OF AN ORGANIZATION.
  S 2. This act shall take effect immediately.

                                 PART B

  Section 1. Short title. This act shall be known and may  be  cited  as
the "commission on official conduct act".
  S  2. Definitions. As used in this act, the following terms shall have
the following meanings:
  (a) "Commission" means the commission on official conduct  established
by section three of this act.
  (b)  "Executive  director" means the executive director of the commis-
sion, appointed pursuant to section four of this act.

A. 4617                             4

  (c) "Covered agency" means all executive branch agencies, departments,
divisions, officers, boards and commissions, public  authorities  (other
than  multi-state  or  multi-national  authorities)  and  public benefit
corporations, the heads of which are  appointed  by  the  governor,  and
which do not have their own inspector general by statute.
  (d)  Covered individual means all statewide elected officials, members
of the legislature and employees of the legislature, and state  officers
and employees, as defined in sections 73 and 73-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  73-a  of  the public officers law, lobbyists and the clients of
lobbyists as such terms are defined in article 1-A  of  the  legislative
law,  and individuals who have formerly held such positions, were lobby-
ists or clients of lobbyists, as such terms are defined in  article  1-A
of the legislative law, or who have formerly been such candidates.
  S  3. Commission on official conduct; established. (a) There is hereby
established, as an independent state agency, the commission on  official
conduct.  The  commission  shall  consist  of  five members appointed as
follows:
  (1) one member appointed by the chief judge of the court  of  appeals,
who shall serve as the chair of the commission;
  (2)  one  member  appointed  by the presiding justice of the appellate
division in the first department;
  (3) one member appointed by the presiding  justice  of  the  appellate
division in the second department;
  (4)  one  member  appointed  by the presiding justice of the appellate
division in the third department; and
  (5) one member appointed by the presiding  justice  of  the  appellate
division in the fourth department.
  (b)  Each  member  of  the commission shall serve a term of five years
commencing on the first of January of the calendar  year  in  which  the
vacancy  in  such office occurs; provided, however, that for the members
initially appointed as members, the member appointed  by  the  presiding
justice  in  the  fourth  department shall serve a term of one year, the
member appointed by the presiding justice in the second department shall
serve a term of two years, the member appointed by the presiding justice
in the third department shall serve a term of three  years,  the  member
appointed by the presiding justice in the first department shall serve a
term  of  four  years and the member appointed by the chief judge of the
court of appeals shall serve a term of five years.
  Any vacancy occurring in the membership of  the  commission  shall  be
filled  within  sixty  days  of its occurrence in the same manner as the
member whose vacancy is being filled was appointed. A  person  appointed
to fill a vacancy occurring other than by expiration of a term of office
shall  be  appointed  to  the  unexpired  term  of  the member he or she
replaces.
  (c) Four members of the commission shall constitute a quorum, and  the
commission  shall have power to act by majority vote of the total number
of members of the commission without vacancy.
  (d) The members of the commission shall receive  no  compensation  for
their services, but shall be allowed their actual and necessary expenses
incurred in the performance of their duties pursuant to this act.
  (e) Members of the commission may be removed by the chief judge of the
court  of  appeals  for substantial neglect of duty, gross misconduct in
office, inability to discharge  the  powers  and  duties  of  office  or

A. 4617                             5

violation of the provisions of this act, after written notice and oppor-
tunity to be heard by the court of appeals.
  S  4.  Executive  director and staff. (a) The commission shall appoint
and employ an executive director who shall serve a term  of  six  years.
Any  vacancy  in the office of executive director shall be filled within
ten days of its occurrence. A person appointed to fill a vacancy in  the
office  of  executive  director  occurring other than by expiration of a
term of office shall be appointed to the unexpired term of the executive
director he or she replaces.
  (b) The executive director shall act in accordance with the  policies,
rules and regulations of the commission. He or she shall act in the name
of  the  commission  pursuant  to  the  specific powers delegated by the
commission to the office of executive director.
  (c) The commission shall appoint  and  employ  such  other  staff  and
investigators  as  shall be necessary to carry out its powers and duties
pursuant to this act.
  (d) The executive director, staff members  and  investigators  may  be
removed by the commission for substantial neglect of duty, gross miscon-
duct  in  office,  inability to perform their duties or violation of the
provisions of this act, after  written  notice  and  opportunity  to  be
heard.
  S  5.  Powers and duties. The commission shall have the power and duty
to:
  (a) fix the compensation of the executive director, staff members  and
investigators;
  (b)  request  and receive, and shall utilize and be provided with such
facilities, resources and  data  of  any  court,  department,  division,
board, bureau, commission or agency of the state or any political subdi-
vision  thereof,  or  of  any  public authority or public benefit corpo-
ration, as it may reasonably request to properly carry  out  its  powers
and duties pursuant to this act;
  (c)  adopt,  amend  and  rescind  rules  and regulations to govern the
procedures of the commission and to implement  the  provisions  of  this
act;
  (d)  adopt, amend and rescind rules and regulations to assist appoint-
ing authorities in determining which persons  hold  policy-making  posi-
tions for the purposes of section 73-a of the public officers law;
  (e) make available forms for annual statements of financial disclosure
required  to  be  filed  pursuant to section 73-a of the public officers
law;
  (f) review financial disclosure statements filed pursuant  to  section
73-a of the public officers law;
  (g)   receive   and  investigate  complaints  and  referrals  alleging
violations of section 73, 73-a or 74 of the public officers law, article
1-A of the legislative law, or section 107 of the civil service law;
  (h) permit any person required to file a financial  disclosure  state-
ment  pursuant to section 73-a of the public officers law to delete from
the copy thereof made available for public inspection  such  information
as  shall  be determined by the commission will have no material bearing
on the discharge of the reporting person's official duties;
  (i) grant any person required to file a financial disclosure statement
pursuant to section 73-a of the public officers law, an additional peri-
od of time within which to file such statement due to justifiable  cause
or undue hardship;
  (j)  permit  any person required to file a financial disclosure state-
ment pursuant to section 73-a of the public officers law to delete  such

A. 4617                             6

information pertaining to such person's spouse or unemancipated children
as shall be found by the commission will have no material bearing on the
discharge of the reporting person's official duties;
  (k) advise and assist any state agency in establishing rules and regu-
lations  relating  to  possible  conflicts between private interests and
official duties of present and former state officers and employees;
  (l) 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 be granted an
exemption from such filing requirement. The commission may grant such an
exemption  where the public interest does not require disclosure and the
applicant's duties do not involve negotiation, authorization or approval
of:
  (1) contracts, leases, franchises,  revocable  consents,  concessions,
variances,  special  permits or licenses as defined in section 73 of the
public officers law,
  (2) the purchase, sale, rental or lease of  real  property,  goods  or
services, or a contract therefor,
  (3) the obtaining of grants of money or loans, or
  (4)  the adoption or repeal of any rule or regulation having the force
and effect of law;
  (m) determine questions 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 provisions of this act;
  (n)  upon written request from a person subject to the requirements of
section 73, 73-a or 74 of the public officers law,  render  an  advisory
opinion on the requirements of such provisions;
  (o) promulgate rules concerning restrictions on outside activities and
limitations or the receipt of gifts and honoraria;
  (p)  conduct  training  programs,  in  cooperation with the governor's
office of employee relations, to provide instruction to persons  subject
to its jurisdiction;
  (q) administer and enforce all provisions of this act;
  (r) conduct any investigation necessary to carry out the provisions of
this act;
  (s)  receive  and  investigate complaints from any source, or upon its
own initiative, concerning allegations of  corruption,  fraud,  criminal
activity, conflicts of interest or abuse in any covered agency or by any
covered individual;
  (t)  inform  the heads of covered agencies of such allegations and the
progress of investigations related thereto, unless special circumstances
require confidentiality;
  (u) determine with respect to such  allegations  whether  disciplinary
action,  civil  or  criminal prosecution, or further investigation by an
appropriate federal, state or local agency is warranted, and  to  assist
in such investigations;
  (v) prepare and release to the public written reports of such investi-
gations,  as  appropriate and to the extent permitted by law, subject to
redaction to protect the confidentiality of witnesses.  The  release  of
all or portions of such reports may be deferred to protect the confiden-
tiality of ongoing investigations;
  (w)  review  and  examine  periodically the policies and procedures of
covered  agencies  with  regard  to  the  prevention  and  detection  of
corruption, fraud, criminal activity, conflicts of interest or abuse;

A. 4617                             7

  (x) recommend remedial acts to prevent or eliminate corruption, fraud,
criminal activity, conflicts of interest or abuse in covered agencies;
  (y)  establish  programs  for  training  state  officers and employees
regarding the prevention and elimination of corruption, fraud,  criminal
activity, conflicts of interest or abuse in covered agencies;
  (z) subpoena and enforce the attendance of witnesses;
  (aa)  administer  oaths  or  affirmations  and examine witnesses under
oath;
  (bb) require the production of any books and papers deemed relevant or
material to any investigation, examination or review;
  (cc) examine and copy or remove  documents  or  records  of  any  kind
prepared,  maintained  or held by any covered agency or covered individ-
ual;
  (dd) require any officer or  employee  in  a  covered  agency  or  any
covered  individual to answer questions concerning any matter related to
the performance of his or her official duties.  No  statement  or  other
evidence  derived therefrom may be used against such officer or employee
in any  subsequent  criminal  prosecution  other  than  for  perjury  or
contempt  arising  from  such  testimony.  The refusal of any officer or
employee to answer questions shall be cause for removal from  office  or
employment, or other appropriate penalty;
  (ee) monitor the implementation by covered agencies of any recommenda-
tions made by the commission;
  (ff)  perform any other functions that are necessary or appropriate to
fulfill the provisions of this act;
  (gg) conduct investigations in connection with:
  (1) the faithful execution and enforcement of the laws of  the  state,
with  particular reference but not limited to organized crime and racke-
teering,
  (2) the conduct of public officers and public employees, and of  offi-
cers  and  employees  of public benefit corporations and public authori-
ties, and
  (3) any matter concerning the public peace, public safety  and  public
justice;
  (hh)  at  the  direction  of  the governor, conduct investigations and
otherwise assist the governor in connection with:
  (1) the removal of public officers by the governor,
  (2) the making of recommendations by the governor to any other  person
or body, with respect to the removal of public officers, and
  (3)  the  making of recommendations by the governor to the legislature
with respect to changes in or additions to existing  provisions  of  law
required for the more effective enforcement of the law;
  (ii)  at  the  direction or request of the governor or the head of any
department, board, bureau, commission or  other  agency  of  the  state,
investigate  the  management  or  affairs of any such department, board,
bureau, commission or other agency;
  (jj) upon the request of district attorneys and other law  enforcement
officers,  cooperate  with, advise and assist them in the performance of
their official powers and duties;
  (kk) cooperate with departments and  officers  of  the  United  States
government in the investigation of violations of the federal laws within
this state;
  (ll) examine into matters relating to law enforcement extending across
the  boundaries  of  the  state  into  other states, and may consult and
exchange information with officers and agencies  of  other  states  with

A. 4617                             8

respect  to law enforcement problems of mutual concern to this and other
states;
  (mm)  whenever  it  shall appear to the commission that there is cause
for the prosecution of a crime or for the removal of  a  public  officer
for  misconduct,  refer  the evidence of such crime or misconduct to the
officials authorized to conduct the prosecution or to remove the  public
officer;
  (nn)  keep the public informed as to the operations of organized crime
and problems of law enforcement in the state; and
  (oo) exercise any and all powers of the former  commission  on  public
integrity  and  the former office of the state inspector general as they
existed immediately prior to the effective date of this act,  and  exer-
cise  any  and  all  powers  of the former temporary state commission of
investigation as they existed on March 30, 2011.
  S 6. Financial disclosure. (a) The commission shall inspect all finan-
cial disclosure statements filed with the commission to ascertain wheth-
er any person subject to the reporting requirements of section  73-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 73, 73-a or 74 of the public officers law.
  (b) If a person required to file a financial disclosure statement with
the commission has failed to file a disclosure statement or has filed  a
deficient statement, the commission shall notify the reporting person in
writing, state the failure to file or detail the deficiency, provide the
person  with a fifteen day period to cure the deficiency, and advise the
person of the  penalties  for  failure  to  comply  with  the  reporting
requirements.  Such notice shall be confidential. If the person fails to
make such filing or fails to cure the deficiency  within  the  specified
time  period,  the commission shall send a notice of delinquency: (1) to
the reporting person; (2) in the case of a statewide  elected  official,
to  the  temporary president of the senate and the speaker of the assem-
bly; and (3) in the case of a state officer or employee, to the appoint-
ing authority for such person. Such notice of delinquency may be sent at
any time during the reporting person's service as  a  statewide  elected
official,  state  officer  or employee, political party chair or while a
candidate for statewide office, or within one year after termination  of
such  service  or  candidacy.  The  jurisdiction of the commission, when
acting pursuant to subdivision (d)  of  this  section  with  respect  to
financial  disclosure, shall continue notwithstanding that the reporting
person separates from state service, or  ceases  to  hold  office  as  a
statewide  elected  official or political party chair, or ceases to be a
candidate, provided the commission notifies such person of  the  alleged
failure to file or deficient filing pursuant to this subdivision.
  (c)(1)  If  the  commission  receives  a  sworn  complaint  alleging a
violation of section 73, 73-a or 74 of the public officers law,  section
107  of the civil service law or article 1-A of the legislative law by a
person or entity subject to the jurisdiction of the commission, or if  a
reporting  individual  has  filed  a  statement which reveals a possible
violation of these provisions, or if the commission  determines  on  its
own initiative to investigate a possible violation, the commission shall
notify  the  individual  in  writing,  describe  the possible or alleged
violation of such laws and provide the person with a fifteen day  period
in which to submit a written response setting forth information relating
to  the  activities  cited as a possible or alleged violation of law. If
the commission thereafter makes a determination that further inquiry  is
justified,  it shall give the individual an opportunity to be heard. The

A. 4617                             9

commission shall also inform the individual of its rules  regarding  the
conduct  of  adjudicatory  proceedings  and  appeals and the due process
procedural mechanisms available to such individual.  If  the  commission
determines  at any stage of the proceeding that there is no violation or
that any potential conflict of interest violation has been rectified, it
shall so advise the individual and the complainant, if any. All  of  the
foregoing proceedings shall be confidential.
  (2)  If  the  commission  determines that there is reasonable cause to
believe that a violation has occurred, it shall send a notice of reason-
able cause: (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.
  (3) The jurisdiction of the commission when acting  pursuant  to  this
act  shall continue notwithstanding that a statewide elected official or
a state officer or 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 one 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 1-A of the legislative law.  Noth-
ing in this section shall serve to limit the jurisdiction of the commis-
sion in enforcement of subdivision 8 of section 73 of the  public  offi-
cers law.
  (d)  An  individual  subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions  of  subdivisions  2
through  5,  7, 8, 12 or 14 through 17 of section 73 of the public offi-
cers law, section 107 of the civil service law, or a reporting  individ-
ual  who  knowingly  and  wilfully  fails to file an annual statement of
financial disclosure or  who  knowingly  and  wilfully  with  intent  to
deceive makes a false statement or fraudulent omission or gives informa-
tion which such individual knows to be false on such statement of finan-
cial  disclosure  filed  pursuant to section 73-a of the public officers
law shall be subject to a civil penalty  in  an  amount  not  to  exceed
$40,000 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 paragraphs b, c, d or i of subdivision  3  of
section 74 of the public officers law shall be subject to a civil penal-
ty in an amount not to exceed $10,000 and the value of any gift, compen-
sation  or benefit received as a result of such violation. An individual
who knowingly and intentionally violates the provisions of paragraphs a,
e or g of subdivision 3 of section 74 of the public officers  law  shall
be  subject  to  a civil penalty in an amount not to exceed the value of
any  gift,  compensation  or  benefit  received  as  a  result  of  such
violation.  An  individual subject to the jurisdiction of the commission
who knowingly and wilfully violates article 1-A of the  legislative  law
shall  be  subject  to  civil  penalty  as provided for in that article.
Assessment of a civil penalty pursuant to this section 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  commis-
sion 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

A. 4617                            10

factors the commission deems appropriate. For a violation of this subdi-
vision, other than for conduct which constitutes a violation of  section
107  of  the  civil  service  law,  subdivisions  12 or 14 through 17 of
section  73  or  section 74 of the public officers law or article 1-A of
the legislative law, the commission may, in lieu  of  a  civil  penalty,
refer   a   violation  to  the  appropriate  prosecutor  and  upon  such
conviction, such violation shall be punishable as a class A misdemeanor.
A civil penalty for false filing may not be  imposed  pursuant  to  this
section in the event a category of "value" or "amount" reported pursuant
to this section is incorrect unless such reported information is falsely
understated. Notwithstanding any other provision of law to the contrary,
no  other  penalty,  civil  or  criminal may be imposed for a failure to
file, or for a false filing,  of  such  statement,  or  a  violation  of
section  73  of  the  public  officers  law,  except that the appointing
authority may impose disciplinary action as otherwise provided  by  law.
The  commission  may  refer violations of this section to the appointing
authority for disciplinary action as  otherwise  provided  by  law.  The
commission shall be deemed to be an agency within the meaning of article
3  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 78 of the civil prac-
tice law and rules relating to the assessment  of  the  civil  penalties
authorized  by  this  subdivision and commission denials of requests for
certain deletions or exemptions to be made from a  financial  disclosure
statement  as  authorized  by  this  act. Such rules, which shall not be
subject to the approval requirements of the state administrative  proce-
dure  act,  shall provide for due process procedural mechanisms substan-
tially similar to those set forth in article 3 of the state  administra-
tive 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 penal-
ty,  or unless such denial of request is reversed within such time peri-
od, 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 78 of the  civil  practice  law  and
rules.
  (e)  If  the  commission  has  a  reasonable basis to believe that any
person subject to the jurisdiction of the legislative ethics  commission
may have violated any provisions of section 73 or 74 of the public offi-
cers  law, it may refer such violation to the legislative ethics commis-
sion. 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.
  (f)  A copy of any notice of delinquency or notice of reasonable cause
sent pursuant to subdivisions (b) and  (c)  of  this  section  shall  be
included  in  the  reporting  person's  file and be available for public
inspection and copying.
  S 7. Website. Within one hundred twenty days of the effective date  of
this  section,  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 section eight of this act, other than  financial
disclosure  statements,  and  any other records or information which the
commission determines to be appropriate.

A. 4617                            11

  S 8. Public access to records. (a) Notwithstanding the  provisions  of
article 6 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 73-a of  the  public  officers  law
except  the  categories of value or amount, which shall remain confiden-
tial, and any other item of information deleted pursuant to this act;
  (2) notices of delinquency sent under subdivision (b) of  section  six
of this act;
  (3)  notices  of reasonable cause sent under paragraph two of subdivi-
sion (c) of section six of this act;
  (4) notices of civil assessments imposed under this  act  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) the terms of any settlement or compromise of a complaint or refer-
ral which includes a fine, penalty or other remedy; and
  (6)  those required to be held or maintained publicly available pursu-
ant to article 1-A of the legislative law.
  (b) 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 or her 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.
  S 9. Responsibilities of covered agencies, covered individuals,  state
officers  and  employees.    (a)  Every  state  officer or employee in a
covered agency and every covered individual shall report promptly to the
commission any information concerning corruption, fraud, criminal activ-
ity, conflicts of interest or abuse by another state officer or employee
relating to his or her office or employment, or by a person having busi-
ness dealings with a covered agency  relating  to  those  dealings.  The
knowing  failure  of any officer or employee to so report shall be cause
for removal from office or employment or other appropriate penalty.  Any
officer  or  employee who acts pursuant to this subdivision by reporting
to the commission improper governmental action  as  defined  in  section
75-b  of the civil service law shall not be subject to dismissal, disci-
pline or other adverse personnel action.
  (b) The head of any covered agency shall advise  the  governor  within
ninety  days  of  the  issuance  of a report by the commission as to the
remedial action that the agency has taken in response to any recommenda-
tion for such action contained in such report.
  S 10. Confidentiality. Any person conducting or participating  in  any
examination or investigation who shall disclose to any person other than
the  commission or an officer having the power to appoint one or more of
the commissioners the name of any witness examined, or  any  information
obtained  or  given  upon  such  examination or investigation, except as
directed by the commission, shall be guilty of a misdemeanor.
  S 11. Evidence to be impounded. Upon the application  of  the  commis-
sion,  the  executive director or a duly authorized member of its staff,
the supreme court or a justice thereof may impound any exhibit marked in
evidence in any public or private hearing held  in  connection  with  an

A. 4617                            12

investigation conducted by the commission, and may order such exhibit to
be  retained  by,  or  delivered  to  and  placed in the custody of, the
commission. When so impounded such exhibit shall not be taken  from  the
custody  of  the commission, except upon further order of the court or a
justice thereof made upon five days' notice to the  commission  or  upon
its application or with its consent.
  S  12.  Immunity  from  prosecution.  In  any investigation or hearing
conducted by the commission pursuant to this act, relating to any  crime
or  offense  with  respect  to which, by express provision of statute, a
competent authority is authorized to confer immunity; the commission may
confer immunity in accordance with the provisions of  section  50.20  of
the criminal procedure law, but only after affording the attorney gener-
al  and the appropriate district attorney the opportunity to be heard in
respect to any objections which they may have to the  granting  of  such
immunity.
  S 13. Transfer of functions, powers and duties. All functions, powers,
duties  and obligations of the former commission on public integrity and
the former office of the   state inspector  general  are  hereby  trans-
ferred to the commission.
  S 14. Transfer of employees. (a) Upon transfer of the functions of the
former commission on public integrity and the former office of the state
inspector  general  to  the commission, provisions shall be made for the
transfer to the commission of those employees of  such  former  agencies
who  were  engaged in carrying out the functions transferred by this act
in accordance with section 70 of the civil service  law  or,  where  not
subject  to  the  civil  service  law, the provisions of such section 70
shall be deemed applicable, except where the  context  clearly  requires
otherwise.    Any such employee who, at the time of such transfer, has a
temporary or provisional appointment shall be transferred subject to the
same right of removal, examination or termination as though such  trans-
fer had not been made except to the extent such rights are modified by a
collective  bargaining  agreement.  Employees holding permanent appoint-
ments in competitive class positions who are not transferred pursuant to
this  section  shall  have  their  names  entered  upon  an  appropriate
preferred list for reinstatement pursuant to the civil service law.
  (b)  A  transferred  employee  shall  remain  in  the  same collective
bargaining unit as was the case prior to his or her transfer;  successor
employees  to  the  positions  held by such transferred employees shall,
consistent with the provisions of article 14 of the civil  service  law,
be included in the same unit as their predecessors. Employees other than
management  or  confidential  persons  (as  defined in article 14 of the
civil service law), serving positions in newly created titles  shall  be
assigned  to  the appropriate bargaining unit. Nothing contained in this
section shall be construed to affect:
  (1) the rights of employees pursuant to a collective bargaining agree-
ment;
  (2) the representational relationships among employee organizations or
the bargaining relationships between the state and an employee organiza-
tion; or
  (3) existing law with respect to an application to the public  employ-
ment relations board, provided, however, that the merger of such negoti-
ating  units of employees shall be effected only with the consent of the
recognized and certified representative of such units and of the depart-
ment of law.
  S 15. Transfer of records. All  books,  papers  and  property  of  the
former commission on public integrity and the former office of the state

A. 4617                            13

inspector  general  are  to be delivered to the commission at such place
and time, and in such manner as the commission shall require.
  S  16.  Continuity  of authority. For the purpose of succession to all
functions, powers, duties and obligations of the  former  commission  on
public  integrity  and  the former office of the state inspector general
transferred to and assumed by  the  commission,  such  commission  shall
continue the operation thereof as if performed by such former agencies.
  S  17. Completion of unfinished business. Any business or other matter
undertaken or commenced by the former commission on public integrity and
the former office of  the  state  inspector  general  pertaining  to  or
connected with the functions, powers, duties and obligations transferred
and assigned to the commission and pending on the effective date of this
section  shall  be conducted and completed by the commission in the same
manner and under the same terms and conditions and with the same  effect
as if conducted and completed by such former agencies.
  S  18.  Continuation of rules and regulations. All rules, regulations,
acts, orders, determinations and decisions of the former  commission  on
public integrity and the former office of the state inspector general in
force  at  the  time  of such transfer and assumption, shall continue in
force and effect as rules, regulations, acts, orders, determinations and
decisions of the commission until duly modified or abrogated.
  S 19. Terms occurring in laws, contracts and other documents. Whenever
the former commission on public integrity or the former  office  of  the
state  inspector  general  is  referred  to  or  designated  in any law,
contract or document pertaining to the  functions,  powers,  obligations
and duties transferred and assigned pursuant to this act, such reference
or designation shall be deemed to refer to the commission.
  S  20.  Existing  rights  and remedies preserved. No existing right or
remedy of any character shall be lost, impaired or affected by reason of
any transfer or assignment pursuant to this act.
  S 21. Pending actions or proceedings. No action or proceeding  pending
upon  the  effective  date  of  this  section relating to the functions,
powers and duties of the former commission on public integrity  and  the
former  office of the state inspector general transferred to the commis-
sion, brought by or against any such former agency, shall be affected by
any provision of this act, but the same may be prosecuted or defended in
the name of the commission. In all such  actions  and  proceedings,  the
commission,  upon  application  to  the court, shall be substituted as a
party.
  S 22. Transfer of  appropriations  heretofore  made.  Subject  to  the
approval  of  the  director of the division of the budget, all appropri-
ations and reappropriations heretofore made to the former commission  on
public  integrity  and  the former office of the state inspector general
for the purposes and functions transferred pursuant to this act  to  the
commission,  to  the  extent  of  remaining  unexpended  or unencumbered
balance thereof, whether allocated or unallocated, and whether obligated
or unobligated, are hereby transferred to and made available for use and
expenditure by the commission for the same purposes for which originally
appropriated or reappropriated and shall be payable on  vouchers  certi-
fied  or  approved by the executive director on audit and warrant of the
comptroller. Payments for liabilities for expenses of personal services,
maintenance and operation heretofore incurred  by  and  for  liabilities
incurred  and  to  be  incurred  in completing the affairs of the former
commission on public integrity  and  the  former  office  of  the  state
inspector  general  with  respect  to  the  powers, duties and functions
transferred in this act, shall also be made on vouchers or  certificates

A. 4617                            14

approved  by  the  executive  director on audit and warrant of the comp-
troller.
  S  23.  Transfer of assets and liabilities. All assets and liabilities
of the former commission on public integrity and the  former  office  of
the state inspector general are hereby transferred to and assumed by the
commission.
  S 24. Actions of the commission.  The commission is hereby directed to
immediately  take  any  and all actions necessary to enable it to assume
all powers, duties and functions of  the  former  commission  on  public
integrity,  the  former  office  of  the state inspector general and the
former temporary state commission of investigation within ninety days of
the effective date of this act.
  S 25. Subdivision 5 of section  107  of  the  civil  service  law,  as
amended  by  chapter  14  of  the  laws  of  2007, is amended to read as
follows:
  5. Violation of this section. Complaints alleging a violation of  this
section  by a statewide elected official or a state officer or employee,
as defined in section seventy-three of the public officers law,  may  be
directed to the commission on [public integrity] OFFICIAL CONDUCT.
  S 26. Section 94 of the executive law is REPEALED.
  S  27.  Subdivision  (f)  of  section  1-c  of the legislative law, as
amended by chapter 14 of the  laws  of  2007,  is  amended  to  read  as
follows:
  (f)  The term "commission" shall mean the commission on [public integ-
rity created by section  ninety-four  of  the  executive  law]  OFFICIAL
CONDUCT.
  S 28. Subdivision 3 of section 212 of the racing, pari-mutuel wagering
and  breeding  law,  as  amended  by  chapter 18 of the laws of 2008, is
amended to read as follows:
  3. Such members, except as otherwise provided by law,  may  engage  in
private or public employment, or in a profession or business. The board,
its  members,  officers and employees shall be subject to the provisions
of sections seventy-three and seventy-four of the public  officers  law.
No former trustee or officer of a non-profit racing association known as
The  New  York  Racing  Association, Inc. or its predecessor, no current
director or officer of a franchised corporation or any individual regis-
tered with the [New York]  commission  on  [public  integrity]  OFFICIAL
CONDUCT  shall be appointed as members to the board nor shall any member
of the board have any direct or  indirect  interest  in  any  racehorse,
thoroughbred  racing  or  pari-mutuel  wagering  business, video lottery
terminal facility or any development at any racing facility.
  S 29. Article 4-A of the executive law is REPEALED.
  S 30. Subdivision 3 of section 63 of the executive law, as amended  by
chapter 155 of the laws of 2012, is amended to read as follows:
  3.  Upon  request  of  the  governor, comptroller, secretary of state,
commissioner of transportation, superintendent  of  financial  services,
commissioner of taxation and finance, commissioner of motor vehicles, or
the  [state  inspector  general]  COMMISSION ON OFFICIAL CONDUCT, or the
head of any other department,  authority,  division  or  agency  of  the
state,  investigate  the alleged commission of any indictable offense or
offenses in violation of the law which the officer making the request is
especially required to execute or in relation to any  matters  connected
with such department, and to prosecute the person or persons believed to
have  committed  the  same  and any crime or offense arising out of such
investigation or prosecution or  both,  including  but  not  limited  to
appearing before and presenting all such matters to a grand jury.

A. 4617                            15

  S 31. Section 2350-dd of the public authorities law, as added by chap-
ter 762 of the laws of 2005, is amended to read as follows:
  S  2350-dd.  Jurisdiction  of  [state inspector general] COMMISSION ON
OFFICIAL CONDUCT.   The agency is subject to  the  jurisdiction  of  the
[office of the state inspector general] COMMISSION ON OFFICIAL CONDUCT.
  S  32. Subdivision 3 of section 2.10 of the criminal procedure law, as
added by chapter 843 of the laws of 1980, is amended to read as follows:
  3. [Investigators] THE EXECUTIVE DIRECTOR  AND  INVESTIGATORS  of  the
[office of the state] commission [of investigation] ON OFFICIAL CONDUCT.
  S 33. Subdivision 68 of section 2.10 of the criminal procedure law, as
added by chapter 168 of the laws of 2000, is REPEALED.
  S  34. Subdivision 3 of section 70-a of the executive law, as added by
chapter 1003 of the laws of 1970, is amended to read as follows:
  3. The deputy attorney general in charge of the organized  crime  task
force  may  request and shall receive from the division of state police,
the state department of taxation and finance, the  state  department  of
labor,  the  [temporary state] commission [of investigation] ON OFFICIAL
CONDUCT, and from every department, division, board, bureau,  commission
or  other  agency of the state, or of any political subdivision thereof,
cooperation and assistance in the performance of his duties. Such deputy
attorney general may provide  technical  and  other  assistance  to  any
district  attorney  or  other  local law enforcement official requesting
such assistance in the investigation or prosecution of  organized  crime
cases.
  S 35. Subdivision 9 of section 835 of the executive law, as separately
amended  by  chapters 14 and 155 of the laws of 2012, is amended to read
as follows:
  9. "Qualified agencies" means courts in the unified court system,  the
administrative  board of the judicial conference, probation departments,
sheriffs' offices, district attorneys' offices, the state department  of
corrections  and  community supervision, the department of correction of
any municipality, the financial frauds and consumer protection  unit  of
the  state  department of financial services, the office of professional
medical conduct of the state department of health for  the  purposes  of
section  two  hundred thirty of the public health law, the child protec-
tive services unit of a local social services district  when  conducting
an  investigation  pursuant  to  subdivision six of section four hundred
twenty-four of the social services law, the office of Medicaid inspector
general, the [temporary state] commission [of investigation] ON OFFICIAL
CONDUCT,  police  forces  and  departments  having  responsibility   for
enforcement  of  the  general  criminal  laws of the state, the Onondaga
County Center for Forensic Sciences Laboratory when  acting  within  the
scope  of  its  law  enforcement  duties  and  the  division of forensic
services of the Nassau county  medical  examiner's  office  when  acting
within the scope of its law enforcement duties.
  S  36.  Subdivision  8  of  section  92 of the public officers law, as
amended by section 135 of subpart B of part C of chapter 62 of the  laws
of 2011, is amended to read as follows:
  (8)  Public  safety  agency  record.  The  term  "public safety agency
record" means a record  of  the  state  commission  of  correction,  the
[temporary state] commission [of investigation] ON OFFICIAL CONDUCT, the
department of corrections and community supervision, the office of chil-
dren  and  family services, the office of victim services, the office of
probation and correctional alternatives or the division of state  police
or  of  any  agency  or  component thereof whose primary function is the
enforcement of civil or criminal statutes if  such  record  pertains  to

A. 4617                            16

investigation,  law  enforcement, confinement of persons in correctional
facilities or supervision of persons pursuant to criminal conviction  or
court  order,  and  any  records  maintained by the division of criminal
justice  services pursuant to sections eight hundred thirty-seven, eight
hundred thirty-seven-a,  eight  hundred  thirty-seven-b,  eight  hundred
thirty-seven-c,  eight  hundred thirty-eight, eight hundred thirty-nine,
and eight hundred forty-five of the executive law and by the  department
of state pursuant to section ninety-nine of the executive law.
  S  37.  Chapter  989  of  the laws of 1958, creating a temporary state
commission of investigation, is REPEALED.
  S 38. Paragraph (b) of subdivision 9 of section 80 of the  legislative
law, as added by section 9 of part A of chapter 399 of the laws of 2011,
is amended to read as follows:
  (b)  Not  later  than  forty-five calendar days after receipt from the
[joint] commission on [public ethics]  OFFICIAL  CONDUCT  of  a  written
substantial  basis investigation report and any supporting documentation
or other materials regarding a matter before the commission [pursuant to
subdivision fourteen-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 additional period of the same duration or refer the
matter back to  the  [joint]  commission  on  [public  ethics]  OFFICIAL
CONDUCT 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]  OFFICIAL  CONDUCT  after  such  additional  investigation, make
public the written report and publish it on the commission's website. If
the legislative ethics commission  fails  to  make  public  the  written
report  received  from  the  [joint]  commission in accordance with this
paragraph, 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] commis-
sion  on  [public  ethics] OFFICIAL CONDUCT 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 confidential.
  S 39. Subparagraph 1 of paragraph a of subdivision 12 of section 80 of
the legislative law, as amended by section 9 of part A of chapter 399 of
the laws of 2011, is amended to read as follows:
  (1) the terms of any settlement or compromise of a complaint or refer-
ral  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] OFFICIAL CONDUCT;
  S 40. Subparagraphs (ii) and (iii)  of  paragraph  (c)  and  paragraph
(d-1)  of  subdivision  1  of  section  73-a of the public officers law,
subparagraphs (ii) and (iii) of paragraph (c) as amended  and  paragraph
(d-1)  as  added  by  section  5 of part A of chapter 399 of the laws of
2011, are amended to read as follows:
  (ii) officers and employees of statewide elected  officials,  officers
and  employees of state departments, boards, bureaus, divisions, commis-
sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-

A. 4617                            17

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 [joint] commission on [public ethics established
by section ninety-four of the executive law] OFFICIAL CONDUCT 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 employ-
ee  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 [joint] commission on [public ethics established
by section ninety-four of the executive law] OFFICIAL CONDUCT 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 employ-
ee  or  any  other employee whose name did not appear on the most recent
written instrument.
  (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] OFFICIAL CONDUCT upon its
filing, in accordance 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.
  S 41. Subparagraph (ii) of paragraph (a) and paragraph (c) of subdivi-
sion 2 of section 73-a of the public officers law, as amended by section
5 of part A of chapter 399 of the laws of 2011, are amended to  read  as
follows:
  (ii)  a  person who is required to file an annual financial disclosure
statement with  the  [joint]  commission  on  [public  ethics]  OFFICIAL
CONDUCT, and who is granted an additional period of time within which to
file  such  statement  due  to  justifiable cause or undue hardship[, in
accordance with required rules and regulations on  the  subject  adopted
pursuant  to  paragraph  c of subdivision nine of section ninety-four of
the executive law] shall file such statement within the additional peri-
od of time granted; and the legislative ethics commission  shall  notify
the [joint] commission on [public ethics] OFFICIAL CONDUCT of any exten-
sion granted pursuant to this paragraph;
  (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
commission established by section eighty of the legislative law and  the
[joint]  commission  on  [public  ethics] OFFICIAL CONDUCT in accordance
with paragraph (d-1) of subdivision one of this section. If the  report-
ing  individual is a statewide elected official, candidate for statewide
elected office, a state officer or employee or a political party  chair-
man,  such  statement  shall  be  filed  with  the [joint] commission on
[public ethics established by section ninety-four of the executive  law]
OFFICIAL CONDUCT.

A. 4617                            18

  S  42.  Paragraph 8 of subdivision 3 and subdivision 4 of section 73-a
of the public officers law, paragraph 8 of subdivision 3 as  amended  by
section  37 of subpart A of part H of chapter 55 of the laws of 2014 and
subdivision 4 as amended by section 5 of part A of chapter  399  of  the
laws of 2011, are amended to read as follows:
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.

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

  (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.
  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.

A. 4617                            19

  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] ON OFFICIAL MISCONDUCT. 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 entering public office.
Client                                    Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

  (c)  APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND  FIFTEEN,  OR  FOR  NEW
MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES
THAT ARE PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN:
  If  the reporting individual receives income of fifty thousand dollars
or greater from any employment or  activity  reportable  under  question
8(a),  identify  each  registered  lobbyist who has directly referred to
such individual a client who was successfully referred to the  reporting
individual's  business  and  from  whom the reporting individual or firm
received a fee for services in excess of ten  thousand  dollars.  Report
only  these referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to  be  a
registered  lobbyist  at  the time the referral is made. With respect to
each such referral, the reporting individual shall identify  the  regis-
tered  lobbyist  who has made the referral, the category of value of the
compensation received and a general description of the type of matter so
referred. A reporting individual need not disclose activities  performed
while  lawfully  acting  pursuant to paragraphs (c), (d), (e) and (f) of
subdivision seven of section seventy-three of this article. The  disclo-
sure  requirements  in  this  question  shall  not require disclosure 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  investi-
gation  or  prosecution  by  law enforcement authorities, bankruptcy, or
domestic relations matters. With respect to clients represented in other
matters, the reporting individual shall request an  exemption  from  the
joint  commission,  which shall be granted for good cause shown. For the
purposes of this question, good cause  may  be  shown  by  circumstances
including,  but  not limited to, where disclosure of a client's identity
would reveal trade secrets or have a negative  impact  on  the  client's
business  interests,  would  cause  embarrassment  for the client, could

A. 4617                            20

reasonably result in retaliation against the client, or  would  tend  to
reveal  non-public  matters  regarding  a criminal investigation. Only a
reporting individual who first enters public office after January first,
two  thousand fifteen, need not report clients or customers with respect
to matters for which the reporting individual or his  or  her  firm  was
retained prior to entering public office.
Client          Name of Lobbyist          Category of Amount (in Table 1)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

  (d)  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.

    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________
    ____________________________________________________________________

  4. 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 this section shall be subject  to  a  civil
penalty in an amount not to exceed forty thousand dollars. Assessment of
a  civil  penalty  hereunder  shall be made by the [joint] commission on
[public ethics] OFFICIAL CONDUCT or by the  legislative  ethics  commis-
sion,  as  the  case  may  be,  with respect to persons subject to their
respective jurisdictions.   The [joint]  commission  on  [public  ethics
acting  pursuant  to  subdivision fourteen of section ninety-four of the
executive law] OFFICIAL CONDUCT or  the  legislative  ethics  commission
acting  pursuant to subdivision eleven of section eighty of the legisla-
tive 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 informa-
tion 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, except that
the appointing authority may impose  disciplinary  action  as  otherwise
provided  by  law.  The  [joint]  commission on [public ethics] OFFICIAL
CONDUCT and the legislative ethics commission shall each be deemed to be
an agency within the meaning of article three of the  state  administra-
tive  procedure act and shall adopt rules governing the conduct of adju-
dicatory proceedings and appeals relating to the assessment of the civil
penalties herein authorized. Such rules, which shall not be  subject  to
the  approval  requirements  of  the state administrative procedure act,
shall provide for due process procedural mechanisms substantially  simi-

A. 4617                            21

lar  to  those  set forth in such article three but such mechanisms need
not be identical in terms or scope. Assessment of a civil penalty  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 reporting individual in a proceeding  commenced
against  the  [joint]  commission on [public ethics] OFFICIAL CONDUCT or
the legislative ethics commission, pursuant to article seventy-eight  of
the civil practice law and rules.
  S  43. The opening paragraph of section 1-d of the legislative law, as
amended by chapter 14 of the  laws  of  2007,  is  amended  to  read  as
follows:
  In  addition to any other powers and duties [provided by section nine-
ty-four of the executive law,] the commission shall, with respect to its
lobbying-related functions only, have the power and duty to:
  S 44. Subdivision 3 of section 2986 of the public authorities law,  as
added by chapter 506 of the laws of 2009, is amended to read as follows:
  3.  Any  communications between an employee and the authorities budget
office pursuant to this section shall be held strictly  confidential  by
the  authorities  budget office, unless the employee specifically waives
in writing the right to confidentiality, except that such confidentiali-
ty shall not exempt the authorities budget office from  disclosing  such
information,  where  appropriate,  to the COMMISSION ON OFFICIAL CONDUCT
[state inspector general in accordance with section  fifty-five  of  the
executive law,] or prevent disclosure to any law enforcement authority.
  S 45. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided that sections
six  through  twenty-three and sections twenty-five through thirty-seven
of this act shall take effect on the first of April next succeeding  the
date  on which it shall have become a law; and provided further that the
amendments to subdivision 3 of section 212 of  the  racing,  pari-mutuel
wagering and breeding law made by section twenty-eight of this act shall
not affect the repeal of such section and shall be deemed repealed ther-
ewith.

                                 PART C

  Section  1. The election law is amended by adding a new section 14-131
to read as follows:
  S 14-131. CONTRIBUTION FUNDS; FORFEITURE AFTER CRIMINAL CONVICTION. 1.
ALL CONTRIBUTIONS RECEIVED BY AN ELECTED CANDIDATE FOR PUBLIC OFFICE  OR
AN  ELECTED OFFICIAL, WHO IS CHARGED WITH A FELONY WHERE SUCH FELONY WAS
DIRECTLY RELATED TO HIS OR HER SERVICE AS AN ELECTED OFFICIAL, OR  OFFI-
CER  OF  THE  STATE  OR OF A CIVIL DIVISION THEREOF, SHALL BE SUBJECT TO
IMMEDIATE AUDIT AND  ANY  UNSPENT  CONTRIBUTIONS  SHALL  BE  SUBJECT  TO
FORFEITURE  PROCEEDINGS  UPON  CONVICTION OR RESIGNATION OF SUCH ELECTED
CANDIDATE.
  2. THE ATTORNEY GENERAL, OR DISTRICT ATTORNEY OF  THE  COUNTY  WHEREIN
THE  ELECTION  OCCURRED,  SHALL  HAVE  STANDING TO INITIATE A FORFEITURE
PROCEEDING BROUGHT PURSUANT TO ARTICLE SIXTEEN OF THIS CHAPTER.  TO  THE
EXTENT POSSIBLE, THIS SPECIAL PROCEEDING SHALL BE GOVERNED BY THE PROCE-
DURES  OF  ARTICLE  THIRTEEN-A OF THE CIVIL PRACTICE LAW AND RULES SHALL
GOVERN THE PROCEEDINGS AND ACTIONS UNDER THIS SECTION.
  3. THE COMPTROLLER SHALL RECEIVE ANY FORFEITED  UNSPENT  CONTRIBUTIONS
AND,  TO THE EXTENT PRACTICABLE, RETURN SUCH FUNDS TO THE PRIVATE SOURCE
OF SUCH FUNDS, AS LONG AS THE PRIVATE SOURCE OF SUCH  FUNDS  IS  LOCATED
WITHIN  THE  DISTRICT  THAT  IS REPRESENTED BY THE ELECTED CANDIDATE FOR

A. 4617                            22

PUBLIC OFFICE OR ELECTED  OFFICIAL  OR  STATEWIDE  FOR  GOVERNOR,  COMP-
TROLLER,  AND  ATTORNEY GENERAL.  IF THE COMPTROLLER FAILS TO LOCATE THE
PRIVATE SOURCE OF SUCH FUNDS, OR IF THE PRIVATE  SOURCE  OF  SUCH  FUNDS
RESIDES  OUTSIDE  OF  THE  ELECTION  DISTRICT THAT IS REPRESENTED BY THE
ELECTED CANDIDATE FOR PUBLIC OFFICE OR ELECTED OFFICIAL OR STATEWIDE FOR
GOVERNOR, COMPTROLLER, AND ATTORNEY GENERAL, THE  UNSPENT  CONTRIBUTIONS
SHALL  BE  DONATED  TO  A CHARITABLE ORGANIZATION THAT IS, TO THE EXTENT
PRACTICABLE, LOCATED IN THE ELECTION DISTRICT THAT IS REPRESENTED BY THE
ELECTED CANDIDATE FOR PUBLIC OFFICE OR ELECTED OFFICIAL OR STATEWIDE FOR
GOVERNOR, COMPTROLLER, AND ATTORNEY  GENERAL.    ANY  FORFEITED  UNSPENT
CONTRIBUTIONS  SHALL BE RETURNED TO THE PRIVATE SOURCE OF SUCH FUNDS, OR
DONATED TO A CHARITABLE ORGANIZATION, WITHIN ONE HUNDRED EIGHTY DAYS  OF
THE RECEIPT OF SUCH FUNDS BY THE COMPTROLLER.
  4.  FOR  THE PURPOSES OF THIS SECTION, "CHARITABLE ORGANIZATION" SHALL
MEAN ANY NON-PROFIT CORPORATION ORGANIZED FOR BONA  FIDE  CHARITABLE  OR
PHILANTHROPIC PURPOSES.
  5. THE COMPTROLLER SHALL PROVIDE THE GOVERNOR AND THE LEGISLATURE WITH
A  LIST  OF  CHARITABLE  ORGANIZATIONS  THAT  ARE  ELIGIBLE  TO  RECEIVE
DONATIONS PURSUANT TO THIS SECTION.  CHARITABLE  ORGANIZATIONS  ON  SUCH
LIST  MAY  BE  DEEMED  INELIGIBLE  TO RECEIVE DONATIONS PURSUANT TO THIS
SECTION BY THE GOVERNOR, THE TEMPORARY  PRESIDENT  OF  THE  SENATE,  THE
SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE OR THE MINOR-
ITY LEADER OF THE ASSEMBLY.
  S  2.  The  election  law is amended by adding a new section 16-111 to
read as follows:
  S 16-111. PROCEEDINGS AS TO FORFEITURE OF FUNDS. THE ATTORNEY  GENERAL
OR THE DISTRICT ATTORNEY MAY BRING A SPECIAL PROCEEDING SEEKING TO SEIZE
AND  CAUSE TO BE FORFEITED THE FUNDS OF A DESIGNATED CAMPAIGN ACCOUNT AS
OUTLINED IN SECTION 14-131 OF THIS CHAPTER. UPON A SHOWING OF INDICTMENT
OR CRIMINAL ARRAIGNMENT, AN ACTION MAY BE INSTITUTED  PURSUANT  TO  THIS
SECTION  WHICH  WILL  ALLOW FOR THE FREEZING OF SAID DESIGNATED CAMPAIGN
ACCOUNT.
  S 3. This act shall take effect immediately.

                                 PART D

  Section 1. The penal law is amended by adding a  new  article  201  to
read as follows:
                               ARTICLE 201
                      FAILURE TO REPORT CORRUPTION
SECTION 201.00 FAILURE TO REPORT CORRUPTION.
S 201.00 FAILURE TO REPORT CORRUPTION.
  1. A PUBLIC SERVANT IS GUILTY OF FAILURE TO REPORT CORRUPTION WHEN:
  (A)  A  PUBLIC  SERVANT KNOWS THAT ANOTHER PERSON OR PUBLIC SERVANT IS
GUILTY  OF  OFFICIAL  MISCONDUCT  PURSUANT  TO   ARTICLE   ONE   HUNDRED
NINETY-FIVE  OF  THIS  TITLE;  IS  GUILTY  OF BRIBERY OR BRIBE RECEIVING
PURSUANT TO ARTICLE TWO HUNDRED OF THIS TITLE; OR IS GUILTY OF  A  CRIME
OF CORRUPTING THE GOVERNMENT PURSUANT TO ARTICLE FOUR HUNDRED NINETY-SIX
OF THIS TITLE; AND
  (B)  SUCH  PUBLIC SERVANT DOES NOT, AS SOON AS REASONABLY PRACTICABLE,
REPORT SUCH CRIME TO A DISTRICT ATTORNEY OR TO THE COMMISSION  ON  OFFI-
CIAL MISCONDUCT.
  2.  ANY  PUBLIC  SERVANT  WHO  MAKES A REPORT PURSUANT TO THIS SECTION
SHALL NOT BE SUBJECT TO DISMISSAL, DISCIPLINE OR OTHER PERSONNEL  ACTION
AS A RESULT OF MAKING SUCH REPORT.
  FAILURE TO REPORT CORRUPTION IS A CLASS A MISDEMEANOR.

A. 4617                            23

  S 2. This act shall take effect on the one hundred twentieth day after
it shall have become a law.

                                 PART E

  Section 1. Section 14-130 of the election law, as added by chapter 152
of the laws of 1985, is amended to read as follows:
  S  14-130.  Campaign funds for personal use. 1. Contributions received
by a candidate or a political committee may be expended for  any  lawful
purpose THAT IS DIRECTLY RELATED TO PROMOTING THE NOMINATION OR ELECTION
OF  A  CANDIDATE.  Such  funds shall not be converted by any person to a
personal use [which is unrelated to a political campaign or the  holding
of a public office or party position].
  2.  (A)  AS  USED IN THIS SECTION, EXPENDITURES FOR "PERSONAL USE" ARE
DEFINED AS EXPENDITURES THAT:
  (I) ARE FOR THE PERSONAL BENEFIT OF THE CANDIDATE OR ANY  OTHER  INDI-
VIDUAL;
  (II)  DEFRAY NORMAL LIVING EXPENSES OF THE CANDIDATE, IMMEDIATE FAMILY
OF THE CANDIDATE, OR ANY OTHER INDIVIDUAL;
  (III) ARE USED TO FULFILL ANY COMMITMENT, OBLIGATION, OR EXPENSE OF  A
PERSON  THAT  WOULD  EXIST  IRRESPECTIVE  OF  THE  CANDIDATE'S  ELECTION
CAMPAIGN;
  (IV) ARE PUT TO ANY USE FOR WHICH THE CANDIDATE WOULD BE  REQUIRED  TO
TREAT  THE  AMOUNT  OF  THE  EXPENDITURE  AS  GROSS INCOME UNDER SECTION
SIXTY-ONE OF THE INTERNAL REVENUE CODE, OR ANY SUBSEQUENT  CORRESPONDING
SECTION OF THE INTERNAL REVENUE CODE OF THE UNITED STATES.
  (B)  EXPENDITURES  FOR PERSONAL USE SHALL INCLUDE, BUT ARE NOT LIMITED
TO, EXPENSES FOR THE FOLLOWING THAT ARE NOT RELATED TO CAMPAIGN PURPOSES
OR ACTIVITIES:
  (I) CRIMINAL ATTORNEY OR LEGAL FEES;
  (II) FOOD;
  (III) SALARY PAYMENTS TO A PERSON OR A FAMILY MEMBER;
  (IV) AUTOMOBILE PURCHASES OR LEASES;
  (V) TRAVEL AND MILEAGE;
  (VI) RESIDENTIAL OR HOUSEHOLD ITEMS;
  (VII) MORTGAGE, RENT, OR UTILITY PAYMENTS;
  (VIII) FUNERAL, CREMATION, OR BURIAL;
  (IX) CLOTHING;
  (X) TUITION PAYMENTS;
  (XI) CHILDCARE;
  (XII) DUES, FEES, OR  GRATUITIES  AT  A  COUNTRY  CLUB,  HEALTH  CLUB,
FRATERNAL  ORGANIZATION  OR  PROFESSIONAL  ORGANIZATION  OR RECREATIONAL
FACILITY;
  (XIII) ADMISSION TO A SPORTING EVENT, CONCERT, THEATER, OR OTHER  FORM
OF ENTERTAINMENT;
  (XIV) PAYMENT OF ANY FINES, FEES, OR PENALTIES; AND
  (XV)  ANY  OTHER  EXPENDITURE DESIGNATED BY THE COMMISSION ON OFFICIAL
CONDUCT AS CONSTITUTING PERSONAL USE.
  S 2. This act shall take effect on the first of January next  succeed-
ing the date on which it shall have become a law.

                                 PART F

  Section 1. Section 14-126 of the election law, as amended by section 6
of subpart C of part H of chapter 55 of the laws of 2014 and subdivision

A. 4617                            24

1  as  separately amended by section 1 of subpart B of part H of chapter
55 of the laws of 2014, is amended to read as follows:
  S 14-126. Violations; penalties. 1. (a) 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 one thousand dollars, to be  recoverable
in  a  special  proceeding  or  civil  action to be brought by the chief
enforcement counsel pursuant to section 16-114 of this chapter OR BY THE
COMMISSION ON OFFICIAL CONDUCT. 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.
  (b)  All payments received by the state board of elections pursuant to
this section shall be retained in the appropriate accounts as designated
by the division of the budget for enforcement activities by the board of
elections.
  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 chief enforcement counsel.
  3.  Any  person  who falsely identifies or knowingly fails to identify
any independent expenditure as required by subdivision  two  of  section
14-107  of  this  article  shall be subject to a civil penalty up to one
thousand dollars or up to the cost of the  communication,  whichever  is
greater,  in  a  special proceeding or civil action brought by the state
board of elections chief enforcement counsel or imposed directly by  the
state  board  of  elections.  For purposes of this subdivision, the term
"person" shall mean a person, group of persons, corporation,  unincorpo-
rated  business entity, labor organization or business, trade or profes-
sional association or organization or political committee.
  4. (A) Any person who knowingly and willfully fails to file  a  state-
ment 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.
  (B) ANY CANDIDATE OR PERSON ACTING AS OR ON BEHALF OF A  CANDIDATE  OR
POLITICAL  COMMITTEE  WHO KNOWINGLY AND WILLFULLY FAILS TO FILE A STATE-
MENT REQUIRED TO BE FILED BY THIS ARTICLE WITHIN THIRTY DAYS  AFTER  THE
DATE  PROVIDED FOR FILING SUCH STATEMENT, UNLESS GRANTED AN EXTENSION BY
THE STATE BOARD OF ELECTIONS OR  OTHER  BOARD  OF  ELECTIONS,  SHALL  BE
SUBJECT TO A CIVIL PENALTY OF ONE THOUSAND DOLLARS FOR THE FIRST OFFENSE
AND  TWO  THOUSAND FIVE HUNDRED DOLLARS FOR THE SECOND OFFENSE AND EVERY
OFFENSE COMMITTED THEREAFTER TO BE RECOVERABLE IN A  SPECIAL  PROCEEDING
OR  CIVIL  ACTION  TO  BE BROUGHT BY THE COMMISSION ON OFFICIAL CONDUCT.
CANDIDATES SHALL BE PLACED ON NOTICE BY THE BOARD OF ELECTIONS, AND WILL
BE LIABLE FOR ANY CRIMINAL OR CIVIL PENALTIES FOR THE TREASURER'S  FAIL-
URE TO FILE REQUIRED DISCLOSURE REPORTS.
  5. Any person who knowingly and willfully contributes, accepts or aids
or participates in the acceptance of a contribution in an amount exceed-
ing an applicable maximum specified in this article shall be guilty of a
class A misdemeanor.

A. 4617                            25

  6.  Any person who shall, acting on behalf of a candidate or political
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 2. This act shall take effect immediately.

                                 PART G

  Section 1. The legislative law is amended by adding a new section  5-b
to read as follows:
  S  5-B. LIMITS ON TIME A LEGISLATOR MAY SERVE AS A LEGISLATIVE LEADER.
NO MEMBER OF THE LEGISLATURE MAY BE ELECTED  TO  SERVE  MORE  THAN  FOUR
CONSECUTIVE  TWO  YEAR  TERMS  AS THE TEMPORARY PRESIDENT OF THE SENATE,
MINORITY LEADER OF THE SENATE, SPEAKER OF THE ASSEMBLY, MINORITY  LEADER
OF THE ASSEMBLY OR THE CHAIRPERSON OF ANY SENATE OR ASSEMBLY COMMITTEE.
  S  2. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law.
  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 dates of Parts A through G of this act shall be
as specifically set forth in the last section of such Parts.