S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   10651
 
                           I N  A S S E M B L Y
 
                               May 10, 2018
                                ___________
 
 Introduced  by M. of A. CARROLL -- read once and referred to the Commit-
   tee on Governmental Operations
 
             CONCURRENT RESOLUTION OF THE SENATE AND ASSEMBLY
 
 proposing that the constitution be amended by adding a new article  V-A;
   in relation to state government integrity
 
   Section  1.  Resolved (if the Senate concur), That the constitution be
 amended by adding a new article V-A to read as follows:
                                ARTICLE V-A
                        STATE GOVERNMENT INTEGRITY
 SEC.
  1. DECLARATIONS OF THE PEOPLE.
  2. NEW YORK STATE GOVERNMENT INTEGRITY COMMISSION.
  3. ADDITIONAL POWERS OF THE COMMISSION.
  4. FUNDING OF THE COMMISSION.
  5. STATE CODE OF ETHICS.
  6. RECOMMENDING REVISIONS OF CAMPAIGN CONTRIBUTION LIMITS.
  7. TRANSPARENCY.
   SECTION 1. A. THE PEOPLE OF NEW YORK EXPECT OFFICERS AND EMPLOYEES  OF
 THE STATE TO OBSERVE LAWS, RULES AND REGULATIONS THAT SPECIFY HIGH STAN-
 DARDS OF ETHICAL CONDUCT DESIGNED TO AVOID THE REALITY AND APPEARANCE OF
 CORRUPTION,  CONFLICT OF INTEREST, SELF-DEALING AND BREACH OF THE PUBLIC
 TRUST. EQUALLY THEY EXPECT THAT CANDIDATES FOR STATE OFFICE  AND  OTHERS
 SEEKING  TO  INFLUENCE  STATE ELECTIONS TO OBSERVE LAWS, RULES AND REGU-
 LATIONS  DESIGNED  TO  REGULATE  ACTUAL  AND  POTENTIAL  CORRUPTION  AND
 CONFLICTS  OF  INTEREST BY REGULATING THE INFLUENCE OF MONEY IN POLITICS
 AND MAKING TRANSPARENT THE FINANCING  AND  EXPENDITURES  OF  EFFORTS  TO
 INFLUENCE  VOTERS.  TO PROTECT THE INTEGRITY AND FREEDOM FROM CORRUPTION
 OF THE USE OF STATE POWER TO  ENACT  LAWS,  ESTABLISH  RULES  AND  REGU-
 LATIONS,  AND CONTRACT FOR GOODS AND SERVICES FUNDED IN WHOLE OR IN PART
 WITH STATE TAXES AND OTHER REVENUES,  THE  PEOPLE  OF  NEW  YORK  EXPECT
 OBSERVANCE OF LAWS, RULES AND REGULATIONS THAT REGULATE LOBBYING, LOBBY-
 ISTS  AND  GOVERNMENT  PROCUREMENT.  TO ENSURE THE APPROPRIATE WORKPLACE
 CONDUCT OF STATE OFFICERS AND EMPLOYEES AND THOSE WHO INTERACT WITH SUCH
 OFFICERS AND EMPLOYEES WHILE DEALING WITH THE STATE AND  ITS  INSTRUMEN-
 TALITIES,  THE  PEOPLE  OF  NEW  YORK  EXPECT THAT ALL SUCH PERSONS WILL
 OBSERVE LAWS, RULES AND REGULATIONS SETTING STANDARDS OF APPROPRIATE AND
              

 NON-DISCRIMINATORY WORKPLACE BEHAVIOR.
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
                                                            LBD89139-02-8

 A. 10651                            2

   B. ACHIEVING THIS GOAL REQUIRES AN INDEPENDENT AND NON-PARTISAN AGENCY
 WITH JURISDICTION OVER MATTERS PERTAINING TO BOTH  THE  LEGISLATIVE  AND
 EXECUTIVE  BRANCHES  OF  GOVERNMENT  AND  THAT  HAS THE NEEDED POWERS TO
 TRAIN, ADVISE, INTERPRET,  ADOPT  RULES  AND  REGULATIONS,  INVESTIGATE,
 CONDUCT  FAIR  HEARINGS  THAT  AFFORD DUE PROCESS AND IMPOSE APPROPRIATE
 SANCTIONS ON A CONSISTENT BASIS SO THAT, WITH FAIR AND EQUAL APPLICATION
 OF THE LAW, NO PERSON OR ENTITY, NO MATTER WHAT THEIR STATUS,  INFLUENCE
 OR  ROLE  IN  GOVERNMENT,  CAN  PLACE THEMSELVES ABOVE THE LAW OR SUFFER
 DETRIMENT DUE TO ANY LACK OF SUCH STATUS, INFLUENCE OR ROLE.
   § 2. A. THERE SHALL BE A NEW YORK STATE GOVERNMENT  INTEGRITY  COMMIS-
 SION.  THE  COMMISSION  SHALL, ON AN INDEPENDENT AND NON-PARTISAN BASIS,
 RECEIVE, INITIATE, INVESTIGATE AND DETERMINE COMPLAINTS WITH RESPECT  TO
 THE  MATTERS SPECIFIED IN SECTION ONE OF THIS ARTICLE. THIS JURISDICTION
 SHALL BE IN ADDITION TO AND NOT  IN  DEROGATION  OF  THE  INVESTIGATORY,
 DISCIPLINARY,  VENDOR  QUALIFICATION OR LAW ENFORCEMENT AUTHORITY OF ANY
 OTHER PERSON OR ENTITY AND OF THE RIGHT OF AN AGGRIEVED PERSON  TO  SEEK
 CIVIL  REDRESS  IN  ACCORDANCE  WITH  LAW.  THE  COMMISSION  MAY  IN ITS
 DISCRETION DECLINE TO INITIATE, OR SUSPEND INITIATION OF PROCEEDINGS, OR
 OTHERWISE ADJUST ITS PROCEDURES,  IN  VIEW  OF  SUCH  OTHER  PROCEEDINGS
 UNDERTAKEN OR ABLE TO BE UNDERTAKEN BY SUCH OTHER PERSON OR ENTITY.
   B.  WHEN,  AFTER  HEARING,  THE  COMMISSION  HAS  DETERMINED  THAT THE
 RESPONDENT HAS VIOLATED A LAW, RULE OR  REGULATION  WITHIN  THE  COMMIS-
 SION'S  JURISDICTION  TO  ENFORCE,  THE  COMMISSION MAY IMPOSE ANY CIVIL
 SANCTION AUTHORIZED BY LAW AND/OR REFER THE MATTER FOR  CRIMINAL  PROSE-
 CUTION.  THE  COMMISSION  MAY  ALSO  CAUTION,  ADMONISH  OR CENSURE SUCH
 RESPONDENT OR, IN THE CASE OF A NON-ELECTED STATE OFFICER  OR  EMPLOYEE,
 SUSPEND,  DEMOTE  OR  REMOVE  SUCH  RESPONDENT FROM OFFICE OR EMPLOYMENT
 AFTER SUCH ADJUDICATORY PROCESS THAT  SUBSTANTIALLY  COMPLIES  WITH  THE
 TERMS  OF  ANY RELEVANT COLLECTIVE BARGAINING AGREEMENT. IN DECIDING THE
 SEVERITY OF THE SANCTION, THE COMMISSION SHALL CONSIDER TO  WHAT  EXTENT
 THE  VIOLATION  IS  INADVERTENT, ISOLATED AND/OR OF INSUBSTANTIAL CONSE-
 QUENCE ON THE ONE HAND OR WILLFUL, REPEATED, CAUSING ACTUAL PUBLIC  HARM
 OR RISK OF PUBLIC HARM AND/OR OTHERWISE EGREGIOUS ON THE OTHER. DETERMI-
 NATIONS,  OTHER  THAN A DETERMINATION TO REFER FOR CRIMINAL PROSECUTION,
 SHALL BE SUBJECT TO JUDICIAL REVIEW IN ACCORDANCE WITH LAW  EXCEPT  THAT
 DETERMINATIONS  TO  ADMONISH,  CENSURE  OR REMOVE AN OFFICIAL ELECTED TO
 OFFICE BY VOTE OF THE PEOPLE SHALL BE SUBJECT TO  BEING  DISAPPROVED  OR
 REDUCED  BY A MAJORITY OF THE MEMBERS OF EITHER HOUSE OF THE LEGISLATURE
 VOTING PROMPTLY AND SEPARATELY. IF THE DETERMINATION IS ONE  OF  ADMONI-
 TION  OR CENSURE, THAT DETERMINATION SHALL BE SUBJECT TO BEING INCREASED
 TO CENSURE OR REMOVAL ON THE VOTE OF TWO-THIRDS OF THE MEMBERS  OF  BOTH
 HOUSES OF THE LEGISLATURE VOTING PROMPTLY AND SEPARATELY.
   C.  THE COMMISSION SHALL CONSIST OF NINE MEMBERS, OF WHOM TWO SHALL BE
 APPOINTED JOINTLY BY THE GOVERNOR, THE ATTORNEY GENERAL  AND  THE  COMP-
 TROLLER,  AT  LEAST  ONE  OF WHOM SHALL NOT BE, OR WITHIN THE PRIOR FIVE
 YEARS SHALL NOT HAVE BEEN, ENROLLED IN THE SAME POLITICAL PARTY  AS  THE
 GOVERNOR, ONE JOINTLY BY THE LEADERS IN EACH HOUSE OF THE LEGISLATURE OF
 THE  PARTY  CONFERENCES  WHOSE CANDIDATE FOR GOVERNOR IN THE MOST RECENT
 GUBERNATORIAL ELECTION RECEIVED THE LARGEST NUMBER OF VOTES, ONE JOINTLY
 BY THE LEADERS IN EACH HOUSE OF THE LEGISLATURE OF THE PARTY CONFERENCES
 WHOSE CANDIDATE FOR GOVERNOR IN THE MOST RECENT  GUBERNATORIAL  ELECTION
 RECEIVED  THE  SECOND  LARGEST  NUMBER OF VOTES, AND FIVE JOINTLY BY THE
 CHIEF JUDGE OF THE STATE OF NEW YORK AND THE PRESIDING JUSTICES OF  EACH
 OF  THE  APPELLATE  DIVISIONS,  NO  MORE THAN THREE OF WHOM SHALL BE, OR
 WITHIN THE PRIOR FIVE YEARS SHALL NOT HAVE BEEN, ENROLLED  IN  THE  SAME
 POLITICAL  PARTY.  NO MEMBER OF THE COMMISSION SHALL HAVE HELD OFFICE IN

 A. 10651                            3
 
 ANY POLITICAL PARTY ORGANIZATION, HAVE BEEN A STATE OFFICER OR  EMPLOYEE
 OR  HAVE BEEN ENGAGED AS A LOBBYIST WITHIN THREE YEARS OF APPOINTMENT OR
 AT ANY TIME DURING THEIR TERM. THE CHAIR SHALL BE ELECTED BY THE COMMIS-
 SION  MEMBERS FROM AMONG ITS MEMBERS.  COMMISSION MEMBERS SHALL BE REIM-
 BURSED FOR THEIR ACTUAL EXPENSES AND PAID A PER DIEM SALARY TO BE  FIXED
 BY LAW BUT AT LEAST A PER DIEM AMOUNT EQUAL TO THE ANNUAL SALARY PAID TO
 A  JUSTICE OF THE SUPREME COURT DIVIDED BY TWO HUNDRED TWENTY.  A MEMBER
 MAY BE REMOVED FOR CAUSE ON APPLICATION TO THE COURT OF APPEALS MADE  BY
 A MAJORITY VOTE OF THE FULL MEMBERSHIP OF THE COMMISSION.
   D.  THE  PERSONS FIRST APPOINTED BY THE GOVERNOR, THE ATTORNEY GENERAL
 AND THE COMPTROLLER SHALL HAVE RESPECTIVELY THREE AND FOUR-YEAR TERMS AS
 THOSE OFFICIALS SHALL DESIGNATE. THE  PERSONS  FIRST  APPOINTED  BY  THE
 CHIEF  JUDGE  OF THE STATE OF NEW YORK AND THE PRESIDING JUSTICES OF THE
 APPELLATE DIVISIONS SHALL HAVE RESPECTIVELY ONE, TWO, THREE, THREE,  AND
 FOUR-YEAR  TERMS  AS THAT JUDGE AND THOSE JUSTICES SHALL DESIGNATE.  THE
 PERSON FIRST APPOINTED JOINTLY BY THE LEGISLATIVE LEADERS IN EACH  HOUSE
 OF THE LEGISLATURE OF THE PARTY CONFERENCES WHOSE CANDIDATE FOR GOVERNOR
 RECEIVED  THE  LARGEST  NUMBER  OF VOTES SHALL HAVE A ONE-YEAR TERM. THE
 PERSON FIRST APPOINTED JOINTLY BY THE LEGISLATIVE LEADERS IN EACH  HOUSE
 OF THE LEGISLATURE OF THE PARTY CONFERENCES WHOSE CANDIDATE FOR GOVERNOR
 RECEIVED  THE SECOND LARGEST NUMBER OF VOTES SHALL HAVE A TWO-YEAR TERM.
 EACH MEMBER OF THE COMMISSION SHALL BE APPOINTED THEREAFTER FOR  A  TERM
 OF FOUR YEARS.
   E.  THE  ORGANIZATION  AND  PROCEDURE  OF  THE  COMMISSION SHALL BE AS
 PROVIDED BY LAW PROVIDED THAT THE COMMISSION SHALL ACT BY MAJORITY  VOTE
 OF  ITS MEMBERSHIP IN ATTENDANCE AND CONSTITUTING A QUORUM AND DETERMINE
 VIOLATIONS BASED ON A PREPONDERANCE OF  THE  EVIDENCE  EXCEPT  THAT  ANY
 ORDER  OF  CENSURE  OR  REMOVAL  SHALL  BE BASED ON CLEAR AND CONVINCING
 EVIDENCE AND SHALL BE APPROVED BY A MAJORITY OF ALL THE MEMBERS  OF  THE
 COMMISSION.  THE  COMMISSION  MAY ESTABLISH ITS OWN RULES AND PROCEDURES
 NOT INCONSISTENT WITH LAW AND DUE PROCESS.  THOSE  RULES  SHALL  BAR  EX
 PARTE  COMMUNICATIONS  OF  ANY  KIND  OR  SUBSTANCE, DIRECT OR INDIRECT,
 BETWEEN MEMBERS OF THE COMMISSION AND  THEIR  APPOINTING  AUTHORITY  AND
 SUCH RULE SHALL BIND BOTH THE MEMBER, THE COMMISSION STAFF, THE APPOINT-
 ING  AUTHORITY AND THE STAFF, AGENTS AND REPRESENTATIVES OF THE APPOINT-
 ING AUTHORITY. THE COMMISSION SHALL BE EMPOWERED  TO  DESIGNATE  ONE  OR
 MORE OF ITS MEMBERS OR ANY OTHER PERSONS AS HEARING OFFICERS TO HEAR AND
 REPORT CONCERNING ANY MATTER BEFORE THE COMMISSION.
   §  3.  A.  THE  COMMISSION MANY APPOINT AN EXECUTIVE DIRECTOR, WHO MAY
 APPOINT STAFF, AND ONE OR MORE DEPUTY DIRECTORS  WITH  SUCH  DUTIES  AND
 POWERS  AS  THE  COMMISSION MAY FIX. NO PERSON WHO WOULD BE DISQUALIFIED
 FROM BEING A MEMBER OF THE COMMISSION  MAY  BE  APPOINTED  AS  EXECUTIVE
 DIRECTOR  EXCEPT  THAT  A PERSON EMPLOYED AT THE COMMISSION SHALL NOT BE
 DISQUALIFIED BY REASON OF THAT EMPLOYMENT.
   B. THE COMMISSION AND ITS DESIGNATED HEARING OFFICERS SHALL  HAVE  THE
 POWER  TO ADMINISTER OATHS, COMPEL THE ATTENDANCE OF WITNESSES AND ISSUE
 SUBPOENAS.
   C. THE COMMISSION SHALL ASSURE THE EFFECTIVE ENFORCEMENT AND  ADMINIS-
 TRATION  OF  THE  STATE  ETHICS  LAWS INCLUDING THE CODE OF ETHICS, LAWS
 PROVIDING FOR DISCLOSURE OF FINANCIAL AND OTHER INTERESTS BY STATE OFFI-
 CERS AND EMPLOYEES, THE LAWS REGULATING LOBBYING AND LOBBYISTS  AND  THE
 LAWS  CONCERNING  CAMPAIGN  FINANCE. THE COMMISSION SHALL TAKE CARE THAT
 LAWS RESPECTING PROCUREMENT OF GOODS  AND  SERVICES  BY  THE  STATE  ARE
 FAITHFULLY  OBSERVED  AS  ARE  LAWS  RESPECTING WORKPLACE BEHAVIOR. THIS
 AUTHORITY SHALL INCLUDE THE POWER AND DUTY TO  INTERPRET  LAWS  ADMINIS-
 TERED  BY  THE  COMMISSION, TO TRAIN ALL PERSONS WITHIN THE COMMISSION'S

 A. 10651                            4
 
 JURISDICTION IN COMPLIANCE WITH THE LAWS, RULES AND REGULATIONS ADMINIS-
 TERED OR ENFORCED BY THE COMMISSION AND TO ISSUE AND INTERPRET RULES AND
 REGULATIONS THAT ARE NOT IN CONFLICT WITH LAW.
   D.  THE  COMMISSION  MAY  MAKE  A  CRIMINAL  PROSECUTION REFERRAL TO A
 DISTRICT ATTORNEY, THE ATTORNEY GENERAL OR A UNITED STATES ATTORNEY.
   E. THE COMMISSION, AFTER NOTICE AND OPPORTUNITY  FOR  PUBLIC  COMMENT,
 MAY ISSUE ADVISORY OPINIONS OR BULLETINS WHICH WILL HAVE SUCH PROTECTIVE
 EFFECT  ON  THOSE WHO ACT IN COMPLIANCE THEREWITH AS IS SPECIFIED IN THE
 OPINION OR BULLETIN. IT SHALL ALSO ESTABLISH AN OFFICE OF  ETHICS  GUID-
 ANCE TO GIVE INFORMAL ADVICE TO PERSONS WHOSE CONDUCT IT OVERSEES.
   §  4.  THE  STATE  SHALL  ANNUALLY  APPROPRIATE  AN AMOUNT ADEQUATE TO
 SUPPORT THE COMMISSION'S DISCHARGE OF ITS FIDUCIARY DUTY TO THE  PEOPLE.
 IN  NO  EVENT  SHALL THE APPROPRIATION FOR THE WORK OF THE COMMISSION BE
 LESS THAN TEN PERCENT OF THE APPROPRIATION TO THE STATE LAW DEPARTMENT.
   § 5. A. THE COMMISSION SHALL PERIODICALLY REVIEW  THE  STATE  CODE  OF
 ETHICS  AND  MAY PROPOSE REVISIONS AND AMENDMENTS TO THE CODE. THE STATE
 CODE OF ETHICS, AND ANY REVISION OR AMENDMENT THERETO, SHALL BE  DRAFTED
 AND  CONSTRUED  TO  ELIMINATE  CONDUCT  THAT  CREATES  AN  APPEARANCE OF
 CORRUPTION, CONFLICTS OF INTEREST THAT MATERIALLY IMPAIR THE PERFORMANCE
 OF OFFICIAL DUTIES AND BREACHES OF THE PUBLIC TRUST INCLUDING THE MISUSE
 OF OFFICIAL POSITION OR THE ABUSE OF  OFFICIAL  AUTHORITY  FOR  PERSONAL
 GAIN.
   B. THE STATE CODE OF ETHICS SHALL PROVIDE THAT IT SHALL BE THE ETHICAL
 DUTY  OF  ANY PERSON OR ENTITY WITHIN THE JURISDICTION OF THE COMMISSION
 TO PROMPTLY REPORT TO THE COMMISSION ACTIVITY KNOWN TO BE  IN  VIOLATION
 OF  THE  STATE  CODE  OF  ETHICS OR OTHER LAW ENGAGED IN WITH RESPECT TO
 ACTIVITY THAT IS WITHIN THE JURISDICTION OF THE COMMISSION.  THERE SHALL
 BE NO RETALIATION AGAINST A PERSON OR ENTITY MAKING  SUCH  A  REPORT  IN
 GOOD  FAITH  ON INFORMATION AND BELIEF, AND ANY PERSON AGGRIEVED BY SUCH
 RETALIATION MAY BRING A CIVIL  ACTION  FOR  COMPENSATORY  AND  EXEMPLARY
 DAMAGES.
   C.  THE  STATE  CODE OF ETHICS SHALL PROVIDE THAT NO PERSON WITHIN THE
 JURISDICTION OF THE COMMISSION SHALL COMMIT AN ACT OF SEXUAL  HARASSMENT
 WHILE SERVING IN HIS OR HER OFFICIAL CAPACITY AND NO SUCH PERSON SERVING
 IN  A  SUPERVISORY  CAPACITY SHALL SUFFER AN ACT OF SEXUAL HARASSMENT TO
 OCCUR WITHOUT TAKING CARE THAT THERE BE DUE CONSEQUENCES  IN  ACCORDANCE
 WITH LAW. THE COMMISSION MAY BY RULE DEFINE THE CONDUCT THAT CONSTITUTES
 AN  ACT  OF SEXUAL HARASSMENT AND SHALL ESTABLISH A UNIT RESPONSIBLE FOR
 SEXUAL HARASSMENT COMPLAINTS AND INVESTIGATIONS.
   § 6. THE COMMISSION MAY RECOMMEND TO THE LEGISLATURE  LIMITS  FOR  ALL
 CATEGORIES  OF CAMPAIGN CONTRIBUTIONS TO CANDIDATES AND POLITICAL ORGAN-
 IZATIONS THAT IN ITS JUDGMENT ARE LOW ENOUGH TO PREVENT AN ELECTED OFFI-
 CIAL FROM BEING SO BEHOLDEN TO A CAMPAIGN CONTRIBUTOR AS  TO  MATERIALLY
 IMPAIR  SUCH  OFFICIAL'S  EXERCISE OF INDEPENDENT POLICY JUDGMENT IN THE
 PUBLIC INTEREST.
   § 7. THE COMMISSION SHALL BE SUBJECT TO ALL  TRANSPARENCY  AND  PUBLIC
 ACCESS  LAWS SUBJECT TO SUCH REASONABLE EXCEPTIONS FOR PENDING CONFIDEN-
 TIAL INVESTIGATIONS AS SHALL BE PROVIDED BY LAW. THE LEGISLATIVE  BRANCH
 SHALL  BE  SUBJECT TO LAWS PROVIDING FOR TRANSPARENCY TO THE SAME EXTENT
 AS IS THE EXECUTIVE BRANCH.
   § 2. Resolved (if the Senate concur), That the foregoing amendment  be
 referred  to  the  first regular legislative session convening after the
 next succeeding general election of members of  the  assembly,  and,  in
 conformity  with  section  1  of  article  19  of  the  constitution, be
 published for 3 months previous to the time of such election.