S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   5864
 
                        2017-2018 Regular Sessions
 
                           I N  A S S E M B L Y
 
                             February 16, 2017
                                ___________
 
 Introduced  by  M.  of  A. KOLB, BARCLAY, BLANKENBUSH, BRABENEC, BUTLER,
   BYRNE, CASTORINA, CROUCH, CURRAN,  DiPIETRO,  ERRIGO,  FINCH,  FITZPA-
   TRICK, FRIEND, GARBARINO, GIGLIO, GOODELL, GRAF, HAWLEY, JOHNS, LALOR,
   LAWRENCE, LOPEZ, LUPINACCI, MALLIOTAKIS, McDONOUGH, McKEVITT, McLAUGH-
   LIN,  B. MILLER,  M. L. MILLER,  MONTESANO, MORINELLO, MURRAY, NORRIS,
   OAKS, PALMESANO, PALUMBO, RA, RAIA, STEC, WALSH, WALTER --  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 and to repeal
   certain provisions of such law relating thereto (Part E); to amend the
   election law, in relation to filing late  campaign  disclosure  state-
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
              

                       [ ] is old law to be omitted.
                                                            LBD08084-01-7

 A. 5864                             2
 
   ments  (Part  F);  and  to  amend  the legislative law, in relation to
   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 2017".
   §  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
 2017"  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. 5864                             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.
   § 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".
   §  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. 5864                             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.
   §  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. 5864                             5
 
 violation of the provisions of this act, after written notice and oppor-
 tunity to be heard by the court of appeals.
   §  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.
   §  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. 5864                             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. 5864                             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. 5864                             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.
   § 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. 5864                             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. 5864                            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.
   § 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. 5864                            11
 
   § 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.
   § 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.
   § 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.
   § 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. 5864                            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.
   §  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.
   § 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 ò state inspector  general  are  hereby  trans-
 ferred to the commission.
   § 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.
   § 15. Transfer of records. All  books,  papers  and  property  of  the
 former commission on public integrity and the former office of the state

 A. 5864                            13
 
 inspector  general  are  to be delivered to the commission at such place
 and time, and in such manner as the commission shall require.
   §  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.
   §  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.
   §  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.
   § 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.
   §  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.
   § 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.
   § 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. 5864                            14
 
 approved  by  the  executive  director on audit and warrant of the comp-
 troller.
   §  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.
   § 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.
   § 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.
   § 26. Section 94 of the executive law is REPEALED.
   §  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.
   § 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.
   § 29. Article 4-A of the executive law is REPEALED.
   § 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. 5864                            15

   § 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:
   §  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.
   §  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.
   § 33. Subdivision 68 of section 2.10 of the criminal procedure law, as
 added by chapter 168 of the laws of 2000, is REPEALED.
   §  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.
   § 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.
   §  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. 5864                            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.
   §  37.  Chapter  989  of  the laws of 1958, creating a temporary state
 commission of investigation, is REPEALED.
   § 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.
   § 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;
   § 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. 5864                            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.
   § 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. 5864                            18

   §  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 6 of part K of chapter 286 of the laws of 2016 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, describe the  services  rendered  for
 which compensation was paid including a general description of the prin-
 cipal subject areas of matters undertaken by such individual and princi-
 pal  duties performed. Specifically state whether the reporting individ-
 ual provides services directly to  clients.  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 corpo-
 ration.
 
     ____________________________________________________________________
     ____________________________________________________________________
     ____________________________________________________________________
     ____________________________________________________________________
     ____________________________________________________________________
 
   (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
 PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
 THIRTY-FIRST,  TWO  THOUSAND  FIFTEEN,  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   AND   BEFORE   DECEMBER
 THIRTY-FIRST, TWO THOUSAND FIFTEEN:
   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 contract in an amount totaling $50,000 or more from the state or
 any state agency for services, materials, or property;
   (ii) A grant of $25,000 or more from the state  or  any  state  agency
 during the reporting period;
   (iii)  A  grant  obtained  through a legislative initiative during the
 reporting period; or
   (iv) 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 (iv) 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

 A. 5864                            19
 
 lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
 sion seven of section seventy-three of this article.
   The  disclosure requirement in this question shall not require disclo-
 sure of clients or  customers  receiving  medical  or  dental  services,
 mental  health  services, residential real estate brokering services, or
 insurance brokering services from the reporting individual or his or her
 firm. The reporting individual need not identify any client to  whom  he
 or  she or his or her firm provided legal representation with respect to
 investigation or prosecution by law enforcement authorities, bankruptcy,
 or domestic relations matters. With respect to  clients  represented  in
 other  matters,  where  disclosure  of  a client's identity is likely to
 cause harm, the reporting individual shall request an exemption from the
 [joint] commission [pursuant to paragraph (i-1) of subdivision  nine  of
 section  ninety-four  of  the  executive  law]  ON  OFFICIAL MISCONDUCT,
 provided, however, that 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
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 
   (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS  FOR  WHOM  SERVICES
 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
 FOR  NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
 SAND  FIFTEEN  (FOR  PURPOSES  OF  THIS  QUESTION, "SERVICES" SHALL MEAN
 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
   If the reporting individual receives income from employment reportable
 in question 8(a) and personally provides services to any person or enti-
 ty, or works as a member or employee of  a  partnership  or  corporation
 that  provides  such services (referred to hereinafter as a "firm"), the
 reporting individual shall 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 in direct connection with:
   (i) A contract in an amount totaling $10,000 or more from the state or
 any state agency for services, materials, or property;
   (ii) A grant of $10,000 or more from the state  or  any  state  agency
 during the reporting period;
   (iii)  A  grant  obtained  through a legislative initiative during the
 reporting period; or
   (iv) A case, proceeding, application or other matter  that  is  not  a
 ministerial matter before a state agency during the reporting period.
   For  such  services  rendered  by the reporting individual directly to
 each such client, describe each matter that  was  the  subject  of  such
 representation, the services actually provided and the payment received.
 For payments received from clients referred to the firm by the reporting
 individual, if the reporting individual directly received a referral fee
 or  fees  for  such  referral,  identify  the  client and the payment so
 received.

 A. 5864                            20
 
   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
 having  knowingly  solicited  or  directed 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 clauses (i) through (iv) of this subparagraph, as the result
 of such procurement, solicitation or direction of the reporting individ-
 ual. A reporting individual need not disclose activities performed while
 lawfully acting in his or her capacity as provided  in  paragraphs  (c),
 (d),  (e)  and (f) of subdivision seven of section seventy-three of this
 article.
   Client   Matter     Nature of Services Provided      Category
                                                      of Amount
                                                     (in Table I)
 
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 
   (b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS  FOR  WHOM  SERVICES
 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
 FOR  NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
 SAND  FIFTEEN  (FOR  PURPOSES  OF  THIS  QUESTION, "SERVICES" SHALL MEAN
 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
   (i) With respect to reporting individuals  who  receive  ten  thousand
 dollars  or  more  from employment or activity reportable under question
 8(a), for each client or customer NOT otherwise disclosed or exempted in
 question 8 or 13, disclose the name of each client or customer known  to
 the  reporting  individual  to  whom  the  reporting individual provided
 services: (A) who paid the reporting individual in excess of five  thou-
 sand  dollars  for  such  services;  or (B) who had been billed with the
 knowledge of the reporting individual in excess of five thousand dollars
 by the firm or other entity named in question  8(a)  for  the  reporting
 individual's services.
 Client               Services              Category of Amount
                  Actually Provided            (in Table I)
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 
 FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
 DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
   * REVIEWED DOCUMENTS AND CORRESPONDENCE;
   * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
   * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
   * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
     OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
   * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
     NAME);

 A. 5864                            21

   * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
     REPRESENTATION OR CONSULTATION;
   * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
   * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
     RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
   * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
   (ii)  With  respect to reporting individuals who disclosed in question
 8(a) that the reporting individual did not provide services to a  client
 but  provided  services  to a firm or business, identify the category of
 amount received for providing such services and  describe  the  services
 rendered.
 Services Actually Provided                  Category of Amount (Table I)
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
   A  reporting  individual  need not disclose activities performed while
 lawfully acting in his or her capacity as provided  in  paragraphs  (c),
 (d),  (e)  and (f) of subdivision seven of section seventy-three of this
 article.
 The disclosure requirement  in  questions  (b-1)  and  (b-2)  shall  not
 require  disclosing  clients  or customers receiving medical, pharmaceu-
 tical or dental services, mental health services,  or  residential  real
 estate  brokering  services  from the reporting individual or his or her
 firm or if federal law prohibits or  limits  disclosure.  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, family court,
 estate planning, or domestic relations matters, nor shall the  reporting
 individual  identify  individuals  represented  pursuant to an insurance
 policy but the reporting individual shall  in  such  circumstances  only
 report  the  entity that provides compensation to the reporting individ-
 ual; with respect to matters in which the client's name is  required  by
 law  to  be  kept  confidential  (such as matters governed by the family
 court act) or in matters in which the reporting individual represents or
 provides services to minors, the client's  name  may  be  replaced  with
 initials.  To  the  extent  that the reporting individual, or his or her
 firm, provided legal representation with respect to  an  initial  public
 offering,  and  professional  disciplinary  rules,  federal law or regu-
 lations restrict the disclosure of information relating  to  such  work,
 the  reporting  individual shall (i) disclose the identity of the client
 and the services provided relating to the initial public offering to the
 office of court  administration,  who  will  maintain  such  information
 confidentially  in a locked box; and (ii) include in his or her response
 to questions (b-1) and (b-2) that pursuant to this paragraph, a  disclo-
 sure to the office of court administration has been made. Upon such time
 that  the  disclosure  of information maintained in the locked box is no
 longer restricted by professional disciplinary  rules,  federal  law  or
 regulation,  the reporting individual shall disclose such information in
 an amended disclosure statement in response to the  disclosure  require-
 ments  in  questions (b-1) and (b-2). The office of court administration
 shall develop and maintain a secure  portal  through  which  information
 submitted  to  it pursuant to this paragraph can be safely and confiden-
 tially stored. With respect to clients represented in other matters  not
 otherwise  exempt,  the reporting individual may request an exemption to
 publicly disclosing the name of that client from the [joint]  commission
 [pursuant  to paragraph (i-1) of subdivision nine of section ninety-four

 A. 5864                            22

 of the executive law] ON OFFICIAL MISCONDUCT,  or  from  the  office  of
 court  administration.  In  such  application,  the reporting individual
 shall state the following: "My client  is  not  currently  receiving  my
 services or seeking my services in connection with:
   (i) A proposed bill or resolution in the senate or assembly during the
 reporting period;
   (ii)  A  contract in an amount totaling $10,000 or more from the state
 or any state agency for services, materials, or property;
   (iii) A grant of $10,000 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."
   In reviewing the request for an exemption, the joint commission or the
 office  of  court  administration  may consult with bar or other profes-
 sional associations and the legislative ethics commission  for  individ-
 uals  subject  to its jurisdiction and may consider the rules of profes-
 sional conduct. In making its determination, the joint commission or the
 office of court administration shall conduct its own inquiry  and  shall
 consider  factors  including, but not limited to: (i) the nature and the
 size of the client; (ii) whether the client has any business before  the
 state;  and  if  so,  how  significant  the business is; and whether the
 client has any particularized interest in pending legislation and if  so
 how  significant  the  interest  is; (iii) whether disclosure may reveal
 trade secrets; (iv) whether disclosure could reasonably result in retal-
 iation against the client; (v) whether disclosure may cause  undue  harm
 to  the  client; (vi) whether disclosure may result in undue harm to the
 attorney-client relationship; and (vii) whether disclosure may result in
 an unnecessary invasion of privacy to the client.
   The joint commission or, as the case  may  be,  the  office  of  court
 administration  shall promptly make a final determination in response to
 such request, which shall include an explanation for its  determination.
 The  office  of court administration shall issue its final determination
 within three days of receiving the request.  Notwithstanding  any  other
 provision  of law or any professional disciplinary rule to the contrary,
 the disclosure of the identity of any client or customer in response  to
 this  question  shall not constitute professional misconduct or a ground
 for disciplinary action of any kind, or form the basis for any civil  or
 criminal cause of action or proceeding. A reporting individual who first
 enters public office after January first, two thousand sixteen, 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.
   (c)  APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
 PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
 NEW MATTERS FOR EXISTING CLIENTS OR  CUSTOMERS  WITH  RESPECT  TO  THOSE
 SERVICES  THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
 SAND FIFTEEN:
   If the reporting individual receives income of ten 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 indi-
 vidual's business  and  from  whom  the  reporting  individual  or  firm
 received  a  fee for services in excess of five thousand dollars. Report
 only those referrals that were made to a reporting individual by  direct

 A. 5864                            23

 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 client,
 the registered 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
 disclosure requirements in this question shall  not  require  disclosing
 clients   or  customers  receiving  medical,  pharmaceutical  or  dental
 services, mental health services, or residential real  estate  brokering
 services  from the reporting individual or his or her firm or if federal
 law prohibits or limits disclosure. 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, family court, estate planning, or
 domestic relations matters, nor shall the reporting individual  identify
 individuals  represented pursuant to an insurance policy but the report-
 ing individual shall in such circumstances only report the  entity  that
 provides  compensation  to  the  reporting  individual;  with respect to
 matters in which the client's name is required by law to be kept  confi-
 dential (such as matters governed by the family court act) or in matters
 in  which  the  reporting  individual represents or provides services to
 minors, the client's name may be replaced with initials. To  the  extent
 that the reporting individual, or his or her firm, provided legal repre-
 sentation with respect to an initial public offering, and federal law or
 regulations  restricts  the  disclosure  of information relating to such
 work, the reporting individual shall (i) disclose the  identity  of  the
 client and the services provided relating to the initial public offering
 to  the  office of court administration, who will maintain such informa-
 tion confidentially in a locked box; and (ii)  include  in  his  or  her
 response  a  statement  that pursuant to this paragraph, a disclosure to
 the office of court administration has been made. Upon  such  time  that
 the  disclosure of information maintained in the locked box is no longer
 restricted by federal law or regulation, the reporting individual  shall
 disclose such information in an amended disclosure statement in response
 to  the  disclosure requirements of this paragraph.  The office of court
 administration shall develop and maintain a secure portal through  which
 information submitted to it pursuant to this paragraph can be safely and
 confidentially  stored.  With  respect  to  clients represented in other
 matters not otherwise exempt, the reporting individual  may  request  an
 exemption  to  publicly  disclosing  the  name  of  that client from the
 [joint] commission [pursuant to paragraph (i-1) of subdivision  nine  of
 section  ninety-four  of  the  executive law] ON OFFICIAL MISCONDUCT, or
 from the office  of  court  administration.  In  such  application,  the
 reporting  individual  shall  state  the  following:  "My  client is not
 currently receiving my services or seeking  my  services  in  connection
 with:
   (i) A proposed bill or resolution in the senate or assembly during the
 reporting period;
   (ii)  A  contract in an amount totaling $10,000 or more from the state
 or any state agency for services, materials, or property;
   (iii) A grant of $10,000 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

 A. 5864                            24
 
   (v) A case, proceeding, application or other  matter  that  is  not  a
 ministerial matter before a state agency during the reporting period."
   In reviewing the request for an exemption, the joint commission or the
 office  of  court  administration  may consult with bar or other profes-
 sional associations and the legislative ethics commission  for  individ-
 uals  subject  to its jurisdiction and may consider the rules of profes-
 sional conduct. In making its determination, the joint commission or the
 office of court administration shall conduct its own inquiry  and  shall
 consider  factors  including, but not limited to: (i) the nature and the
 size of the client; (ii) whether the client has any business before  the
 state;  and  if  so,  how  significant  the business is; and whether the
 client has any particularized interest in pending legislation and if  so
 how  significant  the  interest  is; (iii) whether disclosure may reveal
 trade secrets; (iv) whether disclosure could reasonably result in retal-
 iation against the client; (v) whether disclosure may cause  undue  harm
 to  the  client; (vi) whether disclosure may result in undue harm to the
 attorney-client relationship; and (vii) whether disclosure may result in
 an unnecessary invasion of privacy to the client.
   The joint commission or, as the case  may  be,  the  office  of  court
 administration  shall promptly make a final determination in response to
 such request, which shall include an explanation for its  determination.
 The  office  of court administration shall issue its final determination
 within three days of receiving the request.  Notwithstanding  any  other
 provision  of law or any professional disciplinary rule to the contrary,
 the disclosure of the identity of any client or customer in response  to
 this  question  shall not constitute professional misconduct or a ground
 for disciplinary action of any kind, or form the basis for any civil  or
 criminal cause of action or proceeding. A reporting individual who first
 enters  public office after December thirty-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 enter-
 ing public office.
 Client        Name of Lobbyist     Description    Category of Amount
                                    of Matter       (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

 A. 5864                            25

 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-
 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.
   § 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:
   §  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.
   § 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

 A. 5864                            26
 
   Section 1. The election law is amended by adding a new section  14-131
 to read as follows:
   § 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
 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.
   § 2. The election law is amended by adding a  new  section  16-111  to
 read as follows:
   §  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.
   § 3. This act shall take effect immediately.
 
                                  PART D

 A. 5864                            27
 
   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.
 § 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.
   § 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 is REPEALED and a new
 section 14-130 is added to read as follows:
   § 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.
   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;

 A. 5864                            28
 
   (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.
   §  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, subdivision  1
 as  separately amended by section 1 of subpart B of part H of chapter 55
 of the laws of 2014 and subdivision 3-a as added by section 11 of part A
 of chapter 286 of the laws of 2016, is amended to read as follows:
   § 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.
   3-a. Any person who, acting as or on behalf of an independent expendi-
 ture  committee or a political action committee, knowingly and willfully
 violates the provisions of section 14-107-a of  this  article  shall  be

 A. 5864                            29
 
 subject to a civil penalty, up to one thousand dollars or up to the cost
 of  the  communication,  whichever  is  greater,  to be recoverable in a
 special proceeding or civil action to be brought by the state  board  of
 elections.
   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.
   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.
   § 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:
   § 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.
   § 2. This act shall take effect on the first of January next  succeed-
 ing the date on which it shall have become a law.
   § 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.

 A. 5864                            30
 
   § 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.