NY State Senate Bill 2019-S6737

Senate Bill S6737

2019-2020 Legislative Session

Requires the joint commission on public ethics to update complainants on the status of investigations

download bill text pdf

Archive: Last Bill Status - In Senate Committee Finance Committee

Introduced
- In Committee Assembly
- In Committee Senate
- On Floor Calendar Assembly
- On Floor Calendar Senate
- Passed Assembly
- Passed Senate
Delivered to Governor
Signed By Governor

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	Assembly Actions - Lowercase Senate Actions - UPPERCASE
Jan 08, 2020	referred to finance
Sep 20, 2019	referred to rules

2019-S6737 (ACTIVE) - Details

See Assembly Version of this Bill:: A8507
Current Committee:: Senate Finance
Law Section:: Executive Law
Laws Affected:: Amd §94, Exec L
Versions Introduced in 2021-2022 Legislative Session:: S6364, A7512

2019-S6737 (ACTIVE) - Summary

Requires the joint commission on public ethics to update complainants on the status of investigations.

2019-S6737 (ACTIVE) - Sponsor Memo

                                
 
BILL NUMBER: S6737

SPONSOR: GOUNARDES
 
TITLE OF BILL:  An act to amend the executive law, in relation to
requiring the joint commission on public ethics to update complainants
on the status of investigations

 
PURPOSE:

To mandate that the Joint Commission on Public Ethics ("JCOPE" or the
Commission) communicate with complainants throughout the investigation
process.

 
SUMMARY OF SPECIFIC PROVISIONS:

Section 1 amends section 94 of the executive law to enable JCOPE to
disclose information during a pending investigation to keep the
complainant or target of the alleged misconduct informed during the
process, authorize public disclosure of the status of a matter under
certain circumstances, and require JCOPE to provide the complainant or
target of the alleged misconduct with written notice of developments in

the investigation.

Section 2 provides the effective date.

 
JUSTIFICATION:

This legislation was inspired by testimony at the joint legislative
hearing on sexual harassment in the workplace held in Albany in February
2019. Several former state workers who had been interviewed by JCOPE
testified that they had not been informed of the purpose of the investi-
gation and were never updated on the outcome.

People who step forward to report harassment and participate in these
investigations to protect the public good deserve proper communication
and transparency throughout the process. This bill will require that the
initial 15-day letter describing the allegations and supporting evidence
which is currently sent to the accused is also provided to the complain-
ant or target of the alleged misconduct.  Additionally, the bill
mandates that JCOPE provide the complainant or target with written
notice of the decision on whether to commence a substantial basis inves-
tigation. If the Commission votes to proceed with a full investigation,
the bill also requires that it provide the complainant or target with
written notice outlining the alleged violations of law and factual basis
for those allegations, and a copy of JCOPE's rules and procedures so
that participants know what to expect during the process. Finally, the
bill authorizes JCOPE to share information with complainants or targets
involved in pending investigations so that confidentiality restrictions
under the statute creating JCOPE do not prevent the Commission from
providing regular updates. Together, these changes will help make the
investigation process more victim-centered and trauma-informed.

 
PRIOR LEGISLATIVE HISTORY:

New bill.

 
FISCAL IMPLICATIONS:

None.
 
EFFECTIVE DATE:
This act shall take effect immediately.

2019-S6737 (ACTIVE) - Bill Text download pdf

                            
 
                     S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   6737
 
                        2019-2020 Regular Sessions
 
                             I N  S E N A T E
 
                            September 20, 2019
                                ___________
 
 Introduced by Sen. GOUNARDES -- read twice and ordered printed, and when
   printed to be committed to the Committee on Rules
 
 AN  ACT  to  amend the executive law, in relation to requiring the joint
   commission on public ethics to update complainants on  the  status  of
   investigations

   THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section 1. Subdivision 9-a and paragraphs (a) and (b)  of  subdivision
 13  of  section  94  of  the  executive law, subdivision 9-a as added by
 section 6 of part A of chapter 399 of the laws of 2011, paragraph (a) of
 subdivision 13 as amended by section 1 and paragraph (b) of  subdivision
 13 as amended by section 2 of part J of chapter 286 of the laws of 2016,
 are amended to read as follows:
   9-a.  (a)  When  an  individual becomes a commissioner or staff of the
 commission, that individual shall be required to sign  a  non-disclosure
 statement.
   (b) Except as otherwise required or provided by law, OR WHEN NECESSARY
 TO  INFORM THE COMPLAINANT OR TARGET OF THE ALLEGED VIOLATION OF LAW, IF
 ANY OF THE STATUS OF AN INVESTIGATION, testimony received or  any  other
 information  obtained by a commissioner or staff of the commission shall
 not be disclosed by any such individual to any person or entity  outside
 the  commission  during  the  pendency  of  any matter. Any confidential
 communication to any person or entity outside the commission related  to
 the  matters  before  the commission may occur only as authorized by the
 commission.
   (c) The commission shall establish procedures necessary to prevent the
 unauthorized disclosure of any information received by any member of the
 commission or staff of the commission. Any breaches  of  confidentiality
 shall  be  investigated  by the inspector general and appropriate action
 shall be taken. Any commissioner or person employed  by  the  commission
 who intentionally and without authorization releases confidential infor-
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.

                                                            LBD13483-01-9

 S. 6737                             2
 
 mation received by the commission shall be guilty of a class A misdemea-
 nor.
   (D)  NOTWITHSTANDING PARAGRAPH (B) OF THIS SUBDIVISION AND SUBDIVISION
 THIRTEEN OF THIS SECTION, THE COMMISSION MAY, IN THE PUBLIC INTEREST  OR
 UNDER  EXTRAORDINARY  CIRCUMSTANCES, IF THE PUBLIC IS OTHERWISE AWARE OF
 THE EXISTENCE OF SUCH ACTUAL OR POTENTIAL INVESTIGATIVE MATTER,  AUTHOR-
 IZE THE CHAIRMAN OR DESIGNATED STAFF TO PUBLICLY DISCLOSE THAT: (1) SUCH
 MATTER IS PENDING BEFORE THE COMMISSION; (2) SUCH MATTER HAS BEEN CLOSED
 BY  THE  COMMISSION;  OR  (3)  THE COMMISSION HAS DEFERRED ACTION ON THE
 MATTER AT THE REQUEST OF A PROSECUTOR, OTHER LAW ENFORCEMENT AGENCY,  OR
 DUE  TO  ANOTHER PENDING PROCEEDING. BEFORE AUTHORIZING SUCH DISCLOSURE,
 THE COMMISSION SHALL PROVIDE THE SUBJECT OF SUCH INVESTIGATION  AND  THE
 COMPLAINANT  OR  TARGET OF ALLEGED VIOLATION OF LAW, IF ANY THE OPPORTU-
 NITY TO BE HEARD REGARDING THE PUBLIC RELEASE OF SUCH INFORMATION.
   (a) Investigations. If  the  commission  receives  a  sworn  complaint
 alleging  a  violation  of  section  seventy-three,  seventy-three-a, or
 seventy-four of the public officers law, section one  hundred  seven  of
 the  civil  service  law  or  article  one-A of the legislative law by a
 person or entity subject to the jurisdiction of the commission including
 members of the legislature and legislative employees and candidates  for
 member  of  the  legislature,  or  if a reporting individual has filed a
 statement which reveals a possible violation of these provisions, or  if
 the  commission determines on its own initiative to investigate a possi-
 ble violation, the commission shall notify the  individual  in  writing,
 describe  the  possible  or  alleged  violation  of such laws, provide a
 description of the allegations against him or her and the  evidence,  if
 any,  supporting  such  allegations,  provided  however  that  the joint
 commission shall redact any information that might, in the  judgment  of
 the commission, be prejudicial to either the complainant or the investi-
 gation;  the  letter also shall set forth the sections of law alleged to
 have been violated and provide the person with a fifteen day  period  in
 which  to submit a written response, including any evidence, statements,
 and proposed witnesses, setting forth information relating to the activ-
 ities cited as a possible or alleged violation of  law.  THE  COMMISSION
 SHALL  PROVIDE A COPY OF SUCH LETTER TO THE COMPLAINANT OR THE TARGET OF
 THE ALLEGED VIOLATION OF LAW, IF ANY. The commission shall, within sixty
 calendar days after a complaint or a referral is received or an investi-
 gation is initiated on the commission's own initiative, vote on  whether
 to  commence  a  full investigation of the matter under consideration to
 determine  whether  a  substantial  basis  exists  to  conclude  that  a
 violation  of  law has occurred. The staff of the joint commission shall
 provide to the members prior to  such  vote  information  regarding  the
 likely  scope  and content of the investigation, and a subpoena plan, to
 the extent such information is available. Such  investigation  shall  be
 conducted  if at least eight members of the commission vote to authorize
 it. Where the subject of such investigation is a member of the  legisla-
 ture or a legislative employee or a candidate for member of the legisla-
 ture, at least two of the eight or more members who so vote to authorize
 such  an  investigation must have been appointed by a legislative leader
 or leaders from the major political party in which the  subject  of  the
 proposed investigation is enrolled if such person is enrolled in a major
 political  party.  Where  the  subject  of such investigation is a state
 officer or state employee, at least two of the eight or more members who
 so vote to authorize such an investigation must have been  appointed  by
 the governor and lieutenant governor. Where the subject of such investi-
 gation  is a statewide elected official or a direct appointee of such an

 S. 6737                             3
 
 official, at least two of the eight or  more  members  who  so  vote  to
 authorize such an investigation must have been appointed by the governor
 and  lieutenant governor and be enrolled in the major political party in
 which  the  subject  of  the proposed investigation is enrolled, if such
 person is enrolled in a major political party. IF  THE  COMMISSION  DOES
 NOT VOTE TO AUTHORIZE A FULL INVESTIGATION, THE COMMISSION SHALL PROVIDE
 WRITTEN  NOTICE  OF  THE  DECISION  TO  THE COMPLAINANT OR TARGET OF THE
 ALLEGED VIOLATION OF LAW.
   (b) Substantial basis investigation. Upon the affirmative vote of  not
 less  than  eight  commission  members  to  commence a substantial basis
 investigation, written notice of  the  commission's  decision  shall  be
 provided  to the individual who is the subject of such substantial basis
 investigation AND THE COMPLAINANT OR TARGET OF THE ALLEGED VIOLATION  OF
 LAW,  IF  ANY.  Such  written notice shall include a copy of the commis-
 sion's rules and procedures and shall also include notification of [such
 individual's] THE SUBJECT OF THE INVESTIGATION'S right to be heard with-
 in thirty calendar days of the date of the commission's written  notice.
 If  the  commission votes to commence a substantial basis investigation,
 the commission shall provide to the [individual] SUBJECT OF THE INVESTI-
 GATION AND THE COMPLAINANT OR TARGET OF THE ALLEGED VIOLATION OF LAW, IF
 ANY a notice setting forth the alleged violations of law and the factual
 basis for those allegations. The commission shall provide to the  [indi-
 vidual]  SUBJECT OF THE INVESTIGATION any additional evidence supporting
 the allegations not set forth in the letter sent pursuant  to  paragraph
 (a) of this subdivision in sufficient detail to enable the [individual]
 SUBJECT  OF THE INVESTIGATION to respond, at least seven days before the
 hearing. Such hearing shall  afford  the  [individual]  SUBJECT  OF  THE
 INVESTIGATION  with a reasonable opportunity to appear in person, and by
 attorney, give sworn testimony and present evidence. Such hearing  shall
 occur  before the commission votes on whether or not to issue a substan-
 tial basis report. The commission shall  also  inform  the  [individual]
 SUBJECT OF THE INVESTIGATION of its rules regarding the conduct of adju-
 dicatory  proceedings  and  appeals and the other due process procedural
 mechanisms available to such [individual] SUBJECT OF THE  INVESTIGATION.
 If  the  commission  determines at any stage that there is no violation,
 that any potential violation has been rectified, or if the investigation
 is closed for any other reason, it  shall  so  advise  the  [individual]
 SUBJECT  OF  THE  INVESTIGATION  and  the  complainant  OR TARGET OF THE
 ALLEGED VIOLATION OF LAW, if any in writing within fifteen days of  such
 decision. All of the foregoing proceedings shall be confidential.
   §  2.  This  act shall take effect on the ninetieth day after it shall
 have become a law. Effective immediately the addition, amendment  and/or
 repeal  of  any  rule  or regulation necessary for the implementation of
 this act on its effective date are authorized to be made  and  completed
 on or before such date.

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