S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   7512
 
                        2021-2022 Regular Sessions
 
                           I N  A S S E M B L Y
 
                               May 13, 2021
                                ___________
 
 Introduced  by M. of A. HYNDMAN -- read once and referred to the Commit-
   tee on Governmental Operations
 
 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.
              

                                                            LBD10261-01-1

 A. 7512                             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

 A. 7512                             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.