S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   7061
 
                        2021-2022 Regular Sessions
 
                             I N  S E N A T E
 
                               May 26, 2021
                                ___________
 
 Introduced  by  Sen. PALUMBO -- read twice and ordered printed, and when
   printed to be committed to the Committee on Investigations and Govern-
   ment Operations
 
 AN ACT to amend the public officers law, in relation to establishing the
   department of oversight and investigation, providing for  its  powers,
   duties  and  functions (Part A); to repeal section 94 of the executive
   law relating to the joint commission on public ethics; and  to  repeal
   article  4-A  of the executive law relating to the office of the state
   inspector general (Part B); providing for the transfer  of  the  func-
   tions, powers and duties of the joint commission on public ethics, the
   office  of  the state inspector general and the former temporary state
   commission of investigation to the department of oversight and  inves-
   tigation  (Part C); to amend the civil service law and the legislative
   law, in relation to the joint commission on public  ethics;  to  amend
   the  racing,  pari-mutuel  wagering  and  breeding law, in relation to
   membership on the franchise oversight board; to  amend  the  executive
   law and the public authorities 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  amend  the public officers law, in
   relation to the joint commission on public ethics and the  legislative
   ethics  commission;  to  repeal  subdivision 68 of section 2.10 of the
   criminal procedure law relating to the office of the  state  inspector
   general;  and  to  repeal  chapter 989 of the laws of 1958 relating to
   creating a temporary state commission of investigation, relating ther-
   eto (Part D)
 
   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 "ethics reform act of 2021".

  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
                                                            LBD09728-02-1
              

 S. 7061                             2
 
   § 2. This act enacts into law major components  of  legislation  which
 are necessary to establish meaningful ethics reform and oversight within
 the  state of New York. Each component is wholly contained within a Part
 identified as Parts A through D. 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, includ-
 ing  the  effective date of the Part, which makes 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.
 
                                  PART A
 
   Section  1. The public officers law is amended by adding a new article
 7-A to read as follows:
                                ARTICLE 7-A
                 DEPARTMENT OF OVERSIGHT AND INVESTIGATION
 SECTION 113.   DEFINITIONS.
         113-A. ESTABLISHMENT OF DEPARTMENT  OF  OVERSIGHT  AND  INVESTI-
                  GATION.
         113-B. BOARD  OF  PUBLIC INTEGRITY; ESTABLISHMENT, ORGANIZATION,
                  AND POWERS.
         113-C. COMMISSIONER; APPOINTMENT, DUTIES, AND POWERS.
         113-D. RESPONSIBILITIES  OF  COVERED  AGENCIES,  OFFICERS,   AND
                  EMPLOYEES.
         113-E. FINANCIAL DISCLOSURE.
         113-F. INVESTIGATIONS;    FINANCIAL   DISCLOSURE   AND   ETHICAL
                  VIOLATIONS.
         113-G. INVESTIGATION; OTHER.
         113-H. VIOLATIONS.
         113-I. ADJUDICATORY PROCESS.
   § 113. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS SHALL
 HAVE THE FOLLOWING MEANING:
   1. "DEPARTMENT" MEANS THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION AS
 ESTABLISHED BY SECTION ONE HUNDRED THIRTEEN-A OF THIS ARTICLE.
   2. "COMMISSIONER" MEANS THE COMMISSIONER OF THE  DEPARTMENT  OF  OVER-
 SIGHT AND INVESTIGATION.
   3.  "COVERED  AGENCY"  SHALL  INCLUDE  ALL  EXECUTIVE BRANCH AGENCIES,
 DEPARTMENTS, DIVISIONS, OFFICERS, BOARDS AND COMMISSIONS, PUBLIC AUTHOR-
 ITIES, AND PUBLIC BENEFIT CORPORATIONS, THE HEADS OF WHICH ARE APPOINTED
 BY THE GOVERNOR.
   4. "BOARD" MEANS THE BOARD OF PUBLIC INTEGRITY ESTABLISHED BY  SECTION
 ONE HUNDRED THIRTEEN-B OF THIS ARTICLE.
   §  113-A.  ESTABLISHMENT OF DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
 1.  THERE IS ESTABLISHED WITHIN NEW YORK STATE A DEPARTMENT OF OVERSIGHT
 AND INVESTIGATION TO BE HEADED BY A COMMISSIONER APPOINTED  PURSUANT  TO
 THIS  ARTICLE.  THE  DEPARTMENT  SHALL  HAVE AND EXERCISE THE POWERS AND
 DUTIES SET FORTH IN THIS ARTICLE WITH RESPECT TO ALL  COVERED  AGENCIES,
 STATEWIDE ELECTED OFFICIALS, MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF
 THE  LEGISLATURE,  AND  STATE  OFFICERS  AND  EMPLOYEES,  AS  DEFINED IN
 SECTIONS SEVENTY-THREE AND SEVENTY-THREE-A OF THIS  CHAPTER,  CANDIDATES
 FOR  STATEWIDE  ELECTED  OFFICE  AND FOR THE SENATE OR ASSEMBLY, AND THE
 POLITICAL  PARTY  CHAIRMAN  AS  THAT  TERM   IS   DEFINED   IN   SECTION
 SEVENTY-THREE-A  OF THIS CHAPTER, LOBBYISTS AND THE CLIENTS OF LOBBYISTS
 AS SUCH TERMS ARE DEFINED IN ARTICLE ONE-A OF THE LEGISLATIVE  LAW,  AND

 S. 7061                             3
 
 INDIVIDUALS  WHO  HAVE  FORMERLY  HELD SUCH POSITIONS, WERE LOBBYISTS OR
 CLIENTS OF LOBBYISTS, AS SUCH TERMS ARE DEFINED IN ARTICLE ONE-A OF  THE
 LEGISLATIVE LAW, OR WHO HAVE FORMERLY BEEN SUCH CANDIDATES.
   2.  THE ESTABLISHMENT OF THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION
 BY THIS ARTICLE, NOR ANY PROVISIONS CONTAINED HEREIN, SHALL BE DEEMED TO
 HAVE REVOKED OR RESCINDED ANY REGULATIONS OR ADVISORY OPINIONS ISSUED BY
 THE LEGISLATIVE  ETHICS  COMMISSION,  THE  JOINT  COMMISSION  ON  PUBLIC
 ETHICS,  THE COMMISSION ON PUBLIC INTEGRITY, OR THE STATE ETHICS COMMIS-
 SION AND THE TEMPORARY LOBBYING COMMISSION IN EFFECT UPON THE  EFFECTIVE
 DATE OF THIS ARTICLE.
   3.  THE DEPARTMENT SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF ALL REGU-
 LATIONS AND OPINIONS, WHICH WILL ADDRESS THE CONSISTENCY OF  SUCH  REGU-
 LATIONS  AND  OPINIONS  AMONG  EACH  OTHER,  AND OF THE EFFECTIVENESS OF
 EXISTING LAWS, REGULATIONS, GUIDANCE AND ETHICS ENFORCEMENT STRUCTURE TO
 ADDRESS THE ETHICS OF COVERED PUBLIC OFFICIALS AND RELATED PARTIES. SUCH
 REVIEW SHALL BE CONDUCTED WITH THE LEGISLATIVE  ETHICS  COMMISSION.  THE
 DEPARTMENT SHALL, BEFORE DECEMBER THIRTY-FIRST, TWO THOUSAND TWENTY-TWO,
 REPORT  TO  THE GOVERNOR AND LEGISLATURE REGARDING SUCH REVIEW AND SHALL
 PROPOSE ANY REGULATORY OR STATUTORY CHANGES AND ISSUE ANY ADVISORY OPIN-
 IONS NECESSITATED BY SUCH REVIEW.
   § 113-B. BOARD OF PUBLIC INTEGRITY; ESTABLISHMENT,  ORGANIZATION,  AND
 POWERS.  1.  A. THERE SHALL BE CREATED WITHIN THE DEPARTMENT A BOARD, TO
 BE KNOWN AS THE BOARD OF PUBLIC INTEGRITY, CONSISTING OF TWELVE  MEMBERS
 APPOINTED AS FOLLOWS: TWO MEMBERS APPOINTED BY THE SPEAKER OF THE ASSEM-
 BLY; TWO MEMBERS APPOINTED BY THE TEMPORARY PRESIDENT OF THE SENATE; TWO
 MEMBERS  APPOINTED  BY  THE MINORITY LEADER OF THE ASSEMBLY; TWO MEMBERS
 APPOINTED BY THE  MINORITY  LEADER  OF  THE  SENATE;  AND  FOUR  MEMBERS
 APPOINTED  BY  THE GOVERNOR, PROVIDED, HOWEVER, THAT THE APPOINTMENTS BY
 THE GOVERNOR SHALL BE MADE UPON THE RECOMMENDATION  OF  THE  LEGISLATIVE
 LEADERS. THE SPEAKER OF THE ASSEMBLY, TEMPORARY PRESIDENT OF THE SENATE,
 MINORITY LEADER OF THE ASSEMBLY, AND MINORITY LEADER OF THE SENATE SHALL
 EACH  SUBMIT  A  LIST  OF  NO  LESS THAN THREE NAMES TO THE GOVERNOR FOR
 CONSIDERATION. THE GOVERNOR SHALL SELECT  ONE  NAME  FROM  EACH  OF  THE
 LEGISLATIVE LEADER'S LISTS FOR APPOINTMENT TO THE BOARD.
   B. EACH MEMBER OF THE BOARD SHALL SERVE A TERM OF FOUR YEARS, COMMENC-
 ING ON THE FIRST OF JANUARY OF THE CALENDAR YEAR IN WHICH THE VACANCY ON
 SUCH  BOARD  OCCURS;  PROVIDED,  HOWEVER,  THAT  THE  MEMBERS  INITIALLY
 APPOINTED BY THE SENATE LEADERS, AND BY THE GOVERNOR UPON THE  RECOMMEN-
 DATION OF THE SENATE LEADERS, SHALL SERVE ONLY TWO YEARS. ALL SUBSEQUENT
 APPOINTMENTS SHALL BE FOR A FULL FOUR-YEAR TERM.
   C.  ANY  VACANCY  OCCURRING ON THE BOARD SHALL BE FILLED WITHIN THIRTY
 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  OCCUR-
 RING OTHER THAN BY EXPIRATION OF A TERM OF OFFICE SHALL BE APPOINTED FOR
 THE UNEXPIRED TERM OF THE MEMBER HE OR SHE SUCCEEDS.
   D.  THERE  SHALL  BE NO EX-OFFICIO MEMBERS OF THE BOARD, AND NO MEMBER
 SHALL DELEGATE HIS OR HER DUTIES TO ANOTHER INDIVIDUAL.
   E. NO PERSON SHALL BE ELIGIBLE TO SERVE AS A MEMBER OF THE BOARD IF AT
 THE TIME OF APPOINTMENT, OR AT ANY TIME DURING A TERM, HE OR SHE  SERVES
 IN  ANY  OTHER  ELECTED  POSITION  OR IS AN EMPLOYEE OF THE STATE OF NEW
 YORK, A MUNICIPAL CORPORATION, A PUBLIC  AUTHORITY,  OR  PUBLIC  BENEFIT
 CORPORATION. ADDITIONALLY, NO MEMBER OF THE BOARD, OR HIS OR HER SPOUSE,
 SHALL,  DURING  THE  PERIOD  OF HIS OR HER SERVICE ON THE BOARD, MAKE OR
 SOLICIT FROM ANOTHER PERSON ANY CONTRIBUTIONS TO CANDIDATES FOR ELECTION
 TO THE OFFICES OF GOVERNOR, LIEUTENANT GOVERNOR, MEMBER OF THE  ASSEMBLY

 S. 7061                             4
 
 OR THE SENATE, ATTORNEY GENERAL, OR STATE COMPTROLLER, NOR MAY HE OR SHE
 MAKE OR SOLICIT ANY CONTRIBUTIONS TO A POLITICAL PARTY OR COMMITTEE.
   F.  MEMBERS OF THE BOARD SHALL BE CONSIDERED PUBLIC OFFICERS AND SHALL
 BE REQUIRED TO TAKE ALL NECESSARY OATHS  AND  FILE  ANY  DISCLOSURES  AS
 REQUIRED  BY  LAW,  WHICH  SHALL  BE MADE AVAILABLE TO THE PUBLIC ON THE
 DEPARTMENT'S WEBSITE.
   G. THE BOARD SHALL, ANNUALLY, ELECT FROM ITS APPOINTED MEMBERS A CHAIR
 AND VICE CHAIR BY A MAJORITY VOTE OF THE TOTAL NUMBER OF MEMBERS OF  THE
 BOARD.  THE  CHAIR  SHALL PRESIDE OVER ALL BOARD MEETINGS AND SHALL HAVE
 THE POWER TO SCHEDULE MEETINGS OF THE BOARD AS HE OR SHE DEEMS NECESSARY
 FOR THE PROPER EXECUTION OF ITS DUTIES. THE VICE-CHAIR, IN  THE  ABSENCE
 OR INCAPACITY OF THE CHAIR, SHALL EXERCISE ALL POWERS OF THE CHAIR.
   H. SEVEN MEMBERS SHALL CONSTITUTE A QUORUM OF THE BOARD, AND THE BOARD
 SHALL  HAVE THE POWER TO ACT BY MAJORITY VOTE OF THE TOTAL NUMBER OF THE
 MEMBERS OF THE BOARD WITHOUT VACANCIES EXCEPT WHERE OTHERWISE  SPECIFIED
 UNDER THIS ARTICLE.
   I. MEMBERS OF THE BOARD MAY BE REMOVED BY THE APPOINTING AUTHORITY FOR
 SUBSTANTIAL  NEGLECT  OF  DUTY, GROSS MISCONDUCT IN OFFICE, INABILITY TO
 DISCHARGE THE POWERS OR DUTIES OF THE  OFFICE,  OR  VIOLATIONS  OF  THIS
 ARTICLE,  AFTER  WRITTEN  NOTICE AND AN OPPORTUNITY FOR A REPLY HAS BEEN
 PROVIDED.
   J. MEMBERS OF THE BOARD SHALL RECEIVE A PER DIEM ALLOWANCE IN THE  SUM
 OF THREE HUNDRED DOLLARS FOR EACH DAY SPENT IN THE PERFORMANCE OF HIS OR
 HER  DUTIES,  AND,  IN  ADDITION  THERETO,  SHALL  BE REIMBURSED FOR ALL
 REASONABLE EXPENSES INCURRED IN THE PERFORMANCE OF HIS OR HER DUTIES.
   2. THE BOARD SHALL HAVE THE FOLLOWING DUTIES AND RESPONSIBILITIES:
   A. ELECT A COMMISSIONER FOR THE DEPARTMENT;
   B. REVIEW AND EXAMINE ANNUALLY THE POLICIES AND PROCEDURES OF  COVERED
 AGENCIES  WITH  REGARD  TO  THE  PREVENTION AND DETECTION OF CORRUPTION,
 FRAUD, CRIMINAL ACTIVITY, AND CONFLICTS OF INTEREST OR ABUSE;
   C. CREATE, IN CONSULTATION WITH THE COMMISSIONER, MODEL  TRAINING  AND
 PROGRAMMING  THAT  MAY BE USED BY COVERED AGENCIES TO INFORM AND EDUCATE
 EMPLOYEES AND OFFICERS OF SUCH AGENCIES OF THE CODE OF ETHICS AND  OTHER
 RELEVANT  POLICIES  AND PRACTICES MEANT TO PREVENT FRAUD, CRIMINALITY OR
 ANY OTHER MISCONDUCT;
   D. MONITOR THE IMPLEMENTATION BY COVERED AGENCIES OF ANY  POLICIES  OR
 PRACTICES  PUT  IN PLACE TO COMBAT CORRUPTION, FRAUD, CRIMINAL ACTIVITY,
 CONFLICTS OF INTEREST OR ABUSE;
   E. IN CONSULTATION WITH THE COMMISSIONER, PROMULGATE RULES  AND  REGU-
 LATIONS  NECESSARY  TO EFFECTUATE SECTION ONE HUNDRED SEVEN OF THE CIVIL
 SERVICE LAW, SECTIONS SEVENTY-THREE, SEVENTY-THREE-A,  AND  SEVENTY-FOUR
 OF  THIS  CHAPTER,  ARTICLE  ONE-A OF THE LEGISLATIVE LAW, AND ANY OTHER
 PROVISION OF LAW RELATING TO CORRUPTION WITHIN THE GOVERNMENT.
   F. IN CONSULTATION WITH  THE  COMMISSIONER,  ISSUE  OFFICIAL  ADVISORY
 OPINIONS  NECESSARY TO CLARIFY INTERPRETATIONS OF LAWS, RULES, AND REGU-
 LATIONS; PROVIDED, HOWEVER, THAT INFORMAL OPINIONS MAY  BE  PROVIDED  BY
 APPOINTED  STAFF  OF  THE  DEPARTMENT  UPON REQUEST BY A COVERED AGENCY,
 EMPLOYEE, STATE OFFICERS, OR OTHER SUBJECT INDIVIDUAL.
   G. PROMULGATE RULES AND REGULATION NECESSARY TO GOVERN  INVESTIGATIONS
 OF  COMPLAINTS  FILED  WITH  THE COMMISSIONER, INCLUDING RULES AND REGU-
 LATIONS NECESSARY TO ENSURE DUE PROCESS FOR THE SUBJECT OF A  COMPLAINT;
 AND
   H.  PUBLISH  AN  ANNUAL REPORT, NO LATER THAN DECEMBER THIRTY-FIRST OF
 EACH YEAR, TO THE GOVERNOR AND LEGISLATURE ON ANNUAL ACTIVITIES  OF  THE
 BOARD  AND  THE DEPARTMENT, AND INCLUDE THEREIN ALL GENERALLY APPLICABLE
 ADVISORY OPINIONS ISSUED DURING THE YEAR AND RECOMMENDATIONS FOR  STATU-

 S. 7061                             5
 
 TORY  CHANGES  NECESSARY TO FURTHER PROVIDE FOR INTEGRITY IN GOVERNMENT.
 SUCH REPORT SHALL BE MADE AVAILABLE ON THE DEPARTMENT'S PUBLIC  WEBSITE.
 ALL  INFORMATION  DEEMED  CONFIDENTIAL BY STATUTE OR OTHER RULE OR REGU-
 LATION SHALL BE REDACTED OR WITHHELD FROM THE REPORT.
   §  113-C.  COMMISSIONER;  APPOINTMENT,  DUTIES,  AND POWERS. 1. A. THE
 COMMISSIONER SHALL BE CHOSEN BY A MAJORITY VOTE OF THE BOARD  OF  PUBLIC
 INTEGRITY.  NOTWITHSTANDING ANY LAW TO THE CONTRARY, THE COMMISSION NEED
 NOT BE A RESIDENT OF THE STATE OF NEW YORK AT THE TIME  OF  APPOINTMENT,
 BUT  SHALL BE REQUIRED TO RESIDE WITHIN THE STATE AT ALL TIMES HE OR SHE
 SERVES AND IS EXERCISING THE FUNCTIONS OF THE  OFFICE  OF  COMMISSIONER.
 THE COMMISSIONER SHALL ALSO BE PROHIBITED FROM HOLDING ANY OTHER ELECTED
 POSITION  WITHIN  NEW  YORK STATE, OR ANY POLITICAL SUBDIVISION THEREOF.
 MOREOVER, THE COMMISSIONER, AND HIS OR HER SPOUSE, SHALL, DURING HIS  OR
 HER  TERM  OF  SERVICE,  NOT  MAKE  OR SOLICIT FROM ANY OTHER PERSON ANY
 CONTRIBUTIONS TO CANDIDATES FOR ELECTION TO  THE  OFFICES  OF  GOVERNOR,
 LIEUTENANT  GOVERNOR,  MEMBER  OF  THE  ASSEMBLY OR THE SENATE, ATTORNEY
 GENERAL, OR STATE COMPTROLLER, NOR MAY HE OR SHE  MAKE  OR  SOLICIT  ANY
 CONTRIBUTIONS TO A POLITICAL PARTY OR COMMITTEE.
   B.  THE  COMMISSIONER  SHALL BE APPOINTED TO SERVE A TERM OF SIX YEARS
 AND SHALL SERVE THE ENTIRETY OF SUCH TERM UNLESS A VACANCY ARISES PURSU-
 ANT TO SECTION THIRTY OF THIS CHAPTER, OR THE BOARD OF PUBLIC INTEGRITY,
 VOTING UNANIMOUSLY, APPROVES A MOTION TO REMOVE  THE  COMMISSIONER  FROM
 OFFICE.  IN THE EVENT THE BOARD OF PUBLIC INTEGRITY VOTES UNANIMOUSLY TO
 REMOVE AN INDIVIDUAL FROM OFFICE, THE BOARD OF  PUBLIC  INTEGRITY  SHALL
 PUBLISH  A  STATEMENT,  SIGNED BY ALL MEMBERS OF THE BOARD, ARTICULATING
 THE REASONING FOR SUCH ACTION.
   C. THE COMMISSIONER SHALL SERVE IN HIS  OR  HER  CAPACITY  BEYOND  THE
 SIX-YEAR  TERM IN OFFICE ONLY UPON RE-APPOINTMENT BY THE BOARD OF PUBLIC
 INTEGRITY OR, IF NECESSARY, AS A HOLDOVER UNTIL SUCH TIME AS SUCH  BOARD
 APPOINTS A REPLACEMENT.
   2.  THE  COMMISSIONER SHALL HAVE THE FOLLOWING DUTIES AND RESPONSIBIL-
 ITIES:
   A. APPOINT ANY NECESSARY DEPUTIES, ASSISTANTS, OR STAFF AS REQUIRED TO
 EFFICIENTLY CARRY OUT THE DUTIES AND PURPOSE OF THE DEPARTMENT;
   B. ASSIST COVERED AGENCIES AND  OTHER  SUBJECT  INDIVIDUALS  WITH  THE
 IMPLEMENTATION  OF  ANY  ETHICS  TRAINING  PROGRAMS  ESTABLISHED  BY THE
 DEPARTMENT; PROVIDED, HOWEVER THAT ANY ETHICS TRAINING FOR THE  LEGISLA-
 TURE  AND  LEGISLATIVE  EMPLOYEES  SHALL  BE OVERSEEN BY THE LEGISLATIVE
 ETHICS COMMISSION;
   C. RECEIVE AND INVESTIGATE COMPLAINTS FROM ANY SOURCE, OR UPON HIS  OR
 HER  OWN INITIATIVE, CONCERNING ALLEGATIONS OF CORRUPTION, FRAUD, CRIMI-
 NAL ACTIVITY, CONFLICTS OF INTEREST OR ABUSE IN ANY COVERED AGENCY, BY A
 STATE OFFICER, LEGISLATOR, LEGISLATIVE  EMPLOYEE,  CANDIDATE  FOR  STATE
 OFFICE,  CANDIDATE  FOR  STATE ASSEMBLY OR SENATE, LOBBYIST, CLIENT OF A
 LOBBYIST, OR POLITICAL PARTY CHAIR;
   D. WHEN APPLICABLE, INFORM  THE  HEADS  OF  COVERED  AGENCIES  OF  ANY
 COMPLAINTS   AND   THE   PROGRESS  OF  INVESTIGATIONS  RELATED  TO  SUCH
 COMPLAINTS;  UNLESS  CIRCUMSTANCES  REQUIRE  CONFIDENTIALITY;  PROVIDED,
 HOWEVER,  INFORMATION  REGARDING COMPLAINTS AND STATUS OF INVESTIGATIONS
 RELATED TO MEMBERS OF THE LEGISLATURE OR EMPLOYEES  OF  THE  LEGISLATURE
 SHALL BE PROVIDED TO THE LEGISLATIVE ETHICS COMMISSION;
   E.  MAKE DETERMINATIONS WITH RESPECT TO ANY ALLEGATIONS WHETHER DISCI-
 PLINARY ACTIONS, CIVIL OR CRIMINAL PROSECUTION, OR FURTHER INVESTIGATION
 BY ANOTHER GOVERNMENTAL AGENCY, FEDERAL, STATE OR LOCAL,  IS  NECESSARY,
 AND TO ASSIST IN ANY SUCH INVESTIGATION;

 S. 7061                             6
 
   F. FORWARD MATTERS, INCLUDING ALL RELEVANT DOCUMENTATION, TO APPROPRI-
 ATE  GOVERNMENTAL  AGENCIES,  FEDERAL  OR  STATE, FOR PROSECUTION, IF AN
 INVESTIGATION BY THE DEPARTMENT FINDS THERE IS PROBABLE CAUSE TO BELIEVE
 THAT A VIOLATION OF FEDERAL OR STATE LAW OCCURRED;
   G.  ENFORCE DETERMINATIONS OF THE DEPARTMENT, INCLUDING FINES OR OTHER
 FINDINGS LEVIED BY THE DEPARTMENT, AGAINST COVERED AGENCIES, STATE OFFI-
 CERS, EMPLOYEES, LOBBYISTS, CLIENTS OF LOBBYISTS,  AND  POLITICAL  PARTY
 CHAIRS; AND
   H.  ISSUE  AN ANNUAL REPORT TO THE BOARD, NO LATER THAN APRIL FIRST OF
 EACH YEAR, SUMMARIZING ALL  INVESTIGATIONS  AND  ACTIONS  TAKEN  BY  THE
 DEPARTMENT  RELATED  TO  ANY SUCH INVESTIGATIONS OR ACTIONS IN THE PRIOR
 CALENDAR YEAR.  SUCH REPORT SHALL BE USED BY THE BOARD IN COMPILING  ITS
 ANNUAL  REPORT  TO  THE  GOVERNOR  AND LEGISLATURE; PROVIDED SUCH REPORT
 SHALL BE CONFIDENTIAL AND NOT SUBJECT TO DISCLOSURE PURSUANT TO  ARTICLE
 SIX OF THIS CHAPTER.
   3. IN ADDITION TO THE DUTIES AND RESPONSIBILITIES PROVIDED IN SUBDIVI-
 SION  TWO OF THIS SECTION, THE COMMISSIONER SHALL EXERCISE THE FOLLOWING
 POWERS IN THE EXECUTION OF HIS OR HER DUTIES:
   A. SUBPOENA AND REQUIRE THE ATTENDANCE OF WITNESSES;
   B. ADMINISTER OATHS OF AFFIRMATION AND EXAMINE WITNESSES UNDER OATH;
   C. REQUIRE THE PRODUCTION OF ANY BOOKS AND PAPERS DEEMED  RELEVANT  OR
 MATERIAL TO ANY INVESTIGATION, EXAMINATION OR REVIEW;
   D. NOTWITHSTANDING ANY LAW TO THE CONTRARY, EXAMINE AND COPY OR REMOVE
 DOCUMENTS  OR  RECORDS  OF  ANY KIND PREPARED, MAINTAINED OR HELD BY ANY
 COVERED AGENCY, EMPLOYEE THEREOF, STATE OFFICER, LEGISLATOR, OR LEGISLA-
 TIVE EMPLOYEE;
   E. QUESTION ANY RELEVANT PARTY CONCERNING ANY MATTER  RELATED  TO  THE
 PERFORMANCE  OF  HIS  OR  HER  OFFICIAL DUTIES OR RELATED TO AN INVESTI-
 GATION;
   F. MONITOR ADHERENCE TO DISCIPLINARY DETERMINATIONS  RENDERED  BY  THE
 DEPARTMENT; AND
   G. PERFORM ANY OTHER FUNCTION NECESSARY AND APPROPRIATE TO FULFILL THE
 DUTIES AND RESPONSIBILITIES OF THE DEPARTMENT.
   §  113-D.  RESPONSIBILITIES OF COVERED AGENCIES, OFFICERS, AND EMPLOY-
 EES.  1. EVERY OFFICER AND EMPLOYEE IN A COVERED AGENCY, STATE  OFFICER,
 LEGISLATOR,  LEGISLATIVE  EMPLOYEE,  LOBBYIST, CLIENT OF A LOBBYIST, AND
 POLITICAL PARTY CHAIR, SHALL REPORT PROMPTLY TO THE DEPARTMENT  MATERIAL
 INFORMATION  CONCERNING  CORRUPTION, FRAUD, CRIMINAL ACTIVITY, CONFLICTS
 OF INTEREST, ETHICAL VIOLATIONS OR ABUSE BY ANOTHER RELATING TO  HIS  OR
 HER OFFICE OR EMPLOYMENT, OR BY A PERSON HAVING BUSINESS DEALINGS WITH A
 COVERED AGENCY RELATING TO THOSE DEALINGS, INCLUDING LOBBYIST AS DEFINED
 UNDER ARTICLE ONE-A OF THE LEGISLATIVE LAW.
   2.  THE  KNOWING FAILURE OF ANY SUBJECT INDIVIDUAL TO SO REPORT MAY BE
 CAUSE FOR SANCTIONS AND PUNITIVE ACTIONS  AGAINST  SUCH  INDIVIDUAL  WHO
 FAILS  TO  REPORT SUCH CONDUCT. ANY INDIVIDUAL WHO ACTS PURSUANT TO THIS
 SECTION BY REPORTING TO THE DEPARTMENT IMPROPER GOVERNMENTAL  ACTION  AS
 DEFINED  IN SECTION SEVENTY-FIVE-B OF THE CIVIL SERVICE LAW SHALL NOT BE
 SUBJECT TO DISCIPLINE BY THE  DEPARTMENT  FOR  FAILURE  TO  REPORT  SUCH
 ACTIVITY;  PROVIDED,  HOWEVER,  THAT  SUCH  PROTECTION FROM DEPARTMENTAL
 SANCTIONS DOES NOT PROVIDE LEGAL IMMUNITY FOR CRIMINAL ACTIONS.
   § 113-E. FINANCIAL DISCLOSURE. 1. A. THE COMMISSIONER, OR  ANY  DESIG-
 NATED  STAFF,  SHALL  INSPECT  ALL FINANCIAL DISCLOSURE STATEMENTS FILED
 WITH THE DEPARTMENT IN ORDER TO ASCERTAIN WHETHER ANY PERSON SUBJECT  TO
 THE  REPORTING  REQUIREMENTS  OF  THIS CHAPTER HAS FAILED TO FILE SUCH A
 STATEMENT, HAS FILED A DEFICIENT STATEMENT  OR  HAS  FILED  A  STATEMENT
 WHICH REVEALS A POSSIBLE VIOLATION OF LAW.

 S. 7061                             7
 
   B. THE COMMISSIONER, OR ANY DESIGNATED STAFF, IN RELATION TO FINANCIAL
 DISCLOSURES:
   (I)  SHALL  MAKE  AVAILABLE  FORMS  FOR ANNUAL STATEMENTS OF FINANCIAL
 DISCLOSURE REQUIRED TO BE FILED PURSUANT TO SECTION  SEVENTY-THREE-A  OF
 THIS CHAPTER;
   (II)  RECEIVE COMPLAINTS DIRECTLY OR THROUGH A REFERRAL FROM ANY OTHER
 COVERED AGENCY OR THE DEPARTMENT ALLEGING VIOLATIONS OF  SECTION  SEVEN-
 TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THIS CHAPTER, ARTICLE ONE-A
 OF THE LEGISLATIVE LAW OR SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE
 LAW;
   (III) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
 MENT  WITH  THE  DEPARTMENT  TO  REQUEST  DELETION FROM THE COPY OF SUCH
 STATEMENT MADE AVAILABLE FOR PUBLIC INSPECTION AND COPYING ONE  OR  MORE
 ITEMS OF INFORMATION WHICH MAY BE DELETED BY THE DEPARTMENT UPON A FIND-
 ING  BY  THE  DEPARTMENT  THAT  THE INFORMATION WHICH WOULD OTHERWISE BE
 REQUIRED TO BE MADE AVAILABLE FOR PUBLIC  INSPECTION  AND  COPYING  WILL
 HAVE  NO  MATERIAL  BEARING  ON  THE DISCHARGE OF THE REPORTING PERSON'S
 OFFICIAL DUTIES;
   (IV) GRANT ANY PERSON REQUIRED TO FILE A FINANCIAL  DISCLOSURE  STATE-
 MENT  AN  ADDITIONAL  PERIOD OF TIME WITHIN WHICH TO FILE SUCH STATEMENT
 DUE TO JUSTIFIABLE CAUSE OR UNDUE HARDSHIP;
   (V) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL  DISCLOSURE  STATE-
 MENT  TO  DELETE  SUCH INFORMATION PERTAINING TO SUCH PERSON'S SPOUSE OR
 EMANCIPATED CHILDREN AS SHALL BE FOUND BY  THE  DEPARTMENT  TO  HAVE  NO
 MATERIAL  BEARING  ON  THE  DISCHARGE OF THE REPORTING PERSON'S OFFICIAL
 DUTIES;
   (VI) ADVISE AND ASSIST ANY COVERED AGENCY IN  ESTABLISHING  RULES  AND
 REGULATIONS RELATING TO POSSIBLE CONFLICTS BETWEEN PRIVATE INTERESTS AND
 OFFICIAL DUTIES OF PRESENT AND FORMER STATE OFFICERS AND EMPLOYEES;
   (VII)  ADVISE  AND  ASSIST  ANY  COVERED AGENCY WITH TRAINING PROGRAMS
 RELATING TO ETHICAL COMPLIANCE;
   (VIII) 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 COMMISSIONER 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:
   A. CONTRACTS, LEASES,  FRANCHISES,  REVOCABLE  CONSENTS,  CONCESSIONS,
 VARIANCES,  SPECIAL PERMITS OR LICENSES AS SET FORTH IN SECTION SEVENTY-
 THREE OF THIS CHAPTER;
   B. THE PURCHASE, SALE, RENTAL OR LEASE  OF  REAL  PROPERTY,  GOODS  OR
 SERVICES, OR A CONTRACT THEREFOR;
   C. THE OBTAINING OF GRANTS OF MONEY OR LOANS; OR
   D.  THE  ADOPTION OR REPEAL OF ANY RULE OR REGULATION HAVING THE FORCE
 AND EFFECT OF LAW;
   (IX) 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 REQUIREMENTS OF SUCH SECTION; AND
   (X) CONDUCT INVESTIGATIONS INTO ANY COMPLAINTS.
   2.  IF A PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT WITH
 THE DEPARTMENT 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

 S. 7061                             8
 
 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 COMMISSIONER, OR DESIGNATED STAFF, SHALL SEND A  NOTICE
 OF DELINQUENCY:
   A. TO THE REPORTING PERSON;
   B. IN THE CASE OF A STATEWIDE ELECTED OFFICIAL, TO THE TEMPORARY PRES-
 IDENT OF THE SENATE AND THE SPEAKER OF THE ASSEMBLY; AND
   C.  IN  THE  CASE  OF  A  STATE OFFICER OR EMPLOYEE, TO THE APPOINTING
 AUTHORITY FOR SUCH PERSON. SUCH NOTICE OF DELINQUENCY MAY BE SENT AT ANY
 TIME DURING THE REPORTING PERSON'S SERVICE AS A STATEWIDE ELECTED  OFFI-
 CIAL, STATE OFFICER OR EMPLOYEE, POLITICAL PARTY CHAIR OR WHILE A CANDI-
 DATE  FOR STATEWIDE OFFICE, OR WITHIN ONE YEAR AFTER TERMINATION OF SUCH
 SERVICE OR CANDIDACY.
   § 113-F. INVESTIGATIONS; FINANCIAL DISCLOSURE AND ETHICAL  VIOLATIONS.
 1.  IF THE DEPARTMENT RECEIVES A SWORN COMPLAINT ALLEGING A VIOLATION OF
 SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE  LAW,  SECTIONS  SEVENTY-
 THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THIS CHAPTER, OR ARTICLE ONE-A
 OF THE LEGISLATIVE LAW BY A PERSON OR ENTITY SUBJECT TO THE OVERSIGHT OF
 THE DEPARTMENT, OR IF A REPORTING INDIVIDUAL HAS FILED A STATEMENT WHICH
 REVEALS A POSSIBLE VIOLATION OF ANY SUCH PROVISION, OR IF THE DEPARTMENT
 DETERMINES  ON  ITS  OWN INITIATIVE TO INVESTIGATE A POSSIBLE VIOLATION,
 THE DEPARTMENT SHALL NOTIFY THE INDIVIDUAL IN WRITING, WITHIN FIVE BUSI-
 NESS DAYS OF RECEIPT OF A COMPLAINT OR ACTION  OF  ITS  OWN,  SO  AS  TO
 DESCRIBE  THE POSSIBLE OR ALLEGED VIOLATION OF SUCH LAWS AND PROVIDE THE
 PERSON WHO IS THE SUBJECT OF THE COMPLAINT 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.
   2.  IF  THE  DEPARTMENT DETERMINES, FOLLOWING AN INITIAL REVIEW OF THE
 COMPLAINT AND ANY RESPONSE, THAT THERE IS A SUBSTANTIAL BASIS TO BELIEVE
 THAT A VIOLATION HAS OCCURRED, IT SHALL SEND A NOTICE OF SUCH FINDINGS:
   A. TO THE COMPLAINANT, IF ANY; AND
   B. TO THE SUBJECT OF THE REPORT OR COMPLAINT.
   3. AN INVESTIGATION UNDERTAKEN BY THE DEPARTMENT FOLLOWING A COMPLAINT
 OR ACTION ON ITS OWN INITIATIVE SHALL TAKE NO  MORE  THAN  THIRTY  DAYS,
 COMMENCING  FROM  THE  DAY UPON WHICH THE DEPARTMENT DETERMINES THERE IS
 REASONABLE CAUSE TO BELIEVE THAT A VIOLATION OCCURRED AND  SENDS  NOTICE
 OF  SUCH  TO THE SUBJECT OF THE INVESTIGATION. HOWEVER, IF COMPLETION OF
 AN INVESTIGATION IS NOT POSSIBLE WITHIN THIRTY DAYS, SUCH  INVESTIGATION
 SHALL BE COMPLETED AS SOON AS PRACTICABLE THEREAFTER; PROVIDED NOTICE OF
 THE  EXTENDED  INVESTIGATION  IS GIVEN TO THE COMPLAINANT AND SUBJECT OF
 THE INVESTIGATION.
   4. UPON COMPLETION OF AN INVESTIGATION, THE DEPARTMENT SHALL  ISSUE  A
 DETERMINATION  IN WRITING TO THE INDIVIDUAL AND THE COMPLAINANT, IF ANY;
 AND THE APPOINTING AUTHORITY OF ANY STATE EMPLOYEE. IF THE INVESTIGATION
 INVOLVED A MEMBER OF THE LEGISLATURE OR  A  LEGISLATIVE  EMPLOYEE,  SUCH
 DETERMINATIONS  SHALL BE FORWARDED TO THE LEGISLATIVE ETHICS COMMISSION;
 WHILE DETERMINATIONS INVOLVING THE GOVERNOR,  THE  LIEUTENANT  GOVERNOR,
 ATTORNEY  GENERAL OR STATE COMPTROLLER SHALL BE PROVIDED TO THE GOVERNOR
 AND THE SPEAKER OF THE ASSEMBLY AND TEMPORARY PRESIDENT OF  THE  SENATE.
 SUCH  FINAL  DETERMINATIONS  SHALL  BE  AVAILABLE FOR PUBLIC INSPECTION,
 INCLUDING FINDINGS OF FACT AND CONCLUSIONS OF LAW THAT  A  VIOLATION  OF
 LAW  OCCURRED; PROVIDED THAT NO OTHER REPORTS OR INVESTIGATIVE MATERIALS
 SHALL BE PUBLICLY REVIEWABLE AND SHALL REMAIN CONFIDENTIAL.

 S. 7061                             9
 
   5. A. THE DEPARTMENT SHALL HAVE JURISDICTION TO INVESTIGATE, BUT SHALL
 HAVE NO JURISDICTION TO IMPOSE PENALTIES UPON MEMBERS OF  OR  CANDIDATES
 FOR MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEES FOR ANY VIOLATION
 OF  THIS CHAPTER. IF UPON COMPLETION OF ITS INVESTIGATION THE DEPARTMENT
 CONCLUDES  THAT A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE OR
 CANDIDATE FOR  MEMBER OF THE LEGISLATURE HAS VIOLATED ANY PROVISIONS  OF
 LAW  OVER WHICH THE DEPARTMENT HAS OVERSIGHT, IT SHALL PRESENT A WRITTEN
 REPORT TO THE LEGISLATIVE ETHICS COMMISSION, AND DELIVER A COPY  OF  THE
 REPORT  TO THE INDIVIDUAL WHO IS THE SUBJECT OF THE REPORT. SUCH WRITTEN
 REPORT SHALL INCLUDE:
   (I) THE DEPARTMENT'S FINDINGS OF FACT AND ANY  EVIDENCE  ADDRESSED  IN
 SUCH FINDINGS; AND CONCLUSIONS OF LAW AND CITATIONS TO ANY RELEVANT LAW,
 RULE,  OPINION,  REGULATION OR STANDARD OF CONDUCT UPON WHICH IT RELIED;
 AND
   (II)  A  DETERMINATION  THAT  THE  DEPARTMENT  HAS  CONCLUDED  THAT  A
 VIOLATION  HAS  OCCURRED,  AND  THE  REASONS AND BASIS FOR SUCH DETERMI-
 NATION.
   B. THE DEPARTMENT SHALL ALSO SEPARATELY  PROVIDE  TO  THE  LEGISLATIVE
 ETHICS  COMMISSION  COPIES  OF  ADDITIONAL  DOCUMENTS  OR OTHER EVIDENCE
 CONSIDERED INCLUDING EVIDENCE THAT MAY CONTRADICT THE DEPARTMENT'S FIND-
 INGS, THE NAMES  OF  AND  OTHER  INFORMATION  REGARDING  ANY  ADDITIONAL
 WITNESSES,  AND  ANY OTHER MATERIALS. WITH RESPECT TO A VIOLATION OF ANY
 LAW OTHER THAN SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
 OF THIS CHAPTER, WHERE THE DEPARTMENT FINDS SUFFICIENT CAUSE,  IT  SHALL
 REFER SUCH MATTER TO THE APPROPRIATE PROSECUTOR.
   §  113-G.  INVESTIGATIONS;  OTHER.  1.  THE  DEPARTMENT  SHALL ALSO BE
 AUTHORIZED TO UNDERTAKE, UPON A SUBMITTED COMPLAINT OR  ITS  OWN  INITI-
 ATIVE,  ANY  INVESTIGATION  INTO  POTENTIAL  CRIMINAL ACTIVITY, OR OTHER
 CONDUCT OVER WHICH IT HAS JURISDICTION, BY A PERSON OR ENTITY SUBJECT TO
 THE OVERSIGHT OF THE DEPARTMENT.
   2. THE BOARD OF PUBLIC INTEGRITY, IN CONSULTATION WITH THE COMMISSION-
 ER, SHALL PROMULGATE ANY RULES AND REGULATIONS NECESSARY TO, AMONG OTHER
 THINGS, ENSURE INVESTIGATORY INTEGRITY,  DUE  PROCESS,  AND  APPROPRIATE
 CRIMINAL AND/OR CIVIL PROSECUTION, IF WARRANTED.
   3.  NOTWITHSTANDING REVIEW AND PUBLICATION OF A FINAL DETERMINATION OF
 THE  DEPARTMENT,  ANY PERSON CONDUCTING OR PARTICIPATING IN ANY EXAMINA-
 TION OR INVESTIGATION UNDER THIS SECTION OR SECTION  ONE  HUNDRED  THIR-
 TEEN-F  THIS  ARTICLE  WHO  SHALL DISCLOSE TO ANY PERSON NOT INVOLVED IN
 SUCH EXAMINATION OR INVESTIGATION, OR WHO THE COMMISSIONER MAY OTHERWISE
 HAVE AUTHORIZED TO RECEIVE SUCH INFORMATION RELATED TO OR  DETAILING  AN
 INVESTIGATION, SHALL BE GUILTY OF A MISDEMEANOR.
   §  113-H.  VIOLATIONS. 1. AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF
 THE DEPARTMENT WHO KNOWINGLY AND INTENTIONALLY VIOLATES  THE  PROVISIONS
 OF  SUBDIVISIONS  TWO  THROUGH  FIVE,  SEVEN,  EIGHT, TWELVE OR FOURTEEN
 THROUGH SEVENTEEN OF SECTION SEVENTY-THREE OF THIS CHAPTER, SECTION  ONE
 HUNDRED  SEVEN  OF  THE CIVIL SERVICE LAW, OR A REPORTING INDIVIDUAL WHO
 KNOWINGLY AND WILLFULLY FAILS TO FILE AN ANNUAL STATEMENT  OF  FINANCIAL
 DISCLOSURE OR WHO KNOWINGLY AND WILLFULLY WITH INTENT TO DECEIVE MAKES A
 FALSE  STATEMENT  OR FRAUDULENT OMISSION OR GIVES INFORMATION WHICH SUCH
 INDIVIDUAL KNOWS TO BE FALSE ON SUCH STATEMENT OF  FINANCIAL  DISCLOSURE
 FILED  PURSUANT  TO  SECTION  SEVENTY-THREE-A  OF  THIS CHAPTER SHALL BE
 SUBJECT TO A CIVIL PENALTY IN AN AMOUNT NOT  TO  EXCEED  FORTY  THOUSAND
 DOLLARS 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 PARAGRAPH B, C, D OR I OF  SUBDIVISION  THREE
 OF  SECTION  SEVENTY-FOUR  OF  THIS  CHAPTER SHALL BE SUBJECT TO A CIVIL

 S. 7061                            10
 
 PENALTY IN AN AMOUNT NOT TO EXCEED TEN THOUSAND DOLLARS 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 PARAGRAPH A, E OR G OF SUBDIVISION THREE OF SECTION SEVEN-
 TY-FOUR OF THIS CHAPTER 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 DEPARTMENT WHO KNOWINGLY AND WILLFULLY VIOLATES ARTICLE ONE-A OF THE
 LEGISLATIVE  LAW  SHALL  BE  SUBJECT TO CIVIL PENALTY AS PROVIDED FOR IN
 SUCH ARTICLE. ASSESSMENT OF A CIVIL PENALTY  PURSUANT  TO  THIS  SECTION
 SHALL  BE  MADE BY THE DEPARTMENT WITH RESPECT TO INDIVIDUALS SUBJECT TO
 ITS JURISDICTION. IN ASSESSING THE AMOUNT OF THE CIVIL PENALTIES  TO  BE
 IMPOSED, THE DEPARTMENT SHALL CONSIDER THE SERIOUSNESS OF THE VIOLATION,
 THE  AMOUNT OF GAIN TO THE INDIVIDUAL AND WHETHER SUCH INDIVIDUAL PREVI-
 OUSLY HAD ANY CIVIL OR  CRIMINAL  PENALTIES  IMPOSED  PURSUANT  TO  THIS
 SECTION, AND ANY OTHER FACTORS THE DEPARTMENT DEEMS APPROPRIATE.
   2.  A CIVIL PENALTY FOR FALSE FILING RELATING TO FINANCIAL DISCLOSURES
 MADE PURSUANT TO SECTION SEVENTY-THREE OR SEVENTY-THREE-A OF THIS  CHAP-
 TER  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 MATERIALLY FALSE.
   3.  ALL DETERMINATIONS OF ANY CIVIL FINE MADE BY THE DEPARTMENT PURSU-
 ANT TO THIS SECTION SHALL BE FORWARDED TO APPOINTING  AUTHORITY  OF  THE
 SUBJECT  INDIVIDUAL,  AND  SHALL  REVIEWED  ANY  OTHER POSSIBLE CRIMINAL
 VIOLATIONS THAT MAY ARISE FROM SUCH VIOLATIONS.  VIOLATIONS  OF  SECTION
 ONE  HUNDRED  SEVEN  OF THE CIVIL SERVICE LAW, SUBDIVISION TWELVE, FOUR-
 TEEN, FIFTEEN, SIXTEEN OR SEVENTEEN OF SECTION SEVENTY-THREE OR  SECTION
 SEVENTY-FOUR  OF  THIS  CHAPTER  OR ARTICLE ONE-A OF THE LEGISLATIVE LAW
 SHALL CONSTITUTE CLASS A MISDEMEANORS.
   § 113-I. ADJUDICATORY PROCESS. THE DEPARTMENT SHALL BE DEEMED TO BE AN
 AGENCY WITHIN THE MEANING OF ARTICLE THREE OF THE  STATE  ADMINISTRATIVE
 PROCEDURE ACT AND SHALL ADOPT RULES GOVERNING THE CONDUCT OF ADJUDICATO-
 RY  PROCEEDINGS  AND  APPEALS  TAKEN  PURSUANT TO A PROCEEDING COMMENCED
 UNDER ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES RELATING
 TO THE ASSESSMENT OF THE CIVIL PENALTIES AUTHORIZED BY THIS ARTICLE  AND
 DEPARTMENT DENIALS OF REQUESTS FOR CERTAIN DELETIONS OR EXEMPTIONS TO BE
 MADE  FROM  A FINANCIAL DISCLOSURE STATEMENT AS AUTHORIZED BY THIS ARTI-
 CLE. 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 SIMILAR TO THOSE SET FORTH IN  ARTI-
 CLE  THREE OF THE STATE ADMINISTRATIVE PROCEDURE ACT BUT SUCH MECHANISMS
 NEED NOT BE IDENTICAL IN TERMS OR SCOPE. ASSESSMENT OF A  CIVIL  PENALTY
 OR  DEPARTMENT  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  PENALTY,  OR UNLESS SUCH DENIAL OF REQUEST IS
 REVERSED WITHIN SUCH TIME PERIOD,  AND  UPON  BECOMING  FINAL  SHALL  BE
 SUBJECT  TO REVIEW AT THE INSTANCE OF THE AFFECTED REPORTING INDIVIDUALS
 IN A PROCEEDING COMMENCED AGAINST THE DEPARTMENT,  PURSUANT  TO  ARTICLE
 SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES.
   §  2. This act shall take effect on the first of January next succeed-
 ing the date on which it shall have  become  a  law;  provided  further,
 however,  that  appointments to the board of public integrity authorized
 by section 113-b of the public officers law shall be made  within  sixty
 days  of  the  date  on  which this act shall have become a law and such
 board members shall be authorized  to  hold  meetings  upon  appointment
 necessary to ensure proper administration of such department.

 S. 7061                            11
 
                                  PART B
 
   Section 1. Section 94 of the executive law is REPEALED.
   § 2. Article 4-A of the executive law is REPEALED.
   §  3. This act shall take effect on the first of January next succeed-
 ing the date on which it shall have become a law.
 
                                  PART C
 
   Section 1.  Transfer of functions, powers and duties.  All  functions,
 powers,  duties and obligations of the former joint commission on public
 ethics, and the former office of the state inspector general are  hereby
 transferred to the department of oversight and investigation.
   §  2. Transfer of employees. (a) Upon transfer of the functions of the
 former joint commission on public ethics, and the former office  of  the
 state  inspector  general  to  the  department of oversight and investi-
 gation, provisions shall be made for the transfer to such department  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 transfer had not been made except to the
 extent such rights are modified by a  collective  bargaining  agreement.
 Employees  holding permanent appointments 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.
   § 3. Transfer of records. All books, papers and property of the former
 joint commission on public ethics, and the former office  of  the  state
 inspector general are to be delivered to the department of oversight and
 investigation  at such place and time, and in such manner as the depart-
 ment of oversight and investigation shall require.
   § 4. Continuity of authority. For the purpose  of  succession  to  all
 functions, powers, duties and obligations of the former joint commission

 S. 7061                            12
 
 on  public  ethics  and the former office of the state inspector general
 transferred to and assumed by the department of oversight  and  investi-
 gation,  such  department  shall  continue  the  operation thereof as if
 performed by such former agencies.
   §  5.  Completion of unfinished business. Any business or other matter
 undertaken or commenced by the former joint commission on public ethics,
 or the former office of the state inspector  general  pertaining  to  or
 connected with the functions, powers, duties and obligations transferred
 and assigned to the department of oversight and investigation, and pend-
 ing  on  the  effective  date  of  this  section  shall be conducted and
 completed by such department 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.
   § 6. Continuation of rules and regulations.  All  rules,  regulations,
 acts,  orders,  determinations and decisions of the former joint commis-
 sion on public ethics 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, deter-
 minations and decisions of the department of oversight and investigation
 until duly modified or abrogated.
   § 7. Terms occurring in laws, contracts and other documents.  Whenever
 the former joint commission on public ethics 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 department of oversight
 and investigation.
   § 8. 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.
   §  9.  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 joint commission on public ethics, and
 the former office of the state  inspector  general  transferred  to  the
 department  of  oversight  and  investigation, brought by or against any
 such former agency or individual, shall be affected by any provision  of
 this act, but the same may be prosecuted or defended in the name of such
 department. In all such actions and proceedings, the department of over-
 sight and investigation, upon application to the court, shall be substi-
 tuted as a party.
   §  10.  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 joint commis-
 sion on public ethics and the  former  office  of  the  state  inspector
 general  for the purposes and functions transferred pursuant to this act
 to the department of oversight  and  investigation,  to  the  extent  of
 remaining  unexpended or unencumbered balance thereof, whether allocated
 or unallocated, and whether obligated or unobligated, are hereby  trans-
 ferred  to and made available for use and expenditure by such department
 for the same purposes for which originally appropriated  or  reappropri-
 ated  and  shall  be  payable  on  vouchers certified or approved by the
 commissioner of the department of oversight and investigation  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 joint commission on public ethics and the  former  office  of

 S. 7061                            13
 
 the state inspector general with respect to the powers, duties and func-
 tions transferred in this act, shall also be made on vouchers or certif-
 icates  approved  by the commissioner of the department of oversight and
 investigation on audit and warrant of the comptroller.
   §  11. Transfer of assets and liabilities.  All assets and liabilities
 of the former joint commission on public ethics and the former office of
 the state inspector general are hereby transferred to and assumed by the
 department of oversight and investigation.
   § 12. The department of oversight and investigation is hereby directed
 to immediately take any and all actions necessary to enable it to assume
 all powers, duties and functions  of  the  former  joint  commission  on
 public ethics and the former office of the state inspector general with-
 in 90 days of the effective date of this act.
   § 13. 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
 one  through  eleven of this act shall take effect on the first of April
 next succeeding the date on which it shall have become a law.
 
                                  PART D
 
   Section 1. 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] DEPARTMENT OF OVERSIGHT
 AND INVESTIGATION.
   § 2. 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] DEPARTMENT  OF
 OVERSIGHT AND INVESTIGATION.
   §  3. 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] COMMISSIONER OF
 THE  DEPARTMENT  OF  OVERSIGHT  AND  INVESTIGATION 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-mutu-
 el wagering business, video lottery terminal facility or any development
 at any racing facility.
   §  4.  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] COMMISSIONER OF THE  DEPARTMENT  OF  OVER-
 SIGHT AND INVESTIGATION, or the head of any other department, authority,

 S. 7061                            14
 
 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.
   § 5. 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] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION. The agency is subject to  the  jurisdiction
 of  the  [office  of  the  state  inspector general] COMMISSIONER OF THE
 DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
   § 6. 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  [of  the office of the state commission of investi-
 gation] ACTING FOR, OR AT THE REQUEST OF THE DEPARTMENT OF OVERSIGHT AND
 INVESTIGATION.
   § 7. Subdivision 68 of section 2.10 of the criminal procedure law,  as
 added by chapter 168 of the laws of 2000, is REPEALED.
   §  8.  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] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION, 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 offi-
 cial requesting such assistance in the investigation or  prosecution  of
 organized crime cases.
   §  9. 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] DEPARTMENT OF
 OVERSIGHT  AND  INVESTIGATION,  police  forces  and  departments  having
 responsibility for enforcement of  the  general  criminal  laws  of  the
 state,  the Onondaga County Center for Forensic Sciences Laboratory when
 acting within the scope of its law enforcement duties and  the  division
 of forensic services of the Nassau county medical examiner's office when
 acting within the scope of its law enforcement duties.

 S. 7061                            15
 
   §  10.  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] DEPARTMENT OF OVERSIGHT
 AND INVESTIGATION, the department of corrections  and  community  super-
 vision, the office of children 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 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-sev-
 en-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.
   § 11. Chapter 989 of the laws of  1958,  creating  a  temporary  state
 commission of investigation, is REPEALED.
   §  12.  Subparagraphs  (ii) and (iii) of paragraph (c), and paragraphs
 (d) and (d-1) of subdivision 1 of section 73-a of  the  public  officers
 law,  subparagraphs (ii) and (iii) of paragraph (c) and paragraph (d) 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-
 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] DEPARTMENT OF OVERSIGHT AND
 INVESTIGATION 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 responsibil-
 ities by a new employee 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] DEPARTMENT OF OVERSIGHT AND
 INVESTIGATION  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  responsibil-
 ities  by a new employee or any other employee whose name did not appear
 on the most recent written instrument.
   (d) The term "legislative employee" shall mean any officer or employee
 of the legislature who receives annual compensation  in  excess  of  the

 S. 7061                            16
 
 filing  rate established by paragraph (l) [below] OF THIS SUBDIVISION or
 who is determined to hold a policy-making  position  by  the  appointing
 authority as set forth in a written instrument which shall be filed with
 the  legislative  ethics  commission and the [joint commission on public
 ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
   (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] DEPARTMENT OF OVERSIGHT AND
 INVESTIGATION upon its filing, in accordance with this section, with the
 legislative ethics commission for all purposes including, but not limit-
 ed to, [subdivision fourteen of section  ninety-four  of  the  executive
 law,]  ARTICLE  SEVEN-A  OF  THIS  CHAPTER,  subdivision nine of section
 eighty of the legislative law and subdivision four of this section.
   § 13. Subdivision 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, is
 amended to read as follows:
   2. (a) Every statewide elected official, state  officer  or  employee,
 member  of  the  legislature,  legislative  employee and political party
 chairman and every candidate for statewide elected office or for  member
 of  the  legislature shall file an annual statement of financial disclo-
 sure containing the information and in the form set forth in subdivision
 three of this section. On or  before  the  fifteenth  day  of  May  with
 respect to the preceding calendar year: (1) every member of the legisla-
 ture,  every  candidate  for  member  of the legislature and legislative
 employee shall file such statement with the legislative  ethics  commis-
 sion  which  shall  provide  such  statement along with any requests for
 exemptions or deletions to  the  [joint  commission  on  public  ethics]
 DEPARTMENT  OF  OVERSIGHT  AND INVESTIGATION for filing and rulings with
 respect to such requests for exemptions or deletions, on or  before  the
 thirtieth  day  of  June; and (2) all other individuals required to file
 such statement shall file  it  with  the  [joint  commission  on  public
 ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION, except that:
   (i)  a  person  who  is  subject to the reporting requirements of this
 subdivision and who timely filed with the internal  revenue  service  an
 application  for automatic extension of time in which to file his or her
 individual income tax return for the immediately preceding  calendar  or
 fiscal  year  shall be required to file such financial disclosure state-
 ment on or before May fifteenth but may, without being subjected to  any
 civil penalty on account of a deficient statement, indicate with respect
 to  any  item  of the disclosure statement that information with respect
 thereto is lacking but will be supplied in a supplementary statement  of
 financial  disclosure, which shall be filed on or before the seventh day
 after the expiration of the period of such automatic extension  of  time
 within  which  to  file such individual income tax return, provided that
 failure to file or to timely file such supplementary statement of finan-
 cial disclosure or the filing of an incomplete or deficient supplementa-
 ry statement of financial disclosure shall be subject to the notice  and
 penalty  provisions  of  this  section  respecting  annual statements of
 financial disclosure as if such supplementary statement were  an  annual
 statement;
   (ii)  a  person who is required to file an annual financial disclosure
 statement with the [joint commission on  public  ethics]  DEPARTMENT  OF
 OVERSIGHT  AND INVESTIGATION, 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

 S. 7061                            17

 section  ninety-four  of  the  executive  law] shall file such statement
 within the additional period  of  time  granted[;  and  the  legislative
 ethics  commission shall notify the joint commission on public ethics of
 any extension granted pursuant to this paragraph];
   (iii)  candidates for statewide office who receive a party designation
 for nomination by a state committee pursuant to  section  6-104  of  the
 election law shall file such statement within ten days after the date of
 the meeting at which they are so designated;
   (iv)  candidates  for statewide office who receive twenty-five percent
 or more of the vote cast at the meeting  of  the  state  committee  held
 pursuant  to  section  6-104  of the election law and who demand to have
 their names placed on the primary ballot and who do not withdraw  within
 fourteen  days  after  such meeting shall file such statement within ten
 days after the last day to withdraw their names in accordance  with  the
 provisions of such section of the election law;
   (v)  candidates  for statewide office and candidates for member of the
 legislature who file party designating petitions  for  nomination  at  a
 primary  election  shall  file  such statement within ten days after the
 last day allowed by law for the filing of  party  designating  petitions
 naming them as candidates for the next succeeding primary election;
   (vi)  candidates  for  independent nomination who have not been desig-
 nated by a party to receive a nomination shall file such statement with-
 in ten days after the last day allowed by law for the  filing  of  inde-
 pendent  nominating  petitions  naming  them  as  candidates in the next
 succeeding general or special election;
   (vii) candidates who receive the nomination of a party for  a  special
 election shall file such statement within ten days after the date of the
 meeting of the party committee at which they are nominated; AND
   (viii)  a  candidate  substituted  for  another candidate, who fills a
 vacancy in a party designation or in an independent  nomination,  caused
 by declination, shall file such statement within ten days after the last
 day allowed by law to file a certificate to fill a vacancy in such party
 designation or independent nomination;
   (ix) with respect to all candidates for member of the legislature, the
 legislative  ethics commission shall within five days of receipt provide
 the joint commission on public ethics the statement  filed  pursuant  to
 subparagraphs (v), (vi), (vii) and (viii) of this paragraph.
   (b)  As used in this subdivision, the terms "party", "committee" (when
 used in conjunction with the term  "party"),  "designation",  "primary",
 "primary  election", "nomination", "independent nomination" and "ballot"
 shall have the same meanings as those contained in section 1-104 of  the
 election law.
   (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] DEPARTMENT OF OVERSIGHT AND INVESTI-
 GATION  in  accordance  with  paragraph (d-1) of subdivision one of this
 section. If the reporting individual is a  statewide  elected  official,
 candidate for statewide elected office, a state officer or employee or a
 political  party  chairman, such statement shall be filed with the joint
 commission on public ethics established by section  ninety-four  of  the
 executive law.
   (d)  The  [joint  commission on public ethics] DEPARTMENT OF OVERSIGHT
 AND INVESTIGATION shall obtain from the state board of elections a  list
 of  all  candidates  for statewide office and for member of the legisla-

 S. 7061                            18
 
 ture, and from such list, shall determine and publish a  list  of  those
 candidates  who  have  not,  within ten days after the required date for
 filing such statement, filed the statement required by this subdivision.
   (e)  Any  person required to file such statement who commences employ-
 ment after May fifteenth of any year and political party chairman  shall
 file such statement within thirty days after commencing employment or of
 taking  the position of political party chairman, as the case may be. In
 the case of members of the legislature and legislative  employees,  such
 statements  shall be filed with the legislative ethics commission within
 thirty days after commencing  employment,  and  the  legislative  ethics
 commission  shall  provide  such  statements  to the joint commission on
 public ethics within forty-five days of receipt.
   (f) A person who may otherwise be required to file more than one annu-
 al financial disclosure statement with both  the  [joint  commission  on
 public  ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION and the legis-
 lative ethics commission in any  one  calendar  year  may  satisfy  such
 requirement by filing one such statement with either body and by notify-
 ing the other body of such compliance.
   (g)  A person who is employed in more than one employment capacity for
 one or more employers  certain  of  whose  officers  and  employees  are
 subject  to filing a financial disclosure statement with the same ethics
 commission, as the case may be, and  who  receives  distinctly  separate
 payments  of  compensation  for  such employment shall be subject to the
 filing requirements of this section if the aggregate annual compensation
 for all such employment capacities is  in  excess  of  the  filing  rate
 notwithstanding that such person would not otherwise be required to file
 with  respect  to  any  one particular employment capacity. A person not
 otherwise required to file a financial  disclosure  statement  hereunder
 who  is  employed  by an employer certain of whose officers or employees
 are subject to filing a financial disclosure statement with  the  [joint
 commission  on  public ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION
 and who is also employed by an employer certain  of  whose  officers  or
 employees  are  subject  to filing a financial disclosure statement with
 the legislative ethics commission shall not be subject  to  filing  such
 statement  with  either  such commission on the basis that his aggregate
 annual compensation from all such employers is in excess of  the  filing
 rate.
   (h)  A statewide elected official or member of the legislature, who is
 simultaneously a candidate for statewide elected office or member of the
 legislature, shall satisfy the  filing  deadline  requirements  of  this
 subdivision  by  complying  only with the deadline applicable to one who
 holds a statewide elected office or who holds the office  of  member  of
 the legislature.
   (i)  A  candidate  whose  name will appear on both a party designating
 petition and on an independent nominating petition for the  same  office
 or  who  will  be listed on the election ballot for the same office more
 than once shall satisfy the filing deadline requirements of this  subdi-
 vision by complying with the earliest applicable deadline only.
   (j)  A  member  of  the legislature who is elected to such office at a
 special election prior to May fifteenth in any year  shall  satisfy  the
 filing  requirements  of this subdivision in such year by complying with
 the earliest applicable deadline only.
   (k) The [joint commission on public ethics]  DEPARTMENT  OF  OVERSIGHT
 AND  INVESTIGATION  shall  post  for  at  least five years beginning for
 filings made on January first, two thousand thirteen the  annual  state-
 ment  of  financial  disclosure  and any amendments filed by each person

 S. 7061                            19
 
 subject to the reporting requirements of  this  subdivision  who  is  an
 elected  official on its website for public review within thirty days of
 its receipt of such statement or within ten days of its receipt of  such
 amendment  that  reflects  any corrections of deficiencies identified by
 [the commission] SUCH DEPARTMENT or by the  reporting  individual  after
 the  reporting  individual's  initial  filing. Except upon an individual
 determination by the [commission] DEPARTMENT OF OVERSIGHT  AND  INVESTI-
 GATION that certain information may be deleted from a reporting individ-
 ual's  annual statement of financial disclosure, none of the information
 in the statement posted on [the commission's] SUCH DEPARTMENT'S  website
 shall be otherwise deleted.
   § 14. Subparagraphs (b), (b-2) and (c) of paragraph 8 of subdivision 3
 and  subdivision  4 of section 73-a of the public officers law, subpara-
 graphs (b), (b-2) and (c) of 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:
   (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
 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

 S. 7061                            20
 
 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] DEPARTMENT  OF  OVERSIGHT  AND
 INVESTIGATION,  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-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);
   * 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);

 S. 7061                            21
 
   * 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, pharma-
 ceutical 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
 of the executive law] DEPARTMENT OF OVERSIGHT AND INVESTIGATION, 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;

 S. 7061                            22
 
   (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]
 DEPARTMENT  OF OVERSIGHT AND INVESTIGATION or the office of court admin-
 istration may consult with bar or other  professional  associations  and
 the  legislative ethics commission for individuals subject to its juris-
 diction and may consider the rules of professional  conduct.  In  making
 its  determination,  the  [joint commission] DEPARTMENT OF OVERSIGHT AND
 INVESTIGATION 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 retaliation against the client; (v) whether disclo-
 sure  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] DEPARTMENT OF OVERSIGHT AND  INVESTIGATION  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
 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,

 S. 7061                            23
 
 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] DEPARTMENT OF OVERSIGHT  AND  INVESTI-
 GATION, 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."

 S. 7061                            24
 
   In  reviewing  the  request  for  an exemption, the [joint commission]
 DEPARTMENT OF OVERSIGHT AND INVESTIGATION or the office of court  admin-
 istration  may  consult  with bar or other professional associations and
 the legislative ethics commission for individuals subject to its  juris-
 diction  and  may  consider the rules of professional conduct. In making
 its determination, the [joint commission] DEPARTMENT  OF  OVERSIGHT  AND
 INVESTIGATION  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 retaliation against the client; (v) whether disclo-
 sure 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] DEPARTMENT OF OVERSIGHT AND INVESTIGATION 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  entering
 public office.
 Client        Name of Lobbyist     Description    Category of Amount
                                    of Matter       (in Table 1)
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 ________________________________________________________________________
 
   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 or by the legislative ethics commission, as the  case  may
 be]  DEPARTMENT OF OVERSIGHT AND INVESTIGATION OR THE LEGISLATIVE ETHICS
 COMMISSION, with respect to persons subject to their  respective  juris-
 dictions.    The  [joint  commission on public ethics acting pursuant to
 subdivision fourteen  of  section  ninety-four  of  the  executive  law]
 DEPARTMENT  OF  OVERSIGHT  AND  INVESTIGATION  or the legislative ethics
 commission acting pursuant to subdivision eleven of  section  eighty  of
 the  legislative law, as the case may be, may, in lieu of or in addition

 S. 7061                            25
 
 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]  DEPARTMENT  OF
 OVERSIGHT  AND INVESTIGATION and the legislative ethics commission shall
 each be deemed to be an agency within the meaning of  article  three  of
 the  state  administrative procedure act and shall adopt rules governing
 the conduct of adjudicatory 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  adminis-
 trative  procedure  act,  shall provide for due process procedural mech-
 anisms substantially similar 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] DEPARTMENT OF OVERSIGHT AND  INVESTIGATION  or  the  legislative
 ethics  commission, pursuant to article seventy-eight of the civil prac-
 tice law and rules.
   § 15. 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] DEPARTMENT OF OVERSIGHT
 AND INVESTIGATION shall, with respect to its lobbying-related  functions
 only, have the power and duty to:
   §  16. 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  [state  inspector  general  in
 accordance  with section fifty-five of the executive law,] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION or prevent disclosure to any law enforcement
 authority.
   § 17. Paragraph (a) of subdivision 1 of section 73 of the public offi-
 cers law, as amended by section 1 of part A of chapter 399 of  the  laws
 of 2011, is amended to read as follows:
   (a)  The  term  "compensation" shall mean any money, thing of value or
 financial benefit conferred in return for services  rendered  or  to  be
 rendered.  With  regard  to matters undertaken by a firm, corporation or
 association, compensation shall mean net revenues, as defined in accord-
 ance with generally accepted accounting principles  as  defined  by  the
 [joint  commission on public ethics or] legislative ethics commission OR
 THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION  in  relation  to  persons
 subject to their respective jurisdictions.

 S. 7061                            26
 
   §  18.  The  opening  paragraph  of  paragraph (a) of subdivision 6 of
 section 73 of the public officers law, as amended by section 3 of part K
 of chapter 286 of the laws of 2016, is amended to read as follows:
   Every  legislative  employee  not subject to the provisions of section
 seventy-three-a of this chapter shall, on and after  December  fifteenth
 and  before the following January fifteenth, in each year, file with the
 [joint commission on public ethics and the] legislative  ethics  commis-
 sion a financial disclosure statement of
   § 19. Paragraph (h) of subdivision 8 of section 73 of the public offi-
 cers  law, as amended by section 10 of part A of chapter 399 of the laws
 of 2011, is amended to read as follows:
   (h) Notwithstanding the provisions of subparagraphs (i)  and  (ii)  of
 paragraph  (a)  of  this subdivision, a former state officer or employee
 may contract individually, or as a member or employee of a firm,  corpo-
 ration  or  association, to render services to any state agency when the
 agency head certifies in writing to  the  [joint  commission  on  public
 ethics]  DEPARTMENT  OF OVERSIGHT AND INVESTIGATION that the services of
 such former officer or employee are  required  in  connection  with  the
 agency's  response  to  a  disaster  emergency  declared by the governor
 pursuant to section twenty-eight of the executive law.
   § 20. Subdivision 8-a of section 73 of the  public  officers  law,  as
 amended  by chapter 357 of the laws of 2001 and the opening paragraph as
 amended by section 11 of part A of chapter 399 of the laws of  2011,  is
 amended to read as follows:
   8-a.  The provisions of subparagraphs (i) and (ii) of paragraph (a) of
 subdivision eight of this section shall not apply  to  any  such  former
 state  officer  or  employee  engaged  in  any of the specific permitted
 activities defined in this subdivision that are  related  to  any  civil
 action  or  proceeding  in any state or federal court, provided that the
 attorney general has certified in writing to the  [joint  commission  on
 public ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION, with a copy to
 such former state officer or employee, that the services are rendered on
 behalf of the state, a state agency, state officer or employee, or other
 person  or  entity  represented  by  the attorney general, and that such
 former state officer or employee has expertise, knowledge or  experience
 which  is  unique or outstanding in a field or in a particular matter or
 which would otherwise be generally unavailable at a comparable  cost  to
 the state, a state agency, state officer or employee, or other person or
 entity  represented  by  the  attorney  general  in such civil action or
 proceeding. In those instances where a state agency is  not  represented
 by  the  attorney  general  in  a civil action or proceeding in state or
 federal court, a former state officer or employee may engage in  permit-
 ted  activities  provided  that the general counsel of the state agency,
 after consultation with the [joint commission on public ethics]  DEPART-
 MENT  OF  OVERSIGHT AND INVESTIGATION, provides to [the joint commission
 on public ethics] SUCH DEPARTMENT a written  certification  which  meets
 the  requirements  of this subdivision. For purposes of this subdivision
 the term  "permitted  activities"  shall  mean  generally  any  activity
 performed  at the request of the attorney general or the attorney gener-
 al's designee, or in cases where the state agency is not represented  by
 the  attorney general, the general counsel of such state agency, includ-
 ing without limitation:
   (a) preparing or giving testimony or executing one or more affidavits;
   (b) gathering, reviewing or analyzing information, including  documen-
 tary or oral information concerning facts or opinions, attending deposi-
 tions or participating in document review or discovery;

 S. 7061                            27
 
   (c)  performing  investigations, examinations, inspections or tests of
 persons, documents or things;
   (d)  performing  audits,  appraisals, compilations or computations, or
 reporting about them;
   (e) identifying information to be sought concerning facts or opinions;
 or
   (f) otherwise assisting in the preparation for, or  conduct  of,  such
 litigation.
   Nothing  in  this  subdivision  shall  apply to the provision of legal
 representation by any former state officer or employee.
   § 21. Subdivision 8-b of section 73 of the  public  officers  law,  as
 amended  by  section 12 of part A of chapter 399 of the laws of 2011, is
 amended to read as follows:
   8-b. Notwithstanding the provisions of subparagraphs (i) and  (ii)  of
 paragraph (a) of subdivision eight of this section, a former state offi-
 cer or employee may contract individually, or as a member or employee of
 a  firm,  corporation  or  association,  to render services to any state
 agency if, prior to engaging in such service, the agency head  certifies
 in  writing  to  the  [joint  commission on public ethics] DEPARTMENT OF
 OVERSIGHT AND INVESTIGATION that such former  officer  or  employee  has
 expertise,  knowledge  or experience with respect to a particular matter
 which meets the needs of the agency and is otherwise  unavailable  at  a
 comparable  cost.  Where  approval  of  the  contract  is required under
 section one hundred twelve of the state  finance  law,  the  comptroller
 shall review and consider the reasons for such certification. The [joint
 commission  on  public ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION
 must review and approve all certifications made pursuant to this  subdi-
 vision.
   §  22.  Subdivision  10  of  section 73 of the public officers law, as
 amended by section 5 of part K of chapter 286 of the laws  of  2016,  is
 amended to read as follows:
   10.  Nothing  contained in this section, the judiciary law, the educa-
 tion law or any other law or disciplinary rule  shall  be  construed  or
 applied  to  prohibit any firm, association or corporation, in which any
 present or former statewide elected official, state officer or employee,
 or political party chairman, member of the  legislature  or  legislative
 employee  is  a  member, associate, retired member, of counsel or share-
 holder, from appearing, practicing, communicating or otherwise rendering
 services in relation to any matter before, or transacting business  with
 a  state  agency,  or  a  city  agency with respect to a political party
 chairman in a county wholly included in a city with a population of more
 than one million, otherwise proscribed by this  section,  the  judiciary
 law,  the  education  law  or  any  other  law or disciplinary rule with
 respect to such official,  member  of  the  legislature  or  officer  or
 employee,  or  political  party  chairman,  where such statewide elected
 official, state officer or employee, member of the legislature or legis-
 lative employee, or political party chairman does not share in  the  net
 revenues,  as  defined  in accordance with generally accepted accounting
 principles by the [joint commission on public ethics or by the] legisla-
 tive ethics commission OR THE DEPARTMENT OF OVERSIGHT AND  INVESTIGATION
 in  relation  to  persons  subject  to  their  respective jurisdictions,
 resulting therefrom, or, acting in good faith, reasonably believed  that
 he  or  she would not share in the net revenues as so defined; nor shall
 anything contained in this section, the judiciary law, the education law
 or any other law or disciplinary rule be construed to prohibit any firm,
 association or corporation in which  any  present  or  former  statewide

 S. 7061                            28
 
 elected official, member of the legislature, legislative employee, full-
 time salaried state officer or employee or state officer or employee who
 is  subject to the provisions of section seventy-three-a of this article
 is  a member, associate, retired member, of counsel or shareholder, from
 appearing, practicing, communicating or otherwise rendering services  in
 relation  to  any matter before, or transacting business with, the court
 of claims, where such statewide elected official, member of the legisla-
 ture, legislative employee, full-time salaried state officer or employee
 or state officer or employee who is subject to the provisions of section
 seventy-three-a of this article does not share in the net  revenues,  as
 defined  in  accordance with generally accepted accounting principles by
 the [joint commission on public ethics or  by  the]  legislative  ethics
 commission  OR THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION in relation
 to persons subject to their respective jurisdictions,  resulting  there-
 from, or, acting in good faith, reasonably believed that he or she would
 not share in the net revenues as so defined.
   § 23. 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 the
 amendment to subdivision 3 of section 212  of  the  racing,  pari-mutuel
 wagering  and  breeding  law made by section three of this act shall not
 affect the repeal of such section and shall be  deemed  repealed  there-
 with.
   § 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.
   § 4. This act shall take effect immediately; provided,  however,  that
 the applicable effective dates of Parts A through D of this act shall be
 as specifically set forth in the last section of such Parts.