A09032 Summary:

BILL NO    A09032 

SAME AS    Same as S 6064

SPONSOR    Silver (MS)

COSPNSR    Kolb, Magnarelli, Destito, Millman, Barclay

MLTSPNSR   

Amd S94, Exec L; amd SS1-b, 1-c, 1-d, 1-e, 1-j, 1-h, 1-i, rpld S80, add SS80 &
81, Leg L; add S89-a, amd SS73 & 73-a, rpld S66-a, Pub Off L

Creates an executive ethics and compliance commission and a new legislative
ethics and compliance commission.

A09032 Actions:

BILL NO    A09032 

06/19/2009 referred to governmental operations
06/22/2009 reported referred to codes
06/22/2009 reported referred to ways and means
06/22/2009 reported referred to rules
06/22/2009 reported 
06/22/2009 rules report cal.631
06/22/2009 ordered to third reading rules cal.631
06/22/2009 passed assembly
06/22/2009 delivered to senate
06/22/2009 REFERRED TO RULES
09/10/2009 SUBSTITUTED FOR S6064
09/10/2009 3RD READING CAL.959
09/10/2009 RECOMMITTED TO RULES
01/06/2010 DIED IN SENATE
01/06/2010 RETURNED TO ASSEMBLY
01/06/2010 ordered to third reading cal.641

A09032 Votes:

BILL: A09032  DATE: 06/22/2009  MOTION:                       YEA/NAY: 140/000

Abbate  Y  Cahill  Y  Englebr Y  Hooper  Y  Maisel  Y  Powell  Y  Skartad Y
Alessi  Y  Calhoun Y  Errigo  Y  Hoyt    Y  Markey  ER Pretlow Y  Spano   Y
Alfano  Y  Camara  Y  Espaill Y  Hyer-Sp Y  Mayerso Y  Quinn   Y  Stirpe  Y
Amedore Y  Canestr Y  Farrell Y  Jacobs  Y  McDonou ER Rabbitt Y  Sweeney Y
Arroyo  ER Carrozz Y  Fields  Y  Jaffee  Y  McEneny Y  Raia    Y  Tedisco Y
Aubry   Y  Castro  Y  Finch   Y  Jeffrie Y  McKevit Y  Ramos   Y  Thiele  Y
Bacalle Y  Christe Y  Fitzpat Y  John    Y  Meng    Y  Reilich Y  Titone  Y
Ball    Y  Clark   Y  Gabrysz Y  Jordan  Y  Miller  Y  Reilly  Y  Titus   Y
Barclay Y  Colton  Y  Galef   Y  Kavanag Y  Millman Y  Rive J  Y  Tobacco Y
Barra   Y  Conte   Y  Gantt   Y  Kellner Y  Molinar Y  Rive N  ER Towns   Y
Barron  Y  Cook    Y  Gianari Y  Kolb    Y  Morelle Y  Rive PM Y  Townsen Y
Benedet Y  Corwin  Y  Gibson  Y  Koon    Y  Nolan   Y  Robinso Y  Walker  Y
Benjami Y  Crespo  Y  Giglio  Y  Lancman Y  Oaks    Y  Rosenth Y  Weinste Y
Bing    Y  Crouch  Y  Glick   Y  Latimer Y  O'Donne Y  Russell Y  Weisenb Y
Boyland Y  Cusick  Y  Gordon  Y  Lavine  Y  O'Mara  Y  Saladin Y  Weprin  Y
Boyle   Y  Cymbrow Y  Gottfri Y  Lentol  Y  Ortiz   Y  Sayward Y  Wright  Y
Bradley Y  DelMont Y  Gunther Y  Lifton  Y  Parment Y  Scarbor ER Zebrows Y
Brennan Y  DenDekk Y  Hawley  Y  Lope PD Y  Paulin  Y  Schimel Y  Mr Spkr Y
Brodsky Y  Destito Y  Hayes   Y  Lope VJ Y  Peoples ER Schimmi Y
Brook-K Y  Dinowit Y  Heastie Y  Lupardo Y  Peralta Y  Schroed Y
Burling Y  Duprey  Y  Hevesi  ER Magee   Y  Perry   ER Scozzaf Y
Butler  Y  Eddingt Y  Hikind  ER Magnare Y  Pheffer Y  Seminer ER

A09032 Memo:

BILL NUMBER:A9032

TITLE OF BILL:
An act
to amend the executive law, in relation to establishing the executive
ethics and compliance commission;
to amend the legislative law, in relation to the creation of the New
York state commission on lobbying ethics and compliance;
to amend the legislative law, in relation to establishing the
legislative
office of ethics investigation and the
joint legislative commission on ethics standards and to repeal
certain provisions of such law relating to ethics;
and to amend the public officers law, in relation to ethics reports;
to amend the legislative law and the public officers law, in relation to
financial disclosure of public officers;
to repeal certain provisions of the legislative law relating to
prohibited activities of legislative employees; and providing for the
repeal of certain provisions upon the expiration thereof

Purpose or General Idea of Bill:
This bill significantly enhances the current governmental structures
that address issues of ethics for the executive and legislative
branches as well as for lobbyists.

Summary of Specific Provisions: This bill would:

* establish a new independent State Commission on Lobbying to be known
as the "New York State Commission on Lobbying Ethics and Compliance."
This Commission would consist of six members; two of the members
would be appointed by the Governor, and one by the Temporary
President of the Senate, one by the Speaker of the Assembly, one by
the Minority Leader of the Senate and one by the Minority Leader of
the Assembly.

Members would serve four year terms commencing on the first day of
January, two thousand ten. The Chair and Vice Chair would be elected
by the majority of
members of the Commission to serve a one year term and the chair and
vice chair must be members of different political parties. Members of
the Commission would receive a per diem allowance for their services
in the sum of one hundred dollars for each day spent in the
performance of their duties to a maximum of $5,000. An Executive
Director would be appointed by a majority vote of the Commission and
would serve a three year term. The Executive Director could only be
removed for cause and by a majority vote of the Commission;

* add new language to clarify the definition of "widely attended event"
to be at least 25 people, excluding legislators and legislative
staff, and of "nominal food and beverage" to be less than ten
dollars. It would also allow transportation for local tours to be
provided by an entity that does not own the facility being toured;

* establish the "Executive Ethics and Compliance Commission" to govern
the executive branch, to replace the current Commission on Public
Integrity. The Commission would consist of six members; two each
would be appointed by the Governor, the Comptroller, and the Attorney
General. The Commission would appoint an Executive Director to a
three year term who could only be removed for cause and by a majority
vote of the Board;

* establish a "Joint Legislative Commission on Ethics Standards"
consisting of eight members to replace the current Legislative Ethics
Commission. Four members would be members of the Legislature and one
would be appointed by each of the legislative leaders. The remaining
four members would also be appointed, one each by the legislative
leaders, and could not be present or former members of the
Legislature, candidates for member of the Legislature or employees of
the Legislature. The Commission would be responsible for advisory
opinions, financial disclosures, ethics training and education, and
the imposition of penalties for violations of section 73, 73-a and 74
of the public officers law;

* establish a new "Legislative Office of Ethics Investigations"
responsible for assisting the Legislature to carry out its
investigatory and enforcement responsibilities with regard to ethical
standards and receiving referrals of complaints for investigations
from the Joint Legislative Commission on Ethics Standards, from the
Standing Committees on Ethics in the Senate and Assembly, and from
the public.
The Legislative Office of Ethics Investigations would receive
referrals and conduct investigations pursuant to procedures and
timelines set forth in the legislation;

* provide appropriate funds for the establishment of the "New York
State Commission on Lobbying Ethics and Compliance," the "Executive
Ethics and Compliance Commission," the "Joint Legislative Commission
on Ethics Standards," and the "Legislative Office of Ethics
Investigations";

* expand financial disclosure to make categories of value public, add
an additional category of value, and increase disclosure regarding
business and appearances before state agencies and consulting
services, and increase lobbying disclosure regarding business
relationships with state public officials;

* require the Committee on Open Government to prepare an annual report
summarizing the public actions of the Joint Legislative Commission on
Ethics Standards, the Legislative Office of Ethics Investigations,
the State Commission on Lobbying, the Senate and Assembly Standing
Committees on Ethics, and the Executive Ethics and Compliance
Commission.

Effects of Present Law Which This Bill Would Alter

This act amends section 94 of the executive law. Subdivisions 1-b,
1-c, 1-d, 1-e, 1-h, 1-i, and 1-j of the legislative law are amended.
Section 80 of the legislative law is repealed and two new sections 80
and 81 are added to the legislative law. A new section 89 is added to
the public officers law. Additionally, sections 73 and 73-a of the
public officers law is amended.

Justification:
On May 13, 2009, the New York State Inspector General issued a report
detailing alleged ethics violations by certain members of the
Commission on Public Integrity and former Governor Spitzer's staff.
The alleged violations arose from the Commission's investigation into
the so-called "Troopergate" scandal. Such recent events have created
a desire in the public and within the Legislature to ensure that the
ethics oversight over public officials is independent, transparent,
and accountable to the public. In addition, it has become clear that
the structure established in 2007 that joined the lobbying commission
with the body that oversees ethics compliance by executive branch
employees and gave control of that new entity to the appointees of
one office (the governor) was not as effective as the former
independent commission on lobbying.

In response, this bill seeks to create multiple bodies able to develop
expertise in the fields on which they focus and that will function
independently from the branches of government and lobbying industry
that they seek to regulate. These bodies would be charged with
different responsibilities, including compliance and oversight of the
public officers law, issuing advisory opinions to prevent ethical
lapses before they occur, investigatory powers for alleged violations
of the public officers law, enforcement of the public officers law,
and compliance and enforcement of the lobbying law.

These ethics bodies, will help to ensure that public officials carry
on their duties free from impropriety and undue external influence.
When public officials allegedly fail to behave ethically, the
structure established by this bill will ensure that the public has
access to accurate and fair information to evaluate the allegation.
The legislative ethics entities are separated into a compliance body
and an investigative body in order to remove any real or perceived
conflict for members of a body investigating the same members to whom
it is supposed to be providing advice.

The lobbying compliance body shall work to ensure the continued
disclosure of various lobbying practices and information and
compliance with the existing lobbying law.

Passage of the bill is needed to help strengthen our current ethics
laws, and by so doing help to improve compliance with the standards
of conduct, legal and ethical, to which all of New York's public
servants should be held.

Prior Legislative History:
This is new legislation.

Fiscal Implications For State and Local Governments:
The State of New York shall appropriate during each fiscal year to the
New York State Commission on Lobbying Ethics and compliance not less
than seven and one-half per centum of the appropriation available
from the General Fund to pay for the expenses of the Department of
State; it shall appropriate during each fiscal year to the Executive
Ethics and Compliance Commission not less than seven and one-half per
centum of the appropriation available to pay for the expenses of the
Department of State; it shall appropriate to the Joint Legislative
Commission on Ethics Standards and the Legislative Office of Ethics
Investigations not less than one per centum of the appropriation
available to the State Senate.

Effective Date:
January 1, 2010, provided however that Sections 1 through 11 will
expire and be deemed repealed six years after such effective date;
provided further that Sections 5-a and 15 shall take effect January
1, 2011.