A08930 Summary:

BILL NOA08930
 
SAME ASNo same as
 
SPONSORGiglio
 
COSPNSR
 
MLTSPNSR
 
Amd S107, Civ Serv L; rpld S94, Art 4-A, amd SS63, 70-a & 835, Exec L; amd S1-c, Leg L; amd S212, RWB L; amd S2350-dd, Pub Auth L; amd S2.10, rpld S2.10 sub 68, CP L; amd S92, Pub Off L; rpld Chap 989 of 1958
 
Establishes the commission on official conduct to replace the comission on public integrity and the office of the state inspector general, and the former temporary commission of investigation.
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A08930 Actions:

BILL NOA08930
 
06/16/2009referred to governmental operations
01/06/2010referred to governmental operations
04/27/2010held for consideration in governmental operations
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A08930 Floor Votes:

There are no votes for this bill in this legislative session.
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A08930 Text:



 
                STATE OF NEW YORK
        ________________________________________________________________________
 
                                          8930
 
                               2009-2010 Regular Sessions
 
                   IN ASSEMBLY
 
                                      June 16, 2009
                                       ___________
 
        Introduced by M. of A. GIGLIO -- read once and referred to the Committee
          on Governmental Operations
 
        AN  ACT  to  establish the commission on official conduct, providing for
          its powers, duties and functions, and providing for  the  transfer  of
          the  functions, powers and duties of the commission on public integri-

          ty, the office of the state inspector general and the former temporary
          state commission  of  investigation  to  the  commission  on  official
          conduct;  to  amend the civil service law, the legislative law and the
          racing, pari-mutuel wagering and breeding  law,  in  relation  to  the
          commission  on  public  integrity;  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 repeal section 94 of the executive law  relating  to
          the commission on public integrity; to repeal article 4-A of the exec-
          utive law and 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  tempo-
          rary state commission of investigation, relating thereto
 
          The  People of the State of New York, represented in Senate and Assem-
        bly, do enact as follows:
 
     1    Section 1. Short title. This act shall be known and may  be  cited  as
     2  the "commission on official conduct act".
     3    § 2. Definitions. As used in this act, the following terms shall mean:
     4    (a)  "Commission" means the commission on official conduct established
     5  by section three of this act.
     6    (b) "Executive director" means the executive director of  the  commis-
     7  sion, appointed pursuant to section four of this act.
     8    (c) "Covered agency" means all executive branch agencies, departments,
     9  divisions,  officers,  boards and commissions, public authorities (other

    10  than multi-state  or  multi-national  authorities)  and  public  benefit
 
         EXPLANATION--Matter in italics (underscored) is new; matter in brackets
                              [ ] is old law to be omitted.
                                                                   LBD10838-02-9

        A. 8930                             2
 
     1  corporations,  the  heads  of  which  are appointed by the governor, and
     2  which do not have their own inspector general by statute.
     3    §  3. Commission on official conduct; established. (a) There is hereby
     4  established, as an independent state agency, the commission on  official
     5  conduct. The commission shall consist of 5 members appointed as follows:
     6    (1)  one  member appointed by the chief judge of the court of appeals,
     7  who shall serve as the chair of the commission;

     8    (2) one member appointed by the presiding  justice  of  the  appellate
     9  division in the first department;
    10    (3)  one  member  appointed  by the presiding justice of the appellate
    11  division in the second department;
    12    (4) one member appointed by the presiding  justice  of  the  appellate
    13  division in the third department; and
    14    (5)  one  member  appointed  by the presiding justice of the appellate
    15  division in the fourth department.
    16    (b) Each member of the commission  shall  serve  a  term  of  5  years
    17  commencing  on  the  first  of January of the calendar year in which the
    18  vacancy in such office occurs; provided, however, that for  the  members
    19  initially  appointed  as  members, the member appointed by the presiding
    20  justice in the fourth department shall serve  a  term  of  1  year,  the
    21  member appointed by the presiding justice in the second department shall

    22  serve  a  term of 2 years, the member appointed by the presiding justice
    23  in the third department shall serve  a  term  of  3  years,  the  member
    24  appointed by the presiding justice in the first department shall serve a
    25  term of 4 years and the member appointed by the chief judge of the court
    26  of appeals shall serve a term of 5 years.
    27    Any  vacancy  occurring  in  the membership of the commission shall be
    28  filled within 60 days of its occurrence in the same manner as the member
    29  whose vacancy is being filled was appointed. A person appointed to  fill
    30  a  vacancy  occurring other than by expiration of a term of office shall
    31  be appointed to the unexpired term of the member he or she replaces.
    32    (c) Four members of the commission shall constitute a quorum, and  the
    33  commission  shall have power to act by majority vote of the total number
    34  of members of the commission without vacancy.

    35    (d) The members of the commission shall receive  no  compensation  for
    36  their services, but shall be allowed their actual and necessary expenses
    37  incurred in the performance of their duties pursuant to this act.
    38    (e) Members of the commission may be removed by the chief judge of the
    39  court  of  appeals  for substantial neglect of duty, gross misconduct in
    40  office, inability to discharge  the  powers  and  duties  of  office  or
    41  violation of the provisions of this act, after written notice and oppor-
    42  tunity to be heard by the court of appeals.
    43    §  4.  Executive  director and staff. (a) The commission shall appoint
    44  and employ an executive director who shall serve a term of 6 years.  Any
    45  vacancy  in  the  office of executive director shall be filled within 10
    46  days of its occurrence. A  person appointed to fill  a  vacancy  in  the

    47  office  of  executive  director  occurring other than by expiration of a
    48  term of office shall be appointed to the unexpired term of the executive
    49  director he or she replaces.
    50    (b) The executive director shall act in accordance with the  policies,
    51  rules and regulations of the commission. He or she shall act in the name
    52  of  the  commission  pursuant  to  the  specific powers delegated by the
    53  commission to the office of executive director.
    54    (c) The commission shall appoint  and  employ  such  other  staff  and
    55  investigators  as  shall be necessary to carry out its powers and duties
    56  pursuant to this act.

        A. 8930                             3
 
     1    (d) The executive director, staff members  and  investigators  may  be
     2  removed by the commission for substantial neglect of duty, gross miscon-

     3  duct  in  office,  inability to perform their duties or violation of the
     4  provisions of this act, after  written  notice  and  opportunity  to  be
     5  heard.
     6    §  5.  Powers and duties. The commission shall have the power and duty
     7  to:
     8    (a) fix the compensation of the executive director, staff members  and
     9  investigators;
    10    (b)  request  and receive, and shall utilize and be provided with such
    11  facilities, resources and  data  of  any  court,  department,  division,
    12  board, bureau, commission or agency of the state or any political subdi-
    13  vision  thereof,  or  of  any  public authority or public benefit corpo-
    14  ration, as it may reasonably request to properly carry  out  its  powers
    15  and duties pursuant to this act;
    16    (c)  adopt,  amend  and  rescind  rules  and regulations to govern the
    17  procedures of the commission and to implement  the  provisions  of  this
    18  act;

    19    (d)  adopt, amend and rescind rules and regulations to assist appoint-
    20  ing authorities in determining which persons  hold  policy-making  posi-
    21  tions for the purposes of section 73-a of the public officers law;
    22    (e) make available forms for annual statements of financial disclosure
    23  required  to  be  filed  pursuant to section 73-a of the public officers
    24  law;
    25    (f) review financial disclosure statements filed pursuant  to  section
    26  73-a of the public officers law;
    27    (g)   receive   and  investigate  complaints  and  referrals  alleging
    28  violations of section 73, 73-a or 74 of the public officers law, article
    29  1-A of the legislative law, or section 107 of the civil service law;
    30    (h) permit any person required to file a financial  disclosure  state-
    31  ment  pursuant to section 73-a of the public officers law to delete from

    32  the copy thereof made available for public inspection  such  information
    33  as  shall  be determined by the commission will have no material bearing
    34  on the discharge of the reporting person's official duties;
    35    (i) grant any person required to file a financial disclosure statement
    36  pursuant to section 73-a of the public officers law, an additional peri-
    37  od of time within which to file such statement due to justifiable  cause
    38  or undue hardship;
    39    (j)  permit  any person required to file a financial disclosure state-
    40  ment pursuant to section 73-a of the public officers law to delete  such
    41  information pertaining to such person's spouse or unemancipated children
    42  as shall be found by the commission will have no material bearing on the
    43  discharge of the reporting person's official duties;
    44    (k) advise and assist any state agency in establishing rules and regu-

    45  lations  relating  to  possible  conflicts between private interests and
    46  official duties of present and former state officers and employees;
    47    (l) permit any person who has  not  been  determined  by  his  or  her
    48  appointing authority to hold a policy-making position, but who is other-
    49  wise required to file a financial disclosure statement, to be granted an
    50  exemption from such filing requirement. The commission may grant such an
    51  exemption  where the public interest does not require disclosure and the
    52  applicant's duties do not involve negotiation, authorization or approval
    53  of:
    54    (1) contracts, leases, franchises,  revocable  consents,  concessions,
    55  variances,  special  permits or licenses as defined in section 73 of the
    56  public officers law,

        A. 8930                             4
 

     1    (2) the purchase, sale, rental or lease of  real  property,  goods  or
     2  services, or a contract therefor,
     3    (3) the obtaining of grants of money or loans, or
     4    (4)  the adoption or repeal of any rule or regulation having the force
     5  and effect of law;
     6    (m) determine questions common to  a  class  or  defined  category  of
     7  persons or items of information required to be disclosed, where determi-
     8  nation  of  the  question  will prevent undue repetition of requests for
     9  exemption or deletion, or prevent undue complication in  complying  with
    10  the provisions of this act;
    11    (n)  upon written request from a person subject to the requirements of
    12  section 73, 73-a or 74 of the public officers law,  render  an  advisory
    13  opinion on the requirements of such provisions;
    14    (o) promulgate rules concerning restrictions on outside activities and

    15  limitations or the receipt of gifts and honoraria;
    16    (p)  conduct  training  programs,  in  cooperation with the governor's
    17  office of employee relations, to provide instruction to persons  subject
    18  to its jurisdiction;
    19    (q) administer and enforce all provisions of this act;
    20    (r) conduct any investigation necessary to carry out the provisions of
    21  this act;
    22    (s)  receive  and  investigate complaints from any source, or upon its
    23  own initiative, concerning allegations of  corruption,  fraud,  criminal
    24  activity, conflicts of interest or abuse in any covered agency;
    25    (t)  inform  the heads of covered agencies of such allegations and the
    26  progress of investigations related thereto, unless special circumstances
    27  require confidentiality;
    28    (u) determine with respect to such  allegations  whether  disciplinary

    29  action,  civil  or  criminal prosecution, or further investigation by an
    30  appropriate federal, state or local agency is warranted, and  to  assist
    31  in such investigations;
    32    (v) prepare and release to the public written reports of such investi-
    33  gations,  as  appropriate and to the extent permitted by law, subject to
    34  redaction to protect the confidentiality of witnesses.  The  release  of
    35  all or portions of such reports may be deferred to protect the confiden-
    36  tiality of ongoing investigations;
    37    (w)  review  and  examine  periodically the policies and procedures of
    38  covered  agencies  with  regard  to  the  prevention  and  detection  of
    39  corruption, fraud, criminal activity, conflicts of interest or abuse;
    40    (x) recommend remedial acts to prevent or eliminate corruption, fraud,
    41  criminal activity, conflicts of interest or abuse in covered agencies;

    42    (y)  establish  programs  for  training  state  officers and employees
    43  regarding the prevention and elimination of corruption, fraud,  criminal
    44  activity, conflicts of interest or abuse in covered agencies;
    45    (z) subpoena and enforce the attendance of witnesses;
    46    (aa)  administer  oaths  or  affirmations  and examine witnesses under
    47  oath;
    48    (bb) require the production of any books and papers deemed relevant or
    49  material to any investigation, examination or review;
    50    (cc) examine and copy or remove  documents  or  records  of  any  kind
    51  prepared, maintained or held by any covered agency;
    52    (dd)  require  any  officer  or employee in a covered agency to answer
    53  questions concerning any matter related to the performance of his or her
    54  official duties. No statement or other evidence derived therefrom may be
    55  used against such officer or employee in any subsequent criminal  prose-

    56  cution  other  than for perjury or contempt arising from such testimony.

        A. 8930                             5
 
     1  The refusal of any officer or employee  to  answer  questions  shall  be
     2  cause for removal from office or employment, or other appropriate penal-
     3  ty;
     4    (ee) monitor the implementation by covered agencies of any recommenda-
     5  tions made by the commission;
     6    (ff)  perform any other functions that are necessary or appropriate to
     7  fulfill the provisions of this act;
     8    (gg) conduct investigations in connection with:
     9    (1) the faithful execution and enforcement of the laws of  the  state,
    10  with  particular reference but not limited to organized crime and racke-
    11  teering,
    12    (2) the conduct of public officers and public employees, and of  offi-
    13  cers  and  employees  of public benefit corporations and public authori-

    14  ties, and
    15    (3) any matter concerning the public peace, public safety  and  public
    16  justice;
    17    (hh)  at  the  direction  of  the governor, conduct investigations and
    18  otherwise assist the governor in connection with:
    19    (1) the removal of public officers by the governor,
    20    (2) the making of recommendations by the governor to any other  person
    21  or body, with respect to the removal of public officers, and
    22    (3)  the  making of recommendations by the governor to the legislature
    23  with respect to changes in or additions to existing  provisions  of  law
    24  required for the more effective enforcement of the law;
    25    (ii)  at  the  direction or request of the governor or the head of any
    26  department, board, bureau, commission or  other  agency  of  the  state,
    27  investigate  the  management  or  affairs of any such department, board,
    28  bureau, commission or other agency;

    29    (jj) upon the request of district attorneys and other law  enforcement
    30  officers,  cooperate  with, advise and assist them in the performance of
    31  their official powers and duties;
    32    (kk) cooperate with departments and  officers  of  the  United  States
    33  government in the investigation of violations of the federal laws within
    34  this state;
    35    (ll) examine into matters relating to law enforcement extending across
    36  the  boundaries  of  the  state  into  other states, and may consult and
    37  exchange information with officers and agencies  of  other  states  with
    38  respect  to law enforcement problems of mutual concern to this and other
    39  states;
    40    (mm) whenever it shall appear to the commission that  there  is  cause
    41  for  the  prosecution for a crime or for the removal of a public officer
    42  for misconduct, refer the evidence of such crime or  misconduct  to  the

    43  officials  authorized to conduct the prosecution or to remove the public
    44  officer;
    45    (nn) keep the public informed as to the operations of organized  crime
    46  and problems of law enforcement in the state; and
    47    (oo)  exercise  any  and all powers of the former commission on public
    48  integrity and the former office of the state inspector general  as  they
    49  existed  immediately  prior to the effective date of this act, and exer-
    50  cise any and all powers of the  former  temporary  state  commission  of
    51  investigation as they existed on March 30, 2009.
    52    § 6. Financial disclosure. (a) The commission shall inspect all finan-
    53  cial disclosure statements filed with the commission to ascertain wheth-
    54  er  any  person subject to the reporting requirements of section 73-a of
    55  the public officers law has failed to file such a statement, has filed a


        A. 8930                             6
 
     1  deficient statement or has filed a statement which  reveals  a  possible
     2  violation of section 73, 73-a or 74 of the public officers law.
     3    (b) If a person required to file a financial disclosure statement with
     4  the  commission has failed to file a disclosure statement or has filed a
     5  deficient statement, the commission shall notify the reporting person in
     6  writing, state the failure to file or detail the deficiency, provide the
     7  person with a fifteen day period to cure the deficiency, and advise  the
     8  person  of  the  penalties  for  failure  to  comply  with the reporting
     9  requirements. Such notice shall be confidential. If the person fails  to
    10  make  such  filing  or fails to cure the deficiency within the specified
    11  time period, the commission shall send a notice of delinquency:  (1)  to

    12  the  reporting  person; (2) in the case of a statewide elected official,
    13  to the temporary president of the senate and the speaker of  the  assem-
    14  bly; and (3) in the case of a state officer or employee, to the appoint-
    15  ing authority for such person. Such notice of delinquency may be sent at
    16  any  time  during  the reporting person's service as a statewide elected
    17  official, state officer or employee, political party chair  or  while  a
    18  candidate  for statewide office, or within one year after termination of
    19  such service or candidacy. The  jurisdiction  of  the  commission,  when
    20  acting  pursuant  to  subdivision  (d)  of  this section with respect to
    21  financial disclosure, shall continue notwithstanding that the  reporting
    22  person  separates  from  state  service,  or  ceases to hold office as a
    23  statewide elected official or political party chair, or ceases to  be  a

    24  candidate,  provided  the commission notifies such person of the alleged
    25  failure to file or deficient filing pursuant to this subdivision.
    26    (c)(1) If  the  commission  receives  a  sworn  complaint  alleging  a
    27  violation  of section 73, 73-a or 74 of the public officers law, section
    28  107 of the civil service law or article 1-A of the legislative law by  a
    29  person  or entity subject to the jurisdiction of the commission, or if a
    30  reporting individual has filed a  statement  which  reveals  a  possible
    31  violation  of  these  provisions, or if the commission determines on its
    32  own initiative to investigate a possible violation, the commission shall
    33  notify the individual in  writing,  describe  the  possible  or  alleged
    34  violation  of such laws and provide the person with a fifteen day period
    35  in which to submit a written response setting forth information relating

    36  to the activities cited as a possible or alleged violation  of  law.  If
    37  the  commission thereafter makes a determination that further inquiry is
    38  justified, it shall give the individual an opportunity to be heard.  The
    39  commission  shall  also inform the individual of its rules regarding the
    40  conduct of adjudicatory proceedings and  appeals  and  the  due  process
    41  procedural  mechanisms  available  to such individual. If the commission
    42  determines at any stage of the proceeding that there is no violation  or
    43  that any potential conflict of interest violation has been rectified, it
    44  shall  so  advise the individual and the complainant, if any. All of the
    45  foregoing proceedings shall be confidential.
    46    (2) If the commission determines that there  is  reasonable  cause  to
    47  believe that a violation has occurred, it shall send a notice of reason-

    48  able cause: (i) to the reporting person; (ii) to the complainant if any;
    49  (iii)  in  the  case  of  a statewide elected official, to the temporary
    50  president of the senate and the speaker of the assembly; and (iv) in the
    51  case of a state officer or employee, to  the  appointing  authority  for
    52  such person.
    53    (3)  The  jurisdiction  of the commission when acting pursuant to this
    54  act shall continue notwithstanding that a statewide elected official  or
    55  a state officer or employee separates from state service, or a political
    56  party  chair  ceases  to hold such office, or a candidate ceases to be a

        A. 8930                             7
 
     1  candidate, or a lobbyist or client of a lobbyist ceases to act as  such,
     2  provided  that  the commission notifies such individual or entity of the
     3  alleged violation of law pursuant to paragraph one of  this  subdivision

     4  within  one year from his or her separation from state service or his or
     5  her termination of party service or candidacy, or from his, her  or  its
     6  last  report filed pursuant to article 1-A of the legislative law. Noth-
     7  ing in this section shall serve to limit the jurisdiction of the commis-
     8  sion in enforcement of subdivision 8 of section 73 of the  public  offi-
     9  cers law.
    10    (d)  An  individual  subject to the jurisdiction of the commission who
    11  knowingly and intentionally violates the provisions  of  subdivisions  2
    12  through  5,  7, 8, 12 or 14 through 17 of section 73 of the public offi-
    13  cers law, section 107 of the civil service law, or a reporting  individ-
    14  ual  who  knowingly  and  wilfully  fails to file an annual statement of
    15  financial disclosure or  who  knowingly  and  wilfully  with  intent  to
    16  deceive makes a false statement or fraudulent omission or gives informa-

    17  tion which such individual knows to be false on such statement of finan-
    18  cial  disclosure  filed  pursuant to section 73-a of the public officers
    19  law shall be subject to a civil penalty  in  an  amount  not  to  exceed
    20  $40,000 and the value of any gift, compensation or benefit received as a
    21  result  of such violation. An individual who knowingly and intentionally
    22  violates the provisions of paragraph b, c, d or i of  subdivision  3  of
    23  section 74 of the public officers law shall be subject to a civil penal-
    24  ty in an amount not to exceed $10,000 and the value of any gift, compen-
    25  sation  or benefit received as a result of such violation. An individual
    26  who knowingly and intentionally violates the provisions of paragraph  a,
    27  e  or  g of subdivision 3 of section 74 of the public officers law shall
    28  be subject to a civil penalty in an amount not to exceed  the  value  of

    29  any  gift,  compensation  or  benefit  received  as  a  result  of  such
    30  violation. An individual subject to the jurisdiction of  the  commission
    31  who  knowingly and willfully violates article 1-A of the legislative law
    32  shall be subject to civil penalty  as  provided  for  in  that  article.
    33  Assessment  of a civil penalty pursuant to this section shall be made by
    34  the commission with respect to persons subject to its  jurisdiction.  In
    35  assessing  the  amount of the civil penalties to be imposed, the commis-
    36  sion shall consider the seriousness of the violation, the amount of gain
    37  to the individual and whether the individual previously had any civil or
    38  criminal penalties imposed pursuant  to  this  section,  and  any  other
    39  factors the commission deems appropriate. For a violation of this subdi-
    40  vision,  other than for conduct which constitutes a violation of section

    41  107 of the civil service law,  subdivisions  12  or  14  through  17  of
    42  section  73  or  section 74 of the public officers law or article 1-A of
    43  the legislative law, the commission may, in lieu  of  a  civil  penalty,
    44  refer   a   violation  to  the  appropriate  prosecutor  and  upon  such
    45  conviction, such violation shall be punishable as a class A misdemeanor.
    46  A civil penalty for false filing may not be  imposed  pursuant  to  this
    47  section in the event a category of "value" or "amount" reported pursuant
    48  to this section is incorrect unless such reported information is falsely
    49  understated. Notwithstanding any other provision of law to the contrary,
    50  no  other  penalty,  civil  or  criminal may be imposed for a failure to
    51  file, or for a false filing,  of  such  statement,  or  a  violation  of
    52  section  73  of  the  public  officers  law,  except that the appointing

    53  authority may impose disciplinary action as otherwise provided  by  law.
    54  The  commission  may  refer violations of this section to the appointing
    55  authority for disciplinary action as  otherwise  provided  by  law.  The
    56  commission shall be deemed to be an agency within the meaning of article

        A. 8930                             8
 
     1  3  of  the  state  administrative  procedure  act  and shall adopt rules
     2  governing the conduct of  adjudicatory  proceedings  and  appeals  taken
     3  pursuant  to  a proceeding commenced under article 78 of the civil prac-
     4  tice  law  and  rules  relating to the assessment of the civil penalties
     5  authorized by this subdivision and commission denials  of  requests  for
     6  certain  deletions  or exemptions to be made from a financial disclosure
     7  statement as authorized by this act. Such  rules,  which  shall  not  be

     8  subject  to the approval requirements of the state administrative proce-
     9  dure act, shall provide for due process procedural  mechanisms  substan-
    10  tially  similar to those set forth in article 3 of the state administra-
    11  tive procedure act but such mechanisms need not be identical in terms or
    12  scope. Assessment of a civil penalty or  commission  denial  of  such  a
    13  request  shall  be  final  unless  modified, suspended or vacated within
    14  thirty days of imposition, with respect to the assessment of such penal-
    15  ty, or unless such denial of request is reversed within such time  peri-
    16  od,  and  upon becoming final shall be subject to review at the instance
    17  of the affected reporting individuals in a proceeding commenced  against
    18  the  commission,  pursuant  to  article 78 of the civil practice law and
    19  rules.
    20    (e) If the commission has a  reasonable  basis  to  believe  that  any

    21  person  subject to the jurisdiction of the legislative ethics commission
    22  may have violated any provisions of section 73 or 74 of the public offi-
    23  cers law, it may refer such violation to the legislative ethics  commis-
    24  sion.   The referral by the commission to the legislative ethics commis-
    25  sion shall include any information  relating  thereto  coming  into  the
    26  custody  or  under  the  control  of the commission at any time prior or
    27  subsequent to the time of the referral.
    28    (f) A copy of any notice of delinquency or notice of reasonable  cause
    29  sent  pursuant  to  subdivisions  (b)  and  (c) of this section shall be
    30  included in the reporting person's file  and  be  available  for  public
    31  inspection and copying.
    32    §  7. Website. Within one hundred twenty days of the effective date of
    33  this section, the commission shall  create  and  thereafter  maintain  a

    34  publicly  accessible  website  which  shall  set forth the procedure for
    35  filing a complaint with the commission,  and  which  shall  contain  the
    36  documents  identified in section eight of this act, other than financial
    37  disclosure statements, and any other records or  information  which  the
    38  commission determines to be appropriate.
    39    §  8. Public access to records.  (a) Notwithstanding the provisions of
    40  article 6 of the public officers law, the only records of the commission
    41  which shall be available for public inspection and copying are:
    42    (1) the information set forth in  an  annual  statement  of  financial
    43  disclosure  filed  pursuant  to  section 73-a of the public officers law
    44  except the categories of value or amount, which shall  remain  confiden-
    45  tial, and any other item of information deleted pursuant to this act;

    46    (2)  notices  of delinquency sent under subdivision (b) of section six
    47  of this act;
    48    (3) notices of reasonable cause sent under paragraph two  of  subdivi-
    49  sion (c) of section six of this act;
    50    (4)  notices  of  civil assessments imposed under this act which shall
    51  include a description of the  nature  of  the  alleged  wrongdoing,  the
    52  procedural  history  of  the  complaint, the findings and determinations
    53  made by the commission, and any sanction imposed;
    54    (5) the terms of any settlement or compromise of a complaint or refer-
    55  ral which includes a fine, penalty or other remedy; and

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     1    (6) those required to be held or maintained publicly available  pursu-
     2  ant to article 1-A of the legislative law.
     3    (b)  Pending  any application for deletion or exemption to the commis-

     4  sion, all information which is the subject or a part of the  application
     5  shall  remain confidential. Upon an adverse determination by the commis-
     6  sion, the reporting individual may request, and upon  such  request  the
     7  commission  shall  provide, that any information which is the subject or
     8  part of the application remain confidential for a period of thirty  days
     9  following  notice of such determination. In the event that the reporting
    10  individual resigns his or her office and holds no other  office  subject
    11  to the jurisdiction of the commission, the information shall not be made
    12  public and shall be expunged in its entirety.
    13    §  9. Responsibilities of covered agencies, state officers and employ-
    14  ees. (a) Every state officer or  employee  in  a  covered  agency  shall
    15  report promptly to the commission any information concerning corruption,

    16  fraud,  criminal  activity,  conflicts  of  interest or abuse by another
    17  state officer or employee relating to his or her office  or  employment,
    18  or  by  a person having business dealings with a covered agency relating
    19  to those dealings. The knowing failure of any officer or employee to  so
    20  report  shall  be  cause  for removal from office or employment or other
    21  appropriate penalty. Any officer or employee who acts pursuant  to  this
    22  subdivision  by reporting to the commission improper governmental action
    23  as defined in section 75-b of the civil service law shall not be subject
    24  to dismissal, discipline or other adverse personnel action.
    25    (b) The head of any covered agency shall advise  the  governor  within
    26  ninety  days  of  the  issuance  of a report by the commission as to the
    27  remedial action that the agency has taken in response to any recommenda-

    28  tion for such action contained in such report.
    29    § 10. Confidentiality. Any person conducting or participating  in  any
    30  examination or investigation who shall disclose to any person other than
    31  the  commission or an officer having the power to appoint one or more of
    32  the commissioners the name of any witness examined, or  any  information
    33  obtained  or  given  upon  such  examination or investigation, except as
    34  directed by the commission, shall be guilty of a misdemeanor.
    35    § 11. Evidence to be impounded. Upon the application  of  the  commis-
    36  sion,  the  executive director or a duly authorized member of its staff,
    37  the supreme court or a justice thereof may impound any exhibit marked in
    38  evidence in any public or private hearing held  in  connection  with  an
    39  investigation conducted by the commission, and may order such exhibit to

    40  be  retained  by,  or  delivered  to  and  placed in the custody of, the
    41  commission. When so impounded such exhibit shall not be taken  from  the
    42  custody  of  the commission, except upon further order of the court or a
    43  justice thereof made upon five days notice to the commission or upon its
    44  application or with its consent.
    45    § 12. Immunity from  prosecution.  In  any  investigation  or  hearing
    46  conducted  by the commission pursuant to this act, relating to any crime
    47  or offense with respect to which, by express  provision  of  statute,  a
    48  competent authority is authorized to confer immunity; the commission may
    49  confer  immunity  in  accordance with the provisions of section 50.20 of
    50  the criminal procedure law, but only after affording the attorney gener-
    51  al and the appropriate district attorney the opportunity to be heard  in

    52  respect  to  any  objections which they may have to the granting of such
    53  immunity.
    54    § 13. Transfer of functions, powers and duties. All functions, powers,
    55  duties and obligations of the former commission on public integrity  and

        A. 8930                            10
 
     1  the  former office of the state inspector general are hereby transferred
     2  to the commission.
     3    § 14. Transfer of employees. (a) Upon transfer of the functions of the
     4  former commission on public integrity and the former office of the state
     5  inspector  general  to  the commission, provisions shall be made for the
     6  transfer to the commission of those employees of  such  former  agencies
     7  who  were  engaged in carrying out the functions transferred by this act
     8  in accordance with section 70 of the civil service  law  or,  where  not

     9  subject  to  the  civil  service  law, the provisions of such section 70
    10  shall be deemed applicable, except where the  context  clearly  requires
    11  otherwise.  Any  such  employee who, at the time of such transfer, has a
    12  temporary or provisional appointment shall be transferred subject to the
    13  same right of removal, examination or termination as though such  trans-
    14  fer had not been made except to the extent such rights are modified by a
    15  collective  bargaining  agreement.  Employees holding permanent appoint-
    16  ments in competitive class positions who are not transferred pursuant to
    17  this  section  shall  have  their  names  entered  upon  an  appropriate
    18  preferred list for reinstatement pursuant to the civil service law.
    19    (b)  A  transferred  employee  shall  remain  in  the  same collective
    20  bargaining unit as was the case prior to his or her transfer;  successor

    21  employees  to  the  positions  held by such transferred employees shall,
    22  consistent with the provisions of article 14 of the civil  service  law,
    23  be included in the same unit as their predecessors. Employees other than
    24  management  or  confidential  persons  (as  defined in article 14 of the
    25  civil service law), serving positions in newly created titles  shall  be
    26  assigned  to  the appropriate bargaining unit. Nothing contained in this
    27  section shall be construed to affect:
    28    (1) the rights of employees pursuant to a collective bargaining agree-
    29  ment;
    30    (2) the representational relationships among employee organizations or
    31  the bargaining relationships between the state and an employee organiza-
    32  tion; or
    33    (3) existing law with respect to an application to the public  employ-
    34  ment relations board, provided, however, that the merger of such negoti-

    35  ating  units of employees shall be effected only with the consent of the
    36  recognized and certified representative of such units and of the depart-
    37  ment of law.
    38    § 15. Transfer of records. All  books,  papers  and  property  of  the
    39  former commission on public integrity and the former office of the state
    40  inspector  general  are  to be delivered to the commission at such place
    41  and time, and in such manner as the commission shall require.
    42    § 16. Continuity of authority. For the purpose of  succession  to  all
    43  functions,  powers,  duties  and obligations of the former commission on
    44  public integrity and the former office of the  state  inspector  general
    45  transferred  to  and  assumed  by  the commission, such commission shall
    46  continue the operation thereof as if performed by such former agencies.
    47    § 17. Completion of unfinished business. Any business or other  matter

    48  undertaken or commenced by the former commission on public integrity and
    49  the  former  office  of  the  state  inspector  general pertaining to or
    50  connected with the functions, powers, duties and obligations transferred
    51  and assigned to the commission and pending on the effective date of this
    52  section shall be conducted and completed by the commission in  the  same
    53  manner  and under the same terms and conditions and with the same effect
    54  as if conducted and completed by such former agencies.
    55    § 18. Continuation of rules and regulations. All  rules,  regulations,
    56  acts,  orders,  determinations and decisions of the former commission on

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     1  public integrity and the former office of the state inspector general in
     2  force at the time of such transfer and  assumption,  shall  continue  in

     3  force and effect as rules, regulations, acts, orders, determinations and
     4  decisions of the commission until duly modified or abrogated.
     5    § 19. Terms occurring in laws, contracts and other documents. Whenever
     6  the  former  commission  on public integrity or the former office of the
     7  state inspector general  is  referred  to  or  designated  in  any  law,
     8  contract  or  document  pertaining to the functions, powers, obligations
     9  and duties transferred and assigned pursuant to this act, such reference
    10  or designation shall be deemed to refer to the commission.
    11    § 20. Existing rights and remedies preserved.  No  existing  right  or
    12  remedy of any character shall be lost, impaired or affected by reason of
    13  any transfer or assignment pursuant to this act.
    14    §  21. Pending actions or proceedings. No action or proceeding pending

    15  upon the effective date of  this  section  relating  to  the  functions,
    16  powers  and  duties of the former commission on public integrity and the
    17  former office of the state inspector general transferred to the  commis-
    18  sion, brought by or against any such former agency, shall be affected by
    19  any provision of this act, but the same may be prosecuted or defended in
    20  the  name  of  the  commission. In all such actions and proceedings, the
    21  commission, upon application to the court, shall  be  substituted  as  a
    22  party.
    23    §  22.  Transfer  of  appropriations  heretofore  made. Subject to the
    24  approval of the director of the division of the  budget,  all  appropri-
    25  ations  and reappropriations heretofore made to the former commission on
    26  public integrity and the former office of the  state  inspector  general
    27  for  the  purposes and functions transferred pursuant to this act to the

    28  commission, to  the  extent  of  remaining  unexpended  or  unencumbered
    29  balance thereof, whether allocated or unallocated, and whether obligated
    30  or unobligated, are hereby transferred to and made available for use and
    31  expenditure by the commission for the same purposes for which originally
    32  appropriated  or  reappropriated and shall be payable on vouchers certi-
    33  fied or approved by the executive director on audit and warrant  of  the
    34  comptroller. Payments for liabilities for expenses of personal services,
    35  maintenance  and  operation  heretofore  incurred by and for liabilities
    36  incurred and to be incurred in completing  the  affairs  of  the  former
    37  commission  on  public  integrity  and  the  former  office of the state
    38  inspector general with respect  to  the  powers,  duties  and  functions
    39  transferred  in this act, shall also be made on vouchers or certificates

    40  approved by the executive director on audit and  warrant  of  the  comp-
    41  troller.
    42    §  23. Transfer of assets and liabilities.  All assets and liabilities
    43  of the former commission on public integrity and the  former  office  of
    44  the state inspector general are hereby transferred to and assumed by the
    45  commission.
    46    §  24.  The  commission is hereby directed to immediately take any and
    47  all actions necessary to enable it to  assume  all  powers,  duties  and
    48  functions  of  the  former  commission  on  public integrity, the former
    49  office of the state inspector general and  the  former  temporary  state
    50  commission of investigation within 90 days of the effective date of this
    51  act.
    52    §  25.  Subdivision  5  of  section  107  of the civil service law, as
    53  amended by chapter 14 of the  laws  of  2007,  is  amended  to  read  as
    54  follows:

    55    5.  Violation of this section. Complaints alleging a violation of this
    56  section by a statewide elected official or a state officer or  employee,

        A. 8930                            12
 
     1  as  defined  in section seventy-three of the public officers law, may be
     2  directed to the commission on [public integrity] official conduct.
     3    § 26. Section 94 of the executive law is REPEALED.
     4    §  27.  Subdivision  (f)  of  section  1-c  of the legislative law, as
     5  amended by chapter 14 of the  laws  of  2007,  is  amended  to  read  as
     6  follows:
     7    (f)  The term "commission" shall mean the commission on [public integ-
     8  rity created by section  ninety-four  of  the  executive  law]  official
     9  conduct.

    10    § 28. Subdivision 3 of section 212 of the racing, pari-mutuel wagering
    11  and  breeding  law,  as  amended  by  chapter 18 of the laws of 2008, is
    12  amended to read as follows:
    13    3. Such members, except as otherwise provided by law,  may  engage  in
    14  private or public employment, or in a profession or business. The board,
    15  its  members,  officers and employees shall be subject to the provisions
    16  of sections seventy-three and seventy-four of the public  officers  law.
    17  No former trustee or officer of a non-profit racing association known as
    18  The  New  York  Racing  Association, Inc. or its predecessor, no current
    19  director or officer of a franchised corporation or any individual regis-
    20  tered with the [New York]  commission  on  [public  integrity]  official
    21  conduct  shall be appointed as members to the board nor shall any member

    22  of the board have any direct or  indirect  interest  in  any  racehorse,
    23  thoroughbred  racing  or  pari-mutuel  wagering  business, video lottery
    24  terminal facility or any development at any racing facility.
    25    § 29. Article 4-A of the executive law is REPEALED.
    26    § 30. Subdivision 3 of section 63 of the executive law, as amended  by
    27  chapter 766 of the laws of 2005, is amended to read as follows:
    28    3.  Upon  request  of  the  governor, comptroller, secretary of state,
    29  commissioner of transportation, superintendent of insurance, superinten-
    30  dent of banks, commissioner of taxation  and  finance,  commissioner  of
    31  motor  vehicles, or the [state inspector general] commission on official
    32  conduct, or the head of any other  department,  authority,  division  or
    33  agency  of the state, investigate the alleged commission of any indicta-

    34  ble offense or offenses in violation of the law which the officer making
    35  the request is especially required to execute  or  in  relation  to  any
    36  matters  connected  with such department, and to prosecute the person or
    37  persons believed to have committed the same and  any  crime  or  offense
    38  arising  out of such investigation or prosecution or both, including but
    39  not limited to appearing before and presenting all  such  matters  to  a
    40  grand jury.
    41    § 31. Section 2350-dd of the public authorities law, as added by chap-
    42  ter 762 of the laws of 2005, is amended to read as follows:
    43    §  2350-dd.  Jurisdiction  of  [state inspector general] commission on
    44  official conduct. The agency is  subject  to  the  jurisdiction  of  the
    45  [office of the state inspector general] commission on official conduct.

    46    §  32. Subdivision 3 of section 2.10 of the criminal procedure law, as
    47  added by chapter 843 of the laws of 1980, is amended to read as follows:
    48    3. [Investigators] The executive director  and  investigators  of  the
    49  [office of the state] commission [of investigation] on official conduct.
    50    § 33. Subdivision 68 of section 2.10 of the criminal procedure law, as
    51  added by chapter 168 of the laws of 2000, is REPEALED.
    52    §  34. Subdivision 3 of section 70-a of the executive law, as added by
    53  chapter 1003 of the laws of 1970, is amended to read as follows:
    54    3. The deputy attorney general in charge of the organized  crime  task
    55  force  may  request and shall receive from the division of state police,
    56  the state department of taxation and finance, the  state  department  of


        A. 8930                            13
 
     1  labor,  the  [temporary state] commission [of investigation] on official
     2  conduct, and from every department, division, board, bureau,  commission
     3  or  other  agency of the state, or of any political subdivision thereof,
     4  cooperation and assistance in the performance of his duties. Such deputy
     5  attorney  general  may  provide  technical  and  other assistance to any
     6  district attorney or other local  law  enforcement  official  requesting
     7  such  assistance  in the investigation or prosecution of organized crime
     8  cases.
     9    § 35. Subdivision 9 of section 835 of the executive law, as amended by
    10  chapter 602 of the laws of 2008, is amended to read as follows:
    11    9. "Qualified agencies" means courts in the unified court system,  the

    12  administrative  board of the judicial conference, probation departments,
    13  sheriffs' offices, district attorneys' offices, the state department  of
    14  correctional  services,  the state division of probation, the department
    15  of correction of any municipality, the insurance frauds  bureau  of  the
    16  state  department  of  insurance,  the  office  of  professional medical
    17  conduct of the state department of health for the  purposes  of  section
    18  two  hundred  thirty  of  the  public  health  law, the child protective
    19  services unit of a local social services  district  when  conducting  an
    20  investigation  pursuant to subdivision six of section four hundred twen-
    21  ty-four of the social services law, the  office  of  Medicaid  inspector
    22  general, the [temporary state] commission [of investigation] on official

    23  conduct,  the  criminal investigations bureau of the banking department,
    24  police forces and departments having responsibility for  enforcement  of
    25  the  general  criminal  laws of the state and the Onondaga County Center
    26  for Forensic Sciences Laboratory when acting within the scope of its law
    27  enforcement duties.
    28    § 36. Subdivision 8 of section 92  of  the  public  officers  law,  as
    29  amended  by  chapter  336  of  the  laws  of 1992, is amended to read as
    30  follows:
    31    (8) Public safety  agency  record.  The  term  "public  safety  agency
    32  record"  means  a record of the commission of correction, the [temporary
    33  state] commission [of investigation] on official conduct, the department
    34  of correctional services,  the  division  for  youth,  the  division  of

    35  parole,  the  crime victims board, the division of probation and correc-
    36  tional alternatives or the division of state police or of any agency  or
    37  component  thereof whose primary function is the enforcement of civil or
    38  criminal statutes if such record pertains to investigation, law enforce-
    39  ment, confinement of persons in correctional facilities  or  supervision
    40  of  persons  pursuant  to  criminal  conviction  or court order, and any
    41  records maintained by the division of criminal justice services pursuant
    42  to sections eight hundred thirty-seven,  eight  hundred  thirty-seven-a,
    43  eight   hundred  thirty-seven-b,  eight  hundred  thirty-seven-c,  eight
    44  hundred thirty-eight, eight hundred thirty-nine,  eight  hundred  forty-
    45  five,  and  eight  hundred  forty-five-a of the executive law and by the
    46  department of state pursuant to section  ninety-nine  of  the  executive
    47  law.

    48    §  37.  Chapter  989  of  the laws of 1958, creating a temporary state
    49  commission of investigation, is REPEALED.
    50    § 38. This act shall take effect on the first of January next succeed-
    51  ing the date on which it shall have become a law, provided that sections
    52  six through twenty-three and sections twenty-five  through  thirty-seven
    53  of  this act shall take effect on the first of April next succeeding the
    54  date on which it shall have become a law.
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