-  This bill is not active in this session.
 

A08301 Summary:

BILL NOA08301
 
SAME ASSAME AS S05679
 
SPONSORSilver (MS)
 
COSPNSRKolb, O'Donnell, Millman, Englebright, Canestrari, Farrell, Jordan, Smardz, Duprey, Conte
 
MLTSPNSRBronson, Cahill, Cusick, DenDekker, Gabryszak, Galef, Giglio, Jacobs, Jaffee, Lancman, Linares, Magnarelli, McEneny, Molinaro, Oaks, Ramos, Reilly, Rivera P, Roberts, Rodriguez, Rosenthal, Russell, Sayward, Spano, Sweeney, Weisenberg, Weprin, Zebrowski
 
Amd SS73 & 73-a, Pub Off L; amd S94, Exec L; amd SS1-d, 1-e, 1-j, 1-c, 1-h & 80, Leg L; add Art 3-B SS156 - 159, R & SS L; add S220.51, CP L; amd SS14-106, 14-126 & 16-100, add S16-120, El L
 
Relates to commission on public integrity; powers of the attorney-general; joint commission on public ethics; relates to the transfer of powers and duties to the joint commission on public ethics (Part A); relates to reports by lobbyists (Part B); relates to notice of entry of plea involving a public official (Part C); relates to pension forfeiture for certain public officials and notice of entry of plea involving a public official (Part D).
Go to top    

A08301 Actions:

BILL NOA08301
 
06/10/2011referred to governmental operations
06/13/2011reported referred to codes
06/13/2011reported referred to ways and means
06/13/2011reported referred to rules
06/13/2011reported
06/13/2011rules report cal.169
06/13/2011substituted by s5679
 S05679 AMEND= SKELOS
 06/10/2011REFERRED TO RULES
 06/13/2011ORDERED TO THIRD READING CAL.1182
 06/13/2011PASSED SENATE
 06/13/2011DELIVERED TO ASSEMBLY
 06/13/2011referred to ways and means
 06/13/2011substituted for a8301
 06/13/2011ordered to third reading rules cal.169
 06/13/2011passed assembly
 06/13/2011returned to senate
 08/15/2011DELIVERED TO GOVERNOR
 08/15/2011SIGNED CHAP.399
Go to top

A08301 Memo:

NEW YORK STATE ASSEMBLY
MEMORANDUM IN SUPPORT OF LEGISLATION
submitted in accordance with Assembly Rule III, Sec 1(f)
 
BILL NUMBER: A8301
 
SPONSOR: Silver (MS)
  TITLE OF BILL: An act in relation to establishing the public integrity reform act of 2011; to amend the public officers law, in relation to the business or professional activities of state employees; to amend the executive law, in relation to the commission on public integrity; to amend the legisla- tive law, in relation to the legislative ethics office; to amend the public officers law, in relation to the joint commission on public ethics; and in relation to the transfer of certain powers and duties to the joint commission on public ethics (Part A); to amend the legislative law, in relation to reports by lobbyists (Part B); to amend the retire- ment and social security law, in relation to pension forfeiture for certain public officials; and to amend the criminal procedure law, in relation to notice of entry of plea involving a public official (Part C); to amend the legislative law, in relation to the definition of lobbying and gifts (Part D); and to amend the election law, in relation to political communication, independent expenditure reporting, enforce- ment proceeding and penalties for violations (Part E)   PURPOSE: This bill would comprehensively reform both the requirements and enforcement of public ethics for New York State government officials to restore public confidence in our government. Among other reforms, the bill would establish a new Joint Commission on Public Ethics to oversee and investigate compliance with the financial disclosure and other ethics requirements by executive and legislative employees and elected officials in both branches of government, and to oversee the conduct of registered lobbyists; expand arid enhance financial and client disclo- sures required of executive and legislative employees and elected offi- cials, including disclosure of outside clients and customers; establish a new database to aggregate information concerning all firms and indi- viduals that appear in a representative capacity before any state agen- cy, public authority, board, or commission and make such information readily available to the public; require mandatory ethics training for executive and legislative employees and elected officials and lobbyists; increase penalties for violations of certain provisions of the code of ethics contained in the Public Officers Law § 74; require the reduction or forfeiture of a public officer's pension under certain circumstances where he or she has been convicted of a felony related to his office; expand the definition of "lobbying" to include advocacy related to the "introduction" of legislation and resolutions; require lobbyists that lobby on their own behalf and clients of lobbyists that devote substan- tial funds to lobbying in New York State to disclose the sources of such funding; and clarify certain definitions in the existing gift ban to facilitate better compliance and improve enforcement. The bill would also amend certain provisions of the election law to enhance penalties for violations of the campaign finance laws, and require the State Board of Elections to enforce requirement s that entities and individuals that spend funds on advertising and other forms of advocacy to influence the outcome of elections or ballot proposals must disclose such expendi- tures.   SUMMARY OF PROVISIONS: Section one. The title of the bill being "Public Integrity Reform Act of 2011." Section 2. Part A: Ethics Enforcement & Financial Disclosure Reform Sections 1, 3, 5, 7, 10, 11, 12 and 13 make conforming changes by chang- ing existing references in law to the State Ethics Commission and Legis- lative Ethics Committee or Commission to the newly constituted Joint Commission on Public Ethics, thereby subjecting all legislators and legislative employees to investigative jurisdiction of a unified, inde- pendent body, the current iteration of which has jurisdiction over only executive employees and statewide elected officials and lobbyists. Section 2 amends subdivision 2 of section 73 of the Public Officers Law by prohibiting the receipt by any state officer or employee of any compensation for action or decisions regarding "any legislation or resolution before the state legislature" or any "executive order." Section 3 amends paragraph (a) of subdivision 6 of section 73 of the Public Officers Law to require legislative employees not subject to section 73-a of the Public Officers Law to file financial disclosure forms with both the Joint Commission on Public Ethics and the Legisla- tive Ethics Commission. Section 4 establishes a new database ("Project Sunlight") to aggregate information concerning all firms and individuals that appear in a repre- sentative capacity before any state agency, public authority, board, or commission and requires that such state entities track and provide such information for inclusion in the database. The information in the data- base will be made publicly and readily available and will, for the first time, allow the public to understand more fully any potential conflicts of interest raised by such appearances. Section 5 amends section 73-a of the Public Officers Law by providing that all financial disclosure statements be filed with the new Joint Commission on Public Ethics, which shall post those statements of elected officials on the internet and end the practice of redacting the monetary values and amounts reported by the filer. This section also provides for greater and more precise disclosure of financial informa- tion by expanding the categories of value used by reporting individuals to disclose the dollar amounts in their financial disclosure statements; newly requires disclosure of the reporting individual's and his or her firm's outside clients and customers doing business with, receiving grants or contracts from, seeking legislation or resolutions from, or involved in a case or proceeding before the State; and expressly author- izes the Joint Commission to impose civil penalties in addition to referring any potential criminal violations to the appropriate prosecu- tor, rather than just in lieu of such referral. If sufficient cause is found, the Joint Commission is also required to refer evidence of any violations of other state or federal laws to the appropriate prosecutor(s). Section 6 amends section 94 of the Executive Law by replacing the Commission on Public Integrity with the Joint Commission on Public Ethics with jurisdiction over all elected state officials and their employees, both executive and legislative, as well as lobbyists. The bipartisan Joint Commission shall have 14 members, six appointed by the governor and lieutenant governor at least three of whom shall be enrolled members of the major political party that is not that of the governor; and eight appointed by the legislative leaders (four from each major political party). Among other restrictions, no individual shall be eligible to serve on the Joint Commission who is or has been within the last three years a registered lobbyist, a statewide elected office hold- er or member of the legislature, or a political party chairman, and no individual who is or has been a state officer or employee or a legisla- tive employee within the last year is eligible to be appointed. The executive director of the Joint Commission shall be selected without regard to his or her political party affiliation, and may be removed only for neglect of duty, misconduct, or inability or failure to discharge the powers or duties of the office, including the failure to follow the lawful instructions of the Joint Commission. Among other new powers, the Joint Commission shall have jurisdiction to investigate potential violations of law by legislators and legislative employees and, if any violation is found, shall issue a written report to the Legislative Ethics Commission that sets forth the Joint Commis- sion's findings of fact and conclusions of law. To continue and conduct a full investigation to determine if there is a substantial basis to find a violation of law, the Joint Commission requires a vote of eight members and such vote must occur within 45 days of receiving a complaint or referral or the Joint Commission's initiation of a preliminary review. The Joint Commission's investigative report must be made public within 45 days of being provided to the Legislative Ethics Commission (with the option of one 45-day extension), and that Commission must dispose of the matter and indicate in a public statement the nature and reasons for such disposition within 90 days. The Legislative Ethics Commission shall have exclusive jurisdiction to impose penalties on members of the legislature and legislative employees based upon the findings of fact and law in the Joint Commission's investigative report. With respect to executive employees and lobbyists, like the current Commission on Public Integrity, the Joint Commission shall have juris- diction to investigate and penalize such individuals and the report and disposition of such matters will be made public. A majority (8 members) of the board must consent to the initiation of the investigation, and at least two of whom are of the same branch and, except for executive employees not directly appointed by a statewide elected official, of the same party as the subject of the investigation. The same procedure applies to issue findings of fact and conclusions of law. If the subject of the investigation is a lobbyist, only a simple majority is required. The Joint Commission and its staff will be subject to strict confiden- tiality restrictions to protect the integrity of its investigations, punishable as a Class A misdemeanor. The commissioners of the Joint Commission shall be prohibited from making campaign contributions to candidates for elected executive or legislative offices during their tenure on the Joint Commission. The Joint Commission shall conduct mandatory ethics training for execu- tive and legislative officials that meets requirements set forth in this section, except where either chamber of the legislature already provides such training and that training meets the same requirements. The Joint Commission will also track, in coordination with the Legislative Ethics Commission, the status of compliance with these new training require- ments by state agencies and by the legislature, and shall make such aggregate compliance statistics available to the public on an annual basis. The Joint Commission will conduct a program of random reviews of finan- cial disclosure statements to help determine compliance with applicable disclosure requirements. Section 7 amends section 1-d of the Legislative Law to mandate online ethics training for lobbyists under the auspices of the Joint Commis- sion. Sections 7-a, 7-b, and 8 amend section 1-e, subdivision (b) of section 1-j and section 1-c of the Legislative Law, respectively, to require that lobbyists disclose the names of every state official and employee, including legislators and legislative employees, with whom the lobbyist has a "reportable business relationship," a term also newly defined in the bill. Section 9 amends section 80 of the Legislative Law to clarify that the Legislative Ethics Commission will have the authority and jurisdiction to impose penalties upon members and employees of the legislature, but will no longer have investigative jurisdiction over the legislature. This section establishes the procedure to be followed by the Legislative Ethics Commission upon its receipt of an investigative report from the Joint Commission on Public Ethics to ensure that the Legislative Ethics Commission issues a public disposition of each matter within 90 days of receiving such report. This section also establishes that written advisory opinions issued by the Legislative Ethics Commission shall be binding upon that Commission with respect to the imposition of any penalties, but the Joint Commis- sion on Public Ethics shall have jurisdiction to investigate both wheth- er the person's advisory opinion was supported by his or her full disclosure of the relevant facts and whether that opinion covered the person's actual conduct. The Joint Commission will have full authority to investigate conduct falling outside the proper scope of such an advi- sory opinion issued by the Legislative Ethics Commission. This section further amends the Legislative Law to clarify that the executive director of the Legislative Ethics Commission may be removed for neglect of duty, misconduct in office, or inability or failure to discharge the powers or duties of office. This section also amends the Legislative Law to increase the penalties for violations of certain provisions of the code of ethics contained in Public Officers Law § 74, including those provisions addressing finan- cial conflicts of interest damaging to public confidence in the State government. Sections 14 through 21 ensure that the existing authority, records, and business of the Commission on Public Integrity will be properly trans- ferred to the Joint Commission on Public Ethics. Section 22 provides for the effective date. Part B: Disclosure by Lobbyists Lobbying on Their Own Behalf and by Clients of Lobbyists of Their Sources of Funding for Lobbying Activities Section 1 amends subdivision c of section I-h of the Legislative Law to require that registered lobbyists whose lobbying activity is performed on their own behalf and not pursuant to retention by a client, and that have spent at least $50,000 and at least 3% of their total expenditures during the last year on such activity in New York State, must disclose each source of funding over $5,000 used for such lobbying. Such lobby- ists may seek an exemption to avoid such disclosure based upon a showing that it may cause harm, threats, harassment, or reprisals to the source of funding or its property. If the Joint Commission declines to grant such an exemption, the lobbyist may appeal that decision to an independ- ent judicial hearing officer pursuant to regulations developed by the Joint Commission. In addition, not-for-profit organizations qualified as exempt organiza- tions under I.R.C. § 501(c)(3) are exempted from this disclosure requirement. Not-for-profit organizations qualified as exempt under I.R.C. § 501(c)(4) shall also be exempted pursuant to regulations promulgated by the Joint Commission if their primary activities concern any area of public concern that would create a substantial likelihood that such disclosure would lead to harm, threats, harassment, or reprisals. The bill expressly identifies the area of "civil rights and civil liberties" as one area in which organizations are expected to qualify for such an exemption in the Joint Commission's regulations. Among other issues included in this area, organizations whose primary activities focus on the question of abortion rights, family planning, discrimination or persecution based upon race, ethnicity, gender, sexual orientation or religion, immigrant rights, and the rights of certain criminal defendants are expected to be covered by such an exemption. Section 2 amends subdivision c of section 1-j of the Legislative Law to require that clients of lobbyists that meet the same threshold criteria as those set forth above must similarly disclose the sources of their funding for their lobbying activity. The same set of potential exemptions would apply to clients of lobbyists as well. Section 3 provides for the effective date. Part C: Pension Forfeiture for Public Officials Section 1 amends the Retirement and Social Security Law by adding a new Article 3-B to establish a procedure whereby certain public officials who commit crimes related to their public offices may have their pensions reduced or forfeited under certain circumstances. This new article would apply prospectively to officials who enter any of the applicable retirement systems upon or after the effective date of the law. Section 2 amends the criminal procedure law to require that criminal defendants whose pensions may ultimately be reduced or forfeited shall be notified of that possibility by the court prior to any trial or plea entered in their criminal case. Section 3 provides for the effective date. Part D: Expanded Definition of Lobbying and Clarification of Definitions in Gift Ban Section 1 amends subdivisions (c) and (j) of section 1-c of the legisla- tive law to expand the definition of lobbying to include advocacy to affect the "introduction" of legislation or a resolution. This section further amends these provisions principally to clarify certain defi- nitions in the gift ban to assist public officials in their efforts to comply with that ban and to facilitate its enforcement. Section 2 provides for the effective date. Part E: Campaign Finance Enforcement Section 1 requires that the State Board of Elections issue regulations by January 1, 2012, setting forth and clarifying the requirements under existing law for individuals, corporations, political committees, and any other entities to disclose independent expenditures made for adver- tisements or any other type of advocacy that expressly identifies a political candidate or ballot proposal and that is not coordinated or approved by the candidate in question. Section 2 amends section 14-106 of the Election Law to require that broadcast television scripts and internet advertisements used in poli- tical campaigns must be disclosed and provided to the board of elections. Section 3 amends section 14-126 of the Election Law to increase substan- tially the penalties for violations of existing filing requirements and contribution limits. Sections 4 and 5 expand or create jurisdiction in the county and supreme court for proceedings to enforce the requirements of the Election Law relating to campaign finance restrictions and specify the standards to be applied by the court in determining an appropriate penalty for such violations. ;,US ON;STATEMENT IN SUPPORT: Once a national model, New York State government has been widely discredited for its corruption, for the lack of truly independent ethics oversight over all public officials, and for the failure to require more robust disclosure of outside income sources. Currently, our State government's ethics laws are policed by several separate entities using differing interpretations of the same laws, leading to an absence of true independence and fragmented enforcement. Our financial disclosure laws require disclosure of the amounts of outside income earned, but do not of the clients and customers of the reporting individual or his or her firm that may have business before the State. This legislation establishes an independent Joint Commission on Public Ethics with robust enforcement powers to investigate violations of law by members of both the executive and legislative branches and oversee their financial disclosure requirements. It also provides for the Legis- lative Ethics Commission's jurisdiction to impose penalties on members based upon the investigations completed by the Joint Commission on Public Ethics. This legislation also expands financial disclosure requirements signif- icantly and, for the first time, makes such information fully available to the public. It requires disclosure of a reporting individual's clients and of clients of that individual's firm if those clients or customers are being represented with respect to a proposed bill or resolution before the legislature, have received contracts or grants from the State, or are the subject of or party in any proceeding by or before or involving a State agency. In addition, it narrows and increases the number of categories of value that must be disclosed, and requires the Joint Commission to post the financial disclosure state- ments of elected officials on its website without value amounts or any other information redacted (except for unemancipated children). The bill also establishes a new database called Project Sunlight that will be publicly available and will aggregate information from across the State government concerning the identities of any individual or firm that appears in a representative capacity before any State governmental entity. That information will allow members of the public to understand in detail and to assess any potential conflicts of interest that may be raised by such appearances. The bill further addresses and expands both the scope and applicability of the lobbying disclosure requirements in this State. The bill requires the disclosure by lobbyists of any "reportable business relationships" over $1,000 with public officials; expands the definition of lobbying to include advocacy to affect the "introduction" of legis- lation or resolutions, a change that will help to ensure that all rele- vant lobbying activities are regulated by the new Joint Commission. This legislation also sheds sunlight on the activities of lobbyists and clients of lobbyists that devote substantial resources to such activ- ities by requiring that they disclose each source of funding over $5,000 used for such lobbying. Appropriate exemptions to this requirement would be made for 501(c)(3) organizations and those 501 (c)(4) organizations for whom such disclosure could lead to harm to or harassment of their donors. Particularly in light of the impact of the U.S. Supreme Court's decision in Citizens United v Federal Election Commission, 130 S.Ct. 876 (2010), which threatens to open the door to corporations and other enti- ties spending money to advocate for or against candidates, New York State must enhance disclosure of the sources of funding for advocacy across numerous areas of public concern. This bill would take a critical first step to provide such disclosure with respect to lobbying so that the public could better understand the real parties in interest behind substantial lobbying initiatives. Moreover, in the wake of Citizens United, which effectively limited the ability of states and the federal government to ban electioneering communications by outside entities, it is increasingly important that disclosure of such expenditures be required and made publicly available. Under existing law, such independent expenditures must be disclosed and the entities that make them must register with the State Board of Elections. However, there remain significant concerns that such expend- itures are not being disclosed and that the problem will only increase over time. Accordingly, this new requirement will not only clarify and publicize the requirements for registration and reporting of independent expenditures, and also help to identify any gaps in existing law that can be filled in the future. In addition, this bill expands substantially the penalties that may be imposed for violations of the filing requirements and contribution limits in the Election Law, and provides for a special enforcement proceeding in the Supreme Court and jurisdiction in county courts to help improve enforcement efforts. These steps will provide a critical starting point for comprehensive campaign finance reforms in future years.   BUDGET IMPLICATIONS: This legislation is not expected to have a significant impact on the budget.   EFFECTIVE DATE: This act shall take effect as provided in each of Parts A through E.
Go to top

A08301 Text:



 
                STATE OF NEW YORK
        ________________________________________________________________________
 
                                          8301
 
                               2011-2012 Regular Sessions
 
                   IN ASSEMBLY
 
                                      June 10, 2011
                                       ___________
 
        Introduced  by  M.  of A. SILVER, KOLB, O'DONNELL, MILLMAN, ENGLEBRIGHT,
          CANESTRARI, FARRELL, JORDAN, SMARDZ -- Multi-Sponsored by -- M. of  A.
          BRONSON,  CAHILL,  GABRYSZAK, GIGLIO, MAGNARELLI, OAKS, RAMOS, REILLY,
          ROBERTS, RUSSELL, SPANO, WEISENBERG, ZEBROWSKI -- (at request  of  the
          Governor)  --  read once and referred to the Committee on Governmental

          Operations
 
        AN ACT in relation to establishing the public integrity  reform  act  of
          2011; to amend the public officers law, in relation to the business or
          professional  activities  of  state  employees; to amend the executive
          law, in relation to the commission on public integrity; to  amend  the
          legislative  law,  in  relation  to  the legislative ethics office; to
          amend the public officers law, in relation to the joint commission  on
          public  ethics;  and in relation to the transfer of certain powers and
          duties to the joint commission on public ethics (Part A); to amend the
          legislative law, in relation to reports  by  lobbyists  (Part  B);  to
          amend  the  retirement and social security law, in relation to pension
          forfeiture for certain public officials; and  to  amend  the  criminal
          procedure  law,  in  relation  to  notice of entry of plea involving a

          public official (Part C); to amend the legislative law, in relation to
          the definition of lobbying and  gifts  (Part  D);  and  to  amend  the
          election  law,  in  relation  to  political communication, independent
          expenditure  reporting,  enforcement  proceeding  and  penalties   for
          violations (Part E)
 
          The  People of the State of New York, represented in Senate and Assem-
        bly, do enact as follows:
 
     1    Section 1. This act shall be known and may be  cited  as  the  "Public
     2  Integrity Reform Act of 2011."
     3    §  2.  This  act enacts into law major components of legislation which
     4  are necessary  to  enact  ethics  reform.    Each  component  is  wholly
     5  contained  within a Part identified as Parts A through E.  The effective
     6  date for each particular provision contained within  such  Part  is  set
 

         EXPLANATION--Matter in italics (underscored) is new; matter in brackets
                              [ ] is old law to be omitted.
                                                                   LBD12060-03-1

        A. 8301                             2
 
     1  forth  in  the  last  section of such Part. Any provision in any section
     2  contained within a Part, including the effective date of the Part, which
     3  makes a reference to a section "of this act", when  used  in  connection
     4  with that particular component, shall be deemed to mean and refer to the
     5  corresponding  section of the Part in which it is found. Section four of
     6  this act sets forth the general effective date of this act.
 
     7                                   PART A
 
     8    Section 1. Paragraph (a) of subdivision 1 of section 73 of the  public

     9  officers  law, as amended by chapter 813 of the laws of 1987, is amended
    10  to read as follows:
    11    (a) The term "compensation" shall mean any money, thing  of  value  or
    12  financial  benefit  conferred  in  return for services rendered or to be
    13  rendered. With regard to matters undertaken by a  firm,  corporation  or
    14  association, compensation shall mean net revenues, as defined in accord-
    15  ance  with  generally  accepted  accounting principles as defined by the
    16  [state] joint commission on public ethics  [commission]  or  legislative
    17  ethics  [committee]  commission  in relation to persons subject to their
    18  respective jurisdictions.
    19    § 2. Subdivision 2 of section  73  of  the  public  officers  law,  as
    20  amended  by  chapter  813  of  the  laws  of 1987, is amended to read as
    21  follows:

    22    2. In addition to the  prohibitions  contained  in  subdivision  seven
    23  [hereof]  of  this section, no statewide elected official, state officer
    24  or employee, member of the legislature  or  legislative  employee  shall
    25  receive,  or  enter  into  any agreement express or implied for, compen-
    26  sation for services to be rendered in relation to any case,  proceeding,
    27  application,  or  other matter before any state agency, or any executive
    28  order, or any legislation or resolution before  the  state  legislature,
    29  whereby  his  or  her compensation is to be dependent or contingent upon
    30  any action by such agency or legislature with respect  to  any  license,
    31  contract,  certificate, ruling, decision, executive order, opinion, rate

    32  schedule, franchise, legislation, resolution or other benefit; provided,
    33  however, that nothing in this subdivision shall be  deemed  to  prohibit
    34  the  fixing  at  any time of fees based upon the reasonable value of the
    35  services rendered.
    36    § 3. Paragraph (a) of subdivision 6 of section 73 of the public  offi-
    37  cers  law,  as amended by chapter 813 of the laws of 1987, is amended to
    38  read as follows:
    39    (a) Every legislative  employee  not  subject  to  the  provisions  of
    40  section  seventy-three-a  of  this  chapter shall, on and after December
    41  fifteenth and before the following January fifteenth, in each year, file
    42  with the [legislative] joint  commission  on  public  ethics  [committee
    43  established  by  section eighty of the legislative law] and the legisla-

    44  tive ethics commission a financial disclosure statement of
    45    (1) each financial interest, direct or indirect of himself, his spouse
    46  and his unemancipated children under the age of eighteen  years  in  any
    47  activity  which is subject to the jurisdiction of a regulatory agency or
    48  name of the entity in which the interest is had and whether such  inter-
    49  est is over or under five thousand dollars in value.
    50    (2) every office and directorship held by him in any corporation, firm
    51  or enterprise which is subject to the jurisdiction of a regulatory agen-
    52  cy, including the name of such corporation, firm or enterprise.

        A. 8301                             3
 
     1    (3)  any  other  interest  or  relationship which he determines in his
     2  discretion might reasonably be expected to be particularly  affected  by

     3  legislative action or in the public interest should be disclosed.
     4    §  4.  Every  state  agency,  department, division, office, and board;
     5  every public benefit corporation, public  authority  and  commission  at
     6  least  one  of  whose  members  is  appointed by the governor; the state
     7  university of New York and the city university of  New  York,  including
     8  all  their  constituent  units  except  community  colleges of the state
     9  university of New York; and the independent institutions operating stat-
    10  utory or contract colleges on behalf of the state, shall cooperate  with
    11  the  office  of general services and supply to that office on a schedule
    12  and in a format determined by the office of general services in  consul-
    13  tation  with such governmental bodies, a list of all individuals, firms,
    14  or other entities (other than state or local governmental agencies)  who

    15  have appeared before such governmental body in a representative capacity
    16  on behalf of a client or customer for purposes of: (a) procuring a state
    17  contract  for  real  property,  goods  or  services for such client; (b)
    18  representing such client or customer in a proceeding  relating  to  rate
    19  making; (c) representing such client in a regulatory matter; (d) repres-
    20  enting  such client or customer in a judicial or quasi-judicial proceed-
    21  ing; or (e) representing such client or  customer  in  the  adoption  or
    22  repeal  of  a  rule or regulation.  The office of general services shall
    23  create forms upon which such information shall be supplied and  a  data-
    24  base  which  shall collect and systemize the collection of such informa-
    25  tion. The office of general services shall make the  database  available
    26  and accessible to members of the public on a webpage subject to statuto-

    27  ry  confidentiality  restrictions, and shall ensure that the information
    28  contained in the database is readily searchable and available for  down-
    29  load. The database shall be known as "project sunlight".
    30    §  5. Section 73-a of the public officers law, as added by chapter 813
    31  of the laws of 1987, paragraph (b) of subdivision 1 as amended by  chap-
    32  ter  283  of the laws of 1996, subparagraphs (ii) and (iii) of paragraph
    33  (c) and paragraph (d) of subdivision  1,  subparagraphs  (v),  (vi)  and
    34  (vii)  of  paragraph  (a)  and  paragraphs (e) and (g) of subdivision 2,
    35  paragraph 4, subparagraph (a) of paragraph 5, paragraphs 6, 9,  10,  11,
    36  subparagraph  (b) of paragraph 12, paragraphs 13, 14, 15, 16, 17, 18 and
    37  19 of subdivision 3 and subdivision 4 as amended and  paragraph  (l)  of
    38  subdivision 1, subparagraph (viii) of paragraph (a) and paragraph (j) of

    39  subdivision  2 and the third and fourth undesignated paragraphs of para-
    40  graph 3 of subdivision 3 as added by chapter 242 of the laws of 1989, is
    41  amended to read as follows:
    42    § 73-a. Financial disclosure. 1. As used in this section:
    43    (a) The term "statewide elected official"  shall  mean  the  governor,
    44  lieutenant governor, comptroller, or attorney general.
    45    (b)  The term "state agency" shall mean any state department, or divi-
    46  sion, board, commission, or bureau of any state department,  any  public
    47  benefit  corporation,  public  authority  or  commission at least one of
    48  whose members is appointed by the governor, or the state  university  of
    49  New  York  or  the  city  university  of  New  York, including all their
    50  constituent units except community colleges of the state  university  of
    51  New  York  and  the  independent  institutions  operating  statutory  or

    52  contract colleges on behalf of the state.
    53    (c) The term "state officer or employee" shall mean:
    54    (i) heads of state departments and their deputies and assistants;
    55    (ii) officers and employees of statewide elected  officials,  officers
    56  and  employees of state departments, boards, bureaus, divisions, commis-

        A. 8301                             4
 
     1  sions, councils or other state agencies, who receive annual compensation
     2  in excess of the filing rate established by paragraph (l) of this subdi-
     3  vision or who hold policy-making positions, as  annually  determined  by
     4  the  appointing  authority  and  set forth in a written instrument which
     5  shall be filed with  the  [state]  joint  commission  on  public  ethics
     6  [commission]  established  by  section  ninety-four of the executive law

     7  during the month of February, provided,  however,  that  the  appointing
     8  authority  shall  amend  such  written instrument after such date within
     9  thirty days after the undertaking of policy-making responsibilities by a
    10  new employee or any other employee whose name did not appear on the most
    11  recent written instrument; and
    12    (iii) members or directors of public authorities,  other  than  multi-
    13  state  authorities, public benefit corporations and commissions at least
    14  one of whose members is appointed by the governor, and employees of such
    15  authorities, corporations and commissions  who  receive  annual  compen-
    16  sation in excess of the filing rate established by paragraph (l) of this
    17  subdivision  or who hold policy-making positions, as determined annually
    18  by the appointing authority and set forth in a written instrument  which

    19  shall  be  filed  with  the  [state]  joint  commission on public ethics
    20  [commission] established by section ninety-four  of  the  executive  law
    21  during  the  month  of  February, provided, however, that the appointing
    22  authority shall amend such written instrument  after  such  date  within
    23  thirty days after the undertaking of policy-making responsibilities by a
    24  new employee or any other employee whose name did not appear on the most
    25  recent written instrument.
    26    (d) The term "legislative employee" shall mean any officer or employee
    27  of  the  legislature  who  receives annual compensation in excess of the
    28  filing rate established by paragraph (l) below or who is  determined  to
    29  hold  a  policy-making position by the appointing authority as set forth
    30  in a written instrument which shall be filed with the legislative ethics

    31  commission and the joint commission on public ethics  [committee  estab-
    32  lished by section eighty of the legislative law].
    33    (d-1)  A  financial  disclosure statement required pursuant to section
    34  seventy-three of this article and this section shall be  deemed  "filed"
    35  with  the  joint commission on public ethics upon its filing, in accord-
    36  ance with this section, with the legislative ethics commission  for  all
    37  purposes  including, but not limited to, subdivision fourteen of section
    38  ninety-four of the executive law, subdivision nine of section eighty  of
    39  the legislative law and subdivision four of this section.
    40    (e)  The term "spouse" shall mean the husband or wife of the reporting
    41  individual unless living separate and apart from the reporting  individ-

    42  ual  with  the  intention  of  terminating the marriage or providing for
    43  permanent separation or unless separated pursuant  to:  (i)  a  judicial
    44  order,  decree  or judgment, or (ii) a legally binding separation agree-
    45  ment.
    46    (f) The term "relative" shall mean such  individual's  spouse,  child,
    47  stepchild,  stepparent,  or any person who is a direct descendant of the
    48  grandparents of the reporting individual or of  the  reporting  individ-
    49  ual's spouse.
    50    (g) The term "unemancipated child" shall mean any son, daughter, step-
    51  son  or  stepdaughter who is under age eighteen, unmarried and living in
    52  the household of the reporting individual.
    53    (h) The term "political party chairman" shall have the same meaning as
    54  ascribed to such term by subdivision one  of  section  seventy-three  of
    55  this [chapter] article.

    56    (i) The term "local agency" shall mean:

        A. 8301                             5
 
     1    (i)  any  county,  city,  town,  village,  school district or district
     2  corporation, or any agency, department, division, board,  commission  or
     3  bureau thereof; and
     4    (ii)  any  public benefit corporation or public authority not included
     5  in the definition of a state agency.
     6    (j) The term "regulatory  agency"  shall  have  the  same  meaning  as
     7  ascribed  to  such  term  by subdivision one of section seventy-three of
     8  this [chapter] article.
     9    (k) The term "ministerial matter"  shall  have  the  same  meaning  as
    10  ascribed  to  such  term  by subdivision one of section seventy-three of
    11  this [chapter] article.
    12    (l) The term "filing rate" shall mean the job rate  of  SG-24  as  set

    13  forth in paragraph a of subdivision one of section one hundred thirty of
    14  the  civil  service law as of April first of the year in which an annual
    15  financial disclosure statement shall be filed.
    16    (m) The term "lobbyist" shall have the same  meaning  as  ascribed  to
    17  such term in subdivision (a) of section one-c of the legislative law.
    18    2.  (a)  Every  statewide elected official, state officer or employee,
    19  member of the legislature,  legislative  employee  and  political  party
    20  chairman  and every candidate for statewide elected office or for member
    21  of the legislature shall file an annual statement of  financial  disclo-
    22  sure containing the information and in the form set forth in subdivision
    23  three  [hereof]  of this section.   [Such statement shall be filed on or

    24  before the fifteenth day of May with respect to the  preceding  calendar
    25  year, except that] On or before the fifteenth day of May with respect to
    26  the  preceding calendar year: (1) every member of the legislature, every
    27  candidate for member of the legislature and legislative  employee  shall
    28  file  such  statement with the legislative ethics commission which shall
    29  provide such  statement  along  with  any  requests  for  exemptions  or
    30  deletions  to  the  joint  commission  on  public  ethics for filing and
    31  rulings with respect to such requests for exemptions or deletions, on or
    32  before the thirtieth day of June; and (2) all other individuals required
    33  to file such statement shall file it with the joint commission on public

    34  ethics, except that:
    35    (i) a person who is subject to  the  reporting  requirements  of  this
    36  subdivision  and  who  timely filed with the internal revenue service an
    37  application for automatic extension of time in which to file his or  her
    38  individual  income  tax return for the immediately preceding calendar or
    39  fiscal year shall be required to file such financial  disclosure  state-
    40  ment  on or before May fifteenth but may, without being subjected to any
    41  civil penalty on account of a deficient statement, indicate with respect
    42  to any item of the disclosure statement that  information  with  respect
    43  thereto  is lacking but will be supplied in a supplementary statement of
    44  financial disclosure, which shall be filed on or before the seventh  day
    45  after  the  expiration of the period of such automatic extension of time

    46  within which to file such individual income tax  return,  provided  that
    47  failure to file or to timely file such supplementary statement of finan-
    48  cial disclosure or the filing of an incomplete or deficient supplementa-
    49  ry  statement of financial disclosure shall be subject to the notice and
    50  penalty provisions of  this  section  respecting  annual  statements  of
    51  financial  disclosure  as if such supplementary statement were an annual
    52  statement;
    53    (ii) a person who is required to file an annual  financial  disclosure
    54  statement with the [state] joint commission on public ethics [commission
    55  or  with  the legislative ethics committee], and who is granted an addi-
    56  tional period of time within which to file such statement due to  justi-

        A. 8301                             6
 

     1  fiable  cause  or  undue hardship, in accordance with required rules and
     2  regulations on the subject adopted pursuant to paragraph c  of  subdivi-
     3  sion  nine  of  section ninety-four of the executive law [or pursuant to
     4  paragraph  c  of  subdivision eight of section eighty of the legislative
     5  law,] shall file such statement within the  additional  period  of  time
     6  granted;  and  the  legislative ethics commission shall notify the joint
     7  commission on public ethics of any extension granted  pursuant  to  this
     8  paragraph;
     9    (iii)  candidates for statewide office who receive a party designation
    10  for nomination by a state committee pursuant to  section  6-104  of  the
    11  election law shall file such statement within [seven] ten days after the

    12  date of the meeting at which they are so designated;
    13    (iv)  candidates  for statewide office who receive twenty-five percent
    14  or more of the vote cast at the meeting  of  the  state  committee  held
    15  pursuant  to  section  6-104  of the election law and who demand to have
    16  their names placed on the primary ballot and who do not withdraw  within
    17  fourteen  days  after  such  meeting  shall  file  such statement within
    18  [seven] ten days after the last day to withdraw their names  in  accord-
    19  ance with the provisions of such section of the election law;
    20    (v)  candidates  for statewide office and candidates for member of the
    21  legislature who file party designating petitions  for  nomination  at  a
    22  primary election shall file such statement within [seven] ten days after
    23  the  last  day  allowed  by  law  for  the  filing  of party designating

    24  petitions naming them as candidates  for  the  next  succeeding  primary
    25  election;
    26    (vi)  candidates  for  independent nomination who have not been desig-
    27  nated by a party to receive a nomination shall file such statement with-
    28  in [seven] ten days after the last day allowed by law for the filing  of
    29  independent  nominating  petitions naming them as candidates in the next
    30  succeeding general or special election;
    31    (vii) candidates who receive the nomination of a party for  a  special
    32  election  shall  file  such  statement within [seven] ten days after the
    33  date of the meeting of the party committee at which they are  nominated;
    34  [and]
    35    (viii)  a  candidate  substituted  for  another candidate, who fills a
    36  vacancy in a party designation or in an independent  nomination,  caused

    37  by  declination, shall file such statement within [seven] ten days after
    38  the last day allowed by law to file a certificate to fill a  vacancy  in
    39  such party designation or independent nomination[.];
    40    (ix) with respect to all candidates for member of the legislature, the
    41  legislative  ethics commission shall within five days of receipt provide
    42  the joint commission on public ethics the statement  filed  pursuant  to
    43  subparagraphs (v), (vi), (vii) and (viii) of this paragraph.
    44    (b)  As used in this subdivision, the terms "party", "committee" (when
    45  used in conjunction with the term  "party"),  "designation",  "primary",
    46  "primary  election", "nomination", "independent nomination" and "ballot"
    47  shall have the same meanings as those contained in section 1-104 of  the
    48  election law.

    49    (c)  If  the  reporting individual is a senator or member of assembly,
    50  candidate for the senate or member of assembly or a legislative  employ-
    51  ee,  such  statement  shall  be  filed  with both the legislative ethics
    52  [committee] commission established by section eighty of the  legislative
    53  law  and  the joint commission on public ethics in accordance with para-
    54  graph (d-1) of subdivision one of this section.  If the reporting  indi-
    55  vidual  is a statewide elected official, candidate for statewide elected
    56  office, a state officer or employee or a political party chairman,  such

        A. 8301                             7
 
     1  statement  shall  be  filed  with the [state] joint commission on public

     2  ethics [commission] established by section ninety-four of the  executive
     3  law.
     4    (d)  The [legislative ethics committee and the state] joint commission
     5  on public ethics [commission] shall  obtain  from  the  state  board  of
     6  elections  a  list of all candidates for statewide office and for member
     7  of the legislature, and from such list, shall determine  and  publish  a
     8  list  of  those  candidates  who  have  not,  within  ten days after the
     9  required date for filing such statement, filed the statement required by
    10  this subdivision.
    11    (e) Any person required to file such statement who  commences  employ-
    12  ment  after May fifteenth of any year and political party chairman shall
    13  file such statement within thirty days after commencing employment or of

    14  taking the position of political party chairman, as the case may be.  In
    15  the  case  of members of the legislature and legislative employees, such
    16  statements shall be filed with the legislative ethics commission  within
    17  thirty  days  after  commencing  employment,  and the legislative ethics
    18  commission shall provide such statements  to  the  joint  commission  on
    19  public ethics within forty-five days of receipt.
    20    (f) A person who may otherwise be required to file more than one annu-
    21  al  financial  disclosure  statement with both the [state ethics commis-
    22  sion] joint commission on  public  ethics  and  the  legislative  ethics
    23  [committee]  commission  in  any  one  calendar  year  may  satisfy such

    24  requirement by filing one such statement with either body and by notify-
    25  ing the other body of such compliance.
    26    (g) A person who is employed in more than one employment capacity  for
    27  one  or  more  employers  certain  of  whose  officers and employees are
    28  subject to filing a financial disclosure statement with the same  ethics
    29  commission  [or  ethics committee], as the case may be, and who receives
    30  distinctly separate payments of compensation for such  employment  shall
    31  be  subject  to the filing requirements of this section if the aggregate
    32  annual compensation for all such employment capacities is in  excess  of
    33  the  filing rate notwithstanding that such person would not otherwise be
    34  required to file with respect to any one particular employment capacity.
    35  A person not otherwise required to file a financial disclosure statement

    36  hereunder who is employed by an employer certain of  whose  officers  or
    37  employees  are  subject  to filing a financial disclosure statement with
    38  the [state ethics] joint commission on public ethics  and  who  is  also
    39  employed  by  an  employer  certain  of  whose officers or employees are
    40  subject to filing a financial disclosure statement with the  legislative
    41  ethics [committee] commission shall not be subject to filing such state-
    42  ment  with  either such commission [or such committee] on the basis that
    43  his aggregate annual compensation from all such employers is  in  excess
    44  of the filing rate.
    45    (h)  A statewide elected official or member of the legislature, who is
    46  simultaneously a candidate for statewide elected office or member of the

    47  legislature, shall satisfy the  filing  deadline  requirements  of  this
    48  subdivision  by  complying  only with the deadline applicable to one who
    49  holds a statewide elected office or who holds the office  of  member  of
    50  the legislature.
    51    (i)  A  candidate  whose  name will appear on both a party designating
    52  petition and on an independent nominating petition for the  same  office
    53  or  who  will  be listed on the election ballot for the same office more
    54  than once shall satisfy the filing deadline requirements of this  subdi-
    55  vision by complying with the earliest applicable deadline only.

        A. 8301                             8
 
     1    (j)  A  member  of  the legislature who is elected to such office at a
     2  special election prior to May fifteenth in any year  shall  satisfy  the
     3  filing  requirements  of this subdivision in such year by complying with

     4  the earliest applicable deadline only.
     5    (k) The joint commission on public ethics shall post for at least five
     6  years beginning for filings made on January first, two thousand thirteen
     7  the annual statement of financial disclosure and any amendments filed by
     8  each  person  subject  to the reporting requirements of this subdivision
     9  who is an elected official on its website for public review within thir-
    10  ty days of its receipt of such statement  or  within  ten  days  of  its
    11  receipt  of such amendment that reflects any corrections of deficiencies
    12  identified by the commission or by the reporting  individual  after  the
    13  reporting  individual's initial filing. Except upon an individual deter-
    14  mination by the commission that certain information may be deleted  from

    15  a  reporting individual's annual statement of financial disclosure, none
    16  of the information in the statement posted on the  commission's  website
    17  shall be otherwise deleted.
    18    3.  The  annual  statement  of  financial disclosure shall contain the
    19  information and shall be in the form set forth hereinbelow:
 
    20   ANNUAL STATEMENT OF FINANCIAL DISCLOSURE - (For calendar year ________)
 
    21    1. Name ______________________________________________________________
    22    2. (a) Title of Position _____________________________________________
    23       (b) Department, Agency or other Governmental Entity _______________
    24       (c) Address of Present Office _____________________________________
    25       (d) Office Telephone Number _______________________________________
    26    3. (a) Marital Status ______________. If married, please give spouse's

    27           full name including maiden name where applicable.
    28           _____________________________________________________________ .
 
    29       (b) List the names of all unemancipated children.
 
    30      ____________________________________________________________________
    31      ____________________________________________________________________
    32      ____________________________________________________________________
    33      ____________________________________________________________________
    34      ____________________________________________________________________
 
    35  Answer each of the  following  questions  completely,  with  respect  to
    36    calendar  year  _________,  unless another period or date is otherwise
    37    specified. If additional space is needed, attach additional pages.
 
    38    Whenever a "value" or "amount" is required to be reported herein, such

    39  value or amount shall be reported as being within one of  the  following
    40  Categories  in  Table I or Table II of this subdivision as called for in
    41  the question: [Category A - under $5,000; Category B - $5,000  to  under
    42  $20,000;  Category C - $20,000 to under $60,000; Category D - $60,000 to
    43  under $100,000; Category E - $100,000 to under $250,000; and Category  F
    44  -  $250,000 or over.] A reporting individual shall indicate the Category
    45  by letter only.
    46    Whenever "income" is required to be reported herein, the term "income"
    47  shall mean the aggregate net income before taxes from the source identi-
    48  fied.
    49    The term "calendar year" shall mean the year ending the December  31st
    50  preceding the date of filing of the annual statement.

        A. 8301                             9
 

     1  4.  (a) List  any  office,  trusteeship,  directorship,  partnership, or
     2      position of any nature, whether compensated  or  not,  held  by  the
     3      reporting  individual with any firm, corporation, association, part-
     4      nership, or other organization other than the  State  of  New  York.
     5      Include  compensated  honorary  positions; do NOT list membership or
     6      uncompensated honorary positions. If the listed entity was  licensed
     7      by  any state or local agency, was regulated by any state regulatory
     8      agency or local agency, or, as a regular and significant part of the
     9      business or activity of said  entity,  did  business  with,  or  had
    10      matters  other  than  ministerial matters before, any state or local
    11      agency, list the name of any such agency.
 
    12                                                              State or

    13      Position                  Organization                 Local Agency
 
    14      ____________________________________________________________________
    15      ____________________________________________________________________
    16      ____________________________________________________________________
    17      ____________________________________________________________________
    18      ____________________________________________________________________
 
    19  (b) List any office, trusteeship, directorship, partnership, or position
    20      of any nature, whether compensated or not, held  by  the  spouse  or
    21      unemancipated  child  of  the  reporting  individual, with any firm,
    22      corporation, association, partnership, or other  organization  other
    23      than  the State of New York. Include compensated honorary positions;
    24      do NOT list membership or uncompensated honorary positions.  If  the

    25      listed  entity  was licensed by any state or local agency, was regu-
    26      lated by any state regulatory agency or local agency, or, as a regu-
    27      lar and significant part of the business or activity of said entity,
    28      did business with, or had matters  other  than  ministerial  matters
    29      before, any state or local agency, list the name of any such agency.
 
    30                                                              State or
    31      Position                  Organization                 Local Agency
 
    32      ____________________________________________________________________
    33      ____________________________________________________________________
    34      ____________________________________________________________________
    35      ____________________________________________________________________
    36      ____________________________________________________________________
 

    37  5.  (a)  List  the  name,  address  and  description  of any occupation,
    38      employment (other than the employment listed under  Item  2  above),
    39      trade,  business  or profession engaged in by the reporting individ-
    40      ual. If such activity was licensed by any state or local agency, was
    41      regulated by any state regulatory agency or local agency, or,  as  a
    42      regular  and  significant  part  of the business or activity of said
    43      entity, did business with, or had  matters  other  than  ministerial
    44      matters before, any state or local agency, list the name of any such
    45      agency.
 
    46                                                              State or
    47                 Name & Address                                 Local
    48      Position   of Organization          Description          Agency

        A. 8301                            10
 

     1      ____________________________________________________________________
     2      ____________________________________________________________________
     3      ____________________________________________________________________
     4      ____________________________________________________________________
     5      ____________________________________________________________________
 
     6  (b) If the spouse or unemancipated child of the reporting individual was
     7      engaged in any occupation, employment, trade, business or profession
     8      which  activity was licensed by any state or local agency, was regu-
     9      lated by any state regulatory agency or local agency, or, as a regu-
    10      lar and significant part of the business or activity of said entity,
    11      did business with, or had matters  other  than  ministerial  matters
    12      before,  any  state  or  local  agency,  list  the name, address and

    13      description of  such  occupation,  employment,  trade,  business  or
    14      profession and the name of any such agency.
 
    15                                                              State or
    16                 Name & Address                                 Local
    17      Position   of Organization          Description          Agency
 
    18      ____________________________________________________________________
    19      ____________________________________________________________________
    20      ____________________________________________________________________
    21      ____________________________________________________________________
    22      ____________________________________________________________________
 
    23  6.  List  any interest, in EXCESS of $1,000, held by the reporting indi-
    24      vidual, such individual's spouse or unemancipated child, or partner-

    25      ship of which any such person is a member, or  corporation,  10%  or
    26      more  of  the  stock  of  which  is  owned or controlled by any such
    27      person, whether vested  or  contingent,  in  any  contract  made  or
    28      executed  by  a  state  or  local agency and include the name of the
    29      entity which holds such interest and the relationship of the report-
    30      ing individual or such individual's spouse or  such  child  to  such
    31      entity  and  the interest in such contract. Do NOT include bonds and
    32      notes. Do NOT list any interest in any such contract on which  final
    33      payment  has been made and all obligations under the contract except
    34      for guarantees and warranties have been performed, provided,  howev-
    35      er,  that such an interest must be listed if there has been an ongo-
    36      ing dispute during the calendar year for  which  this  statement  is

    37      filed with respect to any such guarantees or warranties. Do NOT list
    38      any  interest in a contract made or executed by a local agency after
    39      public notice and pursuant to a process for competitive bidding or a
    40      process for competitive requests for proposals.
 
    41                   Entity       Relationship   Contracting     Category
    42       Self,     Which Held      to Entity       State or         of
    43      Spouse or  Interest in    and Interest      Local        Value of
    44       Child      Contract      in Contract       Agency       Contract
    45                                                             (In Table II)
 
    46      ____________________________________________________________________
    47      ____________________________________________________________________
    48      ____________________________________________________________________

    49      ____________________________________________________________________
    50      ____________________________________________________________________

        A. 8301                            11
 
     1  7.  List any position the reporting individual held as an officer of any
     2      political party or political organization, as a member of any  poli-
     3      tical  party committee, or as a political party district leader. The
     4      term "party" shall have the same meaning as "party" in the  election
     5      law.  The term "political organization" means any party or independ-
     6      ent body as defined in the election law or any organization that  is
     7      affiliated with or a subsidiary of a party or independent body.
 
     8      ____________________________________________________________________
     9      ____________________________________________________________________

    10      ____________________________________________________________________
    11      ____________________________________________________________________
    12      ____________________________________________________________________
 
    13  8.  (a)  If  the  reporting individual practices law, is licensed by the
    14      department of state as a real estate broker or agent or practices  a
    15      profession  licensed  by  the department of education, or works as a
    16      member or employee of  a  firm  required  to  register  pursuant  to
    17      section  one-e  of the legislative law as a lobbyist, give a general
    18      description of the principal subject areas of matters undertaken  by
    19      such  individual. Additionally, if such an individual practices with
    20      a firm or corporation and is a partner or shareholder of the firm or

    21      corporation, give a general description of principal  subject  areas
    22      of  matters undertaken by such firm or corporation. [Do not list the
    23      name of the individual clients, customers or patients.]
 
    24      ____________________________________________________________________
    25      ____________________________________________________________________
    26      ____________________________________________________________________
    27      ____________________________________________________________________
    28      ____________________________________________________________________
 
    29    (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
    30  PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE, OR FOR NEW MATTERS
    31  FOR  EXISTING  CLIENTS  OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT

    32  ARE PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE:
    33    If the reporting individual personally provides services to any person
    34  or entity, or works as a member or employee of a partnership  or  corpo-
    35  ration  that  provides  such  services  (referred  to  hereinafter  as a
    36  "firm"), then identify each client or customer  to  whom  the  reporting
    37  individual personally provided services, or who was referred to the firm
    38  by  the  reporting individual, and from whom the reporting individual or
    39  his or her firm earned fees in excess of $10,000  during  the  reporting
    40  period for such services rendered in direct connection with:
    41    (i) A proposed bill or resolution in the senate or assembly during the
    42  reporting period;

    43    (ii)  A contract in an amount totaling $50,000  or more from the state
    44  or any state agency for services, materials, or property;
    45    (iii) A grant of $25,000  or more from the state or any  state  agency
    46  during the reporting period;
    47    (iv)  A  grant  obtained  through  a legislative initiative during the
    48  reporting period; or
    49    (v) A case, proceeding, application or other  matter  that  is  not  a
    50  ministerial matter before a state agency during the reporting period.

        A. 8301                            12
 
     1    For  purposes  of  this  question,  "referred to the firm" shall mean:
     2  having intentionally and knowingly taken a specific  act  or  series  of

     3  acts  to  intentionally  procure  for the reporting individual's firm or
     4  knowingly solicit or direct to the reporting individual's firm in  whole
     5  or  substantial  part,  a person or entity that becomes a client of that
     6  firm for the purposes of representation  for  a  matter  as  defined  in
     7  subparagraphs  (i)  through (v) of this paragraph, as the result of such
     8  procurement, solicitation or direction of the  reporting  individual.  A
     9  reporting  individual  need  not  disclose  activities  performed  while
    10  lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
    11  sion seven of section seventy-three of this article.
    12    The disclosure requirement in this question shall not require  disclo-

    13  sure  of  clients  or  customers  receiving  medical or dental services,
    14  mental health services, residential real estate brokering  services,  or
    15  insurance brokering services from the reporting individual or his or her
    16  firm.   The reporting individual need not identify any client to whom he
    17  or she or his or her firm provided legal representation with respect  to
    18  investigation or prosecution by law enforcement authorities, bankruptcy,
    19  or  domestic  relations  matters. With respect to clients represented in
    20  other matters, where disclosure of a  client's  identity  is  likely  to
    21  cause harm, the reporting individual shall request an exemption from the
    22  joint  commission  pursuant  to  paragraph  (i)  of  subdivision nine of

    23  section ninety-four of the executive law.  Only a  reporting  individual
    24  who  first  enters  public office after July first, two thousand twelve,
    25  need not report clients or customers with respect to matters  for  which
    26  the reporting individual or his or her firm was retained prior to enter-
    27  ing public office.
    28  Client                                    Nature of Services Provided
    29  ________________________________________________________________________
    30  ________________________________________________________________________
    31  ________________________________________________________________________
    32  ________________________________________________________________________
    33  ________________________________________________________________________
 

    34    (c) List  the  name,  principal address and general description or the
    35  nature of the business activity of any entity  in  which  the  reporting
    36  individual  or  such  individual's spouse had an investment in excess of
    37  $1,000 excluding investments in securities and interests in real proper-
    38  ty.
 
    39      ____________________________________________________________________
    40      ____________________________________________________________________
    41      ____________________________________________________________________
    42      ____________________________________________________________________
    43      ____________________________________________________________________
 
    44  9.  List each source of  gifts,  EXCLUDING  campaign  contributions,  in
    45      EXCESS  of  $1,000,  received  during the reporting period for which
    46      this statement is filed by the reporting individual or such individ-

    47      ual's spouse or unemancipated child from the same  donor,  EXCLUDING
    48      gifts  from  a  relative. INCLUDE the name and address of the donor.
    49      The term "gifts" does not  include  reimbursements,  which  term  is
    50      defined  in  item  10.    Indicate the value and nature of each such
    51      gift.

        A. 8301                            13
 
     1                                                               Category
     2       Self,                                                      of
     3      Spouse or  Name of                       Nature          Value of
     4       Child      Donor         Address        of Gift           Gift
     5                                                             (In Table I)
 
     6      ____________________________________________________________________
     7      ____________________________________________________________________

     8      ____________________________________________________________________
     9      ____________________________________________________________________
    10      ____________________________________________________________________
 
    11  10. Identify  and  briefly describe the source of any reimbursements for
    12      expenditures, EXCLUDING campaign expenditures  and  expenditures  in
    13      connection  with  official duties reimbursed by the state, in EXCESS
    14      of $1,000 from each such source. For purposes of this item, the term
    15      "reimbursements" shall mean any travel-related expenses provided  by
    16      nongovernmental  sources and for activities related to the reporting
    17      individual's official duties such as, speaking engagements,  confer-
    18      ences,  or  factfinding  events.  The term "reimbursements" does NOT
    19      include gifts reported under item 9.
 

    20      Source                                                   Description
 
    21      ____________________________________________________________________
    22      ____________________________________________________________________
    23      ____________________________________________________________________
    24      ____________________________________________________________________
    25      ____________________________________________________________________
 
    26  11. List the identity and value, if reasonably  ascertainable,  of  each
    27      interest  in a trust, estate or other beneficial interest, including
    28      retirement plans (other than retirement plans of the  state  of  New
    29      York  or  the  city  of  New  York), and deferred compensation plans
    30      (e.g., 401, 403(b), 457, etc.) established in  accordance  with  the

    31      internal  revenue  code,  in  which  the REPORTING INDIVIDUAL held a
    32      beneficial interest in EXCESS of  $1,000  at  any  time  during  the
    33      preceding  year. Do NOT report interests in a trust, estate or other
    34      beneficial interest established by or for, or the estate of, a rela-
    35      tive.
 
    36                                                               Category
    37      Identity                                                 of Value*
    38                                                             (In Table II)
 
    39      ____________________________________________________________________
    40      ____________________________________________________________________
    41      ____________________________________________________________________
    42      ____________________________________________________________________

    43      ____________________________________________________________________
    44    * The value of such interest shall  be  reported  only  if  reasonably
    45  ascertainable.
 
    46  12. (a)  Describe  the terms of, and the parties to, any contract, prom-
    47      ise, or other agreement between the  reporting  individual  and  any
    48      person,  firm, or corporation with respect to the employment of such

        A. 8301                            14
 
     1      individual after leaving office or position (other than a  leave  of
     2      absence).
 
     3      ____________________________________________________________________
     4      ____________________________________________________________________
     5      ____________________________________________________________________
     6      ____________________________________________________________________

     7      ____________________________________________________________________
 
     8  (b)  Describe  the  parties  to and the terms of any agreement providing
     9      for continuation of payments or benefits to the REPORTING INDIVIDUAL
    10      in EXCESS of $1,000 from a prior  employer  OTHER  THAN  the  State.
    11      (This  includes  interests  in  or  contributions to a pension fund,
    12      profit-sharing plan, or life or  health  insurance;  buy-out  agree-
    13      ments; severance payments; etc.)
 
    14      ____________________________________________________________________
    15      ____________________________________________________________________
    16      ____________________________________________________________________
    17      ____________________________________________________________________
    18      ____________________________________________________________________
 

    19  13. List  below  the nature and amount of any income in EXCESS of $1,000
    20      from EACH SOURCE for the reporting individual and such  individual's
    21      spouse  for  the  taxable  year  last occurring prior to the date of
    22      filing.   Nature of income includes, but  is  not  limited  to,  all
    23      income  (other  than  that received from the employment listed under
    24      Item 2 above) from compensated employment whether public or private,
    25      directorships and other fiduciary  positions,  contractual  arrange-
    26      ments,  teaching  income,  partnerships,  honorariums, lecture fees,
    27      consultant fees, bank and bond interest, dividends,  income  derived
    28      from  a trust, real estate rents, and recognized gains from the sale
    29      or exchange of real or other property.   Income from a  business  or
    30      profession  and  real estate rents shall be reported with the source

    31      identified by the building address in the case of real estate  rents
    32      and  otherwise  by the name of the entity and not by the name of the
    33      individual customers, clients or tenants,  with  the  aggregate  net
    34      income  before  taxes  for  each  building  address or entity.   The
    35      receipt of maintenance received in  connection  with  a  matrimonial
    36      action, alimony and child support payments shall not be listed.
 
    37      Self/                                                       Category
    38      Spouse          Source                   Nature            of Amount
    39                                                              (In Table I)
 
    40      ____________________________________________________________________
    41      ____________________________________________________________________
    42      ____________________________________________________________________

    43      ____________________________________________________________________
    44      ____________________________________________________________________
 
    45  14. List  the  sources of any deferred income (not retirement income) in
    46      EXCESS of $1,000 from each source to be paid to the reporting  indi-
    47      vidual  following  the  close  of  the  calendar year for which this
    48      disclosure statement is  filed,  other  than  deferred  compensation
    49      reported  in  item  11 hereinabove. Deferred income derived from the

        A. 8301                            15
 
     1      practice of a profession shall be listed in the aggregate and  shall
     2      identify  as the source, the name of the firm, corporation, partner-
     3      ship or association through which the income was derived, but  shall
     4      not identify individual clients.
 

     5                                                                  Category
     6      Source                                                     of Amount
     7                                                              (In Table I)
 
     8      ____________________________________________________________________
     9      ____________________________________________________________________
    10      ____________________________________________________________________
    11      ____________________________________________________________________
    12      ____________________________________________________________________
 
    13  15. List  each assignment of income in EXCESS of $1,000, and each trans-
    14      fer other than to a relative during the reporting period  for  which
    15      this  statement  is  filed  for  less  than fair consideration of an
    16      interest in a trust, estate or other beneficial interest, securities

    17      or real property, by the reporting individual, in excess of  $1,000,
    18      which  would  otherwise be required to be reported herein and is not
    19      or has not been so reported.
 
    20      Item Assigned                    Assigned or             Category
    21      or Transferred                 Transferred to            of Value
    22                                                             (In Table I)
 
    23      ____________________________________________________________________
    24      ____________________________________________________________________
    25      ____________________________________________________________________
    26      ____________________________________________________________________
    27      ____________________________________________________________________
 
    28  16. List below the type and market  value  of  securities  held  by  the

    29      reporting  individual  or such individual's spouse from each issuing
    30      entity in EXCESS of $1,000 at the close of  the  taxable  year  last
    31      occurring  prior  to  the  date of filing, including the name of the
    32      issuing entity exclusive of securities held by the  reporting  indi-
    33      vidual issued by a professional corporation. Whenever an interest in
    34      securities  exists  through  a  beneficial  interest in a trust, the
    35      securities held in such trust shall be listed ONLY IF the  reporting
    36      individual has knowledge thereof except where the reporting individ-
    37      ual  or  the reporting individual's spouse has transferred assets to
    38      such trust for his or her benefit in  which  event  such  securities
    39      shall  be  listed unless they are not ascertainable by the reporting
    40      individual because the trustee is under an obligation  or  has  been

    41      instructed  in  writing not to disclose the contents of the trust to
    42      the reporting individual. Securities of which the reporting individ-
    43      ual or the reporting individual's spouse is the owner of record  but
    44      in which such individual or the reporting individual's spouse has no
    45      beneficial  interest  shall  not be listed.   Indicate percentage of
    46      ownership ONLY if the reporting person  or  the  reporting  person's
    47      spouse  holds  more  than five percent (5%) of the stock of a corpo-
    48      ration in which the stock  is  publicly  traded  or  more  than  ten
    49      percent  (10%)  of  the stock of a corporation in which the stock is
    50      NOT publicly traded.  Also  list  securities  owned  for  investment

        A. 8301                            16
 
     1      purposes by a corporation more than fifty percent (50%) of the stock

     2      of  which is owned or controlled by the reporting individual or such
     3      individual's spouse.  For the purpose of this item the term "securi-
     4      ties" shall mean mutual funds, bonds, mortgages, notes, obligations,
     5      warrants and stocks of any class, investment interests in limited or
     6      general  partnerships  and  certificates  of deposits (CDs) and such
     7      other evidences of indebtedness and certificates of interest as  are
     8      usually  referred to as securities.  The market value for such secu-
     9      rities shall be reported only if reasonably ascertainable and  shall
    10      not be reported if the security is an interest in a general partner-
    11      ship  that  was listed in item 8 (a) or if the security is corporate
    12      stock, NOT publicly traded, in a trade or business  of  a  reporting
    13      individual or a reporting individual's spouse.
 

    14                                       Percentage
    15                                       of corporate
    16                                       stock owned
    17                                       or controlled      Category of
    18                                       (if more than      Market Value
    19                                       5% of pub-         as of the close
    20                                       licly traded       of the
    21                                       stock, or          taxable year
    22                                       more than          last occurring
    23                                       10% if stock       prior to
    24      Self/   Issuing     Type of      not publicly       the filing of
    25      Spouse  Entity      Security     traded, is held)   this statement
    26                                                          (In Table II)
 

    27      ____________________________________________________________________
    28      ____________________________________________________________________
    29      ____________________________________________________________________
    30      ____________________________________________________________________
    31      ____________________________________________________________________
 
    32  17. List  below  the  location,  size, general nature, acquisition date,
    33      market value and percentage of ownership of  any  real  property  in
    34      which  any vested or contingent interest in EXCESS of $1,000 is held
    35      by the reporting individual or the  reporting  individual's  spouse.
    36      Also  list  real  property owned for investment purposes by a corpo-
    37      ration more than fifty percent (50%) of the stock of which is  owned

    38      or  controlled  by  the  reporting  individual  or such individual's
    39      spouse. Do NOT list any  real  property  which  is  the  primary  or
    40      secondary  personal  residence  of  the  reporting individual or the
    41      reporting individual's spouse, except where there is a co-owner  who
    42      is other than a relative.
 
    43                                                                  Category
    44      Self/                                             Percentage   of
    45      Spouse/                      General  Acquisition    of      Market
    46      Corporation  Location Size   Nature     Date      Ownership   Value
    47                                                                    (In
    48                                                                    Table
    49                                                                    II)
 

    50      ____________________________________________________________________
    51      ____________________________________________________________________

        A. 8301                            17
 
     1      ____________________________________________________________________
     2      ____________________________________________________________________
     3      ____________________________________________________________________
 
     4  18. List  below all notes and accounts receivable, other than from goods
     5      or services sold, held by the reporting individual at the  close  of
     6      the  taxable  year  last  occurring  prior to the date of filing and
     7      other debts owed to such individual at the close of the taxable year
     8      last occurring prior to the date of filing,  in  EXCESS  of  $1,000,
     9      including  the  name of the debtor, type of obligation, date due and

    10      the nature of the collateral  securing  payment  of  each,  if  any,
    11      excluding  securities  reported in item 16 hereinabove. Debts, notes
    12      and accounts receivable owed to the individual by a  relative  shall
    13      not be reported.
 
    14                                Type of Obligation,               Category
    15                                Date Due, and Nature                 of
    16      Name of Debtor            of Collateral, if any               Amount
    17                                                             (In Table II)
 
    18      ____________________________________________________________________
    19      ____________________________________________________________________
    20      ____________________________________________________________________
    21      ____________________________________________________________________

    22      ____________________________________________________________________
 
    23  19. List  below  all  liabilities  of  the reporting individual and such
    24      individual's spouse, in EXCESS of [$5,000] $10,000 as of the date of
    25      filing of this statement, other than liabilities to a  relative.  Do
    26      NOT list liabilities incurred by, or guarantees made by, the report-
    27      ing individual or such individual's spouse or by any proprietorship,
    28      partnership or corporation in which the reporting individual or such
    29      individual's  spouse  has  an interest, when incurred or made in the
    30      ordinary course of the trade, business or professional  practice  of
    31      the  reporting  individual  or such individual's spouse. Include the
    32      name of the creditor and any collateral pledged by  such  individual

    33      to  secure  payment  of  any  such liability. A reporting individual
    34      shall not list any obligation to pay maintenance in connection  with
    35      a  matrimonial  action,  alimony or child support payments. Any loan
    36      issued in the ordinary course of business by a financial institution
    37      to finance educational costs, the cost of home purchase or  improve-
    38      ments  for  a  primary  or  secondary  residence,  or  purchase of a
    39      personally owned motor vehicle, household  furniture  or  appliances
    40      shall be excluded. If any such reportable liability has been guaran-
    41      teed by any third person, list the liability and name the guarantor.
 
    42                                                                  Category
    43      Name of Creditor          Type of Liability                    of
    44      or Guarantor              and Collateral, if any              Amount

    45                                                             (In Table II)
 
    46      ____________________________________________________________________
    47      ____________________________________________________________________
    48      ____________________________________________________________________
    49      ____________________________________________________________________
    50      ____________________________________________________________________

        A. 8301                            18
 
     1      The  requirements  of  law  relating  to  the reporting of financial
     2      interests are in the public interest and  no  adverse  inference  of
     3      unethical  or  illegal conduct or behavior will be drawn merely from
     4      compliance with these requirements.
 
     5      ___________________________________       _________________________

     6      (Signature of Reporting Individual)       Date  (month/day/year)
 
     7                                     TABLE I
     8      Category A                  none
     9      Category B      $        1 to under $    1,000
    10      Category C      $    1,000 to under $    5,000
    11      Category D      $    5,000 to under $   20,000
    12      Category E      $   20,000 to under $   50,000
    13      Category F      $   50,000 to under $   75,000
    14      Category G      $   75,000 to under $  100,000
    15      Category H      $  100,000 to under $  150,000
    16      Category I      $  150,000 to under $  250,000
    17      Category J      $  250,000 to under $  350,000

    18      Category K      $  350,000 to under $  450,000
    19      Category L      $  450,000 to under $  550,000
    20      Category M      $  550,000 to under $  650,000
    21      Category N      $  650,000 to under $  750,000
    22      Category O      $  750,000 to under $  850,000
    23      Category P      $  850,000 to under $  950,000
    24      Category Q      $  950,000 to under $1,050,000
    25      Category R      $1,050,000 to under $1,150,000
    26      Category S      $1,150,000 to under $1,250,000
    27      Category T      $1,250,000 to under $1,350,000
    28      Category U      $1,350,000 to under $1,450,000

    29      Category V      $1,450,000 to under $1,550,000
    30      Category W      $1,550,000 to under $1,650,000
    31      Category X      $1,650,000 to under $1,750,000
    32      Category Y      $1,750,000 to under $1,850,000
    33      Category Z      $1,850,000 to under $1,950,000
    34      Category AA     $1,950,000 to under $2,050,000
    35      Category BB     $2,050,000 to under $2,150,000
    36      Category CC     $2,150,000 to under $2,250,000
    37      Category DD     $2,250,000 to under $2,350,000
    38      Category EE     $2,350,000 to under $2,450,000
    39      Category FF     $2,450,000 to under $2,550,000

    40      Category GG     $2,550,000 to under $2,650,000
    41      Category HH     $2,650,000 to under $2,750,000
    42      Category II     $2,750,000 to under $2,850,000
    43      Category JJ     $2,850,000 to under $2,950,000
    44      Category KK     $2,950,000 to under $3,050,000
    45      Category LL     $3,050,000 to under $3,150,000
    46      Category MM     $3,150,000 to under $3,250,000
    47      Category NN     $3,250,000 to under $3,350,000
    48      Category OO     $3,350,000 to under $3,450,000
    49      Category PP     $3,450,000 to under $3,550,000
    50      Category QQ     $3,550,000 to under $3,650,000

    51      Category RR     $3,650,000 to under $3,750,000
    52      Category SS     $3,750,000 to under $3,850,000
    53      Category TT     $3,850,000 to under $3,950,000
    54      Category UU     $3,950,000 to under $4,050,000

        A. 8301                            19
 
     1      Category VV     $4,050,000 to under $4,150,000
     2      Category WW     $4,150,000 to under $4,250,000
     3      Category XX     $4,250,000 to under $4,350,000
     4      Category YY     $4,350,000 to under $4,450,000
     5      Category ZZ     $4,450,000 to under $4,550,000
     6      Category AAA    $4,550,000 to under $4,650,000

     7      Category BBB    $4,650,000 to under $4,750,000
     8      Category CCC    $4,750,000 to under $4,850,000
     9      Category DDD    $4,850,000 to under $4,950,000
    10      Category EEE    $4,950,000 to under $5,050,000
    11      Category FFF    $5,050,000 to under $5,150,000
    12      Category GGG    $5,150,000 to under $5,250,000
    13      Category HHH    $5,250,000 to under $5,350,000
    14      Category III    $5,350,000 to under $5,450,000
    15      Category JJJ    $5,450,000 to under $5,550,000
    16      Category KKK    $5,550,000 to under $5,650,000
    17      Category LLL    $5,650,000 to under $5,750,000

    18      Category MMM    $5,750,000 to under $5,850,000
    19      Category NNN    $5,580,000 to under $5,950,000
    20      Category OOO    $5,950,000 to under $6,050,000
    21      Category PPP    $6,050,000 to under $6,150,000
    22      Category QQQ    $6,150,000 to under $6,250,000
    23      Category RRR    $6,250,000 to under $6,350,000
    24      Category SSS    $6,350,000 to under $6,450,000
    25      Category TTT    $6,450,000 to under $6,550,000
    26      Category UUU    $6,550,000 to under $6,650,000
    27      Category VVV    $6,650,000 to under $6,750,000
    28      Category WWW    $6,750,000 to under $6,850,000

    29      Category XXX    $6,850,000 to under $6,950,000
    30      Category YYY    $6,950,000 to under $7,050,000
    31      Category ZZZ    $7,050,000 to under $7,150,000
    32      Category AAAA   $7,150,000 to under $7,250,000
    33      Category BBBB   $7,250,000 to under $7,350,000
    34      Category CCCC   $7,350,000 to under $7,450,000
    35      Category DDDD   $7,450,000 to under $7,550,000
    36      Category EEEE   $7,550,000 to under $7,650,000
    37      Category FFFF   $7,650,000 to under $7,750,000
    38      Category GGGG   $7,750,000 to under $7,850,000
    39      Category HHHH   $7,850,000 to under $7,950,000

    40      Category IIII   $7,950,000 to under $8,050,000
    41      Category JJJJ   $8,050,000 to under $8,150,000
    42      Category KKKK   $8,150,000 to under $8,250,000
    43      Category LLLL   $8,250,000 to under $8,350,000
    44      Category MMMM   $8,350,000 to under $8,450,000
    45      Category NNNN   $8,450,000 to under $8,550,000
    46      Category OOOO   $8,550,000 to under $8,650,000
    47      Category PPPP   $8,650,000 to under $8,750,000
    48      Category QQQQ   $8,750,000 to under $8,850,000
    49      Category RRRR   $8,850,000 to under $8,950,000
    50      Category SSSS   $8,950,000 to under $9,050,000

    51      Category TTTT   $9,050,000 to under $9,150,000
    52      Category UUUU   $9,150,000 to under $9,250,000
    53      Category VVVV   $9,250,000 to under $9,350,000
    54      Category WWWW   $9,350,000 to under $9,450,000
    55      Category XXXX   $9,450,000 to under $9,550,000
    56      Category YYYY   $9,550,000 to under $9,650,000

        A. 8301                            20
 
     1      Category ZZZZ   $9,650,000 to under $9,750,000
     2      Category AAAAA  $9,750,000 to under $9,850,000
     3      Category BBBBB  $9,850,000 to under $9,950,000
     4      Category CCCCC  $9,950,000 to under $10,000,000

     5      Category DDDDD  $10,000,000 or over
 
     6                                    TABLE II
     7      Category A                none
     8      Category B    $        1 to under $    1,000
     9      Category C    $    1,000 to under $    5,000
    10      Category D    $    5,000 to under $   20,000
    11      Category E    $   20,000 to under $   50,000
    12      Category F    $   50,000 to under $   75,000
    13      Category G    $   75,000 to under $  100,000
    14      Category H    $  100,000 to under $  150,000
    15      Category I    $  150,000 to under $  250,000
    16      Category J    $  250,000 to under $  500,000

    17      Category K    $  500,000 to under $  750,000
    18      Category L    $  750,000 to under $1,000,000
    19      Category M    $1,000,000 to under $1,250,000
    20      Category N    $1,250,000 to under $1,500,000
    21      Category O    $1,500,000 to under $1,750,000
    22      Category P    $1,750,000 to under $2,000,000
    23      Category Q    $2,000,000 to under $2,250,000
    24      Category R    $2,250,000 to under $2,500,000
    25      Category S    $2,500,000 to under $2,750,000
    26      Category T    $2,750,000 to under $3,000,000
    27      Category U    $3,000,000 to under $3,250,000

    28      Category V    $3,250,000 to under $3,500,000
    29      Category W    $3,500,000 to under $3,750,000
    30      Category X    $3,750,000 to under $4,000,000
    31      Category Y    $4,000,000 to under $4,250,000
    32      Category Z    $4,250,000 to under $4,500,000
    33      Category AA   $4,500,000 to under $4,750,000
    34      Category BB   $4,750,000 to under $5,000,000
    35      Category CC   $5,000,000 to under $5,250,000
    36      Category DD   $5,250,000 to under $5,500,000
    37      Category EE   $5,500,000 to under $5,750,000
    38      Category FF   $5,750,000 to under $6,000,000

    39      Category GG   $6,000,000 to under $6,250,000
    40      Category HH   $6,250,000 to under $6,500,000
    41      Category II   $6,500,000 to under $6,750,000
    42      Category JJ   $6,750,000 to under $7,000,000
    43      Category KK   $7,000,000 to under $7,250,000
    44      Category LL   $7,250,000 to under $7,500,000
    45      Category MM   $7,500,000 to under $7,750,000
    46      Category NN   $7,750,000 to under $8,000,000
    47      Category OO   $8,000,000 to under $8,250,000
    48      Category PP   $8,250,000 to under $8,500,000
    49      Category QQ   $8,500,000 to under $8,750,000

    50      Category RR   $8,750,000 to under $9,000,000
    51      Category SS   $9,000,000 to under $9,250,000
    52      Category TT   $9,250,000 to under $9,500,000
    53      Category UU   $9,500,000 or over
    54    4.  A reporting individual who knowingly and wilfully fails to file an
    55  annual statement of financial disclosure or who knowingly  and  wilfully

        A. 8301                            21
 
     1  with  intent  to  deceive  makes  a false statement or gives information
     2  which such individual knows to be false on such statement  of  financial
     3  disclosure  filed  pursuant  to this section shall be subject to a civil
     4  penalty in an amount not to exceed [ten] forty thousand dollars. Assess-

     5  ment  of  a  civil  penalty hereunder shall be made by the [state] joint
     6  commission on public ethics [commission] or by  the  legislative  ethics
     7  [committee]  commission,  as  the  case  may be, with respect to persons
     8  subject to their respective jurisdictions.  The [state] joint commission
     9  on public ethics [commission] acting pursuant to subdivision  [thirteen]
    10  fourteen  of section ninety-four of the executive law or the legislative
    11  ethics [committee] commission acting pursuant  to  subdivision  [twelve]
    12  eleven  of  section  eighty  of the legislative law, as the case may be,
    13  may, in lieu of or in addition to a civil penalty, refer a violation  to

    14  the appropriate prosecutor and upon such conviction, but only after such
    15  referral, such violation shall be punishable as a class A misdemeanor. A
    16  civil penalty for false filing may not be imposed hereunder in the event
    17  a category of "value" or "amount" reported hereunder is incorrect unless
    18  such  reported  information  is falsely understated. Notwithstanding any
    19  other provision of law to the contrary, no other penalty, civil or crim-
    20  inal may be imposed for a failure to file, or for  a  false  filing,  of
    21  such  statement,  except that the appointing authority may impose disci-
    22  plinary action as otherwise provided by law. The [state]  joint  commis-
    23  sion  on  public ethics [commission] and the legislative ethics [commit-
    24  tee] commission shall each be deemed to be an agency within the  meaning

    25  of  article  three  of  the state administrative procedure act and shall
    26  adopt rules  governing  the  conduct  of  adjudicatory  proceedings  and
    27  appeals relating to the assessment of the civil penalties herein author-
    28  ized.  Such  rules,  which shall not be subject to the approval require-
    29  ments of the state administrative procedure act, shall provide  for  due
    30  process  procedural  mechanisms substantially similar to those set forth
    31  in such article three but such mechanisms need not be identical in terms
    32  or scope. Assessment of a civil penalty shall be final unless  modified,
    33  suspended  or vacated within thirty days of imposition and upon becoming
    34  final shall be subject to review at the instance of the affected report-
    35  ing individual in a  proceeding  commenced  against  the  [state]  joint

    36  commission on public ethics [commission or legislative ethics committee]
    37  or  the legislative ethics commission, pursuant to article seventy-eight
    38  of the civil practice law and rules.
    39    5. Nothing contained in this section shall be construed as  precluding
    40  any  public  authority or public benefit corporation from exercising any
    41  authority or power now or hereafter  existing  to  require  any  of  its
    42  members,  directors,  officers or employees to file financial disclosure
    43  statements with such public authority or public benefit corporation that
    44  are the same as, different from or supplemental to any of  the  require-
    45  ments  contained  herein  and  to  provide  only for internal employment
    46  discipline for any violation arising out of such internal filing.
    47    6. Notwithstanding any other provision  of  law  or  any  professional

    48  disciplinary rule to the contrary, the disclosure of the identity of any
    49  client  or  customer  on  a  reporting  individual's annual statement of
    50  financial disclosure shall not constitute professional misconduct  or  a
    51  ground  for  disciplinary  action of any kind, or form the basis for any
    52  civil or criminal cause of action or proceeding.
    53    § 6. Section 94 of the executive law, as added by chapter 813  of  the
    54  laws  of  1987, the section heading and subdivisions 1, 2, 3, 4, 5, 6, 7
    55  and 8 as amended by section 2, subdivisions 9, 10, 11, 12,  13,  14,  16
    56  and 17 as amended and subdivisions 13-a, 16-a and 18 as added by section

        A. 8301                            22
 
     1  2-a,  paragraph  (l) of subdivision 9 as amended by section 3, paragraph

     2  (c) of subdivision 12 as amended by section 4, subdivision 15 as amended
     3  by section 5, and paragraphs (a) and (b) of subdivision 17 as amended by
     4  section  6  of  chapter  14  of  the laws of 2007, is amended to read as
     5  follows:
     6    § 94. [Commission] Joint  commission  on  public  [integrity]  ethics;
     7  functions, powers and duties; review of financial disclosure statements;
     8  advisory opinions; investigation and enforcement.
     9    1. There is established within the department of state a joint commis-
    10  sion  on  public  [integrity]  ethics  which shall consist of [thirteen]
    11  fourteen members and shall have and exercise the powers and  duties  set
    12  forth   in  this  section  [only]  with  respect  to  statewide  elected

    13  officials, members of the legislature and employees of the  legislature,
    14  and  state  officers and employees, as defined in sections seventy-three
    15  and seventy-three-a of the public officers law, candidates for statewide
    16  elected office and for the senate or assembly, and the  political  party
    17  chairman  as  that  term  is  defined  in section seventy-three-a of the
    18  public officers law, lobbyists and the  clients  of  lobbyists  as  such
    19  terms  are defined in article one-A of the legislative law, and individ-
    20  uals who have formerly held such positions, were lobbyists or clients of
    21  lobbyists, as such terms are defined in article one-A of the legislative
    22  law, or who have formerly been such candidates. This section  shall  not
    23  [revoke  or  rescind]  be  deemed to have revoked or rescinded any regu-

    24  lations or advisory opinions issued by the  legislative  ethics  commis-
    25  sion,  the  commission  on public integrity, the state ethics commission
    26  and the temporary lobbying commission in effect upon the effective  date
    27  of  [a] chapter fourteen of the laws of two thousand seven which amended
    28  this section to the extent that such regulations  or  opinions  are  not
    29  inconsistent with any law of the state of New York, but such regulations
    30  and opinions shall apply only to matters over which such commissions had
    31  jurisdiction  at the time such regulations and opinions were promulgated
    32  or issued. The commission shall undertake a comprehensive review of  all
    33  such  regulations  and  opinions,  which will address the consistency of
    34  such regulations and opinions among each other and with the new statuto-

    35  ry language, and of the effectiveness of the existing laws, regulations,
    36  guidance and ethics enforcement  structure  to  address  the  ethics  of
    37  covered  public  officials  and  related parties.   Such review shall be
    38  conducted with the legislative ethics  commission  and,  to  the  extent
    39  possible,  the report's findings shall reflect the full input and delib-
    40  erations of both commissions after joint  consultation.  The  commission
    41  shall,  before  [April  first,  two  thousand eight] February first, two
    42  thousand fifteen, report to the governor and legislature regarding  such
    43  review  and  shall propose any regulatory or statutory changes and issue
    44  any advisory opinions necessitated by such review.

    45    2. The members of the commission shall be appointed [by  the  governor
    46  provided,  however, that one member shall be appointed on the nomination
    47  of the comptroller, one member shall be appointed on the  nomination  of
    48  the  attorney  general,  one  member] as follows: three members shall be
    49  appointed [on the nomination of]  by  the  temporary  president  of  the
    50  senate, [one member] three members shall be appointed [on the nomination
    51  of]  by  the  speaker of the assembly, one member shall be appointed [on
    52  the nomination of] by the minority  leader  of  the  senate,  [and]  one
    53  member  shall be appointed [on the nomination of] by the minority leader

    54  of the assembly, and six members shall be appointed by the governor  and
    55  the  lieutenant  governor.    In  the  event  that a vacancy arises with
    56  respect to a member of the commission first appointed  pursuant  to  the

        A. 8301                            23
 
     1  chapter  of  the laws of two thousand eleven which amended this subdivi-
     2  sion by a legislative leader, the legislative leaders of the same  poli-
     3  tical party in the same house shall appoint a member to fill such vacan-
     4  cy  irrespective of whether that legislative leader's political party is
     5  in the majority or minority. Of the [seven]  members  appointed  by  the
     6  governor  [without  prior  nomination,  no  more than four members shall

     7  belong to the same political party and no members shall be public  offi-
     8  cers  or  employees  or hold any public office, elected or appointed. No
     9  member shall be a member of the legislature, a candidate for  member  of
    10  the  legislature,  an  employee  of  the  legislature, a political party
    11  chairman as defined in paragraph  (k)  of  subdivision  one  of  section
    12  seventy-three  of  the  public officers law, or a lobbyist as defined in
    13  subdivision (a) of section one-c of the legislative law] and  the  lieu-
    14  tenant governor, at least three members shall be and shall have been for
    15  at  least  three  years enrolled members of the major political party in
    16  which the governor is not enrolled.   In the event of  a  vacancy  in  a

    17  position  previously  appointed by the governor and lieutenant governor,
    18  the governor and lieutenant governor shall appoint a member of the  same
    19  political  party  as  the  member that vacated that position.   Prior to
    20  making their respective appointments, the governor  and  the  lieutenant
    21  governor and the legislative leaders shall solicit and receive recommen-
    22  dations  for appointees from the attorney general and the comptroller of
    23  the state of New York, which recommendations shall be fully and properly
    24  considered but shall not be binding.
    25    No individual shall be eligible for appointment as  a  member  of  the
    26  commission who currently or within the last three years:
    27    (i) is or has been registered as a lobbyist in New York state;

    28    (ii)  is  or  has been a member of the New York state legislature or a
    29  statewide elected official or a  commissioner  of  an  executive  agency
    30  appointed by the governor; or
    31    (iii)  is  or has been a political party chairman, as defined in para-
    32  graph (k) of subdivision one of section seventy-three of this article.
    33    No individual shall be eligible for appointment as  a  member  of  the
    34  commission  who currently or within the last year is or has been a state
    35  officer or employee or legislative employee as defined in section seven-
    36  ty-three of the public officers law.
    37    3. Members of the commission shall serve  for  terms  of  five  years;
    38  provided,  however,  that  of the members first appointed [without prior

    39  nomination] by the governor and lieutenant governor, one shall serve for
    40  one year, one shall serve for two  years,  one  shall  serve  for  three
    41  years,  and  one shall serve for four years, as designated by the gover-
    42  nor; the members first appointed [on the nominations of the  comptroller
    43  and]  by the temporary president of the senate and by the speaker of the
    44  assembly shall serve for four years and the members first appointed  [on
    45  the  nominations  of  the  attorney  general  and the speaker of] by the
    46  minority leaders of the senate and the  assembly  shall  serve  for  two
    47  years.
    48    4.  The  governor  shall designate the chairman of the commission from
    49  among the members thereof, who shall serve as chairman at  the  pleasure

    50  of  the  governor.  The  chairman  or  any  [seven] eight members of the
    51  commission may call a meeting.
    52    5. Any vacancy occurring on the  commission  shall  be  filled  within
    53  [sixty]  thirty  days  of its occurrence[, by the governor,] in the same
    54  manner as the member whose vacancy is  being  filled  was  appointed.  A
    55  person appointed to fill a vacancy occurring other than by expiration of

        A. 8301                            24
 
     1  a term of office shall be appointed for the unexpired term of the member
     2  he or she succeeds.
     3    6.  [Seven] Eight members of the commission shall constitute a quorum,
     4  and the commission shall have power to act by majority vote of the total

     5  number of members of the commission without  vacancy  except  where  the
     6  commission acts pursuant to subdivision thirteen, subdivision fourteen-a
     7  or subdivision fourteen-b of this section.
     8    7. Members of the commission may be removed by the [governor] appoint-
     9  ing  authority  solely for substantial neglect of duty, gross misconduct
    10  in office, violation of the confidentiality restrictions in  subdivision
    11  nine-a  of  this section, inability to discharge the powers or duties of
    12  office or violation of this section, after written notice  and  opportu-
    13  nity for a reply.
    14    8.  [The  members of the commission shall not receive compensation but
    15  shall be reimbursed for reasonable expenses incurred in the  performance

    16  of  their  official  duties]  The  members of the joint commission shall
    17  receive a per diem allowance in the sum of  three  hundred  dollars  for
    18  each  day  actually  spent in the performance of his or her duties under
    19  this article, and, in addition thereto,  shall  be  reimbursed  for  all
    20  reasonable  expenses  actually and necessarily incurred by him or her in
    21  the performance of his or her duties under this article.
    22    9. The commission shall:
    23    (a) Appoint an executive director who shall act in accordance with the
    24  policies of the commission.  The appointment and removal of  the  execu-
    25  tive  director  shall  be  made  solely  by  a vote of a majority of the
    26  commission, which majority shall include at least one  member  appointed

    27  by  the  governor  from each of the two major political parties, and one
    28  member appointed by a legislative leader from  each  of  the  two  major
    29  political  parties.  The commission may delegate authority to the execu-
    30  tive director to act in the name of the commission between  meetings  of
    31  the commission provided such delegation is in writing [and], the specif-
    32  ic  powers  to be delegated are enumerated, and the commission shall not
    33  delegate any decisions specified in this section that require a vote  of
    34  the  commission.    The  executive  director  shall be appointed without
    35  regard to political affiliation and solely on the basis  of  fitness  to
    36  perform  the  duties assigned by this article, and shall be a qualified,

    37  independent professional.   The  commission  may  remove  the  executive
    38  director  for  neglect  of  duty, misconduct in office, violation of the
    39  confidentiality restrictions in subdivision nine-a of this  section,  or
    40  inability  or  failure  to  discharge  the  powers  or duties of office,
    41  including the failure to follow the lawful instructions of  the  commis-
    42  sion;
    43    (b)  Appoint such other staff as are necessary to carry out its duties
    44  under this section;
    45    (b-1) Review and approve a staffing plan provided and prepared by  the
    46  executive  director  which  shall  contain,  at a minimum, a list of the
    47  various units and divisions as well as the number of positions  in  each
    48  unit,  titles  and  their  duties,  and salaries, as well as the various

    49  qualifications for each position including, but not limited  to,  educa-
    50  tion and prior experience for each position.
    51    (c)  Adopt,  amend, and rescind rules and regulations to govern proce-
    52  dures of the commission, which shall include, but not be limited to, the
    53  procedure whereby a person who is required to file an  annual  financial
    54  disclosure statement with the commission may request an additional peri-
    55  od  of  time  within which to file such statement, other than members of
    56  the legislature, candidates for members of the legislature and  legisla-

        A. 8301                            25
 
     1  tive  employees,  due to justifiable cause or undue hardship; such rules
     2  or regulations shall provide for a date beyond which  in  all  cases  of

     3  justifiable cause or undue hardship no further extension of time will be
     4  granted;
     5    (d) Adopt, amend, and rescind rules and regulations to assist appoint-
     6  ing  authorities  in  determining which persons hold policy-making posi-
     7  tions for purposes of section seventy-three-a  of  the  public  officers
     8  law;
     9    (d-1)  Adopt,  amend  and  rescind  rules and regulations defining the
    10  permissible use of and  promoting  the  proper  use  of  public  service
    11  announcements;
    12    (e) Make available forms for annual statements of financial disclosure
    13  required  to  be filed pursuant to section seventy-three-a of the public
    14  officers law;
    15    (f) Review financial disclosure  statements  in  accordance  with  the
    16  provisions  of  this  section, provided however, that the commission may

    17  delegate all or part of this review function to the  executive  director
    18  who  shall be responsible for completing staff review of such statements
    19  in a manner consistent with the terms of the commission's delegation;
    20    (g) Receive complaints and referrals alleging  violations  of  section
    21  seventy-three,  seventy-three-a  or  seventy-four of the public officers
    22  law, article one-A of the legislative law or section one  hundred  seven
    23  of the civil service law;
    24    (h)  Permit any person [subject to the jurisdiction of the commission]
    25  who is required to file a financial disclosure statement with the  joint
    26  commission  on  public ethics to request that the commission [to] delete
    27  from the copy thereof made available for public inspection  and  copying
    28  one  or more items of information which may be deleted by the commission

    29  upon a finding by the commission that the information which would other-
    30  wise be required to be made available for public inspection and  copying
    31  will have no material bearing on the discharge of the reporting person's
    32  official duties. If such request for deletion is denied, the commission,
    33  in  its  notification  of  denial, shall inform the person of his or her
    34  right to appeal the commission's determination  pursuant  to  its  rules
    35  governing  adjudicatory  proceedings  and  appeals  adopted  pursuant to
    36  subdivision [thirteen] fourteen of this section;
    37    (i) Permit any person [subject to the jurisdiction of the  commission]
    38  who  is required to file a financial disclosure statement with the joint
    39  commission on public ethics to request an exemption from any requirement

    40  to report one or  more  items  of  information  which  pertain  to  such
    41  person's  spouse  or  unemancipated  children which item or items may be
    42  exempted by the commission upon a finding by  the  commission  that  the
    43  reporting  individual's spouse, on his or her own behalf or on behalf of
    44  an unemancipated child, objects to providing the  information  necessary
    45  to  make  such disclosure and that the information which would otherwise
    46  be required to  be  reported  will  have  no  material  bearing  on  the
    47  discharge of the reporting person's official duties. If such request for
    48  exemption  is  denied,  the  commission,  in its notification of denial,
    49  shall inform the person of his or her right to appeal  the  commission's
    50  determination  pursuant  to its rules governing adjudicatory proceedings
    51  and appeals adopted pursuant to subdivision [thirteen] fourteen of  this

    52  section;
    53    (i-1) Permit any person required to file a financial disclosure state-
    54  ment to request an exemption from any requirement to report the identity
    55  of  a  client  pursuant to question 8(b) in such statement based upon an
    56  exemption set forth in that question. The reporting individual need  not

        A. 8301                            26
 
     1  seek  an exemption to refrain from disclosing the identity of any client
     2  with respect to any matter he or she or his or her firm  provided  legal
     3  representation  to  the  client  in  connection with an investigation or
     4  prosecution  by  law  enforcement  authorities,  bankruptcy, or domestic
     5  relations matters; in addition, clients or customers  receiving  medical

     6  or  dental  services,  mental  health  services, residential real estate
     7  brokering  services,  or  insurance  brokering  services  need  not   be
     8  disclosed.
     9    (j) Advise and assist any state agency in establishing rules and regu-
    10  lations  relating  to  possible  conflicts between private interests and
    11  official duties of present or former  statewide  elected  officials  and
    12  state officers and employees;
    13    (k)  Permit  any  person  who  has  not  been determined by his or her
    14  appointing authority to hold a policy-making position but who is  other-
    15  wise  required  to  file  a financial disclosure statement to request an
    16  exemption from such requirement in accordance with rules and regulations
    17  governing such exemptions. Such rules and regulations shall provide  for
    18  exemptions  to  be granted either on the application of an individual or

    19  on behalf of persons who share the same job title or employment  classi-
    20  fication  which  the  commission  deems to be comparable for purposes of
    21  this section. Such rules and regulations may permit the granting  of  an
    22  exemption  where, in the discretion of the commission, the public inter-
    23  est does not require  disclosure  and  the  applicant's  duties  do  not
    24  involve the negotiation, authorization or approval of:
    25    (i)  contracts,  leases,  franchises, revocable consents, concessions,
    26  variances, special permits, or licenses as defined in  section  seventy-
    27  three of the public officers law;
    28    (ii)  the  purchase,  sale, rental or lease of real property, goods or
    29  services, or a contract therefor;
    30    (iii) the obtaining of grants of money or loans; or
    31    (iv) the adoption or repeal of any rule or regulation having the force
    32  and effect of law;

    33    (l) Prepare an annual report to the governor and legislature summariz-
    34  ing the activities of the commission during the previous year and recom-
    35  mending any changes in the laws governing the conduct of persons subject
    36  to the jurisdiction of the commission, or  the  rules,  regulations  and
    37  procedures   governing  the  commission's  conduct.  Such  report  shall
    38  include: (i) a listing by assigned number of each complaint and referral
    39  received which alleged a possible  violation  within  its  jurisdiction,
    40  including  the current status of each complaint, and (ii) where a matter
    41  has been resolved, the date and nature of the disposition and any  sanc-
    42  tion  imposed,  subject  to  the  confidentiality  requirements  of this
    43  section, provided, however, that such annual report  shall  not  contain
    44  any information for which disclosure is not permitted pursuant to subdi-

    45  vision [seventeen] nineteen of this section; [and]
    46    (m)  Determine  a  question  common  to a class or defined category of
    47  persons or items of information required to be disclosed, where determi-
    48  nation of the question will prevent undue  repetition  of  requests  for
    49  exemption  or  deletion  or prevent undue complication in complying with
    50  the requirements of such section[.]; and
    51    (n) Promulgate guidelines for the commission to conduct a  program  of
    52  random  reviews,  to be carried out in the following manner:  (i) annual
    53  statements of financial disclosure shall be selected  for  review  in  a
    54  manner  pursuant  to  which  the identity of any particular person whose
    55  statement is selected is unknown to the commission and its  staff  prior

    56  to  its selection; (ii) such review shall include a preliminary examina-

        A. 8301                            27
 
     1  tion of the selected statement for internal  consistency,  a  comparison
     2  with  other  records  maintained by the commission, including previously
     3  filed statements and requests for advisory opinions, and examination  of
     4  relevant  public  information;  (iii) upon completion of the preliminary
     5  examination, the commission shall determine whether further  inquiry  is
     6  warranted, whereupon it shall notify the reporting individual in writing
     7  that  the  statement is under review, advise the reporting individual of
     8  the specific areas of inquiry, and provide the reporting individual with

     9  the opportunity to provide  any  relevant  information  related  to  the
    10  specific areas of inquiry, and the opportunity to file amendments to the
    11  selected  statement  on  forms  provided  by the commission; and (iv) if
    12  thereafter sufficient cause exists, the commission shall take additional
    13  actions, as appropriate and consistent with law.
    14    9-a. (a) When an individual becomes a commissioner  or  staff  of  the
    15  commission,  that  individual shall be required to sign a non-disclosure
    16  statement.
    17    (b) Except  as  otherwise  required  or  provided  by  law,  testimony
    18  received or any other information obtained by a commissioner or staff of
    19  the  commission  shall  not  be  disclosed by any such individual to any

    20  person or entity outside the  commission  during  the  pendency  of  any
    21  matter.   Any confidential communication to any person or entity outside
    22  the commission related to the matters before the  commission  may  occur
    23  only as authorized by the commission.
    24    (c) The commission shall establish procedures necessary to prevent the
    25  unauthorized disclosure of any information received by any member of the
    26  commission  or staff of the commission.  Any breaches of confidentiality
    27  shall be investigated by the inspector general  and  appropriate  action
    28  shall  be  taken.  Any commissioner or person employed by the commission
    29  who intentionally and without authorization releases confidential infor-

    30  mation received by the commission shall be guilty of a class A misdemea-
    31  nor.
    32    9-b. During the period of his or her service as a commissioner of  the
    33  commission,  each  commissioner shall refrain from making, or soliciting
    34  from other persons, any contributions to candidates for election to  the
    35  offices  of governor, lieutenant governor, member of the assembly or the
    36  senate, attorney general or state comptroller.
    37    10.  The commission shall prepare materials and design and  administer
    38  an  ethics  training  program  for  individuals subject to the financial
    39  disclosure requirements of section seventy-three-a of the  public  offi-
    40  cers  law  with  respect  to  the  provisions of sections seventy-three,

    41  seventy-three-a, and seventy-four of the public  officers  law  and  any
    42  other  law,  administrative  regulation,  or  internal policy that is of
    43  relevance to the ethical conduct of such individuals in public  service,
    44  as follows:
    45    (a) The commission shall develop and administer a comprehensive ethics
    46  training  course  and  shall  designate and train instructors to conduct
    47  such training. Such course shall be designed as a two-hour  program  and
    48  shall  include practical application of the material covered and a ques-
    49  tion-and-answer participatory segment. Unless the commission  grants  an
    50  extension or waiver for good cause shown, all individuals subject to the
    51  financial  disclosure  requirements  of  section  seventy-three-a of the

    52  public officers law shall complete such course within two years  of  the
    53  effective  date  of the chapter of the laws of two thousand eleven which
    54  amended this section, or for  those  individuals  elected  or  appointed
    55  after  the  effective  date  of  the chapter of the laws of two thousand
    56  eleven which amended this section, within two years of becoming  subject

        A. 8301                            28
 
     1  to  the  financial disclosure requirements of section seventy-three-a of
     2  the public officers law.
     3    (b)  The  commission  shall  develop  and  administer an online ethics
     4  orientation course and shall notify all individuals newly subject to the
     5  financial disclosure requirements  of  section  seventy-three-a  of  the

     6  public  officers  law  of  such course, which shall be completed by such
     7  individuals within three months of becoming  subject  to  such  require-
     8  ments,  unless  the  commission  grants  an extension or waiver for good
     9  cause shown. Individuals who have  completed  the  comprehensive  ethics
    10  training  course  shall  not  be  required to complete the online ethics
    11  orientation course.
    12    (c) The commission shall develop and administer an ethics  seminar  or
    13  ethics  seminars  for  individuals  who  have  previously  completed the
    14  comprehensive ethics training course. Such seminars shall be designed as
    15  ninety-minute programs and shall include any changes in law, regulation,
    16  or policy or in the interpretation thereof, practical application of the

    17  material covered, and a question-and-answer segment. Unless the  commis-
    18  sion  grants  an extension or waiver for good cause shown, such individ-
    19  uals shall be scheduled to attend a seminar at least  once  every  three
    20  years  after  having completed the comprehensive ethics training course.
    21  In lieu of attending an ethics seminar, such individuals may complete  a
    22  subsequent comprehensive ethics training program.
    23    (d)  The  provisions  of  this  subdivision shall be applicable to the
    24  legislature except to the extent that  an  ethics  training  program  is
    25  otherwise  established  by  the  assembly or senate for their respective
    26  members and employees and such program meets  or  exceeds  each  of  the
    27  requirements set forth in this section.

    28    (e)  On an annual basis, the joint commission in coordination with the
    29  legislative ethics commission shall determine the status  of  compliance
    30  with  these training requirements by each state agency and by the senate
    31  and the assembly. Such determination shall include aggregate  statistics
    32  regarding  participation  in such training, and shall be reported to the
    33  governor and the legislature in writing.
    34    11. The commission, or the executive director and staff of the commis-
    35  sion if responsibility therefor has been delegated,  shall  inspect  all
    36  financial  disclosure  statements filed with the commission to ascertain
    37  whether any person subject to  the  reporting  requirements  of  section
    38  seventy-three-a  of  the  public  officers law has failed to file such a

    39  statement, has filed a deficient statement  or  has  filed  a  statement
    40  which  reveals  a  possible violation of section seventy-three, seventy-
    41  three-a or seventy-four of the public officers law.
    42    [11.] 12. If a person required to file a financial  disclosure  state-
    43  ment  with  the  commission has failed to file a disclosure statement or
    44  has filed a deficient statement, the commission shall notify the report-
    45  ing person in writing, state the failure to file or detail the deficien-
    46  cy, provide the person with a fifteen day period to cure the deficiency,
    47  and advise the person of the penalties for failure to  comply  with  the
    48  reporting requirements. Such notice shall be confidential. If the person
    49  fails  to  make  such  filing or fails to cure the deficiency within the
    50  specified time period, the commission shall send a notice of  delinquen-

    51  cy:  (a) to the reporting person; (b) in the case of a statewide elected
    52  official, member of the legislature, or a legislative employee,  to  the
    53  temporary  president  of the senate and the speaker of the assembly; and
    54  (c) in the case of a  state  officer  or  employee,  to  the  appointing
    55  authority for such person. Such notice of delinquency may be sent at any
    56  time  during the reporting person's service as a statewide elected offi-

        A. 8301                            29
 
     1  cial, state officer or employee, member of the assembly or  the  senate,
     2  or  a  legislative employee or a political party chair or while a candi-
     3  date for statewide office, or within one year after termination of  such
     4  service  or  candidacy.  The jurisdiction of the commission, when acting

     5  pursuant to subdivision [thirteen] fourteen of this section with respect
     6  to financial disclosure, shall continue notwithstanding that the report-
     7  ing person separates from state service, or ceases  to  hold  public  or
     8  political  party  office  [as  a statewide elected official or political
     9  party chair], or ceases to be a candidate, provided the commission noti-
    10  fies such person of the alleged failure  to  file  or  deficient  filing
    11  pursuant to this subdivision.
    12    [12.]  13.  (a)  Investigations.  If  the  commission receives a sworn
    13  complaint   alleging   a    violation    of    section    seventy-three,
    14  seventy-three-a, or seventy-four of the public officers law, section one
    15  hundred  seven of the civil service law or article one-A of the legisla-

    16  tive law by a person or  entity  subject  to  the  jurisdiction  of  the
    17  commission  including members of the legislature and legislative employ-
    18  ees and candidates for member of the  legislature,  or  if  a  reporting
    19  individual  has  filed a statement which reveals a possible violation of
    20  these provisions, or if the commission determines on its own  initiative
    21  to  investigate  a  possible  violation, the commission shall notify the
    22  individual in writing, describe the possible  or  alleged  violation  of
    23  such  laws  and provide the person with a fifteen day period in which to
    24  submit a written response setting  forth  information  relating  to  the
    25  activities  cited  as  a  possible  or alleged violation of law. [If the
    26  commission thereafter makes a  determination  that  further  inquiry  is

    27  justified, it shall give the individual an opportunity to be heard.] The
    28  commission shall, within forty-five calendar days after a complaint or a
    29  referral  is  received  or  an investigation is initiated on the commis-
    30  sion's own initiative, vote on whether to commence a full  investigation
    31  of  the  matter  under  consideration to determine whether a substantial
    32  basis exists to conclude that a violation of  law  has  occurred.    The
    33  staff of the joint commission shall provide to the members prior to such
    34  vote  information regarding the likely scope and content of the investi-
    35  gation, and a subpoena plan, to the extent such  information  is  avail-
    36  able.    Such investigation shall be conducted if at least eight members

    37  of the commission vote to authorize it.    Where  the  subject  of  such
    38  investigation  is  a member of the legislature or a legislative employee
    39  or a candidate for member of the legislature, at least two of the  eight
    40  or more members who so vote to authorize such an investigation must have
    41  been  appointed  by a legislative leader or leaders from the major poli-
    42  tical party in which  the  subject  of  the  proposed  investigation  is
    43  enrolled  if  such person is enrolled in a major political party.  Where
    44  the subject of such investigation is a state officer or state  employee,
    45  at  least two of the eight or more members who so vote to authorize such
    46  an investigation must have been appointed by the governor and lieutenant

    47  governor. Where the subject of such investigation is a statewide elected
    48  official or a direct appointee of such an official, at least two of  the
    49  eight  or  more  members  who so vote to authorize such an investigation
    50  must have been appointed by the governor and lieutenant governor and  be
    51  enrolled  in  the  major  political  party  in  which the subject of the
    52  proposed investigation is enrolled, if such  person  is  enrolled  in  a
    53  major political party.
    54    (b)  Substantial basis investigation. Upon the affirmative vote of not
    55  less than eight commission  members  to  commence  a  substantial  basis
    56  investigation,  written  notice  of  the  commission's decision shall be

        A. 8301                            30
 

     1  provided to the individual who is the subject of such substantial  basis
     2  investigation.  Such  written notice shall include a copy of the commis-
     3  sion's rules and procedures and shall also include notification of  such
     4  individual's  right  to be heard within thirty calendar days of the date
     5  of the commission's written notice. The commission shall also inform the
     6  individual  of  its  rules  regarding  the   conduct   of   adjudicatory
     7  proceedings  and appeals and the other due process procedural mechanisms
     8  available to such individual. If the commission determines at any  stage
     9  [of  the  proceeding,]  that there is no violation or that any potential
    10  conflict of interest violation has been rectified, it  shall  so  advise
    11  the  individual  and  the  complainant,  if  any.  All  of the foregoing

    12  proceedings shall be confidential.
    13    [(b) If the commission determines that there is  reasonable  cause  to
    14  believe that a violation has occurred, it shall send a notice of reason-
    15  able cause: (i) to the reporting person; (ii) to the complainant if any;
    16  (iii)  in  the  case  of  a statewide elected official, to the temporary
    17  president of the senate and the speaker of the assembly; and (iv) in the
    18  case of a state officer or employee, to  the  appointing  authority  for
    19  such person.]
    20    (c)  The  jurisdiction  of the commission when acting pursuant to this
    21  section shall continue notwithstanding that a statewide elected official
    22  or a state officer or employee or member of the legislature or  legisla-

    23  tive  employee  separates from state service, or a political party chair
    24  ceases to hold such office, or a candidate ceases to be a candidate,  or
    25  a  lobbyist or client of a lobbyist ceases to act as such, provided that
    26  the commission  notifies  such  individual  or  entity  of  the  alleged
    27  violation  of  law  pursuant to paragraph (a) of this subdivision within
    28  one year from his or her separation from state service  or  his  or  her
    29  termination  of party service or candidacy, or from his, her or its last
    30  report filed pursuant to article one-A of the legislative  law.  Nothing
    31  in  this section shall serve to limit the jurisdiction of the commission
    32  in enforcement of subdivision eight  of  section  seventy-three  of  the
    33  public officers law.
    34    [13.]  14. An individual subject to the jurisdiction of the commission

    35  who knowingly and intentionally violates the provisions of  subdivisions
    36  two  through  [five]  five-a,  seven,  eight, twelve or fourteen through
    37  seventeen of section seventy-three of the public officers  law,  section
    38  one  hundred  seven  of the civil service law, or a reporting individual
    39  who knowingly and wilfully fails to file an annual statement  of  finan-
    40  cial  disclosure  or  who  knowingly and wilfully with intent to deceive
    41  makes a false statement or  fraudulent  omission  or  gives  information
    42  which  such  individual knows to be false on such statement of financial
    43  disclosure filed pursuant to section seventy-three-a of the public offi-
    44  cers law shall be subject to a civil penalty in an amount not to  exceed
    45  forty  thousand dollars and the value of any gift, compensation or bene-
    46  fit received as a result of such violation. An individual who  knowingly

    47  and intentionally violates the provisions of paragraph a, b, c, d, e, g,
    48  or i of subdivision three of section seventy-four of the public officers
    49  law  shall  be subject to a civil penalty in an amount not to exceed ten
    50  thousand dollars and the value of  any  gift,  compensation  or  benefit
    51  received as a result of such violation. [An individual who knowingly and
    52  intentionally violates the provisions of paragraph a, e or g of subdivi-
    53  sion  three  of section seventy-four of the public officers law shall be
    54  subject to a civil penalty in an amount not to exceed the value  of  any
    55  gift,  compensation  or benefit received as a result of such violation.]
    56  An individual subject to the jurisdiction of the commission who knowing-

        A. 8301                            31
 

     1  ly and willfully violates article one-A of the legislative law shall  be
     2  subject  to civil penalty as provided for in that article.  [Assessment]
     3  Except with respect  to  members  of  the  legislature  and  legislative
     4  employees,  assessment of a civil penalty hereunder shall be made by the
     5  commission with respect to persons subject to its  jurisdiction.    With
     6  respect  to  a  violation  of any law other than sections seventy-three,
     7  seventy-three-a, and seventy-four of the public officers law, where  the
     8  commission  finds  sufficient cause by a vote held in the same manner as
     9  set forth in paragraph (b) of subdivision thirteen of this  section,  it
    10  shall refer such matter to the appropriate prosecutor for further inves-

    11  tigation.  In assessing the amount of the civil penalties to be imposed,
    12  the commission shall consider the  seriousness  of  the  violation,  the
    13  amount  of  gain to the individual and whether the individual previously
    14  had any civil or criminal penalties imposed pursuant  to  this  section,
    15  and  any  other  factors  the commission deems appropriate. [For] Except
    16  with respect to members of the legislature  and  legislative  employees,
    17  for  a  violation  of  this  subdivision,  other  than for conduct which
    18  constitutes a violation of  section  one  hundred  seven  of  the  civil
    19  service  law,  subdivisions  twelve  or  fourteen  through  seventeen of
    20  section seventy-three or section seventy-four of the public officers law
    21  or article one-A of the legislative law, the commission [may, in lieu of

    22  a civil penalty,] may, in lieu of or in addition  to  a  civil  penalty,
    23  refer   a   violation  to  the  appropriate  prosecutor  and  upon  such
    24  conviction, such violation shall be punishable as a class A misdemeanor.
    25  A civil penalty for false filing may not be  imposed  hereunder  in  the
    26  event  a category of "value" or "amount" reported hereunder is incorrect
    27  unless such reported information is falsely understated. Notwithstanding
    28  any other provision of law to the contrary, no other penalty,  civil  or
    29  criminal may be imposed for a failure to file, or for a false filing, of
    30  such  statement,  or  a violation of subdivision six of section seventy-
    31  three of the public officers law, except that the  appointing  authority
    32  may impose disciplinary action as otherwise provided by law. The commis-

    33  sion may refer violations of this subdivision to the appointing authori-
    34  ty  for disciplinary action as otherwise provided by law. The commission
    35  shall be deemed to be an agency within the meaning of article  three  of
    36  the  state  administrative procedure act and shall adopt rules governing
    37  the conduct of adjudicatory proceedings and appeals taken pursuant to  a
    38  proceeding  commenced  under article seventy-eight of the civil practice
    39  law and rules relating to the assessment of the civil  penalties  herein
    40  authorized  and  commission denials of requests for certain deletions or
    41  exemptions to be made from a financial disclosure statement  as  author-
    42  ized  in  paragraph  (h)  or  paragraph  (i) of subdivision nine of this
    43  section. Such rules, which shall not be subject to the approval require-
    44  ments of the state administrative procedure act, shall provide  for  due

    45  process  procedural  mechanisms substantially similar to those set forth
    46  in article three of the state  administrative  procedure  act  but  such
    47  mechanisms  need  not  be  identical  in terms or scope. Assessment of a
    48  civil penalty or commission denial of such  a  request  shall  be  final
    49  unless  modified, suspended or vacated within thirty days of imposition,
    50  with respect to the assessment of such penalty, or unless such denial of
    51  request is reversed within such time period,  and  upon  becoming  final
    52  shall  be  subject  to  review at the instance of the affected reporting
    53  individuals in a proceeding commenced against the  commission,  pursuant
    54  to article seventy-eight of the civil practice law and rules.
    55    [13-a.  If  the  commission has a reasonable basis to believe that any
    56  person subject to the jurisdiction of the legislative ethics  commission

        A. 8301                            32

     1  may  have  violated  any provisions of section seventy-three or seventy-
     2  four of the public officers law, it shall refer such  violation  to  the
     3  legislative ethics commission unless the commission determines that such
     4  a  referral  would  compromise the prosecution or confidentiality of its
     5  investigations and, if so, shall make such a referral as soon as practi-
     6  cable. The referral by the commission to the legislative ethics  commis-
     7  sion  shall  include  any  information  relating thereto coming into the
     8  custody or under the control of the commission  at  any  time  prior  or
     9  subsequent to the time of the referral.

    10    14.]  14-a. The joint commission on public ethics shall have jurisdic-
    11  tion to investigate, but shall have no jurisdiction to impose  penalties
    12  upon  members of or candidates for member of the legislature or legisla-
    13  tive employees for any violation of the public officers law.  If,  after
    14  its  substantial  basis  investigation,  by  a  vote  of  at least eight
    15  members, two of whom are enrolled members of the  investigated  individ-
    16  ual's political party if the individual is enrolled in a major political
    17  party  and  were  appointed  by  a  legislative leader of such political
    18  party, the joint commission on public ethics  has  found  a  substantial
    19  basis  to  conclude  that  a  member of the legislature or a legislative

    20  employee or candidate for member of the  legislature  has  violated  any
    21  provisions of such laws, it shall present a written report to the legis-
    22  lative  ethics commission, and deliver a copy of the report to the indi-
    23  vidual who is the subject of  the  report.  Such  written  report  shall
    24  include:
    25    (a)  the  commission's  findings of fact and any evidence addressed in
    26  such findings; conclusions of law and citations  to  any  relevant  law,
    27  rule,  opinion,  regulation or standard of conduct upon which it relied;
    28  and
    29    (b) a determination that a substantial basis exists to conclude that a
    30  violation has occurred, and the reasons  and  basis  for  such  determi-
    31  nation.

    32    The  joint commission shall also separately provide to the legislative
    33  ethics commission copies  of  additional  documents  or  other  evidence
    34  considered including evidence that may contradict the joint commission's
    35  findings,  the  names  of and other information regarding any additional
    36  witnesses, and any other materials. With respect to a violation  of  any
    37  law other than sections seventy-three, seventy-three-a, and seventy-four
    38  of  the public officers law, where the joint commission finds sufficient
    39  cause by a vote held in the same manner as set forth in paragraph (b) of
    40  subdivision thirteen of this section, it shall refer such matter to  the
    41  appropriate prosecutor.
    42    14-b. With respect to the investigation of any individual who is not a

    43  member  of  the  legislature  or a legislative employee or candidate for
    44  member of the legislature, if after its investigation the joint  commis-
    45  sion  has  found a substantial basis to conclude that the individual has
    46  violated the public officers law  or  the  legislative  law,  the  joint
    47  commission  shall send a substantial basis investigation report contain-
    48  ing its findings of fact and conclusions of law to the individual.  With
    49  respect to an individual who is a statewide elected official or a direct
    50  appointee of such an official, no violation  may  be  found  unless  the
    51  majority  voting  in  support  of  such  a finding includes at least two
    52  members appointed by the governor and lieutenant governor  and  enrolled

    53  in the individual's major political party, if he or she is enrolled in a
    54  major  political  party.  Where  the  subject of such investigation is a
    55  state officer or employee who is not a direct appointee of  a  statewide
    56  elected  official, at least two of the eight or more members who vote to

        A. 8301                            33
 
     1  issue a substantial basis investigation report must have been  appointed
     2  by  the  governor  and lieutenant governor. The commission shall release
     3  such report publicly within forty-five days of its issuance.
     4    14-c.  With  respect  to  an investigation of a lobbyist, if after its
     5  investigation the joint commission has  found  a  substantial  basis  to

     6  conclude  that  the lobbyist has violated the legislative law, the joint
     7  commission shall issue a substantial basis investigation report contain-
     8  ing its findings of fact and conclusions of  law  to  the  lobbyist  and
     9  shall make public such report within forty-five days of its issuance.
    10    15. A copy of any notice of delinquency or [notice of reasonable cause
    11  sent  pursuant  to  subdivisions  eleven  and  twelve  of  this section]
    12  substantial basis investigation report shall be included in the  report-
    13  ing  person's  file  and  be available for public inspection and copying
    14  pursuant to the provisions of this section.
    15    [15.] 16. Upon written request from any person who is subject  to  the

    16  jurisdiction  of  the commission and the requirements of sections seven-
    17  ty-three, seventy-three-a or seventy-four of the  public  officers  law,
    18  other  than  members  of  the  legislature, candidates for member of the
    19  legislature and employees  of  the  legislature,  the  commission  shall
    20  render written advisory opinions on the requirements of said provisions.
    21  An  opinion  rendered  by  the  commission,  until and unless amended or
    22  revoked, shall be binding on the commission in any subsequent proceeding
    23  concerning the person who requested the opinion and who  acted  in  good
    24  faith,  unless material facts were omitted or misstated by the person in
    25  the request for an opinion. Such opinion may also be relied upon by such
    26  person, and may be introduced and shall be a defense, in any criminal or

    27  civil action. Such requests shall be confidential but the commission may
    28  publish such opinions provided that the name of  the  requesting  person
    29  and other identifying details shall not be included in the publication.
    30    [16.] 17. In addition to any other powers and duties specified by law,
    31  the commission shall have the power and duty to:
    32    (a) Promulgate rules concerning restrictions on outside activities and
    33  limitations  on the receipt of gifts and honoraria by persons subject to
    34  its jurisdiction, provided, however, a violation of such rules in and of
    35  itself shall not be punishable pursuant to subdivision [thirteen]  four-
    36  teen of this section unless the conduct constituting the violation would
    37  otherwise constitute a violation of this section; and

    38    (b)  [Conduct  training  programs  in  cooperation with the governor's
    39  office of employee relations to provide education to individuals subject
    40  to its jurisdiction; and
    41    (c)] Administer and enforce all the provisions of this section; and
    42    [(d)] (c)  Conduct  any  investigation  necessary  to  carry  out  the
    43  provisions of this section. Pursuant to this power and duty, the commis-
    44  sion  may  administer  oaths or affirmations, subpoena witnesses, compel
    45  their attendance and require the production  of  any  books  or  records
    46  which it may deem relevant or material;
    47    [16-a.]  18.  Within  one hundred twenty days of the effective date of
    48  this subdivision, the commission shall create and thereafter maintain  a
    49  publicly  accessible  website  which  shall  set forth the procedure for

    50  filing a complaint with the commission,  and  which  shall  contain  the
    51  documents   identified  in  subdivision  [seventeen]  nineteen  of  this
    52  section, other than financial disclosure statements[,]  filed  by  state
    53  officers or employees or legislative employees, and any other records or
    54  information which the commission determines to be appropriate.

        A. 8301                            34
 
     1    [17.]  19.  (a)  Notwithstanding  the provisions of article six of the
     2  public officers law, the only records of the commission which  shall  be
     3  available for public inspection and copying are:
     4    (1)  the  information  set  forth  in an annual statement of financial
     5  disclosure filed pursuant to section seventy-three-a of the public offi-

     6  cers law except [the categories of value or amount, which  shall  remain
     7  confidential,  and  any  other  item of] information deleted pursuant to
     8  paragraph (h) of subdivision nine of this section;
     9    (2) notices of delinquency sent under subdivision [eleven]  twelve  of
    10  this section;
    11    (3)  [notices of reasonable cause sent under paragraph (b) of subdivi-
    12  sion twelve of this section;
    13    (4)] notices of civil assessments imposed  under  this  section  which
    14  shall include a description of the nature of the alleged wrongdoing, the
    15  procedural  history  of  the  complaint, the findings and determinations
    16  made by the commission, and any sanction imposed;
    17    [(5)] (4) the terms of any settlement or compromise of a complaint  or

    18  referral which includes a fine, penalty or other remedy; [and
    19    (6)]  (5)  those  required to be held or maintained publicly available
    20  pursuant to article one-A of the legislative law[.]; and
    21    (6) substantial basis investigation reports issued by  the  commission
    22  pursuant  to  subdivision fourteen-a or fourteen-b of this section. With
    23  respect to reports concerning members of the legislature or  legislative
    24  employees or candidates for member of the legislature, the joint commis-
    25  sion  shall  not publicly disclose or otherwise disseminate such reports
    26  except in conformance with the requirements of paragraph (b) of subdivi-
    27  sion nine of section eighty of the legislative law.

    28    (b) Notwithstanding the provisions of  article  seven  of  the  public
    29  officers  law,  no  meeting or proceeding, including any such proceeding
    30  contemplated under paragraph (h) or (i)  of  subdivision  nine  of  this
    31  section,  of  the  commission  shall  be  open  to the public, except if
    32  expressly provided otherwise by the commission  or  as  is  required  by
    33  article one-A of the legislative law.
    34    (c)  Pending  any application for deletion or exemption to the commis-
    35  sion, all information which is the subject or a part of the  application
    36  shall  remain confidential. Upon an adverse determination by the commis-
    37  sion, the reporting individual may request, and upon  such  request  the
    38  commission  shall  provide, that any information which is the subject or
    39  part of the application remain confidential for a period of thirty  days

    40  following  notice of such determination. In the event that the reporting
    41  individual resigns his office and holds no other office subject  to  the
    42  jurisdiction of the commission, the information shall not be made public
    43  and shall be expunged in its entirety.
    44    [18]  20.  If any part or provision of this section or the application
    45  thereof to any person or organization is adjudged by a court  of  compe-
    46  tent  jurisdiction  to  be  unconstitutional  or otherwise invalid, such
    47  judgment shall not affect or impair any other part or provision  or  the
    48  application  thereof  to  any other person or organization, but shall be
    49  confined in its operation to such part or provision.
    50    § 7. Section 1-d of the legislative law is amended  by  adding  a  new
    51  subdivision (h) to read as follows:

    52    (h)  provide  an  online ethics training course for individuals regis-
    53  tered as lobbyists pursuant  to  section  one-e  of  this  article.  The
    54  curriculum for the course shall include, but not be limited to, explana-
    55  tions  and  discussions  of  the  statutes  and  regulations of New York
    56  concerning ethics in the public officers  law,  the  election  law,  the

        A. 8301                            35
 
     1  legislative law, summaries of advisory opinions, underlying purposes and
     2  principles  of  the relevant laws, and examples of practical application
     3  of these laws and principles. The commission shall prepare those methods
     4  and  materials  necessary  to  implement the curriculum. Each individual

     5  registered as a lobbyist pursuant to section one-e of this article shall
     6  complete such training course at least once  in  any  three-year  period
     7  during which he or she is registered as a lobbyist.
     8    §  7-a.  Subdivision  (c)  of  section  1-e  of the legislative law is
     9  amended by adding a new paragraph 8 to read as follows:
    10    (8) (i) the name and public office address of  any  statewide  elected
    11  official, state officer or employee, member of the legislature or legis-
    12  lative employee and entity with whom the lobbyist has a reportable busi-
    13  ness relationship;
    14    (ii)  a  description  of the general subject or subjects of the trans-
    15  actions between the lobbyist or  lobbyists  and  the  statewide  elected

    16  official, state officer or employee, member of the legislature or legis-
    17  lative employee and entity; and
    18    (iii)  the  compensation,  including  expenses, to be paid and paid by
    19  virtue of the business relationship.
    20    § 7-b. Subdivision (b) of  section  1-j  of  the  legislative  law  is
    21  amended by adding a new paragraph 6 to read as follows:
    22    (6)  (i)  the  name and public office address of any statewide elected
    23  official, state officer or employee, member of the legislature or legis-
    24  lative employee and entity with whom the client  of  a  lobbyist  has  a
    25  reportable business relationship;
    26    (ii)  a  description  of the general subject or subjects of the trans-
    27  actions between the client of a lobbyist and the statewide elected offi-

    28  cial, state officer or employee, member of the legislature  or  legisla-
    29  tive employee and entity; and
    30    (iii)  the  compensation,  including  expenses, to be paid and paid by
    31  virtue of the business relationship.
    32    § 8. Section 1-c of the legislative law is amended  by  adding  a  new
    33  subdivision (w) to read as follows:
    34    (w) The term "reportable business relationship" shall mean a relation-
    35  ship  in  which  compensation  is paid by a lobbyist or by a client of a
    36  lobbyist, in exchange for any goods, services or anything of value,  the
    37  total  value  of which is in excess of one thousand dollars annually, to
    38  be performed or provided by or intended to be performed or  provided  by

    39  (i)  any  statewide  elected  official,  state  officer, state employee,
    40  member of the legislature or legislative employee, or (ii) any entity in
    41  which the lobbyist or the client of a lobbyist knows or  has  reason  to
    42  know  the  statewide  elected  official,  state officer, state employee,
    43  member of the legislature or legislative employee is a proprietor, part-
    44  ner, director, officer or manager, or owns or controls  ten  percent  or
    45  more of the stock of such entity (or one percent in the case of a corpo-
    46  ration  whose  stock  is  regularly  traded on an established securities
    47  exchange).
    48    § 9. Section 80 of the legislative law, as amended by  chapter  14  of
    49  the laws of 2007, is amended to read as follows:

    50    §  80.  Legislative  ethics  commission; functions, powers and duties;
    51  review of financial disclosure statements; advisory opinions;  [investi-
    52  gation  and  enforcement]  imposition  of penalties or other enforcement
    53  actions.  1. There is established a legislative ethics commission  which
    54  shall  consist  of  nine  members.  Four members shall be members of the
    55  legislature and shall be appointed as  follows:  one  by  the  temporary
    56  president  of the senate, one by the speaker of the assembly, one by the

        A. 8301                            36
 
     1  minority leader of the senate and one by  the  minority  leader  of  the
     2  assembly.  The  remaining  five  members  shall not be present or former
     3  members of the legislature, candidates for member  of  the  legislature,

     4  employees  of  the  legislature,  political party chairmen as defined in
     5  paragraph (k) of subdivision one of section seventy-three of the  public
     6  officers law, or lobbyists, as defined in section one-c of this chapter,
     7  or  persons  who have been employees of the legislature, political party
     8  chairmen as defined in paragraph  (k)  of  subdivision  one  of  section
     9  seventy-three  of  the  public officers law, or lobbyists, as defined in
    10  section one-c of this chapter in the previous five years, and  shall  be
    11  appointed  as follows: one by the temporary president of the senate, one
    12  by the speaker of the assembly,  one  by  the  minority  leader  of  the
    13  senate,  one  by the minority leader of the assembly, and one jointly by
    14  the speaker of the assembly and majority leader  of  the  senate.    The
    15  commission  shall  serve as described in this section and have and exer-

    16  cise the powers and duties set forth in this section only  with  respect
    17  to  members  of  the  legislature,  legislative  employees as defined in
    18  section seventy-three of the public officers law, candidates for  member
    19  of the legislature and individuals who have formerly held such positions
    20  or who have formerly been such candidates.
    21    2.  Members  of the legislature who serve on the commission shall each
    22  have a two year term concurrent with their legislative terms of  office.
    23  The members of the commission who are not members of the legislature and
    24  who are first appointed by the temporary president of the senate, speak-
    25  er  of  the assembly, minority leader of the senate, and minority leader
    26  of the assembly shall serve one, two, three and four year terms, respec-
    27  tively. The member of the commission  first  appointed  jointly  by  the

    28  temporary  president  of  the  senate  and speaker of the assembly shall
    29  serve a four year term. Each member of  the  commission  who  is  not  a
    30  member  of  the  legislature shall be appointed thereafter for a term of
    31  four years.
    32    3. The temporary president of the senate and the speaker of the assem-
    33  bly shall each designate one member of the commission as a  co-chairper-
    34  son  thereof.  The commission shall meet at least bi-monthly and at such
    35  additional times as may be called for by the co-chairpersons jointly  or
    36  any five members of the commission.
    37    4.  Any  vacancy  occurring  on  the commission shall be filled within
    38  thirty days by the appointing authority.
    39    5. Five members of the commission shall constitute a quorum,  and  the
    40  commission  shall have power to act by majority vote of the total number
    41  of members of the commission without vacancy.

    42    6. The members of the commission who are not members of  the  legisla-
    43  ture  shall be reimbursed for reasonable expenses [incurred] and receive
    44  a per diem allowance in the sum of three hundred dollars  for  each  day
    45  spent in the performance of their official duties.
    46    7. The commission shall:
    47    a.  Appoint an executive director who shall act in accordance with the
    48  policies of the commission, provided that the commission may remove  the
    49  executive director for neglect of duty, misconduct in office, or inabil-
    50  ity or failure to discharge the powers or duties of office;
    51    b. Appoint such other staff as are necessary to assist it to carry out
    52  its duties under this section;
    53    c.  Adopt, amend, and rescind policies, rules and regulations consist-

    54  ent with this section to govern procedures of the commission which shall
    55  not be subject to the promulgation and hearing requirements of the state
    56  administrative procedure act;

        A. 8301                            37
 
     1    d. Administer the provisions of this section;
     2    e.  Specify the procedures whereby a person who is required to file an
     3  annual financial disclosure statement with the commission may request an
     4  additional period of time within which to file such  statement,  due  to
     5  justifiable  cause  or  undue  hardship; such rules or regulations shall
     6  provide for a date beyond which in all cases  of  justifiable  cause  or
     7  undue hardship no further extension of time will be granted;
     8    f. Promulgate guidelines to assist appointing authorities in determin-
     9  ing  which  persons hold policy-making positions for purposes of section

    10  seventy-three-a of the public officers law and may promulgate guidelines
    11  to assist firms, associations and corporations  in  separating  affected
    12  persons  from  net  revenues  for purposes of subdivision ten of section
    13  seventy-three of the public officers law, and promulgate  guidelines  to
    14  assist  any  firm,  association  or  corporation in which any present or
    15  former statewide elected official, state officer or employee, member  of
    16  the  legislature or legislative employee, or political party chairman is
    17  a member, associate, retired  member,  of  counsel  or  shareholder,  in
    18  complying  with  the  provisions  of subdivision ten of section seventy-
    19  three of the public officers law with respect to the separation of  such
    20  present or former statewide elected official, state officer or employee,
    21  member  of  the  legislature or legislative employee, or political party

    22  chairman from the net revenues of the firm, association or  corporation.
    23  Such firm, association or corporation shall not be required to adopt the
    24  procedures  contained  in  the  guidelines  to establish compliance with
    25  subdivision ten of section seventy-three of the public officers law, but
    26  if such firm, association or corporation does adopt such procedures,  it
    27  shall be deemed to be in compliance with such subdivision ten;
    28    g.  Make  available forms for financial disclosure statements required
    29  to be filed pursuant to subdivision six  of  section  seventy-three  and
    30  section  seventy-three-a  of  the public officers law as provided by the
    31  joint commission on public ethics;
    32    h. Review financial  disclosure  statements  in  accordance  with  the
    33  provisions  of  this  section, provided however, that the commission may

    34  delegate all or part  of  the  review  function  relating  to  financial
    35  disclosure   statements  filed  by  legislative  employees  pursuant  to
    36  sections seventy-three and seventy-three-a of the public officers law to
    37  the executive director who shall be  responsible  for  completing  staff
    38  review  of  such statements in a manner consistent with the terms of the
    39  commission's delegation;
    40    i. [Permit any person required to file a financial  disclosure  state-
    41  ment  to  request  the  commission  to delete from the copy thereof made
    42  available for public inspection and copying one or more items of  infor-
    43  mation,  which  may be deleted by the commission upon a finding that the
    44  information which would otherwise be required to be disclosed will  have

    45  no  material bearing on the discharge of the reporting person's official
    46  duties;
    47    j. Permit any person required to file a financial disclosure statement
    48  to request an exemption from any requirement to report one or more items
    49  of information which pertain to such person's  spouse  or  unemancipated
    50  children  which  item  or items may be exempted by the commission upon a
    51  finding that the reporting individual's spouse, on his or her own behalf
    52  or on behalf of an unemancipated child, objects to providing the  infor-
    53  mation  necessary to make such disclosure and that the information which
    54  would otherwise be required to be reported will have no material bearing
    55  on the discharge of the reporting person's official duties;

        A. 8301                            38

     1    k. Advise and assist the legislature in establishing rules  and  regu-
     2  lations  relating  to  possible  conflicts between private interests and
     3  official duties of present members of the  legislature  and  legislative
     4  employees;
     5    l.  Receive  and  act  on  complaints regarding persons subject to its
     6  jurisdiction alleging a possible  violation  of  section  seventy-three,
     7  seventy-three-a  or seventy-four of the public officers law, and conduct
     8  such investigations and proceedings as are authorized and  necessary  to
     9  carry out the provisions of this section. In connection with such inves-
    10  tigations, the commission may administer oaths or affirmations, subpoena

    11  witnesses,  compel  their  attendance  and require the production of any
    12  books or records which it may deem relevant or material;
    13    m. Accept and act upon, as if it were a sworn complaint, any  referral
    14  from another state oversight body indicating that a violation of section
    15  seventy-three  or  seventy-four  of  the  public  officers  law may have
    16  occurred involving persons subject to the jurisdiction  of  the  commis-
    17  sion;
    18    n.]  Upon written request from any person who is subject to the juris-
    19  diction of the commission and  the  requirements  of  sections  seventy-
    20  three,  seventy-three-a  and  seventy-four  of  the public officers law,
    21  render formal advisory opinions on the requirements of said  provisions.

    22  A  formal  written  opinion rendered by the commission, until and unless
    23  amended or revoked, shall be binding on the legislative  ethics  commis-
    24  sion  in  any  subsequent proceeding concerning the person who requested
    25  the opinion and who acted in good  faith,  unless  material  facts  were
    26  omitted  or  misstated by the person in the request for an opinion. Such
    27  opinion may also be relied upon by such person, and  may  be  introduced
    28  and  shall  be  a  defense  in  any  criminal or civil action. The joint
    29  commission on public ethics shall  not  investigate  an  individual  for
    30  potential  violations  of law based upon conduct approved and covered in
    31  its entirety by such an opinion, except  that  such  opinion  shall  not
    32  prevent  or  preclude  an investigation of and report to the legislative

    33  ethics commission concerning the conduct of the person who  obtained  it
    34  by  the  joint  commission  on  public  ethics for violations of section
    35  seventy-three, seventy-three-a or seventy-four of  the  public  officers
    36  law  to determine whether the person accurately and fully represented to
    37  the legislative ethics commission the facts relevant to the formal advi-
    38  sory opinion and whether the person's conduct conformed to those factual
    39  representations. The joint commission shall be authorized and shall have
    40  jurisdiction to investigate potential violations of the law arising from
    41  conduct outside of the scope of the terms of the advisory opinion; and
    42    [o.] j. Issue and publish generic advisory opinions covering questions

    43  frequently posed to the commission, or questions common to  a  class  or
    44  defined  category  of  persons, or that will tend to prevent undue repe-
    45  tition of requests or undue complication,  and  which  are  intended  to
    46  provide  general  guidance  and  information  to  persons subject to the
    47  commission's jurisdiction;
    48    [p.] k. Develop educational materials  and  training  with  regard  to
    49  legislative  ethics  for  members  of  the  legislature  and legislative
    50  employees including an online ethics orientation course for  newly-hired
    51  employees and, as requested by the senate or the assembly, materials and
    52  training in relation to a comprehensive ethics training program; and
    53    [q.]  l.  Prepare  an  annual  report  to the governor and legislature

    54  summarizing the activities of the commission during  the  previous  year
    55  and  recommending  any  changes  in  the  laws  governing the conduct of
    56  persons subject to the jurisdiction of the  commission,  or  the  rules,

        A. 8301                            39
 
     1  regulations  and  procedures  governing  the  commission's conduct. Such
     2  report shall include: (i) a listing by assigned number of each complaint
     3  and [referral] report received  from  the  joint  commission  on  public
     4  ethics  which  alleged  a  possible  violation  within its jurisdiction,
     5  including the current status of each complaint, and (ii) where a  matter
     6  has  been resolved, the date and nature of the disposition and any sanc-
     7  tion imposed,  subject  to  the  confidentiality  requirements  of  this

     8  section.  Such annual report shall not contain any information for which
     9  disclosure is not permitted pursuant to subdivision [fourteen] twelve of
    10  this section.
    11    8. [The commission, or the executive director and staff of the commis-
    12  sion if responsibility regarding such  financial  disclosure  statements
    13  filed  by  legislative  employees  has been delegated, shall inspect all
    14  financial disclosure statements filed with the commission  to  ascertain
    15  whether  any person subject to the reporting requirements of subdivision
    16  six of section seventy-three or section seventy-three-a  of  the  public
    17  officers  law has failed to file such a statement, has filed a deficient
    18  statement or has filed a statement which reveals a possible violation of

    19  section seventy-three, seventy-three-a or  seventy-four  of  the  public
    20  officers law.
    21    9.  If a person required to file a financial disclosure statement with
    22  the commission has failed to file a financial  disclosure  statement  or
    23  has filed a deficient statement, the commission shall notify the report-
    24  ing person in writing, state the failure to file or detail the deficien-
    25  cy, provide the person with a fifteen day period to cure the deficiency,
    26  and  advise  the  person of the penalties for failure to comply with the
    27  reporting requirements. Such notice shall be confidential. If the person
    28  fails to make such filing or fails to cure  the  deficiency  within  the
    29  specified  time period, the commission shall send a notice of delinquen-

    30  cy: (a) to the reporting person; (b) in the case of a  senator,  to  the
    31  temporary  president  of the senate, and if a member of assembly, to the
    32  speaker of the assembly; and (c) in the case of a legislative  employee,
    33  to  the appointing authority for such person and to the temporary presi-
    34  dent of the senate and/or the speaker of the assembly, as the  case  may
    35  be, who has jurisdiction over such appointing authority.  Such notice of
    36  delinquency  may  be  sent  at  any  time  during the reporting person's
    37  service as a member of the legislature or legislative employee or  while
    38  a  candidate  for  member  of  the legislature, or within one year after
    39  separation from such service or the termination of such candidacy.   The

    40  jurisdiction  of  the  commission,  when  acting pursuant to subdivision
    41  eleven of this section  with  respect  to  financial  disclosure,  shall
    42  continue  notwithstanding that the reporting person separates from state
    43  service or terminates his or  her  candidacy,  provided  the  commission
    44  notifies  such person of the alleged failure to file or deficient filing
    45  pursuant to this subdivision.
    46    10. a. If a reporting person has filed a  statement  which  reveals  a
    47  possible  violation  of section seventy-three, seventy-three-a or seven-
    48  ty-four of the public officers law, or the commission receives a  refer-
    49  ral  from  another  state  oversight  body, or the commission receives a

    50  sworn complaint alleging such a violation by a  reporting  person  or  a
    51  legislative  employee  subject to the provisions of such laws, or if the
    52  commission determines on its own initiative to  investigate  a  possible
    53  violation by a reporting person or a legislative employee subject to the
    54  provisions  of  such  laws,  the  commission  shall notify the reporting
    55  person in writing, describe the possible or  alleged  violation  thereof
    56  and  provide  the  person with a fifteen day period in which to submit a

        A. 8301                            40

     1  written response setting forth information relating  to  the  activities
     2  cited as a possible or alleged violation of law. If the commission ther-

     3  eafter makes a determination that further inquiry is justified, it shall
     4  give  the  reporting  person  an opportunity to be heard. The commission
     5  shall also inform the reporting individual of its  rules  regarding  the
     6  conduct  of  adjudicatory  proceedings  and  appeals and the due process
     7  procedural mechanisms available to such individual.  If  the  commission
     8  determines at any stage of the proceeding, that there is no violation or
     9  that any potential conflict of interest violation has been rectified, it
    10  shall so advise the reporting person and the complainant, if any. All of
    11  the foregoing proceedings shall be confidential.
    12    b.  If  the  commission  determines  that there is reasonable cause to

    13  believe that a violation has occurred, it shall send a notice of reason-
    14  able cause: (i) to the reporting person; (ii) to the complainant if any;
    15  (iii) in the case of a  senator,  to  the  temporary  president  of  the
    16  senate, and if a member of the assembly, to the speaker of the assembly;
    17  and  (iv)  in  the  case  of  a  legislative employee, to the appointing
    18  authority for such person and to the temporary president of  the  senate
    19  and/or  the  speaker of the assembly, as the case may be, who has juris-
    20  diction over such appointing authority.
    21    c.] The jurisdiction of the commission to impose penalties when acting
    22  pursuant to this section shall continue notwithstanding that a member of
    23  the legislature or a legislative employee separates from state  service,

    24  or  a  candidate for member of the legislature ceases to be a candidate,
    25  provided that [the commission notifies] such individual has  been  noti-
    26  fied  of  the  alleged violation of law [pursuant to paragraph a of this
    27  subdivision] within one year from  his  or  her  separation  from  state
    28  service  or  the  termination  of his or her candidacy. [Nothing in this
    29  section shall serve to limit  the  jurisdiction  of  the  commission  in
    30  enforcement  of subdivision eight of section seventy-three of the public
    31  officers law.
    32    11.] 9. (a) An individual subject to the jurisdiction of  the  commis-
    33  sion  with  respect  to  the  imposition  of penalties who knowingly and

    34  intentionally violates the provisions of subdivisions two through [five]
    35  five-a, seven, eight, twelve, fourteen or fifteen  of  section  seventy-
    36  three of the public officers law or a reporting individual who knowingly
    37  and  wilfully  fails to file an annual statement of financial disclosure
    38  or who knowingly and wilfully with  intent  to  deceive  makes  a  false
    39  statement  or  gives information which such individual knows to be false
    40  on such statement of financial  disclosure  filed  pursuant  to  section
    41  seventy-three-a  of  the public officers law shall be subject to a civil
    42  penalty in an amount not to exceed forty thousand dollars and the  value
    43  of  any  gift,  compensation  or  benefit  received  as a result of such
    44  violation. Any such individual who knowingly and intentionally  violates

    45  the  provisions of paragraph a, b, c, d, e, g, or i of subdivision three
    46  of section seventy-four of the public officers law shall be subject to a
    47  civil penalty in an amount not to exceed ten thousand  dollars  and  the
    48  value  of any gift, compensation or benefit received as a result of such
    49  violation. [Any such individual who knowingly and intentionally violates
    50  the provisions of paragraph a, e or g of subdivision  three  of  section
    51  seventy-four  of  the  public  officers  law shall be subject to a civil
    52  penalty in an amount equal to the value of  any  gift,  compensation  or
    53  benefit  received  as a result of such violation.] Assessment of a civil
    54  penalty hereunder shall be  made  by  the  commission  with  respect  to
    55  persons  subject  to  its  jurisdiction.  In assessing the amount of the

    56  civil penalties to be imposed, the commission shall consider  the  seri-

        A. 8301                            41
 
     1  ousness  of  the  violation,  the  amount  of gain to the individual and
     2  whether the individual previously had any civil  or  criminal  penalties
     3  imposed  pursuant  to this section, and any other factors the commission
     4  deems  appropriate.  For  a  violation  of  this section, other than for
     5  conduct which constitutes a violation of subdivision twelve, fourteen or
     6  fifteen of section seventy-three or section seventy-four of  the  public
     7  officers  law,  the  legislative ethics commission may, in lieu of or in
     8  addition to a civil penalty, refer a violation to the appropriate prose-
     9  cutor and upon such conviction,  but  only  after  such  referral,  such

    10  violation  shall  be  punishable  as  a class A misdemeanor.   Where the
    11  commission finds sufficient cause, it shall refer  such  matter  to  the
    12  appropriate  prosecutor.  A  civil  penalty  for false filing may not be
    13  imposed hereunder in  the  event  a  category  of  "value"  or  "amount"
    14  reported  hereunder  is  incorrect  unless  such reported information is
    15  falsely understated. Notwithstanding any other provision of law  to  the
    16  contrary, no other penalty, civil or criminal may be imposed for a fail-
    17  ure to file, or for a false filing, of such statement, or a violation of
    18  subdivision  six  of  section  seventy-three of the public officers law,
    19  except that the appointing authority may impose disciplinary  action  as
    20  otherwise  provided  by  law. The legislative ethics commission shall be

    21  deemed to be an agency within the meaning of article three of the  state
    22  administrative procedure act and shall adopt rules governing the conduct
    23  of  adjudicatory  proceedings and appeals taken pursuant to a proceeding
    24  commenced under article seventy-eight of  the  civil  practice  law  and
    25  rules  relating  to the assessment of the civil penalties herein author-
    26  ized [and commission  denials  of  requests  for  certain  deletions  or
    27  exemptions  to  be made from a financial disclosure statement as author-
    28  ized in paragraph  i  or  paragraph  j  of  subdivision  seven  of  this
    29  section]. Such rules, which shall not be subject to the promulgation and
    30  hearing  requirements  of  the state administrative procedure act, shall
    31  provide for due process procedural mechanisms substantially  similar  to

    32  those  set  forth  in such article three but such mechanisms need not be
    33  identical in terms or scope. Assessment of a civil penalty  [or  commis-
    34  sion  denial  of  such  a  deletion or exemption request] shall be final
    35  unless modified, suspended or vacated within thirty days of  imposition,
    36  with respect to the assessment of such penalty, or unless such denial of
    37  request  is  reversed  within  such time period, and upon becoming final
    38  shall be subject to review at the instance  of  the  affected  reporting
    39  individuals  in  a  proceeding  commenced against the legislative ethics
    40  commission, pursuant to article seventy-eight of the civil practice  law
    41  and rules.
    42    [12.]  (b)  Not later than forty-five calendar days after receipt from
    43  the joint commission on public ethics of  a  written  substantial  basis

    44  investigation report and any supporting documentation or other materials
    45  regarding  a  matter before the commission pursuant to subdivision four-
    46  teen-a of section ninety-four of the executive law, unless requested  by
    47  a  law  enforcement agency to suspend the commission's action because of
    48  an ongoing criminal investigation,  the  legislative  ethics  commission
    49  shall  make  public such report in its entirety; provided, however, that
    50  the commission may withhold such information for not more than one addi-
    51  tional period of the same duration or refer the matter back to the joint
    52  commission on public ethics once for additional investigation, in  which
    53  case  the  legislative  ethics commission shall, upon the termination of

    54  such additional period or upon receipt of a  new  report  by  the  joint
    55  commission  on  public  ethics after such additional investigation, make
    56  public the written report and publish it on  the  commission's  website.

        A. 8301                            42
 
     1  If  the  legislative  ethics commission fails to make public the written
     2  report received from the joint commission in accordance with this  para-
     3  graph,  the joint commission shall release such report publicly promptly
     4  and  in  any  event  no later than ten days after the legislative ethics
     5  commission is required to release such report.   The legislative  ethics
     6  commission  shall  not  refer the matter back to the joint commission on

     7  public ethics for additional investigation  more  than  once.    If  the
     8  commission refers the matter back to the joint commission for additional
     9  fact-finding, the joint commission's original report shall remain confi-
    10  dential.
    11    10.  Upon  receipt  of  a  written report from the joint commission on
    12  public ethics pursuant to subdivision  fourteen-a  of  section  seventy-
    13  three  of  the  public  officers  law, the legislative ethics commission
    14  shall commence its review of the matter addressed  in  such  report.  No
    15  later  than  ninety  days  after receipt of such report, the legislative
    16  ethics commission shall dispose of the matter by making one or  more  of
    17  the following determinations:

    18    a.  whether  the  legislative ethics commission concurs with the joint
    19  commission's conclusions of law and the reasons therefor;
    20    b. whether and which penalties have been assessed pursuant to applica-
    21  ble law or rule and the reasons therefor; and
    22    c. whether further actions have been taken by the commission to punish
    23  or deter the misconduct at issue and the reasons therefor.
    24    The  commission's  disposition  shall  be  reported  in  writing   and
    25  published  on  its website no later than ten days after such disposition
    26  unless requested by a law enforcement agency to suspend the commission's
    27  action because of an ongoing criminal investigation.
    28    11. If the commission has a  reasonable  basis  to  believe  that  any

    29  person  subject  to the jurisdiction of another state oversight body may
    30  have violated section seventy-three or seventy-four of the public  offi-
    31  cers law, section one hundred seven of the civil service law, or article
    32  one-A  of  this chapter, it shall refer such violation to such oversight
    33  body unless the commission determines that such a referral would compro-
    34  mise  the  prosecution  or  confidentiality  of   its   [investigations]
    35  proceedings  and, if so, shall make such a referral as soon as practica-
    36  ble. The referral by the commission shall include any information relat-
    37  ing thereto coming into the custody or under the control of the  commis-
    38  sion at any time prior or subsequent to the time of the referral.
    39    [13. A copy of any notice of delinquency or notice of reasonable cause

    40  sent  pursuant  to  subdivisions  nine  and ten of this section shall be
    41  included in the reporting person's file  and  be  available  for  public
    42  inspection and copying.
    43    14.]  12.  a.  Notwithstanding  the  provisions  of article six of the
    44  public officers law, the only records of the commission which  shall  be
    45  available for public inspection and copying are:
    46    (1)  [the  information  set  forth in an annual statement of financial
    47  disclosure filed pursuant to section seventy-three-a of the public offi-
    48  cers law except the categories of value or amount which shall be  confi-
    49  dential, and any other item of information deleted pursuant to paragraph
    50  i of subdivision seven of this section;

    51    (2)  financial disclosure statements filed pursuant to subdivision six
    52  of section seventy-three of the public officers law;
    53    (3) notices  of  delinquency  sent  under  subdivision  nine  of  this
    54  section;
    55    (4)  notices of reasonable cause sent under paragraph b of subdivision
    56  ten of this section;

        A. 8301                            43

     1    (5) notices of civil assessment imposed under this section which shall
     2  include a description of the  nature  of  the  alleged  wrongdoing,  the
     3  procedural  history  of  the  complaint, the findings and determinations
     4  made by the commission, and any sanction imposed;
     5    (6)]  the  terms  of  any  settlement  or compromise of a complaint or

     6  referral or report which  includes  a  fine,  penalty  or  other  remedy
     7  reached  after  the  commission  has  received  a  report from the joint
     8  commission on  public  ethics  pursuant  to  subdivision  fourteen-a  of
     9  section ninety-four of the executive law;
    10    [(7)] (2) generic advisory opinions; [and
    11    (8)] (3) all reports required by this section[.]; and
    12    (4)  all  reports  received from the joint commission on public ethics
    13  pursuant to subdivision fourteen-a of section ninety-four of the  execu-
    14  tive  law and in conformance with paragraph (b) of subdivision nine-b of
    15  this section.
    16    b. Notwithstanding the provisions of article seven of the public offi-

    17  cers law, no meeting or proceeding of the commission shall  be  open  to
    18  the  public,  except  if expressly provided otherwise by this section or
    19  the commission.
    20    [15.] 13. Within one hundred twenty days of the effective date of this
    21  subdivision, the commission  shall  create  and  thereafter  maintain  a
    22  publicly  accessible  website  which  shall  set forth the procedure for
    23  filing a complaint with the joint commission on public ethics, and which
    24  shall contain [the documents identified in subdivision fourteen of  this
    25  section,  other  than  financial  disclosure  statements, and] any other
    26  records or information which the commission determines to  be  appropri-
    27  ate.
    28    [16.]  14.  This  section  shall  not  revoke or rescind any policies,

    29  rules, regulations or advisory opinions issued by the legislative ethics
    30  committee in effect upon the effective date of this subdivision, to  the
    31  extent  that  such regulations or opinions are not inconsistent with any
    32  laws of the state of New York. The legislative ethics  commission  shall
    33  undertake  a  comprehensive  review  of  all such policies, rules, regu-
    34  lations or advisory opinions which will address the consistency of  such
    35  policies,  rules,  regulations or advisory opinions with the laws of the
    36  state of New York. The legislative ethics commission shall, before April
    37  first, two thousand  eight,  report  to  the  governor  and  legislature
    38  regarding such review and shall propose any regulatory changes and issue
    39  any advisory opinions necessitated by such review.
    40    [17.]  15.  Separability  clause.  If  any  part  or provision of this

    41  section or the application thereof to any person is adjudged by a  court
    42  of  competent  jurisdiction to be unconstitutional or otherwise invalid,
    43  such judgment shall not affect or impair any other part or provision  or
    44  the  application  thereof  to any other person, but shall be confined to
    45  such part or provision.
    46    § 10. Paragraph (h) of subdivision 8 of section 73 of the public offi-
    47  cers law, as added by chapter 514 of the laws of  2002,  is  amended  to
    48  read as follows:
    49    (h)  Notwithstanding  the  provisions of subparagraphs (i) and (ii) of
    50  paragraph (a) of this subdivision, a former state  officer  or  employee
    51  may  contract individually, or as a member or employee of a firm, corpo-
    52  ration or association, to render services to any state agency  when  the
    53  agency  head certifies in writing to the [state ethics] joint commission

    54  on public ethics that the services of such former  officer  or  employee
    55  are  required  in  connection  with  the agency's response to a disaster

        A. 8301                            44
 
     1  emergency declared by the governor pursuant to section  twenty-eight  of
     2  the executive law.
     3    §  11.  The  opening paragraph of subdivision 8-a of section 73 of the
     4  public officers law, as amended by chapter 357 of the laws of  2001,  is
     5  amended to read as follows:
     6    The  provisions  of  subparagraphs  (i)  and  (ii) of paragraph (a) of
     7  subdivision eight of this section shall not apply  to  any  such  former
     8  state  officer  or  employee  engaged  in  any of the specific permitted
     9  activities defined in this subdivision that are  related  to  any  civil
    10  action  or  proceeding  in any state or federal court, provided that the

    11  attorney general has certified in writing to the  [state  ethics]  joint
    12  commission on public ethics, with a copy to such former state officer or
    13  employee, that the services are rendered on behalf of the state, a state
    14  agency, state officer or employee, or other person or entity represented
    15  by  the attorney general, and that such former state officer or employee
    16  has expertise, knowledge or experience which is unique or outstanding in
    17  a field or in a particular matter or which would otherwise be  generally
    18  unavailable  at  a  comparable  cost to the state, a state agency, state
    19  officer or employee, or other person or entity represented by the attor-
    20  ney general in such civil action or proceeding. In those instances where
    21  a state agency is not represented by the attorney  general  in  a  civil

    22  action  or  proceeding in state or federal court, a former state officer
    23  or employee may engage in permitted activities provided that the general
    24  counsel of the state agency, after consultation with the [state  ethics]
    25  joint  commission on public ethics, provides to the [state ethics] joint
    26  commission on public ethics a  written  certification  which  meets  the
    27  requirements  of  this subdivision. For purposes of this subdivision the
    28  term "permitted activities" shall mean generally any activity  performed
    29  at  the request of the attorney general or the attorney general's desig-
    30  nee, or in cases where the state agency is not represented by the attor-
    31  ney general, the general counsel of such state agency, including without
    32  limitation:
    33    § 12. Subdivision 8-b of section 73 of the  public  officers  law,  as

    34  added by chapter 523 of the laws of 2004, is amended to read as follows:
    35    8-b.  Notwithstanding  the provisions of subparagraphs (i) and (ii) of
    36  paragraph (a) of subdivision eight of this section, a former state offi-
    37  cer or employee may contract individually, or as a member or employee of
    38  a firm, corporation or association, to  render  services  to  any  state
    39  agency  if, prior to engaging in such service, the agency head certifies
    40  in writing to the [state ethics] joint commission on public ethics  that
    41  such  former  officer or employee has expertise, knowledge or experience
    42  with respect to a particular matter which meets the needs of the  agency
    43  and is otherwise unavailable at a comparable cost. Where approval of the
    44  contract  is  required  under  section  one  hundred twelve of the state

    45  finance law, the comptroller shall review and consider the  reasons  for
    46  such certification. The [state ethics] joint commission on public ethics
    47  must  review and approve all certifications made pursuant to this subdi-
    48  vision.
    49    § 13. Subdivision 10 of section 73 of  the  public  officers  law,  as
    50  amended  by  chapter  813  of  the  laws  of 1987, is amended to read as
    51  follows:
    52    10. Nothing contained in this section, the judiciary law,  the  educa-
    53  tion  law  or  any  other law or disciplinary rule shall be construed or
    54  applied to prohibit any firm, association or corporation, in  which  any
    55  present or former statewide elected official, state officer or employee,
    56  or  political  party  chairman, member of the legislature or legislative

        A. 8301                            45
 

     1  employee is a member, associate, retired member, of  counsel  or  share-
     2  holder, from appearing, practicing, communicating or otherwise rendering
     3  services  in relation to any matter before, or transacting business with
     4  a  state  agency,  or  a  city  agency with respect to a political party
     5  chairman in a county wholly included in a city with a population of more
     6  than one million, otherwise proscribed by this  section,  the  judiciary
     7  law,  the  education  law  or  any  other  law or disciplinary rule with
     8  respect to such official,  member  of  the  legislature  or  officer  or
     9  employee,  or  political  party  chairman,  where such statewide elected
    10  official, state officer or employee, member of the legislature or legis-
    11  lative employee, or political party chairman does not share in  the  net
    12  revenues,  as  defined  in accordance with generally accepted accounting

    13  principles by the [state] joint commission on public ethics [commission]
    14  or by the legislative ethics committee in relation to persons subject to
    15  their respective jurisdictions, resulting therefrom, or, acting in  good
    16  faith,  reasonably  believed  that  he or she would not share in the net
    17  revenues as so defined; nor shall anything contained  in  this  section,
    18  the  judiciary  law,  the education law or any other law or disciplinary
    19  rule be construed to prohibit any firm, association  or  corporation  in
    20  which  any  present  or former statewide elected official, member of the
    21  legislature, legislative employee, full-time salaried state  officer  or
    22  employee  or  state officer or employee who is subject to the provisions
    23  of section seventy-three-a of this [chapter] article is a member,  asso-

    24  ciate,  retired member, of counsel or shareholder, from appearing, prac-
    25  ticing, communicating or otherwise rendering services in relation to any
    26  matter before, or transacting business with, the court of claims,  where
    27  such  statewide elected official, member of the legislature, legislative
    28  employee, full-time salaried state officer or employee or state  officer
    29  or  employee who is subject to the provisions of section seventy-three-a
    30  of this [chapter] article does not share in the net revenues, as defined
    31  in accordance with  generally  accepted  accounting  principles  by  the
    32  [state]  joint commission on public ethics [commission] or by the legis-
    33  lative ethics committee in relation to persons subject to their  respec-
    34  tive  jurisdictions,  resulting  therefrom,  or,  acting  in good faith,

    35  reasonably believed that he or she would not share in the  net  revenues
    36  as so defined.
    37    §  14.  Transfer of records. The state commission on public integrity,
    38  shall deliver to the  joint  commission  on  public  ethics  all  books,
    39  papers, records, and property as requested by the joint commission.
    40    §  15.  Continuity  of authority. For the purpose of succession to all
    41  functions, powers, duties and obligations transferred and  assigned  to,
    42  devolved  upon and assumed by it pursuant to this act, the joint commis-
    43  sion on public ethics shall be deemed and held to constitute the contin-
    44  uation of the state commission on public integrity.
    45    § 16. Completion of unfinished business. Any business or other  matter
    46  undertaken  or  commenced by the state commission on public integrity or
    47  the legislative ethics commission pertaining to or  connected  with  the

    48  functions,   powers,  obligations  and  duties  hereby  transferred  and
    49  assigned to the joint commission on public ethics, and  pending  on  the
    50  effective  date  of this act may be conducted and completed by the joint
    51  commission on public ethics in the same manner and under the same  terms
    52  and conditions and with the same effect as if conducted and completed by
    53  the  former  state  commission  on  public  integrity or the legislative
    54  ethics commission.
    55    § 17. Terms occurring in laws, contracts and other documents. Whenever
    56  the state commission on public integrity is referred to or designated in

        A. 8301                            46
 
     1  any law, contract or documents pertaining  solely  to  those  functions,
     2  powers,  obligations  and  duties hereby transferred and assigned to the

     3  joint commission on public ethics, such reference or  designation  shall
     4  be  deemed  to refer to the joint commission on public ethics as created
     5  by this act.
     6    § 18. Existing rights and remedies preserved.  No  existing  right  or
     7  remedy of any character shall be lost, impaired or affected by reason of
     8  this act.
     9    § 19. Pending actions and proceedings. No action or proceeding pending
    10  at  the  time when this act shall take effect, brought by or against the
    11  state commission on public integrity shall be affected by this act,  but
    12  the  same may be prosecuted or defended in the name of the joint commis-
    13  sion on public ethics and upon  application  to  the  court,  the  joint
    14  commission on public ethics shall be substituted as a party.
    15    § 20. Notwithstanding any contrary provision of the state finance law,

    16  transfer  of  appropriations  heretofore made to the state commission on
    17  public integrity, all appropriations or reappropriations for  the  func-
    18  tions  herein  transferred  heretofore  made  to the state commission on
    19  public integrity, or segregated  pursuant  to  law,  to  the  extent  of
    20  remaining unexpended or unencumbered balances thereof, whether allocated
    21  or  unallocated  and whether obligated or unobligated, are hereby trans-
    22  ferred to the joint commission on public ethics to the extent  necessary
    23  to carry out its functions, powers and duties subject to the approval of
    24  the  director  of  the budget for the same purposes for which originally
    25  appropriated or reappropriated and shall be payable on  vouchers  certi-
    26  fied  or  approved by the joint commission on public ethics on audit and
    27  warrant of the comptroller.

    28    § 21. No later than June 1, 2014, the  governor  and  the  legislative
    29  leaders shall jointly appoint a review commission to review and evaluate
    30  the  activities and performance of the joint commission on public ethics
    31  and the legislative ethics commission in implementing the provisions  of
    32  this act. On or before March 1, 2015, the review commission shall report
    33  to  the  governor and the legislature on its review and evaluation which
    34  report shall include any administrative and legislative  recommendations
    35  on strengthening the administration and enforcement of the ethics law in
    36  New  York  state.  The  review  commission  shall  be comprised of eight
    37  members and the governor  and  the  legislative  leaders  shall  jointly
    38  designate a chair from among the members.
    39    § 22. This act shall take effect immediately, provided that:

    40    1.  the  state commission on public integrity shall continue to accept
    41  filings and provide records as otherwise required but shall  not  other-
    42  wise investigate, discipline or provide advisory opinions;
    43    2. the joint commission on public ethics shall be fully operational on
    44  or before the one hundred twentieth day after this act shall have become
    45  a  law  and  until  such  time  as  it becomes operational (a) the state
    46  commission  on  public  integrity  shall  deposit  all  records  in  its
    47  possession  with  the  inspector  general and (b) the legislative ethics
    48  commission shall continue to  exercise  such  functions,  powers,  obli-
    49  gations  and  duties to be transferred to the joint commission on public
    50  ethics; and
    51    3. section four of this  act,  the  amendments  to  subdivision  3  of
    52  section  73-a  of  the  public officers law made by section five of this

    53  act, paragraph (i-1) of subdivision 9 of section  94  of  the  executive
    54  law, as added by section six of this act, and the amendments to subpara-
    55  graph  1  of paragraph (a) of subdivision 19 of section 94 of the execu-

        A. 8301                            47
 
     1  tive law, made by section six of this act, shall take effect January  1,
     2  2013.
 
     3                                   PART B
 
     4    Section  1.  Subdivision  (c) of section 1-h of the legislative law is
     5  amended by adding a new paragraph 4 to read as follows:
     6    (4) Any lobbyist registered pursuant to section one-e of this  article
     7  whose  lobbying activity is performed on its own behalf and not pursuant
     8  to retention by a client:
     9    (i) that has spent over fifty thousand dollars for reportable  compen-

    10  sation  and  expenses  for  lobbying either during the calendar year, or
    11  during the twelve-month period, prior to the  date  of  this  bi-monthly
    12  report, and
    13    (ii)  at  least  three  percent of whose total expenditures during the
    14  same period were devoted to lobbying in New York
    15  shall report to the commission the names of each source of funding  over
    16  five  thousand  dollars  from a single source that were used to fund the
    17  lobbying activities reported and the amounts received from each  identi-
    18  fied source of funding.
    19    This disclosure shall not require disclosure of the sources of funding
    20  whose  disclosure,  in  the determination of the commission based upon a

    21  review of the relevant facts presented by the  reporting  lobbyist,  may
    22  cause  harm, threats, harassment, or reprisals to the source or to indi-
    23  viduals or property affiliated with the source. The  reporting  lobbyist
    24  may appeal the commission's determination and such appeal shall be heard
    25  by a judicial hearing officer who is independent and not affiliated with
    26  or  employed  by  the commission, pursuant to regulations promulgated by
    27  the commission. The reporting lobbyist shall not be required to disclose
    28  the sources of funding that are the subject of such appeal pending final
    29  judgment on appeal.
    30    The disclosure shall not apply to:
    31    (i) any corporation registered pursuant  to  article  seven-A  of  the

    32  executive  law that is qualified as an exempt organization by the United
    33  States Department of the Treasury under I.R.C. § 501(c)(3);
    34    (ii) any corporation registered pursuant to  article  seven-A  of  the
    35  executive  law that is qualified as an exempt organization by the United
    36  States Department of the Treasury under I.R.C.  §  501(c)(4)  and  whose
    37  primary  activities concern any area of public concern determined by the
    38  commission to create a substantial likelihood that application  of  this
    39  disclosure  requirement  would  lead  to  harm,  threats, harassment, or
    40  reprisals to a source of funding or to individuals  or  property  affil-
    41  iated  with  such source, including but not limited to the area of civil

    42  rights and civil liberties and any other area of public  concern  deter-
    43  mined  pursuant  to  regulations promulgated by the commission to form a
    44  proper basis for exemption on this basis from this  disclosure  require-
    45  ment; or
    46    (iii) any governmental entity.
    47    The  joint commission on public ethics shall promulgate regulations to
    48  implement these requirements.
    49    § 2. Subdivision (c) of section 1-j of the legislative law is  amended
    50  by adding a new paragraph 4 to read as follows:
    51    (4)  Any  client  of a lobbyist that is required to file a semi-annual
    52  report and:
    53    (i) that has spent over fifty thousand dollars for reportable  compen-
    54  sation  and  expenses  for  lobbying either during the calendar year, or

        A. 8301                            48
 
     1  during the twelve-month period, prior to the date  of  this  semi-annual
     2  report, and
     3    (ii)  at  least  three  percent of whose total expenditures during the
     4  same period were devoted to lobbying in New York
     5  shall report to the commission the names of each source of funding  over
     6  five  thousand  dollars  from a single source that were used to fund the
     7  lobbying activities reported and the amounts received from each  identi-
     8  fied source of funding.
     9    This disclosure shall not require disclosure of the sources of funding
    10  whose  disclosure,  in  the determination of the commission based upon a
    11  review of the relevant facts presented by the reporting client or lobby-

    12  ist, may cause harm, threats, harassment, or reprisals to the source  or
    13  to  individuals  or  property  affiliated with the source. The reporting
    14  lobbyist may appeal the commission's determination and such appeal shall
    15  be heard by a judicial hearing officer who is independent and not affil-
    16  iated with or  employed  by  the  commission,  pursuant  to  regulations
    17  promulgated  by  the  commission.  The  reporting  lobbyist shall not be
    18  required to disclose the sources of funding that are the subject of such
    19  appeal pending final judgment on appeal.
    20    The disclosure shall not apply to:
    21    (i) any corporation registered pursuant  to  article  seven-A  of  the
    22  executive  law that is qualified as an exempt organization by the United

    23  States Department of the Treasury under I.R.C. § 501(c)(3);
    24    (ii) any corporation registered pursuant to  article  seven-A  of  the
    25  executive  law that is qualified as an exempt organization by the United
    26  States Department of the Treasury under I.R.C.  §  501(c)(4)  and  whose
    27  primary  activities concern any area of public concern determined by the
    28  commission to create a substantial likelihood that application  of  this
    29  disclosure  requirement  would  lead  to  harm,  threats, harassment, or
    30  reprisals to a source of funding or to individuals  or  property  affil-
    31  iated  with  such source, including but not limited to the area of civil
    32  rights and civil liberties and any other area of public  concern  deter-

    33  mined  pursuant  to  regulations promulgated by the commission to form a
    34  proper basis for exemption on this basis from this  disclosure  require-
    35  ment; or
    36    (iii) any governmental entity.
    37    The  joint commission on public ethics shall promulgate regulations to
    38  implement these requirements.
    39    § 3. This act shall take effect June 1, 2012.
 
    40                                   PART C
 
    41    Section 1. The retirement and social security law is amended by adding
    42  a new article 3-B to read as follows:
    43                                  ARTICLE 3-B
    44                   PENSION FORFEITURE FOR PUBLIC OFFICIALS
    45  Section 156. Definitions.
    46          157. Pension forfeiture.
    47          158. Pension contributions returned.

    48          159. Miscellaneous.
    49    § 156. Definitions. The following words and phrases, as used  in  this
    50  article,  shall  have the following meanings, unless a different meaning
    51  is plainly required by the context:
    52    1. "Crime related to public office" shall mean any  of  the  following
    53  criminal offenses whether committed in this state or in any other juris-
    54  diction by a public official through the use of his or her public office

        A. 8301                            49
 
     1  or  by  the  individual  representing that he or she was acting with the
     2  authority of any governmental entity, and acting as a public official:
     3    (a)  a  felony  for committing, aiding or abetting a larceny of public

     4  funds from the state or a municipality;
     5    (b) a felony committed in direct connection with service as  a  public
     6  official; or
     7    (c) a felony committed by such person who, with the intent to defraud,
     8  realizes or obtains, or attempts to realize or obtain, a profit, gain or
     9  advantage  for  himself or herself or for some other person, through the
    10  use or attempted use of the power, rights, privileges or duties  of  his
    11  or her position as a public official.
    12    2. "Chief administrator of the retirement system" shall mean the comp-
    13  troller  of the state of New York with respect to the New York state and
    14  local employees' retirement system  and  the  boards  of  trustees  with

    15  respect  to the other public retirement systems and pension funds of the
    16  state and the city of New York.
    17    3. "Defendant" shall mean a state or  local  officer  against  whom  a
    18  forfeiture action is commenced.
    19    4. "Dependent person" shall mean and include:
    20    (a)  any  child  of  a  public  official or other person for whom such
    21  person is legally responsible to provide support;
    22    (b) any present or former spouse or domestic partner of a public offi-
    23  cial;
    24    (c) any family or household member of a public official, regardless of
    25  such person's age, where such person has a  disability,  as  defined  in
    26  subdivision  twenty-one  of section two hundred ninety-two of the execu-
    27  tive law; and

    28    (d) any person to whom a public official has provided support.
    29    5. "Pension" shall mean the annual  allowance  for  life,  payable  in
    30  monthly  installments, derived from contributions made by a public offi-
    31  cial to the appropriate pension accumulation fund of a retirement system
    32  pursuant to applicable law.
    33    6. (a) "Public official" shall mean any of the  following  individuals
    34  who  were  not  members  of any retirement system prior to the effective
    35  date of the chapter of the laws of two thousand eleven which added  this
    36  article but who have become members of a covered retirement system on or
    37  after  the  effective  date  of  the chapter of the laws of two thousand
    38  eleven which added this article:

    39    (i) the governor, lieutenant governor, comptroller or attorney  gener-
    40  al;
    41    (ii) members of the state legislature;
    42    (iii) state officers and employees including:
    43    (A) heads of state departments and their deputies and assistants other
    44  than  members  of the board of regents of the university of the state of
    45  New York who receive no compensation or are compensated on  a  per  diem
    46  basis;
    47    (B) officers and employees of statewide elected officials;
    48    (C)  officers  and  employees  of  state departments, boards, bureaus,
    49  divisions, commissions, councils or other state agencies; and
    50    (D) members or directors of public authorities, other than multi-state

    51  authorities, public benefit corporations and commissions at least one of
    52  whose members is appointed  by  the  governor,  and  employees  of  such
    53  authorities, corporations and commissions;
    54    (iv) judges, justices and employees of the unified court system;
    55    (v) officers and employees of the legislature; and

        A. 8301                            50
 
     1    (vi)  paid  municipal  officers  and employees including an officer or
     2  employee of a municipality, paid members of  any  administrative  board,
     3  commission or other agency thereof and in the case of a county, shall be
     4  deemed to also include any officer or employee paid from county funds.
     5    (b)  A  person who receives no compensation or is compensated on a per

     6  diem basis for his or her duties as  a  public  official  shall  not  be
     7  deemed a public official pursuant to this subdivision.
     8    7. "Retirement system" shall mean the New York state and local employ-
     9  ees'  retirement  system,  and  the  New York city employees' retirement
    10  system.
    11    § 157. Pension forfeiture.  1. Notwithstanding any other  law  to  the
    12  contrary,  it  shall  be  a  term  and condition of membership for every
    13  public official who becomes a member of  any  retirement  system  on  or
    14  after  the  effective  date  of  the chapter of the laws of two thousand
    15  eleven which added this article, that such public official's rights to a
    16  pension in a retirement system that accrue  in  such  retirement  system

    17  after  his  or  her  date of initial membership in the retirement system
    18  shall be subject to the provisions of this article.
    19    2. In the case of a public official who stands convicted, by  plea  of
    20  nolo  contendere  or plea of guilty to, or by conviction after trial, of
    21  any crime related to public  office,  an  action  may  be  commenced  in
    22  supreme  court of the county in which such public official was convicted
    23  of such felony crime, by the district attorney having jurisdiction  over
    24  such  crime,  or by the attorney general if the attorney general brought
    25  the criminal charge which resulted in such conviction, for an  order  to
    26  reduce  or revoke the pension to which such public official is otherwise

    27  entitled for service as a public official.  Such complaint shall specify
    28  with particularity which category of felony pursuant to subdivision  one
    29  of  section  one  hundred  fifty-six  of  this article the defendant has
    30  committed, and all other facts that are alleged to qualify such crime as
    31  a felony crime related to public office subject to pension reduction  or
    32  revocation pursuant to this article, and the amount of pension reduction
    33  or  revocation  requested.    Such  action shall be commenced within six
    34  months after such conviction.
    35    3. Before commencing an action described in subdivision  two  of  this
    36  section,  the district attorney or the attorney general, as the case may

    37  be, shall serve written notice on the chief administrator of the defend-
    38  ant's retirement system stating that he or she  has  reason  to  believe
    39  that  the  person convicted committed the crime related to public office
    40  in the performance of or failure to perform the public official's duties
    41  and responsibilities.   Such notice  shall  specify  with  particularity
    42  which  category  of  felony  pursuant  to subdivision one of section one
    43  hundred fifty-six of this article the defendant has committed.    Within
    44  twenty days after receipt of such notice, the chief administrator of the
    45  defendant's  retirement system shall submit a notice of applicability to
    46  the district attorney or the attorney general as the case  may  be.  The

    47  notice of applicability shall contain a statement specifying whether the
    48  person  convicted is or has been a member or retired member of a retire-
    49  ment system and shall describe the portion of such rights  and  benefits
    50  to  which  such  person is or will be entitled to solely from service as
    51  such a public official.
    52    4. No forfeiture action may be commenced by the district  attorney  or
    53  the attorney general until such district attorney or the attorney gener-
    54  al,  as  the  case  may be, has received and served on the defendant the
    55  notice of applicability as  set  forth  in  subdivision  three  of  this
    56  section.

        A. 8301                            51
 

     1    5.  The  district  attorney or the attorney general, or any interested
     2  party, may seek, or the court on its own motion may order, that some  or
     3  all  of  the pension that would otherwise be reduced or revoked pursuant
     4  to this article be paid for the benefit of any dependent persons, as may
     5  be in the interests of justice.
     6    6. The defendant shall have the right to a hearing.
     7    7.  The  burden  of  proof  shall be upon the district attorney or the
     8  attorney general, as the case may be, to prove by clear  and  convincing
     9  evidence the facts necessary to establish a claim of pension forfeiture.
    10  The  district  attorney or the attorney general as the case may be must,
    11  at the time of the hearing, prove by clear and convincing evidence  that

    12  the defendant knowingly and intentionally committed the crime related to
    13  public office.
    14    8. In determining whether the pension shall be reduced or revoked, the
    15  supreme  court  shall consider and make findings of fact and conclusions
    16  of law that include, but shall not be limited to, a consideration of the
    17  following factors:
    18    (a) Whether the defendant stands convicted of such a felony of a crime
    19  related to public office, and the specific paragraph  or  paragraphs  of
    20  subdivision  one  of  section one hundred fifty-six of this article that
    21  have been proven or not proven;
    22    (b) The severity of the crime related to public office  of  which  the
    23  defendant stands convicted;

    24    (c) The amount of monetary loss suffered by such state or municipality
    25  as a result of such crime related to public office;
    26    (d)  The  degree  of  public  trust  reposed in the public official by
    27  virtue of the person's position as a public official;
    28    (e) If the crime related to public office was  part  of  a  fraudulent
    29  scheme against the state or a municipality, the role of the public offi-
    30  cial in such fraudulent scheme against such state or a municipality;
    31    (f) The defendant's criminal history, if any;
    32    (g)    The  impact  of forfeiture, in whole or in part, on defendant's
    33  dependents, present or former spouses, or domestic partners;
    34    (h) The proportionality of forfeiture of all or part of the pension to

    35  the crime committed; and
    36    (i) Any such other factors as, in the judgment of the  supreme  court,
    37  justice may require.
    38    9.  At  any time during the pendency of a forfeiture action, the court
    39  may dismiss the action if it finds that such relief is warranted by  the
    40  existence  of  some  compelling factor, consideration or circumstance or
    41  other information or evidence which demonstrates that  forfeiture  would
    42  not  serve  the ends of justice. The court may order that some or all of
    43  the reduced or revoked pension be paid  to  satisfy  the  terms  of  any
    44  existing order for the payment of maintenance, child support or restitu-
    45  tion  or  for  the  benefit  of  any dependent persons, as may be in the

    46  interests of justice, after  taking  into  consideration  the  financial
    47  needs and resources available for support of such persons.
    48    10.  Upon a finding by the court by clear and convincing evidence that
    49  the defendant knowingly and intentionally committed a crime  related  to
    50  public  office,  the court may issue an order to the appropriate retire-
    51  ment system to reduce or revoke the defendant's pension to which  he  or
    52  she  is  otherwise  entitled  as  such a public official. All orders and
    53  findings made by the court pursuant to this section shall be  served  by
    54  the  attorney  general or the district attorney, as the case may be upon
    55  the chief administrator of the defendant's  retirement  system  and  the
    56  defendant.

        A. 8301                            52
 
     1    11.  The  court  shall  issue a written decision including findings of
     2  fact and conclusions of law that are the  basis  for  any  order  issued
     3  pursuant to this section.
     4    12. Upon a final determination that reverses or vacates the conviction
     5  or  convictions  of  a  crime  related to public office, or reduces such
     6  crime to a violation, misdemeanor or other criminal act that  is  not  a
     7  crime  related  to  public  office, the public official, or if he or she
     8  shall be deceased, his or her estate, shall have such  pension  retroac-
     9  tively restored upon application to the court with jurisdiction over the
    10  forfeiture  action.  Such court, upon finding that such a final determi-

    11  nation has occurred, shall issue an order retroactively  restoring  such
    12  pension, together with such other relief deemed appropriate.
    13    13.  A final judgment entered pursuant to this article may be appealed
    14  pursuant to subdivision (a)  of  section  fifty-seven  hundred  one  and
    15  section fifty-six hundred two of the civil practice law and rules.
    16    14.  Except  as otherwise provided by this article, the civil practice
    17  law and rules shall govern the procedure in all actions commenced pursu-
    18  ant to this article, except where the action is  specifically  regulated
    19  by any inconsistent provisions herein.
    20    §  158.  Pension  contributions returned. 1. Any public official whose
    21  pension is reduced or revoked pursuant to this article shall be entitled

    22  to a return of his or her contribution paid into the relevant retirement
    23  system, without interest.
    24    2. Notwithstanding the provisions of subdivision one of this  section,
    25  no  payments  in return of contributions shall be made or ordered unless
    26  and until the supreme court determines that the  public  official  whose
    27  pension  has been reduced or revoked has satisfied in full any judgments
    28  or orders rendered by  any  court  of  competent  jurisdiction  for  the
    29  payment  of  restitution  to  the  state  or  a  municipality for losses
    30  incurred as a result of such crime related to public  office.    If  the
    31  supreme  court  determines that such public official whose pension is to
    32  be reduced or revoked has failed to satisfy any outstanding judgment  or

    33  order  of  restitution rendered by a court of competent jurisdiction, it
    34  may order that any funds otherwise due to  such  public  official  as  a
    35  return  of contribution, or any portion thereof, be paid in satisfaction
    36  of such judgment or order.
    37    § 159. Miscellaneous. The remedies provided for in  this  article  are
    38  not  intended to substitute for, limit or supersede the lawful authority
    39  of any public officer, agency or other person to enforce any other right
    40  or remedy provided for by law.
    41    § 2. The criminal procedure law is amended by  adding  a  new  section
    42  220.51 to read as follows:
    43  § 220.51 Notice  before  entry of plea or trial involving a public offi-
    44              cial.

    45    Prior to trial, and before accepting a defendant's plea to a count  or
    46  counts of an indictment or a superior court information charging a felo-
    47  ny  offense,  the  court  must individually advise the defendant, on the
    48  record, that if at the time of the alleged felony  crime  the  defendant
    49  was  a  public  official,  as  defined in subdivision six of section one
    50  hundred fifty-six of the retirement and social security law, the defend-
    51  ant's plea of guilty and the court's acceptance  thereof  or  conviction
    52  after trial may result in proceedings for the reduction or revocation of
    53  such  defendant's  pension pursuant to article three-B of the retirement
    54  and social security law.

        A. 8301                            53
 

     1    § 3. This act shall take effect on the ninetieth day  after  it  shall
     2  have become a law and shall only apply to acts committed by public offi-
     3  cials on or after such date.
 
     4                                   PART D
 
     5    Section  1.  Paragraph  (i)  of subdivision (c) and subdivision (j) of
     6  section 1-c of the legislative law, paragraph (i) of subdivision (c)  as
     7  added  by  chapter 1 of the laws of 2005 and subdivision (j) as added by
     8  chapter 14 of the laws of 2007, are amended to read as follows:
     9    (i) the passage or defeat of any legislation or resolution  by  either
    10  house  of  the state legislature including but not limited to the intro-
    11  duction or intended introduction of such legislation  or  resolution  or
    12  approval or disapproval of any legislation by the governor;

    13    (j)  The  term  "gift"  shall mean anything of more than nominal value
    14  given to a public official in any form including,  but  not  limited  to
    15  money,  service,  loan,  travel,  lodging,  meals,  refreshments, enter-
    16  tainment, discount, forbearance, or promise, having  a  monetary  value.
    17  The following are excluded from the definition of a gift:
    18    (i)  complimentary  attendance,  including  food and beverage, at bona
    19  fide charitable or political events[, and food and beverage of a nominal
    20  value offered other than as part of a meal];
    21    (ii) complimentary attendance, food and beverage offered by the  spon-
    22  sor  of  [an  event  that  is]  a  widely attended [or was in good faith
    23  intended to be widely attended, when attendance at the event is  related

    24  to  the  attendee's  duties  or responsibilities as a public official or
    25  allows the public official to perform a ceremonial function  appropriate
    26  to  his  or  her position] event. The term "widely attended event" shall
    27  mean an event:  (A) which at least twenty-five  individuals  other  than
    28  members,  officers,  or  employees from the governmental entity in which
    29  the public official serves attend or were, in  good  faith,  invited  to
    30  attend,  and  (B) which is related to the attendee's duties or responsi-
    31  bilities or which allows the public official  to  perform  a  ceremonial
    32  function  appropriate  to  his or her position. For the purposes of this
    33  exclusion, a public official's duties or responsibilities shall  include

    34  but  not  be  limited  to  either (1) attending an event or a meeting at
    35  which a speaker or attendee addresses an issue  of  public  interest  or
    36  concern  as  a significant activity at such event or meeting; or (2) for
    37  elected public officials, or their staff attending with or on behalf  of
    38  such  elected  officials,  attending an event or a meeting at which more
    39  than one-half of the attendees, or persons  invited  in  good  faith  to
    40  attend, are residents of the county, district or jurisdiction from which
    41  the elected public official was elected;
    42    (iii)  awards,  plaques, and other ceremonial items which are publicly
    43  presented, or intended to  be  publicly  presented,  in  recognition  of
    44  public  service, provided that the item or items are of the type custom-

    45  arily bestowed at such or similar ceremonies and are  otherwise  reason-
    46  able under the circumstances, and further provided that the functionali-
    47  ty  of  such  items shall not determine whether such items are permitted
    48  under this paragraph;
    49    (iv) an honorary degree bestowed upon a public official by a public or
    50  private college or university;
    51    (v) promotional items having no substantial resale value such as pens,
    52  mugs, calendars, hats, and t-shirts which bear an  organization's  name,
    53  logo, or message in a manner which promotes the organization's cause;

        A. 8301                            54
 
     1    (vi)  goods and services, or discounts for goods and services, offered
     2  to the general public or a segment of the general public  defined  on  a
     3  basis  other  than  status  as a public official and offered on the same

     4  terms and conditions as the goods or services are offered to the general
     5  public or segment thereof;
     6    (vii)  gifts  from  a  family member, member of the same household, or
     7  person with a personal relationship with the public official,  including
     8  invitations to attend personal or family social events, when the circum-
     9  stances  establish  that  it  is  the  family,  household,  or  personal
    10  relationship that is the primary motivating factor; in determining moti-
    11  vation, the following factors shall be among those considered:  (A)  the
    12  history and nature of the relationship between the donor and the recipi-
    13  ent,  including whether or not items have previously been exchanged; (B)
    14  whether the item was purchased by the donor; and (C) whether or not  the
    15  donor at the same time gave similar items to other public officials; the

    16  transfer shall not be considered to be motivated by a family, household,
    17  or  personal  relationship  if  the  donor seeks to charge or deduct the
    18  value of such item as a business expense or seeks reimbursement  from  a
    19  client;
    20    (viii) contributions reportable under article fourteen of the election
    21  law,  including  contributions  made in violation of that article of the
    22  election law;
    23    (ix) travel reimbursement or payment  for  transportation,  meals  and
    24  accommodations  for an attendee, panelist or speaker at an informational
    25  event or informational meeting when such  reimbursement  or  payment  is
    26  made  by  a  governmental  entity or by an in-state accredited public or
    27  private institution of higher education that  hosts  the  event  on  its
    28  campus,  provided,  however,  that  the  public official may only accept

    29  lodging from an institution of higher education: (A) at a location on or
    30  within close proximity to the host campus; and (B) for the night preced-
    31  ing and the nights of the days on which the attendee, panelist or speak-
    32  er actually attends the event or meeting;
    33    (x) provision of local transportation to inspect or  tour  facilities,
    34  operations  or  property [owned or operated by the entity providing such
    35  transportation] located in New York state, provided, however, that  such
    36  inspection  or  tour  is  related to the individual's official duties or
    37  responsibilities and that payment or reimbursement [of] for expenses for
    38  lodging[, meals] or travel expenses to and from the locality where  such
    39  facilities, operations or property are located shall be considered to be

    40  gifts unless otherwise permitted under this subdivision; [and]
    41    (xi)  meals  or  refreshments  when participating in a professional or
    42  educational program and the meals or refreshments are  provided  to  all
    43  participants; and
    44    (xii) food or beverage valued at fifteen dollars or less.
    45    § 2. This act shall take effect immediately.
 
    46                                   PART E
 
    47    Section  1.  The state board of elections shall, no later than January
    48  1, 2012, issue regulations setting forth and implementing  the  require-
    49  ments  under  existing law for individuals, organizations, corporations,
    50  political committees, or any  other  entities  to  disclose  independent
    51  expenditures  made for advertisements or any other type of advocacy that
    52  expressly identifies a political  candidate  or  ballot  proposal.  Such

    53  regulations  shall  require such disclosure to the fullest extent of the
    54  law.

        A. 8301                            55
 
     1    § 2. Section 14-106 of the election law, as amended by  chapter  8  of
     2  the laws of 1978, is amended to read as follows:
     3    §  14-106.  Political  [advertisements  and literature] communication.
     4  The statements required to be filed under the provisions of this article
     5  next succeeding a primary, general or special election shall be accompa-
     6  nied by a [facsimile or] copy of all broadcast, cable or satellite sche-
     7  dules and scripts, internet, print and other  types  of  advertisements,
     8  pamphlets,  circulars,  flyers, brochures, letterheads and other printed
     9  matter purchased or produced [and a schedule of all radio or  television

    10  time,  and  scripts  used  therein],  purchased  in connection with such
    11  election by or under the authority of the person filing the statement or
    12  the committee or the person on whose behalf it is filed, as the case may
    13  be. Such [facsimiles,] copies, schedules and scripts shall be  preserved
    14  by  the  officer  with whom or the board with which it is required to be
    15  filed for a period of one year from the date of filing thereof.
    16    § 3. Section 14-126 of the election law, as amended by  chapter  8  of
    17  the laws of 1978, subdivision 1 as amended by chapter 128 of the laws of
    18  1994  and  subdivisions  2,  3 and 4 as redesignated by chapter 9 of the
    19  laws of 1978, is amended to read as follows:
    20    § 14-126. Violations; penalties. 1. Any person who  fails  to  file  a
    21  statement  required  to  be  filed by this article shall be subject to a

    22  civil penalty, not in excess of [five hundred] one thousand dollars,  to
    23  be  recoverable in a special proceeding or civil action to be brought by
    24  the state board of elections or other board  of  elections.  Any  person
    25  who,  three or more times within a given election cycle for such term of
    26  office, fails to file a statement or statements required to be filed  by
    27  this  article, shall be subject to a civil penalty, not in excess of ten
    28  thousand dollars, to be recoverable as provided for in this subdivision.
    29    2.  Any person who, acting as or on behalf of a candidate or political
    30  committee, under circumstances evincing an intent to violate  such  law,
    31  unlawfully accepts a contribution in excess of a contribution limitation

    32  established  in  this  article,  shall be required to refund such excess
    33  amount and shall be subject to a  civil  penalty  equal  to  the  excess
    34  amount plus a fine of up to ten thousand dollars, to be recoverable in a
    35  special  proceeding  or civil action to be brought by the state board of
    36  elections.
    37    3. Any person who knowingly and willfully fails to  file  a  statement
    38  required  to  be  filed  by  this article within ten days after the date
    39  provided for filing such statement or any person who knowingly and will-
    40  fully violates any other provision of this article shall be guilty of  a
    41  misdemeanor.
    42    [3.] 4. Any person who knowingly and willfully contributes, accepts or
    43  aids  or  participates  in the acceptance of a contribution in an amount

    44  exceeding an applicable maximum specified in this article shall be guil-
    45  ty of a misdemeanor.
    46    [4.] 5. Any person who shall, acting on behalf of a candidate or poli-
    47  tical committee, knowingly and willfully solicit, organize or coordinate
    48  the formation of activities of one or more unauthorized committees, make
    49  expenditures in connection with the nomination for election or  election
    50  of  any  candidate, or solicit any person to make any such expenditures,
    51  for the purpose of evading the contribution limitations of this article,
    52  shall be guilty of a class E felony.
    53    § 4. Section 16-100 of the election law is amended to read as follows:
    54    § 16-100. Jurisdiction; supreme court, county court.  1.  The  supreme
    55  court is vested with jurisdiction to summarily determine any question of


        A. 8301                            56
 
     1  law  or  fact arising as to any subject set forth in this article, which
     2  shall be construed liberally.
     3    2. The county court is vested with jurisdiction to summarily determine
     4  any  question  of  law  or fact except proceedings as to a nomination or
     5  election at a primary election or a nomination at a judicial convention,
     6  proceedings as to the casting and canvass of ballots [and],  proceedings
     7  for  examination  or  preservation of ballots and proceedings to enforce
     8  the provisions of article fourteen of this chapter.
     9    § 5. The election law is amended by adding a  new  section  16-120  to
    10  read as follows:
    11    §  16-120.  Enforcement proceedings. 1. The supreme court or a justice
    12  thereof, in a proceeding instituted by the state board of elections, may

    13  impose a civil penalty, as provided for in subdivisions one and  two  of
    14  section 14-126 of this chapter.
    15    2. Upon proof that a violation of article fourteen of this chapter, as
    16  provided in subdivision one of this section, has occurred, the court may
    17  impose  a civil penalty, pursuant to subdivisions one and two of section
    18  14-126 of this chapter, after  considering,  among  other  factors,  the
    19  severity  of  the  violation  or  violations, whether the subject of the
    20  violation made a good faith effort to correct the violation and  whether
    21  the  subject  of  the violation has a history of similar violations. All
    22  such determinations shall be made on a fair and equitable basis  without
    23  regard to the status of the candidate or political committee.

    24    §  6. Separability clause. If any clause, sentence, paragraph, section
    25  or part of this act shall be adjudged by any court of  competent  juris-
    26  diction to be invalid, such judgment shall not affect, impair or invali-
    27  date  the  remainder  thereof, but shall be confined in its operation to
    28  the clause,  sentence,  paragraph,  section  or  part  thereof  directly
    29  involved  in  the  controversy  in  which  such judgment shall have been
    30  rendered.
    31    § 7. This act shall take effect immediately.
    32    § 3. Severability clause. If any clause, sentence, paragraph, subdivi-
    33  sion, section or part of this act shall be  adjudged  by  any  court  of
    34  competent  jurisdiction  to  be invalid, such judgment shall not affect,
    35  impair, or invalidate the remainder thereof, but shall  be  confined  in
    36  its  operation  to the clause, sentence, paragraph, subdivision, section

    37  or part thereof directly involved in the controversy in which such judg-
    38  ment shall have been rendered. It is hereby declared to be the intent of
    39  the legislature that this act would  have  been  enacted  even  if  such
    40  invalid provisions had not been included herein.
    41    §  4.  This  act shall take effect immediately provided, however, that
    42  the applicable effective date of Parts A through E of this act shall  be
    43  as specifically set forth in the last section of such Parts.
Go to top