A05864 Summary:

BILL NOA05864
 
SAME ASNo Same As
 
SPONSORKolb
 
COSPNSRBarclay, Blankenbush, Brabenec, Butler, Byrne, Castorina, Crouch, Curran, DiPietro, Errigo, Finch, Fitzpatrick, Friend, Garbarino, Giglio, Goodell, Hawley, Johns, Lalor, Lawrence, Malliotakis, McDonough, Miller B, Miller ML, Montesano, Morinello, Murray, Norris, Oaks, Palmesano, Palumbo, Ra, Raia, Stec, Walsh, Walter, Smith, Mikulin, Tague, Ashby
 
MLTSPNSR
 
Amd Various Laws, generally
 
Enacts the public officers accountability act of 2017.
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A05864 Actions:

BILL NOA05864
 
02/16/2017referred to governmental operations
01/03/2018referred to governmental operations
04/16/2018held for consideration in governmental operations
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A05864 Committee Votes:

GOVERNMENTAL OPERATIONS Chair:Peoples-Stokes DATE:04/16/2018AYE/NAY:8/4 Action: Held for Consideration
Peoples-StokesAyeJohnsNay
GalefAyeGoodellNay
GlickAyeLalorNay
KimAyeByrneNay
BuchwaldAye
BichotteAye
BlakeAye
HyndmanAye
WilliamsExcused

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A05864 Floor Votes:

There are no votes for this bill in this legislative session.
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A05864 Memo:

NEW YORK STATE ASSEMBLY
MEMORANDUM IN SUPPORT OF LEGISLATION
submitted in accordance with Assembly Rule III, Sec 1(f)
 
BILL NUMBER: A5864
 
SPONSOR: Kolb
  TITLE OF BILL: An act to amend the state finance law, in relation to requiring transparency, identification and disclosure of certain appro- priations and intended recipients (Part A); to establish the commission on official conduct, providing for its powers, duties and functions, and providing for the transfer of the functions, powers and duties of the commission on public integrity, the office of the state inspector gener- al and the former temporary state commission of investigation to the commission on official conduct; to amend the civil service law and the legislative law, in relation to the commission on public integrity; to amend the racing, pari-mutuel wagering and breeding law in relation to membership on the franchise oversight board; to amend the public author- ities law and the executive law, in relation to the state inspector general; to amend the criminal procedure law, the executive law and the public officers law, in relation to the former temporary state commis- sion of investigation; to repeal section 94 of the executive law relat- ing to the joint commission on public ethics; to repeal article 4-A of the executive law and subdivision 68 of section 2.10 of the criminal procedure law relating to the office of the state inspector general; and to repeal chapter 989 of the laws of 1958, relating to creating a tempo- rary state commission of investigation, relating thereto (Part B); to amend the election law, in relation to forfeiture of unspent campaign funds after criminal conviction and resignation of the elected official (Part C); to amend the penal law, in relation to failure to report corruption (Part D); to amend the election law, in relation to limita- tions on use of campaign contributions and to repeal certain provisions of such law relating thereto (Part E); to amend the election law, in relation to filing late campaign disclosure statements (Part F); and to amend the legislative law, in relation to limiting the amount of time a legislator may serve as a legislative leader (Part G)   PURPOSE OR GENERAL IDEA OF BILL: This bill enacts numerous reforms to restore accountability to New York State government including: reforming member items; replacing the sepa- rate investigative authorities with a new Commission on Official Conduct; requiring the return of campaign funds to donors or charity upon felony convictions; creating a new crime for failure to report corruption; limiting use of campaign funds to campaign activities; creating penalties for filing late campaign disclosure statements; and instituting eight-year term limits for legislative leaders and committee chairs.   SUMMARY OF SPECIFIC PROVISIONS: Section 1. Contains the title the "Public Officers Accountability Act of 2017." Section 2. Contains the legislative intent which expresses the support of two stand-alone constitutional amendments that remove pension bene- fits from public officials who are convicted of a felony related to their official duties and prohibit public officers convicted of a felo- ny, related to their official duties, and removed from office from ever serving in the Legislature in the future. Contains the following reforms divided into Parts A - G outlined as follows: I. Part A: Member Item Reform A. This part requires every appropriation for any discretionary request by the Governor or any member or any Member Item to be itemized in the budget and to include the name of the Governor or member requesting the appropriation. B. This part requires the Governor or member requesting the appropri- ation to submit a form to the Attorney General indicating that no conflict of interest exists. C. Also, prohibits any appropriation at the discretion of the Governor or a member when a conflict of interest exists, including appropriations to organizations that employ or compensate the Governor, the legislator, a family member or any person sharing the home of the Governor or member. II. Part B: Commission on Official Conduct A. This part establishes a new five-member Commission on Official Conduct that would assume the duties of the following: i. The Joint Commission on Public Ethics (JCOPE); ii. The Office of the State Inspector General; and iii. The Former Temporary State Commission of Investigation. B. Commission on Official Conduct Appointments: i. One member appointed by the Chief Judge of the court of Appeals, who will serve as the Commission Chair; ii. One member appointed by the presiding justice of the appellate divi- sion in the first department; iii. One member appointed by the presiding justice of the appellate division in the second department; iv. One member appointed by the presiding justice of the appellate divi- sion in the third department; and v. One member appointed by the presiding justice of the appellate divi- sion in the fourth department. C. Each member of the commission will serve a five-year term. However, the members that are initially appointed would serve a term in the following manner: i. The member appointed by the presiding justice in the fourth depart- ment shall serve a term of one year; ii. The member appointed by the presiding justice in the second depart- ment shall serve a term of two years; iii. The member appointed by the presiding justice in the third depart- ment shall serve a term of three years; iv. The member appointed by the presiding justice in the first depart- ment shall serve a term of four years; and v. The member appointed by the chief judge of the court of appeals shall serve a term of five years. III. Part C: Campaign Contribution Forfeiture A. This part requires unspent contributions received by an elected offi- cial that is convicted of a felony related to his/her duties to be returned to the private source of the contributions within the elected official's district (or to private sources within the state for a state- wide elected official). If the contributions came from outside the district (or state for statewide officials), or if the private source of the contributions cannot be located, the unspent contributions would be donated to a charity within the elected official's district, when prac- ticable. B. The Governor, the Speaker of the Assembly, the Temporary President of the Senate, the Minority Leader of the Assembly, and the Minority Leader of the Senate can deem charitable organizations ineligible to receive forfeited donations. IV. Part D: Failure to Report Corruption (new crime) A. This part establishes a class A misdemeanor for a public servant who fails to report corruption to a district attorney or to the Commission on Official Conduct when he/she knows another person is guilty - subject to a fine of $1,000 and/or up to one year in prison. V. Part E: Prohibition on Campaign Funds for Personal Use A. This part prohibits use of campaign contributions for personal use that are not related to campaign purposes or activities including: i. criminal attorney or legal fees; ii. food; iii. salary payments to a person or a family member; iv. automobile purchases or leases; v. travel and mileage; vi. residential or household items; vii. mortgage, rent, or utility payments; viii. funeral, cremation, or burial; ix. clothing; x. tuition payments; xi. childcare; xii. dues, fees, or gratuities at a country club, health club, fraternal organization, professional organization, or recreational facility; xiii. admission to a sporting event, concert, theater, or other form of entertainment; xiv. payment of any fines, fees, or penalties; xv. any other expenditure designated by the Commission on Official Conduct as constituting personal use. VI. Part F: Penalty for Filing Late Campaign Disclosure Statements A. This part states that candidates, political committees or those acting on a candidate's behalf that willfully fail to file financial statements within 30 days after the deadline, unless granted an exten- sion, would be subjected to the following civil penalties by the Commis- sion on Official Conduct: i. $1,000 for a first offense; and ii. $2,500 for a second offense and every offense committed thereafter. VII. Part G: Term Limits for Leaders and Committee Chairs A. This part limits the time any Assembly member or Senator may serve as a legislative leader or committee chair to no more than four consecutive two-year terms. Section 3. Contains the severability clause. Section 4. Contains the effective date.   JUSTIFICATION: Recent Siena Research Institute polls illustrated the eroding confidence New Yorkers have in their public officials in the aftermath of recent corruption scandals, with 90 percent of voters saying corruption in state government is a serious problem. According to another poll, 96 percent of voters said passing anti-corruption legislation is important, with 81 percent saying it is very important. The "Public Officers Accountability Act" specifically targets the prob- lem of corruption and criminal activity in state government, and provides severe consequences for elected officials and public officers who defy the public's trust. This legislation contains real reforms to curtail abuses of office, state funds and campaign funds. The "Public Officers Accountability Act" is necessary to restore accountability and public confidence in New York State government.   PRIOR LEGISLATIVE HISTORY: A.4617 (2015-16), Held in Governmental Operations; A.7393 (2013-14), Held in Governmental Operations.   FISCAL IMPLICATIONS: None.   EFFECTIVE DATE: This act shall take effect immediately; provided, however, that the applicable effective dates of parts A through G of this act shall be as specifically set forth in the last section of such Parts.
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A05864 Text:



 
                STATE OF NEW YORK
        ________________________________________________________________________
 
                                          5864
 
                               2017-2018 Regular Sessions
 
                   IN ASSEMBLY
 
                                    February 16, 2017
                                       ___________
 
        Introduced  by  M.  of  A. KOLB, BARCLAY, BLANKENBUSH, BRABENEC, BUTLER,
          BYRNE, CASTORINA, CROUCH, CURRAN,  DiPIETRO,  ERRIGO,  FINCH,  FITZPA-
          TRICK, FRIEND, GARBARINO, GIGLIO, GOODELL, GRAF, HAWLEY, JOHNS, LALOR,
          LAWRENCE, LOPEZ, LUPINACCI, MALLIOTAKIS, McDONOUGH, McKEVITT, McLAUGH-
          LIN,  B. MILLER,  M. L. MILLER,  MONTESANO, MORINELLO, MURRAY, NORRIS,
          OAKS, PALMESANO, PALUMBO, RA, RAIA, STEC, WALSH, WALTER --  read  once
          and referred to the Committee on Governmental Operations
 
        AN  ACT  to amend the state finance law, in relation to requiring trans-
          parency, identification and disclosure of certain  appropriations  and
          intended  recipients (Part A); to establish the commission on official
          conduct, providing for its powers, duties and functions, and providing
          for the transfer of the functions, powers and duties of the commission
          on public integrity, the office of the state inspector general and the
          former temporary state commission of investigation to  the  commission
          on  official  conduct; to amend the civil service law and the legisla-
          tive law, in relation to the commission on public integrity; to  amend
          the  racing,  pari-mutuel  wagering  and  breeding  law in relation to
          membership on the franchise  oversight  board;  to  amend  the  public
          authorities  law  and  the  executive  law,  in  relation to the state
          inspector general; to amend the criminal procedure law, the  executive
          law  and  the public officers law, in relation to the former temporary
          state commission of investigation; to repeal section 94 of the  execu-
          tive  law relating to the joint commission on public ethics; to repeal
          article 4-A of the executive law and subdivision 68 of section 2.10 of
          the criminal procedure law relating to the office of the state inspec-
          tor general; and to repeal chapter 989 of the laws of  1958,  relating
          to  creating  a  temporary state commission of investigation, relating
          thereto (Part B); to amend the election law, in relation to forfeiture
          of unspent campaign funds after criminal conviction and resignation of
          the elected official (Part C); to amend the penal law, in relation  to
          failure  to  report corruption (Part D); to amend the election law, in
          relation to limitations on use of campaign contributions and to repeal
          certain provisions of such law relating thereto (Part E); to amend the
          election law, in relation to filing late  campaign  disclosure  state-
 
         EXPLANATION--Matter in italics (underscored) is new; matter in brackets
                              [ ] is old law to be omitted.
                                                                   LBD08084-01-7

        A. 5864                             2
 
          ments  (Part  F);  and  to  amend  the legislative law, in relation to
          limiting the amount of time a legislator may serve  as  a  legislative
          leader (Part G)

          The  People of the State of New York, represented in Senate and Assem-
        bly, do enact as follows:
 
     1    Section 1. Short title. This act shall be known and may  be  cited  as
     2  the "public officers accountability act of 2017".
     3    §  2. This act enacts into law major components of legislation provid-
     4  ing for member item  reform,  creating  a  new  Commission  on  Official
     5  Conduct, requiring forfeiture of campaign funds upon felony convictions,
     6  creating  a  new crime for failure to report corruption, limiting use of
     7  campaign funds, enhancing penalties for filing late campaign  disclosure
     8  statements,  and  limiting  terms of leaders and committee chairs.  Each
     9  component is wholly contained  within  a  Part  identified  as  Parts  A
    10  through  G.  The  effective date for each particular provision contained
    11  within such Part is set forth in the last  section  of  such  Part.  Any
    12  provision  in  any section contained within a Part, including the effec-
    13  tive date of the Part, which makes a reference to  a  section  "of  this
    14  act",  when  used in connection with that particular component, shall be
    15  deemed to mean and refer to the corresponding section  of  the  Part  in
    16  which  it  is  found.  Section  four  of this act sets forth the general
    17  effective date of this act. The "public officers accountability  act  of
    18  2017"  provided  in  this  act,  includes  the support of constitutional
    19  amendments that are consistent with the intent of this act. The legisla-
    20  ture supports constitutional proposals that remove pension benefits from
    21  public officials who are convicted of a felony related to such  individ-
    22  ual's  official duties and to provide that no person who is convicted of
    23  a felony, related to such official duties, shall be eligible to serve in
    24  the legislature.
 
    25                                   PART A
 
    26    Section 1. Subdivisions 4 and 5 of section 24  of  the  state  finance
    27  law,  as  added by chapter 1 of the laws of 2007, are amended to read as
    28  follows:
    29    4. Any appropriation submitted by the governor or added to such budget
    30  bills, pursuant to section four of article seven  of  the  constitution,
    31  shall  only  contain  itemized  appropriations which shall not be in the
    32  form of lump sum appropriations, and provided further that for all  non-
    33  federal  state  operations appropriations, such bill or bills shall only
    34  contain itemized appropriations and shall be made, where practicable, by
    35  agency, and within each agency by program and within each program at the
    36  following level of detail and in the following order:
    37    (a) by fund type, which at  a  minimum  shall  include  general  fund,
    38  special  revenue-other  funds,  capital  projects funds and debt service
    39  funds;
    40    (b) for personal service appropriations, separate appropriations shall
    41  be made for regular personal service, temporary  personal  service,  and
    42  holiday and overtime pay;
    43    (c)  for  nonpersonal  service appropriations, separate appropriations
    44  shall be made for supplies and materials, travel, contractual  services,
    45  equipment and fringe benefits, as appropriate; and

        A. 5864                             3
 
     1    (d)  at  the  request or discretion of the governor or a member of the
     2  legislature, such appropriation shall include the name of  the  governor
     3  or member of the legislature.
     4    5.  [Any appropriation added pursuant to section four of article seven
     5  of the constitution without designating a  grantee  shall  be  allocated
     6  only  pursuant to a plan setting forth an itemized list of grantees with
     7  the amount to be received by each, or  the  methodology  for  allocating
     8  such  appropriation.  Such  plan shall be subject to the approval of the
     9  chair of the senate finance committee, the chair of  the  assembly  ways
    10  and  means  committee,  and  the  director of the budget, and thereafter
    11  shall be included in a concurrent resolution calling for the expenditure
    12  of such monies, which resolution must be approved by a majority vote  of
    13  all  members elected to each house upon a roll call vote.] Any appropri-
    14  ation submitted by the governor or added to such budget bills,  pursuant
    15  to  section  four of article seven of the constitution, shall be subject
    16  to the following:
    17    (a) the governor or member of the legislature requesting  such  appro-
    18  priation  shall be required to submit a signed conflict of interest form
    19  and submit such form to the attorney general to ensure that no  conflict
    20  of  interest  exists;  the attorney general shall designate the form and
    21  content of the conflict of interest form. The governor or member of  the
    22  legislature  shall  disclose  on the conflict of interest form all poli-
    23  tical donations he or she is receiving or has received in the past  from
    24  the  intended recipient of the appropriation funding. Such a conflict of
    25  interest form shall be signed by the governor or member of the  legisla-
    26  ture under penalty of perjury; and
    27    (b)  an  appropriation  provided  at the discretion of the governor or
    28  member of the legislature shall not be provided if a conflict of  inter-
    29  est exists between the governor or a member of the legislature designat-
    30  ing  the appropriation and the potential recipient. These appropriations
    31  cannot fund organizations that employ or otherwise compensate the gover-
    32  nor or member of the legislature, governor's family  or  member  of  the
    33  legislator's  family,  any  person  sharing  the home of the governor or
    34  member of the legislature or the governor's or a member of the  legisla-
    35  tor's staff for services or labor rendered. Furthermore, the governor or
    36  members  of  the  legislature  shall not designate appropriations if the
    37  governor or member of the legislature, a member  of  the  governor's  or
    38  member  of  the  legislator's family, any person sharing the home of the
    39  governor or member of the legislature or a member of the  governor's  or
    40  member  of the legislator's staff is involved with the operations of the
    41  organization in a decision-making capacity including but not limited  to
    42  working  on  an  unpaid, volunteer basis or as a member of the directing
    43  board of an organization.
    44    § 2. This act shall take effect immediately.
 
    45                                   PART B
 
    46    Section 1. Short title. This act shall be known and may  be  cited  as
    47  the "commission on official conduct act".
    48    §  2. Definitions. As used in this act, the following terms shall have
    49  the following meanings:
    50    (a) "Commission" means the commission on official conduct  established
    51  by section three of this act.
    52    (b)  "Executive  director" means the executive director of the commis-
    53  sion, appointed pursuant to section four of this act.

        A. 5864                             4
 
     1    (c) "Covered agency" means all executive branch agencies, departments,
     2  divisions, officers, boards and commissions, public  authorities  (other
     3  than  multi-state  or  multi-national  authorities)  and  public benefit
     4  corporations, the heads of which are  appointed  by  the  governor,  and
     5  which do not have their own inspector general by statute.
     6    (d)  Covered individual means all statewide elected officials, members
     7  of the legislature and employees of the legislature, and state  officers
     8  and employees, as defined in sections 73 and 73-a of the public officers
     9  law,  candidates  for  statewide  elected  office  and for the senate or
    10  assembly, and the political party chairman as that term  is  defined  in
    11  section  73-a  of  the public officers law, lobbyists and the clients of
    12  lobbyists as such terms are defined in article 1-A  of  the  legislative
    13  law,  and individuals who have formerly held such positions, were lobby-
    14  ists or clients of lobbyists, as such terms are defined in  article  1-A
    15  of the legislative law, or who have formerly been such candidates.
    16    §  3. Commission on official conduct; established. (a) There is hereby
    17  established, as an independent state agency, the commission on  official
    18  conduct.  The  commission  shall  consist  of  five members appointed as
    19  follows:
    20    (1) one member appointed by the chief judge of the court  of  appeals,
    21  who shall serve as the chair of the commission;
    22    (2)  one  member  appointed  by the presiding justice of the appellate
    23  division in the first department;
    24    (3) one member appointed by the presiding  justice  of  the  appellate
    25  division in the second department;
    26    (4)  one  member  appointed  by the presiding justice of the appellate
    27  division in the third department; and
    28    (5) one member appointed by the presiding  justice  of  the  appellate
    29  division in the fourth department.
    30    (b)  Each  member  of  the commission shall serve a term of five years
    31  commencing on the first of January of the calendar  year  in  which  the
    32  vacancy  in  such office occurs; provided, however, that for the members
    33  initially appointed as members, the member appointed  by  the  presiding
    34  justice  in  the  fourth  department shall serve a term of one year, the
    35  member appointed by the presiding justice in the second department shall
    36  serve a term of two years, the member appointed by the presiding justice
    37  in the third department shall serve a term of three  years,  the  member
    38  appointed by the presiding justice in the first department shall serve a
    39  term  of  four  years and the member appointed by the chief judge of the
    40  court of appeals shall serve a term of five years.
    41    Any vacancy occurring in the membership of  the  commission  shall  be
    42  filled  within  sixty  days  of its occurrence in the same manner as the
    43  member whose vacancy is being filled was appointed. A  person  appointed
    44  to fill a vacancy occurring other than by expiration of a term of office
    45  shall  be  appointed  to  the  unexpired  term  of  the member he or she
    46  replaces.
    47    (c) Four members of the commission shall constitute a quorum, and  the
    48  commission  shall have power to act by majority vote of the total number
    49  of members of the commission without vacancy.
    50    (d) The members of the commission shall receive  no  compensation  for
    51  their services, but shall be allowed their actual and necessary expenses
    52  incurred in the performance of their duties pursuant to this act.
    53    (e) Members of the commission may be removed by the chief judge of the
    54  court  of  appeals  for substantial neglect of duty, gross misconduct in
    55  office, inability to discharge  the  powers  and  duties  of  office  or

        A. 5864                             5
 
     1  violation of the provisions of this act, after written notice and oppor-
     2  tunity to be heard by the court of appeals.
     3    §  4.  Executive  director and staff. (a) The commission shall appoint
     4  and employ an executive director who shall serve a term  of  six  years.
     5  Any  vacancy  in the office of executive director shall be filled within
     6  ten days of its occurrence. A person appointed to fill a vacancy in  the
     7  office  of  executive  director  occurring other than by expiration of a
     8  term of office shall be appointed to the unexpired term of the executive
     9  director he or she replaces.
    10    (b) The executive director shall act in accordance with the  policies,
    11  rules and regulations of the commission. He or she shall act in the name
    12  of  the  commission  pursuant  to  the  specific powers delegated by the
    13  commission to the office of executive director.
    14    (c) The commission shall appoint  and  employ  such  other  staff  and
    15  investigators  as  shall be necessary to carry out its powers and duties
    16  pursuant to this act.
    17    (d) The executive director, staff members  and  investigators  may  be
    18  removed by the commission for substantial neglect of duty, gross miscon-
    19  duct  in  office,  inability to perform their duties or violation of the
    20  provisions of this act, after  written  notice  and  opportunity  to  be
    21  heard.
    22    §  5.  Powers and duties. The commission shall have the power and duty
    23  to:
    24    (a) fix the compensation of the executive director, staff members  and
    25  investigators;
    26    (b)  request  and receive, and shall utilize and be provided with such
    27  facilities, resources and  data  of  any  court,  department,  division,
    28  board, bureau, commission or agency of the state or any political subdi-
    29  vision  thereof,  or  of  any  public authority or public benefit corpo-
    30  ration, as it may reasonably request to properly carry  out  its  powers
    31  and duties pursuant to this act;
    32    (c)  adopt,  amend  and  rescind  rules  and regulations to govern the
    33  procedures of the commission and to implement  the  provisions  of  this
    34  act;
    35    (d)  adopt, amend and rescind rules and regulations to assist appoint-
    36  ing authorities in determining which persons  hold  policy-making  posi-
    37  tions for the purposes of section 73-a of the public officers law;
    38    (e) make available forms for annual statements of financial disclosure
    39  required  to  be  filed  pursuant to section 73-a of the public officers
    40  law;
    41    (f) review financial disclosure statements filed pursuant  to  section
    42  73-a of the public officers law;
    43    (g)   receive   and  investigate  complaints  and  referrals  alleging
    44  violations of section 73, 73-a or 74 of the public officers law, article
    45  1-A of the legislative law, or section 107 of the civil service law;
    46    (h) permit any person required to file a financial  disclosure  state-
    47  ment  pursuant to section 73-a of the public officers law to delete from
    48  the copy thereof made available for public inspection  such  information
    49  as  shall  be determined by the commission will have no material bearing
    50  on the discharge of the reporting person's official duties;
    51    (i) grant any person required to file a financial disclosure statement
    52  pursuant to section 73-a of the public officers law, an additional peri-
    53  od of time within which to file such statement due to justifiable  cause
    54  or undue hardship;
    55    (j)  permit  any person required to file a financial disclosure state-
    56  ment pursuant to section 73-a of the public officers law to delete  such

        A. 5864                             6
 
     1  information pertaining to such person's spouse or unemancipated children
     2  as shall be found by the commission will have no material bearing on the
     3  discharge of the reporting person's official duties;
     4    (k) advise and assist any state agency in establishing rules and regu-
     5  lations  relating  to  possible  conflicts between private interests and
     6  official duties of present and former state officers and employees;
     7    (l) permit any person who has  not  been  determined  by  his  or  her
     8  appointing authority to hold a policy-making position, but who is other-
     9  wise required to file a financial disclosure statement, to be granted an
    10  exemption from such filing requirement. The commission may grant such an
    11  exemption  where the public interest does not require disclosure and the
    12  applicant's duties do not involve negotiation, authorization or approval
    13  of:
    14    (1) contracts, leases, franchises,  revocable  consents,  concessions,
    15  variances,  special  permits or licenses as defined in section 73 of the
    16  public officers law,
    17    (2) the purchase, sale, rental or lease of  real  property,  goods  or
    18  services, or a contract therefor,
    19    (3) the obtaining of grants of money or loans, or
    20    (4)  the adoption or repeal of any rule or regulation having the force
    21  and effect of law;
    22    (m) determine questions common to  a  class  or  defined  category  of
    23  persons or items of information required to be disclosed, where determi-
    24  nation  of  the  question  will prevent undue repetition of requests for
    25  exemption or deletion, or prevent undue complication in  complying  with
    26  the provisions of this act;
    27    (n)  upon written request from a person subject to the requirements of
    28  section 73, 73-a or 74 of the public officers law,  render  an  advisory
    29  opinion on the requirements of such provisions;
    30    (o) promulgate rules concerning restrictions on outside activities and
    31  limitations or the receipt of gifts and honoraria;
    32    (p)  conduct  training  programs,  in  cooperation with the governor's
    33  office of employee relations, to provide instruction to persons  subject
    34  to its jurisdiction;
    35    (q) administer and enforce all provisions of this act;
    36    (r) conduct any investigation necessary to carry out the provisions of
    37  this act;
    38    (s)  receive  and  investigate complaints from any source, or upon its
    39  own initiative, concerning allegations of  corruption,  fraud,  criminal
    40  activity, conflicts of interest or abuse in any covered agency or by any
    41  covered individual;
    42    (t)  inform  the heads of covered agencies of such allegations and the
    43  progress of investigations related thereto, unless special circumstances
    44  require confidentiality;
    45    (u) determine with respect to such  allegations  whether  disciplinary
    46  action,  civil  or  criminal prosecution, or further investigation by an
    47  appropriate federal, state or local agency is warranted, and  to  assist
    48  in such investigations;
    49    (v) prepare and release to the public written reports of such investi-
    50  gations,  as  appropriate and to the extent permitted by law, subject to
    51  redaction to protect the confidentiality of witnesses.  The  release  of
    52  all or portions of such reports may be deferred to protect the confiden-
    53  tiality of ongoing investigations;
    54    (w)  review  and  examine  periodically the policies and procedures of
    55  covered  agencies  with  regard  to  the  prevention  and  detection  of
    56  corruption, fraud, criminal activity, conflicts of interest or abuse;

        A. 5864                             7

     1    (x) recommend remedial acts to prevent or eliminate corruption, fraud,
     2  criminal activity, conflicts of interest or abuse in covered agencies;
     3    (y)  establish  programs  for  training  state  officers and employees
     4  regarding the prevention and elimination of corruption, fraud,  criminal
     5  activity, conflicts of interest or abuse in covered agencies;
     6    (z) subpoena and enforce the attendance of witnesses;
     7    (aa)  administer  oaths  or  affirmations  and examine witnesses under
     8  oath;
     9    (bb) require the production of any books and papers deemed relevant or
    10  material to any investigation, examination or review;
    11    (cc) examine and copy or remove  documents  or  records  of  any  kind
    12  prepared,  maintained  or held by any covered agency or covered individ-
    13  ual;
    14    (dd) require any officer or  employee  in  a  covered  agency  or  any
    15  covered  individual to answer questions concerning any matter related to
    16  the performance of his or her official duties.  No  statement  or  other
    17  evidence  derived therefrom may be used against such officer or employee
    18  in any  subsequent  criminal  prosecution  other  than  for  perjury  or
    19  contempt  arising  from  such  testimony.  The refusal of any officer or
    20  employee to answer questions shall be cause for removal from  office  or
    21  employment, or other appropriate penalty;
    22    (ee) monitor the implementation by covered agencies of any recommenda-
    23  tions made by the commission;
    24    (ff)  perform any other functions that are necessary or appropriate to
    25  fulfill the provisions of this act;
    26    (gg) conduct investigations in connection with:
    27    (1) the faithful execution and enforcement of the laws of  the  state,
    28  with  particular reference but not limited to organized crime and racke-
    29  teering,
    30    (2) the conduct of public officers and public employees, and of  offi-
    31  cers  and  employees  of public benefit corporations and public authori-
    32  ties, and
    33    (3) any matter concerning the public peace, public safety  and  public
    34  justice;
    35    (hh)  at  the  direction  of  the governor, conduct investigations and
    36  otherwise assist the governor in connection with:
    37    (1) the removal of public officers by the governor,
    38    (2) the making of recommendations by the governor to any other  person
    39  or body, with respect to the removal of public officers, and
    40    (3)  the  making of recommendations by the governor to the legislature
    41  with respect to changes in or additions to existing  provisions  of  law
    42  required for the more effective enforcement of the law;
    43    (ii)  at  the  direction or request of the governor or the head of any
    44  department, board, bureau, commission or  other  agency  of  the  state,
    45  investigate  the  management  or  affairs of any such department, board,
    46  bureau, commission or other agency;
    47    (jj) upon the request of district attorneys and other law  enforcement
    48  officers,  cooperate  with, advise and assist them in the performance of
    49  their official powers and duties;
    50    (kk) cooperate with departments and  officers  of  the  United  States
    51  government in the investigation of violations of the federal laws within
    52  this state;
    53    (ll) examine into matters relating to law enforcement extending across
    54  the  boundaries  of  the  state  into  other states, and may consult and
    55  exchange information with officers and agencies  of  other  states  with

        A. 5864                             8

     1  respect  to law enforcement problems of mutual concern to this and other
     2  states;
     3    (mm)  whenever  it  shall appear to the commission that there is cause
     4  for the prosecution of a crime or for the removal of  a  public  officer
     5  for  misconduct,  refer  the evidence of such crime or misconduct to the
     6  officials authorized to conduct the prosecution or to remove the  public
     7  officer;
     8    (nn)  keep the public informed as to the operations of organized crime
     9  and problems of law enforcement in the state; and
    10    (oo) exercise any and all powers of the former  commission  on  public
    11  integrity  and  the former office of the state inspector general as they
    12  existed immediately prior to the effective date of this act,  and  exer-
    13  cise  any  and  all  powers  of the former temporary state commission of
    14  investigation as they existed on March 30, 2011.
    15    § 6. Financial disclosure. (a) The commission shall inspect all finan-
    16  cial disclosure statements filed with the commission to ascertain wheth-
    17  er any person subject to the reporting requirements of section  73-a  of
    18  the public officers law has failed to file such a statement, has filed a
    19  deficient  statement  or  has filed a statement which reveals a possible
    20  violation of section 73, 73-a or 74 of the public officers law.
    21    (b) If a person required to file a financial disclosure statement with
    22  the commission has failed to file a disclosure statement or has filed  a
    23  deficient statement, the commission shall notify the reporting person in
    24  writing, state the failure to file or detail the deficiency, provide the
    25  person  with a fifteen day period to cure the deficiency, and advise the
    26  person of the  penalties  for  failure  to  comply  with  the  reporting
    27  requirements.  Such notice shall be confidential. If the person fails to
    28  make such filing or fails to cure the deficiency  within  the  specified
    29  time  period,  the commission shall send a notice of delinquency: (1) to
    30  the reporting person; (2) in the case of a statewide  elected  official,
    31  to  the  temporary president of the senate and the speaker of the assem-
    32  bly; and (3) in the case of a state officer or employee, to the appoint-
    33  ing authority for such person. Such notice of delinquency may be sent at
    34  any time during the reporting person's service as  a  statewide  elected
    35  official,  state  officer  or employee, political party chair or while a
    36  candidate for statewide office, or within one year after termination  of
    37  such  service  or  candidacy.  The  jurisdiction of the commission, when
    38  acting pursuant to subdivision (d)  of  this  section  with  respect  to
    39  financial  disclosure, shall continue notwithstanding that the reporting
    40  person separates from state service, or  ceases  to  hold  office  as  a
    41  statewide  elected  official or political party chair, or ceases to be a
    42  candidate, provided the commission notifies such person of  the  alleged
    43  failure to file or deficient filing pursuant to this subdivision.
    44    (c)(1)  If  the  commission  receives  a  sworn  complaint  alleging a
    45  violation of section 73, 73-a or 74 of the public officers law,  section
    46  107  of the civil service law or article 1-A of the legislative law by a
    47  person or entity subject to the jurisdiction of the commission, or if  a
    48  reporting  individual  has  filed  a  statement which reveals a possible
    49  violation of these provisions, or if the commission  determines  on  its
    50  own initiative to investigate a possible violation, the commission shall
    51  notify  the  individual  in  writing,  describe  the possible or alleged
    52  violation of such laws and provide the person with a fifteen day  period
    53  in which to submit a written response setting forth information relating
    54  to  the  activities  cited as a possible or alleged violation of law. If
    55  the commission thereafter makes a determination that further inquiry  is
    56  justified,  it shall give the individual an opportunity to be heard. The

        A. 5864                             9
 
     1  commission shall also inform the individual of its rules  regarding  the
     2  conduct  of  adjudicatory  proceedings  and  appeals and the due process
     3  procedural mechanisms available to such individual.  If  the  commission
     4  determines  at any stage of the proceeding that there is no violation or
     5  that any potential conflict of interest violation has been rectified, it
     6  shall so advise the individual and the complainant, if any. All  of  the
     7  foregoing proceedings shall be confidential.
     8    (2)  If  the  commission  determines that there is reasonable cause to
     9  believe that a violation has occurred, it shall send a notice of reason-
    10  able cause: (i) to the reporting person; (ii) to the complainant if any;
    11  (iii) in the case of a statewide  elected  official,  to  the  temporary
    12  president of the senate and the speaker of the assembly; and (iv) in the
    13  case  of  a  state  officer or employee, to the appointing authority for
    14  such person.
    15    (3) The jurisdiction of the commission when acting  pursuant  to  this
    16  act  shall continue notwithstanding that a statewide elected official or
    17  a state officer or employee separates from state service, or a political
    18  party chair ceases to hold such office, or a candidate ceases  to  be  a
    19  candidate,  or a lobbyist or client of a lobbyist ceases to act as such,
    20  provided that the commission notifies such individual or entity  of  the
    21  alleged  violation  of law pursuant to paragraph one of this subdivision
    22  within one year from his or her separation from state service or his  or
    23  her  termination  of party service or candidacy, or from his, her or its
    24  last report filed pursuant to article 1-A of the legislative law.  Noth-
    25  ing in this section shall serve to limit the jurisdiction of the commis-
    26  sion in enforcement of subdivision 8 of section 73 of the  public  offi-
    27  cers law.
    28    (d)  An  individual  subject to the jurisdiction of the commission who
    29  knowingly and intentionally violates the provisions  of  subdivisions  2
    30  through  5,  7, 8, 12 or 14 through 17 of section 73 of the public offi-
    31  cers law, section 107 of the civil service law, or a reporting  individ-
    32  ual  who  knowingly  and  wilfully  fails to file an annual statement of
    33  financial disclosure or  who  knowingly  and  wilfully  with  intent  to
    34  deceive makes a false statement or fraudulent omission or gives informa-
    35  tion which such individual knows to be false on such statement of finan-
    36  cial  disclosure  filed  pursuant to section 73-a of the public officers
    37  law shall be subject to a civil penalty  in  an  amount  not  to  exceed
    38  $40,000 and the value of any gift, compensation or benefit received as a
    39  result  of such violation. An individual who knowingly and intentionally
    40  violates the provisions of paragraphs b, c, d or i of subdivision  3  of
    41  section 74 of the public officers law shall be subject to a civil penal-
    42  ty in an amount not to exceed $10,000 and the value of any gift, compen-
    43  sation  or benefit received as a result of such violation. An individual
    44  who knowingly and intentionally violates the provisions of paragraphs a,
    45  e or g of subdivision 3 of section 74 of the public officers  law  shall
    46  be  subject  to  a civil penalty in an amount not to exceed the value of
    47  any  gift,  compensation  or  benefit  received  as  a  result  of  such
    48  violation.  An  individual subject to the jurisdiction of the commission
    49  who knowingly and wilfully violates article 1-A of the  legislative  law
    50  shall  be  subject  to  civil  penalty  as provided for in that article.
    51  Assessment of a civil penalty pursuant to this section shall be made  by
    52  the  commission  with respect to persons subject to its jurisdiction. In
    53  assessing the amount of the civil penalties to be imposed,  the  commis-
    54  sion shall consider the seriousness of the violation, the amount of gain
    55  to the individual and whether the individual previously had any civil or
    56  criminal  penalties  imposed  pursuant  to  this  section, and any other

        A. 5864                            10
 
     1  factors the commission deems appropriate. For a violation of this subdi-
     2  vision, other than for conduct which constitutes a violation of  section
     3  107  of  the  civil  service  law,  subdivisions  12 or 14 through 17 of
     4  section  73  or  section 74 of the public officers law or article 1-A of
     5  the legislative law, the commission may, in lieu  of  a  civil  penalty,
     6  refer   a   violation  to  the  appropriate  prosecutor  and  upon  such
     7  conviction, such violation shall be punishable as a class A misdemeanor.
     8  A civil penalty for false filing may not be  imposed  pursuant  to  this
     9  section in the event a category of "value" or "amount" reported pursuant
    10  to this section is incorrect unless such reported information is falsely
    11  understated. Notwithstanding any other provision of law to the contrary,
    12  no  other  penalty,  civil  or  criminal may be imposed for a failure to
    13  file, or for a false filing,  of  such  statement,  or  a  violation  of
    14  section  73  of  the  public  officers  law,  except that the appointing
    15  authority may impose disciplinary action as otherwise provided  by  law.
    16  The  commission  may  refer violations of this section to the appointing
    17  authority for disciplinary action as  otherwise  provided  by  law.  The
    18  commission shall be deemed to be an agency within the meaning of article
    19  3  of  the  state  administrative  procedure  act  and shall adopt rules
    20  governing the conduct of  adjudicatory  proceedings  and  appeals  taken
    21  pursuant  to  a proceeding commenced under article 78 of the civil prac-
    22  tice law and rules relating to the assessment  of  the  civil  penalties
    23  authorized  by  this  subdivision and commission denials of requests for
    24  certain deletions or exemptions to be made from a  financial  disclosure
    25  statement  as  authorized  by  this  act. Such rules, which shall not be
    26  subject to the approval requirements of the state administrative  proce-
    27  dure  act,  shall provide for due process procedural mechanisms substan-
    28  tially similar to those set forth in article 3 of the state  administra-
    29  tive procedure act but such mechanisms need not be identical in terms or
    30  scope.  Assessment  of  a  civil  penalty or commission denial of such a
    31  request shall be final unless  modified,  suspended  or  vacated  within
    32  thirty days of imposition, with respect to the assessment of such penal-
    33  ty,  or unless such denial of request is reversed within such time peri-
    34  od, and upon becoming final shall be subject to review at  the  instance
    35  of  the affected reporting individuals in a proceeding commenced against
    36  the commission, pursuant to article 78 of the  civil  practice  law  and
    37  rules.
    38    (e)  If  the  commission  has  a  reasonable basis to believe that any
    39  person subject to the jurisdiction of the legislative ethics  commission
    40  may have violated any provisions of section 73 or 74 of the public offi-
    41  cers  law, it may refer such violation to the legislative ethics commis-
    42  sion. The referral by the commission to the legislative  ethics  commis-
    43  sion  shall  include  any  information  relating thereto coming into the
    44  custody or under the control of the commission  at  any  time  prior  or
    45  subsequent to the time of the referral.
    46    (f)  A copy of any notice of delinquency or notice of reasonable cause
    47  sent pursuant to subdivisions (b) and  (c)  of  this  section  shall  be
    48  included  in  the  reporting  person's  file and be available for public
    49  inspection and copying.
    50    § 7. Website. Within one hundred twenty days of the effective date  of
    51  this  section,  the  commission  shall  create and thereafter maintain a
    52  publicly accessible website which shall  set  forth  the  procedure  for
    53  filing  a  complaint  with  the  commission, and which shall contain the
    54  documents identified in section eight of this act, other than  financial
    55  disclosure  statements,  and  any other records or information which the
    56  commission determines to be appropriate.

        A. 5864                            11
 
     1    § 8. Public access to records. (a) Notwithstanding the  provisions  of
     2  article 6 of the public officers law, the only records of the commission
     3  which shall be 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 73-a of  the  public  officers  law
     6  except  the  categories of value or amount, which shall remain confiden-
     7  tial, and any other item of information deleted pursuant to this act;
     8    (2) notices of delinquency sent under subdivision (b) of  section  six
     9  of this act;
    10    (3)  notices  of reasonable cause sent under paragraph two of subdivi-
    11  sion (c) of section six of this act;
    12    (4) notices of civil assessments imposed under this  act  which  shall
    13  include  a  description  of  the  nature  of the alleged wrongdoing, the
    14  procedural history of the complaint,  the  findings  and  determinations
    15  made by the commission, and any sanction imposed;
    16    (5) the terms of any settlement or compromise of a complaint or refer-
    17  ral which includes a fine, penalty or other remedy; and
    18    (6)  those required to be held or maintained publicly available pursu-
    19  ant to article 1-A of the legislative law.
    20    (b) Pending any application for deletion or exemption to  the  commis-
    21  sion,  all information which is the subject or a part of the application
    22  shall remain confidential. Upon an adverse determination by the  commis-
    23  sion,  the  reporting  individual may request, and upon such request the
    24  commission shall provide, that any information which is the  subject  or
    25  part  of the application remain confidential for a period of thirty days
    26  following notice of such determination. In the event that the  reporting
    27  individual  resigns  his or her office and holds no other office subject
    28  to the jurisdiction of the commission, the information shall not be made
    29  public and shall be expunged in its entirety.
    30    § 9. Responsibilities of covered agencies, covered individuals,  state
    31  officers  and  employees.    (a)  Every  state  officer or employee in a
    32  covered agency and every covered individual shall report promptly to the
    33  commission any information concerning corruption, fraud, criminal activ-
    34  ity, conflicts of interest or abuse by another state officer or employee
    35  relating to his or her office or employment, or by a person having busi-
    36  ness dealings with a covered agency  relating  to  those  dealings.  The
    37  knowing  failure  of any officer or employee to so report shall be cause
    38  for removal from office or employment or other appropriate penalty.  Any
    39  officer  or  employee who acts pursuant to this subdivision by reporting
    40  to the commission improper governmental action  as  defined  in  section
    41  75-b  of the civil service law shall not be subject to dismissal, disci-
    42  pline or other adverse personnel action.
    43    (b) The head of any covered agency shall advise  the  governor  within
    44  ninety  days  of  the  issuance  of a report by the commission as to the
    45  remedial action that the agency has taken in response to any recommenda-
    46  tion for such action contained in such report.
    47    § 10. Confidentiality. Any person conducting or participating  in  any
    48  examination or investigation who shall disclose to any person other than
    49  the  commission or an officer having the power to appoint one or more of
    50  the commissioners the name of any witness examined, or  any  information
    51  obtained  or  given  upon  such  examination or investigation, except as
    52  directed by the commission, shall be guilty of a misdemeanor.
    53    § 11. Evidence to be impounded. Upon the application  of  the  commis-
    54  sion,  the  executive director or a duly authorized member of its staff,
    55  the supreme court or a justice thereof may impound any exhibit marked in
    56  evidence in any public or private hearing held  in  connection  with  an

        A. 5864                            12
 
     1  investigation conducted by the commission, and may order such exhibit to
     2  be  retained  by,  or  delivered  to  and  placed in the custody of, the
     3  commission. When so impounded such exhibit shall not be taken  from  the
     4  custody  of  the commission, except upon further order of the court or a
     5  justice thereof made upon five days' notice to the  commission  or  upon
     6  its application or with its consent.
     7    §  12.  Immunity  from  prosecution.  In  any investigation or hearing
     8  conducted by the commission pursuant to this act, relating to any  crime
     9  or  offense  with  respect  to which, by express provision of statute, a
    10  competent authority is authorized to confer immunity; the commission may
    11  confer immunity in accordance with the provisions of  section  50.20  of
    12  the criminal procedure law, but only after affording the attorney gener-
    13  al  and the appropriate district attorney the opportunity to be heard in
    14  respect to any objections which they may have to the  granting  of  such
    15  immunity.
    16    § 13. Transfer of functions, powers and duties. All functions, powers,
    17  duties  and obligations of the former commission on public integrity and
    18  the former office of the  state inspector  general  are  hereby  trans-
    19  ferred to the commission.
    20    § 14. Transfer of employees. (a) Upon transfer of the functions of the
    21  former commission on public integrity and the former office of the state
    22  inspector  general  to  the commission, provisions shall be made for the
    23  transfer to the commission of those employees of  such  former  agencies
    24  who  were  engaged in carrying out the functions transferred by this act
    25  in accordance with section 70 of the civil service  law  or,  where  not
    26  subject  to  the  civil  service  law, the provisions of such section 70
    27  shall be deemed applicable, except where the  context  clearly  requires
    28  otherwise.    Any such employee who, at the time of such transfer, has a
    29  temporary or provisional appointment shall be transferred subject to the
    30  same right of removal, examination or termination as though such  trans-
    31  fer had not been made except to the extent such rights are modified by a
    32  collective  bargaining  agreement.  Employees holding permanent appoint-
    33  ments in competitive class positions who are not transferred pursuant to
    34  this  section  shall  have  their  names  entered  upon  an  appropriate
    35  preferred list for reinstatement pursuant to the civil service law.
    36    (b)  A  transferred  employee  shall  remain  in  the  same collective
    37  bargaining unit as was the case prior to his or her transfer;  successor
    38  employees  to  the  positions  held by such transferred employees shall,
    39  consistent with the provisions of article 14 of the civil  service  law,
    40  be included in the same unit as their predecessors. Employees other than
    41  management  or  confidential  persons  (as  defined in article 14 of the
    42  civil service law), serving positions in newly created titles  shall  be
    43  assigned  to  the appropriate bargaining unit. Nothing contained in this
    44  section shall be construed to affect:
    45    (1) the rights of employees pursuant to a collective bargaining agree-
    46  ment;
    47    (2) the representational relationships among employee organizations or
    48  the bargaining relationships between the state and an employee organiza-
    49  tion; or
    50    (3) existing law with respect to an application to the public  employ-
    51  ment relations board, provided, however, that the merger of such negoti-
    52  ating  units of employees shall be effected only with the consent of the
    53  recognized and certified representative of such units and of the depart-
    54  ment of law.
    55    § 15. Transfer of records. All  books,  papers  and  property  of  the
    56  former commission on public integrity and the former office of the state

        A. 5864                            13
 
     1  inspector  general  are  to be delivered to the commission at such place
     2  and time, and in such manner as the commission shall require.
     3    §  16.  Continuity  of authority. For the purpose of succession to all
     4  functions, powers, duties and obligations of the  former  commission  on
     5  public  integrity  and  the former office of the state inspector general
     6  transferred to and assumed by  the  commission,  such  commission  shall
     7  continue the operation thereof as if performed by such former agencies.
     8    §  17. Completion of unfinished business. Any business or other matter
     9  undertaken or commenced by the former commission on public integrity and
    10  the former office of  the  state  inspector  general  pertaining  to  or
    11  connected with the functions, powers, duties and obligations transferred
    12  and assigned to the commission and pending on the effective date of this
    13  section  shall  be conducted and completed by the commission in the same
    14  manner and under the same terms and conditions and with the same  effect
    15  as if conducted and completed by such former agencies.
    16    §  18.  Continuation of rules and regulations. All rules, regulations,
    17  acts, orders, determinations and decisions of the former  commission  on
    18  public integrity and the former office of the state inspector general in
    19  force  at  the  time  of such transfer and assumption, shall continue in
    20  force and effect as rules, regulations, acts, orders, determinations and
    21  decisions of the commission until duly modified or abrogated.
    22    § 19. Terms occurring in laws, contracts and other documents. Whenever
    23  the former commission on public integrity or the former  office  of  the
    24  state  inspector  general  is  referred  to  or  designated  in any law,
    25  contract or document pertaining to the  functions,  powers,  obligations
    26  and duties transferred and assigned pursuant to this act, such reference
    27  or designation shall be deemed to refer to the commission.
    28    §  20.  Existing  rights  and remedies preserved. No existing right or
    29  remedy of any character shall be lost, impaired or affected by reason of
    30  any transfer or assignment pursuant to this act.
    31    § 21. Pending actions or proceedings. No action or proceeding  pending
    32  upon  the  effective  date  of  this  section relating to the functions,
    33  powers and duties of the former commission on public integrity  and  the
    34  former  office of the state inspector general transferred to the commis-
    35  sion, brought by or against any such former agency, shall be affected by
    36  any provision of this act, but the same may be prosecuted or defended in
    37  the name of the commission. In all such  actions  and  proceedings,  the
    38  commission,  upon  application  to  the court, shall be substituted as a
    39  party.
    40    § 22. Transfer of  appropriations  heretofore  made.  Subject  to  the
    41  approval  of  the  director of the division of the budget, all appropri-
    42  ations and reappropriations heretofore made to the former commission  on
    43  public  integrity  and  the former office of the state inspector general
    44  for the purposes and functions transferred pursuant to this act  to  the
    45  commission,  to  the  extent  of  remaining  unexpended  or unencumbered
    46  balance thereof, whether allocated or unallocated, and whether obligated
    47  or unobligated, are hereby transferred to and made available for use and
    48  expenditure by the commission for the same purposes for which originally
    49  appropriated or reappropriated and shall be payable on  vouchers  certi-
    50  fied  or  approved by the executive director on audit and warrant of the
    51  comptroller. Payments for liabilities for expenses of personal services,
    52  maintenance and operation heretofore incurred  by  and  for  liabilities
    53  incurred  and  to  be  incurred  in completing the affairs of the former
    54  commission on public integrity  and  the  former  office  of  the  state
    55  inspector  general  with  respect  to  the  powers, duties and functions
    56  transferred in this act, shall also be made on vouchers or  certificates

        A. 5864                            14
 
     1  approved  by  the  executive  director on audit and warrant of the comp-
     2  troller.
     3    §  23.  Transfer of assets and liabilities. All assets and liabilities
     4  of the former commission on public integrity and the  former  office  of
     5  the state inspector general are hereby transferred to and assumed by the
     6  commission.
     7    § 24. Actions of the commission.  The commission is hereby directed to
     8  immediately  take  any  and all actions necessary to enable it to assume
     9  all powers, duties and functions of  the  former  commission  on  public
    10  integrity,  the  former  office  of  the state inspector general and the
    11  former temporary state commission of investigation within ninety days of
    12  the effective date of this act.
    13    § 25. Subdivision 5 of section  107  of  the  civil  service  law,  as
    14  amended  by  chapter  14  of  the  laws  of  2007, is amended to read as
    15  follows:
    16    5. Violation of this section. Complaints alleging a violation of  this
    17  section  by a statewide elected official or a state officer or employee,
    18  as defined in section seventy-three of the public officers law,  may  be
    19  directed to the commission on [public integrity] official conduct.
    20    § 26. Section 94 of the executive law is REPEALED.
    21    §  27.  Subdivision  (f)  of  section  1-c  of the legislative law, as
    22  amended by chapter 14 of the  laws  of  2007,  is  amended  to  read  as
    23  follows:
    24    (f)  The term "commission" shall mean the commission on [public integ-
    25  rity created by section  ninety-four  of  the  executive  law]  official
    26  conduct.
    27    § 28. Subdivision 3 of section 212 of the racing, pari-mutuel wagering
    28  and  breeding  law,  as  amended  by  chapter 18 of the laws of 2008, is
    29  amended to read as follows:
    30    3. Such members, except as otherwise provided by law,  may  engage  in
    31  private or public employment, or in a profession or business. The board,
    32  its  members,  officers and employees shall be subject to the provisions
    33  of sections seventy-three and seventy-four of the public  officers  law.
    34  No former trustee or officer of a non-profit racing association known as
    35  The  New  York  Racing  Association, Inc. or its predecessor, no current
    36  director or officer of a franchised corporation or any individual regis-
    37  tered with the [New York]  commission  on  [public  integrity]  official
    38  conduct  shall be appointed as members to the board nor shall any member
    39  of the board have any direct or  indirect  interest  in  any  racehorse,
    40  thoroughbred  racing  or  pari-mutuel  wagering  business, video lottery
    41  terminal facility or any development at any racing facility.
    42    § 29. Article 4-A of the executive law is REPEALED.
    43    § 30. Subdivision 3 of section 63 of the executive law, as amended  by
    44  chapter 155 of the laws of 2012, is amended to read as follows:
    45    3.  Upon  request  of  the  governor, comptroller, secretary of state,
    46  commissioner of transportation, superintendent  of  financial  services,
    47  commissioner of taxation and finance, commissioner of motor vehicles, or
    48  the  [state  inspector  general]  commission on official conduct, or the
    49  head of any other department,  authority,  division  or  agency  of  the
    50  state,  investigate  the alleged commission of any indictable offense or
    51  offenses in violation of the law which the officer making the request is
    52  especially required to execute or in relation to any  matters  connected
    53  with such department, and to prosecute the person or persons believed to
    54  have  committed  the  same  and any crime or offense arising out of such
    55  investigation or prosecution or  both,  including  but  not  limited  to
    56  appearing before and presenting all such matters to a grand jury.

        A. 5864                            15

     1    § 31. Section 2350-dd of the public authorities law, as added by chap-
     2  ter 762 of the laws of 2005, is amended to read as follows:
     3    §  2350-dd.  Jurisdiction  of  [state inspector general] commission on
     4  official conduct.   The agency is subject to  the  jurisdiction  of  the
     5  [office of the state inspector general] commission on official conduct.
     6    §  32. Subdivision 3 of section 2.10 of the criminal procedure law, as
     7  added by chapter 843 of the laws of 1980, is amended to read as follows:
     8    3. [Investigators] The executive director  and  investigators  of  the
     9  [office of the state] commission [of investigation] on official conduct.
    10    § 33. Subdivision 68 of section 2.10 of the criminal procedure law, as
    11  added by chapter 168 of the laws of 2000, is REPEALED.
    12    §  34. Subdivision 3 of section 70-a of the executive law, as added by
    13  chapter 1003 of the laws of 1970, is amended to read as follows:
    14    3. The deputy attorney general in charge of the organized  crime  task
    15  force  may  request and shall receive from the division of state police,
    16  the state department of taxation and finance, the  state  department  of
    17  labor,  the  [temporary state] commission [of investigation] on official
    18  conduct, and from every department, division, board, bureau,  commission
    19  or  other  agency of the state, or of any political subdivision thereof,
    20  cooperation and assistance in the performance of his duties. Such deputy
    21  attorney general may provide  technical  and  other  assistance  to  any
    22  district  attorney  or  other  local law enforcement official requesting
    23  such assistance in the investigation or prosecution of  organized  crime
    24  cases.
    25    § 35. Subdivision 9 of section 835 of the executive law, as separately
    26  amended  by  chapters 14 and 155 of the laws of 2012, is amended to read
    27  as follows:
    28    9. "Qualified agencies" means courts in the unified court system,  the
    29  administrative  board of the judicial conference, probation departments,
    30  sheriffs' offices, district attorneys' offices, the state department  of
    31  corrections  and  community supervision, the department of correction of
    32  any municipality, the financial frauds and consumer protection  unit  of
    33  the  state  department of financial services, the office of professional
    34  medical conduct of the state department of health for  the  purposes  of
    35  section  two  hundred thirty of the public health law, the child protec-
    36  tive services unit of a local social services district  when  conducting
    37  an  investigation  pursuant  to  subdivision six of section four hundred
    38  twenty-four of the social services law, the office of Medicaid inspector
    39  general, the [temporary state] commission [of investigation] on official
    40  conduct,  police  forces  and  departments  having  responsibility   for
    41  enforcement  of  the  general  criminal  laws of the state, the Onondaga
    42  County Center for Forensic Sciences Laboratory when  acting  within  the
    43  scope  of  its  law  enforcement  duties  and  the  division of forensic
    44  services of the Nassau county  medical  examiner's  office  when  acting
    45  within the scope of its law enforcement duties.
    46    §  36.  Subdivision  8  of  section  92 of the public officers law, as
    47  amended by section 135 of subpart B of part C of chapter 62 of the  laws
    48  of 2011, is amended to read as follows:
    49    (8)  Public  safety  agency  record.  The  term  "public safety agency
    50  record" means a record  of  the  state  commission  of  correction,  the
    51  [temporary state] commission [of investigation] on official conduct, the
    52  department of corrections and community supervision, the office of chil-
    53  dren  and  family services, the office of victim services, the office of
    54  probation and correctional alternatives or the division of state  police
    55  or  of  any  agency  or  component thereof whose primary function is the
    56  enforcement of civil or criminal statutes if  such  record  pertains  to

        A. 5864                            16

     1  investigation,  law  enforcement, confinement of persons in correctional
     2  facilities or supervision of persons pursuant to criminal conviction  or
     3  court  order,  and  any  records  maintained by the division of criminal
     4  justice  services pursuant to sections eight hundred thirty-seven, eight
     5  hundred thirty-seven-a,  eight  hundred  thirty-seven-b,  eight  hundred
     6  thirty-seven-c,  eight  hundred thirty-eight, eight hundred thirty-nine,
     7  and eight hundred forty-five of the executive law and by the  department
     8  of state pursuant to section ninety-nine of the executive law.
     9    §  37.  Chapter  989  of  the laws of 1958, creating a temporary state
    10  commission of investigation, is REPEALED.
    11    § 38. Paragraph (b) of subdivision 9 of section 80 of the  legislative
    12  law, as added by section 9 of part A of chapter 399 of the laws of 2011,
    13  is amended to read as follows:
    14    (b)  Not  later  than  forty-five calendar days after receipt from the
    15  [joint] commission on [public ethics]  official  conduct  of  a  written
    16  substantial  basis investigation report and any supporting documentation
    17  or other materials regarding a matter before the commission [pursuant to
    18  subdivision fourteen-a of section ninety-four  of  the  executive  law],
    19  unless requested by a law enforcement agency to suspend the commission's
    20  action  because  of  an  ongoing criminal investigation, the legislative
    21  ethics commission  shall  make  public  such  report  in  its  entirety;
    22  provided, however, that the commission may withhold such information for
    23  not  more  than  one additional period of the same duration or refer the
    24  matter back to  the  [joint]  commission  on  [public  ethics]  official
    25  conduct once for additional investigation, in which case the legislative
    26  ethics  commission shall, upon the termination of such additional period
    27  or upon receipt of a new report by the  [joint]  commission  on  [public
    28  ethics]  official  conduct  after  such  additional  investigation, make
    29  public the written report and publish it on the commission's website. If
    30  the legislative ethics commission  fails  to  make  public  the  written
    31  report  received  from  the  [joint]  commission in accordance with this
    32  paragraph, the [joint] commission shall  release  such  report  publicly
    33  promptly  and  in any event no later than ten days after the legislative
    34  ethics commission is required to release such  report.  The  legislative
    35  ethics commission shall not refer the matter back to the [joint] commis-
    36  sion  on  [public  ethics] official conduct for additional investigation
    37  more than once.  If the commission refers the matter back to the [joint]
    38  commission  for  additional  fact-finding,  the   [joint]   commission's
    39  original report shall remain confidential.
    40    § 39. Subparagraph 1 of paragraph a of subdivision 12 of section 80 of
    41  the legislative law, as amended by section 9 of part A of chapter 399 of
    42  the laws of 2011, is amended to read as follows:
    43    (1) the terms of any settlement or compromise of a complaint or refer-
    44  ral  or  report  which  includes a fine, penalty or other remedy reached
    45  after the commission has received a report from the  [joint]  commission
    46  on  [public ethics pursuant to subdivision fourteen-a of section ninety-
    47  four of the executive law] official conduct;
    48    § 40. Subparagraphs (ii) and (iii)  of  paragraph  (c)  and  paragraph
    49  (d-1)  of  subdivision  1  of  section  73-a of the public officers law,
    50  subparagraphs (ii) and (iii) of paragraph (c) as amended  and  paragraph
    51  (d-1)  as  added  by  section  5 of part A of chapter 399 of the laws of
    52  2011, are amended to read as follows:
    53    (ii) officers and employees of statewide elected  officials,  officers
    54  and  employees of state departments, boards, bureaus, divisions, commis-
    55  sions, councils or other state agencies, who receive annual compensation
    56  in excess of the filing rate established by paragraph (l) of this subdi-

        A. 5864                            17
 
     1  vision or who hold policy-making positions, as  annually  determined  by
     2  the  appointing  authority  and  set forth in a written instrument which
     3  shall be filed with the [joint] commission on [public ethics established
     4  by section ninety-four of the executive law] official conduct during the
     5  month  of  February,  provided,  however,  that the appointing authority
     6  shall amend such written instrument after such date within  thirty  days
     7  after the undertaking of policy-making responsibilities by a new employ-
     8  ee  or  any  other employee whose name did not appear on the most recent
     9  written instrument; and
    10    (iii) members or directors of public authorities,  other  than  multi-
    11  state  authorities, public benefit corporations and commissions at least
    12  one of whose members is appointed by the governor, and employees of such
    13  authorities, corporations and commissions  who  receive  annual  compen-
    14  sation in excess of the filing rate established by paragraph (l) of this
    15  subdivision  or who hold policy-making positions, as determined annually
    16  by the appointing authority and set forth in a written instrument  which
    17  shall be filed with the [joint] commission on [public ethics established
    18  by section ninety-four of the executive law] official conduct during the
    19  month  of  February,  provided,  however,  that the appointing authority
    20  shall amend such written instrument after such date within  thirty  days
    21  after the undertaking of policy-making responsibilities by a new employ-
    22  ee  or  any  other employee whose name did not appear on the most recent
    23  written instrument.
    24    (d-1) A financial disclosure statement required  pursuant  to  section
    25  seventy-three  of  this article and this section shall be deemed "filed"
    26  with the [joint] commission on [public ethics] official conduct upon its
    27  filing, in accordance with this section,  with  the  legislative  ethics
    28  commission  for all purposes including, but not limited to, [subdivision
    29  fourteen of section ninety-four of the executive law,] subdivision  nine
    30  of  section  eighty  of the legislative law and subdivision four of this
    31  section.
    32    § 41. Subparagraph (ii) of paragraph (a) and paragraph (c) of subdivi-
    33  sion 2 of section 73-a of the public officers law, as amended by section
    34  5 of part A of chapter 399 of the laws of 2011, are amended to  read  as
    35  follows:
    36    (ii)  a  person who is required to file an annual financial disclosure
    37  statement with  the  [joint]  commission  on  [public  ethics]  official
    38  conduct, and who is granted an additional period of time within which to
    39  file  such  statement  due  to  justifiable cause or undue hardship[, in
    40  accordance with required rules and regulations on  the  subject  adopted
    41  pursuant  to  paragraph  c of subdivision nine of section ninety-four of
    42  the executive law] shall file such statement within the additional peri-
    43  od of time granted; and the legislative ethics commission  shall  notify
    44  the [joint] commission on [public ethics] official conduct of any exten-
    45  sion granted pursuant to this paragraph;
    46    (c)  If  the  reporting individual is a senator or member of assembly,
    47  candidate for the senate or member of assembly or a legislative  employ-
    48  ee,  such  statement  shall  be  filed  with both the legislative ethics
    49  commission established by section eighty of the legislative law and  the
    50  [joint]  commission  on  [public  ethics] official conduct in accordance
    51  with paragraph (d-1) of subdivision one of this section. If the  report-
    52  ing  individual is a statewide elected official, candidate for statewide
    53  elected office, a state officer or employee or a political party  chair-
    54  man,  such  statement  shall  be  filed  with  the [joint] commission on
    55  [public ethics established by section ninety-four of the executive  law]
    56  official conduct.

        A. 5864                            18

     1    §  42.  Paragraph 8 of subdivision 3 and subdivision 4 of section 73-a
     2  of the public officers law, paragraph 8 of subdivision 3 as  amended  by
     3  section 6 of part K of chapter 286 of the laws of 2016 and subdivision 4
     4  as  amended  by  section 5 of part A of chapter 399 of the laws of 2011,
     5  are amended to read as follows:
     6    8.  (a)  If the reporting individual practices law, is licensed by the
     7  department of state as a real estate broker  or  agent  or  practices  a
     8  profession licensed by the department of education, or works as a member
     9  or  employee of a firm required to register pursuant to section one-e of
    10  the legislative law as a lobbyist, describe the  services  rendered  for
    11  which compensation was paid including a general description of the prin-
    12  cipal subject areas of matters undertaken by such individual and princi-
    13  pal  duties performed. Specifically state whether the reporting individ-
    14  ual provides services directly to  clients.  Additionally,  if  such  an
    15  individual  practices  with  a  firm  or corporation and is a partner or
    16  shareholder of the firm or corporation, give a  general  description  of
    17  principal  subject  areas  of  matters undertaken by such firm or corpo-
    18  ration.
 
    19      ____________________________________________________________________
    20      ____________________________________________________________________
    21      ____________________________________________________________________
    22      ____________________________________________________________________
    23      ____________________________________________________________________
 
    24    (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES  ARE
    25  PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
    26  THIRTY-FIRST,  TWO  THOUSAND  FIFTEEN,  OR  FOR NEW MATTERS FOR EXISTING
    27  CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
    28  OR  AFTER  JULY  FIRST,  TWO  THOUSAND  TWELVE   AND   BEFORE   DECEMBER
    29  THIRTY-FIRST, TWO THOUSAND FIFTEEN:
    30    If the reporting individual personally provides services to any person
    31  or  entity,  or works as a member or employee of a partnership or corpo-
    32  ration that  provides  such  services  (referred  to  hereinafter  as  a
    33  "firm"),  then  identify  each  client or customer to whom the reporting
    34  individual personally provided services, or who was referred to the firm
    35  by the reporting individual, and from whom the reporting  individual  or
    36  his  or  her  firm earned fees in excess of $10,000 during the reporting
    37  period for such services rendered in direct connection with:
    38    (i) A contract in an amount totaling $50,000 or more from the state or
    39  any state agency for services, materials, or property;
    40    (ii) A grant of $25,000 or more from the state  or  any  state  agency
    41  during the reporting period;
    42    (iii)  A  grant  obtained  through a legislative initiative during the
    43  reporting period; or
    44    (iv) A case, proceeding, application or other matter  that  is  not  a
    45  ministerial matter before a state agency during the reporting period.
    46    For  purposes  of  this  question,  "referred to the firm" shall mean:
    47  having intentionally and knowingly taken a specific  act  or  series  of
    48  acts  to  intentionally  procure  for the reporting individual's firm or
    49  knowingly solicit or direct to the reporting individual's firm in  whole
    50  or  substantial  part,  a person or entity that becomes a client of that
    51  firm for the purposes of representation  for  a  matter  as  defined  in
    52  subparagraphs  (i) through (iv) of this paragraph, as the result of such
    53  procurement, solicitation or direction of the  reporting  individual.  A
    54  reporting  individual  need  not  disclose  activities  performed  while

        A. 5864                            19
 
     1  lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
     2  sion seven of section seventy-three of this article.
     3    The  disclosure requirement in this question shall not require disclo-
     4  sure of clients or  customers  receiving  medical  or  dental  services,
     5  mental  health  services, residential real estate brokering services, or
     6  insurance brokering services from the reporting individual or his or her
     7  firm. The reporting individual need not identify any client to  whom  he
     8  or  she or his or her firm provided legal representation with respect to
     9  investigation or prosecution by law enforcement authorities, bankruptcy,
    10  or domestic relations matters. With respect to  clients  represented  in
    11  other  matters,  where  disclosure  of  a client's identity is likely to
    12  cause harm, the reporting individual shall request an exemption from the
    13  [joint] commission [pursuant to paragraph (i-1) of subdivision  nine  of
    14  section  ninety-four  of  the  executive  law]  on  official misconduct,
    15  provided, however, that a reporting individual who first  enters  public
    16  office after July first, two thousand twelve, need not report clients or
    17  customers  with respect to matters for which the reporting individual or
    18  his or her firm was retained prior to entering public office.
    19  Client                                     Nature of Services Provided
    20  ________________________________________________________________________
    21  ________________________________________________________________________
    22  ________________________________________________________________________
    23  ________________________________________________________________________
    24  ________________________________________________________________________
 
    25    (b-1) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS  FOR  WHOM  SERVICES
    26  ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
    27  FOR  NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
    28  SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
    29  SAND  FIFTEEN  (FOR  PURPOSES  OF  THIS  QUESTION, "SERVICES" SHALL MEAN
    30  CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
    31    If the reporting individual receives income from employment reportable
    32  in question 8(a) and personally provides services to any person or enti-
    33  ty, or works as a member or employee of  a  partnership  or  corporation
    34  that  provides  such services (referred to hereinafter as a "firm"), the
    35  reporting individual shall identify each client or customer to whom  the
    36  reporting  individual  personally provided services, or who was referred
    37  to the firm by the reporting individual, and  from  whom  the  reporting
    38  individual  or  his  or her firm earned fees in excess of $10,000 during
    39  the reporting period in direct connection with:
    40    (i) A contract in an amount totaling $10,000 or more from the state or
    41  any state agency for services, materials, or property;
    42    (ii) A grant of $10,000 or more from the state  or  any  state  agency
    43  during the reporting period;
    44    (iii)  A  grant  obtained  through a legislative initiative during the
    45  reporting period; or
    46    (iv) A case, proceeding, application or other matter  that  is  not  a
    47  ministerial matter before a state agency during the reporting period.
    48    For  such  services  rendered  by the reporting individual directly to
    49  each such client, describe each matter that  was  the  subject  of  such
    50  representation, the services actually provided and the payment received.
    51  For payments received from clients referred to the firm by the reporting
    52  individual, if the reporting individual directly received a referral fee
    53  or  fees  for  such  referral,  identify  the  client and the payment so
    54  received.

        A. 5864                            20
 
     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  having  knowingly  solicited  or  directed to the reporting individual's
     5  firm  in  whole  or  substantial part, a person or entity that becomes a
     6  client of that firm for the purposes of representation for a  matter  as
     7  defined  in clauses (i) through (iv) of this subparagraph, as the result
     8  of such procurement, solicitation or direction of the reporting individ-
     9  ual. A reporting individual need not disclose activities performed while
    10  lawfully acting in his or her capacity as provided  in  paragraphs  (c),
    11  (d),  (e)  and (f) of subdivision seven of section seventy-three of this
    12  article.
    13    Client   Matter     Nature of Services Provided      Category
    14                                                       of Amount
    15                                                      (in Table I)
 
    16  ________________________________________________________________________
    17  ________________________________________________________________________
    18  ________________________________________________________________________
    19  ________________________________________________________________________
    20  ________________________________________________________________________
 
    21    (b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS  FOR  WHOM  SERVICES
    22  ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
    23  FOR  NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
    24  SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO  THOU-
    25  SAND  FIFTEEN  (FOR  PURPOSES  OF  THIS  QUESTION, "SERVICES" SHALL MEAN
    26  CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
    27    (i) With respect to reporting individuals  who  receive  ten  thousand
    28  dollars  or  more  from employment or activity reportable under question
    29  8(a), for each client or customer NOT otherwise disclosed or exempted in
    30  question 8 or 13, disclose the name of each client or customer known  to
    31  the  reporting  individual  to  whom  the  reporting individual provided
    32  services: (A) who paid the reporting individual in excess of five  thou-
    33  sand  dollars  for  such  services;  or (B) who had been billed with the
    34  knowledge of the reporting individual in excess of five thousand dollars
    35  by the firm or other entity named in question  8(a)  for  the  reporting
    36  individual's services.
    37  Client               Services              Category of Amount
    38                   Actually Provided            (in Table I)
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
 
    39  FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
    40  DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
    41    * REVIEWED DOCUMENTS AND CORRESPONDENCE;
    42    * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
    43    * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
    44    * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
    45      OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
    46    * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
    47      NAME);

        A. 5864                            21

     1    * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
     2      REPRESENTATION OR CONSULTATION;
     3    * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
     4    * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
     5      RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
     6    * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
     7    (ii)  With  respect to reporting individuals who disclosed in question
     8  8(a) that the reporting individual did not provide services to a  client
     9  but  provided  services  to a firm or business, identify the category of
    10  amount received for providing such services and  describe  the  services
    11  rendered.
    12  Services Actually Provided                  Category of Amount (Table I)
        ________________________________________________________________________
        ________________________________________________________________________
        ________________________________________________________________________
    13    A  reporting  individual  need not disclose activities performed while
    14  lawfully acting in his or her capacity as provided  in  paragraphs  (c),
    15  (d),  (e)  and (f) of subdivision seven of section seventy-three of this
    16  article.
    17  The disclosure requirement  in  questions  (b-1)  and  (b-2)  shall  not
    18  require  disclosing  clients  or customers receiving medical, pharmaceu-
    19  tical or dental services, mental health services,  or  residential  real
    20  estate  brokering  services  from the reporting individual or his or her
    21  firm or if federal law prohibits or  limits  disclosure.  The  reporting
    22  individual  need not identify any client to whom he or she or his or her
    23  firm provided legal representation  with  respect  to  investigation  or
    24  prosecution  by  law  enforcement authorities, bankruptcy, family court,
    25  estate planning, or domestic relations matters, nor shall the  reporting
    26  individual  identify  individuals  represented  pursuant to an insurance
    27  policy but the reporting individual shall  in  such  circumstances  only
    28  report  the  entity that provides compensation to the reporting individ-
    29  ual; with respect to matters in which the client's name is  required  by
    30  law  to  be  kept  confidential  (such as matters governed by the family
    31  court act) or in matters in which the reporting individual represents or
    32  provides services to minors, the client's  name  may  be  replaced  with
    33  initials.  To  the  extent  that the reporting individual, or his or her
    34  firm, provided legal representation with respect to  an  initial  public
    35  offering,  and  professional  disciplinary  rules,  federal law or regu-
    36  lations restrict the disclosure of information relating  to  such  work,
    37  the  reporting  individual shall (i) disclose the identity of the client
    38  and the services provided relating to the initial public offering to the
    39  office of court  administration,  who  will  maintain  such  information
    40  confidentially  in a locked box; and (ii) include in his or her response
    41  to questions (b-1) and (b-2) that pursuant to this paragraph, a  disclo-
    42  sure to the office of court administration has been made. Upon such time
    43  that  the  disclosure  of information maintained in the locked box is no
    44  longer restricted by professional disciplinary  rules,  federal  law  or
    45  regulation,  the reporting individual shall disclose such information in
    46  an amended disclosure statement in response to the  disclosure  require-
    47  ments  in  questions (b-1) and (b-2). The office of court administration
    48  shall develop and maintain a secure  portal  through  which  information
    49  submitted  to  it pursuant to this paragraph can be safely and confiden-
    50  tially stored. With respect to clients represented in other matters  not
    51  otherwise  exempt,  the reporting individual may request an exemption to
    52  publicly disclosing the name of that client from the [joint]  commission
    53  [pursuant  to paragraph (i-1) of subdivision nine of section ninety-four

        A. 5864                            22

     1  of the executive law] on official misconduct,  or  from  the  office  of
     2  court  administration.  In  such  application,  the reporting individual
     3  shall state the following: "My client  is  not  currently  receiving  my
     4  services or seeking my services in connection with:
     5    (i) A proposed bill or resolution in the senate or assembly during the
     6  reporting period;
     7    (ii)  A  contract in an amount totaling $10,000 or more from the state
     8  or any state agency for services, materials, or property;
     9    (iii) A grant of $10,000 or more from the state or  any  state  agency
    10  during the reporting period;
    11    (iv)  A  grant  obtained  through  a legislative initiative during the
    12  reporting period; or
    13    (v) A case, proceeding, application or other  matter  that  is  not  a
    14  ministerial matter before a state agency during the reporting period."
    15    In reviewing the request for an exemption, the joint commission or the
    16  office  of  court  administration  may consult with bar or other profes-
    17  sional associations and the legislative ethics commission  for  individ-
    18  uals  subject  to its jurisdiction and may consider the rules of profes-
    19  sional conduct. In making its determination, the joint commission or the
    20  office of court administration shall conduct its own inquiry  and  shall
    21  consider  factors  including, but not limited to: (i) the nature and the
    22  size of the client; (ii) whether the client has any business before  the
    23  state;  and  if  so,  how  significant  the business is; and whether the
    24  client has any particularized interest in pending legislation and if  so
    25  how  significant  the  interest  is; (iii) whether disclosure may reveal
    26  trade secrets; (iv) whether disclosure could reasonably result in retal-
    27  iation against the client; (v) whether disclosure may cause  undue  harm
    28  to  the  client; (vi) whether disclosure may result in undue harm to the
    29  attorney-client relationship; and (vii) whether disclosure may result in
    30  an unnecessary invasion of privacy to the client.
    31    The joint commission or, as the case  may  be,  the  office  of  court
    32  administration  shall promptly make a final determination in response to
    33  such request, which shall include an explanation for its  determination.
    34  The  office  of court administration shall issue its final determination
    35  within three days of receiving the request.  Notwithstanding  any  other
    36  provision  of law or any professional disciplinary rule to the contrary,
    37  the disclosure of the identity of any client or customer in response  to
    38  this  question  shall not constitute professional misconduct or a ground
    39  for disciplinary action of any kind, or form the basis for any civil  or
    40  criminal cause of action or proceeding. A reporting individual who first
    41  enters public office after January first, two thousand sixteen, need not
    42  report  clients  or  customers  with  respect  to  matters for which the
    43  reporting individual or his or her firm was retained prior  to  entering
    44  public office.
    45    (c)  APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
    46  PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
    47  NEW MATTERS FOR EXISTING CLIENTS OR  CUSTOMERS  WITH  RESPECT  TO  THOSE
    48  SERVICES  THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
    49  SAND FIFTEEN:
    50    If the reporting individual receives income of ten thousand dollars or
    51  greater from any employment or activity reportable under question  8(a),
    52  identify  each  registered  lobbyist  who  has directly referred to such
    53  individual a client who was successfully referred to the reporting indi-
    54  vidual's business  and  from  whom  the  reporting  individual  or  firm
    55  received  a  fee for services in excess of five thousand dollars. Report
    56  only those referrals that were made to a reporting individual by  direct

        A. 5864                            23

     1  communication  from  a person known to such reporting individual to be a
     2  registered lobbyist at the time the referral is made.  With  respect  to
     3  each  such referral, the reporting individual shall identify the client,
     4  the registered lobbyist who has made the referral, the category of value
     5  of  the  compensation  received and a general description of the type of
     6  matter so referred. A reporting individual need not disclose  activities
     7  performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
     8  (f)  of  subdivision seven of section seventy-three of this article. The
     9  disclosure requirements in this question shall  not  require  disclosing
    10  clients   or  customers  receiving  medical,  pharmaceutical  or  dental
    11  services, mental health services, or residential real  estate  brokering
    12  services  from the reporting individual or his or her firm or if federal
    13  law prohibits or limits disclosure. The reporting  individual  need  not
    14  identify  any client to whom he or she or his or her firm provided legal
    15  representation with respect  to  investigation  or  prosecution  by  law
    16  enforcement  authorities,  bankruptcy, family court, estate planning, or
    17  domestic relations matters, nor shall the reporting individual  identify
    18  individuals  represented pursuant to an insurance policy but the report-
    19  ing individual shall in such circumstances only report the  entity  that
    20  provides  compensation  to  the  reporting  individual;  with respect to
    21  matters in which the client's name is required by law to be kept  confi-
    22  dential (such as matters governed by the family court act) or in matters
    23  in  which  the  reporting  individual represents or provides services to
    24  minors, the client's name may be replaced with initials. To  the  extent
    25  that the reporting individual, or his or her firm, provided legal repre-
    26  sentation with respect to an initial public offering, and federal law or
    27  regulations  restricts  the  disclosure  of information relating to such
    28  work, the reporting individual shall (i) disclose the  identity  of  the
    29  client and the services provided relating to the initial public offering
    30  to  the  office of court administration, who will maintain such informa-
    31  tion confidentially in a locked box; and (ii)  include  in  his  or  her
    32  response  a  statement  that pursuant to this paragraph, a disclosure to
    33  the office of court administration has been made. Upon  such  time  that
    34  the  disclosure of information maintained in the locked box is no longer
    35  restricted by federal law or regulation, the reporting individual  shall
    36  disclose such information in an amended disclosure statement in response
    37  to  the  disclosure requirements of this paragraph.  The office of court
    38  administration shall develop and maintain a secure portal through  which
    39  information submitted to it pursuant to this paragraph can be safely and
    40  confidentially  stored.  With  respect  to  clients represented in other
    41  matters not otherwise exempt, the reporting individual  may  request  an
    42  exemption  to  publicly  disclosing  the  name  of  that client from the
    43  [joint] commission [pursuant to paragraph (i-1) of subdivision  nine  of
    44  section  ninety-four  of  the  executive law] on official misconduct, or
    45  from the office  of  court  administration.  In  such  application,  the
    46  reporting  individual  shall  state  the  following:  "My  client is not
    47  currently receiving my services or seeking  my  services  in  connection
    48  with:
    49    (i) A proposed bill or resolution in the senate or assembly during the
    50  reporting period;
    51    (ii)  A  contract in an amount totaling $10,000 or more from the state
    52  or any state agency for services, materials, or property;
    53    (iii) A grant of $10,000 or more from the state or  any  state  agency
    54  during the reporting period;
    55    (iv)  A  grant  obtained  through  a legislative initiative during the
    56  reporting period; or

        A. 5864                            24
 
     1    (v) A case, proceeding, application or other  matter  that  is  not  a
     2  ministerial matter before a state agency during the reporting period."
     3    In reviewing the request for an exemption, the joint commission or the
     4  office  of  court  administration  may consult with bar or other profes-
     5  sional associations and the legislative ethics commission  for  individ-
     6  uals  subject  to its jurisdiction and may consider the rules of profes-
     7  sional conduct. In making its determination, the joint commission or the
     8  office of court administration shall conduct its own inquiry  and  shall
     9  consider  factors  including, but not limited to: (i) the nature and the
    10  size of the client; (ii) whether the client has any business before  the
    11  state;  and  if  so,  how  significant  the business is; and whether the
    12  client has any particularized interest in pending legislation and if  so
    13  how  significant  the  interest  is; (iii) whether disclosure may reveal
    14  trade secrets; (iv) whether disclosure could reasonably result in retal-
    15  iation against the client; (v) whether disclosure may cause  undue  harm
    16  to  the  client; (vi) whether disclosure may result in undue harm to the
    17  attorney-client relationship; and (vii) whether disclosure may result in
    18  an unnecessary invasion of privacy to the client.
    19    The joint commission or, as the case  may  be,  the  office  of  court
    20  administration  shall promptly make a final determination in response to
    21  such request, which shall include an explanation for its  determination.
    22  The  office  of court administration shall issue its final determination
    23  within three days of receiving the request.  Notwithstanding  any  other
    24  provision  of law or any professional disciplinary rule to the contrary,
    25  the disclosure of the identity of any client or customer in response  to
    26  this  question  shall not constitute professional misconduct or a ground
    27  for disciplinary action of any kind, or form the basis for any civil  or
    28  criminal cause of action or proceeding. A reporting individual who first
    29  enters  public office after December thirty-first, two thousand fifteen,
    30  need not report clients or customers with respect to matters  for  which
    31  the reporting individual or his or her firm was retained prior to enter-
    32  ing public office.
    33  Client        Name of Lobbyist     Description    Category of Amount
    34                                     of Matter       (in Table 1)
    35  ________________________________________________________________________
    36  ________________________________________________________________________
    37  ________________________________________________________________________
    38  ________________________________________________________________________
    39  ________________________________________________________________________
 
    40    (d)  List  the  name, principal address and general description or the
    41  nature of the business activity of any entity  in  which  the  reporting
    42  individual  or  such  individual's spouse had an investment in excess of
    43  $1,000 excluding investments in securities and interests in real proper-
    44  ty.
    45    4. A reporting individual who knowingly and wilfully fails to file  an
    46  annual  statement  of financial disclosure or who knowingly and wilfully
    47  with intent to deceive makes a  false  statement  or  gives  information
    48  which  such  individual knows to be false on such statement of financial
    49  disclosure filed pursuant to this section shall be subject  to  a  civil
    50  penalty in an amount not to exceed forty thousand dollars. Assessment of
    51  a  civil  penalty  hereunder  shall be made by the [joint] commission on
    52  [public ethics] official conduct or by the  legislative  ethics  commis-
    53  sion,  as  the  case  may  be,  with respect to persons subject to their
    54  respective jurisdictions.   The [joint]  commission  on  [public  ethics
    55  acting  pursuant  to  subdivision fourteen of section ninety-four of the

        A. 5864                            25

     1  executive law] official conduct or  the  legislative  ethics  commission
     2  acting  pursuant to subdivision eleven of section eighty of the legisla-
     3  tive law, as the case may be, may, in lieu of or in addition to a  civil
     4  penalty,  refer  a violation to the appropriate prosecutor and upon such
     5  conviction, but only  after  such  referral,  such  violation  shall  be
     6  punishable  as  a  class A misdemeanor. A civil penalty for false filing
     7  may not be imposed hereunder in the  event  a  category  of  "value"  or
     8  "amount"  reported  hereunder is incorrect unless such reported informa-
     9  tion is falsely understated. Notwithstanding any other provision of  law
    10  to  the contrary, no other penalty, civil or criminal may be imposed for
    11  a failure to file, or for a false filing, of such statement, except that
    12  the appointing authority may impose  disciplinary  action  as  otherwise
    13  provided  by  law.  The  [joint]  commission on [public ethics] official
    14  conduct and the legislative ethics commission shall each be deemed to be
    15  an agency within the meaning of article three of the  state  administra-
    16  tive  procedure act and shall adopt rules governing the conduct of adju-
    17  dicatory proceedings and appeals relating to the assessment of the civil
    18  penalties herein authorized. Such rules, which shall not be  subject  to
    19  the  approval  requirements  of  the state administrative procedure act,
    20  shall provide for due process procedural mechanisms substantially  simi-
    21  lar  to  those  set forth in such article three but such mechanisms need
    22  not be identical in terms or scope. Assessment of a civil penalty  shall
    23  be  final  unless  modified,  suspended or vacated within thirty days of
    24  imposition and upon becoming final shall be subject  to  review  at  the
    25  instance  of the affected reporting individual in a proceeding commenced
    26  against the [joint] commission on [public ethics]  official  conduct  or
    27  the  legislative ethics commission, pursuant to article seventy-eight of
    28  the civil practice law and rules.
    29    § 43. The opening paragraph of section 1-d of the legislative law,  as
    30  amended  by  chapter  14  of  the  laws  of  2007, is amended to read as
    31  follows:
    32    In addition to any other powers and duties [provided by section  nine-
    33  ty-four of the executive law,] the commission shall, with respect to its
    34  lobbying-related functions only, have the power and duty to:
    35    §  44. Subdivision 3 of section 2986 of the public authorities law, as
    36  added by chapter 506 of the laws of 2009, is amended to read as follows:
    37    3. Any communications between an employee and the  authorities  budget
    38  office  pursuant  to this section shall be held strictly confidential by
    39  the authorities budget office, unless the employee  specifically  waives
    40  in writing the right to confidentiality, except that such confidentiali-
    41  ty  shall  not exempt the authorities budget office from disclosing such
    42  information, where appropriate, to the commission  on  official  conduct
    43  [state  inspector  general  in accordance with section fifty-five of the
    44  executive law,] or prevent disclosure to any law enforcement authority.
    45    § 45. This act shall take effect on the first of January next succeed-
    46  ing the date on which it shall have become a law; provided that sections
    47  six through twenty-three and sections twenty-five  through  thirty-seven
    48  of  this act shall take effect on the first of April next succeeding the
    49  date on which it shall have become a law; and provided further that  the
    50  amendments  to  subdivision  3 of section 212 of the racing, pari-mutuel
    51  wagering and breeding law made by section twenty-eight of this act shall
    52  not affect the repeal of such section and shall be deemed repealed ther-
    53  ewith.
 
    54                                   PART C

        A. 5864                            26
 
     1    Section 1. The election law is amended by adding a new section  14-131
     2  to read as follows:
     3    § 14-131. Contribution funds; forfeiture after criminal conviction. 1.
     4  All  contributions received by an elected candidate for public office or
     5  an elected official, who is charged with a felony where such felony  was
     6  directly  related to his or her service as an elected official, or offi-
     7  cer of the state or of a civil division thereof,  shall  be  subject  to
     8  immediate  audit  and  any  unspent  contributions  shall  be subject to
     9  forfeiture proceedings upon conviction or resignation  of  such  elected
    10  candidate.
    11    2.  The  attorney  general, or district attorney of the county wherein
    12  the election occurred, shall have  standing  to  initiate  a  forfeiture
    13  proceeding  brought  pursuant to article sixteen of this chapter. To the
    14  extent possible, this special proceeding shall be governed by the proce-
    15  dures of article thirteen-A of the civil practice law  and  rules  shall
    16  govern the proceedings and actions under this section.
    17    3.  The  comptroller shall receive any forfeited unspent contributions
    18  and, to the extent practicable, return such funds to the private  source
    19  of  such  funds,  as long as the private source of such funds is located
    20  within the district that is represented by  the  elected  candidate  for
    21  public  office  or  elected  official  or  statewide for governor, comp-
    22  troller, and attorney general.  If the comptroller fails to  locate  the
    23  private  source  of  such  funds, or if the private source of such funds
    24  resides outside of the election district  that  is  represented  by  the
    25  elected candidate for public office or elected official or statewide for
    26  governor,  comptroller,  and attorney general, the unspent contributions
    27  shall be donated to a charitable organization that  is,  to  the  extent
    28  practicable, located in the election district that is represented by the
    29  elected candidate for public office or elected official or statewide for
    30  governor,  comptroller,  and  attorney  general.   Any forfeited unspent
    31  contributions shall be returned to the private source of such funds,  or
    32  donated  to a charitable organization, within one hundred eighty days of
    33  the receipt of such funds by the comptroller.
    34    4. For the purposes of this section, "charitable  organization"  shall
    35  mean  any  non-profit  corporation organized for bona fide charitable or
    36  philanthropic purposes.
    37    5. The comptroller shall provide the governor and the legislature with
    38  a  list  of  charitable  organizations  that  are  eligible  to  receive
    39  donations  pursuant  to  this  section. Charitable organizations on such
    40  list may be deemed ineligible to  receive  donations  pursuant  to  this
    41  section  by  the  governor,  the  temporary president of the senate, the
    42  speaker of the assembly, the minority leader of the senate or the minor-
    43  ity leader of the assembly.
    44    § 2. The election law is amended by adding a  new  section  16-111  to
    45  read as follows:
    46    §  16-111. Proceedings as to forfeiture of funds. The attorney general
    47  or the district attorney may bring a special proceeding seeking to seize
    48  and cause to be forfeited the funds of a designated campaign account  as
    49  outlined in section 14-131 of this chapter. Upon a showing of indictment
    50  or  criminal  arraignment,  an action may be instituted pursuant to this
    51  section which will allow for the freezing of  said  designated  campaign
    52  account.
    53    § 3. This act shall take effect immediately.
 
    54                                   PART D

        A. 5864                            27
 
     1    Section  1.  The  penal  law is amended by adding a new article 201 to
     2  read as follows:
     3                                 ARTICLE 201
     4                        FAILURE TO REPORT CORRUPTION
     5  Section 201.00 Failure to report corruption.
     6  § 201.00 Failure to report corruption.
     7    1. A public servant is guilty of failure to report corruption when:
     8    (a)  A  public  servant knows that another person or public servant is
     9  guilty of official misconduct pursuant to article  one  hundred  ninety-
    10  five  of this title; is guilty of bribery or bribe receiving pursuant to
    11  article two hundred of this title; or is guilty of a crime of corrupting
    12  the government pursuant to  article  four  hundred  ninety-six  of  this
    13  title; and
    14    (b)  Such  public servant does not, as soon as reasonably practicable,
    15  report such crime to a district attorney or to the Commission  on  Offi-
    16  cial Misconduct.
    17    2.  Any  public  servant  who  makes a report pursuant to this section
    18  shall not be subject to dismissal, discipline or other personnel  action
    19  as a result of making such report.
    20    Failure to report corruption is a class A misdemeanor.
    21    § 2. This act shall take effect on the one hundred twentieth day after
    22  it shall have become a law.
 
    23                                   PART E
 
    24    Section  1.  Section  14-130 of the election law is REPEALED and a new
    25  section 14-130 is added to read as follows:
    26    § 14-130. Campaign funds for personal use. 1.  Contributions  received
    27  by  a  candidate or a political committee may be expended for any lawful
    28  purpose that is directly related to promoting the nomination or election
    29  of a candidate. Such funds shall not be converted by  any  person  to  a
    30  personal use.
    31    2.  (a)  As  used in this section, expenditures for "personal use" are
    32  defined as expenditures that:
    33    (i) are for the personal benefit of the candidate or any  other  indi-
    34  vidual;
    35    (ii)  defray normal living expenses of the candidate, immediate family
    36  of the candidate, or any other individual;
    37    (iii) are used to fulfill any commitment, obligation, or expense of  a
    38  person  that  would  exist  irrespective  of  the  candidate's  election
    39  campaign;
    40    (iv) are put to any use for which the candidate would be  required  to
    41  treat  the  amount  of  the  expenditure  as  gross income under section
    42  sixty-one of the Internal Revenue Code, or any subsequent  corresponding
    43  section of the Internal Revenue Code of the United States.
    44    (b)  Expenditures  for personal use shall include, but are not limited
    45  to, expenses for the following that are not related to campaign purposes
    46  or activities:
    47    (i) criminal attorney or legal fees;
    48    (ii) food;
    49    (iii) salary payments to a person or a family member;
    50    (iv) automobile purchases or leases;
    51    (v) travel and mileage;
    52    (vi) residential or household items;
    53    (vii) mortgage, rent, or utility payments;
    54    (viii) funeral, cremation, or burial;

        A. 5864                            28
 
     1    (ix) clothing;
     2    (x) tuition payments;
     3    (xi) childcare;
     4    (xii)  dues,  fees,  or  gratuities  at  a  country club, health club,
     5  fraternal organization  or  professional  organization  or  recreational
     6  facility;
     7    (xiii)  admission to a sporting event, concert, theater, or other form
     8  of entertainment;
     9    (xiv) payment of any fines, fees, or penalties; and
    10    (xv) any other expenditure designated by the  Commission  on  Official
    11  Conduct as constituting personal use.
    12    §  2. This act shall take effect on the first of January next succeed-
    13  ing the date on which it shall have become a law.
 
    14                                   PART F

    15    Section 1. Section 14-126 of the election law, as amended by section 6
    16  of subpart C of part H of chapter 55 of the laws of 2014, subdivision  1
    17  as  separately amended by section 1 of subpart B of part H of chapter 55
    18  of the laws of 2014 and subdivision 3-a as added by section 11 of part A
    19  of chapter 286 of the laws of 2016, is amended to read as follows:
    20    § 14-126. Violations; penalties. 1. (a) 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 one thousand dollars, to be recoverable
    23  in a special proceeding or civil action  to  be  brought  by  the  chief
    24  enforcement counsel pursuant to section 16-114 of this chapter or by the
    25  Commission  on  Official  Conduct.  Any  person who, three or more times
    26  within a given election cycle for such term of office, fails to  file  a
    27  statement  or  statements required to be filed by this article, shall be
    28  subject to a civil penalty, not in excess of ten thousand dollars, to be
    29  recoverable as provided for in this subdivision.
    30    (b) All payments received by the state board of elections pursuant  to
    31  this section shall be retained in the appropriate accounts as designated
    32  by the division of the budget for enforcement activities by the board of
    33  elections.
    34    2.  Any person who, acting as or on behalf of a candidate or political
    35  committee, under circumstances evincing an intent to violate  such  law,
    36  unlawfully accepts a contribution in excess of a contribution limitation
    37  established  in  this  article,  shall be required to refund such excess
    38  amount and shall be subject to a  civil  penalty  equal  to  the  excess
    39  amount plus a fine of up to ten thousand dollars, to be recoverable in a
    40  special  proceeding  or civil action to be brought by the state board of
    41  elections chief enforcement counsel.
    42    3. Any person who falsely identifies or knowingly  fails  to  identify
    43  any  independent  expenditure  as required by subdivision two of section
    44  14-107 of this article shall be subject to a civil  penalty  up  to  one
    45  thousand  dollars  or  up to the cost of the communication, whichever is
    46  greater, in a special proceeding or civil action brought  by  the  state
    47  board  of elections chief enforcement counsel or imposed directly by the
    48  state board of elections. For purposes of  this  subdivision,  the  term
    49  "person"  shall mean a person, group of persons, corporation, unincorpo-
    50  rated business entity, labor organization or business, trade or  profes-
    51  sional association or organization or political committee.
    52    3-a. Any person who, acting as or on behalf of an independent expendi-
    53  ture  committee or a political action committee, knowingly and willfully
    54  violates the provisions of section 14-107-a of  this  article  shall  be

        A. 5864                            29
 
     1  subject to a civil penalty, up to one thousand dollars or up to the cost
     2  of  the  communication,  whichever  is  greater,  to be recoverable in a
     3  special proceeding or civil action to be brought by the state  board  of
     4  elections.
     5    4.  (a)  Any person who knowingly and willfully fails to file a state-
     6  ment required to be filed by this article within ten days after the date
     7  provided for filing such statement or any person who knowingly and will-
     8  fully violates any other provision of this article shall be guilty of  a
     9  misdemeanor.
    10    (b)  Any  candidate or person acting as or on behalf of a candidate or
    11  political committee who knowingly and willfully fails to file  a  state-
    12  ment  required  to be filed by this article within thirty days after the
    13  date provided for filing such statement, unless granted an extension  by
    14  the  state  board  of  elections  or  other board of elections, shall be
    15  subject to a civil penalty of one thousand dollars for the first offense
    16  and two thousand five hundred dollars for the second offense  and  every
    17  offense  committed  thereafter to be recoverable in a special proceeding
    18  or civil action to be brought by the  Commission  on  Official  Conduct.
    19  Candidates shall be placed on notice by the board of elections, and will
    20  be  liable for any criminal or civil penalties for the treasurer's fail-
    21  ure to file required disclosure reports.
    22    5. Any person who knowingly and willfully contributes, accepts or aids
    23  or participates in the acceptance of a contribution in an amount exceed-
    24  ing an applicable maximum specified in this article shall be guilty of a
    25  class A misdemeanor.
    26    6. Any person who shall, acting on behalf of a candidate or  political
    27  committee,  knowingly  and willfully solicit, organize or coordinate the
    28  formation of activities of one or  more  unauthorized  committees,  make
    29  expenditures  in connection with the nomination for election or election
    30  of any candidate, or solicit any person to make any  such  expenditures,
    31  for the purpose of evading the contribution limitations of this article,
    32  shall be guilty of a class E felony.
    33    § 2. This act shall take effect immediately.
 
    34                                   PART G
 
    35    Section  1. The legislative law is amended by adding a new section 5-b
    36  to read as follows:
    37    § 5-b. Limits on time a legislator may serve as a legislative  leader.
    38  No  member  of  the  legislature  may be elected to serve more than four
    39  consecutive two year terms as the temporary  president  of  the  senate,
    40  minority  leader of the senate, speaker of the assembly, minority leader
    41  of the assembly or the chairperson of any senate or assembly committee.
    42    § 2. This act shall take effect on the first of January next  succeed-
    43  ing the date on which it shall have become a law.
    44    § 3. Severability clause. If any clause, sentence, paragraph, subdivi-
    45  sion,  section  or  part  of  this act shall be adjudged by any court of
    46  competent jurisdiction to be invalid, such judgment  shall  not  affect,
    47  impair,  or  invalidate  the remainder thereof, but shall be confined in
    48  its operation to the clause, sentence, paragraph,  subdivision,  section
    49  or part thereof directly involved in the controversy in which such judg-
    50  ment shall have been rendered. It is hereby declared to be the intent of
    51  the  legislature  that  this  act  would  have been enacted even if such
    52  invalid provisions had not been included herein.

        A. 5864                            30
 
     1    § 4. This act shall take effect immediately; provided,  however,  that
     2  the applicable effective dates of Parts A through G of this act shall be
     3  as specifically set forth in the last section of such Parts.
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