S T A T E O F N E W Y O R K
________________________________________________________________________
7147
2015-2016 Regular Sessions
I N A S S E M B L Y
April 27, 2015
___________
Introduced by M. of A. KOLB -- 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 (Part E); to
amend the election law, in relation to filing late campaign disclosure
statements (Part F); to amend the election law, in relation to the
reporting of certain contributions and expenditures (Part G); to amend
the legislative law, in relation to term limits (Part H); to amend the
executive law, the retirement and social security law, the education
law, and the administrative code of the city of New York, in relation
to the forfeiture of retirement benefits (Part I); to amend the legis-
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD10155-01-5
A. 7147 2
lative law, in relation to creating an assembly standing committee on
ethics and guidance (Part J); to amend the real property tax law and
tax law, in relation to limitations on certain exemptions and tax
credits (Part K); and to amend the public officers law, in relation to
the disclosure of measure of employment (Part L)
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 integrity in government act of 2015".
3 S 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, requiring campaign contributions in excess of five hundred
9 dollars and payments to campaign volunteers to be reported within twen-
10 ty-four hours, limiting terms of leaders and committee chairs, allowing
11 for the garnishment of convicted public officers' pension benefits for
12 damages, establishing the Assembly Standing Committee on Ethics and
13 Guidance in Law, and requiring full disclosure of legislators' income.
14 Each component is wholly contained within a Part identified as Parts A
15 through L. The effective date for each particular provision contained
16 within such Part is set forth in the last section of such Part. Any
17 provision in any section contained within a Part, including the effec-
18 tive date of the Part, which makes a reference to a section "of this
19 act", when used in connection with that particular component, shall be
20 deemed to mean and refer to the corresponding section of the Part in
21 which it is found. Section four of this act sets forth the general
22 effective date of this act. The "public integrity in government act"
23 provided in this act, includes the support of constitutional amendments
24 that are consistent with the intent of this act. The legislature
25 supports constitutional proposals that remove pension benefits from
26 public officials who are convicted of a felony related to such individ-
27 ual's official duties; provide that no person who is convicted of a
28 felony, related to such official duties, shall be eligible to serve in
29 the legislature; allow recall elections, and establish an independent
30 redistricting commission.
31 PART A
32 Section 1. Subdivisions 4 and 5 of section 24 of the state finance
33 law, as added by chapter 1 of the laws of 2007, are amended to read as
34 follows:
35 4. Any appropriation SUBMITTED BY THE GOVERNOR OR added to such budget
36 bills, pursuant to section four of article seven of the constitution,
37 shall only contain itemized appropriations which shall not be in the
38 form of lump sum appropriations, and provided further that for all non-
39 federal state operations appropriations, such bill or bills shall only
40 contain itemized appropriations and shall be made, where practicable, by
41 agency, and within each agency by program and within each program at the
42 following level of detail and in the following order:
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1 (a) by fund type, which at a minimum shall include general fund,
2 special revenue-other funds, capital projects funds and debt service
3 funds;
4 (b) for personal service appropriations, separate appropriations shall
5 be made for regular personal service, temporary personal service, and
6 holiday and overtime pay;
7 (c) for nonpersonal service appropriations, separate appropriations
8 shall be made for supplies and materials, travel, contractual services,
9 equipment and fringe benefits, as appropriate; AND
10 (D) AT THE REQUEST OR DISCRETION OF THE GOVERNOR OR A MEMBER OF THE
11 LEGISLATURE, SUCH APPROPRIATION SHALL INCLUDE THE NAME OF THE GOVERNOR
12 OR MEMBER OF THE LEGISLATURE.
13 5. [Any appropriation added pursuant to section four of article seven
14 of the constitution without designating a grantee shall be allocated
15 only pursuant to a plan setting forth an itemized list of grantees with
16 the amount to be received by each, or the methodology for allocating
17 such appropriation. Such plan shall be subject to the approval of the
18 chair of the senate finance committee, the chair of the assembly ways
19 and means committee, and the director of the budget, and thereafter
20 shall be included in a concurrent resolution calling for the expenditure
21 of such monies, which resolution must be approved by a majority vote of
22 all members elected to each house upon a roll call vote.] ANY APPROPRI-
23 ATION SUBMITTED BY THE GOVERNOR OR ADDED TO SUCH BUDGET BILLS, PURSUANT
24 TO SECTION FOUR OF ARTICLE SEVEN OF THE CONSTITUTION, SHALL BE SUBJECT
25 TO THE FOLLOWING:
26 (A) THE GOVERNOR OR MEMBER OF THE LEGISLATURE REQUESTING SUCH APPRO-
27 PRIATION SHALL BE REQUIRED TO SUBMIT A SIGNED CONFLICT OF INTEREST FORM
28 AND SUBMIT SUCH FORM TO THE ATTORNEY GENERAL TO ENSURE THAT NO CONFLICT
29 OF INTEREST EXISTS; THE ATTORNEY GENERAL SHALL DESIGNATE THE FORM AND
30 CONTENT OF THE CONFLICT OF INTEREST FORM. THE GOVERNOR OR MEMBER OF THE
31 LEGISLATURE SHALL DISCLOSE ON THE CONFLICT OF INTEREST FORM ALL POLI-
32 TICAL DONATIONS HE OR SHE IS RECEIVING OR HAS RECEIVED IN THE PAST FROM
33 THE INTENDED RECIPIENT OF THE APPROPRIATION FUNDING. SUCH A CONFLICT OF
34 INTEREST FORM SHALL BE SIGNED BY THE GOVERNOR OR MEMBER OF THE LEGISLA-
35 TURE UNDER PENALTY OF PERJURY; AND
36 (B) AN APPROPRIATION PROVIDED AT THE DISCRETION OF THE GOVERNOR OR
37 MEMBER OF THE LEGISLATURE SHALL NOT BE PROVIDED IF A CONFLICT OF INTER-
38 EST EXISTS BETWEEN THE GOVERNOR OR A MEMBER OF THE LEGISLATURE DESIGNAT-
39 ING THE APPROPRIATION AND THE POTENTIAL RECIPIENT. THESE APPROPRIATIONS
40 CANNOT FUND ORGANIZATIONS THAT EMPLOY OR OTHERWISE COMPENSATE THE GOVER-
41 NOR OR MEMBER OF THE LEGISLATURE, GOVERNOR'S FAMILY OR MEMBER OF THE
42 LEGISLATOR'S FAMILY, ANY PERSON SHARING THE HOME OF THE GOVERNOR OR
43 MEMBER OF THE LEGISLATURE OR THE GOVERNOR'S OR A MEMBER OF THE LEGISLA-
44 TOR'S STAFF FOR SERVICES OR LABOR RENDERED. FURTHERMORE, THE GOVERNOR OR
45 MEMBERS OF THE LEGISLATURE SHALL NOT DESIGNATE APPROPRIATIONS IF THE
46 GOVERNOR OR MEMBER OF THE LEGISLATURE, A MEMBER OF THE GOVERNOR'S OR
47 MEMBER OF THE LEGISLATOR'S FAMILY, ANY PERSON SHARING THE HOME OF THE
48 GOVERNOR OR MEMBER OF THE LEGISLATURE OR A MEMBER OF THE GOVERNOR'S OR
49 MEMBER OF THE LEGISLATOR'S STAFF IS INVOLVED WITH THE OPERATIONS OF THE
50 ORGANIZATION IN A DECISION-MAKING CAPACITY INCLUDING BUT NOT LIMITED TO
51 WORKING ON AN UNPAID, VOLUNTEER BASIS OR AS A MEMBER OF THE DIRECTING
52 BOARD OF AN ORGANIZATION.
53 S 2. This act shall take effect immediately.
54 PART B
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1 Section 1. Short title. This act shall be known and may be cited as
2 the "commission on official conduct act".
3 S 2. Definitions. As used in this act, the following terms shall have
4 the following meanings:
5 (a) "Commission" means the commission on official conduct established
6 by section three of this act.
7 (b) "Executive director" means the executive director of the commis-
8 sion, appointed pursuant to section four of this act.
9 (c) "Covered agency" means all executive branch agencies, departments,
10 divisions, officers, boards and commissions, public authorities (other
11 than multi-state or multi-national authorities) and public benefit
12 corporations, the heads of which are appointed by the governor, and
13 which do not have their own inspector general by statute.
14 (d) Covered individual means all statewide elected officials, members
15 of the legislature and employees of the legislature, and state officers
16 and employees, as defined in sections 73 and 73-a of the public officers
17 law, candidates for statewide elected office and for the senate or
18 assembly, and the political party chairman as that term is defined in
19 section 73-a of the public officers law, lobbyists and the clients of
20 lobbyists as such terms are defined in article 1-A of the legislative
21 law, and individuals who have formerly held such positions, were lobby-
22 ists or clients of lobbyists, as such terms are defined in article 1-A
23 of the legislative law, or who have formerly been such candidates.
24 S 3. Commission on official conduct; established. (a) There is hereby
25 established, as an independent state agency, the commission on official
26 conduct. The commission shall consist of five members appointed as
27 follows:
28 (1) one member appointed by the chief judge of the court of appeals,
29 who shall serve as the chair of the commission;
30 (2) one member appointed by the presiding justice of the appellate
31 division in the first department;
32 (3) one member appointed by the presiding justice of the appellate
33 division in the second department;
34 (4) one member appointed by the presiding justice of the appellate
35 division in the third department; and
36 (5) one member appointed by the presiding justice of the appellate
37 division in the fourth department.
38 (b) Each member of the commission shall serve a term of five years
39 commencing on the first of January of the calendar year in which the
40 vacancy in such office occurs; provided, however, that for the members
41 initially appointed as members, the member appointed by the presiding
42 justice in the fourth department shall serve a term of one year, the
43 member appointed by the presiding justice in the second department shall
44 serve a term of two years, the member appointed by the presiding justice
45 in the third department shall serve a term of three years, the member
46 appointed by the presiding justice in the first department shall serve a
47 term of four years and the member appointed by the chief judge of the
48 court of appeals shall serve a term of five years.
49 Any vacancy occurring in the membership of the commission shall be
50 filled within sixty days of its occurrence in the same manner as the
51 member whose vacancy is being filled was appointed. A person appointed
52 to fill a vacancy occurring other than by expiration of a term of office
53 shall be appointed to the unexpired term of the member he or she
54 replaces.
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1 (c) Four members of the commission shall constitute a quorum, and the
2 commission shall have power to act by majority vote of the total number
3 of members of the commission without vacancy.
4 (d) The members of the commission shall receive no compensation for
5 their services, but shall be allowed their actual and necessary expenses
6 incurred in the performance of their duties pursuant to this act.
7 (e) Members of the commission may be removed by the chief judge of the
8 court of appeals for substantial neglect of duty, gross misconduct in
9 office, inability to discharge the powers and duties of office or
10 violation of the provisions of this act, after written notice and oppor-
11 tunity to be heard by the court of appeals.
12 S 4. Executive director and staff. (a) The commission shall appoint
13 and employ an executive director who shall serve a term of six years.
14 Any vacancy in the office of executive director shall be filled within
15 ten days of its occurrence. A person appointed to fill a vacancy in the
16 office of executive director occurring other than by expiration of a
17 term of office shall be appointed to the unexpired term of the executive
18 director he or she replaces.
19 (b) The executive director shall act in accordance with the policies,
20 rules and regulations of the commission. He or she shall act in the name
21 of the commission pursuant to the specific powers delegated by the
22 commission to the office of executive director.
23 (c) The commission shall appoint and employ such other staff and
24 investigators as shall be necessary to carry out its powers and duties
25 pursuant to this act.
26 (d) The executive director, staff members and investigators may be
27 removed by the commission for substantial neglect of duty, gross miscon-
28 duct in office, inability to perform their duties or violation of the
29 provisions of this act, after written notice and opportunity to be
30 heard.
31 S 5. Powers and duties. The commission shall have the power and duty
32 to:
33 (a) fix the compensation of the executive director, staff members and
34 investigators;
35 (b) request and receive, and shall utilize and be provided with such
36 facilities, resources and data of any court, department, division,
37 board, bureau, commission or agency of the state or any political subdi-
38 vision thereof, or of any public authority or public benefit corpo-
39 ration, as it may reasonably request to properly carry out its powers
40 and duties pursuant to this act;
41 (c) adopt, amend and rescind rules and regulations to govern the
42 procedures of the commission and to implement the provisions of this
43 act;
44 (d) adopt, amend and rescind rules and regulations to assist appoint-
45 ing authorities in determining which persons hold policy-making posi-
46 tions for the purposes of section 73-a of the public officers law;
47 (e) make available forms for annual statements of financial disclosure
48 required to be filed pursuant to section 73-a of the public officers
49 law;
50 (f) review financial disclosure statements filed pursuant to section
51 73-a of the public officers law;
52 (g) receive and investigate complaints and referrals alleging
53 violations of section 73, 73-a or 74 of the public officers law, article
54 1-A of the legislative law, or section 107 of the civil service law;
55 (h) permit any person required to file a financial disclosure state-
56 ment pursuant to section 73-a of the public officers law to delete from
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1 the copy thereof made available for public inspection such information
2 as shall be determined by the commission will have no material bearing
3 on the discharge of the reporting person's official duties;
4 (i) grant any person required to file a financial disclosure statement
5 pursuant to section 73-a of the public officers law, an additional peri-
6 od of time within which to file such statement due to justifiable cause
7 or undue hardship;
8 (j) permit any person required to file a financial disclosure state-
9 ment pursuant to section 73-a of the public officers law to delete such
10 information pertaining to such person's spouse or unemancipated children
11 as shall be found by the commission will have no material bearing on the
12 discharge of the reporting person's official duties;
13 (k) advise and assist any state agency in establishing rules and regu-
14 lations relating to possible conflicts between private interests and
15 official duties of present and former state officers and employees;
16 (l) permit any person who has not been determined by his or her
17 appointing authority to hold a policy-making position, but who is other-
18 wise required to file a financial disclosure statement, to be granted an
19 exemption from such filing requirement. The commission may grant such an
20 exemption where the public interest does not require disclosure and the
21 applicant's duties do not involve negotiation, authorization or approval
22 of:
23 (1) contracts, leases, franchises, revocable consents, concessions,
24 variances, special permits or licenses as defined in section 73 of the
25 public officers law,
26 (2) the purchase, sale, rental or lease of real property, goods or
27 services, or a contract therefor,
28 (3) the obtaining of grants of money or loans, or
29 (4) the adoption or repeal of any rule or regulation having the force
30 and effect of law;
31 (m) determine questions common to a class or defined category of
32 persons or items of information required to be disclosed, where determi-
33 nation of the question will prevent undue repetition of requests for
34 exemption or deletion, or prevent undue complication in complying with
35 the provisions of this act;
36 (n) upon written request from a person subject to the requirements of
37 section 73, 73-a or 74 of the public officers law, render an advisory
38 opinion on the requirements of such provisions;
39 (o) promulgate rules concerning restrictions on outside activities and
40 limitations or the receipt of gifts and honoraria;
41 (p) conduct training programs, in cooperation with the governor's
42 office of employee relations, to provide instruction to persons subject
43 to its jurisdiction;
44 (q) administer and enforce all provisions of this act;
45 (r) conduct any investigation necessary to carry out the provisions of
46 this act;
47 (s) receive and investigate complaints from any source, or upon its
48 own initiative, concerning allegations of corruption, fraud, criminal
49 activity, conflicts of interest or abuse in any covered agency or by any
50 covered individual;
51 (t) inform the heads of covered agencies of such allegations and the
52 progress of investigations related thereto, unless special circumstances
53 require confidentiality;
54 (u) determine with respect to such allegations whether disciplinary
55 action, civil or criminal prosecution, or further investigation by an
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1 appropriate federal, state or local agency is warranted, and to assist
2 in such investigations;
3 (v) prepare and release to the public written reports of such investi-
4 gations, as appropriate and to the extent permitted by law, subject to
5 redaction to protect the confidentiality of witnesses. The release of
6 all or portions of such reports may be deferred to protect the confiden-
7 tiality of ongoing investigations;
8 (w) review and examine periodically the policies and procedures of
9 covered agencies with regard to the prevention and detection of
10 corruption, fraud, criminal activity, conflicts of interest or abuse;
11 (x) recommend remedial acts to prevent or eliminate corruption, fraud,
12 criminal activity, conflicts of interest or abuse in covered agencies;
13 (y) establish programs for training state officers and employees
14 regarding the prevention and elimination of corruption, fraud, criminal
15 activity, conflicts of interest or abuse in covered agencies;
16 (z) subpoena and enforce the attendance of witnesses;
17 (aa) administer oaths or affirmations and examine witnesses under
18 oath;
19 (bb) require the production of any books and papers deemed relevant or
20 material to any investigation, examination or review;
21 (cc) examine and copy or remove documents or records of any kind
22 prepared, maintained or held by any covered agency or covered individ-
23 ual;
24 (dd) require any officer or employee in a covered agency or any
25 covered individual to answer questions concerning any matter related to
26 the performance of his or her official duties. No statement or other
27 evidence derived therefrom may be used against such officer or employee
28 in any subsequent criminal prosecution other than for perjury or
29 contempt arising from such testimony. The refusal of any officer or
30 employee to answer questions shall be cause for removal from office or
31 employment, or other appropriate penalty;
32 (ee) monitor the implementation by covered agencies of any recommenda-
33 tions made by the commission;
34 (ff) perform any other functions that are necessary or appropriate to
35 fulfill the provisions of this act;
36 (gg) conduct investigations in connection with:
37 (1) the faithful execution and enforcement of the laws of the state,
38 with particular reference but not limited to organized crime and racke-
39 teering,
40 (2) the conduct of public officers and public employees, and of offi-
41 cers and employees of public benefit corporations and public authori-
42 ties, and
43 (3) any matter concerning the public peace, public safety and public
44 justice;
45 (hh) at the direction of the governor, conduct investigations and
46 otherwise assist the governor in connection with:
47 (1) the removal of public officers by the governor,
48 (2) the making of recommendations by the governor to any other person
49 or body, with respect to the removal of public officers, and
50 (3) the making of recommendations by the governor to the legislature
51 with respect to changes in or additions to existing provisions of law
52 required for the more effective enforcement of the law;
53 (ii) at the direction or request of the governor or the head of any
54 department, board, bureau, commission or other agency of the state,
55 investigate the management or affairs of any such department, board,
56 bureau, commission or other agency;
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1 (jj) upon the request of district attorneys and other law enforcement
2 officers, cooperate with, advise and assist them in the performance of
3 their official powers and duties;
4 (kk) cooperate with departments and officers of the United States
5 government in the investigation of violations of the federal laws within
6 this state;
7 (ll) examine into matters relating to law enforcement extending across
8 the boundaries of the state into other states, and may consult and
9 exchange information with officers and agencies of other states with
10 respect to law enforcement problems of mutual concern to this and other
11 states;
12 (mm) whenever it shall appear to the commission that there is cause
13 for the prosecution of a crime or for the removal of a public officer
14 for misconduct, refer the evidence of such crime or misconduct to the
15 officials authorized to conduct the prosecution or to remove the public
16 officer;
17 (nn) keep the public informed as to the operations of organized crime
18 and problems of law enforcement in the state; and
19 (oo) exercise any and all powers of the former commission on public
20 integrity and the former office of the state inspector general as they
21 existed immediately prior to the effective date of this act, and exer-
22 cise any and all powers of the former temporary state commission of
23 investigation as they existed on March 30, 2011.
24 S 6. Financial disclosure. (a) The commission shall inspect all finan-
25 cial disclosure statements filed with the commission to ascertain wheth-
26 er any person subject to the reporting requirements of section 73-a of
27 the public officers law has failed to file such a statement, has filed a
28 deficient statement or has filed a statement which reveals a possible
29 violation of section 73, 73-a or 74 of the public officers law.
30 (b) If a person required to file a financial disclosure statement with
31 the commission has failed to file a disclosure statement or has filed a
32 deficient statement, the commission shall notify the reporting person in
33 writing, state the failure to file or detail the deficiency, provide the
34 person with a fifteen day period to cure the deficiency, and advise the
35 person of the penalties for failure to comply with the reporting
36 requirements. Such notice shall be confidential. If the person fails to
37 make such filing or fails to cure the deficiency within the specified
38 time period, the commission shall send a notice of delinquency: (1) to
39 the reporting person; (2) in the case of a statewide elected official,
40 to the temporary president of the senate and the speaker of the assem-
41 bly; and (3) in the case of a state officer or employee, to the appoint-
42 ing authority for such person. Such notice of delinquency may be sent at
43 any time during the reporting person's service as a statewide elected
44 official, state officer or employee, political party chair or while a
45 candidate for statewide office, or within one year after termination of
46 such service or candidacy. The jurisdiction of the commission, when
47 acting pursuant to subdivision (d) of this section with respect to
48 financial disclosure, shall continue notwithstanding that the reporting
49 person separates from state service, or ceases to hold office as a
50 statewide elected official or political party chair, or ceases to be a
51 candidate, provided the commission notifies such person of the alleged
52 failure to file or deficient filing pursuant to this subdivision.
53 (c)(1) If the commission receives a sworn complaint alleging a
54 violation of section 73, 73-a or 74 of the public officers law, section
55 107 of the civil service law or article 1-A of the legislative law by a
56 person or entity subject to the jurisdiction of the commission, or if a
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1 reporting individual has filed a statement which reveals a possible
2 violation of these provisions, or if the commission determines on its
3 own initiative to investigate a possible violation, the commission shall
4 notify the individual in writing, describe the possible or alleged
5 violation of such laws and provide the person with a fifteen day period
6 in which to submit a written response setting forth information relating
7 to the activities cited as a possible or alleged violation of law. If
8 the commission thereafter makes a determination that further inquiry is
9 justified, it shall give the individual an opportunity to be heard. The
10 commission shall also inform the individual of its rules regarding the
11 conduct of adjudicatory proceedings and appeals and the due process
12 procedural mechanisms available to such individual. If the commission
13 determines at any stage of the proceeding that there is no violation or
14 that any potential conflict of interest violation has been rectified, it
15 shall so advise the individual and the complainant, if any. All of the
16 foregoing proceedings shall be confidential.
17 (2) If the commission determines that there is reasonable cause to
18 believe that a violation has occurred, it shall send a notice of reason-
19 able cause: (i) to the reporting person; (ii) to the complainant if any;
20 (iii) in the case of a statewide elected official, to the temporary
21 president of the senate and the speaker of the assembly; and (iv) in the
22 case of a state officer or employee, to the appointing authority for
23 such person.
24 (3) The jurisdiction of the commission when acting pursuant to this
25 act shall continue notwithstanding that a statewide elected official or
26 a state officer or employee separates from state service, or a political
27 party chair ceases to hold such office, or a candidate ceases to be a
28 candidate, or a lobbyist or client of a lobbyist ceases to act as such,
29 provided that the commission notifies such individual or entity of the
30 alleged violation of law pursuant to paragraph one of this subdivision
31 within one year from his or her separation from state service or his or
32 her termination of party service or candidacy, or from his, her or its
33 last report filed pursuant to article 1-A of the legislative law. Noth-
34 ing in this section shall serve to limit the jurisdiction of the commis-
35 sion in enforcement of subdivision 8 of section 73 of the public offi-
36 cers law.
37 (d) An individual subject to the jurisdiction of the commission who
38 knowingly and intentionally violates the provisions of subdivisions 2
39 through 5, 7, 8, 12 or 14 through 17 of section 73 of the public offi-
40 cers law, section 107 of the civil service law, or a reporting individ-
41 ual who knowingly and wilfully fails to file an annual statement of
42 financial disclosure or who knowingly and wilfully with intent to
43 deceive makes a false statement or fraudulent omission or gives informa-
44 tion which such individual knows to be false on such statement of finan-
45 cial disclosure filed pursuant to section 73-a of the public officers
46 law shall be subject to a civil penalty in an amount not to exceed
47 $40,000 and the value of any gift, compensation or benefit received as a
48 result of such violation. An individual who knowingly and intentionally
49 violates the provisions of paragraphs b, c, d or i of subdivision 3 of
50 section 74 of the public officers law shall be subject to a civil penal-
51 ty in an amount not to exceed $10,000 and the value of any gift, compen-
52 sation or benefit received as a result of such violation. An individual
53 who knowingly and intentionally violates the provisions of paragraphs a,
54 e or g of subdivision 3 of section 74 of the public officers law shall
55 be subject to a civil penalty in an amount not to exceed the value of
56 any gift, compensation or benefit received as a result of such
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1 violation. An individual subject to the jurisdiction of the commission
2 who knowingly and wilfully violates article 1-A of the legislative law
3 shall be subject to civil penalty as provided for in that article.
4 Assessment of a civil penalty pursuant to this section shall be made by
5 the commission with respect to persons subject to its jurisdiction. In
6 assessing the amount of the civil penalties to be imposed, the commis-
7 sion shall consider the seriousness of the violation, the amount of gain
8 to the individual and whether the individual previously had any civil or
9 criminal penalties imposed pursuant to this section, and any other
10 factors the commission deems appropriate. For a violation of this subdi-
11 vision, other than for conduct which constitutes a violation of section
12 107 of the civil service law, subdivisions 12 or 14 through 17 of
13 section 73 or section 74 of the public officers law or article 1-A of
14 the legislative law, the commission may, in lieu of a civil penalty,
15 refer a violation to the appropriate prosecutor and upon such
16 conviction, such violation shall be punishable as a class A misdemeanor.
17 A civil penalty for false filing may not be imposed pursuant to this
18 section in the event a category of "value" or "amount" reported pursuant
19 to this section is incorrect unless such reported information is falsely
20 understated. Notwithstanding any other provision of law to the contrary,
21 no other penalty, civil or criminal may be imposed for a failure to
22 file, or for a false filing, of such statement, or a violation of
23 section 73 of the public officers law, except that the appointing
24 authority may impose disciplinary action as otherwise provided by law.
25 The commission may refer violations of this section to the appointing
26 authority for disciplinary action as otherwise provided by law. The
27 commission shall be deemed to be an agency within the meaning of article
28 3 of the state administrative procedure act and shall adopt rules
29 governing the conduct of adjudicatory proceedings and appeals taken
30 pursuant to a proceeding commenced under article 78 of the civil prac-
31 tice law and rules relating to the assessment of the civil penalties
32 authorized by this subdivision and commission denials of requests for
33 certain deletions or exemptions to be made from a financial disclosure
34 statement as authorized by this act. Such rules, which shall not be
35 subject to the approval requirements of the state administrative proce-
36 dure act, shall provide for due process procedural mechanisms substan-
37 tially similar to those set forth in article 3 of the state administra-
38 tive procedure act but such mechanisms need not be identical in terms or
39 scope. Assessment of a civil penalty or commission denial of such a
40 request shall be final unless modified, suspended or vacated within
41 thirty days of imposition, with respect to the assessment of such penal-
42 ty, or unless such denial of request is reversed within such time peri-
43 od, and upon becoming final shall be subject to review at the instance
44 of the affected reporting individuals in a proceeding commenced against
45 the commission, pursuant to article 78 of the civil practice law and
46 rules.
47 (e) If the commission has a reasonable basis to believe that any
48 person subject to the jurisdiction of the legislative ethics commission
49 may have violated any provisions of section 73 or 74 of the public offi-
50 cers law, it may refer such violation to the legislative ethics commis-
51 sion. The referral by the commission to the legislative ethics commis-
52 sion shall include any information relating thereto coming into the
53 custody or under the control of the commission at any time prior or
54 subsequent to the time of the referral.
55 (f) A copy of any notice of delinquency or notice of reasonable cause
56 sent pursuant to subdivisions (b) and (c) of this section shall be
A. 7147 11
1 included in the reporting person's file and be available for public
2 inspection and copying.
3 S 7. Website. Within one hundred twenty days of the effective date of
4 this section, the commission shall create and thereafter maintain a
5 publicly accessible website which shall set forth the procedure for
6 filing a complaint with the commission, and which shall contain the
7 documents identified in section eight of this act, other than financial
8 disclosure statements, and any other records or information which the
9 commission determines to be appropriate.
10 S 8. Public access to records. (a) Notwithstanding the provisions of
11 article 6 of the public officers law, the only records of the commission
12 which shall be available for public inspection and copying are:
13 (1) the information set forth in an annual statement of financial
14 disclosure filed pursuant to section 73-a of the public officers law
15 except the categories of value or amount, which shall remain confiden-
16 tial, and any other item of information deleted pursuant to this act;
17 (2) notices of delinquency sent under subdivision (b) of section six
18 of this act;
19 (3) notices of reasonable cause sent under paragraph two of subdivi-
20 sion (c) of section six of this act;
21 (4) notices of civil assessments imposed under this act which shall
22 include a description of the nature of the alleged wrongdoing, the
23 procedural history of the complaint, the findings and determinations
24 made by the commission, and any sanction imposed;
25 (5) the terms of any settlement or compromise of a complaint or refer-
26 ral which includes a fine, penalty or other remedy; and
27 (6) those required to be held or maintained publicly available pursu-
28 ant to article 1-A of the legislative law.
29 (b) Pending any application for deletion or exemption to the commis-
30 sion, all information which is the subject or a part of the application
31 shall remain confidential. Upon an adverse determination by the commis-
32 sion, the reporting individual may request, and upon such request the
33 commission shall provide, that any information which is the subject or
34 part of the application remain confidential for a period of thirty days
35 following notice of such determination. In the event that the reporting
36 individual resigns his or her office and holds no other office subject
37 to the jurisdiction of the commission, the information shall not be made
38 public and shall be expunged in its entirety.
39 S 9. Responsibilities of covered agencies, covered individuals, state
40 officers and employees. (a) Every state officer or employee in a
41 covered agency and every covered individual shall report promptly to the
42 commission any information concerning corruption, fraud, criminal activ-
43 ity, conflicts of interest or abuse by another state officer or employee
44 relating to his or her office or employment, or by a person having busi-
45 ness dealings with a covered agency relating to those dealings. The
46 knowing failure of any officer or employee to so report shall be cause
47 for removal from office or employment or other appropriate penalty. Any
48 officer or employee who acts pursuant to this subdivision by reporting
49 to the commission improper governmental action as defined in section
50 75-b of the civil service law shall not be subject to dismissal, disci-
51 pline or other adverse personnel action.
52 (b) The head of any covered agency shall advise the governor within
53 ninety days of the issuance of a report by the commission as to the
54 remedial action that the agency has taken in response to any recommenda-
55 tion for such action contained in such report.
A. 7147 12
1 S 10. Confidentiality. Any person conducting or participating in any
2 examination or investigation who shall disclose to any person other than
3 the commission or an officer having the power to appoint one or more of
4 the commissioners the name of any witness examined, or any information
5 obtained or given upon such examination or investigation, except as
6 directed by the commission, shall be guilty of a misdemeanor.
7 S 11. Evidence to be impounded. Upon the application of the commis-
8 sion, the executive director or a duly authorized member of its staff,
9 the supreme court or a justice thereof may impound any exhibit marked in
10 evidence in any public or private hearing held in connection with an
11 investigation conducted by the commission, and may order such exhibit to
12 be retained by, or delivered to and placed in the custody of, the
13 commission. When so impounded such exhibit shall not be taken from the
14 custody of the commission, except upon further order of the court or a
15 justice thereof made upon five days' notice to the commission or upon
16 its application or with its consent.
17 S 12. Immunity from prosecution. In any investigation or hearing
18 conducted by the commission pursuant to this act, relating to any crime
19 or offense with respect to which, by express provision of statute, a
20 competent authority is authorized to confer immunity; the commission may
21 confer immunity in accordance with the provisions of section 50.20 of
22 the criminal procedure law, but only after affording the attorney gener-
23 al and the appropriate district attorney the opportunity to be heard in
24 respect to any objections which they may have to the granting of such
25 immunity.
26 S 13. Transfer of functions, powers and duties. All functions, powers,
27 duties and obligations of the former commission on public integrity and
28 the former office of the state inspector general are hereby trans-
29 ferred to the commission.
30 S 14. Transfer of employees. (a) Upon transfer of the functions of the
31 former commission on public integrity and the former office of the state
32 inspector general to the commission, provisions shall be made for the
33 transfer to the commission of those employees of such former agencies
34 who were engaged in carrying out the functions transferred by this act
35 in accordance with section 70 of the civil service law or, where not
36 subject to the civil service law, the provisions of such section 70
37 shall be deemed applicable, except where the context clearly requires
38 otherwise. Any such employee who, at the time of such transfer, has a
39 temporary or provisional appointment shall be transferred subject to the
40 same right of removal, examination or termination as though such trans-
41 fer had not been made except to the extent such rights are modified by a
42 collective bargaining agreement. Employees holding permanent appoint-
43 ments in competitive class positions who are not transferred pursuant to
44 this section shall have their names entered upon an appropriate
45 preferred list for reinstatement pursuant to the civil service law.
46 (b) A transferred employee shall remain in the same collective
47 bargaining unit as was the case prior to his or her transfer; successor
48 employees to the positions held by such transferred employees shall,
49 consistent with the provisions of article 14 of the civil service law,
50 be included in the same unit as their predecessors. Employees other than
51 management or confidential persons (as defined in article 14 of the
52 civil service law), serving positions in newly created titles shall be
53 assigned to the appropriate bargaining unit. Nothing contained in this
54 section shall be construed to affect:
55 (1) the rights of employees pursuant to a collective bargaining agree-
56 ment;
A. 7147 13
1 (2) the representational relationships among employee organizations or
2 the bargaining relationships between the state and an employee organiza-
3 tion; or
4 (3) existing law with respect to an application to the public employ-
5 ment relations board, provided, however, that the merger of such negoti-
6 ating units of employees shall be effected only with the consent of the
7 recognized and certified representative of such units and of the depart-
8 ment of law.
9 S 15. Transfer of records. All books, papers and property of the
10 former commission on public integrity and the former office of the state
11 inspector general are to be delivered to the commission at such place
12 and time, and in such manner as the commission shall require.
13 S 16. Continuity of authority. For the purpose of succession to all
14 functions, powers, duties and obligations of the former commission on
15 public integrity and the former office of the state inspector general
16 transferred to and assumed by the commission, such commission shall
17 continue the operation thereof as if performed by such former agencies.
18 S 17. Completion of unfinished business. Any business or other matter
19 undertaken or commenced by the former commission on public integrity and
20 the former office of the state inspector general pertaining to or
21 connected with the functions, powers, duties and obligations transferred
22 and assigned to the commission and pending on the effective date of this
23 section shall be conducted and completed by the commission in the same
24 manner and under the same terms and conditions and with the same effect
25 as if conducted and completed by such former agencies.
26 S 18. Continuation of rules and regulations. All rules, regulations,
27 acts, orders, determinations and decisions of the former commission on
28 public integrity and the former office of the state inspector general in
29 force at the time of such transfer and assumption, shall continue in
30 force and effect as rules, regulations, acts, orders, determinations and
31 decisions of the commission until duly modified or abrogated.
32 S 19. Terms occurring in laws, contracts and other documents. Whenever
33 the former commission on public integrity or the former office of the
34 state inspector general is referred to or designated in any law,
35 contract or document pertaining to the functions, powers, obligations
36 and duties transferred and assigned pursuant to this act, such reference
37 or designation shall be deemed to refer to the commission.
38 S 20. Existing rights and remedies preserved. No existing right or
39 remedy of any character shall be lost, impaired or affected by reason of
40 any transfer or assignment pursuant to this act.
41 S 21. Pending actions or proceedings. No action or proceeding pending
42 upon the effective date of this section relating to the functions,
43 powers and duties of the former commission on public integrity and the
44 former office of the state inspector general transferred to the commis-
45 sion, brought by or against any such former agency, shall be affected by
46 any provision of this act, but the same may be prosecuted or defended in
47 the name of the commission. In all such actions and proceedings, the
48 commission, upon application to the court, shall be substituted as a
49 party.
50 S 22. Transfer of appropriations heretofore made. Subject to the
51 approval of the director of the division of the budget, all appropri-
52 ations and reappropriations heretofore made to the former commission on
53 public integrity and the former office of the state inspector general
54 for the purposes and functions transferred pursuant to this act to the
55 commission, to the extent of remaining unexpended or unencumbered
56 balance thereof, whether allocated or unallocated, and whether obligated
A. 7147 14
1 or unobligated, are hereby transferred to and made available for use and
2 expenditure by the commission for the same purposes for which originally
3 appropriated or reappropriated and shall be payable on vouchers certi-
4 fied or approved by the executive director on audit and warrant of the
5 comptroller. Payments for liabilities for expenses of personal services,
6 maintenance and operation heretofore incurred by and for liabilities
7 incurred and to be incurred in completing the affairs of the former
8 commission on public integrity and the former office of the state
9 inspector general with respect to the powers, duties and functions
10 transferred in this act, shall also be made on vouchers or certificates
11 approved by the executive director on audit and warrant of the comp-
12 troller.
13 S 23. Transfer of assets and liabilities. All assets and liabilities
14 of the former commission on public integrity and the former office of
15 the state inspector general are hereby transferred to and assumed by the
16 commission.
17 S 24. Actions of the commission. The commission is hereby directed to
18 immediately take any and all actions necessary to enable it to assume
19 all powers, duties and functions of the former commission on public
20 integrity, the former office of the state inspector general and the
21 former temporary state commission of investigation within ninety days of
22 the effective date of this act.
23 S 25. Subdivision 5 of section 107 of the civil service law, as
24 amended by chapter 14 of the laws of 2007, is amended to read as
25 follows:
26 5. Violation of this section. Complaints alleging a violation of this
27 section by a statewide elected official or a state officer or employee,
28 as defined in section seventy-three of the public officers law, may be
29 directed to the commission on [public integrity] OFFICIAL CONDUCT.
30 S 26. Section 94 of the executive law is REPEALED.
31 S 27. Subdivision (f) of section 1-c of the legislative law, as
32 amended by chapter 14 of the laws of 2007, is amended to read as
33 follows:
34 (f) The term "commission" shall mean the commission on [public integ-
35 rity created by section ninety-four of the executive law] OFFICIAL
36 CONDUCT.
37 S 28. Subdivision 3 of section 212 of the racing, pari-mutuel wagering
38 and breeding law, as amended by chapter 18 of the laws of 2008, is
39 amended to read as follows:
40 3. Such members, except as otherwise provided by law, may engage in
41 private or public employment, or in a profession or business. The board,
42 its members, officers and employees shall be subject to the provisions
43 of sections seventy-three and seventy-four of the public officers law.
44 No former trustee or officer of a non-profit racing association known as
45 The New York Racing Association, Inc. or its predecessor, no current
46 director or officer of a franchised corporation or any individual regis-
47 tered with the [New York] commission on [public integrity] OFFICIAL
48 CONDUCT shall be appointed as members to the board nor shall any member
49 of the board have any direct or indirect interest in any racehorse,
50 thoroughbred racing or pari-mutuel wagering business, video lottery
51 terminal facility or any development at any racing facility.
52 S 29. Article 4-A of the executive law is REPEALED.
53 S 30. Subdivision 3 of section 63 of the executive law, as amended by
54 chapter 155 of the laws of 2012, is amended to read as follows:
55 3. Upon request of the governor, comptroller, secretary of state,
56 commissioner of transportation, superintendent of financial services,
A. 7147 15
1 commissioner of taxation and finance, commissioner of motor vehicles, or
2 the [state inspector general] COMMISSION ON OFFICIAL CONDUCT, or the
3 head of any other department, authority, division or agency of the
4 state, investigate the alleged commission of any indictable offense or
5 offenses in violation of the law which the officer making the request is
6 especially required to execute or in relation to any matters connected
7 with such department, and to prosecute the person or persons believed to
8 have committed the same and any crime or offense arising out of such
9 investigation or prosecution or both, including but not limited to
10 appearing before and presenting all such matters to a grand jury.
11 S 31. Section 2350-dd of the public authorities law, as added by chap-
12 ter 762 of the laws of 2005, is amended to read as follows:
13 S 2350-dd. Jurisdiction of [state inspector general] COMMISSION ON
14 OFFICIAL CONDUCT. The agency is subject to the jurisdiction of the
15 [office of the state inspector general] COMMISSION ON OFFICIAL CONDUCT.
16 S 32. Subdivision 3 of section 2.10 of the criminal procedure law, as
17 added by chapter 843 of the laws of 1980, is amended to read as follows:
18 3. [Investigators] THE EXECUTIVE DIRECTOR AND INVESTIGATORS of the
19 [office of the state] commission [of investigation] ON OFFICIAL CONDUCT.
20 S 33. Subdivision 68 of section 2.10 of the criminal procedure law, as
21 added by chapter 168 of the laws of 2000, is REPEALED.
22 S 34. Subdivision 3 of section 70-a of the executive law, as added by
23 chapter 1003 of the laws of 1970, is amended to read as follows:
24 3. The deputy attorney general in charge of the organized crime task
25 force may request and shall receive from the division of state police,
26 the state department of taxation and finance, the state department of
27 labor, the [temporary state] commission [of investigation] ON OFFICIAL
28 CONDUCT, and from every department, division, board, bureau, commission
29 or other agency of the state, or of any political subdivision thereof,
30 cooperation and assistance in the performance of his duties. Such deputy
31 attorney general may provide technical and other assistance to any
32 district attorney or other local law enforcement official requesting
33 such assistance in the investigation or prosecution of organized crime
34 cases.
35 S 35. Subdivision 9 of section 835 of the executive law, as separately
36 amended by chapters 14 and 155 of the laws of 2012, is amended to read
37 as follows:
38 9. "Qualified agencies" means courts in the unified court system, the
39 administrative board of the judicial conference, probation departments,
40 sheriffs' offices, district attorneys' offices, the state department of
41 corrections and community supervision, the department of correction of
42 any municipality, the financial frauds and consumer protection unit of
43 the state department of financial services, the office of professional
44 medical conduct of the state department of health for the purposes of
45 section two hundred thirty of the public health law, the child protec-
46 tive services unit of a local social services district when conducting
47 an investigation pursuant to subdivision six of section four hundred
48 twenty-four of the social services law, the office of Medicaid inspector
49 general, the [temporary state] commission [of investigation] ON OFFICIAL
50 CONDUCT, police forces and departments having responsibility for
51 enforcement of the general criminal laws of the state, the Onondaga
52 County Center for Forensic Sciences Laboratory when acting within the
53 scope of its law enforcement duties and the division of forensic
54 services of the Nassau county medical examiner's office when acting
55 within the scope of its law enforcement duties.
A. 7147 16
1 S 36. Subdivision 8 of section 92 of the public officers law, as
2 amended by section 135 of subpart B of part C of chapter 62 of the laws
3 of 2011, is amended to read as follows:
4 (8) Public safety agency record. The term "public safety agency
5 record" means a record of the state commission of correction, the
6 [temporary state] commission [of investigation] ON OFFICIAL CONDUCT, the
7 department of corrections and community supervision, the office of chil-
8 dren and family services, the office of victim services, the office of
9 probation and correctional alternatives or the division of state police
10 or of any agency or component thereof whose primary function is the
11 enforcement of civil or criminal statutes if such record pertains to
12 investigation, law enforcement, confinement of persons in correctional
13 facilities or supervision of persons pursuant to criminal conviction or
14 court order, and any records maintained by the division of criminal
15 justice services pursuant to sections eight hundred thirty-seven, eight
16 hundred thirty-seven-a, eight hundred thirty-seven-b, eight hundred
17 thirty-seven-c, eight hundred thirty-eight, eight hundred thirty-nine,
18 and eight hundred forty-five of the executive law and by the department
19 of state pursuant to section ninety-nine of the executive law.
20 S 37. Chapter 989 of the laws of 1958, creating a temporary state
21 commission of investigation, is REPEALED.
22 S 38. Paragraph (b) of subdivision 9 of section 80 of the legislative
23 law, as added by section 9 of part A of chapter 399 of the laws of 2011,
24 is amended to read as follows:
25 (b) Not later than forty-five calendar days after receipt from the
26 [joint] commission on [public ethics] OFFICIAL CONDUCT of a written
27 substantial basis investigation report and any supporting documentation
28 or other materials regarding a matter before the commission [pursuant to
29 subdivision fourteen-a of section ninety-four of the executive law],
30 unless requested by a law enforcement agency to suspend the commission's
31 action because of an ongoing criminal investigation, the legislative
32 ethics commission shall make public such report in its entirety;
33 provided, however, that the commission may withhold such information for
34 not more than one additional period of the same duration or refer the
35 matter back to the [joint] commission on [public ethics] OFFICIAL
36 CONDUCT once for additional investigation, in which case the legislative
37 ethics commission shall, upon the termination of such additional period
38 or upon receipt of a new report by the [joint] commission on [public
39 ethics] OFFICIAL CONDUCT after such additional investigation, make
40 public the written report and publish it on the commission's website. If
41 the legislative ethics commission fails to make public the written
42 report received from the [joint] commission in accordance with this
43 paragraph, the [joint] commission shall release such report publicly
44 promptly and in any event no later than ten days after the legislative
45 ethics commission is required to release such report. The legislative
46 ethics commission shall not refer the matter back to the [joint] commis-
47 sion on [public ethics] OFFICIAL CONDUCT for additional investigation
48 more than once. If the commission refers the matter back to the [joint]
49 commission for additional fact-finding, the [joint] commission's
50 original report shall remain confidential.
51 S 39. Subparagraph 1 of paragraph a of subdivision 12 of section 80 of
52 the legislative law, as amended by section 9 of part A of chapter 399 of
53 the laws of 2011, is amended to read as follows:
54 (1) the terms of any settlement or compromise of a complaint or refer-
55 ral or report which includes a fine, penalty or other remedy reached
56 after the commission has received a report from the [joint] commission
A. 7147 17
1 on [public ethics pursuant to subdivision fourteen-a of section ninety-
2 four of the executive law] OFFICIAL CONDUCT;
3 S 40. Subparagraphs (ii) and (iii) of paragraph (c) and paragraph
4 (d-1) of subdivision 1 of section 73-a of the public officers law,
5 subparagraphs (ii) and (iii) of paragraph (c) as amended and paragraph
6 (d-1) as added by section 5 of part A of chapter 399 of the laws of
7 2011, are amended to read as follows:
8 (ii) officers and employees of statewide elected officials, officers
9 and employees of state departments, boards, bureaus, divisions, commis-
10 sions, councils or other state agencies, who receive annual compensation
11 in excess of the filing rate established by paragraph (l) of this subdi-
12 vision or who hold policy-making positions, as annually determined by
13 the appointing authority and set forth in a written instrument which
14 shall be filed with the [joint] commission on [public ethics established
15 by section ninety-four of the executive law] OFFICIAL CONDUCT during the
16 month of February, provided, however, that the appointing authority
17 shall amend such written instrument after such date within thirty days
18 after the undertaking of policy-making responsibilities by a new employ-
19 ee or any other employee whose name did not appear on the most recent
20 written instrument; and
21 (iii) members or directors of public authorities, other than multi-
22 state authorities, public benefit corporations and commissions at least
23 one of whose members is appointed by the governor, and employees of such
24 authorities, corporations and commissions who receive annual compen-
25 sation in excess of the filing rate established by paragraph (l) of this
26 subdivision or who hold policy-making positions, as determined annually
27 by the appointing authority and set forth in a written instrument which
28 shall be filed with the [joint] commission on [public ethics established
29 by section ninety-four of the executive law] OFFICIAL CONDUCT during the
30 month of February, provided, however, that the appointing authority
31 shall amend such written instrument after such date within thirty days
32 after the undertaking of policy-making responsibilities by a new employ-
33 ee or any other employee whose name did not appear on the most recent
34 written instrument.
35 (d-1) A financial disclosure statement required pursuant to section
36 seventy-three of this article and this section shall be deemed "filed"
37 with the [joint] commission on [public ethics] OFFICIAL CONDUCT upon its
38 filing, in accordance with this section, with the legislative ethics
39 commission for all purposes including, but not limited to, [subdivision
40 fourteen of section ninety-four of the executive law,] subdivision nine
41 of section eighty of the legislative law and subdivision four of this
42 section.
43 S 41. Subparagraph (ii) of paragraph (a) and paragraph (c) of subdivi-
44 sion 2 of section 73-a of the public officers law, as amended by section
45 5 of part A of chapter 399 of the laws of 2011, are amended to read as
46 follows:
47 (ii) a person who is required to file an annual financial disclosure
48 statement with the [joint] commission on [public ethics] OFFICIAL
49 CONDUCT, and who is granted an additional period of time within which to
50 file such statement due to justifiable cause or undue hardship[, in
51 accordance with required rules and regulations on the subject adopted
52 pursuant to paragraph c of subdivision nine of section ninety-four of
53 the executive law] shall file such statement within the additional peri-
54 od of time granted; and the legislative ethics commission shall notify
55 the [joint] commission on [public ethics] OFFICIAL CONDUCT of any exten-
56 sion granted pursuant to this paragraph;
A. 7147 18
1 (c) If the reporting individual is a senator or member of assembly,
2 candidate for the senate or member of assembly or a legislative employ-
3 ee, such statement shall be filed with both the legislative ethics
4 commission established by section eighty of the legislative law and the
5 [joint] commission on [public ethics] OFFICIAL CONDUCT in accordance
6 with paragraph (d-1) of subdivision one of this section. If the report-
7 ing individual is a statewide elected official, candidate for statewide
8 elected office, a state officer or employee or a political party chair-
9 man, such statement shall be filed with the [joint] commission on
10 [public ethics established by section ninety-four of the executive law]
11 OFFICIAL CONDUCT.
12 S 42. Paragraph 8 of subdivision 3 and subdivision 4 of section 73-a
13 of the public officers law, paragraph 8 of subdivision 3 as amended by
14 section 37 of subpart A of part H of chapter 55 of the laws of 2014 and
15 subdivision 4 as amended by section 5 of part A of chapter 399 of the
16 laws of 2011, are amended to read as follows:
17 8. (a) If the reporting individual practices law, is licensed by the
18 department of state as a real estate broker or agent or practices a
19 profession licensed by the department of education, or works as a
20 member or employee of a firm required to register pursuant to
21 section one-e of the legislative law as a lobbyist, give a general
22 description of the principal subject areas of matters undertaken by
23 such individual. Additionally, if such an individual practices with
24 a firm or corporation and is a partner or shareholder of the firm or
25 corporation, give a general description of principal subject areas
26 of matters undertaken by such firm or corporation.
27 ____________________________________________________________________
28 ____________________________________________________________________
29 ____________________________________________________________________
30 ____________________________________________________________________
31 ____________________________________________________________________
32 (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
33 PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE, OR FOR NEW MATTERS
34 FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT
35 ARE PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE:
36 If the reporting individual personally provides services to any person
37 or entity, or works as a member or employee of a partnership or corpo-
38 ration that provides such services (referred to hereinafter as a
39 "firm"), then identify each client or customer to whom the reporting
40 individual personally provided services, or who was referred to the firm
41 by the reporting individual, and from whom the reporting individual or
42 his or her firm earned fees in excess of $10,000 during the reporting
43 period for such services rendered in direct connection with:
44 (i) A proposed bill or resolution in the senate or assembly during the
45 reporting period;
46 (ii) A contract in an amount totaling $50,000 or more from the state
47 or any state agency for services, materials, or property;
48 (iii) A grant of $25,000 or more from the state or any state agency
49 during the reporting period;
50 (iv) A grant obtained through a legislative initiative during the
51 reporting period; or
52 (v) A case, proceeding, application or other matter that is not a
53 ministerial matter before a state agency during the reporting period.
A. 7147 19
1 For purposes of this question, "referred to the firm" shall mean:
2 having intentionally and knowingly taken a specific act or series of
3 acts to intentionally procure for the reporting individual's firm or
4 knowingly solicit or direct to the reporting individual's firm in whole
5 or substantial part, a person or entity that becomes a client of that
6 firm for the purposes of representation for a matter as defined in
7 subparagraphs (i) through (v) of this paragraph, as the result of such
8 procurement, solicitation or direction of the reporting individual. A
9 reporting individual need not disclose activities performed while
10 lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
11 sion seven of section seventy-three of this article.
12 The disclosure requirement in this question shall not require disclo-
13 sure of clients or customers receiving medical or dental services,
14 mental health services, residential real estate brokering services, or
15 insurance brokering services from the reporting individual or his or her
16 firm. The reporting individual need not identify any client to whom he
17 or she or his or her firm provided legal representation with respect to
18 investigation or prosecution by law enforcement authorities, bankruptcy,
19 or domestic relations matters. With respect to clients represented in
20 other matters, where disclosure of a client's identity is likely to
21 cause harm, the reporting individual shall request an exemption from the
22 [joint] commission [pursuant to paragraph (i) of subdivision nine of
23 section ninety-four of the executive law] ON OFFICIAL MISCONDUCT. Only a
24 reporting individual who first enters public office after July first,
25 two thousand twelve, need not report clients or customers with respect
26 to matters for which the reporting individual or his or her firm was
27 retained prior to entering public office.
28 Client Nature of Services Provided
29 ________________________________________________________________________
30 ________________________________________________________________________
31 ________________________________________________________________________
32 ________________________________________________________________________
33 ________________________________________________________________________
34 (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
35 PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW
36 MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES
37 THAT ARE PROVIDED ON OR AFTER JANUARY FIRST, TWO THOUSAND FIFTEEN:
38 If the reporting individual receives income of fifty thousand dollars
39 or greater from any employment or activity reportable under question
40 8(a), identify each registered lobbyist who has directly referred to
41 such individual a client who was successfully referred to the reporting
42 individual's business and from whom the reporting individual or firm
43 received a fee for services in excess of ten thousand dollars. Report
44 only these referrals that were made to a reporting individual by direct
45 communication from a person known to such reporting individual to be a
46 registered lobbyist at the time the referral is made. With respect to
47 each such referral, the reporting individual shall identify the regis-
48 tered lobbyist who has made the referral, the category of value of the
49 compensation received and a general description of the type of matter so
50 referred. A reporting individual need not disclose activities performed
51 while lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of
52 subdivision seven of section seventy-three of this article. The disclo-
53 sure requirements in this question shall not require disclosure of
54 clients or customers receiving medical or dental services, mental health
55 services, residential real estate brokering services, or insurance
A. 7147 20
1 brokering services from the reporting individual or his or her firm. The
2 reporting individual need not identify any client to whom he or she or
3 his or her firm provided legal representation with respect to investi-
4 gation or prosecution by law enforcement authorities, bankruptcy, or
5 domestic relations matters. With respect to clients represented in other
6 matters, the reporting individual shall request an exemption from the
7 joint commission, which shall be granted for good cause shown. For the
8 purposes of this question, good cause may be shown by circumstances
9 including, but not limited to, where disclosure of a client's identity
10 would reveal trade secrets or have a negative impact on the client's
11 business interests, would cause embarrassment for the client, could
12 reasonably result in retaliation against the client, or would tend to
13 reveal non-public matters regarding a criminal investigation. Only a
14 reporting individual who first enters public office after January first,
15 two thousand fifteen, need not report clients or customers with respect
16 to matters for which the reporting individual or his or her firm was
17 retained prior to entering public office.
18 Client Name of Lobbyist Category of Amount (in Table 1)
19 ________________________________________________________________________
20 ________________________________________________________________________
21 ________________________________________________________________________
22 ________________________________________________________________________
23 ________________________________________________________________________
24 (d) List the name, principal address and general description or the
25 nature of the business activity of any entity in which the reporting
26 individual or such individual's spouse had an investment in excess of
27 $1,000 excluding investments in securities and interests in real proper-
28 ty.
29 ____________________________________________________________________
30 ____________________________________________________________________
31 ____________________________________________________________________
32 ____________________________________________________________________
33 ____________________________________________________________________
34 4. A reporting individual who knowingly and wilfully fails to file an
35 annual statement of financial disclosure or who knowingly and wilfully
36 with intent to deceive makes a false statement or gives information
37 which such individual knows to be false on such statement of financial
38 disclosure filed pursuant to this section shall be subject to a civil
39 penalty in an amount not to exceed forty thousand dollars. Assessment of
40 a civil penalty hereunder shall be made by the [joint] commission on
41 [public ethics] OFFICIAL CONDUCT or by the legislative ethics commis-
42 sion, as the case may be, with respect to persons subject to their
43 respective jurisdictions. The [joint] commission on [public ethics
44 acting pursuant to subdivision fourteen of section ninety-four of the
45 executive law] OFFICIAL CONDUCT or the legislative ethics commission
46 acting pursuant to subdivision eleven of section eighty of the legisla-
47 tive law, as the case may be, may, in lieu of or in addition to a civil
48 penalty, refer a violation to the appropriate prosecutor and upon such
49 conviction, but only after such referral, such violation shall be
50 punishable as a class A misdemeanor. A civil penalty for false filing
51 may not be imposed hereunder in the event a category of "value" or
52 "amount" reported hereunder is incorrect unless such reported informa-
53 tion is falsely understated. Notwithstanding any other provision of law
A. 7147 21
1 to the contrary, no other penalty, civil or criminal may be imposed for
2 a failure to file, or for a false filing, of such statement, except that
3 the appointing authority may impose disciplinary action as otherwise
4 provided by law. The [joint] commission on [public ethics] OFFICIAL
5 CONDUCT and the legislative ethics commission shall each be deemed to be
6 an agency within the meaning of article three of the state administra-
7 tive procedure act and shall adopt rules governing the conduct of adju-
8 dicatory proceedings and appeals relating to the assessment of the civil
9 penalties herein authorized. Such rules, which shall not be subject to
10 the approval requirements of the state administrative procedure act,
11 shall provide for due process procedural mechanisms substantially simi-
12 lar to those set forth in such article three but such mechanisms need
13 not be identical in terms or scope. Assessment of a civil penalty shall
14 be final unless modified, suspended or vacated within thirty days of
15 imposition and upon becoming final shall be subject to review at the
16 instance of the affected reporting individual in a proceeding commenced
17 against the [joint] commission on [public ethics] OFFICIAL CONDUCT or
18 the legislative ethics commission, pursuant to article seventy-eight of
19 the civil practice law and rules.
20 S 43. The opening paragraph of section 1-d of the legislative law, as
21 amended by chapter 14 of the laws of 2007, is amended to read as
22 follows:
23 In addition to any other powers and duties [provided by section nine-
24 ty-four of the executive law,] the commission shall, with respect to its
25 lobbying-related functions only, have the power and duty to:
26 S 44. Subdivision 3 of section 2986 of the public authorities law, as
27 added by chapter 506 of the laws of 2009, is amended to read as follows:
28 3. Any communications between an employee and the authorities budget
29 office pursuant to this section shall be held strictly confidential by
30 the authorities budget office, unless the employee specifically waives
31 in writing the right to confidentiality, except that such confidentiali-
32 ty shall not exempt the authorities budget office from disclosing such
33 information, where appropriate, to the COMMISSION ON OFFICIAL CONDUCT
34 [state inspector general in accordance with section fifty-five of the
35 executive law,] or prevent disclosure to any law enforcement authority.
36 S 45. This act shall take effect on the first of January next succeed-
37 ing the date on which it shall have become a law; provided that sections
38 six through twenty-three and sections twenty-five through thirty-seven
39 of this act shall take effect on the first of April next succeeding the
40 date on which it shall have become a law; and provided further that the
41 amendments to subdivision 3 of section 212 of the racing, pari-mutuel
42 wagering and breeding law made by section twenty-eight of this act shall
43 not affect the repeal of such section and shall be deemed repealed ther-
44 ewith.
45 PART C
46 Section 1. The election law is amended by adding a new section 14-131
47 to read as follows:
48 S 14-131. CONTRIBUTION FUNDS; FORFEITURE AFTER CRIMINAL CONVICTION. 1.
49 ALL CONTRIBUTIONS RECEIVED BY AN ELECTED CANDIDATE FOR PUBLIC OFFICE OR
50 AN ELECTED OFFICIAL, WHO IS CHARGED WITH A FELONY WHERE SUCH FELONY WAS
51 DIRECTLY RELATED TO HIS OR HER SERVICE AS AN ELECTED OFFICIAL, OR OFFI-
52 CER OF THE STATE OR OF A CIVIL DIVISION THEREOF, SHALL BE SUBJECT TO
53 IMMEDIATE AUDIT AND ANY UNSPENT CONTRIBUTIONS SHALL BE SUBJECT TO
A. 7147 22
1 FORFEITURE PROCEEDINGS UPON CONVICTION OR RESIGNATION OF SUCH ELECTED
2 CANDIDATE.
3 2. THE ATTORNEY GENERAL, OR DISTRICT ATTORNEY OF THE COUNTY WHEREIN
4 THE ELECTION OCCURRED, SHALL HAVE STANDING TO INITIATE A FORFEITURE
5 PROCEEDING BROUGHT PURSUANT TO ARTICLE SIXTEEN OF THIS CHAPTER. TO THE
6 EXTENT POSSIBLE, THIS SPECIAL PROCEEDING SHALL BE GOVERNED BY THE PROCE-
7 DURES OF ARTICLE THIRTEEN-A OF THE CIVIL PRACTICE LAW AND RULES SHALL
8 GOVERN THE PROCEEDINGS AND ACTIONS UNDER THIS SECTION.
9 3. THE COMPTROLLER SHALL RECEIVE ANY FORFEITED UNSPENT CONTRIBUTIONS
10 AND, TO THE EXTENT PRACTICABLE, RETURN SUCH FUNDS TO THE PRIVATE SOURCE
11 OF SUCH FUNDS, AS LONG AS THE PRIVATE SOURCE OF SUCH FUNDS IS LOCATED
12 WITHIN THE DISTRICT THAT IS REPRESENTED BY THE ELECTED CANDIDATE FOR
13 PUBLIC OFFICE OR ELECTED OFFICIAL OR STATEWIDE FOR GOVERNOR, COMP-
14 TROLLER, AND ATTORNEY GENERAL. IF THE COMPTROLLER FAILS TO LOCATE THE
15 PRIVATE SOURCE OF SUCH FUNDS, OR IF THE PRIVATE SOURCE OF SUCH FUNDS
16 RESIDES OUTSIDE OF THE ELECTION DISTRICT THAT IS REPRESENTED BY THE
17 ELECTED CANDIDATE FOR PUBLIC OFFICE OR ELECTED OFFICIAL OR STATEWIDE FOR
18 GOVERNOR, COMPTROLLER, AND ATTORNEY GENERAL, THE UNSPENT CONTRIBUTIONS
19 SHALL BE DONATED TO A CHARITABLE ORGANIZATION THAT IS, TO THE EXTENT
20 PRACTICABLE, LOCATED IN THE ELECTION DISTRICT THAT IS REPRESENTED BY THE
21 ELECTED CANDIDATE FOR PUBLIC OFFICE OR ELECTED OFFICIAL OR STATEWIDE FOR
22 GOVERNOR, COMPTROLLER, AND ATTORNEY GENERAL. ANY FORFEITED UNSPENT
23 CONTRIBUTIONS SHALL BE RETURNED TO THE PRIVATE SOURCE OF SUCH FUNDS, OR
24 DONATED TO A CHARITABLE ORGANIZATION, WITHIN ONE HUNDRED EIGHTY DAYS OF
25 THE RECEIPT OF SUCH FUNDS BY THE COMPTROLLER.
26 4. FOR THE PURPOSES OF THIS SECTION, "CHARITABLE ORGANIZATION" SHALL
27 MEAN ANY NON-PROFIT CORPORATION ORGANIZED FOR BONA FIDE CHARITABLE OR
28 PHILANTHROPIC PURPOSES.
29 5. THE COMPTROLLER SHALL PROVIDE THE GOVERNOR AND THE LEGISLATURE WITH
30 A LIST OF CHARITABLE ORGANIZATIONS THAT ARE ELIGIBLE TO RECEIVE
31 DONATIONS PURSUANT TO THIS SECTION. CHARITABLE ORGANIZATIONS ON SUCH
32 LIST MAY BE DEEMED INELIGIBLE TO RECEIVE DONATIONS PURSUANT TO THIS
33 SECTION BY THE GOVERNOR, THE TEMPORARY PRESIDENT OF THE SENATE, THE
34 SPEAKER OF THE ASSEMBLY, THE MINORITY LEADER OF THE SENATE OR THE MINOR-
35 ITY LEADER OF THE ASSEMBLY.
36 S 2. The election law is amended by adding a new section 16-111 to
37 read as follows:
38 S 16-111. PROCEEDINGS AS TO FORFEITURE OF FUNDS. THE ATTORNEY GENERAL
39 OR THE DISTRICT ATTORNEY MAY BRING A SPECIAL PROCEEDING SEEKING TO SEIZE
40 AND CAUSE TO BE FORFEITED THE FUNDS OF A DESIGNATED CAMPAIGN ACCOUNT AS
41 OUTLINED IN SECTION 14-131 OF THIS CHAPTER. UPON A SHOWING OF INDICTMENT
42 OR CRIMINAL ARRAIGNMENT, AN ACTION MAY BE INSTITUTED PURSUANT TO THIS
43 SECTION WHICH WILL ALLOW FOR THE FREEZING OF SAID DESIGNATED CAMPAIGN
44 ACCOUNT.
45 S 3. This act shall take effect immediately.
46 PART D
47 Section 1. The penal law is amended by adding a new article 201 to
48 read as follows:
49 ARTICLE 201
50 FAILURE TO REPORT CORRUPTION
51 SECTION 201.00 FAILURE TO REPORT CORRUPTION.
52 S 201.00 FAILURE TO REPORT CORRUPTION.
53 1. A PUBLIC SERVANT IS GUILTY OF FAILURE TO REPORT CORRUPTION WHEN:
A. 7147 23
1 (A) A PUBLIC SERVANT KNOWS THAT ANOTHER PERSON OR PUBLIC SERVANT IS
2 GUILTY OF OFFICIAL MISCONDUCT PURSUANT TO ARTICLE ONE HUNDRED
3 NINETY-FIVE OF THIS TITLE; IS GUILTY OF BRIBERY OR BRIBE RECEIVING
4 PURSUANT TO ARTICLE TWO HUNDRED OF THIS TITLE; OR IS GUILTY OF A CRIME
5 OF CORRUPTING THE GOVERNMENT PURSUANT TO ARTICLE FOUR HUNDRED NINETY-SIX
6 OF THIS TITLE; AND
7 (B) SUCH PUBLIC SERVANT DOES NOT, AS SOON AS REASONABLY PRACTICABLE,
8 REPORT SUCH CRIME TO A DISTRICT ATTORNEY OR TO THE COMMISSION ON OFFI-
9 CIAL MISCONDUCT.
10 2. ANY PUBLIC SERVANT WHO MAKES A REPORT PURSUANT TO THIS SECTION
11 SHALL NOT BE SUBJECT TO DISMISSAL, DISCIPLINE OR OTHER PERSONNEL ACTION
12 AS A RESULT OF MAKING SUCH REPORT.
13 FAILURE TO REPORT CORRUPTION IS A CLASS A MISDEMEANOR.
14 S 2. This act shall take effect on the one hundred twentieth day after
15 it shall have become a law.
16 PART E
17 Section 1. Section 14-130 of the election law, as added by chapter 152
18 of the laws of 1985, is amended to read as follows:
19 S 14-130. Campaign funds for personal use. 1. Contributions received
20 by a candidate or a political committee may be expended for any lawful
21 purpose THAT IS DIRECTLY RELATED TO PROMOTING THE NOMINATION OR ELECTION
22 OF A CANDIDATE. Such funds shall not be converted by any person to a
23 personal use [which is unrelated to a political campaign or the holding
24 of a public office or party position].
25 2. (A) AS USED IN THIS SECTION, EXPENDITURES FOR "PERSONAL USE" ARE
26 DEFINED AS EXPENDITURES THAT:
27 (I) ARE FOR THE PERSONAL BENEFIT OF THE CANDIDATE OR ANY OTHER INDI-
28 VIDUAL;
29 (II) DEFRAY NORMAL LIVING EXPENSES OF THE CANDIDATE, IMMEDIATE FAMILY
30 OF THE CANDIDATE, OR ANY OTHER INDIVIDUAL;
31 (III) ARE USED TO FULFILL ANY COMMITMENT, OBLIGATION, OR EXPENSE OF A
32 PERSON THAT WOULD EXIST IRRESPECTIVE OF THE CANDIDATE'S ELECTION
33 CAMPAIGN;
34 (IV) ARE PUT TO ANY USE FOR WHICH THE CANDIDATE WOULD BE REQUIRED TO
35 TREAT THE AMOUNT OF THE EXPENDITURE AS GROSS INCOME UNDER SECTION
36 SIXTY-ONE OF THE INTERNAL REVENUE CODE, OR ANY SUBSEQUENT CORRESPONDING
37 SECTION OF THE INTERNAL REVENUE CODE OF THE UNITED STATES.
38 (B) EXPENDITURES FOR PERSONAL USE SHALL INCLUDE, BUT ARE NOT LIMITED
39 TO, EXPENSES FOR THE FOLLOWING THAT ARE NOT RELATED TO CAMPAIGN PURPOSES
40 OR ACTIVITIES:
41 (I) CRIMINAL ATTORNEY OR LEGAL FEES;
42 (II) FOOD;
43 (III) SALARY PAYMENTS TO A PERSON OR A FAMILY MEMBER;
44 (IV) AUTOMOBILE PURCHASES OR LEASES;
45 (V) TRAVEL AND MILEAGE;
46 (VI) RESIDENTIAL OR HOUSEHOLD ITEMS;
47 (VII) MORTGAGE, RENT, OR UTILITY PAYMENTS;
48 (VIII) FUNERAL, CREMATION, OR BURIAL;
49 (IX) CLOTHING;
50 (X) TUITION PAYMENTS;
51 (XI) CHILDCARE;
52 (XII) DUES, FEES, OR GRATUITIES AT A COUNTRY CLUB, HEALTH CLUB,
53 FRATERNAL ORGANIZATION OR PROFESSIONAL ORGANIZATION OR RECREATIONAL
54 FACILITY;
A. 7147 24
1 (XIII) ADMISSION TO A SPORTING EVENT, CONCERT, THEATER, OR OTHER FORM
2 OF ENTERTAINMENT;
3 (XIV) PAYMENT OF ANY FINES, FEES, OR PENALTIES; AND
4 (XV) ANY OTHER EXPENDITURE DESIGNATED BY THE COMMISSION ON OFFICIAL
5 CONDUCT AS CONSTITUTING PERSONAL USE.
6 S 2. This act shall take effect on the first of January next succeed-
7 ing the date on which it shall have become a law.
8 PART F
9 Section 1. Section 14-126 of the election law, as amended by section 6
10 of subpart C of part H of chapter 55 of the laws of 2014 and subdivision
11 1 as separately amended by section 1 of subpart B of part H of chapter
12 55 of the laws of 2014, is amended to read as follows:
13 S 14-126. Violations; penalties. 1. (a) Any person who fails to file a
14 statement required to be filed by this article shall be subject to a
15 civil penalty, not in excess of one thousand dollars, to be recoverable
16 in a special proceeding or civil action to be brought by the chief
17 enforcement counsel pursuant to section 16-114 of this chapter OR BY THE
18 COMMISSION ON OFFICIAL CONDUCT. Any person who, three or more times
19 within a given election cycle for such term of office, fails to file a
20 statement or statements required to be filed by this article, shall be
21 subject to a civil penalty, not in excess of ten thousand dollars, to be
22 recoverable as provided for in this subdivision.
23 (b) All payments received by the state board of elections pursuant to
24 this section shall be retained in the appropriate accounts as designated
25 by the division of the budget for enforcement activities by the board of
26 elections.
27 2. Any person who, acting as or on behalf of a candidate or political
28 committee, under circumstances evincing an intent to violate such law,
29 unlawfully accepts a contribution in excess of a contribution limitation
30 established in this article, shall be required to refund such excess
31 amount and shall be subject to a civil penalty equal to the excess
32 amount plus a fine of up to ten thousand dollars, to be recoverable in a
33 special proceeding or civil action to be brought by the state board of
34 elections chief enforcement counsel.
35 3. Any person who falsely identifies or knowingly fails to identify
36 any independent expenditure as required by subdivision two of section
37 14-107 of this article shall be subject to a civil penalty up to one
38 thousand dollars or up to the cost of the communication, whichever is
39 greater, in a special proceeding or civil action brought by the state
40 board of elections chief enforcement counsel or imposed directly by the
41 state board of elections. For purposes of this subdivision, the term
42 "person" shall mean a person, group of persons, corporation, unincorpo-
43 rated business entity, labor organization or business, trade or profes-
44 sional association or organization or political committee.
45 4. (A) Any person who knowingly and willfully fails to file a state-
46 ment required to be filed by this article within ten days after the date
47 provided for filing such statement or any person who knowingly and will-
48 fully violates any other provision of this article shall be guilty of a
49 misdemeanor.
50 (B) ANY CANDIDATE OR PERSON ACTING AS OR ON BEHALF OF A CANDIDATE OR
51 POLITICAL COMMITTEE WHO KNOWINGLY AND WILLFULLY FAILS TO FILE A STATE-
52 MENT REQUIRED TO BE FILED BY THIS ARTICLE WITHIN THIRTY DAYS AFTER THE
53 DATE PROVIDED FOR FILING SUCH STATEMENT, UNLESS GRANTED AN EXTENSION BY
54 THE STATE BOARD OF ELECTIONS OR OTHER BOARD OF ELECTIONS, SHALL BE
A. 7147 25
1 SUBJECT TO A CIVIL PENALTY OF ONE THOUSAND DOLLARS FOR THE FIRST OFFENSE
2 AND TWO THOUSAND FIVE HUNDRED DOLLARS FOR THE SECOND OFFENSE AND EVERY
3 OFFENSE COMMITTED THEREAFTER TO BE RECOVERABLE IN A SPECIAL PROCEEDING
4 OR CIVIL ACTION TO BE BROUGHT BY THE COMMISSION ON OFFICIAL CONDUCT.
5 CANDIDATES SHALL BE PLACED ON NOTICE BY THE BOARD OF ELECTIONS, AND WILL
6 BE LIABLE FOR ANY CRIMINAL OR CIVIL PENALTIES FOR THE TREASURER'S FAIL-
7 URE TO FILE REQUIRED DISCLOSURE REPORTS.
8 5. Any person who knowingly and willfully contributes, accepts or aids
9 or participates in the acceptance of a contribution in an amount exceed-
10 ing an applicable maximum specified in this article shall be guilty of a
11 class A misdemeanor.
12 6. Any person who shall, acting on behalf of a candidate or political
13 committee, knowingly and willfully solicit, organize or coordinate the
14 formation of activities of one or more unauthorized committees, make
15 expenditures in connection with the nomination for election or election
16 of any candidate, or solicit any person to make any such expenditures,
17 for the purpose of evading the contribution limitations of this article,
18 shall be guilty of a class E felony.
19 S 2. This act shall take effect immediately.
20 PART G
21 Section 1. Subdivision 2 of section 14-108 of the election law, as
22 amended by chapter 109 of the laws of 1997, is amended to read as
23 follows:
24 2. A. Each statement shall cover the period up to and including the
25 fourth day next preceding the day specified for the filing thereof;
26 provided, however, that any contribution or loan in excess of one thou-
27 sand dollars, if received after the close of the period to be covered in
28 the last statement filed before any primary, general or special election
29 but before such election, shall be reported, in the same manner as other
30 contributions, within twenty-four hours after receipt.
31 B. NOTWITHSTANDING THE PROVISIONS OF THIS SUBDIVISION, ANY CONTRIB-
32 UTION RECEIVED IN EXCESS OF FIVE HUNDRED DOLLARS, SHALL BE REPORTED, IN
33 THE SAME MANNER AS OTHER CONTRIBUTIONS, WITHIN TWENTY-FOUR HOURS AFTER
34 RECEIPT.
35 C. NOTWITHSTANDING THE PROVISIONS OF THIS SUBDIVISION, ANY EXPENDITURE
36 MADE BY ANY LOBBYING ORGANIZATION, POLITICAL ACTION COMMITTEE, LABOR
37 ORGANIZATION, OR OTHER ORGANIZATION IN THE FORM OF PAYMENTS OR REMUNERA-
38 TION TO INDIVIDUALS OR GROUPS FOR CAMPAIGN VOLUNTEER ACTIVITIES ON
39 BEHALF OF A CANDIDATE OR POLITICAL COMMITTEE, SHALL BE REPORTED BY THE
40 CANDIDATE OR POLITICAL COMMITTEE, IN THE SAME MANNER AS OTHER CONTRIB-
41 UTIONS, WITHIN TWENTY-FOUR HOURS AFTER THE EXPENDITURE IS MADE.
42 S 2. This act shall take effect immediately.
43 PART H
44 Section 1. The legislative law is amended by adding two new sections
45 2-a and 5-b to read as follows:
46 S 2-A. LEGISLATIVE TERM LIMITS. MEMBERS OF THE LEGISLATURE SHALL NOT
47 SERVE MORE THAN TEN TWO YEAR TERMS IN EITHER THE SENATE OR ASSEMBLY.
48 S 5-B. LIMITS ON TIME A LEGISLATOR MAY SERVE AS A LEGISLATIVE LEADER.
49 NO MEMBER OF THE LEGISLATURE MAY BE ELECTED TO SERVE MORE THAN FOUR
50 CONSECUTIVE TWO YEAR TERMS AS THE TEMPORARY PRESIDENT OF THE SENATE,
51 MINORITY LEADER OF THE SENATE, SPEAKER OF THE ASSEMBLY, MINORITY LEADER
52 OF THE ASSEMBLY, OR THE CHAIRPERSON OF ANY SENATE OR ASSEMBLY COMMITTEE.
A. 7147 26
1 S 2. This act shall take effect on the first of January next succeed-
2 ing the date on which it shall have become a law and shall apply to all
3 elections held after such effective date.
4 PART I
5 Section 1. The opening paragraph of paragraph (c) of subdivision 1 of
6 section 632-a of the executive law, as amended by section 100 of subpart
7 B of part C of chapter 62 of the laws of 2011, is amended to read as
8 follows:
9 "Funds of a convicted person" means all funds and property received
10 from any source, INCLUDING FUNDS RECEIVED FROM A PUBLIC RETIREMENT
11 SYSTEM, by a person convicted of a specified crime, or by the represen-
12 tative of such person as defined in subdivision six of section six
13 hundred twenty-one of this article excluding child support and earned
14 income, where such person:
15 S 2. Subdivision 1 of section 632-a of the executive law is amended by
16 adding a new paragraph (g) to read as follows:
17 (G) "PUBLIC RETIREMENT SYSTEM" SHALL MEAN THE NEW YORK STATE AND LOCAL
18 EMPLOYEES RETIREMENT SYSTEM, THE NEW YORK STATE AND LOCAL POLICE AND
19 FIRE RETIREMENT SYSTEM, THE NEW YORK STATE TEACHERS RETIREMENT SYSTEM,
20 THE NEW YORK CITY EMPLOYEES RETIREMENT SYSTEM, THE NEW YORK CITY BOARD
21 OF EDUCATION RETIREMENT SYSTEM, THE NEW YORK CITY TEACHERS RETIREMENT
22 SYSTEM, THE NEW YORK CITY POLICE PENSION FUND, OR THE NEW YORK CITY FIRE
23 DEPARTMENT PENSION FUND.
24 S 3. Subdivision 2 of section 110 of the retirement and social securi-
25 ty law, as amended by chapter 291 of the laws of 1999, is amended to
26 read as follows:
27 2. Shall not be subject to execution, garnishment, attachment, or any
28 other process whatsoever, EXCEPT FOR ACTIONS TAKEN PURSUANT TO SECTION
29 SIX HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW, and
30 S 4. Subdivision 2 of section 410 of the retirement and social securi-
31 ty law, as amended by chapter 549 of the laws of 1983, is amended to
32 read as follows:
33 2. Shall not be subject to execution, garnishment, attachment, or any
34 other process whatsoever, EXCEPT FOR ACTIONS TAKEN PURSUANT TO SECTION
35 SIX HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW, and
36 S 5. Section 524 of the education law is amended to read as follows:
37 S 524. Exemption from taxation and execution. The right of a teacher
38 to a pension, an annuity, or a retirement allowance, to the return of
39 contributions, any benefit or right accrued or accruing to any person
40 under the provisions of this article, and the moneys in the various
41 funds created hereunder, are hereby exempt from any state or municipal
42 tax, and shall not be subject to execution, garnishment, attachment or
43 any other process whatsoever, EXCEPT FOR ACTIONS TAKEN PURSUANT TO
44 SECTION SIX HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW, and shall be
45 unassignable except as in this article specifically provided.
46 S 6. The opening paragraph of section 13-181 of the administrative
47 code of the city of New York is amended to read as follows:
48 The right of a person to a pension, a pension-providing-for-in-
49 creased-take-home-pay, an annuity, or a retirement allowance, to the
50 return of contributions, the pension, pension-providing-for-increased-
51 take-home-pay, annuity, or retirement allowance itself, any optional
52 benefit, any other right accrued or accruing to any person under the
53 provisions of this chapter and the moneys in the various funds provided
54 for by this chapter, are hereby exempt from any state or municipal tax,
A. 7147 27
1 and shall not be subject to execution, garnishment, attachment, or any
2 other process whatsoever, EXCEPT FOR ACTIONS TAKEN PURSUANT TO SECTION
3 SIX HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW, and shall be unassignable
4 except as in this chapter specifically provided.
5 S 7. Section 13-212 of the administrative code of the city of New York
6 is amended to read as follows:
7 S 13-212 Exemption from tax and legal process. The right of a person
8 to a pension, an allowance, to the return of contributions, the pension
9 itself, any optional benefit, any other right accrued or accruing to any
10 person under the provisions of this subchapter and the moneys in the
11 fund provided for by this subchapter, are hereby exempt from any state
12 or municipal tax, and shall not be subject to execution, garnishment,
13 attachment, or any other process whatsoever, EXCEPT FOR ACTIONS TAKEN
14 PURSUANT TO SECTION SIX HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW, and
15 shall be unassignable except as in this article specifically provided.
16 S 8. Section 13-312 of the administrative code of the city of New
17 York, as amended by chapter 480 of the laws of 1993, is amended to read
18 as follows:
19 S 13-312 Exemption from tax and legal process. The right of a person
20 to a pension, an allowance, to the return of contributions, the pension
21 or allowance itself, any optional benefit, any other right accrued or
22 accruing to any person under the provisions of this subchapter and the
23 right to any benefit under subchapter five or subchapter six of this
24 chapter and any such benefit itself, and the moneys in the fund provided
25 for by this subchapter and in the funds provided for by such subchapter
26 five and subchapter six, are hereby exempt from any state or municipal
27 tax, and shall not be subject to execution, garnishment, attachment, or
28 any other process whatsoever, EXCEPT FOR ACTIONS TAKEN PURSUANT TO
29 SECTION SIX HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW, and shall be
30 unassignable except as in any such subchapter specifically provided.
31 S 9. Subdivision 1 of section 13-561 of the administrative code of the
32 city of New York, as amended by chapter 556 of the laws of 2003, is
33 amended to read as follows:
34 1. The right of a person to a pension, a pension-providing-for-in-
35 creased-take-home-pay, an annuity, or a retirement allowance, to the
36 return of contributions, the pension, pension-providing-for-increased-
37 take-home-pay, annuity, or retirement allowance itself, any optional
38 benefit, any other right accrued or accruing to any person under the
39 provisions of this chapter, and the moneys in the various funds provided
40 for by this chapter, are hereby exempt from any state or municipal tax,
41 and exempt from levy and sale, garnishment, attachment or any other
42 process whatsoever, EXCEPT FOR ACTIONS TAKEN PURSUANT TO SECTION SIX
43 HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW, and shall be unassignable
44 except as in this chapter specifically otherwise provided.
45 S 10. Paragraph (g) of subdivision 24 of section 2575 of the education
46 law, as added by chapter 623 of the laws of 2004, is amended to read as
47 follows:
48 (g) The right of an eligible participant to receive replacement bene-
49 fits pursuant to this subdivision, and the replacement benefits received
50 pursuant to this subdivision, shall be exempt from any state or munici-
51 pal tax, and shall not be subject to execution, garnishment, attachment
52 or any other process whatsoever, EXCEPT FOR ACTIONS TAKEN PURSUANT TO
53 SECTION SIX HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW, and shall be
54 unassignable, except as otherwise specifically provided for benefits
55 payable by the retirement system.
A. 7147 28
1 S 11. Subdivision 24 of section 2575 of the education law, as added by
2 chapter 723 of the laws of 2004, is renumbered subdivision 26 and a new
3 subdivision 27 is added to read as follows:
4 27. NOTWITHSTANDING ANY OTHER INCONSISTENT PROVISION OF LAW, RETIRE-
5 MENT BENEFITS RECEIVED BY A RETIRED MEMBER OF THE NEW YORK CITY BOARD OF
6 EDUCATION RETIREMENT SYSTEM SHALL BE SUBJECT TO ACTIONS TAKEN PURSUANT
7 TO SECTION SIX HUNDRED THIRTY-TWO-A OF THE EXECUTIVE LAW.
8 S 12. This act shall take effect immediately.
9 PART J
10 Section 1. The legislative law is amended by adding a new section 68
11 to read as follows:
12 S 68. ASSEMBLY STANDING COMMITTEE ON ETHICS AND GUIDANCE. 1. THERE IS
13 ESTABLISHED A STANDING COMMITTEE IN THE ASSEMBLY ON ETHICS AND GUIDANCE
14 WHICH SHALL REPLACE THE STANDING COMMITTEE ON ETHICS AND GUIDANCE AS
15 ESTABLISHED BY THE RULES OF THE ASSEMBLY. THE COMMITTEE SHALL CONSIST OF
16 AN EQUAL NUMBER OF MAJORITY AND MINORITY MEMBERS FOR A TOTAL OF EIGHT
17 MEMBERS. THE EIGHT MEMBERS SHALL BE MEMBERS OF THE ASSEMBLY AND
18 APPOINTED AS FOLLOWS: FOUR BY THE SPEAKER OF THE ASSEMBLY AND FOUR BY
19 THE MINORITY LEADER OF THE ASSEMBLY.
20 2. THE COMMITTEE SHALL SERVE AS DESCRIBED IN THIS SECTION AND HAVE AND
21 EXERCISE THE POWERS AND DUTIES SET FORTH IN THIS SECTION ONLY WITH
22 RESPECT TO MEMBERS OF THE ASSEMBLY AND ASSEMBLY EMPLOYEES.
23 3. MEMBERS OF THE ASSEMBLY WHO SERVE ON THE COMMITTEE SHALL EACH HAVE
24 A TWO YEAR TERM CONCURRENT WITH THEIR LEGISLATIVE TERMS OF OFFICE.
25 4. MEMBERS OF THE COMMITTEE MAY ONLY BE REMOVED BY A MAJORITY VOTE OF
26 THE COMMITTEE SOLELY FOR SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT
27 IN OFFICE, VIOLATION OF THE CONFIDENTIALITY RESTRICTIONS IN THIS
28 SECTION, INABILITY TO DISCHARGE THE POWERS OR DUTIES OF OFFICE OR
29 VIOLATION OF THIS SECTION, AFTER WRITTEN NOTICE AND OPPORTUNITY FOR A
30 REPLY.
31 5. THE SPEAKER OF THE ASSEMBLY AND THE MINORITY LEADER OF THE ASSEMBLY
32 SHALL EACH DESIGNATE ONE MEMBER OF THE COMMITTEE AS A CO-CHAIRPERSON
33 THEREOF. THE CO-CHAIRPERSONS SHALL RECEIVE COMPENSATION AS PROVIDED FOR
34 IN SECTION FIVE-A OF THIS CHAPTER.
35 6. THE COMMITTEE SHALL MEET AT LEAST BI-MONTHLY AND AT SUCH ADDITIONAL
36 TIMES AS MAY BE CALLED FOR BY THE CO-CHAIRPERSONS JOINTLY OR ANY FOUR
37 MEMBERS OF THE COMMITTEE.
38 7. ANY VACANCY OCCURRING ON THE COMMITTEE SHALL BE FILLED WITHIN THIR-
39 TY DAYS BY THE APPOINTING AUTHORITY.
40 8. FIVE MEMBERS OF THE COMMITTEE SHALL CONSTITUTE A QUORUM, AND THE
41 COMMITTEE SHALL HAVE POWER TO ACT BY MAJORITY VOTE OF THE TOTAL NUMBER
42 OF MEMBERS OF THE COMMITTEE WITHOUT VACANCY.
43 9. THE COMMITTEE SHALL BE FUNDED SEPARATELY FROM THE ASSEMBLY APPRO-
44 PRIATIONS PROVIDED ANNUALLY IN AN AMOUNT DEEMED APPROPRIATE BY AN AGREE-
45 MENT OF THE CO-CHAIRS FOR THE MAINTENANCE AND OPERATION OF THE COMMIT-
46 TEE. SUCH APPROPRIATION FOR THE COMMITTEE SHALL BE SPECIFICALLY LINED
47 OUT IN THE LEGISLATIVE BUDGET. THE EXECUTIVE DIRECTOR AND EMPLOYEES OF
48 THE COMMITTEE SHALL BE CONSIDERED AS EMPLOYEES OF THE ASSEMBLY FOR ALL
49 PURPOSES.
50 10. THE COMMITTEE SHALL:
51 (A) APPOINT AN EXECUTIVE DIRECTOR WHO SHALL ACT IN ACCORDANCE WITH THE
52 POLICIES OF THE COMMITTEE, PROVIDED THAT THE COMMITTEE MAY REMOVE THE
53 EXECUTIVE DIRECTOR BY A MAJORITY VOTE FOR NEGLECT OF DUTY, MISCONDUCT IN
A. 7147 29
1 OFFICE, OR INABILITY OR FAILURE TO DISCHARGE THE POWERS OR DUTIES OF
2 OFFICE;
3 (B) APPOINT SUCH OTHER STAFF AS ARE NECESSARY TO ASSIST IT TO CARRY
4 OUT ITS DUTIES UNDER THIS SECTION;
5 (C) ADOPT, AMEND, AND RESCIND POLICIES, RULES AND REGULATIONS CONSIST-
6 ENT WITH THIS SECTION TO GOVERN PROCEDURES OF THE COMMITTEE;
7 (D) ADMINISTER THE PROVISIONS OF THIS SECTION;
8 (E) REVIEW ALL RULES AND POLICIES OF THE SPEAKER OR THE ASSEMBLY
9 RELATING TO CONDUCT OF MEMBERS AND EMPLOYEES OF THE ASSEMBLY, INCLUDING
10 BUT NOT LIMITED TO ETHICS, SEXUAL HARASSMENT AND FRATERNIZATION WITH
11 STUDENT INTERNS, AND RECOMMEND TO THE SPEAKER OF THE ASSEMBLY AND THE
12 MINORITY LEADER OF THE ASSEMBLY ANY CHANGES TO SUCH RULES AND POLICIES
13 OR OFFER MOTIONS TO AMEND RULES OF THE ASSEMBLY, OR OFFER MOTIONS TO
14 SUSPEND RULES OF THE ASSEMBLY, OR ADOPT POLICIES RELATING TO CONDUCT OF
15 MEMBERS AND EMPLOYEES OF THE ASSEMBLY, INCLUDING BUT NOT LIMITED TO
16 ETHICS, SEXUAL HARASSMENT AND FRATERNIZATION WITH STUDENT INTERNS. ANY
17 SUCH POLICY RELATING TO CONDUCT OF MEMBERS AND EMPLOYEES OF THE ASSEMBLY
18 ADOPTED BY THE COMMITTEE SHALL BE THE POLICY OF THE ASSEMBLY AND SUBJECT
19 TO THE PROVISIONS OF THIS SECTION;
20 (F) DEVELOP AND REGULARLY UPDATE A COURSE OF INSTRUCTION FOR ALL
21 MEMBERS AND EMPLOYEES OF THE ASSEMBLY WITH REGARD TO THE LAWS AND POLI-
22 CIES GOVERNING THEIR CONDUCT. THE COMMITTEE SHALL RECOMMEND TO THE
23 SPEAKER OF THE ASSEMBLY AND THE MINORITY LEADER OF THE ASSEMBLY A
24 CONDUCT AND ETHICS TRAINING PLAN FOR IMPLEMENTING AND SCHEDULING SUCH
25 COURSE OF INSTRUCTION FOR MEMBERS, EMPLOYEES AND NEWLY-HIRED EMPLOYEES;
26 (G) PREPARE AN ANNUAL REPORT TO THE SPEAKER OF THE ASSEMBLY AND THE
27 MINORITY LEADER OF THE ASSEMBLY SUMMARIZING THE ACTIVITIES OF THE
28 COMMITTEE DURING THE PREVIOUS YEAR AND RECOMMENDING ANY CHANGES IN THE
29 LAWS GOVERNING THE CONDUCT OF PERSONS SUBJECT TO THE JURISDICTION OF THE
30 COMMITTEE, OR THE RULES, REGULATIONS AND PROCEDURES GOVERNING THE
31 COMMITTEE'S CONDUCT. SUCH REPORT SHALL INCLUDE: (I) A LISTING BY
32 ASSIGNED NUMBER OF EACH COMPLAINT INCLUDING CURRENT STATUS OF EACH
33 COMPLAINT, (II) WHERE A MATTER WAS DEFERRED, AND (III) WHERE A MATTER
34 HAS BEEN RESOLVED, THE DATE AND NATURE OF THE DISPOSITION AND ANY SANC-
35 TION IMPOSED, SUBJECT TO THE CONFIDENTIALITY REQUIREMENTS OF THIS
36 SECTION; AND
37 (H) INVESTIGATE COMPLAINTS AND IMPOSE DISCIPLINARY MEASURES AGAINST
38 MEMBERS AND EMPLOYEES FOUND IN VIOLATION OF RULES AND POLICIES OF THE
39 SPEAKER OR THE ASSEMBLY OR THE PUBLIC OFFICERS LAW OR OTHER LAW.
40 11. INVESTIGATIONS, MANDATORY REPORTING OF VIOLATIONS, AND ENFORCEMENT
41 AUTHORITY:
42 (A) THE COMMITTEE SHALL HAVE THE AUTHORITY, ON ITS OWN ACCORD, TO
43 INITIATE BY A MAJORITY VOTE AN INVESTIGATION INTO A POSSIBLE VIOLATION,
44 BY ANY MEMBER OR EMPLOYEE OF THE ASSEMBLY, OF THE RULES OR POLICY OF THE
45 SPEAKER OR THE ASSEMBLY OR OF THE PUBLIC OFFICERS LAW OR OTHER LAW.
46 (B) ANY FORMAL OR INFORMAL COMPLAINT OF A VIOLATION OF RULES AND POLI-
47 CIES OF THE SPEAKER OR THE ASSEMBLY RELATING TO CONDUCT OF MEMBERS AND
48 EMPLOYEES OF THE ASSEMBLY OR OF A VIOLATION OF THE PUBLIC OFFICERS LAW
49 OR OTHER LAW, MUST BE REPORTED TO THE COMMITTEE WITHIN FIVE DAYS OF SUCH
50 COMPLAINT BEING MADE TO COUNSEL, OFFICE OF HUMAN RESOURCES, OFFICE OF
51 ADMINISTRATION AND PERSONNEL OR INTAKE REPRESENTATIVE.
52 (C) THE COMMITTEE SHALL REVIEW SUCH COMPLAINT AT THE NEXT MEETING OF
53 SUCH COMMITTEE AND DETERMINE BY MAJORITY VOTE WHETHER TO INVESTIGATE
54 SUCH COMPLAINT FURTHER, COMMENCE A FULL FORMAL INVESTIGATION OF SUCH
55 COMPLAINT OR DEFER SUCH COMPLAINT TO THE COMMISSION ON OFFICIAL CONDUCT,
56 THE LEGISLATIVE ETHICS COMMISSION, OR AN APPROPRIATE PROSECUTOR. THE
A. 7147 30
1 STAFF OF THE COMMITTEE SHALL PROVIDE TO THE MEMBERS OF THE COMMITTEE
2 PRIOR TO SUCH VOTE INFORMATION REGARDING THE LIKELY SCOPE AND CONTENT OF
3 THE INVESTIGATION, AND A SUBPOENA PLAN, TO THE EXTENT SUCH INFORMATION
4 IS AVAILABLE.
5 (D) IF THE COMMITTEE DETERMINES BY MAJORITY VOTE THAT A FULL FORMAL
6 INVESTIGATION SHALL COMMENCE THE COMMITTEE SHALL NOTIFY THE INDIVIDUAL
7 IN WRITING, DESCRIBE THE POSSIBLE OR ALLEGED VIOLATION OF RULES AND
8 POLICIES OF THE SPEAKER OR THE ASSEMBLY RELATED TO CONDUCT OF MEMBERS
9 AND EMPLOYEES OF THE ASSEMBLY OR OF A VIOLATION OF THE PUBLIC OFFICERS
10 LAW OR OTHER LAW AND PROVIDE THE PERSON WITH A FIFTEEN DAY PERIOD IN
11 WHICH TO SUBMIT A WRITTEN RESPONSE SETTING FORTH INFORMATION RELATING TO
12 THE ACTIVITIES CITED AS A POSSIBLE OR ALLEGED VIOLATION OF SUCH RULES
13 AND POLICIES.
14 (E) THE COMMITTEE HAS THE AUTHORITY TO CONDUCT ANY INQUIRY PERTINENT
15 OR MATERIAL TO THE DISCHARGE OF THE FUNCTIONS, POWERS AND DUTIES IMPOSED
16 BY LAW; AND THROUGH DESIGNATED MEMBERS OF THE STAFF, TO SUBPOENA
17 WITNESSES, ADMINISTER OATHS, TAKE TESTIMONY AND COMPEL THE PRODUCTION OF
18 SUCH BOOKS, PAPERS, RECORDS AND DOCUMENTS AS MAY BE RELEVANT TO ANY SUCH
19 INQUIRY AND INVESTIGATION.
20 (F) IF THE COMMITTEE DETERMINES AT ANY STAGE THAT THERE IS NO
21 VIOLATION, IT SHALL SO ADVISE THE INDIVIDUAL AND THE COMPLAINANT, IF
22 ANY. ALL OF THE FOREGOING PROCEEDINGS SHALL BE CONFIDENTIAL.
23 (G) THE JURISDICTION OF THE COMMITTEE WHEN ACTING PURSUANT TO THIS
24 SECTION SHALL CONTINUE NOTWITHSTANDING THAT A MEMBER OF THE ASSEMBLY OR
25 ASSEMBLY EMPLOYEE SEPARATES FROM ASSEMBLY SERVICE, PROVIDED THAT THE
26 COMMITTEE NOTIFIES SUCH INDIVIDUAL OF THE ALLEGED VIOLATION OF RULES AND
27 POLICIES OF THE SPEAKER OR THE ASSEMBLY RELATING TO CONDUCT OF MEMBERS
28 AND EMPLOYEES OF THE ASSEMBLY OR OF A VIOLATION OF THE PUBLIC OFFICERS
29 LAW PURSUANT TO PARAGRAPH (C) OF THIS SUBDIVISION WITHIN ONE YEAR FROM
30 HIS OR HER SEPARATION FROM ASSEMBLY SERVICE.
31 (H) IF DURING THE COURSE OF ITS INVESTIGATION THE COMMITTEE DEEMS THAT
32 A VIOLATION OF RULES AND POLICIES OF THE SPEAKER OR THE ASSEMBLY RELATED
33 TO CONDUCT OF MEMBERS AND EMPLOYEES OF THE ASSEMBLY OR A VIOLATION OF
34 THE PUBLIC OFFICERS LAW OR OTHER LAW HAS OCCURRED, THE COMMITTEE SHALL
35 NOTIFY THE INDIVIDUAL IN WRITING.
36 (I) THE COMMITTEE SHALL HAVE THE AUTHORITY TO (I) RECOMMEND PUNISH-
37 MENTS FOR VIOLATIONS OF RULES AND POLICIES OF THE SPEAKER OR THE ASSEM-
38 BLY, OR THE PUBLIC OFFICERS LAW OR OTHER LAW, INCLUDING BUT NOT LIMITED
39 TO CENSURE, STRIPPING MEMBERS OF LEADERSHIP POSITIONS OR EXPULSION
40 PURSUANT TO SECTION THREE OF THIS CHAPTER AND (II) ACCESS PENALTIES
41 PURSUANT TO APPLICABLE LAW OR RULE.
42 (J) NO MEMBER OR EMPLOYEE OF THE ASSEMBLY SHALL TAKE ANY ADVERSE
43 PERSONNEL ACTION WITH RESPECT TO ANOTHER MEMBER OR EMPLOYEE OF THE
44 ASSEMBLY IN RETALIATION FOR HIS OR HER MAKING A REPORT TO THE COMMITTEE,
45 OR FOR HIS OR HER OFFICIAL DUTIES AS A MEMBER OF THE COMMITTEE, CONCERN-
46 ING CONDUCT WHICH HE OR SHE KNOWS OR REASONABLY BELIEVES TO BE A
47 VIOLATION OF RULES AND POLICIES OF THE SPEAKER OR THE ASSEMBLY OR THE
48 PUBLIC OFFICERS LAW OR OTHER LAW.
49 (K) NOTWITHSTANDING THE PROVISIONS OF ARTICLE SIX OF THE PUBLIC OFFI-
50 CERS LAW, THE ONLY RECORDS OF THE COMMITTEE WHICH SHALL BE AVAILABLE FOR
51 PUBLIC INSPECTION AND COPYING ARE:
52 (I) THE TERMS OF ANY SETTLEMENT OR COMPROMISE OF A COMPLAINT OR REFER-
53 RAL OR REPORT WHICH INCLUDES A FINE, PENALTY OR OTHER REMEDY REACHED BY
54 THE COMMITTEE; AND
55 (II) ALL REPORTS REQUIRED BY THIS SECTION.
A. 7147 31
1 12. NOTWITHSTANDING THE PROVISIONS OF ARTICLE SEVEN OF THE PUBLIC
2 OFFICERS LAW, NO MEETING OR PROCEEDING OF THE COMMITTEE SHALL BE OPEN TO
3 THE PUBLIC, EXCEPT IF EXPRESSLY PROVIDED OTHERWISE BY THIS SECTION OR
4 THE COMMITTEE.
5 S 2. That portion of subdivision 1 of section 5-a of the legislative
6 law entitled "ASSEMBLYMEN SERVING IN SPECIAL CAPACITY", as amended by
7 section 3 of part XX of chapter 56 of the laws of 2009, is amended to
8 read as follows:
9 ASSEMBLYMEN SERVING IN SPECIAL CAPACITY
10 Chairman of assembly ways and means committee ................... 34,000
11 Ranking minority member of assembly ways and means
12 committee ...................................................... 20,500
13 Chairman of assembly judiciary committee ........................ 18,000
14 Ranking minority member of assembly judiciary
15 committee ...................................................... 11,000
16 Chairman of assembly codes committee ............................ 18,000
17 Ranking minority member of assembly codes
18 committee ...................................................... 11,000
19 Chairman of assembly banks committee ............................ 15,000
20 Ranking minority member of assembly banks committee .............. 9,500
21 Chairman of assembly committee on cities ........................ 15,000
22 Ranking minority member of assembly committee on cities .......... 9,500
23 Chairman of assembly education committee ........................ 18,000
24 Ranking minority member of assembly education committee ......... 11,000
25 Chairman of assembly health committee ........................... 15,000
26 Ranking minority member of assembly health committee ............. 9,500
27 Chairman of assembly local governments committee ................ 15,000
28 Ranking minority member of assembly local governments
29 committee ....................................................... 9,500
30 Chairman of assembly agriculture committee ...................... 12,500
31 Ranking minority member of assembly agriculture committee ........ 9,000
32 Chairman of assembly economic development, job creation,
33 commerce and industry committee ................................ 18,000
34 Ranking minority member of assembly economic development,
35 job creation, commerce and industry committee .................. 11,000
36 Chairman of assembly environmental conservation committee ....... 12,500
37 Ranking minority member of assembly environmental
38 conservation committee .......................................... 9,000
39 Chairman of assembly corporations, authorities
40 and commissions committee ...................................... 15,000
41 Ranking minority member of assembly corporations,
42 authorities, and commissions committee .......................... 9,500
43 Chairman of assembly correction committee ....................... 12,500
44 Ranking minority member of assembly correction committee ......... 9,000
45 MAJORITY Chairman of assembly ethics and guidance
46 committee ...................................................... 12,500
47 [Ranking minority member of assembly ethics and guidance
48 committee ...................................................... 9,000]
49 MINORITY CHAIRMAN OF ASSEMBLY ETHICS AND GUIDANCE
50 COMMITTEE ...................................................... 12,500
51 Chairman of assembly governmental employees committee ........... 12,500
52 Ranking minority member of assembly governmental
A. 7147 32
1 employees committee ............................................. 9,000
2 Chairman of assembly governmental operations committee .......... 12,500
3 Ranking minority member of assembly governmental
4 operations committee ............................................ 9,000
5 Chairman of assembly housing committee .......................... 12,500
6 Ranking minority member of assembly housing committee ............ 9,000
7 Chairman of assembly insurance committee ........................ 12,500
8 Ranking minority member of assembly insurance committee .......... 9,000
9 Chairman of assembly labor committee ............................ 14,000
10 Ranking minority member of assembly labor committee .............. 9,000
11 Chairman of assembly racing and wagering committee .............. 12,500
12 Ranking minority member of assembly racing and wagering
13 committee ....................................................... 9,000
14 Chairman of assembly social services committee .................. 12,500
15 Ranking minority member of assembly social services
16 committee ....................................................... 9,000
17 Chairman of assembly small business committee ................... 12,500
18 Ranking minority member of assembly small business
19 committee ....................................................... 9,000
20 Chairman of assembly transportation committee ................... 15,000
21 Ranking minority member of assembly transportation
22 committee ....................................................... 9,500
23 Chairman of assembly veterans' affairs committee ................ 12,500
24 Ranking minority member of assembly veterans' affairs
25 committee ....................................................... 9,000
26 Chairman of assembly aging committee ............................ 12,500
27 Ranking minority member of assembly aging committee .............. 9,000
28 Chairman of the assembly alcoholism and drug abuse
29 committee ...................................................... 12,500
30 Ranking minority member of the assembly
31 alcoholism and drug abuse committee ............................. 9,000
32 Chairman of assembly committee on mental health,
33 mental retardation and developmental disabilities .............. 12,500
34 Ranking minority member of assembly committee on mental health,
35 mental retardation and developmental disabilities ............... 9,000
36 Chairman of assembly higher education committee ................. 12,500
37 Ranking minority member of assembly higher education
38 committee ....................................................... 9,000
39 Chairman of assembly real property taxation committee ........... 12,500
40 Ranking minority member of assembly real property
41 taxation committee .............................................. 9,000
42 Chairman of assembly election law committee ..................... 12,500
43 Ranking minority member of assembly election
44 law committee ................................................... 9,000
45 Chairman of assembly children and families committee ............ 12,500
46 Ranking minority member of assembly children
47 and families committee .......................................... 9,000
48 Chairman of assembly consumer affairs and protection
49 committee ...................................................... 12,500
50 Ranking minority member of assembly consumer affairs and
51 protection committee ............................................ 9,000
52 Chairman of the assembly energy committee ....................... 12,500
53 Ranking minority member of assembly energy committee ............. 9,000
54 Chairman of assembly tourism, parks, arts and sports development
55 committee ...................................................... 12,500
56 Ranking minority member of assembly tourism, parks, arts and
A. 7147 33
1 sports development committee .................................... 9,000
2 Chairman of assembly oversight, analysis and investigation
3 committee ...................................................... 12,500
4 Ranking minority member of assembly oversight,
5 analysis and investigation committee ............................ 9,000
6 Chairman of assembly office of state-federal relations .......... 12,500
7 Chairman of majority house operations ........................... 12,500
8 Chairman of minority house operations ............................ 9,000
9 Co-chairman of the administrative regulations review
10 commission ..................................................... 12,500
11 S 3. This act shall take effect immediately.
12 PART K
13 Section 1. The real property tax law is amended by adding a new
14 section 493 to read as follows:
15 S 493. LIMITATIONS. 1. NOTWITHSTANDING ANY PROVISION OF LAW TO THE
16 CONTRARY, ANY REAL PROPERTY WHICH WOULD OTHERWISE BE ELIGIBLE FOR AN
17 EXEMPTION, CREDIT, ABATEMENT, REBATE OR OTHER REDUCTION OR OFFSET OF
18 REAL PROPERTY TAX LIABILITY AUTHORIZED BY LAW SHALL NOT BE SO ELIGIBLE
19 IF ANY PERSON WHO STANDS TO BENEFIT FROM THE EXEMPTION, CREDIT, ABATE-
20 MENT, REBATE OR OTHER REDUCTION OR OFFSET STANDS CONVICTED OF ANY FELONY
21 OFFENSE AS DEFINED BY STATE OR FEDERAL LAW AND WHEN SUCH OFFENSE WAS
22 DIRECTLY RELATED TO HIS OR HER SERVICE AS AN ELECTED OFFICIAL, OR OFFI-
23 CER OF THE STATE OR OF A CIVIL DIVISION THEREOF; OR A VIOLENT FELONY
24 OFFENSE AS DEFINED UNDER SECTION 70.02 OF THE PENAL LAW OR A CLASS A
25 FELONY OFFENSE DEFINED IN THE PENAL LAW, WHILE SERVING IN SUCH OFFICE OR
26 CAPACITY.
27 2. FOR PURPOSES OF THIS SECTION, A PERSON SHALL BE DEEMED TO STAND TO
28 BENEFIT FROM AN EXEMPTION, CREDIT, ABATEMENT, REBATE OR OTHER REDUCTION
29 OR OFFSET OF REAL PROPERTY TAX LIABILITY IF THE PERSON IS:
30 (A) AN OWNER OR BENEFICIAL OWNER THEREOF, OR
31 (B) IN THE CASE OF RESIDENTIAL REAL PROPERTY OWNED BY A COOPERATIVE
32 APARTMENT CORPORATION, A TENANT-STOCKHOLDER RESIDING THEREIN, OR
33 (C) IN THE CASE OF A PARTNERSHIP THAT HAS LEGAL TITLE TO PROPERTY, OR
34 IS OBLIGATED TO MAKE PAYMENTS IN LIEU OF TAXES THEREON, A PARTNER THERE-
35 OF, OR
36 (D) IN THE CASE OF A LIMITED LIABILITY COMPANY THAT HAS LEGAL TITLE TO
37 PROPERTY, OR IS OBLIGATED TO MAKE PAYMENTS IN LIEU OF TAXES THEREON, A
38 MANAGER OR MEMBER THEREOF, OR
39 (E) IN THE CASE OF A CORPORATION THAT HAS LEGAL TITLE TO PROPERTY OR
40 IS OBLIGATED TO MAKE PAYMENTS IN LIEU OF TAXES THEREON, A DIRECTOR OR
41 OFFICER THEREOF.
42 3. IN THE EVENT A PERSON OR FIRM, PARTNERSHIP OR CORPORATION IS
43 CONVICTED OF ANY FELONY OFFENSE AS DEFINED BY STATE OR FEDERAL LAW AND
44 WHEN SUCH OFFENSE WAS DIRECTLY RELATED TO HIS OR HER SERVICE AS AN
45 ELECTED OFFICIAL, OR OFFICER OF THE STATE OR OF A CIVIL DIVISION THERE-
46 OF; OR A VIOLENT FELONY OFFENSE AS DEFINED UNDER SECTION 70.02 OF THE
47 PENAL LAW OR A CLASS A FELONY OFFENSE DEFINED IN THE PENAL LAW, WHILE
48 SERVING IN SUCH OFFICE OR CAPACITY, THE OFFICE RESPONSIBLE FOR PROSECUT-
49 ING SUCH OFFENSE SHALL SEND NOTICE OF SUCH CONVICTION, TOGETHER WITH THE
50 NAMES OF ANY FIRM, PARTNERSHIP OR CORPORATION OF WHICH THE PERSON IS
51 KNOWN TO BE A MEMBER, PARTNER, OFFICER OR DIRECTOR, TO THE ASSESSOR OF
52 ANY ASSESSING UNIT IN WHICH SUCH PERSON OR SUCH FIRM, PARTNERSHIP OR
53 CORPORATION IS KNOWN TO OWN PROPERTY.
A. 7147 34
1 S 2. This act shall take effect immediately.
2 PART L
3 Section 1. Paragraph 5 of subdivision 3 of section 73-a of the public
4 officers law is amended by adding a new subparagraph (c) to read as
5 follows:
6 (C) IF YOU ARE A MEMBER OF THE LEGISLATURE OR A CANDIDATE FOR MEMBER
7 OF THE LEGISLATURE, LIST EACH SOURCE AND THE AMOUNT OF INCOME THEREFROM,
8 IN EXCESS OF $1,000, (OTHER THAN FROM THE EMPLOYMENT LISTED UNDER PARA-
9 GRAPH 2 ABOVE) RECEIVED DURING THE REPORTING PERIOD FOR WHICH THIS
10 STATEMENT IS FILED BY THE REPORTING INDIVIDUAL FROM THE PRACTICE OF
11 EVERY OCCUPATION, EMPLOYMENT, TRADE, BUSINESS AND PROFESSION ENGAGED IN
12 BY THE REPORTING INDIVIDUAL AND REPORTED IN SUBPARAGRAPH (A) OF THIS
13 PARAGRAPH. INCLUDE, NOTWITHSTANDING THE EXISTENCE OF ANY PROFESSIONAL
14 EXEMPTION, THE NAME AND ADDRESS OF EACH SUCH SOURCE OF INCOME, THE WORK
15 PERFORMED TO EARN SUCH INCOME AND THE AMOUNT OF SUCH INCOME.
16 NAME OF SOURCE ADDRESS WORK AMOUNT OF
17 OF INCOME PERFORMED INCOME
18 ________________________________________________________________________
19 ________________________________________________________________________
20 ________________________________________________________________________
21 S 2. This act shall take effect January 1, 2016.
22 S 3. Severability clause. If any clause, sentence, paragraph, subdivi-
23 sion, section or part of this act shall be adjudged by any court of
24 competent jurisdiction to be invalid, such judgment shall not affect,
25 impair, or invalidate the remainder thereof, but shall be confined in
26 its operation to the clause, sentence, paragraph, subdivision, section
27 or part thereof directly involved in the controversy in which such judg-
28 ment shall have been rendered. It is hereby declared to be the intent of
29 the legislature that this act would have been enacted even if such
30 invalid provisions had not been included herein.
31 S 4. This act shall take effect immediately; provided, however, that
32 the applicable effective dates of Parts A through L of this act shall be
33 as specifically set forth in the last section of such Parts.