Section 80. Legislative ethics commission; functions, powers and duties; review of financial disclosure statements; advisory opinions; investigation and enforcement

1.  There  is  established a legislative ethics commission which shall
  consist  of  nine  members.  Four  members  shall  be  members  of   the
  legislature  and  shall  be  appointed  as follows: one by the temporary
  president of the senate, one by the speaker of the assembly, one by  the
  minority  leader  of  the  senate  and one by the minority leader of the
  assembly. The remaining five members shall  not  be  present  or  former
  members  of  the  legislature, candidates for member of the legislature,
  employees of the legislature, political party  chairmen  as  defined  in
  paragraph  (k) of subdivision one of section seventy-three of the public
  officers law, or lobbyists, as defined in section one-c of this chapter,
  or persons who have been employees of the legislature,  political  party
  chairmen  as  defined  in  paragraph  (k)  of subdivision one of section
  seventy-three of the public officers law, or lobbyists,  as  defined  in
  section  one-c  of this chapter in the previous five years, and shall be
  appointed as follows: one by the temporary president of the senate,  one
  by  the  speaker  of  the  assembly,  one  by the minority leader of the
  senate, one by the minority leader of the assembly, and one  jointly  by
  the  speaker  of  the  assembly  and  majority leader of the senate. The
  commission shall serve  as  described  in  this  section  and  have  and
  exercise  the  powers  and  duties  set  forth in this section only with
  respect to members of the legislature, legislative employees as  defined
  in  section  seventy-three  of  the  public officers law, candidates for
  member of the legislature and individuals who have  formerly  held  such
  positions or who have formerly been such candidates.
    2.  Members  of the legislature who serve on the commission shall each
  have a two year term concurrent with their legislative terms of  office.
  The members of the commission who are not members of the legislature and
  who  are  first  appointed  by  the  temporary  president of the senate,
  speaker of the assembly, minority leader of  the  senate,  and  minority
  leader  of the assembly shall serve one, two, three and four year terms,
  respectively. The member of the commission first  appointed  jointly  by
  the  president  of  the senate and speaker of the assembly shall serve a
  four year term. Each member of the commission who is not a member of the
  legislature shall be appointed thereafter for a term of four years.
    3. The temporary president of  the  senate  and  the  speaker  of  the
  assembly  shall  each  designate  one  member  of  the  commission  as a
  co-chairperson thereof. The commission shall meet  at  least  bi-monthly
  and at such additional times as may be called for by the co-chairpersons
  jointly or any five members of the commission.
    4.  Any  vacancy  occurring  on  the commission shall be filled within
  thirty days by the appointing authority.
    5. Five members of the commission shall constitute a quorum,  and  the
  commission  shall have power to act by majority vote of the total number
  of members of the commission without vacancy.
    6. The members of the commission shall be  reimbursed  for  reasonable
  expenses incurred in the performance of their official duties.
    7. The commission shall:
    a.  Appoint an executive director who shall act in accordance with the
  policies of the commission;
    b. Appoint such other staff as are necessary to assist it to carry out
  its duties under this section;
    c.  Adopt,  amend,  and  rescind  policies,  rules   and   regulations
  consistent  with  this  section  to  govern procedures of the commission
  which shall not be subject to the promulgation and hearing  requirements
  of the state administrative procedure act;

    d. Administer the provisions of this section;
    e.  Specify the procedures whereby a person who is required to file an
  annual financial disclosure statement with the commission may request an
  additional period of time within which to file such  statement,  due  to
  justifiable  cause  or  undue  hardship; such rules or regulations shall
  provide for a date beyond which in all cases  of  justifiable  cause  or
  undue hardship no further extension of time will be granted;
    f.   Promulgate   guidelines   to  assist  appointing  authorities  in
  determining which persons hold policy-making positions for  purposes  of
  section  seventy-three-a  of  the public officers law and may promulgate
  guidelines to assist firms, associations and corporations in  separating
  affected  persons  from  net revenues for purposes of subdivision ten of
  section  seventy-three  of  the  public  officers  law,  and  promulgate
  guidelines  to  assist any firm, association or corporation in which any
  present or former statewide elected official, state officer or employee,
  member of the legislature or legislative employee,  or  political  party
  chairman   is  a  member,  associate,  retired  member,  of  counsel  or
  shareholder, in complying with the  provisions  of  subdivision  ten  of
  section  seventy-three  of  the  public officers law with respect to the
  separation of such present or former statewide elected  official,  state
  officer  or employee, member of the legislature or legislative employee,
  or  political  party  chairman  from  the  net  revenues  of  the  firm,
  association  or corporation. Such firm, association or corporation shall
  not be required to adopt the procedures contained in the  guidelines  to
  establish  compliance  with  subdivision ten of section seventy-three of
  the public officers law, but if such firm,  association  or  corporation
  does  adopt such procedures, it shall be deemed to be in compliance with
  such subdivision ten;
    g. Make available forms for financial disclosure  statements  required
  to  be  filed  pursuant  to subdivision six of section seventy-three and
  section seventy-three-a of the public officers law;
    h. Review financial  disclosure  statements  in  accordance  with  the
  provisions  of  this  section, provided however, that the commission may
  delegate all or part  of  the  review  function  relating  to  financial
  disclosure   statements  filed  by  legislative  employees  pursuant  to
  sections seventy-three and seventy-three-a of the public officers law to
  the executive director who shall be  responsible  for  completing  staff
  review  of  such statements in a manner consistent with the terms of the
  commission's delegation;
    i. Permit any person required to file a financial disclosure statement
  to request the commission to delete from the copy thereof made available
  for public inspection and copying one  or  more  items  of  information,
  which  may  be  deleted  by  the  commission  upon  a  finding  that the
  information which would otherwise be required to be disclosed will  have
  no  material bearing on the discharge of the reporting person's official
  duties;
    j. Permit any person required to file a financial disclosure statement
  to request an exemption from any requirement to report one or more items
  of information which pertain to such person's  spouse  or  unemancipated
  children  which  item  or items may be exempted by the commission upon a
  finding that the reporting individual's spouse, on his or her own behalf
  or on behalf  of  an  unemancipated  child,  objects  to  providing  the
  information  necessary  to make such disclosure and that the information
  which would otherwise be required to be reported will have  no  material
  bearing on the discharge of the reporting person's official duties;
    k.  Advise  and  assist  the  legislature  in  establishing  rules and
  regulations relating to possible conflicts between private interests and

  official duties of present members of the  legislature  and  legislative
  employees;
    l.  Receive  and  act  on  complaints regarding persons subject to its
  jurisdiction alleging a possible  violation  of  section  seventy-three,
  seventy-three-a  or seventy-four of the public officers law, and conduct
  such investigations and proceedings as are authorized and  necessary  to
  carry  out  the  provisions  of  this  section.  In connection with such
  investigations, the commission may  administer  oaths  or  affirmations,
  subpoena  witnesses,  compel their attendance and require the production
  of any books or records which it may deem relevant or material;
    m. Accept and act upon, as if it were a sworn complaint, any  referral
  from another state oversight body indicating that a violation of section
  seventy-three  or  seventy-four  of  the  public  officers  law may have
  occurred  involving  persons  subject  to  the   jurisdiction   of   the
  commission;
    n.  Upon  written  request  from  any  person  who  is  subject to the
  jurisdiction  of  the  commission  and  the  requirements  of   sections
  seventy-three,  seventy-three-a  and seventy-four of the public officers
  law, render  formal  advisory  opinions  on  the  requirements  of  said
  provisions.  A  formal  opinion  rendered  by  the commission, until and
  unless amended or revoked, shall be binding on  the  commission  in  any
  subsequent  proceeding  concerning  the person who requested the opinion
  and who acted in good faith,  unless  material  facts  were  omitted  or
  misstated  by the person in the request for an opinion. Such opinion may
  also be relied upon by such person, and may be introduced and shall be a
  defense in any criminal or civil action;
    o. Issue and publish  generic  advisory  opinions  covering  questions
  frequently  posed  to  the commission, or questions common to a class or
  defined category  of  persons,  or  that  will  tend  to  prevent  undue
  repetition  of requests or undue complication, and which are intended to
  provide general guidance and  information  to  persons  subject  to  the
  commission's jurisdiction;
    p.   Develop   educational  materials  and  training  with  regard  to
  legislative ethics  for  members  of  the  legislature  and  legislative
  employees; and
    q.   Prepare   an  annual  report  to  the  governor  and  legislature
  summarizing the activities of the commission during  the  previous  year
  and  recommending  any  changes  in  the  laws  governing the conduct of
  persons subject to the jurisdiction of the  commission,  or  the  rules,
  regulations  and  procedures  governing  the  commission's conduct. Such
  report shall include: (i) a listing by assigned number of each complaint
  and referral received which alleged  a  possible  violation  within  its
  jurisdiction,  including  the current status of each complaint, and (ii)
  where a matter has been resolved, the date and nature of the disposition
  and any sanction imposed, subject to the confidentiality requirements of
  this section. Such annual report shall not contain any  information  for
  which  disclosure  is  not permitted pursuant to subdivision fourteen of
  this section.
    8. The  commission,  or  the  executive  director  and  staff  of  the
  commission   if   responsibility  regarding  such  financial  disclosure
  statements filed by legislative  employees  has  been  delegated,  shall
  inspect all financial disclosure statements filed with the commission to
  ascertain  whether  any  person subject to the reporting requirements of
  subdivision six of section seventy-three or section  seventy-three-a  of
  the public officers law has failed to file such a statement, has filed a
  deficient  statement  or  has filed a statement which reveals a possible
  violation of section seventy-three, seventy-three-a or  seventy-four  of
  the public officers law.

    9.  If a person required to file a financial disclosure statement with
  the commission has failed to file a financial  disclosure  statement  or
  has  filed  a  deficient  statement,  the  commission  shall  notify the
  reporting person in writing, state the failure to  file  or  detail  the
  deficiency,  provide  the  person  with a fifteen day period to cure the
  deficiency, and advise the person of the penalties for failure to comply
  with the reporting requirements. Such notice shall be  confidential.  If
  the  person  fails  to  make such filing or fails to cure the deficiency
  within the specified time period, the commission shall send a notice  of
  delinquency:  (a) to the reporting person; (b) in the case of a senator,
  to the temporary president of the senate, and if a member  of  assembly,
  to  the  speaker  of  the assembly; and (c) in the case of a legislative
  employee, to the  appointing  authority  for  such  person  and  to  the
  temporary president of the senate and/or the speaker of the assembly, as
  the  case  may  be, who has jurisdiction over such appointing authority.
  Such notice of delinquency may be sent at any time during the  reporting
  person's  service as a member of the legislature or legislative employee
  or while a candidate for member of the legislature, or within  one  year
  after separation from such service or the termination of such candidacy.
  The  jurisdiction of the commission, when acting pursuant to subdivision
  eleven of this section  with  respect  to  financial  disclosure,  shall
  continue  notwithstanding that the reporting person separates from state
  service or terminates his or  her  candidacy,  provided  the  commission
  notifies  such person of the alleged failure to file or deficient filing
  pursuant to this subdivision.
    10. a. If a reporting person has filed a  statement  which  reveals  a
  possible   violation   of   section  seventy-three,  seventy-three-a  or
  seventy-four of the public officers law, or the  commission  receives  a
  referral from another state oversight body, or the commission receives a
  sworn  complaint  alleging  such  a violation by a reporting person or a
  legislative employee subject to the provisions of such laws, or  if  the
  commission  determines  on  its own initiative to investigate a possible
  violation by a reporting person or a legislative employee subject to the
  provisions of such laws,  the  commission  shall  notify  the  reporting
  person  in  writing,  describe the possible or alleged violation thereof
  and provide the person with a fifteen day period in which  to  submit  a
  written  response  setting  forth information relating to the activities
  cited as a possible or alleged  violation  of  law.  If  the  commission
  thereafter  makes  a determination that further inquiry is justified, it
  shall give  the  reporting  person  an  opportunity  to  be  heard.  The
  commission  shall  also  inform  the  reporting  individual of its rules
  regarding the conduct of adjudicatory proceedings and  appeals  and  the
  due  process  procedural mechanisms available to such individual. If the
  commission determines at any stage of the proceeding, that there  is  no
  violation  or that any potential conflict of interest violation has been
  rectified, it shall so advise the reporting person and the  complainant,
  if any. All of the foregoing proceedings shall be confidential.
    b.  If  the  commission  determines  that there is reasonable cause to
  believe that a violation  has  occurred,  it  shall  send  a  notice  of
  reasonable  cause:  (i) to the reporting person; (ii) to the complainant
  if any; (iii) in the case of a senator, to the  temporary  president  of
  the  senate,  and  if  a  member  of the assembly, to the speaker of the
  assembly; and (iv) in  the  case  of  a  legislative  employee,  to  the
  appointing  authority  for such person and to the temporary president of
  the senate and/or the speaker of the assembly, as the case may  be,  who
  has jurisdiction over such appointing authority.
    c.  The  jurisdiction  of  the commission when acting pursuant to this
  section shall continue notwithstanding that a member of the  legislature

  or  a  legislative employee separates from state service, or a candidate
  for member of the legislature ceases to be a  candidate,  provided  that
  the  commission notifies such individual of the alleged violation of law
  pursuant  to paragraph a of this subdivision within one year from his or
  her separation from state service or  the  termination  of  his  or  her
  candidacy. Nothing in this section shall serve to limit the jurisdiction
  of  the  commission  in  enforcement  of  subdivision  eight  of section
  seventy-three of the public officers law.
    11. An individual subject to the jurisdiction of  the  commission  who
  knowingly  and intentionally violates the provisions of subdivisions two
  through five, seven, eight,  twelve,  fourteen  or  fifteen  of  section
  seventy-three  of  the public officers law or a reporting individual who
  knowingly and wilfully fails to file an annual  statement  of  financial
  disclosure  or who knowingly and wilfully with intent to deceive makes a
  false statement or gives information which such individual knows  to  be
  false  on  such  statement  of  financial  disclosure  filed pursuant to
  section seventy-three-a of the public officers law shall be subject to a
  civil penalty in an amount not to exceed forty thousand dollars and  the
  value  of any gift, compensation or benefit received as a result of such
  violation. Any such individual who knowingly and intentionally  violates
  the  provisions  of  paragraph  b,  c,  d,  or i of subdivision three of
  section seventy-four of the public officers law shall be  subject  to  a
  civil  penalty  in  an amount not to exceed ten thousand dollars and the
  value of any gift, compensation or benefit received as a result of  such
  violation.  Any such individual who knowingly and intentionally violates
  the provisions of paragraph a, e or g of subdivision  three  of  section
  seventy-four  of  the  public  officers  law shall be subject to a civil
  penalty in an amount equal to the value of  any  gift,  compensation  or
  benefit  received  as  a result of such violation. Assessment of a civil
  penalty hereunder shall be  made  by  the  commission  with  respect  to
  persons  subject  to  its  jurisdiction.  In assessing the amount of the
  civil penalties  to  be  imposed,  the  commission  shall  consider  the
  seriousness  of  the violation, the amount of gain to the individual and
  whether the individual previously had any civil  or  criminal  penalties
  imposed  pursuant  to this section, and any other factors the commission
  deems appropriate. For a violation  of  this  section,  other  than  for
  conduct which constitutes a violation of subdivision twelve, fourteen or
  fifteen  of  section seventy-three or section seventy-four of the public
  officers law, the legislative ethics commission may, in lieu of a  civil
  penalty,  refer  a violation to the appropriate prosecutor and upon such
  conviction, but only  after  such  referral,  such  violation  shall  be
  punishable  as  a  class A misdemeanor. A civil penalty for false filing
  may not be imposed hereunder in the  event  a  category  of  "value"  or
  "amount"   reported   hereunder   is   incorrect  unless  such  reported
  information is falsely understated. Notwithstanding any other  provision
  of  law  to  the  contrary,  no  other penalty, civil or criminal may be
  imposed for a failure to file, or for a false filing, of such statement,
  or a violation of section seventy-three  of  the  public  officers  law,
  except  that  the appointing authority may impose disciplinary action as
  otherwise provided by law. The legislative ethics  commission  shall  be
  deemed  to be an agency within the meaning of article three of the state
  administrative procedure act and shall adopt rules governing the conduct
  of adjudicatory proceedings and appeals taken pursuant to  a  proceeding
  commenced  under  article  seventy-eight  of  the civil practice law and
  rules  relating  to  the  assessment  of  the  civil  penalties   herein
  authorized  and  commission denials of requests for certain deletions or
  exemptions  to  be  made  from  a  financial  disclosure  statement   as
  authorized  in  paragraph  i or paragraph j of subdivision seven of this

  section. Such rules, which shall not be subject to the promulgation  and
  hearing  requirements  of  the state administrative procedure act, shall
  provide for due process procedural mechanisms substantially  similar  to
  those  set  forth  in such article three but such mechanisms need not be
  identical in terms or scope. Assessment of a civil penalty or commission
  denial of such a deletion or exemption request  shall  be  final  unless
  modified,  suspended  or  vacated within thirty days of imposition, with
  respect to the assessment of such penalty,  or  unless  such  denial  of
  request  is  reversed  within  such time period, and upon becoming final
  shall be subject to review at the instance  of  the  affected  reporting
  individuals  in  a  proceeding  commenced against the legislative ethics
  commission, pursuant to article seventy-eight of the civil practice  law
  and rules.
    12.  If  the  commission  has  a  reasonable basis to believe that any
  person subject to the jurisdiction of another state oversight  body  may
  have  violated  section  seventy-three  or  seventy-four  of  the public
  officers law, section one hundred seven of the  civil  service  law,  or
  article  one-A  of  this  chapter, it shall refer such violation to such
  oversight body unless the commission determines  that  such  a  referral
  would   compromise   the   prosecution   or   confidentiality   of   its
  investigations and, if so,  shall  make  such  a  referral  as  soon  as
  practicable.   The   referral   by  the  commission  shall  include  any
  information relating thereto  coming  into  the  custody  or  under  the
  control of the commission at any time prior or subsequent to the time of
  the referral.
    13.  A copy of any notice of delinquency or notice of reasonable cause
  sent pursuant to subdivisions nine and ten  of  this  section  shall  be
  included  in  the  reporting  person's  file and be available for public
  inspection and copying.
    14. a. Notwithstanding the provisions of article  six  of  the  public
  officers  law,  the  only  records  of  the  commission  which  shall be
  available for public inspection and copying are:
    (1) the information set forth in  an  annual  statement  of  financial
  disclosure  filed  pursuant  to  section  seventy-three-a  of the public
  officers law except the categories of value or  amount  which  shall  be
  confidential,  and  any  other  item  of information deleted pursuant to
  paragraph i of subdivision seven of this section;
    (2) financial disclosure statements filed pursuant to subdivision  six
  of section seventy-three of the public officers law;
    (3)  notices  of  delinquency  sent  under  subdivision  nine  of this
  section;
    (4) notices of reasonable cause sent under paragraph b of  subdivision
  ten of this section;
    (5) notices of civil assessment imposed under this section which shall
  include  a  description  of  the  nature  of the alleged wrongdoing, the
  procedural history of the complaint,  the  findings  and  determinations
  made by the commission, and any sanction imposed;
    (6)  the  terms  of  any  settlement  or  compromise of a complaint or
  referral which includes a fine, penalty or other remedy;
    (7) generic advisory opinions; and
    (8) all reports required by this section.
    b. Notwithstanding the provisions  of  article  seven  of  the  public
  officers  law,  no meeting or proceeding of the commission shall be open
  to the public, except if expressly provided otherwise by this section or
  the commission.
    15. Within one hundred twenty days  of  the  effective  date  of  this
  subdivision,  the  commission  shall  create  and  thereafter maintain a
  publicly accessible website which shall  set  forth  the  procedure  for

  filing  a  complaint  with  the  commission, and which shall contain the
  documents identified in subdivision fourteen of this section, other than
  financial disclosure statements, and any other  records  or  information
  which the commission determines to be appropriate.
    16.  This  section  shall  not  revoke or rescind any policies, rules,
  regulations or  advisory  opinions  issued  by  the  legislative  ethics
  committee  in effect upon the effective date of this subdivision, to the
  extent that such regulations or opinions are not inconsistent  with  any
  laws  of  the state of New York. The legislative ethics commission shall
  undertake  a  comprehensive  review  of  all   such   policies,   rules,
  regulations  or  advisory opinions which will address the consistency of
  such policies, rules, regulations or advisory opinions with the laws  of
  the  state  of New York. The legislative ethics commission shall, before
  April first, two thousand eight, report to the governor and  legislature
  regarding such review and shall propose any regulatory changes and issue
  any advisory opinions necessitated by such review.
    17.  Separability  clause. If any part or provision of this section or
  the application thereof  to  any  person  is  adjudged  by  a  court  of
  competent jurisdiction to be unconstitutional or otherwise invalid, such
  judgment  shall  not affect or impair any other part or provision or the
  application thereof to any other person, but shall be confined  to  such
  part or provision.