NY Exec L § 94 (2021)
2021 New York Laws EXC - Executive Article 6 - Department of State 94 - Joint Commission on Public Ethics; Functions, Powers and Duties; Review of Financial Disclosure Statements; Advisory Opinions; Investigation and Enforcement.

§ 94. Joint commission on public ethics; functions, powers and duties; review   of   financial   disclosure   statements;   advisory  opinions; investigation and enforcement.   1. There is  established  within  the  department  of  state  a  joint commission  on public ethics which shall consist of fourteen members and shall have and exercise the powers and duties set forth in this  section with  respect to statewide elected officials, members of the legislature and employees of the legislature, and state officers and  employees,  as defined  in  sections  seventy-three  and  seventy-three-a of the public officers law, candidates for statewide elected office and for the senate or assembly, and the political party chairman as that term is defined in section seventy-three-a of the public officers law,  lobbyists  and  the clients  of  lobbyists as such terms are defined in article one-A of the legislative law, and individuals who have formerly held such  positions, were  lobbyists  or  clients  of lobbyists, as such terms are defined in article one-A of the legislative law, or who  have  formerly  been  such candidates.  This  section  shall  not  be  deemed  to  have  revoked or rescinded any regulations or advisory opinions issued by the legislative ethics commission, the commission on public integrity, the state  ethics commission  and  the  temporary  lobbying  commission in effect upon the effective date of chapter fourteen of the laws  of  two  thousand  seven which  amended  this  section  to  the  extent  that such regulations or opinions are not inconsistent with any law of the state of New York, but such regulations and opinions shall apply only  to  matters  over  which such  commissions  had  jurisdiction  at  the  time such regulations and opinions were promulgated or issued. The commission  shall  undertake  a comprehensive  review  of  all such regulations and opinions, which will address the consistency of such  regulations  and  opinions  among  each other  and  with the new statutory language, and of the effectiveness of the  existing  laws,  regulations,  guidance  and   ethics   enforcement structure  to address the ethics of covered public officials and related parties. Such review shall be  conducted  with  the  legislative  ethics commission  and,  to  the  extent  possible, the report's findings shall reflect the full input and deliberations of both commissions after joint consultation. The commission shall, before February first, two  thousand fifteen,  report  to  the governor and legislature regarding such review and shall propose any regulatory or  statutory  changes  and  issue  any advisory opinions necessitated by such review.   2.  The members of the commission shall be appointed as follows: three members shall be appointed by the temporary  president  of  the  senate, three  members  shall  be  appointed by the speaker of the assembly, one member shall be appointed by the minority  leader  of  the  senate,  one member  shall  be  appointed by the minority leader of the assembly, and six members shall be  appointed  by  the  governor  and  the  lieutenant governor. In the event that a vacancy arises with respect to a member of the  commission  first  appointed pursuant to the chapter of the laws of two thousand eleven which amended  this  subdivision  by  a  legislative leader,  the legislative leaders of the same political party in the same house shall appoint a  member  to  fill  such  vacancy  irrespective  of whether  that legislative leader's political party is in the majority or minority. Of the members appointed by the governor  and  the  lieutenant governor,  at  least  three  members shall be and shall have been for at least three years enrolled members of the major political party in which the governor is not enrolled. In the event of a vacancy  in  a  position previously  appointed  by  the  governor  and  lieutenant  governor, the governor and lieutenant governor shall appoint  a  member  of  the  same political  party  as  the  member  that  vacated that position. Prior to making their respective appointments, the governor  and  the  lieutenant  governor   and   the  legislative  leaders  shall  solicit  and  receive recommendations  for  appointees  from  the  attorney  general  and  the comptroller  of  the  state  of New York, which recommendations shall be fully and properly considered but shall not be binding.   No  individual  shall  be  eligible for appointment as a member of the commission who currently or within the last three years:  (i) is or has been registered as a lobbyist in New York state;  (ii) is or has been a member of the New York state  legislature  or  a statewide  elected  official  or  a  commissioner of an executive agency appointed by the governor; or  (iii) is or has  been  a  political  party  chairman,  as  defined  in paragraph  (k)  of  subdivision  one  of  section  seventy-three of this article.   No individual shall be eligible for appointment as  a  member  of  the commission  who currently or within the last year is or has been a state officer or employee  or  legislative  employee  as  defined  in  section seventy-three of the public officers law.   3.  Members  of  the  commission  shall serve for terms of five years; provided, however, that of the members first appointed by  the  governor and  lieutenant  governor, one shall serve for one year, one shall serve for two years, one shall serve for three years, and one shall serve  for four  years,  as designated by the governor; the members first appointed by the temporary president of the senate  and  by  the  speaker  of  the assembly  shall  serve for four years and the members first appointed by the minority leaders of the senate and the assembly shall serve for  two years.   4.  The  governor  shall designate the chairman of the commission from among the members thereof, who shall serve as chairman at  the  pleasure of the governor. The chairman or any eight members of the commission may call a meeting.   5.  Any  vacancy  occurring  on  the commission shall be filled within thirty days of its occurrence in the same manner  as  the  member  whose vacancy  is  being  filled  was  appointed. A person appointed to fill a vacancy occurring other than by expiration of a term of office shall  be appointed for the unexpired term of the member he or she succeeds.   6.  Eight 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 except where the commission acts   pursuant  to  subdivision  thirteen,  subdivision  fourteen-a  or subdivision fourteen-b of this section.   7. Members  of  the  commission  may  be  removed  by  the  appointing authority  solely  for  substantial neglect of duty, gross misconduct in office, violation of the  confidentiality  restrictions  in  subdivision nine-a  of  this section, inability to discharge the powers or duties of office  or  violation  of  this  section,  after  written   notice   and opportunity for a reply.   8.  The  members  of  the  joint  commission  shall receive a per diem allowance in the sum of three hundred  dollars  for  each  day  actually spent  in  the performance of his or her duties under this article, and, in addition thereto, shall be reimbursed  for  all  reasonable  expenses actually  and  necessarily  incurred by him or her in the performance of his or her duties under this article.   9. The commission shall:  (a) Appoint an executive director who shall act in accordance with the policies of the commission. The appointment and removal of the executive director shall be made solely by a vote of a majority of the commission, which majority shall include  at  least  one  member  appointed  by  the governor  from  each  of the two major political parties, and one member  appointed by a legislative leader from each of the two  major  political parties. The commission may delegate authority to the executive director to  act in the name of the commission between meetings of the commission provided  such  delegation  is  in  writing,  the  specific powers to be delegated are enumerated, and the  commission  shall  not  delegate  any decisions  specified  in  this  section  that  require  a  vote  of  the commission. The executive director shall be appointed without regard  to political  affiliation and solely on the basis of fitness to perform the duties assigned by this article, and shall be a  qualified,  independent professional.  The  commission  may  remove  the  executive director for neglect of duty, misconduct in office, violation of the  confidentiality restrictions  in  subdivision  nine-a  of  this section, or inability or failure to discharge the powers  or  duties  of  office,  including  the failure to follow the lawful instructions of the commission;  (b)  Appoint such other staff as are necessary to carry out its duties under this section;  (b-1) Review and approve a staffing plan provided and prepared by  the executive  director  which  shall  contain,  at a minimum, a list of the various units and divisions as well as the number of positions  in  each unit,  titles  and  their  duties,  and salaries, as well as the various qualifications  for  each  position  including,  but  not  limited   to, education and prior experience for each position.  (c)  Adopt,  amend,  and  rescind  rules  and  regulations  to  govern procedures of the commission, which shall include, but  not  be  limited to,  the  procedure  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, other than  members  of  the  legislature,  candidates  for  members  of   the legislature and legislative employees, 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;  (d)  Adopt,  amend,  and  rescind  rules  and  regulations  to  assist appointing authorities in determining which persons  hold  policy-making positions for purposes of section seventy-three-a of the public officers law;  (d-1)  Adopt,  amend  and  rescind  rules and regulations defining the permissible use of and  promoting  the  proper  use  of  public  service announcements;  (e) Make available forms for annual statements of financial disclosure required  to  be filed pursuant to section seventy-three-a of the public officers law;  (f) Review financial disclosure  statements  in  accordance  with  the provisions  of  this  section, provided however, that the commission may delegate all or part of this review function 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;  (g) Receive complaints and referrals alleging  violations  of  section seventy-three,  seventy-three-a  or  seventy-four of the public officers law, article one-A of the legislative law or section one  hundred  seven of the civil service law;  (h)  Permit  any person who is required to file a financial disclosure statement with the joint commission on public ethics to request that the commission 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  by  the  commission  that  the information  which  would otherwise be required to be made available for public inspection and copying will  have  no  material  bearing  on  the  discharge of the reporting person's official duties. If such request for deletion is denied, the commission, in its notification of denial, shall inform  the  person  of  his  or  her  right  to appeal the commission's determination  pursuant  to its rules governing adjudicatory proceedings and appeals adopted pursuant to subdivision fourteen of this section;  (i) Permit any person who is required to file a  financial  disclosure statement  with  the  joint  commission  on  public ethics 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 by the commission 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. If such request for exemption is denied, the commission, in  its notification  of  denial, shall inform the person of his or her right to appeal the commission's determination pursuant to  its  rules  governing adjudicatory  proceedings  and  appeals  adopted pursuant to subdivision fourteen of this section;  (i-1) Permit any  person  required  to  file  a  financial  disclosure statement  to  request  an  exemption from any requirement to report the identity of a client pursuant to question 8(b) in such  statement  based upon  an  exemption set forth in that question. The reporting individual need not seek an exemption to refrain from disclosing  the  identity  of any  client  with  respect  to  any  matter he or she or his or her firm provided legal representation  to  the  client  in  connection  with  an investigation or prosecution by law enforcement authorities, bankruptcy, or  domestic  relations  matters;  in  addition,  clients  or  customers receiving  medical  or  dental   services,   mental   health   services, residential  real  estate  brokering  services,  or  insurance brokering services need not be disclosed.  (j) Advise and assist any  state  agency  in  establishing  rules  and regulations relating to possible conflicts between private interests and official  duties  of  present  or former statewide elected officials and state officers and employees;  (k) Permit any person who has  not  been  determined  by  his  or  her appointing  authority  to  hold  a  policy-making  position  but  who is otherwise required to file a financial disclosure statement  to  request an  exemption  from  such  requirement  in  accordance  with  rules  and regulations governing such exemptions. Such rules and regulations  shall provide  for  exemptions  to  be granted either on the application of an individual or on behalf of persons who  share  the  same  job  title  or employment  classification  which  the commission deems to be comparable for purposes of this section. Such rules and regulations may permit  the granting of an exemption where, in the discretion of the commission, the public  interest  does not require disclosure and the applicant's duties do not involve the negotiation, authorization or approval of:  (i) contracts, leases, franchises,  revocable  consents,  concessions, variances,   special   permits,   or  licenses  as  defined  in  section seventy-three of the public officers law;  (ii) the purchase, sale, rental or lease of real  property,  goods  or services, or a contract therefor;  (iii) the obtaining of grants of money or loans; or  (iv) the adoption or repeal of any rule or regulation having the force and effect of law;  (l)   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,  provided,  however,  that  such  annual report shall not contain any information for which disclosure is not  permitted  pursuant to subdivision nineteen of this section;  (m)  Determine  a  question  common  to a class or defined category of persons  or  items  of  information  required  to  be  disclosed,  where determination  of the question will prevent undue repetition of requests for exemption or deletion or prevent  undue  complication  in  complying with the requirements of such section; and  (n)  Promulgate  guidelines for the commission to conduct a program of random reviews, to be carried out in the following  manner:  (i)  annual statements  of  financial  disclosure  shall be selected for review in a manner pursuant to which the identity of  any  particular  person  whose statement  is  selected is unknown to the commission and its staff prior to  its  selection;  (ii)  such  review  shall  include  a   preliminary examination  of  the  selected  statement  for  internal  consistency, a comparison with other records maintained by  the  commission,  including previously  filed  statements  and  requests  for advisory opinions, and examination of relevant public information; (iii) upon completion of the preliminary examination, the commission shall determine whether  further inquiry is warranted, whereupon it shall notify the reporting individual in  writing  that  the  statement  is under review, advise the reporting individual of the specific areas of inquiry, and provide  the  reporting individual  with  the  opportunity  to  provide any relevant information related to the specific areas of inquiry, and the  opportunity  to  file amendments   to   the  selected  statement  on  forms  provided  by  the commission;  and  (iv)  if  thereafter  sufficient  cause  exists,   the commission  shall take additional actions, as appropriate and consistent with law.   9-a. (a) When an individual becomes a commissioner  or  staff  of  the commission,  that  individual shall be required to sign a non-disclosure statement.  (b) Except  as  otherwise  required  or  provided  by  law,  testimony received or any other information obtained by a commissioner or staff of the  commission  shall  not  be  disclosed by any such individual to any person or entity outside the  commission  during  the  pendency  of  any matter.  Any  confidential communication to any person or entity outside the commission related to the matters before the  commission  may  occur only as authorized by the commission.  (c) The commission shall establish procedures necessary to prevent the unauthorized disclosure of any information received by any member of the commission  or  staff of the commission. Any breaches of confidentiality shall be investigated by the inspector general  and  appropriate  action shall  be  taken.  Any commissioner or person employed by the commission who  intentionally  and  without  authorization  releases   confidential information  received  by  the  commission  shall be guilty of a class A misdemeanor.   9-b. During the period of his or her service as a commissioner of  the commission,  each  commissioner shall refrain from making, or soliciting from other persons, any contributions to candidates for election to  the  offices  of governor, lieutenant governor, member of the assembly or the senate, attorney general or state comptroller.   10.  The  commission shall prepare materials and design and administer an ethics training program for  individuals  subject  to  the  financial disclosure   requirements  of  section  seventy-three-a  of  the  public officers law with respect to the provisions of  sections  seventy-three, seventy-three-a,  and  seventy-four  of  the public officers law and any other law, administrative regulation, or  internal  policy  that  is  of relevance  to the ethical conduct of such individuals in public service, as follows:  (a) The commission shall develop and administer a comprehensive ethics training course and shall designate and  train  instructors  to  conduct such  training.  Such course shall be designed as a two-hour program and shall include practical  application  of  the  material  covered  and  a question-and-answer  participatory segment. Unless the commission grants an extension or waiver for good cause shown, all individuals subject  to the  financial disclosure requirements of section seventy-three-a of the public officers law shall complete such course within two years  of  the effective  date  of the chapter of the laws of two thousand eleven which amended this section, or for  those  individuals  elected  or  appointed after  the  effective  date  of  the chapter of the laws of two thousand eleven which amended this section, within two years of becoming  subject to  the  financial disclosure requirements of section seventy-three-a of the public officers law.  (b) The commission shall  develop  and  administer  an  online  ethics orientation course and shall notify all individuals newly subject to the financial  disclosure  requirements  of  section  seventy-three-a of the public officers law of such course, which shall  be  completed  by  such individuals   within   three   months   of   becoming  subject  to  such requirements, unless the commission grants an extension  or  waiver  for good  cause  shown.  Individuals  who  have  completed the comprehensive ethics training course shall not be  required  to  complete  the  online ethics orientation course.  (c)  The  commission shall develop and administer an ethics seminar or ethics seminars  for  individuals  who  have  previously  completed  the comprehensive ethics training course. Such seminars shall be designed as ninety-minute programs and shall include any changes in law, regulation, or policy or in the interpretation thereof, practical application of the material   covered,   and  a  question-and-answer  segment.  Unless  the commission grants an extension or waiver  for  good  cause  shown,  such individuals  shall  be scheduled to attend a seminar at least once every three years after having completed  the  comprehensive  ethics  training course.  In  lieu  of  attending an ethics seminar, such individuals may complete a subsequent comprehensive ethics training program.  (d) The provisions of this subdivision  shall  be  applicable  to  the legislature  except  to  the  extent  that an ethics training program is otherwise established by the assembly or  senate  for  their  respective members  and  employees  and  such  program meets or exceeds each of the requirements set forth in this section.  (e) On an annual basis, the joint commission in coordination with  the legislative  ethics  commission shall determine the status of compliance with these training requirements by each state agency and by the  senate and  the assembly. Such determination shall include aggregate statistics regarding participation in such training, and shall be reported  to  the governor and the legislature in writing.   11.  The  commission,  or  the  executive  director  and  staff of the commission if responsibility therefor has been delegated, shall  inspect all  financial  disclosure  statements  filed  with  the  commission  to  ascertain whether any person subject to the  reporting  requirements  of 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.   12. If a person required to file a financial disclosure statement with the commission has failed to file a 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 statewide  elected  official, member  of  the legislature, or a legislative employee, to the temporary president of the senate and the speaker of the assembly; and (c) in  the case  of  a  state  officer or employee, to the appointing authority for such person. Such notice of delinquency may be sent at any  time  during the  reporting  person's  service as a statewide elected official, state officer or employee,  member  of  the  assembly  or  the  senate,  or  a legislative employee or a political party chair or while a candidate for statewide  office,  or within one year after termination of such service or candidacy. The jurisdiction of the commission, when  acting  pursuant to  subdivision  fourteen  of  this  section  with  respect to financial disclosure, shall continue notwithstanding  that  the  reporting  person separates  from  state  service,  or  ceases to hold public or political party office, or ceases to  be  a  candidate,  provided  the  commission notifies  such person of the alleged failure to file or deficient filing pursuant to this subdivision.   13. (a) Investigations. If the commission receives a  sworn  complaint alleging  a  violation  of  section  seventy-three,  seventy-three-a, or seventy-four of the public officers law, section one  hundred  seven  of the  civil  service  law  or  article  one-A of the legislative law by a person or entity subject to the jurisdiction of the commission including members of the legislature and legislative employees and candidates  for member  of  the  legislature,  or  if a reporting individual has filed a statement which reveals a possible violation of these provisions, or  if the  commission  determines  on  its  own  initiative  to  investigate a possible violation,  the  commission  shall  notify  the  individual  in writing,  describe  the  possible  or  alleged  violation  of such laws, provide a description of the allegations against  him  or  her  and  the evidence, if any, supporting such allegations, provided however that the joint  commission  shall  redact  any  information  that  might,  in the judgment of the commission, be prejudicial to either the complainant  or the  investigation;  the letter also shall set forth the sections of law alleged to have been violated and provide the person with a fifteen  day period  in  which  to submit a written response, including any evidence, statements, and proposed witnesses, setting forth  information  relating to  the  activities cited as a possible or alleged violation of law. The commission shall, within sixty calendar days  after  a  complaint  or  a referral   is   received   or  an  investigation  is  initiated  on  the commission's  own  initiative,  vote  on  whether  to  commence  a  full investigation  of  the matter under consideration to determine whether a substantial basis exists  to  conclude  that  a  violation  of  law  has occurred. The staff of the joint commission shall provide to the members prior to such vote information regarding the likely scope and content of the  investigation,  and a subpoena plan, to the extent such information  is available. Such investigation shall be conducted if  at  least  eight members  of  the  commission  vote to authorize it. Where the subject of such investigation is a member  of  the  legislature  or  a  legislative employee  or  a candidate for member of the legislature, at least two of the eight or more members who so vote to authorize such an investigation must have been appointed by a legislative leader  or  leaders  from  the major political party in which the subject of the proposed investigation is enrolled if such person is enrolled in a major political party. Where the  subject of such investigation is a state officer or state employee, at least two of the eight or more members who so vote to authorize  such an investigation must have been appointed by the governor and lieutenant governor. Where the subject of such investigation is a statewide elected official  or a direct appointee of such an official, at least two of the eight or more members who so vote to  authorize  such  an  investigation must  have been appointed by the governor and lieutenant governor and be enrolled in the major political  party  in  which  the  subject  of  the proposed  investigation  is  enrolled,  if  such person is enrolled in a major political party.  (b) Substantial basis investigation. Upon the affirmative vote of  not less  than  eight  commission  members  to  commence a substantial basis investigation, written notice of  the  commission's  decision  shall  be provided  to the individual who is the subject of such substantial basis investigation.  Such  written  notice  shall  include  a  copy  of   the commission's rules and procedures and shall also include notification of such  individual's  right to be heard within thirty calendar days of the date of the commission's written notice.  If  the  commission  votes  to commence a substantial basis investigation, the commission shall provide to  the  individual a notice setting forth the alleged violations of law and the factual  basis  for  those  allegations.  The  commission  shall provide  to  the  individual  any  additional  evidence  supporting  the allegations not set forth in the letter sent pursuant to  paragraph  (a) of  this  subdivision  in  sufficient detail to enable the individual to respond, at least seven days before  the  hearing.  Such  hearing  shall afford the individual with a reasonable opportunity to appear in person, and by attorney, give sworn testimony and present evidence. Such hearing shall  occur  before  the  commission votes on whether or not to issue a substantial  basis  report.  The  commission  shall  also   inform   the individual   of   its   rules  regarding  the  conduct  of  adjudicatory proceedings and appeals and the other due process procedural  mechanisms available  to such individual. If the commission determines at any stage that there is no  violation,  that  any  potential  violation  has  been rectified,  or  if  the investigation is closed for any other reason, it shall so advise the individual and the complainant, if  any  in  writing within  fifteen  days of such decision. All of the foregoing proceedings shall be confidential.  (c) The jurisdiction of the commission when acting  pursuant  to  this section shall continue notwithstanding that a statewide elected official or  a  state  officer  or  employee  or  member  of  the  legislature or legislative employee separates from state service, or a political  party chair  ceases  to  hold  such  office,  or  a  candidate  ceases to be a candidate, or a lobbyist or client of a lobbyist ceases to act as  such, provided  that  the commission notifies such individual or entity 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 his or her termination of party service or candidacy, or from his, her  or  its last  report  filed  pursuant  to  article one-A of the legislative law. 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.   14.  An  individual  subject to the jurisdiction of the commission who knowingly and intentionally violates the provisions of subdivisions  two through  five-a,  seven,  eight, twelve or fourteen through seventeen of section seventy-three of the public officers law,  section  one  hundred seven  of the civil service 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  fraudulent  omission  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. An individual who knowingly and intentionally violates the provisions of paragraph a, b, c, d, e, g,  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. An  individual  subject  to  the jurisdiction  of  the  commission  who  knowingly and willfully violates article one-A of the legislative law shall be subject to  civil  penalty as  provided  for in that article. Except with respect to members of the legislature and legislative employees, assessment  of  a  civil  penalty hereunder  shall  be  made  by  the  commission  with respect to persons subject to its jurisdiction. With respect to  a  violation  of  any  law other  than sections seventy-three, seventy-three-a, and seventy-four of the public officers law, where the commission finds sufficient cause  by a  vote  held  in  the  same  manner  as  set  forth in paragraph (b) of subdivision thirteen of this section, it shall refer such matter to  the appropriate  prosecutor  for  further  investigation.  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. Except with respect to members of the legislature and legislative employees, for a  violation  of  this subdivision,  other  than  for  conduct which constitutes a violation of section one hundred seven of the civil service law, subdivisions  twelve or  fourteen  through  seventeen  of  section  seventy-three  or section seventy-four of  the  public  officers  law  or  article  one-A  of  the legislative  law,  the  commission  may,  in lieu of or in addition to a civil penalty, refer a violation to the appropriate prosecutor and  upon such  conviction,  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 subdivision  six  of  section  seventy-three of the public officers law, except that the appointing authority may impose disciplinary  action  as otherwise  provided  by law. The commission may refer violations of this subdivision to the  appointing  authority  for  disciplinary  action  as otherwise  provided  by  law.  The  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 (h) or paragraph (i) of subdivision nine of this section. Such  rules,  which  shall  not  be  subject  to  the  approval requirements  of  the  state administrative procedure act, shall provide for due process procedural mechanisms substantially similar to those set forth in article three of the state  administrative  procedure  act  but such mechanisms need not be identical in terms or scope. Assessment of a civil  penalty  or  commission  denial  of such a 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 commission, pursuant to article seventy-eight of the civil practice law and rules.   14-a. The joint commission on public ethics shall have jurisdiction to investigate, but shall have no jurisdiction  to  impose  penalties  upon members  of  or  candidates for member of the legislature or legislative employees for any violation of the public officers law.  If,  after  its substantial  basis  investigation,  by a vote of at least eight members, two of whom  are  enrolled  members  of  the  investigated  individual's political party if the individual is enrolled in a major political party and  were appointed by a legislative leader of such political party, the joint commission on public ethics  has  found  a  substantial  basis  to conclude  that  a member of the legislature or a legislative employee or candidate for member of the legislature has violated any  provisions  of such  laws,  it shall present a written report to the legislative ethics commission, and deliver a copy of the report to the  individual  who  is the subject of the report. Such written report shall include:  (a)  the  commission's  findings of fact and any evidence addressed in such findings; conclusions of law and citations  to  any  relevant  law, rule,  opinion,  regulation or standard of conduct upon which it relied; and  (b) a determination that a substantial basis exists to conclude that a violation  has  occurred,  and  the   reasons   and   basis   for   such determination.   The  joint commission shall also separately provide to the legislative ethics commission copies  of  additional  documents  or  other  evidence considered including evidence that may contradict the joint commission's findings,  the  names  of and other information regarding any additional witnesses, and any other materials. With respect to a violation  of  any law other than sections seventy-three, seventy-three-a, and seventy-four of  the public officers law, where the joint commission finds sufficient cause by a vote held in the same manner as set forth in paragraph (b) of subdivision thirteen of this section, it shall refer such matter to  the appropriate prosecutor.   14-b. With respect to the investigation of any individual who is not a member  of  the  legislature  or a legislative employee or candidate for member  of  the  legislature,  if  after  its  investigation  the  joint commission has found a substantial basis to conclude that the individual has  violated  the public officers law or the legislative law, the joint commission  shall  send  a  substantial   basis   investigation   report containing   its  findings  of  fact  and  conclusions  of  law  to  the individual. With respect to an individual who  is  a  statewide  elected official  or a direct appointee of such an official, no violation may be found unless the majority voting in support of such a  finding  includes  at  least  two members appointed by the governor and lieutenant governor and enrolled in the individual's major political party, if he or she  is enrolled  in  a  major  political  party.  Where  the  subject  of  such investigation  is  a  state  officer  or  employee  who  is not a direct appointee of a statewide elected official, at least two of the eight  or more  members who vote to issue a substantial basis investigation report must have been appointed by the governor and  lieutenant  governor.  The commission  shall release such report publicly within forty-five days of its issuance.   14-c. With respect to an investigation of a  lobbyist,  if  after  its investigation  the  joint  commission  has  found a substantial basis to conclude that the lobbyist has violated the legislative law,  the  joint commission   shall   issue  a  substantial  basis  investigation  report containing its findings of fact and conclusions of law to  the  lobbyist and  shall  make  public  such  report  within  forty-five  days  of its issuance.   15.  A  copy  of  any  notice  of  delinquency  or  substantial  basis investigation  report  shall  be included in the reporting person's file and be available for public  inspection  and  copying  pursuant  to  the provisions of this section.   16.  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  or  seventy-four of the public officers law, other than members of the legislature, candidates for member of the legislature and employees  of  the  legislature,  the  commission  shall render written advisory opinions on the requirements of said provisions. An  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. Such requests shall be confidential but the commission may publish such opinions provided that the name of  the  requesting  person and other identifying details shall not be included in the publication.   17.  In  addition to any other powers and duties specified by law, the commission shall have the power and duty to:  (a) Promulgate rules concerning restrictions on outside activities and limitations on the receipt of gifts and honoraria by persons subject  to its jurisdiction, provided, however, a violation of such rules in and of itself  shall not be punishable pursuant to subdivision fourteen of this section unless the conduct constituting the  violation  would  otherwise constitute a violation of this section; and  (b) Administer and enforce all the provisions of this section; and  (c) Conduct any investigation necessary to carry out the provisions of this  section.  Pursuant  to  this  power  and  duty, 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;   18. 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 nineteen of this section, other than financial disclosure statements filed by state officers or employees  or legislative  employees,  and  any other records or information which the commission determines to be appropriate.    19. (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  information  deleted pursuant to paragraph (h) of subdivision nine of this section;  (2) notices of delinquency  sent  under  subdivision  twelve  of  this section;  (3)  notices  of  civil  assessments  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;  (4)  the  terms  of  any  settlement  or  compromise of a complaint or referral which includes a fine, penalty or other remedy;  (5) those  required  to  be  held  or  maintained  publicly  available pursuant to article one-A of the legislative law; and  (6)  substantial  basis investigation reports issued by the commission pursuant to subdivision fourteen-a or fourteen-b of this  section.  With respect  to reports concerning members of the legislature or legislative employees or  candidates  for  member  of  the  legislature,  the  joint commission  shall  not  publicly  disclose or otherwise disseminate such reports except in conformance with the requirements of paragraph (b)  of subdivision nine of section eighty of the legislative law.  (b)  Notwithstanding  the  provisions  of  article seven of the public officers law, no meeting or proceeding, including  any  such  proceeding contemplated  under  paragraph  (h)  or  (i) of subdivision nine of this section, of the commission shall  be  open  to  the  public,  except  if expressly  provided  otherwise  by  the  commission or as is required by article one-A of the legislative law.  (c)  Pending  any  application  for  deletion  or  exemption  to   the commission,  all  information  which  is  the  subject  or a part of the application shall remain confidential. Upon an adverse determination  by the  commission,  the  reporting  individual  may request, and upon such request the commission shall provide, that any information which is  the subject  or  part of the application remain confidential for a period of thirty days following notice of such determination. In  the  event  that the  reporting  individual  resigns his office and holds no other office subject to the jurisdiction of the commission, the information shall not be made public and shall be expunged in its entirety.   20. If any part or  provision  of  this  section  or  the  application thereof  to  any  person  or  organization  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 or organization, but shall be confined in its operation to such part or provision.