2023 New York Laws › EXC - Executive › Article 6 - Department of State › 94 - Commission on Ethics and Lobbying in Government.

§  94.  Commission  on  ethics  and  lobbying  in  government.  1. (a)
Commission  established.  There  is  hereby   established   within   the
department  of state, a commission on ethics and lobbying in government,
an agency responsible for administering, enforcing, and interpreting New
York state's ethics and lobbying laws. The  commission  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,  seventy-three-a, and seventy-four of the public officers
law, candidates for statewide elected  office  and  for  the  senate  or
assembly,  and  the  political  party  chair  as  is  defined in section
seventy-three of the public officers law, lobbyists and the  clients  of
lobbyists  as  defined  in  section  one-c  of  the legislative law, and
individuals who have formerly held such  positions,  were  lobbyists  or
clients of lobbyists as defined in section one-c of the legislative law,
or who have formerly been such candidates.
(b) The commission shall provide for the transfer, assumption or other
disposition  of  the  records,  property, and personnel affected by this
section, and it is further provided, should any employees be transferred
from the joint commission on public ethics  ("JCOPE"),  the  predecessor
ethics  agency,  to  the  commission, that such transfer will be without
further examination or qualification and  such  employees  shall  retain
their  respective  civil  service classifications, status and collective
bargaining agreements.
(c) The commission shall  review  any  pending  inquiries  or  matters
affected by this section and shall establish policies to address them.
(d)  The  commission  shall  undertake  a  comprehensive review of all
regulations in effect upon the  effective  date  of  this  section;  and
review   of  all  advisory  opinions  of  predecessor  ethics  agencies,
including JCOPE, the legislative ethics commission,  the  commission  on
public  integrity,  the  state  ethics  commission,  and  the  temporary
lobbying  commission,  which  will  address  the  consistency  of   such
regulations  and  advisory  opinions  among  each other and with the new
statutory language, and of  the  effectiveness  of  the  existing  laws,
regulations, guidance and ethics enforcement structure.
(e)  This section shall not be deemed to have revoked or rescinded any
regulations or advisory opinions in effect on the effective date of this
section that were issued by predecessor ethics and lobbying bodies.  The
commission shall cooperate, consult, and coordinate with the legislative
ethics commission, to the extent possible, to administer and enforce the
laws under its jurisdiction.
(f) The annual budget submitted by the governor shall separately state
the recommended appropriations for the commission on ethics and lobbying
in  government.  Upon  enactment, these separately stated appropriations
for the commission on ethics and lobbying in  government  shall  not  be
decreased  by  interchange with any other appropriation, notwithstanding
section fifty-one of the state finance law.
2. Definitions. For the purposes of this section, the following  terms
shall have the following meanings:
(a)  "commission"  means  the  commission  on  ethics  and lobbying in
government established pursuant to subdivision one of this section.
(b) "selection members" means the governor, speaker of  the  assembly,
temporary  president  of  the  senate,  minority  leader  of the senate,
minority leader of the assembly, comptroller, and the attorney general.
(c) "independent review committee" means the committee of the American
Bar Association accredited New York state law school  deans  or  interim
deans,  or  their  designee who is an associate dean of their respective
law school, tasked with reviewing, approving, or denying the members  of

the  commission  as  nominated  by the selection members and other tasks
pursuant to this section.
(d)  "respondent"  means the individual or individuals or organization
or organizations subject to an inquiry,  investigation,  or  enforcement
action.
(e) "victim" means any individual that has suffered or alleged to have
suffered  direct  harm  from  any  violation  of  law that is subject to
investigation under the jurisdiction of the commission.
3. Nomination and appointment of the commission.  (a)  The  commission
shall  consist  of  eleven  members,  to  be  nominated by the selection
members as follows: three members by the governor; two  members  by  the
temporary  president of the senate; one member by the minority leader of
the senate; two members by the speaker of the assembly;  one  member  by
the minority leader of the assembly; one member by the attorney general;
and one member by the comptroller.
(b)  The  independent review committee shall within thirty days review
the qualifications of the nominated candidates and approve or deny  each
candidate nominated by their respective selection member.
(c)  The  independent  review committee shall publish on its website a
procedure by which it will review the qualifications  of  the  nominated
candidate and approve or deny each candidate.
(d)  Those  candidates  that the independent review committee deems to
meet the qualifications necessary for the  services  required  based  on
their  background and expertise that relate to the candidate's potential
service on the commission shall be appointed as a commission member. The
nominating selection member shall nominate a  new  candidate  for  those
that are denied by the independent review committee.
(e)  No individual shall be eligible for nomination and appointment as
a member of the commission who is currently, or has within the last  two
years:
(i) been registered as a lobbyist in New York state;
(ii)  been  a  member or employee of the New York state legislature, a
statewide elected official, or a commissioner  of  an  executive  agency
appointed by the governor;
(iii)   been   a   political   party  chair,  as  defined  in  section
seventy-three of the public officers law; or
(iv)  been  a  state  officer  or  employee  as  defined  in   section
seventy-three of the public officers law.
(f)  The  independent  review  committee shall convene as needed or as
requested by the selection members. The chair of the independent  review
committee  shall  be  elected from the members of the independent review
committee.
(g) Appropriate staffing and other resources shall be provided for  in
the  commission's  budget  for the independent review committee to carry
out its powers, functions, and duties. The independent review  committee
shall  publish  on the commission's website a procedure by which it will
review  and  select  the  commission  members  and  other  processes  to
effectuate its responsibilities under this section.
(h)  The majority of the independent review committee shall constitute
a quorum to hold a meeting and conduct official business.
(i) During the pendency of the review and approval or  denial  of  the
candidates,  the  independent  review  committee shall be subject to and
maintain confidentiality in all independent review committee  processes,
reviews,  analyses,  approvals, and denials. A member of the independent
review committee may be removed by majority vote of  the  committee  for
substantial    neglect   of   duty,   misconduct,   violation   of   the
confidentiality restrictions set forth in  this  section,  inability  to

discharge  the  powers  or  duties of the committee or violation of this
section, after written notice and opportunity for a reply.
(j)  Upon  the receipt of the selection members' appointments, members
of the independent review committee shall disclose  to  the  independent
review  committee any personal, professional, financial, or other direct
or indirect relationships a member of the independent  review  committee
may  have  with  an  appointee.  If  the  independent  review  committee
determines a  conflict  of  interest  exists,  such  independent  review
committee  member  shall,  in  writing,  notify the other members of the
independent review committee of the possible conflict.  The  member  may
recuse  themself from all subsequent involvement in the consideration of
and action upon the appointment. If, after disclosure, the  member  does
not  recuse  themself from the matter, the independent review committee,
by majority vote finding the disclosed information creates a substantial
conflict of interest, may remove  the  conflicted  member  from  further
consideration of and action upon the appointment.
(k)  Notwithstanding  the  provisions  of  article seven of the public
officers law,  no  meeting  or  proceeding  of  the  independent  review
committee  shall  be  open  to the public, except the applicable records
pertaining to the review and selection process for a member's seat shall
be subject to disclosure pursuant to article six of the public  officers
law  only  after  an  individual  member is appointed to the commission.
Requests for such records shall  be  made  to,  and  processed  by,  the
commission's records access officer.
(l)  The independent review committee shall neither be public officers
nor be subject to the requirements of the public officers law.
(m) Notwithstanding subdivision (l) of this section,  the  independent
review   committee   members   shall   be  entitled  to  representation,
indemnification, and to be held harmless to the same extent as any other
person employed in service of the state and entitled  to  such  coverage
under  sections  seventeen  and  nineteen  of  the  public officers law,
provided however, that any independent review committee  member  removed
due  to  a  violation  of  paragraph  (i)  of this subdivision shall not
qualify for such entitlements.
4. Commission.  (a) The first class of members of the commission shall
serve staggered terms to ensure continuity. For the first class  of  the
commission,  the  governor's first appointee shall serve an initial term
of four years, their second appointee shall serve an initial term of two
years, and their third appointee shall serve  an  initial  term  of  one
year;  the  attorney  general's appointee shall serve an initial term of
four years; the comptroller's appointee shall serve an initial  term  of
four  years;  the  temporary  president  of the senate's first appointee
shall serve an initial term of four years  and  their  second  appointee
shall  serve  a  term  of two years; the minority leader of the senate's
appointee shall serve an initial term of four years; the speaker of  the
assembly's  first  appointee shall serve initial terms of four years and
their second appointee shall serve a term of two years; and the minority
leader of the assembly's appointee shall serve a term of four years. All
subsequent members shall serve a term of four years. No member shall  be
selected  to  the  commission  for more than two full consecutive terms,
except that a member who has held the position by filling a vacancy  can
only   be  selected  to  the  commission  for  an  additional  two  full
consecutive terms.
(b) The commission by majority vote shall  elect  a  chairperson  from
among  its members for a term of two years. A chairperson may be elected
to no more than two terms for such office.
(c) Members of the commission may be removed by majority vote  of  the
commission  for  substantial  neglect  of  duty,  misconduct  in office,

violation of the confidentiality restrictions set forth in this section,
inability to discharge the powers or duties of office  or  violation  of
this section, after written notice and opportunity for a reply.
(d)  Any  vacancy  occurring  on the commission shall be filled within
thirty days of its  occurrence  in  the  same  manner  as  a  member  is
initially selected to complete the vacant term.
(e)  During  the  period  of  a  member's  service  as a member of the
commission, the member shall refrain from  making,  or  soliciting  from
other   persons,  any  contributions  to  candidates,  political  action
committees,  political  parties  or  committees,  newsletter  funds,  or
political  advertisements  for  election  to  the  offices  of governor,
lieutenant governor, member of the  assembly  or  the  senate,  attorney
general or state comptroller.
(f) Members of the commission shall receive a per diem allowance equal
to  the  salary of a justice of the supreme court divided by two hundred
twenty for each  day  or  each  pro-rated  day  actually  spent  in  the
performance  of the member's duties under this section, and, in addition
thereto, shall be reimbursed for all reasonable  expenses  actually  and
necessarily  incurred  by  the member in the performance of the member's
duties under this section. For the purposes of this subdivision,  a  day
shall  consist  of  at  least  seven  and  one-half  hours  spent in the
performance of the member's duties under this section.
(g) The commission shall meet at least quarterly and  additionally  as
called by the chairperson, or upon the call of a majority of the members
of  the  commission. The commission shall be subject to articles six and
seven of the public officers law.
(h) A majority of the members of the  commission  shall  constitute  a
quorum,  and the commission shall have the power to act by majority vote
of the total number of members of the commission without vacancy.
(i) The commission shall hold a public  hearing  at  least  once  each
calendar   year  to  take  testimony  regarding  the  operation  of  the
commission and solicit public  input  regarding  potential  or  proposed
changes in the laws under its jurisdiction.
5.  Powers. (a) The commission has the authority to: (i) adopt, amend,
and  rescind  any  rules   and   regulations   pertaining   to   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; (ii) adopt, amend, and rescind any procedures
of the commission, including but not limited to, procedures  for  advice
and  guidance,  training,  filing,  review, and enforcement of financial
disclosure statements,  investigations,  enforcement,  and  due  process
hearings;  and  (iii)  develop  and promulgate any programs for reviews,
training, and guidance to carry out the commission's mission.
(b) The commission shall  adopt  and  post  on  its  website  guidance
documents  detailing  the  processes and procedures of an investigation,
including the stages  of  an  investigation;  timelines,  including  the
reasons  for  any  potential delays in an investigation; the hearing and
adjudication process; outcomes of an investigation; and,  anything  else
the  commission deems necessary to inform the public as well as relevant
parties  to  an  investigation  including   complainants,   respondents,
victims,  if any, and witnesses as to such processes and procedures. The
guidance documents shall delineate the  processes  and  procedures  that
apply  to  the  relevant  parties,  including, where applicable, the due
process and any other rights or remedies that  the  relevant  party  may
have  under  the  commission's  procedures or any other area of law. The
guidance documents shall  be  provided  to  the  relevant  party  of  an
investigation upon such party's involvement in such investigation.
(c)  The  commission  has  the  authority  to  compel the testimony of
witnesses, and 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.
6. Executive director and commission staff. The commission shall:
(a)  (i)  Appoint an executive director through a majority vote of the
members of the commission, who shall act in accordance with the policies
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 section, and meet the qualifications
necessary for the  services  required  based  on  their  background  and
expertise  that  relate  to  the  candidate's  potential  service to the
commission. No individual shall  be  eligible  to  be  appointed  as  an
executive  director  if  the individual is currently, or within the last
two years has been:
(1) registered as a lobbyist in New York state;
(2) a member or employee of  the  New  York  state  legislature  or  a
statewide  elected  official,  or  a commissioner of an executive agency
appointed by the governor; or
(3) a political party chair, as defined in  section  seventy-three  of
the public officers law.
(ii)  The  appointment  and removal of the executive director shall be
made by a majority vote of the commission.
(iii) The term of office of the executive director shall be four years
from the date of appointment. The salary of the executive director shall
be determined by the members of the commission based on experience.
(iv) The commission may remove the executive director for  neglect  of
duty,   misconduct   in   office,   violation   of  the  confidentiality
restrictions in 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) 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.
(c) The commission, through the executive  director,  shall  establish
units  within  the commission to carry out it duties, including, but not
limited to, (i) an advice and guidance unit, (ii) a training unit, (iii)
a  financial  disclosure  unit,  (iv)  a  lobbying  unit,  and  (v)   an
investigations and enforcement unit.
(d) The commission, through the executive director, shall appoint such
other staff as are necessary to carry out its duties under this section,
including,  but  not  limited  to,  a  deputy  director of an advice and
guidance unit to provide timely confidential advice to  persons  subject
to  the  commission's  jurisdiction,  a  deputy director for training, a
deputy  director  for  investigations  and  enforcement,  and  a  deputy
director for lobbying.
(e)  In  addition  to  meeting  the  qualifications  necessary for the
services  required  for  the   position,   the   deputy   director   for
investigations and enforcement shall have completed substantial training
and  have experience in trauma-informed approaches to investigations and
enforcement. The deputy  director  for  investigations  and  enforcement
shall  complete  a  minimum  of  four  hours  of  training  annually  in
trauma-informed  approaches  to  investigations  and  enforcement.  Such
trainings  may  include,  but  not  be limited to, the impact of trauma,

first impression matters, victim interviews,  investigative  strategies,
and alcohol and drug facilitated cases.
(f)  The  commission, through the executive director, shall 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.
7. Advice and guidance. (a) The commission shall establish a  unit  or
units  solely  for  ethics  and lobbying guidance, and give such prompt,
informal advice to  persons  whose  conduct  it  oversees,  except  with
respect  to  members of the legislature and legislative staff, who shall
seek  advice  from  the  legislative  ethics  commission  in  the  first
instance.
(b)  Persons  receiving  such  informal advice may rely on that advice
absent misrepresentation or omission of material facts to the commission
and  such  communications  with  the  commission  shall  be  treated  as
confidential,  except  as  disclosure  is needed to prevent or rectify a
crime or fraud, or prevent a substantial  threat  to  public  health  or
safety or if required by court order.
(c)  The  commission may also render, on written request or on its own
initiative, advisory opinions, and may allow for public  comment  before
issuance  of  an  advisory  opinion.  Such  an  opinion  rendered by the
commission shall be relied on  by  those  subject  to  the  commission's
jurisdiction and until, or unless, amended, superseded, or revoked. Such
opinion  may  also  be  relied  upon  by  any  such  person,  and may be
introduced and shall be a defense, in any criminal or civil action.
8. Training. The commission shall establish a training unit and  shall
develop  and  administer  an  on-going  program  for  the  education and
training in ethics and lobbying for those subject to the  provisions  of
this section, as follows:
(a)  The  commission  shall develop and administer a comprehensive and
interactive live-in person or live-online  ethics  training  course  and
shall  designate  and  train  instructors to conduct such training. Such
live course shall be designed to 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,
statewide elected officials, members of the legislature and employees of
the legislature, and state officers and employees as defined in sections
seventy-three, seventy-three-a, and seventy-four of the public  officers
law,   and   the   political  party  chair  as  is  defined  in  section
seventy-three of the public officers law, shall complete the live course
within ninety days of appointment or employment and shall  complete  the
live course every two years subsequently.
(b)  The  commission  shall  develop  and  administer an online ethics
refresher course for all individuals listed under  subparagraph  (i)  of
this  paragraph  who  have  previously  completed  the live course. Such
refresher course shall be  designed  to  include  any  changes  in  law,
regulation,  or  policy  or in the interpretation thereof, and practical
application of the material covered. Unless  the  commission  grants  an
extension  or  waiver  for good cause shown, such individuals shall take
such refresher course once every year after having  completed  the  live
course under paragraph (a) of this subdivision.
(c)  The  commission  shall  develop  and  administer  an  online live
question and answer course for agency ethics officers.
(d) The commission shall develop and administer training  courses  for
lobbyists and clients of lobbyists.
(e)  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 and/or senate for their respective
members  and  employees  and  such  program meets or exceeds each of the
requirements set forth in this subdivision.
(f)  On  an  annual  basis,  the  commission, in coordination with the
legislative ethics commission, shall determine the status of  compliance
with  the  training  requirements  under  this subdivision 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 on a quarterly  basis  to  the  governor  and  the
legislature in writing.
9.  Financial  disclosure  statements. (a) The commission may delegate
all or part of review, inquiry and advice in this section to  the  staff
under the supervision of the executive director.
(b) The commission shall make available forms for annual statements of
financial   disclosure   required   to  be  filed  pursuant  to  section
seventy-three-a of the public officers law.
(c) The commission shall review the financial disclosure statements of
the statewide elected officials and members of  the  legislature  within
sixty   days   of  their  filings  to  determine,  among  other  things,
deficiencies and conflicts.
(d) The commission shall  review  on  a  random  basis  the  financial
disclosure statements for filers who are not statewide elected officials
and members of the legislature.
(e)  The commission shall review financial disclosure statements filed
in accordance with the provisions of this section and (i)  inquire  into
any  disclosed  conflict to recommend how best to address such conflict;
and
(ii)  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.
(f) 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. This first notice of deficiency 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 (i) to the reporting person; (ii) in the case of a statewide
elected  official,  to  the  chief  of staff or counsel to the statewide
elected official; (iii) in the case of a member of the legislature or  a
legislative  employee,  to the temporary president of the senate and the
speaker of the assembly; and (iv)  in  the  case  of  a  state  officer,
employee  or  board member, 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.  A  copy  of  any  notice  of  delinquency or 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. The

jurisdiction of the commission, when acting pursuant to this subdivision
with respect to financial  disclosure,  shall  continue  for  two  years
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.
(g)  The  commission  shall  adopt a 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.
(h) The commission may permit any person who is  required  to  file  a
financial  disclosure  statement with the commission 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   their  right  to  appeal  the  commission's
determination in a proceeding commenced against the commission, pursuant
to article seventy-eight of the civil practice law and rules.
(i) The commission may permit any person who is  required  to  file  a
financial  disclosure  statement  with  the  commission  to  request  an
exemption  from  any  requirement  to  report  one  or  more  items   of
information  which pertain to such person's spouse, domestic partner, 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, domestic partner, on their 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 shall 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  their  right  to  appeal  the  commission's
determination,  pursuant  to article seventy-eight of the civil practice
law and rules.
(j) The commission may 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  the  question  under
subparagraph  (b)  of  paragraph  eight  of subdivision three of section
seventy-three-a of the public officers law in such statement based  upon
an  exemption  set forth in such question. The reporting individual need
not seek an exemption to refrain from disclosing  the  identity  of  any
client  with  respect  to  any  matter where they or their 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.  Pending  any  application  for  deletion or exemption to the
commission relating to the filing of a financial  disclosure  statement,
all  information  which  is the subject or 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 that 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 their 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.
(k) The commission shall permit any person who has not been determined
by  the  person's 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 such terms are 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.
10.  Investigation  and  enforcement. (a) The commission shall receive
complaints and referrals alleging violations of  section  seventy-three,
seventy-three-a  or  seventy-four  of  the  public officers law, article
one-A and section five-b of the legislative law, or section one  hundred
seven of the civil service law.
(b)  Upon the receipt of a complaint, referral, or the commencement of
an investigation, members  of  the  commission  shall  disclose  to  the
commission  any  personal,  professional,  financial, or other direct or
indirect relationships a member  of  the  commission  may  have  with  a
complainant  or respondent. If any commissioner determines a conflict of
interest may exist, the commissioner shall, in writing, notify the other
members of  the  commission  setting  forth  the  possible  conflict  of
interest.  The  commissioner  may  recuse  themself  from all subsequent
involvement in the consideration and determination of  the  matter.  If,
after the disclosure, the commissioner does not recuse themself from the
matter,  the  commission,  by a majority vote finding that the disclosed
information creates a substantial conflict of interest, shall remove the
conflicted  commissioner  from  all  subsequent   involvement   in   the
consideration  and  determination of the matter, provided the reason for
the decision is clearly stated in the determination of the commission.
(c) The commission shall 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 testimony, and require the production of any
books or records which it may deem relevant or material. The  commission
may,  by a majority vote and pursuant to regulations adopted pursuant to
the state  administrative  procedure  act,  delegate  to  the  executive
director  the  authority to issue subpoenas, provided that the executive
director first notify the chair of the commission.
(d) The commission staff shall review and investigate, as appropriate,
any information in the nature of a complaint or referral received by the
commission or initiated by the commission, including through its  review
of  media  reports  and  other  information, where there is specific and

credible  evidence  that   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 members of the legislature.
(e) The commission shall notify the  complainant,  if  any,  that  the
commission has received their complaint.
(f)  If,  following a preliminary review of any complaint or referral,
the commission or commission staff decides to elevate  such  preliminary
review  into  an  investigation, written notice shall be provided to the
respondent setting forth, to the extent the commission is able  to,  the
possible   or  alleged  violation  or  violations  of  such  law  and  a
description of the allegations against the respondent and the  evidence,
if  any,  already  gathered  pertaining  to  such  allegations, provided
however that any information that may, in the judgment of the commission
or staff, either be prejudicial to the  complainant  or  compromise  the
investigation  shall be redacted. The respondent shall have fifteen days
from receipt of the written notice to provide any  preliminary  response
or  information  the respondent determines may benefit the commission or
commission staff in its work. After the review  and  investigation,  the
staff  shall  prepare  a  report  to  the  commission  setting forth the
allegation or allegations made, the evidence gathered in the review  and
investigation tending to support and disprove, if any, the allegation or
allegations,  the  relevant law, and a recommendation for the closing of
the  matter  as  unfounded  or  unsubstantiated,  for  settlement,   for
guidance,  or  moving  the matter to a confidential due process hearing.
The commission shall, by majority vote, return the matter to  the  staff
for further investigation or accept or reject the staff recommendation.
(g) In an investigation involving a victim the commission shall ensure
that any interview of such victim is upon such victim's consent and that
the investigator or investigators interviewing such victim have adequate
trauma  informed and victim centered investigative training. If a victim
is requested to testify at  a  hearing,  the  commission  shall  provide
sufficient notice to the victim of such request. Regardless of whether a
victim  is  requested  to or testifies at a hearing, the victim shall be
informed as to how any statements made or information provided  will  be
used in an investigation.
(h)  Upon the conclusion of an investigation, if the commission, after
consideration of a staff report, determines by majority vote that  there
is  credible evidence of a violation of the laws under its jurisdiction,
it shall provide the respondent timely notice for a due process hearing.
The commission shall also inform the respondent of its  rules  regarding
the  conduct  of  adjudicatory proceedings and appeals and the other due
process procedural mechanisms available to the respondent.  If  after  a
hearing  the  complaint  is unsubstantiated or unfounded, the commission
shall provide written notice to the respondent, complainant, if any, and
victim, if  any,  provided  that  such  notice  shall  not  include  any
personally  identifying  information  or information tending to identify
any party involved in an investigation.
(i) The hearing shall be conducted before an  independent  arbitrator.
Such  hearing  shall afford the respondent with a reasonable opportunity
to appear in person, and by  attorney,  give  sworn  testimony,  present
evidence, and cross-examine witnesses.
(j)  The commission may, at any time, develop procedures and rules for
resolution of de minimus  or  minor  violations  that  can  be  resolved
outside   of  the  enforcement  process,  including  the  sending  of  a
confidential guidance or educational letter.
(k) 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  within  two  years  from  the  individual's
separation  from  state  service  or  termination  of  party  service or
candidacy, or from the 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.
(l) If the commission's vote to proceed to a due process hearing after
the  completion of an investigation does not carry, the commission shall
provide written notice of the decision to the  respondent,  complainant,
if  any, and victim, if any, provided that such notice shall not include
any  personally  identifying  information  or  information  tending   to
identify any party involved in an investigation.
(m)  If  the  commission  determines  a  complaint  or  referral lacks
specific and credible evidence of a violation  of  the  laws  under  its
jurisdiction,  or  a  matter  is  closed  due  to  the allegations being
unsubstantiated prior to a vote by the commission, such records and  all
related  material  shall  be exempt from public disclosure under article
six of the public officers law, except the commission's  vote  shall  be
publicly  disclosed  in  accordance  with  articles six and seven of the
public officers law.   The commission shall provide  written  notice  of
such  closure to the respondent, complainant, if any, or victim, if any,
provided that such notice shall not include any  personally  identifying
information  or information tending to identify any party involved in an
investigation.
(n) (i) 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 willfully fails to file an annual statement of financial  disclosure
or  who  knowingly  and  willfully  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.
(ii)  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.
(iii) 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.
(iv) With respect to a potential violation of any criminal  law  where
the commission finds sufficient cause by a majority vote, it shall refer
such  matter  to  the  appropriate law enforcement authority for further
investigation.
(v) 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.
(vi)  A civil penalty for false filing shall not be imposed under this
subdivision in the event a category  of  "value"  or  "amount"  reported
hereunder  is  incorrect  unless  such  reported  information is falsely
understated.
(vii) 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 or section one
hundred seven of the civil service law, except that the  commission  may
recommend  that  the  individual  in  violation  of  such subdivision or
section be disciplined.
(o) 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  or the recommendation of employee
discipline herein authorized. Such rule 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.
(p)  (i)  The  commission  shall have jurisdiction to investigate, but
shall have no  jurisdiction  to  impose  penalties  or  discipline  upon
members  of  or  candidates for member of the legislature or legislative
employees for any violation of the public officers law  or  section  one
hundred  seven  of  the civil service law. If, after investigation and a
due process hearing, the commission has found, by  a  majority  vote,  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 prepare a written report
of its findings and provide a copy of that  report  to  the  legislative
ethics  commission, and to such individual in violation of such law. The
commission shall provide to the legislative ethics commission copies  of
the full investigative file and hearing record.
(ii)  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 and due process
hearing, the commission has found, by a  majority  vote,  a  substantial
basis  to conclude that the individual or entity has violated the public
officers law, section one hundred seven of the civil service law, or the
legislative law, the commission shall determine whether, in addition  to
or  in lieu of any fine authorized by this article, the matter should be
referred to their employer for discipline with  a  warning,  admonition,
censure, suspension or termination or other appropriate discipline. With
regard  to  statewide  elected  officials,  the commission may not order
suspension or termination but may recommend impeachment. The  commission
shall  then  issue  a report containing its determinations including its
findings  of  fact  and  conclusions  of  law  to  the  complainant  and
respondent.  The  commission  shall  publish  such report on its website
within twenty days of its delivery to the complainant and respondent.
11. Confidentiality. (a) When an individual becomes a commissioner  or
staff  of  the  commission,  such individual shall be required to sign a
non-disclosure statement.
(b) Except as otherwise required or provided by law, or when necessary
to inform the complainant or respondent of the alleged violation of law,
if any, of the status of an investigation, 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 of 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 shall occur only
as authorized by the commission. For the  purposes  of  this  paragraph,
"matter"  shall  mean  any  complaint, review, inquiry, or investigation
into alleged violations of this chapter.
(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
may  be  investigated  by  the  New  York  state office of the inspector
general,  attorney  general,  or  other  appropriate   law   enforcement
authority  upon  a  majority  vote  of  the  commission  to  refer,  and
appropriate action shall be taken.
(d) Any commission member or person employed  by  the  commission  who
intentionally    and   without   authorization   releases   confidential
information received or generated by the commission shall be guilty of a
class A misdemeanor.
12. Annual report. (a) The commission  shall  make  an  annual  public
report  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, but is not limited to:
(i)  information  on the number and type of complaints received by the
commission and the status of such complaints;
(ii) information on the number of investigations pending and nature of
such investigations;
(iii) where a matter has been resolved, the date  and  nature  of  the
disposition  and  any  sanction  imposed;  provided,  however, that such
annual report shall not contain any information for which disclosure  is
not permitted pursuant to this section or other laws;
(iv)  information  regarding  financial  disclosure compliance for the
preceding year; and
(v) information regarding  lobbying  law  filing  compliance  for  the
preceding year.
(b)  Such  a  report  shall be filed in the office of the governor and
with the legislature on or  before  the  first  day  of  April  for  the
preceding year.
13.  Website. (a) Within one hundred twenty days of the effective date
of this section, the commission shall update JCOPE's publicly accessible
website which shall set forth the procedure for filing a complaint  with
the  commission,  the filing of financial disclosure statements filed by
state officers or employees or  legislative  employees,  the  filing  of
statements  required  by  article  one-A of the legislative law, and any
other records or information  which  the  commission  determines  to  be
appropriate.
(b) The commission shall post on its website the following documents:
(i)  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 (g) of
subdivision nine of this section  of  statewide  elected  officials  and
members of the legislature;
(ii)  notices  of  delinquency  sent  under  subdivision  nine of this
section;
(iii)  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;
(iv)  the  terms  of  any  settlement  or compromise of a complaint or
referral which includes a fine, penalty or other remedy;
(v) those  required  to  be  held  or  maintained  publicly  available
pursuant to article one-A of the legislative law; and
(vi) reports issued by the commission pursuant to this section.
14.  Additional  powers.  In  addition  to any other powers and duties
specified by law, the commission  shall  have  the  power  and  duty  to
administer and enforce all the provisions of this section.
15.  Severability.  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.