2023 New York Laws › LEG - Legislative › Article 5 - Legislative Ethics › 80 - Legislative Ethics Commission; Functions, Powers and Duties; Review of Financial Disclosure Statements; Advisory Opinions; Imposition of Penalties or Other Enforcement Actions.

§  80.  Legislative  ethics  commission; functions, powers and duties;
review of financial disclosure statements; advisory opinions; imposition
of penalties or other enforcement actions. 1.  There  is  established  a
legislative  ethics commission which shall consist of nine members. Four
members shall be members of the legislature and shall  be  appointed  as
follows:  one  by  the  temporary  president  of  the senate, one by the
speaker of the assembly, one by the minority leader of  the  senate  and
one  by  the minority leader of the assembly. The remaining five members
shall not be present or former members of  the  legislature,  candidates
for  member  of the legislature, employees of the legislature, political
party chairmen as defined in paragraph (k) of subdivision one of section
seventy-three of the public officers law, or lobbyists,  as  defined  in
section one-c of this chapter, or persons who have been employees of the
legislature,  political  party  chairmen  as defined in paragraph (k) of
subdivision one of section seventy-three of the public officers law,  or
lobbyists,  as  defined in section one-c of this chapter in the previous
five years, and shall be appointed as  follows:  one  by  the  temporary
president  of the senate, one by the speaker of the assembly, one by the
minority leader of the  senate,  one  by  the  minority  leader  of  the
assembly,  and  one  jointly by the speaker of the assembly and majority
leader of the senate. The commission shall serve as  described  in  this
section  and  have  and exercise the powers and duties set forth in this
section only with respect to members  of  the  legislature,  legislative
employees  as  defined  in  section seventy-three of the public officers
law, candidates for member of the legislature and individuals  who  have
formerly held such positions or who have formerly been such candidates.
2.  Members  of the legislature who serve on the commission shall each
have a two year term concurrent with their legislative terms of  office.
The members of the commission who are not members of the legislature and
who  are  first  appointed  by  the  temporary  president of the senate,
speaker of the assembly, minority leader of  the  senate,  and  minority
leader  of the assembly shall serve one, two, three and four year terms,
respectively. The member of the commission first  appointed  jointly  by
the  temporary president of the senate and speaker of the assembly shall
serve a four year term. Each member of  the  commission  who  is  not  a
member  of  the  legislature shall be appointed thereafter for a term of
four years.
3. The temporary president of  the  senate  and  the  speaker  of  the
assembly  shall  each  designate  one  member  of  the  commission  as a
co-chairperson thereof. The commission shall meet  at  least  bi-monthly
and at such additional times as may be called for by the co-chairpersons
jointly or any five members of the commission.
4.  Any  vacancy  occurring  on  the commission shall be filled within
thirty days by the appointing authority.
5. Five members of the commission shall constitute a quorum,  and  the
commission  shall have power to act by majority vote of the total number
of members of the commission without vacancy.
6.  The  members  of  the  commission  who  are  not  members  of  the
legislature  shall  be  reimbursed for reasonable expenses and receive a
per diem allowance in the sum of three  hundred  dollars  for  each  day
spent in the performance of their official duties.
7. The commission shall:
a.  Appoint an executive director who shall act in accordance with the
policies of the commission, provided that the commission may remove  the
executive  director  for  neglect  of  duty,  misconduct  in  office, or
inability or failure to discharge the powers or duties of office;
b. Appoint such other staff as are necessary to assist it to carry out
its duties under this section;
c.  Adopt,  amend,  and  rescind  policies,  rules   and   regulations
consistent  with  this  section  to  govern procedures of the commission
which shall not be subject to the promulgation and hearing  requirements
of the state administrative procedure act;
d. Administer the provisions of this section;
e.  Specify the procedures whereby a person who is required to file an
annual financial disclosure statement with the commission may request an
additional period of time within which to file such  statement,  due  to
justifiable  cause  or  undue  hardship; such rules or regulations shall
provide for a date beyond which in all cases  of  justifiable  cause  or
undue hardship no further extension of time will be granted;
f.   Promulgate   guidelines   to  assist  appointing  authorities  in
determining which persons hold policy-making positions for  purposes  of
section  seventy-three-a  of  the public officers law and may promulgate
guidelines to assist firms, associations and corporations in  separating
affected  persons  from  net revenues for purposes of subdivision ten of
section  seventy-three  of  the  public  officers  law,  and  promulgate
guidelines  to  assist any firm, association or corporation in which any
present or former statewide elected official, state officer or employee,
member of the legislature or legislative employee,  or  political  party
chair is a member, associate, retired member, of counsel or shareholder,
in   complying  with  the  provisions  of  subdivision  ten  of  section
seventy-three of the public officers law with respect to the  separation
of  such  present or former statewide elected official, state officer or
employee,  member  of  the  legislature  or  legislative  employee,   or
political  party chair from the net revenues of the firm, association or
corporation. Such firm, association or corporation shall not be required
to adopt  the  procedures  contained  in  the  guidelines  to  establish
compliance  with  subdivision ten of section seventy-three of the public
officers law, but if such firm, association or  corporation  does  adopt
such  procedures,  it  shall  be  deemed  to  be in compliance with such
subdivision ten;
g. Make available forms for financial disclosure  statements  required
to  be  filed  pursuant  to subdivision six of section seventy-three and
section seventy-three-a of the public officers law as  provided  by  the
commission on ethics and lobbying in government;
h.  Review  financial  disclosure  statements  in  accordance with the
provisions of this section, provided however, that  the  commission  may
delegate  all  or  part  of  the  review  function relating to financial
disclosure  statements  filed  by  legislative  employees  pursuant   to
sections seventy-three and seventy-three-a of the public officers law to
the  executive  director  who  shall be responsible for completing staff
review of such statements in a manner consistent with the terms  of  the
commission's delegation;
i.  Upon  written  request  from  any  person  who  is  subject to the
jurisdiction  of  the  commission  and  the  requirements  of   sections
seventy-three,  seventy-three-a  and seventy-four of the public officers
law, and section five-b of this chapter render formal advisory  opinions
on  the  requirements  of  said  provisions.  A  formal  written opinion
rendered by the commission, until and unless amended or  revoked,  shall
be  binding  on  the  legislative  ethics  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. The  commission  on  ethics  and  lobbying  in
government  shall not investigate an individual for potential violations
of law based upon conduct approved and covered in its entirety  by  such

an  opinion,  except  that such opinion shall not prevent or preclude an
investigation  of  and  report  to  the  legislative  ethics  commission
concerning  the  conduct of the person who obtained it by the commission
on   ethics  and  lobbying  in  government  for  violations  of  section
seventy-three, seventy-three-a or seventy-four of  the  public  officers
law  and  section  5-b  of  this chapter to determine whether the person
accurately and fully represented to the  legislative  ethics  commission
the  facts  relevant  to  the  formal  advisory  opinion and whether the
person's  conduct  conformed  to  those  factual  representations.   The
commission  on ethics and lobbying in government shall be authorized and
shall have jurisdiction to investigate potential violations of  the  law
arising  from  conduct outside of the scope of the terms of the advisory
opinion; and
j. Issue and publish  generic  advisory  opinions  covering  questions
frequently  posed  to  the commission, or questions common to a class or
defined category  of  persons,  or  that  will  tend  to  prevent  undue
repetition  of requests or undue complication, and which are intended to
provide general guidance and  information  to  persons  subject  to  the
commission's jurisdiction;
k.   Develop   educational  materials  and  training  with  regard  to
legislative ethics  for  members  of  the  legislature  and  legislative
employees  including an online ethics orientation course for newly-hired
employees and, as requested by the senate or the assembly, materials and
training in relation to a comprehensive ethics training program; and
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  report  received  from  the  commission  on  ethics and lobbying in
government which alleged a possible violation within  its  jurisdiction,
including  the current status of each complaint, and (ii) where a matter
has been resolved, the date  and  nature  of  the  disposition  and  any
sanction  imposed,  subject  to the confidentiality requirements of this
section.  Such annual report shall not contain any information for which
disclosure is not permitted  pursuant  to  subdivision  twelve  of  this
section.
8.  The jurisdiction of the commission to impose penalties when acting
pursuant to this section shall continue notwithstanding that a member of
the legislature or a legislative employee separates from state  service,
or  a  candidate for member of the legislature ceases to be a candidate,
provided that such individual has been notified of the alleged violation
of law within one year from his or her separation from state service  or
the termination of his or her candidacy.
9.  (a)  An  individual  subject to the jurisdiction of the commission
with  respect  to  the  imposition  of  penalties  who   knowingly   and
intentionally  violates  the  provisions  of  subdivisions  two  through
five-a,  seven,  eight,  twelve,  fourteen   or   fifteen   of   section
seventy-three  of  the  public  officers  law  or section five-b of this
chapter or a reporting individual who knowingly and  wilfully  fails  to
file  an  annual  statement of financial disclosure or who knowingly and
wilfully with intent  to  deceive  makes  a  false  statement  or  gives
information which such individual knows to be false on such statement of
financial  disclosure  filed  pursuant to section seventy-three-a of the
public officers law shall be subject to a civil penalty in an amount not
to exceed forty thousand dollars and the value of any gift, compensation
or benefit received as a result of such violation. Any  such  individual

who  knowingly and intentionally violates the provisions of paragraph 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. Assessment of a civil
penalty hereunder shall be  made  by  the  commission  with  respect  to
persons  subject  to  its  jurisdiction.  In assessing the amount of the
civil penalties  to  be  imposed,  the  commission  shall  consider  the
seriousness  of  the violation, the amount of gain to the individual and
whether the individual previously had any civil  or  criminal  penalties
imposed  pursuant  to this section, and any other factors the commission
deems appropriate. For a violation  of  this  section,  other  than  for
conduct which constitutes a violation of subdivision twelve, fourteen or
fifteen  of  section seventy-three or section seventy-four of the public
officers law, the legislative ethics commission may, in lieu  of  or  in
addition  to  a  civil  penalty,  refer  a  violation to the appropriate
prosecutor and upon such conviction, but only after such referral,  such
violation  shall  be  punishable  as  a  class  A misdemeanor. Where the
commission finds sufficient cause, it shall refer  such  matter  to  the
appropriate  prosecutor.  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 legislative ethics
commission shall be deemed to be an agency within the meaning of article
three  of  the  state administrative procedure act and shall adopt rules
governing the conduct of  adjudicatory  proceedings  and  appeals  taken
pursuant  to  a  proceeding commenced under article seventy-eight of the
civil practice law and rules relating to the  assessment  of  the  civil
penalties  herein  authorized. Such rules, which shall not be subject to
the promulgation and hearing requirements of  the  state  administrative
procedure  act,  shall  provide  for  due  process procedural mechanisms
substantially similar to those set forth in such article three but  such
mechanisms  need  not  be  identical  in terms or scope. Assessment of a
civil penalty shall be  final  unless  modified,  suspended  or  vacated
within thirty days of imposition, with respect to the assessment of such
penalty,  or  unless such denial of request is reversed within such time
period, and upon becoming final  shall  be  subject  to  review  at  the
instance of the affected reporting individuals in a proceeding commenced
against   the   legislative   ethics  commission,  pursuant  to  article
seventy-eight of the civil practice law and rules.
(b) Not later  than  twenty  calendar  days  after  receipt  from  the
commission on ethics and lobbying in government of a written substantial
basis  investigation  report  and  any supporting documentation or other
materials regarding a matter before the commission pursuant  to  section
ninety-four  of the executive law, unless requested by a law enforcement
agency to suspend the commission's action because of an ongoing criminal
investigation, the legislative ethics commission shall make public  such
report  in  its  entirety;  provided,  however,  that the commission may
withhold such information for not more than one additional period of the
same duration or refer the matter back to the commission on  ethics  and
lobbying  in government once for additional investigation, in which case
the legislative ethics commission shall, upon the  termination  of  such
additional  period  or upon receipt of a new report by the commission on

ethics and lobbying in government after such  additional  investigation,
make  public  the  written  report  and  publish  it on the commission's
website. If the legislative ethics commission fails to make  public  the
written  report  received  from the commission on ethics and lobbying in
government in accordance with this paragraph, the commission  on  ethics
and  lobbying  in government shall release such report publicly promptly
and in any event no later than ten days  after  the  legislative  ethics
commission  is  required  to release such report. The legislative ethics
commission shall not refer the matter back to the commission  on  ethics
and  lobbying in government for additional investigation more than once.
If the commission refers the matter back to the commission on ethics and
lobbying in government for additional fact-finding,  the  commission  on
ethics  and  lobbying  in  government's  original  report  shall  remain
confidential.
10. Upon receipt of a written report from the commission on ethics and
lobbying in government pursuant to  subdivision  fourteen-a  of  section
seventy-three  of  the  public  officers  law,  the  legislative  ethics
commission shall commence its review of the  matter  addressed  in  such
report.  No  later  than  ninety  days after receipt of such report, the
legislative ethics commission shall dispose of the matter by making  one
or more of the following determinations:
a.   whether  the  legislative  ethics  commission  concurs  with  the
commission on ethics and lobbying in government's conclusions of law and
the reasons therefor;
b.  whether  and  which  penalties  have  been  assessed  pursuant  to
applicable law or rule and the reasons therefor; and
c. whether further actions have been taken by the commission to punish
or deter the misconduct at issue and the reasons therefor.
The   commission's  disposition  shall  be  reported  in  writing  and
published on its website no later than ten days after  such  disposition
unless requested by a law enforcement agency to suspend the commission's
action because of an ongoing criminal investigation.
11.  If  the  commission  has  a  reasonable basis to believe that any
person subject to the jurisdiction of another state oversight  body  may
have  violated  section  seventy-three  or  seventy-four  of  the public
officers law, section one hundred seven of the  civil  service  law,  or
article  one-A  of  this  chapter, it shall refer such violation to such
oversight body unless the commission determines  that  such  a  referral
would  compromise  the prosecution or confidentiality of its proceedings
and, if so, shall make such a  referral  as  soon  as  practicable.  The
referral  by  the  commission  shall  include  any  information relating
thereto coming into the custody or under the control of  the  commission
at any time prior or subsequent to the time of the referral.
12.  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  terms  of  any  settlement  or  compromise of a complaint or
referral or report which  includes  a  fine,  penalty  or  other  remedy
reached  after  the commission has received a report from the commission
on ethics and lobbying in government pursuant to section ninety-four  of
the executive law;
(2) generic advisory opinions;
(3) all reports required by this section; and
(4) all reports received from the commission on ethics and lobbying in
government  pursuant  to section ninety-four of the executive law and in
conformance with paragraph (b) of subdivision nine of this section.
b. Notwithstanding the provisions  of  article  seven  of  the  public
officers  law,  no meeting or proceeding of the commission shall be open

to the public, except if expressly provided otherwise by this section or
the commission.
13.  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  on  ethics  and  lobbying  in
government,  and  which  shall  contain any other records or information
which the commission determines to be appropriate.
14. This section shall not revoke  or  rescind  any  policies,  rules,
regulations  or  advisory  opinions  issued  by  the  legislative ethics
committee in effect upon the effective date of this subdivision, to  the
extent  that  such regulations or opinions are not inconsistent with any
laws of the state of New York. The legislative ethics  commission  shall
undertake   a   comprehensive   review  of  all  such  policies,  rules,
regulations or advisory opinions which will address the  consistency  of
such  policies, rules, regulations or advisory opinions with the laws of
the state of New York. The legislative ethics commission  shall,  before
April  first, two thousand eight, report to the governor and legislature
regarding such review and shall propose any regulatory changes and issue
any advisory opinions necessitated by such review.
15. Separability clause. If any part or provision of this  section  or
the  application  thereof  to  any  person  is  adjudged  by  a court of
competent jurisdiction to be unconstitutional or otherwise invalid, such
judgment shall not affect or impair any other part or provision  or  the
application  thereof  to any other person, but shall be confined to such
part or provision.