Bill Text: NY A02496 | 2023-2024 | General Assembly | Introduced
Bill Title: Establishes the department of oversight and investigation, providing for its powers, duties and functions (Part A); relates to repealing provisions relating to the commission on ethics and lobbying in government; relates to repealing provisions relating to the office of the state inspector general (Part B); provides for the transfer of the functions, powers and duties of the commission on ethics and lobbying in government, the office of the state inspector general and the former temporary state commission of investigation to the department of oversight and investigation (Part C); relates to the commission on ethics and lobbying; relates to membership on the franchise oversight board; relates to the state inspector general; relates to the former temporary state commission of investigation; relates to the commission on ethics and lobbying in government and the legislative ethics commission; relates to the office of the state inspector general; creates a temporary state commission of investigation (Part D).
Spectrum: Partisan Bill (Republican 1-0)
Status: (Introduced - Dead) 2024-05-07 - held for consideration in governmental operations [A02496 Detail]
Download: New_York-2023-A02496-Introduced.html
STATE OF NEW YORK ________________________________________________________________________ 2496 2023-2024 Regular Sessions IN ASSEMBLY January 26, 2023 ___________ Introduced by M. of A. J. M. GIGLIO -- read once and referred to the Committee on Governmental Operations AN ACT to amend the public officers law, in relation to establishing the department of oversight and investigation, providing for its powers, duties and functions (Part A); to repeal section 94 of the executive law relating to the commission on ethics and lobbying in government; and to repeal article 4-A of the executive law relating to the office of the state inspector general (Part B); in relation to providing for the transfer of the functions, powers and duties of the commission on ethics and lobbying in government, the office of the state inspector general and the former temporary state commission of investigation to the department of oversight and investigation (Part C); and to amend the civil service law and the legislative law, in relation to the commission on ethics and lobbying in government; to amend the racing, pari-mutuel wagering and breeding law, in relation to membership on the franchise oversight board; to amend the executive law and the public authorities law, in relation to the state inspector general; to amend the criminal procedure law, the executive law and the public officers law, in relation to the former temporary state commission of investigation; to amend the public officers law, in relation to the commission on ethics and lobbying in government and the legislative ethics commission; to repeal subdivision 68 of section 2.10 of the criminal procedure law relating to the office of the state inspector general; and to repeal chapter 989 of the laws of 1958 creating a temporary state commission of investigation, relating thereto (Part D) The People of the State of New York, represented in Senate and Assem- bly, do enact as follows: 1 Section 1. Short title. This act shall be known and may be cited as 2 the "ethics reform act of 2023". 3 § 2. This act enacts into law major components of legislation which 4 are necessary to establish meaningful ethics reform and oversight within EXPLANATION--Matter in italics (underscored) is new; matter in brackets [] is old law to be omitted. LBD05623-01-3A. 2496 2 1 the state of New York. Each component is wholly contained within a Part 2 identified as Parts A through D. The effective date for each particular 3 provision contained within such Part is set forth in the last section of 4 such Part. Any provision in any section contained within a Part, includ- 5 ing the effective date of the Part, which makes reference to a section 6 "of this act", when used in connection with that particular component, 7 shall be deemed to mean and refer to the corresponding section of the 8 Part in which it is found. Section four of this act sets forth the 9 general effective date of this act. 10 PART A 11 Section 1. The public officers law is amended by adding a new article 12 7-A to read as follows: 13 ARTICLE 7-A 14 DEPARTMENT OF OVERSIGHT AND INVESTIGATION 15 Section 113. Definitions. 16 113-a. Establishment of department of oversight and investi- 17 gation. 18 113-b. Board of public integrity; establishment, organization, 19 and powers. 20 113-c. Commissioner; appointment, duties, and powers. 21 113-d. Responsibilities of covered agencies, officers, and 22 employees. 23 113-e. Financial disclosure. 24 113-f. Investigations; financial disclosure and ethical 25 violations. 26 113-g. Investigation; other. 27 113-h. Violations. 28 113-i. Adjudicatory process. 29 § 113. Definitions. As used in this article, the following terms shall 30 have the following meaning: 31 1. "department" means the department of oversight and investigation as 32 established by section one hundred thirteen-a of this article. 33 2. "commissioner" means the commissioner of the department of over- 34 sight and investigation. 35 3. "covered agency" shall include all executive branch agencies, 36 departments, divisions, officers, boards and commissions, public author- 37 ities, and public benefit corporations, the heads of which are appointed 38 by the governor. 39 4. "board" means the board of public integrity established by section 40 one hundred thirteen-b of this article. 41 § 113-a. Establishment of department of oversight and investigation. 42 1. There is established within New York state a department of oversight 43 and investigation to be headed by a commissioner appointed pursuant to 44 this article. The department shall have and exercise the powers and 45 duties set forth in this article with respect to all covered agencies, 46 statewide elected officials, members of the legislature and employees of 47 the legislature, and state officers and employees, as defined in 48 sections seventy-three and seventy-three-a of this chapter, candidates 49 for statewide elected office and for the senate or assembly, and the 50 political party chairman as that term is defined in section seventy- 51 three-a of this chapter, lobbyists and the clients of lobbyists as such 52 terms are defined in article one-A of the legislative law, and individ- 53 uals who have formerly held such positions, were lobbyists or clients ofA. 2496 3 1 lobbyists, as such terms are defined in article one-A of the legislative 2 law, or who have formerly been such candidates. 3 2. The establishment of the department of oversight and investigation 4 by this article, nor any provisions contained herein, shall be deemed to 5 have revoked or rescinded any regulations or advisory opinions issued by 6 the legislative ethics commission, the commission on ethics and lobbying 7 in government, the commission on public integrity, or the state ethics 8 commission and the temporary lobbying commission in effect upon the 9 effective date of this article. 10 3. The department shall undertake a comprehensive review of all regu- 11 lations and opinions, which will address the consistency of such regu- 12 lations and opinions among each other, and of the effectiveness of 13 existing laws, regulations, guidance and ethics enforcement structure to 14 address the ethics of covered public officials and related parties. Such 15 review shall be conducted with the legislative ethics commission. The 16 department shall, before December thirty-first, two thousand twenty- 17 four, report to the governor and the legislature regarding such review 18 and shall propose any regulatory or statutory changes and issue any 19 advisory opinions necessitated by such review. 20 § 113-b. Board of public integrity; establishment, organization, and 21 powers. 1. a. There shall be created within the department a board, to 22 be known as the board of public integrity, consisting of twelve members 23 appointed as follows: two members appointed by the speaker of the assem- 24 bly; two members appointed by the temporary president of the senate; two 25 members appointed by the minority leader of the assembly; two members 26 appointed by the minority leader of the senate; and four members 27 appointed by the governor, provided, however, that the appointments by 28 the governor shall be made upon the recommendation of the legislative 29 leaders. The speaker of the assembly, the temporary president of the 30 senate, the minority leader of the assembly, and the minority leader of 31 the senate shall each submit a list of no less than three names to the 32 governor for consideration. The governor shall select one name from each 33 of the legislative leader's lists for appointment to the board. 34 b. Each member of the board shall serve a term of four years, commenc- 35 ing on the first of January of the calendar year in which the vacancy on 36 such board occurs; provided, however, that the members initially 37 appointed by the senate leaders, and by the governor upon the recommen- 38 dation of the senate leaders, shall serve only two years. All subsequent 39 appointments shall be for a full four-year term. 40 c. Any vacancy occurring on the board shall be filled within thirty 41 days of its occurrence in the same manner as the member whose vacancy is 42 being filled was appointed. A person appointed to fill a vacancy occur- 43 ring other than by expiration of a term of office shall be appointed for 44 the unexpired term of the member he or she succeeds. 45 d. There shall be no ex-officio members of the board, and no member 46 shall delegate his or her duties to another individual. 47 e. No person shall be eligible to serve as a member of the board if at 48 the time of appointment, or at any time during a term, he or she serves 49 in any other elected position or is an employee of the state of New 50 York, a municipal corporation, a public authority, or public benefit 51 corporation. Additionally, no member of the board, or his or her spouse, 52 shall, during the period of his or her service on the board, make or 53 solicit from another person any contributions to candidates for election 54 to the offices of governor, lieutenant governor, member of the assembly 55 or the senate, attorney general, or state comptroller, nor may he or she 56 make or solicit any contributions to a political party or committee.A. 2496 4 1 f. Members of the board shall be considered public officers and shall 2 be required to take all necessary oaths and file any disclosures as 3 required by law, which shall be made available to the public on the 4 department's website. 5 g. The board shall, annually, elect from its appointed members a chair 6 and vice chair by a majority vote of the total number of members of the 7 board. The chair shall preside over all board meetings and shall have 8 the power to schedule meetings of the board as he or she deems necessary 9 for the proper execution of its duties. The vice-chair, in the absence 10 or incapacity of the chair, shall exercise all powers of the chair. 11 h. Seven members shall constitute a quorum of the board, and the board 12 shall have the power to act by majority vote of the total number of the 13 members of the board without vacancies except where otherwise specified 14 under this article. 15 i. Members of the board may be removed by the appointing authority for 16 substantial neglect of duty, gross misconduct in office, inability to 17 discharge the powers or duties of the office, or violations of this 18 article, after written notice and an opportunity for a reply has been 19 provided. 20 j. Members of the board shall receive a per diem allowance in the sum 21 of three hundred dollars for each day spent in the performance of his or 22 her duties, and, in addition thereto, shall be reimbursed for all 23 reasonable expenses incurred in the performance of his or her duties. 24 2. The board shall have the following duties and responsibilities: 25 a. elect a commissioner for the department; 26 b. review and examine annually the policies and procedures of covered 27 agencies with regard to the prevention and detection of corruption, 28 fraud, criminal activity, and conflicts of interest or abuse; 29 c. create, in consultation with the commissioner, model training and 30 programming that may be used by covered agencies to inform and educate 31 employees and officers of such agencies of the code of ethics and other 32 relevant policies and practices meant to prevent fraud, criminality or 33 any other misconduct; 34 d. monitor the implementation by covered agencies of any policies or 35 practices put in place to combat corruption, fraud, criminal activity, 36 conflicts of interest or abuse; 37 e. in consultation with the commissioner, promulgate rules and regu- 38 lations necessary to effectuate section one hundred seven of the civil 39 service law, sections seventy-three, seventy-three-a, and seventy-four 40 of this chapter, article one-A of the legislative law, and any other 41 provision of law relating to corruption within the government. 42 f. in consultation with the commissioner, issue official advisory 43 opinions necessary to clarify interpretations of laws, rules, and regu- 44 lations; provided, however, that informal opinions may be provided by 45 appointed staff of the department upon request by a covered agency, 46 employee, state officers, or other subject individual. 47 g. promulgate rules and regulations necessary to govern investigations 48 of complaints filed with the commissioner, including rules and regu- 49 lations necessary to ensure due process for the subject of a complaint; 50 and 51 h. publish an annual report, no later than December thirty-first of 52 each year, to the governor and the legislature on annual activities of 53 the board and the department, and include therein all generally applica- 54 ble advisory opinions issued during the year and recommendations for 55 statutory changes necessary to further provide for integrity in govern- 56 ment. Such report shall be made available on the department's publicA. 2496 5 1 website. All information deemed confidential by statute or other rule or 2 regulation shall be redacted or withheld from the report. 3 § 113-c. Commissioner; appointment, duties, and powers. 1. a. The 4 commissioner shall be chosen by a majority vote of the board of public 5 integrity. Notwithstanding any law to the contrary, the commission need 6 not be a resident of the state of New York at the time of appointment, 7 but shall be required to reside within the state at all times he or she 8 serves and is exercising the functions of the office of commissioner. 9 The commissioner shall also be prohibited from holding any other elected 10 position within New York state, or any political subdivision thereof. 11 Moreover, the commissioner, and his or her spouse, shall, during his or 12 her term of service, not make or solicit from any other person any 13 contributions to candidates for election to the offices of governor, 14 lieutenant governor, member of the assembly or the senate, attorney 15 general, or state comptroller, nor may he or she make or solicit any 16 contributions to a political party or committee. 17 b. The commissioner shall be appointed to serve a term of six years 18 and shall serve the entirety of such term unless a vacancy arises pursu- 19 ant to section thirty of this chapter, or the board of public integrity, 20 voting unanimously, approves a motion to remove the commissioner from 21 office. In the event the board of public integrity votes unanimously to 22 remove an individual from office, the board of public integrity shall 23 publish a statement, signed by all members of the board, articulating 24 the reasoning for such action. 25 c. The commissioner shall serve in his or her capacity beyond the 26 six-year term in office only upon re-appointment by the board of public 27 integrity or, if necessary, as a holdover until such time as such board 28 appoints a replacement. 29 2. The commissioner shall have the following duties and responsibil- 30 ities: 31 a. appoint any necessary deputies, assistants, or staff as required to 32 efficiently carry out the duties and purpose of the department; 33 b. assist covered agencies and other subject individuals with the 34 implementation of any ethics training programs established by the 35 department; provided, however that any ethics training for the legisla- 36 ture and legislative employees shall be overseen by the legislative 37 ethics commission; 38 c. receive and investigate complaints from any source, or upon his or 39 her own initiative, concerning allegations of corruption, fraud, crimi- 40 nal activity, conflicts of interest or abuse in any covered agency, by a 41 state officer, legislator, legislative employee, candidate for state 42 office, candidate for state assembly or senate, lobbyist, client of a 43 lobbyist, or political party chair; 44 d. when applicable, inform the heads of covered agencies of any 45 complaints and the progress of investigations related to such 46 complaints; unless circumstances require confidentiality; provided, 47 however, information regarding complaints and status of investigations 48 related to members of the legislature or employees of the legislature 49 shall be provided to the legislative ethics commission; 50 e. make determinations with respect to any allegations whether disci- 51 plinary actions, civil or criminal prosecution, or further investigation 52 by another governmental agency, federal, state or local, is necessary, 53 and to assist in any such investigation; 54 f. forward matters, including all relevant documentation, to appropri- 55 ate governmental agencies, federal or state, for prosecution, if anA. 2496 6 1 investigation by the department finds there is probable cause to believe 2 that a violation of federal or state law occurred; 3 g. enforce determinations of the department, including fines or other 4 findings levied by the department, against covered agencies, state offi- 5 cers, employees, lobbyists, clients of lobbyists, and political party 6 chairs; and 7 h. issue an annual report to the board, no later than April first of 8 each year, summarizing all investigations and actions taken by the 9 department related to any such investigations or actions in the prior 10 calendar year. Such report shall be used by the board in compiling its 11 annual report to the governor and the legislature; provided such report 12 shall be confidential and not subject to disclosure pursuant to article 13 six of this chapter. 14 3. In addition to the duties and responsibilities provided in subdivi- 15 sion two of this section, the commissioner shall exercise the following 16 powers in the execution of his or her duties: 17 a. subpoena and require the attendance of witnesses; 18 b. administer oaths of affirmation and examine witnesses under oath; 19 c. require the production of any books and papers deemed relevant or 20 material to any investigation, examination or review; 21 d. notwithstanding any law to the contrary, examine and copy or remove 22 documents or records of any kind prepared, maintained or held by any 23 covered agency, employee thereof, state officer, legislator, or legisla- 24 tive employee; 25 e. question any relevant party concerning any matter related to the 26 performance of his or her official duties or related to an investi- 27 gation; 28 f. monitor adherence to disciplinary determinations rendered by the 29 department; and 30 g. perform any other function necessary and appropriate to fulfill the 31 duties and responsibilities of the department. 32 § 113-d. Responsibilities of covered agencies, officers, and employ- 33 ees. 1. Every officer and employee in a covered agency, state officer, 34 legislator, legislative employee, lobbyist, client of a lobbyist, and 35 political party chair, shall report promptly to the department material 36 information concerning corruption, fraud, criminal activity, conflicts 37 of interest, ethical violations or abuse by another relating to his or 38 her office or employment, or by a person having business dealings with a 39 covered agency relating to those dealings, including lobbyist as defined 40 under article one-A of the legislative law. 41 2. The knowing failure of any subject individual to so report may be 42 cause for sanctions and punitive actions against such individual who 43 fails to report such conduct. Any individual who acts pursuant to this 44 section by reporting to the department improper governmental action as 45 defined in section seventy-five-b of the civil service law shall not be 46 subject to discipline by the department for failure to report such 47 activity; provided, however, that such protection from departmental 48 sanctions does not provide legal immunity for criminal actions. 49 § 113-e. Financial disclosure. 1. a. The commissioner, or any desig- 50 nated staff, shall inspect all financial disclosure statements filed 51 with the department in order to ascertain whether any person subject to 52 the reporting requirements of this chapter has failed to file such a 53 statement, has filed a deficient statement or has filed a statement 54 which reveals a possible violation of law. 55 b. The commissioner, or any designated staff, in relation to financial 56 disclosures:A. 2496 7 1 (i) shall make available forms for annual statements of financial 2 disclosure required to be filed pursuant to section seventy-three-a of 3 this chapter; 4 (ii) receive complaints directly or through a referral from any other 5 covered agency or the department alleging violations of section seven- 6 ty-three, seventy-three-a or seventy-four of this chapter, article one-A 7 of the legislative law or section one hundred seven of the civil service 8 law; 9 (iii) permit any person required to file a financial disclosure state- 10 ment with the department to request deletion from the copy of such 11 statement made available for public inspection and copying one or more 12 items of information which may be deleted by the department upon a find- 13 ing by the department that the information which would otherwise be 14 required to be made available for public inspection and copying will 15 have no material bearing on the discharge of the reporting person's 16 official duties; 17 (iv) grant any person required to file a financial disclosure state- 18 ment an additional period of time within which to file such statement 19 due to justifiable cause or undue hardship; 20 (v) permit any person required to file a financial disclosure state- 21 ment to delete such information pertaining to such person's spouse or 22 emancipated children as shall be found by the department to have no 23 material bearing on the discharge of the reporting person's official 24 duties; 25 (vi) advise and assist any covered agency in establishing rules and 26 regulations relating to possible conflicts between private interests and 27 official duties of present and former state officers and employees; 28 (vii) advise and assist any covered agency with training programs 29 relating to ethical compliance; 30 (viii) permit any person who has not been determined by his or her 31 appointing authority to hold a policy-making position, but who is other- 32 wise required to file a financial disclosure statement, to be granted an 33 exemption from such filing requirement. The commissioner may grant such 34 an exemption where the public interest does not require disclosure and 35 the applicant's duties do not involve negotiation, authorization or 36 approval of: 37 A. contracts, leases, franchises, revocable consents, concessions, 38 variances, special permits or licenses as set forth in section seventy- 39 three of this chapter; 40 B. the purchase, sale, rental or lease of real property, goods or 41 services, or a contract therefor; 42 C. the obtaining of grants of money or loans; or 43 D. the adoption or repeal of any rule or regulation having the force 44 and effect of law; 45 (ix) determine questions common to a class or defined category of 46 persons or items of information required to be disclosed, where determi- 47 nation of the question will prevent undue repetition of requests for 48 exemption or deletion or prevent undue complication in complying with 49 the requirements of such section; and 50 (x) conduct investigations into any complaints. 51 2. If a person required to file a financial disclosure statement with 52 the department has failed to file a disclosure statement or has filed a 53 deficient statement, the commission shall notify the reporting person in 54 writing, state the failure to file or detail the deficiency, provide the 55 person with a fifteen-day period to cure the deficiency, and advise the 56 person of the penalties for failure to comply with the reportingA. 2496 8 1 requirements. Such notice shall be confidential. If the person fails to 2 make such filing or fails to cure the deficiency within the specified 3 time period, the commissioner, or designated staff, shall send a notice 4 of delinquency: 5 a. to the reporting person; 6 b. in the case of a statewide elected official, to the temporary pres- 7 ident of the senate and the speaker of the assembly; and 8 c. in the case of a state officer or employee, to the appointing 9 authority for such person. Such notice of delinquency may be sent at any 10 time during the reporting person's service as a statewide elected offi- 11 cial, state officer or employee, political party chair or while a candi- 12 date for statewide office, or within one year after termination of such 13 service or candidacy. 14 § 113-f. Investigations; financial disclosure and ethical violations. 15 1. If the department receives a sworn complaint alleging a violation of 16 section one hundred seven of the civil service law, sections seventy- 17 three, seventy-three-a or seventy-four of this chapter, or article one-A 18 of the legislative law by a person or entity subject to the oversight of 19 the department, or if a reporting individual has filed a statement which 20 reveals a possible violation of any such provision, or if the department 21 determines on its own initiative to investigate a possible violation, 22 the department shall notify the individual in writing, within five busi- 23 ness days of receipt of a complaint or action of its own, so as to 24 describe the possible or alleged violation of such laws and provide the 25 person who is the subject of the complaint with a fifteen-day period in 26 which to submit a written response setting forth information relating to 27 the activities cited as a possible or alleged violation of law. 28 2. If the department determines, following an initial review of the 29 complaint and any response, that there is a substantial basis to believe 30 that a violation has occurred, it shall send a notice of such findings: 31 a. to the complainant, if any; and 32 b. to the subject of the report or complaint. 33 3. An investigation undertaken by the department following a complaint 34 or action on its own initiative shall take no more than thirty days, 35 commencing from the day upon which the department determines there is 36 reasonable cause to believe that a violation occurred and sends notice 37 of such to the subject of the investigation. However, if completion of 38 an investigation is not possible within thirty days, such investigation 39 shall be completed as soon as practicable thereafter; provided notice of 40 the extended investigation is given to the complainant and subject of 41 the investigation. 42 4. Upon completion of an investigation, the department shall issue a 43 determination in writing to the individual and the complainant, if any; 44 and the appointing authority of any state employee. If the investigation 45 involved a member of the legislature or a legislative employee, such 46 determinations shall be forwarded to the legislative ethics commission; 47 while determinations involving the governor, the lieutenant governor, 48 the attorney general or the state comptroller shall be provided to the 49 governor, the speaker of the assembly and the temporary president of the 50 senate. Such final determinations shall be available for public 51 inspection, including findings of fact and conclusions of law that a 52 violation of law occurred; provided that no other reports or investi- 53 gative materials shall be publicly reviewable and shall remain confiden- 54 tial. 55 5. a. The department shall have jurisdiction to investigate, but shall 56 have no jurisdiction to impose penalties upon members of or candidatesA. 2496 9 1 for member of the legislature or legislative employees for any violation 2 of this chapter. If upon completion of its investigation the department 3 concludes that a member of the legislature or a legislative employee or 4 candidate for member of the legislature has violated any provisions of 5 law over which the department has oversight, it shall present a written 6 report to the legislative ethics commission, and deliver a copy of the 7 report to the individual who is the subject of the report. Such written 8 report shall include: 9 (i) the department's findings of fact and any evidence addressed in 10 such findings; and conclusions of law and citations to any relevant law, 11 rule, opinion, regulation or standard of conduct upon which it relied; 12 and 13 (ii) a determination that the department has concluded that a 14 violation has occurred, and the reasons and basis for such determi- 15 nation. 16 b. The department shall also separately provide to the legislative 17 ethics commission copies of additional documents or other evidence 18 considered including evidence that may contradict the department's find- 19 ings, the names of and other information regarding any additional 20 witnesses, and any other materials. With respect to a violation of any 21 law other than sections seventy-three, seventy-three-a, and seventy-four 22 of this chapter, where the department finds sufficient cause, it shall 23 refer such matter to the appropriate prosecutor. 24 § 113-g. Investigations; other. 1. The department shall also be 25 authorized to undertake, upon a submitted complaint or its own initi- 26 ative, any investigation into potential criminal activity, or other 27 conduct over which it has jurisdiction, by a person or entity subject to 28 the oversight of the department. 29 2. The board of public integrity, in consultation with the commission- 30 er, shall promulgate any rules and regulations necessary to, among other 31 things, ensure investigatory integrity, due process, and appropriate 32 criminal and/or civil prosecution, if warranted. 33 3. Notwithstanding review and publication of a final determination of 34 the department, any person conducting or participating in any examina- 35 tion or investigation under this section or section one hundred thir- 36 teen-f this article who shall disclose to any person not involved in 37 such examination or investigation, or who the commissioner may otherwise 38 have authorized to receive such information related to or detailing an 39 investigation, shall be guilty of a misdemeanor. 40 § 113-h. Violations. 1. An individual subject to the jurisdiction of 41 the department who knowingly and intentionally violates the provisions 42 of subdivisions two through five, seven, eight, twelve or fourteen 43 through seventeen of section seventy-three of this chapter, section one 44 hundred seven of the civil service law, or a reporting individual who 45 knowingly and willfully fails to file an annual statement of financial 46 disclosure or who knowingly and willfully with intent to deceive makes a 47 false statement or fraudulent omission or gives information which such 48 individual knows to be false on such statement of financial disclosure 49 filed pursuant to section seventy-three-a of this chapter shall be 50 subject to a civil penalty in an amount not to exceed forty thousand 51 dollars and the value of any gift, compensation or benefit received as a 52 result of such violation. An individual who knowingly and intentionally 53 violates the provisions of paragraph b, c, d or i of subdivision three 54 of section seventy-four of this chapter shall be subject to a civil 55 penalty in an amount not to exceed ten thousand dollars and the value of 56 any gift, compensation or benefit received as a result of suchA. 2496 10 1 violation. An individual who knowingly and intentionally violates the 2 provisions of paragraph a, e or g of subdivision three of section seven- 3 ty-four of this chapter shall be subject to a civil penalty in an amount 4 not to exceed the value of any gift, compensation or benefit received as 5 a result of such violation. An individual subject to the jurisdiction of 6 the department who knowingly and willfully violates article one-A of the 7 legislative law shall be subject to civil penalty as provided for in 8 such article. Assessment of a civil penalty pursuant to this section 9 shall be made by the department with respect to individuals subject to 10 its jurisdiction. In assessing the amount of the civil penalties to be 11 imposed, the department shall consider the seriousness of the violation, 12 the amount of gain to the individual and whether such individual previ- 13 ously had any civil or criminal penalties imposed pursuant to this 14 section, and any other factors the department deems appropriate. 15 2. A civil penalty for false filing relating to financial disclosures 16 made pursuant to section seventy-three or seventy-three-a of this chap- 17 ter may not be imposed pursuant to this section in the event a category 18 of "value" or "amount" reported pursuant to this section is incorrect 19 unless such reported information is materially false. 20 3. All determinations of any civil fine made by the department pursu- 21 ant to this section shall be forwarded to an appointing authority of the 22 subject individual, and shall be reviewed for any other possible crimi- 23 nal violations that may arise from such violations. Violations of 24 section one hundred seven of the civil service law, subdivision twelve, 25 fourteen, fifteen, sixteen or seventeen of section seventy-three or 26 section seventy-four of this chapter or article one-A of the legislative 27 law shall constitute class A misdemeanors. 28 § 113-i. Adjudicatory process. The department shall be deemed to be an 29 agency within the meaning of article three of the state administrative 30 procedure act and shall adopt rules governing the conduct of adjudicato- 31 ry proceedings and appeals taken pursuant to a proceeding commenced 32 under article seventy-eight of the civil practice law and rules relating 33 to the assessment of the civil penalties authorized by this article and 34 department denials of requests for certain deletions or exemptions to be 35 made from a financial disclosure statement as authorized by this arti- 36 cle. Such rules, which shall not be subject to the approval requirements 37 of the state administrative procedure act, shall provide for due process 38 procedural mechanisms substantially similar to those set forth in arti- 39 cle three of the state administrative procedure act but such mechanisms 40 need not be identical in terms or scope. Assessment of a civil penalty 41 or department denial of such a request shall be final unless modified, 42 suspended or vacated within thirty days of imposition, with respect to 43 the assessment of such penalty, or unless such denial of request is 44 reversed within such time period, and upon becoming final shall be 45 subject to review at the instance of the affected reporting individuals 46 in a proceeding commenced against the department, pursuant to article 47 seventy-eight of the civil practice law and rules. 48 § 2. This act shall take effect on the first of January next succeed- 49 ing the date on which it shall have become a law; provided, however, 50 that appointments to the board of public integrity authorized by section 51 113-b of the public officers law shall be made within sixty days of the 52 date on which this act shall have become a law and such board members 53 shall be authorized to hold meetings upon appointment necessary to 54 ensure proper administration of such department. 55 PART BA. 2496 11 1 Section 1. Section 94 of the executive law is REPEALED. 2 § 2. Article 4-A of the executive law is REPEALED. 3 § 3. This act shall take effect on the first of January next succeed- 4 ing the date on which it shall have become a law. 5 PART C 6 Section 1. Transfer of functions, powers and duties. All functions, 7 powers, duties and obligations of the former commission on ethics and 8 lobbying in government, and the former office of the state inspector 9 general are hereby transferred to the department of oversight and inves- 10 tigation. 11 § 2. Transfer of employees. (a) Upon transfer of the functions of the 12 former commission on ethics and lobbying in government, and the former 13 office of the state inspector general to the department of oversight and 14 investigation, provisions shall be made for the transfer to such depart- 15 ment of those employees of such former agencies who were engaged in 16 carrying out the functions transferred by this act in accordance with 17 section 70 of the civil service law or, where not subject to the civil 18 service law, the provisions of such section 70 shall be deemed applica- 19 ble, except where the context clearly requires otherwise. Any such 20 employee who, at the time of such transfer, has a temporary or provi- 21 sional appointment shall be transferred subject to the same right of 22 removal, examination or termination as though such transfer had not been 23 made except to the extent such rights are modified by a collective 24 bargaining agreement. Employees holding permanent appointments in 25 competitive class positions who are not transferred pursuant to this 26 section shall have their names entered upon an appropriate preferred 27 list for reinstatement pursuant to the civil service law. 28 (b) A transferred employee shall remain in the same collective 29 bargaining unit as was the case prior to his or her transfer; successor 30 employees to the positions held by such transferred employees shall, 31 consistent with the provisions of article 14 of the civil service law, 32 be included in the same unit as their predecessors. Employees other than 33 management or confidential persons (as defined in article 14 of the 34 civil service law), serving positions in newly created titles shall be 35 assigned to the appropriate bargaining unit. Nothing contained in this 36 section shall be construed to affect: 37 (1) the rights of employees pursuant to a collective bargaining agree- 38 ment; 39 (2) the representational relationships among employee organizations or 40 the bargaining relationships between the state and an employee organiza- 41 tion; or 42 (3) existing law with respect to an application to the public employ- 43 ment relations board, provided, however, that the merger of such negoti- 44 ating units of employees shall be effected only with the consent of the 45 recognized and certified representative of such units and of the depart- 46 ment of law. 47 § 3. Transfer of records. All books, papers and property of the former 48 commission on ethics and lobbying in government, and the former office 49 of the state inspector general are to be delivered to the department of 50 oversight and investigation at such place and time, and in such manner 51 as the department of oversight and investigation shall require. 52 § 4. Continuity of authority. For the purpose of succession to all 53 functions, powers, duties and obligations of the former commission on 54 ethics and lobbying in government and the former office of the stateA. 2496 12 1 inspector general transferred to and assumed by the department of over- 2 sight and investigation, such department shall continue the operation 3 thereof as if performed by such former agencies. 4 § 5. Completion of unfinished business. Any business or other matter 5 undertaken or commenced by the former commission on ethics and lobbying 6 in government, or the former office of the state inspector general 7 pertaining to or connected with the functions, powers, duties and obli- 8 gations transferred and assigned to the department of oversight and 9 investigation, and pending on the effective date of this section shall 10 be conducted and completed by such department in the same manner and 11 under the same terms and conditions and with the same effect as if 12 conducted and completed by such former agencies. 13 § 6. Continuation of rules and regulations. All rules, regulations, 14 acts, orders, determinations and decisions of the former commission on 15 ethics and lobbying in government and the former office of the state 16 inspector general in force at the time of such transfer and assumption, 17 shall continue in force and effect as rules, regulations, acts, orders, 18 determinations and decisions of the department of oversight and investi- 19 gation until duly modified or abrogated. 20 § 7. Terms occurring in laws, contracts and other documents. Whenever 21 the former commission on ethics and lobbying in government or the former 22 office of the state inspector general is referred to or designated in 23 any law, contract or document pertaining to the functions, powers, obli- 24 gations and duties transferred and assigned pursuant to this act, such 25 reference or designation shall be deemed to refer to the department of 26 oversight and investigation. 27 § 8. Existing rights and remedies preserved. No existing right or 28 remedy of any character shall be lost, impaired or affected by reason of 29 any transfer or assignment pursuant to this act. 30 § 9. Pending actions or proceedings. No action or proceeding pending 31 upon the effective date of this section relating to the functions, 32 powers and duties of the former commission on ethics and lobbying in 33 government, and the former office of the state inspector general trans- 34 ferred to the department of oversight and investigation, brought by or 35 against any such former agency or individual, shall be affected by any 36 provision of this act, but the same may be prosecuted or defended in the 37 name of such department. In all such actions and proceedings, the 38 department of oversight and investigation, upon application to the 39 court, shall be substituted as a party. 40 § 10. Transfer of appropriations heretofore made. Subject to the 41 approval of the director of the division of the budget, all appropri- 42 ations and reappropriations heretofore made to the former commission on 43 ethics and lobbying in government and the former office of the state 44 inspector general for the purposes and functions transferred pursuant to 45 this act to the department of oversight and investigation, to the extent 46 of remaining unexpended or unencumbered balance thereof, whether allo- 47 cated or unallocated, and whether obligated or unobligated, are hereby 48 transferred to and made available for use and expenditure by such 49 department for the same purposes for which originally appropriated or 50 reappropriated and shall be payable on vouchers certified or approved by 51 the commissioner of the department of oversight and investigation on 52 audit and warrant of the comptroller. Payments for liabilities for 53 expenses of personal services, maintenance and operation heretofore 54 incurred by and for liabilities incurred and to be incurred in complet- 55 ing the affairs of the former commission on ethics and lobbying in 56 government and the former office of the state inspector general withA. 2496 13 1 respect to the powers, duties and functions transferred in this act, 2 shall also be made on vouchers or certificates approved by the commis- 3 sioner of the department of oversight and investigation on audit and 4 warrant of the comptroller. 5 § 11. Transfer of assets and liabilities. All assets and liabilities 6 of the former commission on ethics and lobbying in government and the 7 former office of the state inspector general are hereby transferred to 8 and assumed by the department of oversight and investigation. 9 § 12. The department of oversight and investigation is hereby directed 10 to immediately take any and all actions necessary to enable it to assume 11 all powers, duties and functions of the former commission on ethics and 12 lobbying in government and the former office of the state inspector 13 general within 90 days of the effective date of this act. 14 § 13. This act shall take effect on the first of January next succeed- 15 ing the date on which it shall have become a law; provided that sections 16 one through eleven of this act shall take effect on the first of April 17 next succeeding the date on which it shall have become a law. 18 PART D 19 Section 1. Subdivision 5 of section 107 of the civil service law, as 20 amended by chapter 14 of the laws of 2007, is amended to read as 21 follows: 22 5. Violation of this section. Complaints alleging a violation of this 23 section by a statewide elected official or a state officer or employee, 24 as defined in section seventy-three of the public officers law, may be 25 directed to the [commission on public integrity] department of oversight 26 and investigation. 27 § 2. Subdivision (f) of section 1-c of the legislative law, as amended 28 by section 3 of part QQ of chapter 56 of the laws of 2022, is amended to 29 read as follows: 30 (f) The term "commission" shall mean the [commission on ethics and31lobbying in government created by section ninety-four of the executive32law] department of oversight and investigation. 33 § 3. Subdivision 3 of section 212 of the racing, pari-mutuel wagering 34 and breeding law, as amended by chapter 18 of the laws of 2008, is 35 amended to read as follows: 36 3. Such members, except as otherwise provided by law, may engage in 37 private or public employment, or in a profession or business. The board, 38 its members, officers and employees shall be subject to the provisions 39 of sections seventy-three and seventy-four of the public officers law. 40 No former trustee or officer of a non-profit racing association known as 41 The New York Racing Association, Inc. or its predecessor, no current 42 director or officer of a franchised corporation or any individual regis- 43 tered with the [New York commission on public integrity] commissioner of 44 the department of oversight and investigation shall be appointed as 45 members to the board nor shall any member of the board have any direct 46 or indirect interest in any racehorse, thoroughbred racing or pari-mutu- 47 el wagering business, video lottery terminal facility or any development 48 at any racing facility. 49 § 4. Subdivision 3 of section 63 of the executive law, as amended by 50 chapter 155 of the laws of 2012, is amended to read as follows: 51 3. Upon request of the governor, comptroller, secretary of state, 52 commissioner of transportation, superintendent of financial services, 53 commissioner of taxation and finance, commissioner of motor vehicles, or 54 the [state inspector general] commissioner of the department of over-A. 2496 14 1 sight and investigation, or the head of any other department, authority, 2 division or agency of the state, investigate the alleged commission of 3 any indictable offense or offenses in violation of the law which the 4 officer making the request is especially required to execute or in 5 relation to any matters connected with such department, and to prosecute 6 the person or persons believed to have committed the same and any crime 7 or offense arising out of such investigation or prosecution or both, 8 including but not limited to appearing before and presenting all such 9 matters to a grand jury. 10 § 5. Section 2350-dd of the public authorities law, as added by chap- 11 ter 762 of the laws of 2005, is amended to read as follows: 12 § 2350-dd. Jurisdiction of [state inspector general] the department of 13 oversight and investigation. The agency is subject to the jurisdiction 14 of the [office of the state inspector general] commissioner of the 15 department of oversight and investigation. 16 § 6. Subdivision 3 of section 2.10 of the criminal procedure law, as 17 added by chapter 843 of the laws of 1980, is amended to read as follows: 18 3. Investigators [of the office of the state commission of investi-19gation] acting for, or at the request of the department of oversight and 20 investigation. 21 § 7. Subdivision 68 of section 2.10 of the criminal procedure law, as 22 added by chapter 168 of the laws of 2000, is REPEALED. 23 § 8. Subdivision 3 of section 70-a of the executive law, as added by 24 chapter 1003 of the laws of 1970, is amended to read as follows: 25 3. The deputy attorney general in charge of the organized crime task 26 force may request and shall receive from the division of state police, 27 the state department of taxation and finance, the state department of 28 labor, the [temporary state commission of investigation] department of 29 oversight and investigation, and from every department, division, board, 30 bureau, commission or other agency of the state, or of any political 31 subdivision thereof, cooperation and assistance in the performance of 32 his duties. Such deputy attorney general may provide technical and other 33 assistance to any district attorney or other local law enforcement offi- 34 cial requesting such assistance in the investigation or prosecution of 35 organized crime cases. 36 § 9. Subdivision 9 of section 835 of the executive law, as separately 37 amended by chapters 14 and 155 of the laws of 2012, is amended to read 38 as follows: 39 9. "Qualified agencies" means courts in the unified court system, the 40 administrative board of the judicial conference, probation departments, 41 sheriffs' offices, district attorneys' offices, the state department of 42 corrections and community supervision, the department of correction of 43 any municipality, the financial frauds and consumer protection unit of 44 the state department of financial services, the office of professional 45 medical conduct of the state department of health for the purposes of 46 section two hundred thirty of the public health law, the child protec- 47 tive services unit of a local social services district when conducting 48 an investigation pursuant to subdivision six of section four hundred 49 twenty-four of the social services law, the office of Medicaid inspector 50 general, the [temporary state commission of investigation] department of 51 oversight and investigation, police forces and departments having 52 responsibility for enforcement of the general criminal laws of the 53 state, the Onondaga County Center for Forensic Sciences Laboratory when 54 acting within the scope of its law enforcement duties and the division 55 of forensic services of the Nassau county medical examiner's office when 56 acting within the scope of its law enforcement duties.A. 2496 15 1 § 10. Subdivision 8 of section 92 of the public officers law, as 2 amended by section 135 of subpart B of part C of chapter 62 of the laws 3 of 2011, is amended to read as follows: 4 (8) Public safety agency record. The term "public safety agency 5 record" means a record of the state commission of correction, the 6 [temporary state commission of investigation] department of oversight 7 and investigation, the department of corrections and community super- 8 vision, the office of children and family services, the office of victim 9 services, the office of probation and correctional alternatives or the 10 division of state police or of any agency or component thereof whose 11 primary function is the enforcement of civil or criminal statutes if 12 such record pertains to investigation, law enforcement, confinement of 13 persons in correctional facilities or supervision of persons pursuant to 14 criminal conviction or court order, and any records maintained by the 15 division of criminal justice services pursuant to sections eight hundred 16 thirty-seven, eight hundred thirty-seven-a, eight hundred thirty-sev- 17 en-b, eight hundred thirty-seven-c, eight hundred thirty-eight, eight 18 hundred thirty-nine, and eight hundred forty-five of the executive law 19 and by the department of state pursuant to section ninety-nine of the 20 executive law. 21 § 11. Chapter 989 of the laws of 1958, creating a temporary state 22 commission of investigation, is REPEALED. 23 § 12. Subparagraphs (ii) and (iii) of paragraph (c), and paragraphs 24 (d) and (d-1) of subdivision 1 of section 73-a of the public officers 25 law, as amended by section 5 of part QQ of chapter 56 of the laws of 26 2022, are amended to read as follows: 27 (ii) officers and employees of statewide elected officials, officers 28 and employees of state departments, boards, bureaus, divisions, commis- 29 sions, councils or other state agencies, who receive annual compensation 30 in excess of the filing rate established by paragraph (l) of this subdi- 31 vision or who hold policy-making positions, as annually determined by 32 the appointing authority and set forth in a written instrument which 33 shall be filed with the [commission on ethics and lobbying in government34established by section ninety-four of the executive law] department of 35 oversight and investigation during the month of February, provided, 36 however, that the appointing authority shall amend such written instru- 37 ment after such date within thirty days after the undertaking of poli- 38 cy-making responsibilities by a new employee or any other employee whose 39 name did not appear on the most recent written instrument; and 40 (iii) members or directors of public authorities, other than multi- 41 state authorities, public benefit corporations and commissions at least 42 one of whose members is appointed by the governor, and employees of such 43 authorities, corporations and commissions who receive annual compen- 44 sation in excess of the filing rate established by paragraph (l) of this 45 subdivision or who hold policy-making positions, as determined annually 46 by the appointing authority and set forth in a written instrument which 47 shall be filed with the [commission on ethics and lobbying in government48established by section ninety-four of the executive law] department of 49 oversight and investigation during the month of February, provided, 50 however, that the appointing authority shall amend such written instru- 51 ment after such date within thirty days after the undertaking of poli- 52 cy-making responsibilities by a new employee or any other employee whose 53 name did not appear on the most recent written instrument. 54 (d) The term "legislative employee" shall mean any officer or employee 55 of the legislature who receives annual compensation in excess of the 56 filing rate established by paragraph (l) below or who is determined toA. 2496 16 1 hold a policy-making position by the appointing authority as set forth 2 in a written instrument which shall be filed with the legislative ethics 3 commission and the [commission on ethics and lobbying in government] 4 department of oversight and investigation. 5 (d-1) A financial disclosure statement required pursuant to section 6 seventy-three of this article and this section shall be deemed "filed" 7 with the [commission on ethics and lobbying in government] department of 8 oversight and investigation upon its filing, in accordance with this 9 section, with the legislative ethics commission for all purposes includ- 10 ing, but not limited to, [section ninety-four of the executive law] 11 article seven-A of this chapter, subdivision nine of section eighty of 12 the legislative law and subdivision four of this section. 13 § 13. Subdivision 2 of section 73-a of the public officers law, as 14 amended by section 7 of part QQ of chapter 56 of the laws of 2022, is 15 amended to read as follows: 16 2. (a) Every statewide elected official, state officer or employee, 17 member of the legislature, legislative employee and political party 18 chair and every candidate for statewide elected office or for member of 19 the legislature shall file an annual statement of financial disclosure 20 containing the information and in the form set forth in subdivision 21 three of this section. On or before the fifteenth day of May with 22 respect to the preceding calendar year: (1) every member of the legisla- 23 ture, every candidate for member of the legislature and legislative 24 employee shall file such statement with the legislative ethics commis- 25 sion which shall provide such statement along with any requests for 26 exemptions or deletions to the [commission on ethics and lobbying in27government] department of oversight and investigation for filing and 28 rulings with respect to such requests for exemptions or deletions, on or 29 before the thirtieth day of June; and (2) all other individuals required 30 to file such statement shall file it with the [commission on ethics and31lobbying in government] department of oversight and investigation, 32 except that: 33 (i) a person who is subject to the reporting requirements of this 34 subdivision and who timely filed with the internal revenue service an 35 application for automatic extension of time in which to file his or her 36 individual income tax return for the immediately preceding calendar or 37 fiscal year shall be required to file such financial disclosure state- 38 ment on or before May fifteenth but may, without being subjected to any 39 civil penalty on account of a deficient statement, indicate with respect 40 to any item of the disclosure statement that information with respect 41 thereto is lacking but will be supplied in a supplementary statement of 42 financial disclosure, which shall be filed on or before the seventh day 43 after the expiration of the period of such automatic extension of time 44 within which to file such individual income tax return, provided that 45 failure to file or to timely file such supplementary statement of finan- 46 cial disclosure or the filing of an incomplete or deficient supplementa- 47 ry statement of financial disclosure shall be subject to the notice and 48 penalty provisions of this section respecting annual statements of 49 financial disclosure as if such supplementary statement were an annual 50 statement; 51 (ii) a person who is required to file an annual financial disclosure 52 statement with the [commission on ethics and lobbying in government] 53 department of oversight and investigation, and who is granted an addi- 54 tional period of time within which to file such statement due to justi- 55 fiable cause or undue hardship[, in accordance with required rules and56regulations adopted pursuant to section ninety-four of the executiveA. 2496 17 1law] shall file such statement within the additional period of time 2 granted[; and the legislative ethics commission shall notify the commis-3sion on ethics and lobbying in government of any extension granted4pursuant to this paragraph]; 5 (iii) candidates for statewide office who receive a party designation 6 for nomination by a state committee pursuant to section 6-104 of the 7 election law shall file such statement within ten days after the date of 8 the meeting at which they are so designated; 9 (iv) candidates for statewide office who receive twenty-five percent 10 or more of the vote cast at the meeting of the state committee held 11 pursuant to section 6-104 of the election law and who demand to have 12 their names placed on the primary ballot and who do not withdraw within 13 fourteen days after such meeting shall file such statement within ten 14 days after the last day to withdraw their names in accordance with the 15 provisions of such section of the election law; 16 (v) candidates for statewide office and candidates for member of the 17 legislature who file party designating petitions for nomination at a 18 primary election shall file such statement within ten days after the 19 last day allowed by law for the filing of party designating petitions 20 naming them as candidates for the next succeeding primary election; 21 (vi) candidates for independent nomination who have not been desig- 22 nated by a party to receive a nomination shall file such statement with- 23 in ten days after the last day allowed by law for the filing of inde- 24 pendent nominating petitions naming them as candidates in the next 25 succeeding general or special election; 26 (vii) candidates who receive the nomination of a party for a special 27 election shall file such statement within ten days after the date of the 28 meeting of the party committee at which they are nominated; and 29 (viii) a candidate substituted for another candidate, who fills a 30 vacancy in a party designation or in an independent nomination, caused 31 by declination, shall file such statement within ten days after the last 32 day allowed by law to file a certificate to fill a vacancy in such party 33 designation or independent nomination[;]. 34 (ix) [with] With respect to all candidates for member of the legisla- 35 ture, the legislative ethics commission shall within five days of 36 receipt provide the [commission on ethics and lobbying in government] 37 department of oversight and investigations the statement filed pursuant 38 to subparagraphs (v), (vi), (vii) and (viii) of this paragraph. 39 (b) As used in this subdivision, the terms "party", "committee" (when 40 used in conjunction with the term "party"), "designation", "primary", 41 "primary election", "nomination", "independent nomination" and "ballot" 42 shall have the same meanings as those contained in section 1-104 of the 43 election law. 44 (c) If the reporting individual is a senator or member of assembly, 45 candidate for the senate or member of assembly or a legislative employ- 46 ee, such statement shall be filed with both the legislative ethics 47 commission established by section eighty of the legislative law and the 48 [commission on ethics and lobbying in government] department of over- 49 sight and investigation in accordance with paragraph (d-1) of subdivi- 50 sion one of this section. If the reporting individual is a statewide 51 elected official, candidate for statewide elected office, a state offi- 52 cer or employee or a political party chair, such statement shall be 53 filed with the [commission on ethics and lobbying in government estab-54lished by section ninety-four of the executive law] department of over- 55 sight and investigation.A. 2496 18 1 (d) The [commission on ethics and lobbying in government] department 2 of oversight and investigation shall obtain from the state board of 3 elections a list of all candidates for statewide office and for member 4 of the legislature, and from such list, shall determine and publish a 5 list of those candidates who have not, within ten days after the 6 required date for filing such statement, filed the statement required by 7 this subdivision. 8 (e) Any person required to file such statement who commences employ- 9 ment after May fifteenth of any year and political party chair shall 10 file such statement within thirty days after commencing employment or of 11 taking the position of political party chair, as the case may be. In the 12 case of members of the legislature and legislative employees, such 13 statements shall be filed with the legislative ethics commission within 14 thirty days after commencing employment, and the legislative ethics 15 commission shall provide such statements to the [commission on ethics16and lobbying in government] department of oversight and investigation 17 within forty-five days of receipt. 18 (f) A person who may otherwise be required to file more than one annu- 19 al financial disclosure statement with both the [commission on ethics20and lobbying in government] department of oversight and investigation 21 and the legislative ethics commission in any one calendar year may 22 satisfy such requirement by filing one such statement with either body 23 and by notifying the other body of such compliance. 24 (g) A person who is employed in more than one employment capacity for 25 one or more employers certain of whose officers and employees are 26 subject to filing a financial disclosure statement with the same ethics 27 commission, as the case may be, and who receives distinctly separate 28 payments of compensation for such employment shall be subject to the 29 filing requirements of this section if the aggregate annual compensation 30 for all such employment capacities is in excess of the filing rate 31 notwithstanding that such person would not otherwise be required to file 32 with respect to any one particular employment capacity. A person not 33 otherwise required to file a financial disclosure statement hereunder 34 who is employed by an employer certain of whose officers or employees 35 are subject to filing a financial disclosure statement with the [commis-36sion on ethics and lobbying in government] department of oversight and 37 investigation and who is also employed by an employer certain of whose 38 officers or employees are subject to filing a financial disclosure 39 statement with the legislative ethics commission shall not be subject to 40 filing such statement with either such commission on the basis that his 41 aggregate annual compensation from all such employers is in excess of 42 the filing rate. 43 (h) A statewide elected official or member of the legislature, who is 44 simultaneously a candidate for statewide elected office or member of the 45 legislature, shall satisfy the filing deadline requirements of this 46 subdivision by complying only with the deadline applicable to one who 47 holds a statewide elected office or who holds the office of member of 48 the legislature. 49 (i) A candidate whose name will appear on both a party designating 50 petition and on an independent nominating petition for the same office 51 or who will be listed on the election ballot for the same office more 52 than once shall satisfy the filing deadline requirements of this subdi- 53 vision by complying with the earliest applicable deadline only. 54 (j) A member of the legislature who is elected to such office at a 55 special election prior to May fifteenth in any year shall satisfy theA. 2496 19 1 filing requirements of this subdivision in such year by complying with 2 the earliest applicable deadline only. 3 (k) The [commission on ethics and lobbying in government] department 4 of oversight and investigation shall post for at least five years begin- 5 ning for filings made on January first, two thousand thirteen the annual 6 statement of financial disclosure and any amendments filed by each 7 person subject to the reporting requirements of this subdivision who is 8 an elected official on its website for public review within thirty days 9 of its receipt of such statement or within ten days of its receipt of 10 such amendment that reflects any corrections of deficiencies identified 11 by [the commission] such department or by the reporting individual after 12 the reporting individual's initial filing. Except upon an individual 13 determination by the [commission] department of oversight and investi- 14 gation that certain information may be deleted from a reporting individ- 15 ual's annual statement of financial disclosure, none of the information 16 in the statement posted on [the commission's] such department's website 17 shall be otherwise deleted. 18 § 14. Subparagraphs (b), (b-2) and (c) of paragraph 8 of subdivision 3 19 and subdivision 4 of section 73-a of the public officers law, subpara- 20 graphs (b), (b-2) and (c) of paragraph 8 of subdivision 3 as separately 21 amended by sections 8 and 18, and subdivision 4 as amended by section 9 22 of part QQ of chapter 56 of the laws of 2022, are amended to read as 23 follows: 24 (b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE 25 PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER 26 THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING 27 CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON 28 OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER 29 THIRTY-FIRST, TWO THOUSAND FIFTEEN: 30 If the reporting individual personally provides services to any person 31 or entity, or works as a member or employee of a partnership or corpo- 32 ration that provides such services (referred to hereinafter as a 33 "firm"), then identify each client or customer to whom the reporting 34 individual personally provided services, or who was referred to the firm 35 by the reporting individual, and from whom the reporting individual or 36 his or her firm earned fees in excess of $10,000 during the reporting 37 period for such services rendered in direct connection with: 38 (i) A contract in an amount totaling $50,000 or more from the state or 39 any state agency for services, materials, or property; 40 (ii) A grant of $25,000 or more from the state or any state agency 41 during the reporting period; 42 (iii) A grant obtained through a legislative initiative during the 43 reporting period; or 44 (iv) A case, proceeding, application or other matter that is not a 45 ministerial matter before a state agency during the reporting period. 46 For purposes of this question, "referred to the firm" shall mean: 47 having intentionally and knowingly taken a specific act or series of 48 acts to intentionally procure for the reporting individual's firm or 49 knowingly solicit or direct to the reporting individual's firm in whole 50 or substantial part, a person or entity that becomes a client of that 51 firm for the purposes of representation for a matter as defined in 52 subparagraphs (i) through (iv) of this paragraph, as the result of such 53 procurement, solicitation or direction of the reporting individual. A 54 reporting individual need not disclose activities performed while 55 lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi- 56 sion seven of section seventy-three of this article.A. 2496 20 1 The disclosure requirement in this question shall not require disclo- 2 sure of clients or customers receiving medical or dental services, 3 mental health services, residential real estate brokering services, or 4 insurance brokering services from the reporting individual or his or her 5 firm. The reporting individual need not identify any client to whom he 6 or she or his or her firm provided legal representation with respect to 7 investigation or prosecution by law enforcement authorities, bankruptcy, 8 or domestic relations matters. With respect to clients represented in 9 other matters, where disclosure of a client's identity is likely to 10 cause harm, the reporting individual shall request an exemption from the 11 [commission on ethics and lobbying in government pursuant to section12ninety-four of the executive law] department of oversight and investi- 13 gation, provided, however, that a reporting individual who first enters 14 public office after July first, two thousand twelve, need not report 15 clients or customers with respect to matters for which the reporting 16 individual or his or her firm was retained prior to entering public 17 office. 18 Client Nature of Services Provided 19 ________________________________________________________________________ 20 ________________________________________________________________________ 21 ________________________________________________________________________ 22 ________________________________________________________________________ 23 ________________________________________________________________________ 24 (b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES 25 ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR 26 FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE 27 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU- 28 SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN 29 CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES): 30 (i) With respect to reporting individuals who receive ten thousand 31 dollars or more from employment or activity reportable under question 32 8(a), for each client or customer NOT otherwise disclosed or exempted in 33 question 8 or 13, disclose the name of each client or customer known to 34 the reporting individual to whom the reporting individual provided 35 services: (A) who paid the reporting individual in excess of five thou- 36 sand dollars for such services; or (B) who had been billed with the 37 knowledge of the reporting individual in excess of five thousand dollars 38 by the firm or other entity named in question 8(a) for the reporting 39 individual's services. 40 Client Services Category of Amount 41 Actually Provided (in Table I) ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 42 FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF 43 DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED": 44 * REVIEWED DOCUMENTS AND CORRESPONDENCE; 45 * REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING; 46 * PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME); 47 * CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS 48 OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);A. 2496 21 1 * PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY 2 NAME); 3 * REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR 4 REPRESENTATION OR CONSULTATION; 5 * COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME); 6 * PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING 7 RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME); 8 * COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT). 9 (ii) With respect to reporting individuals who disclosed in question 10 8(a) that the reporting individual did not provide services to a client 11 but provided services to a firm or business, identify the category of 12 amount received for providing such services and describe the services 13 rendered. 14 Services Actually Provided Category of Amount (Table I) ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 15 A reporting individual need not disclose activities performed while 16 lawfully acting in his or her capacity as provided in paragraphs (c), 17 (d), (e) and (f) of subdivision seven of section seventy-three of this 18 article. 19 The disclosure requirement in questions (b-1) and (b-2) shall not 20 require disclosing clients or customers receiving medical, pharmaceu- 21 tical or dental services, mental health services, or residential real 22 estate brokering services from the reporting individual or his or her 23 firm or if federal law prohibits or limits disclosure. The reporting 24 individual need not identify any client to whom he or she or his or her 25 firm provided legal representation with respect to investigation or 26 prosecution by law enforcement authorities, bankruptcy, family court, 27 estate planning, or domestic relations matters, nor shall the reporting 28 individual identify individuals represented pursuant to an insurance 29 policy but the reporting individual shall in such circumstances only 30 report the entity that provides compensation to the reporting individ- 31 ual; with respect to matters in which the client's name is required by 32 law to be kept confidential (such as matters governed by the family 33 court act) or in matters in which the reporting individual represents or 34 provides services to minors, the client's name may be replaced with 35 initials. To the extent that the reporting individual, or his or her 36 firm, provided legal representation with respect to an initial public 37 offering, and professional disciplinary rules, federal law or regu- 38 lations restrict the disclosure of information relating to such work, 39 the reporting individual shall (i) disclose the identity of the client 40 and the services provided relating to the initial public offering to the 41 office of court administration, who will maintain such information 42 confidentially in a locked box; and (ii) include in his or her response 43 to questions (b-1) and (b-2) that pursuant to this paragraph, a disclo- 44 sure to the office of court administration has been made. Upon such time 45 that the disclosure of information maintained in the locked box is no 46 longer restricted by professional disciplinary rules, federal law or 47 regulation, the reporting individual shall disclose such information in 48 an amended disclosure statement in response to the disclosure require- 49 ments in questions (b-1) and (b-2). The office of court administration 50 shall develop and maintain a secure portal through which information 51 submitted to it pursuant to this paragraph can be safely and confiden- 52 tially stored. With respect to clients represented in other matters not 53 otherwise exempt, the reporting individual may request an exemption toA. 2496 22 1 publicly disclosing the name of that client from the [commission on2ethics and lobbying in government pursuant to section ninety-four of the3executive law] department of oversight and investigation, or from the 4 office of court administration. In such application, the reporting indi- 5 vidual shall state the following: "My client is not currently receiving 6 my services or seeking my services in connection with: (i) A proposed 7 bill or resolution in the senate or assembly during the reporting peri- 8 od; 9 (ii) A contract in an amount totaling $10,000 or more from the state 10 or any state agency for services, materials, or property; 11 (iii) A grant of $10,000 or more from the state or any state agency 12 during the reporting period; 13 (iv) A grant obtained through a legislative initiative during the 14 reporting period; or 15 (v) A case, proceeding, application or other matter that is not a 16 ministerial matter before a state agency during the reporting period." 17 In reviewing the request for an exemption, the [commission on ethics18and lobbying in government] department of oversight and investigation or 19 the office of court administration may consult with bar or other profes- 20 sional associations and the legislative ethics commission for individ- 21 uals subject to its jurisdiction and may consider the rules of profes- 22 sional conduct. In making its determination, the [commission on ethics23and lobbying in government] department of oversight and investigation or 24 the office of court administration shall conduct its own inquiry and 25 shall consider factors including, but not limited to: (i) the nature and 26 the size of the client; (ii) whether the client has any business before 27 the state; and if so, how significant the business is; and whether the 28 client has any particularized interest in pending legislation and if so 29 how significant the interest is; (iii) whether disclosure may reveal 30 trade secrets; (iv) whether disclosure could reasonably result in retal- 31 iation against the client; (v) whether disclosure may cause undue harm 32 to the client; (vi) whether disclosure may result in undue harm to the 33 attorney-client relationship; and (vii) whether disclosure may result in 34 an unnecessary invasion of privacy to the client. 35 The [commission on ethics and lobbying in government] department of 36 oversight and investigation or, as the case may be, the office of court 37 administration shall promptly make a final determination in response to 38 such request, which shall include an explanation for its determination. 39 The office of court administration shall issue its final determination 40 within three days of receiving the request. Notwithstanding any other 41 provision of law or any professional disciplinary rule to the contrary, 42 the disclosure of the identity of any client or customer in response to 43 this question shall not constitute professional misconduct or a ground 44 for disciplinary action of any kind, or form the basis for any civil or 45 criminal cause of action or proceeding. A reporting individual who first 46 enters public office after January first, two thousand sixteen, need not 47 report clients or customers with respect to matters for which the 48 reporting individual or his or her firm was retained prior to entering 49 public office. 50 (c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE 51 PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR 52 NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE 53 SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU- 54 SAND FIFTEEN: 55 If the reporting individual receives income of ten thousand dollars or 56 greater from any employment or activity reportable under question 8(a),A. 2496 23 1 identify each registered lobbyist who has directly referred to such 2 individual a client who was successfully referred to the reporting indi- 3 vidual's business and from whom the reporting individual or firm 4 received a fee for services in excess of five thousand dollars. Report 5 only those referrals that were made to a reporting individual by direct 6 communication from a person known to such reporting individual to be a 7 registered lobbyist at the time the referral is made. With respect to 8 each such referral, the reporting individual shall identify the client, 9 the registered lobbyist who has made the referral, the category of value 10 of the compensation received and a general description of the type of 11 matter so referred. A reporting individual need not disclose activities 12 performed while lawfully acting pursuant to paragraphs (c), (d), (e) and 13 (f) of subdivision seven of section seventy-three of this article. The 14 disclosure requirements in this question shall not require disclosing 15 clients or customers receiving medical, pharmaceutical or dental 16 services, mental health services, or residential real estate brokering 17 services from the reporting individual or his or her firm or if federal 18 law prohibits or limits disclosure. The reporting individual need not 19 identify any client to whom he or she or his or her firm provided legal 20 representation with respect to investigation or prosecution by law 21 enforcement authorities, bankruptcy, family court, estate planning, or 22 domestic relations matters, nor shall the reporting individual identify 23 individuals represented pursuant to an insurance policy but the report- 24 ing individual shall in such circumstances only report the entity that 25 provides compensation to the reporting individual; with respect to 26 matters in which the client's name is required by law to be kept confi- 27 dential (such as matters governed by the family court act) or in matters 28 in which the reporting individual represents or provides services to 29 minors, the client's name may be replaced with initials. To the extent 30 that the reporting individual, or his or her firm, provided legal repre- 31 sentation with respect to an initial public offering, and federal law or 32 regulations restricts the disclosure of information relating to such 33 work, the reporting individual shall (i) disclose the identity of the 34 client and the services provided relating to the initial public offering 35 to the office of court administration, who will maintain such informa- 36 tion confidentially in a locked box; and (ii) include in his or her 37 response a statement that pursuant to this paragraph, a disclosure to 38 the office of court administration has been made. Upon such time that 39 the disclosure of information maintained in the locked box is no longer 40 restricted by federal law or regulation, the reporting individual shall 41 disclose such information in an amended disclosure statement in response 42 to the disclosure requirements of this paragraph. The office of court 43 administration shall develop and maintain a secure portal through which 44 information submitted to it pursuant to this paragraph can be safely and 45 confidentially stored. With respect to clients represented in other 46 matters not otherwise exempt, the reporting individual may request an 47 exemption to publicly disclosing the name of that client from the 48 [commission on ethics and lobbying in government pursuant to section49ninety-four of the executive law] department of oversight and investi- 50 gation, or from the office of court administration. In such application, 51 the reporting individual shall state the following: "My client is not 52 currently receiving my services or seeking my services in connection 53 with: 54 (i) A proposed bill or resolution in the senate or assembly during the 55 reporting period;A. 2496 24 1 (ii) A contract in an amount totaling $10,000 or more from the state 2 or any state agency for services, materials, or property; 3 (iii) A grant of $10,000 or more from the state or any state agency 4 during the reporting period; 5 (iv) A grant obtained through a legislative initiative during the 6 reporting period; or 7 (v) A case, proceeding, application or other matter that is not a 8 ministerial matter before a state agency during the reporting period." 9 In reviewing the request for an exemption, the [commission on ethics10and lobbying in government] department of oversight and investigation or 11 the office of court administration may consult with bar or other profes- 12 sional associations and the legislative ethics commission for individ- 13 uals subject to its jurisdiction and may consider the rules of profes- 14 sional conduct. In making its determination, the [commission on ethics15and lobbying in government] department of oversight and investigation or 16 the office of court administration shall conduct its own inquiry and 17 shall consider factors including, but not limited to: (i) the nature and 18 the size of the client; (ii) whether the client has any business before 19 the state; and if so, how significant the business is; and whether the 20 client has any particularized interest in pending legislation and if so 21 how significant the interest is; (iii) whether disclosure may reveal 22 trade secrets; (iv) whether disclosure could reasonably result in retal- 23 iation against the client; (v) whether disclosure may cause undue harm 24 to the client; (vi) whether disclosure may result in undue harm to the 25 attorney-client relationship; and (vii) whether disclosure may result in 26 an unnecessary invasion of privacy to the client. 27 The [commission on ethics and lobbying in government] department of 28 oversight and investigation or, as the case may be, the office of court 29 administration shall promptly make a final determination in response to 30 such request, which shall include an explanation for its determination. 31 The office of court administration shall issue its final determination 32 within three days of receiving the request. Notwithstanding any other 33 provision of law or any professional disciplinary rule to the contrary, 34 the disclosure of the identity of any client or customer in response to 35 this question shall not constitute professional misconduct or a ground 36 for disciplinary action of any kind, or form the basis for any civil or 37 criminal cause of action or proceeding. A reporting individual who first 38 enters public office after December thirty-first, two thousand fifteen, 39 need not report clients or customers with respect to matters for which 40 the reporting individual or his or her firm was retained prior to enter- 41 ing public office. 42 Client Name of Lobbyist Description Category of Amount 43 of Matter (in Table 1) 44 ________________________________________________________________________ 45 ________________________________________________________________________ 46 ________________________________________________________________________ 47 ________________________________________________________________________ 48 ________________________________________________________________________ 49 4. A reporting individual who knowingly and wilfully fails to file an 50 annual statement of financial disclosure or who knowingly and wilfully 51 with intent to deceive makes a false statement or gives information 52 which such individual knows to be false on such statement of financial 53 disclosure filed pursuant to this section shall be subject to a civil 54 penalty in an amount not to exceed forty thousand dollars. Assessment of 55 a civil penalty hereunder shall be made by the [commission on ethics andA. 2496 25 1lobbying in government or by the legislative ethics commission, as the2case may be] department of oversight and investigation or the legisla- 3 tive ethics commission, with respect to persons subject to their respec- 4 tive jurisdictions. The [commission on ethics and lobbying in government5acting pursuant to subdivision fourteen of section ninety-four of the6executive law] department of oversight and investigation or the legisla- 7 tive ethics commission acting pursuant to subdivision eleven of section 8 eighty of the legislative law, as the case may be, may, in lieu of or in 9 addition to a civil penalty, refer a violation to the appropriate prose- 10 cutor and upon such conviction, but only after such referral, such 11 violation shall be punishable as a class A misdemeanor. A civil penalty 12 for false filing may not be imposed hereunder in the event a category of 13 "value" or "amount" reported hereunder is incorrect unless such reported 14 information is falsely understated. Notwithstanding any other provision 15 of law to the contrary, no other penalty, civil or criminal may be 16 imposed for a failure to file, or for a false filing, of such statement, 17 except that the appointing authority may impose disciplinary action as 18 otherwise provided by law. The [commission on ethics and lobbying in19government] department of oversight and investigation and the legisla- 20 tive ethics commission shall each be deemed to be an agency within the 21 meaning of article three of the state administrative procedure act and 22 shall adopt rules governing the conduct of adjudicatory proceedings and 23 appeals relating to the assessment of the civil penalties herein author- 24 ized. Such rules, which shall not be subject to the approval require- 25 ments of the state administrative procedure act, shall provide for due 26 process procedural mechanisms substantially similar to those set forth 27 in such article three but such mechanisms need not be identical in terms 28 or scope. Assessment of a civil penalty shall be final unless modified, 29 suspended or vacated within thirty days of imposition and upon becoming 30 final shall be subject to review at the instance of the affected report- 31 ing individual in a proceeding commenced against the [commission on32ethics and lobbying in government] department of oversight and investi- 33 gation or the legislative ethics commission, pursuant to article seven- 34 ty-eight of the civil practice law and rules. 35 § 15. The opening paragraph of section 1-d of the legislative law, as 36 amended by chapter 14 of the laws of 2007, is amended to read as 37 follows: 38 In addition to any other powers and duties [provided by section nine-39ty-four of the executive law,] the [commission] department of oversight 40 and investigation shall, with respect to its lobbying-related functions 41 only, have the power and duty to: 42 § 16. Subdivision 3 of section 2986 of the public authorities law, as 43 added by chapter 506 of the laws of 2009, is amended to read as follows: 44 3. Any communications between an employee and the authorities budget 45 office pursuant to this section shall be held strictly confidential by 46 the authorities budget office, unless the employee specifically waives 47 in writing the right to confidentiality, except that such confidentiali- 48 ty shall not exempt the authorities budget office from disclosing such 49 information, where appropriate, to the [state inspector general in50accordance with section fifty-five of the executive law,] department of 51 oversight and investigation or prevent disclosure to any law enforcement 52 authority. 53 § 17. Paragraph (a) of subdivision 1 of section 73 of the public offi- 54 cers law, as amended by section 13 of part QQ of chapter 56 of the laws 55 of 2022, is amended to read as follows:A. 2496 26 1 (a) The term "compensation" shall mean any money, thing of value or 2 financial benefit conferred in return for services rendered or to be 3 rendered. With regard to matters undertaken by a firm, corporation or 4 association, compensation shall mean net revenues, as defined in accord- 5 ance with generally accepted accounting principles as defined by the 6 [commission on ethics and lobbying in government or] legislative ethics 7 commission or the department of oversight and investigation in relation 8 to persons subject to their respective jurisdictions. 9 § 18. The opening paragraph of paragraph (a) of subdivision 6 of 10 section 73 of the public officers law, as amended by section 15 of part 11 QQ of chapter 56 of the laws of 2022, is amended to read as follows: 12 Every legislative employee not subject to the provisions of section 13 seventy-three-a of this [chapter] article shall, on and after December 14 fifteenth and before the following January fifteenth, in each year, file 15 with the [commission on ethics and lobbying in government] department of 16 oversight and investigation and the legislative ethics commission a 17 financial disclosure statement of: 18 § 19. Paragraph (h) of subdivision 8 of section 73 of the public offi- 19 cers law, as amended by section 16 of part QQ of chapter 56 of the laws 20 of 2022, is amended to read as follows: 21 (h) Notwithstanding the provisions of subparagraphs (i) and (ii) of 22 paragraph (a) of this subdivision, a former state officer or employee 23 may contract individually, or as a member or employee of a firm, corpo- 24 ration or association, to render services to any state agency when the 25 agency head certifies in writing to the [commission on ethics and lobby-26ing in government] department of oversight and investigation that the 27 services of such former officer or employee are required in connection 28 with the agency's response to a disaster emergency declared by the 29 governor pursuant to section twenty-eight of the executive law. 30 § 20. Subdivision 8-a of section 73 of the public officers law, as 31 amended by chapter 357 of the laws of 2001 and the opening paragraph as 32 amended by section 17 of part QQ of chapter 56 of the laws of 2022, is 33 amended to read as follows: 34 8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a) of 35 subdivision eight of this section shall not apply to any such former 36 state officer or employee engaged in any of the specific permitted 37 activities defined in this subdivision that are related to any civil 38 action or proceeding in any state or federal court, provided that the 39 attorney general has certified in writing to the [commission on ethics40and lobbying in government] department of oversight and investigation, 41 with a copy to such former state officer or employee, that the services 42 are rendered on behalf of the state, a state agency, state officer or 43 employee, or other person or entity represented by the attorney general, 44 and that such former state officer or employee has expertise, knowledge 45 or experience which is unique or outstanding in a field or in a partic- 46 ular matter or which would otherwise be generally unavailable at a 47 comparable cost to the state, a state agency, state officer or employee, 48 or other person or entity represented by the attorney general in such 49 civil action or proceeding. In those instances where a state agency is 50 not represented by the attorney general in a civil action or proceeding 51 in state or federal court, a former state officer or employee may engage 52 in permitted activities provided that the general counsel of the state 53 agency, after consultation with the [commission on ethics and lobbying54in government] department of oversight and investigation, provides to 55 [the commission on ethics and lobbying in government] such department a 56 written certification which meets the requirements of this subdivision.A. 2496 27 1 For purposes of this subdivision the term "permitted activities" shall 2 mean generally any activity performed at the request of the attorney 3 general or the attorney general's designee, or in cases where the state 4 agency is not represented by the attorney general, the general counsel 5 of such state agency, including without limitation: 6 (a) preparing or giving testimony or executing one or more affidavits; 7 (b) gathering, reviewing or analyzing information, including documen- 8 tary or oral information concerning facts or opinions, attending deposi- 9 tions or participating in document review or discovery; 10 (c) performing investigations, examinations, inspections or tests of 11 persons, documents or things; 12 (d) performing audits, appraisals, compilations or computations, or 13 reporting about them; 14 (e) identifying information to be sought concerning facts or opinions; 15 or 16 (f) otherwise assisting in the preparation for, or conduct of, such 17 litigation. 18 Nothing in this subdivision shall apply to the provision of legal 19 representation by any former state officer or employee. 20 § 21. Subdivision 8-b of section 73 of the public officers law, as 21 amended by section 17 of part QQ of chapter 56 of the laws of 2022, is 22 amended to read as follows: 23 8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of 24 paragraph (a) of subdivision eight of this section, a former state offi- 25 cer or employee may contract individually, or as a member or employee of 26 a firm, corporation or association, to render services to any state 27 agency if, prior to engaging in such service, the agency head certifies 28 in writing to the [commission on ethics and lobbying in government] 29 department of oversight and investigation that such former officer or 30 employee has expertise, knowledge or experience with respect to a 31 particular matter which meets the needs of the agency and is otherwise 32 unavailable at a comparable cost. Where approval of the contract is 33 required under section one hundred twelve of the state finance law, the 34 comptroller shall review and consider the reasons for such certif- 35 ication. The [commission on ethics and lobbying in government] depart- 36 ment of oversight and investigation must review and approve all certif- 37 ications made pursuant to this subdivision. 38 § 22. Subdivision 10 of section 73 of the public officers law, as 39 amended by section 17 of part QQ of chapter 56 of the laws of 2022, is 40 amended to read as follows: 41 10. Nothing contained in this section, the judiciary law, the educa- 42 tion law or any other law or disciplinary rule shall be construed or 43 applied to prohibit any firm, association or corporation, in which any 44 present or former statewide elected official, state officer or employee, 45 or political party chair, member of the legislature or legislative 46 employee is a member, associate, retired member, of counsel or share- 47 holder, from appearing, practicing, communicating or otherwise rendering 48 services in relation to any matter before, or transacting business with 49 a state agency, or a city agency with respect to a political party chair 50 in a county wholly included in a city with a population of more than one 51 million, otherwise proscribed by this section, the judiciary law, the 52 education law or any other law or disciplinary rule with respect to such 53 official, member of the legislature or officer or employee, or political 54 party chair, where such statewide elected official, state officer or 55 employee, member of the legislature or legislative employee, or poli- 56 tical party chair does not share in the net revenues, as defined inA. 2496 28 1 accordance with generally accepted accounting principles by the [commis-2sion on ethics and lobbying in government or by the] legislative ethics 3 commission or the department of oversight and investigation in relation 4 to persons subject to their respective jurisdictions, resulting there- 5 from, or, acting in good faith, reasonably believed that he or she would 6 not share in the net revenues as so defined; nor shall anything 7 contained in this section, the judiciary law, the education law or any 8 other law or disciplinary rule be construed to prohibit any firm, asso- 9 ciation or corporation in which any present or former statewide elected 10 official, member of the legislature, legislative employee, full-time 11 salaried state officer or employee or state officer or employee who is 12 subject to the provisions of section seventy-three-a of this article is 13 a member, associate, retired member, of counsel or shareholder, from 14 appearing, practicing, communicating or otherwise rendering services in 15 relation to any matter before, or transacting business with, the court 16 of claims, where such statewide elected official, member of the legisla- 17 ture, legislative employee, full-time salaried state officer or employee 18 or state officer or employee who is subject to the provisions of section 19 seventy-three-a of this article does not share in the net revenues, as 20 defined in accordance with generally accepted accounting principles by 21 the [commission on ethics and lobbying in government or by the] legisla- 22 tive ethics commission or the department of oversight and investigation 23 in relation to persons subject to their respective jurisdictions, 24 resulting therefrom, or, acting in good faith, reasonably believed that 25 he or she would not share in the net revenues as so defined. 26 § 23. This act shall take effect on the first of January next succeed- 27 ing the date on which it shall have become a law; provided that the 28 amendment to subdivision 3 of section 212 of the racing, pari-mutuel 29 wagering and breeding law made by section three of this act shall not 30 affect the repeal of such section and shall be deemed repealed there- 31 with. 32 § 3. Severability clause. If any clause, sentence, paragraph, subdivi- 33 sion, section or part of this act shall be adjudged by any court of 34 competent jurisdiction to be invalid, such judgment shall not affect, 35 impair, or invalidate the remainder thereof, but shall be confined in 36 its operation to the clause, sentence, paragraph, subdivision, section 37 or part thereof directly involved in the controversy in which such judg- 38 ment shall have been rendered. It is hereby declared to be the intent of 39 the legislature that this act would have been enacted even if such 40 invalid provisions had not been included herein. 41 § 4. This act shall take effect immediately; provided, however, that 42 the applicable effective dates of Parts A through D of this act shall be 43 as specifically set forth in the last section of such Parts.
