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

(b) The commission shall provide for the transfer, assumption or other
disposition of the records, property, and personnel affected by this
section, and it is further provided, should any employees be transferred
from the joint commission on public ethics ("JCOPE"), the predecessor
ethics agency, to the commission, that such transfer will be without
further examination or qualification and such employees shall retain
their respective civil service classifications, status and collective
bargaining agreements.
(c) The commission shall review any pending inquiries or matters
affected by this section and shall establish policies to address them.
(d) The commission shall undertake a comprehensive review of all
regulations in effect upon the effective date of this section; and
review of all advisory opinions of predecessor ethics agencies,
including JCOPE, the legislative ethics commission, the commission on
public integrity, the state ethics commission, and the temporary
lobbying commission, which will address the consistency of such
regulations and advisory opinions among each other and with the new
statutory language, and of the effectiveness of the existing laws,
regulations, guidance and ethics enforcement structure.
(e) This section shall not be deemed to have revoked or rescinded any
regulations or advisory opinions in effect on the effective date of this
section that were issued by predecessor ethics and lobbying bodies. The
commission shall cooperate, consult, and coordinate with the legislative
ethics commission, to the extent possible, to administer and enforce the
laws under its jurisdiction.
(f) The annual budget submitted by the governor shall separately state
the recommended appropriations for the commission on ethics and lobbying
in government. Upon enactment, these separately stated appropriations
for the commission on ethics and lobbying in government shall not be
decreased by interchange with any other appropriation, notwithstanding
section fifty-one of the state finance law.
2. Definitions. For the purposes of this section, the following terms
shall have the following meanings:
(a) "commission" means the commission on ethics and lobbying in
government established pursuant to subdivision one of this section.
(b) "selection members" means the governor, speaker of the assembly,
temporary president of the senate, minority leader of the senate,
minority leader of the assembly, comptroller, and the attorney general.
(c) "independent review committee" means the committee of the American
Bar Association accredited New York state law school deans or interim
deans, or their designee who is an associate dean of their respective
law school, tasked with reviewing, approving, or denying the members of

the commission as nominated by the selection members and other tasks
pursuant to this section.
(d) "respondent" means the individual or individuals or organization
or organizations subject to an inquiry, investigation, or enforcement
action.
(e) "victim" means any individual that has suffered or alleged to have
suffered direct harm from any violation of law that is subject to
investigation under the jurisdiction of the commission.
3. Nomination and appointment of the commission. (a) The commission
shall consist of eleven members, to be nominated by the selection
members as follows: three members by the governor; two members by the
temporary president of the senate; one member by the minority leader of
the senate; two members by the speaker of the assembly; one member by
the minority leader of the assembly; one member by the attorney general;
and one member by the comptroller.
(b) The independent review committee shall within thirty days review
the qualifications of the nominated candidates and approve or deny each
candidate nominated by their respective selection member.
(c) The independent review committee shall publish on its website a
procedure by which it will review the qualifications of the nominated
candidate and approve or deny each candidate.
(d) Those candidates that the independent review committee deems to
meet the qualifications necessary for the services required based on
their background and expertise that relate to the candidate's potential
service on the commission shall be appointed as a commission member. The
nominating selection member shall nominate a new candidate for those
that are denied by the independent review committee.
(e) No individual shall be eligible for nomination and appointment as
a member of the commission who is currently, or has within the last two
years:
(i) been registered as a lobbyist in New York state;
(ii) been a member or employee of the New York state legislature, a
statewide elected official, or a commissioner of an executive agency
appointed by the governor;
(iii) been a political party chair, as defined in section
seventy-three of the public officers law; or
(iv) been a state officer or employee as defined in section
seventy-three of the public officers law.
(f) The independent review committee shall convene as needed or as
requested by the selection members. The chair of the independent review
committee shall be elected from the members of the independent review
committee.
(g) Appropriate staffing and other resources shall be provided for in
the commission's budget for the independent review committee to carry
out its powers, functions, and duties. The independent review committee
shall publish on the commission's website a procedure by which it will
review and select the commission members and other processes to
effectuate its responsibilities under this section.
(h) The majority of the independent review committee shall constitute
a quorum to hold a meeting and conduct official business.
(i) During the pendency of the review and approval or denial of the
candidates, the independent review committee shall be subject to and
maintain confidentiality in all independent review committee processes,
reviews, analyses, approvals, and denials. A member of the independent
review committee may be removed by majority vote of the committee for
substantial neglect of duty, misconduct, violation of the
confidentiality restrictions set forth in this section, inability to

discharge the powers or duties of the committee or violation of this
section, after written notice and opportunity for a reply.
(j) Upon the receipt of the selection members' appointments, members
of the independent review committee shall disclose to the independent
review committee any personal, professional, financial, or other direct
or indirect relationships a member of the independent review committee
may have with an appointee. If the independent review committee
determines a conflict of interest exists, such independent review
committee member shall, in writing, notify the other members of the
independent review committee of the possible conflict. The member may
recuse themself from all subsequent involvement in the consideration of
and action upon the appointment. If, after disclosure, the member does
not recuse themself from the matter, the independent review committee,
by majority vote finding the disclosed information creates a substantial
conflict of interest, may remove the conflicted member from further
consideration of and action upon the appointment.
(k) Notwithstanding the provisions of article seven of the public
officers law, no meeting or proceeding of the independent review
committee shall be open to the public, except the applicable records
pertaining to the review and selection process for a member's seat shall
be subject to disclosure pursuant to article six of the public officers
law only after an individual member is appointed to the commission.
Requests for such records shall be made to, and processed by, the
commission's records access officer.
(l) The independent review committee shall neither be public officers
nor be subject to the requirements of the public officers law.
(m) Notwithstanding subdivision (l) of this section, the independent
review committee members shall be entitled to representation,
indemnification, and to be held harmless to the same extent as any other
person employed in service of the state and entitled to such coverage
under sections seventeen and nineteen of the public officers law,
provided however, that any independent review committee member removed
due to a violation of paragraph (i) of this subdivision shall not
qualify for such entitlements.
4. Commission. (a) The first class of members of the commission shall
serve staggered terms to ensure continuity. For the first class of the
commission, the governor's first appointee shall serve an initial term
of four years, their second appointee shall serve an initial term of two
years, and their third appointee shall serve an initial term of one
year; the attorney general's appointee shall serve an initial term of
four years; the comptroller's appointee shall serve an initial term of
four years; the temporary president of the senate's first appointee
shall serve an initial term of four years and their second appointee
shall serve a term of two years; the minority leader of the senate's
appointee shall serve an initial term of four years; the speaker of the
assembly's first appointee shall serve initial terms of four years and
their second appointee shall serve a term of two years; and the minority
leader of the assembly's appointee shall serve a term of four years. All
subsequent members shall serve a term of four years. No member shall be
selected to the commission for more than two full consecutive terms,
except that a member who has held the position by filling a vacancy can
only be selected to the commission for an additional two full
consecutive terms.
(b) The commission by majority vote shall elect a chairperson from
among its members for a term of two years. A chairperson may be elected
to no more than two terms for such office.
(c) Members of the commission may be removed by majority vote of the
commission for substantial neglect of duty, misconduct in office,

violation of the confidentiality restrictions set forth in this section,
inability to discharge the powers or duties of office or violation of
this section, after written notice and opportunity for a reply.
(d) Any vacancy occurring on the commission shall be filled within
thirty days of its occurrence in the same manner as a member is
initially selected to complete the vacant term.
(e) During the period of a member's service as a member of the
commission, the member shall refrain from making, or soliciting from
other persons, any contributions to candidates, political action
committees, political parties or committees, newsletter funds, or
political advertisements for election to the offices of governor,
lieutenant governor, member of the assembly or the senate, attorney
general or state comptroller.
(f) Members of the commission shall receive a per diem allowance equal
to the salary of a justice of the supreme court divided by two hundred
twenty for each day or each pro-rated day actually spent in the
performance of the member's duties under this section, and, in addition
thereto, shall be reimbursed for all reasonable expenses actually and
necessarily incurred by the member in the performance of the member's
duties under this section. For the purposes of this subdivision, a day
shall consist of at least seven and one-half hours spent in the
performance of the member's duties under this section.
(g) The commission shall meet at least quarterly and additionally as
called by the chairperson, or upon the call of a majority of the members
of the commission. The commission shall be subject to articles six and
seven of the public officers law.
(h) A majority of the members of the commission shall constitute a
quorum, and the commission shall have the power to act by majority vote
of the total number of members of the commission without vacancy.
(i) The commission shall hold a public hearing at least once each
calendar year to take testimony regarding the operation of the
commission and solicit public input regarding potential or proposed
changes in the laws under its jurisdiction.
5. Powers. (a) The commission has the authority to: (i) adopt, amend,
and rescind any rules and regulations pertaining to section
seventy-three, seventy-three-a or seventy-four of the public officers
law, article one-A of the legislative law, or section one hundred seven
of the civil service law; (ii) adopt, amend, and rescind any procedures
of the commission, including but not limited to, procedures for advice
and guidance, training, filing, review, and enforcement of financial
disclosure statements, investigations, enforcement, and due process
hearings; and (iii) develop and promulgate any programs for reviews,
training, and guidance to carry out the commission's mission.
(b) The commission shall adopt and post on its website guidance
documents detailing the processes and procedures of an investigation,
including the stages of an investigation; timelines, including the
reasons for any potential delays in an investigation; the hearing and
adjudication process; outcomes of an investigation; and, anything else
the commission deems necessary to inform the public as well as relevant
parties to an investigation including complainants, respondents,
victims, if any, and witnesses as to such processes and procedures. The
guidance documents shall delineate the processes and procedures that
apply to the relevant parties, including, where applicable, the due
process and any other rights or remedies that the relevant party may
have under the commission's procedures or any other area of law. The
guidance documents shall be provided to the relevant party of an
investigation upon such party's involvement in such investigation.
(c) The commission has the authority to compel the testimony of
witnesses, and may administer oaths or affirmations, subpoena witnesses,
compel their attendance and require the production of any books or
records which it may deem relevant or material.
6. Executive director and commission staff. The commission shall:
(a) (i) Appoint an executive director through a majority vote of the
members of the commission, who shall act in accordance with the policies
of the commission. The executive director shall be appointed without
regard to political affiliation and solely on the basis of fitness to
perform the duties assigned by this section, and meet the qualifications
necessary for the services required based on their background and
expertise that relate to the candidate's potential service to the
commission. No individual shall be eligible to be appointed as an
executive director if the individual is currently, or within the last
two years has been:
(1) registered as a lobbyist in New York state;
(2) a member or employee of the New York state legislature or a
statewide elected official, or a commissioner of an executive agency
appointed by the governor; or
(3) a political party chair, as defined in section seventy-three of
the public officers law.
(ii) The appointment and removal of the executive director shall be
made by a majority vote of the commission.
(iii) The term of office of the executive director shall be four years
from the date of appointment. The salary of the executive director shall
be determined by the members of the commission based on experience.
(iv) The commission may remove the executive director for neglect of
duty, misconduct in office, violation of the confidentiality
restrictions in this section, or inability or failure to discharge the
powers or duties of office, including the failure to follow the lawful
instructions of the commission.
(b) The commission may delegate authority to the executive director to
act in the name of the commission between meetings of the commission
provided such delegation is in writing, the specific powers to be
delegated are enumerated, and the commission shall not delegate any
decisions specified in this section that require a vote of the
commission.
(c) The commission, through the executive director, shall establish
units within the commission to carry out it duties, including, but not
limited to, (i) an advice and guidance unit, (ii) a training unit, (iii)
a financial disclosure unit, (iv) a lobbying unit, and (v) an
investigations and enforcement unit.
(d) The commission, through the executive director, shall appoint such
other staff as are necessary to carry out its duties under this section,
including, but not limited to, a deputy director of an advice and
guidance unit to provide timely confidential advice to persons subject
to the commission's jurisdiction, a deputy director for training, a
deputy director for investigations and enforcement, and a deputy
director for lobbying.
(e) In addition to meeting the qualifications necessary for the
services required for the position, the deputy director for
investigations and enforcement shall have completed substantial training
and have experience in trauma-informed approaches to investigations and
enforcement. The deputy director for investigations and enforcement
shall complete a minimum of four hours of training annually in
trauma-informed approaches to investigations and enforcement. Such
trainings may include, but not be limited to, the impact of trauma,

first impression matters, victim interviews, investigative strategies,
and alcohol and drug facilitated cases.
(f) The commission, through the executive director, shall review and
approve a staffing plan provided and prepared by the executive director
which shall contain, at a minimum, a list of the various units and
divisions as well as the number of positions in each unit, titles and
their duties, and salaries, as well as the various qualifications for
each position.
7. Advice and guidance. (a) The commission shall establish a unit or
units solely for ethics and lobbying guidance, and give such prompt,
informal advice to persons whose conduct it oversees, except with
respect to members of the legislature and legislative staff, who shall
seek advice from the legislative ethics commission in the first
instance.
(b) Persons receiving such informal advice may rely on that advice
absent misrepresentation or omission of material facts to the commission
and such communications with the commission shall be treated as
confidential, except as disclosure is needed to prevent or rectify a
crime or fraud, or prevent a substantial threat to public health or
safety or if required by court order.
(c) The commission may also render, on written request or on its own
initiative, advisory opinions, and may allow for public comment before
issuance of an advisory opinion. Such an opinion rendered by the
commission shall be relied on by those subject to the commission's
jurisdiction and until, or unless, amended, superseded, or revoked. Such
opinion may also be relied upon by any such person, and may be
introduced and shall be a defense, in any criminal or civil action.
8. Training. The commission shall establish a training unit and shall
develop and administer an on-going program for the education and
training in ethics and lobbying for those subject to the provisions of
this section, as follows:
(a) The commission shall develop and administer a comprehensive and
interactive live-in person or live-online ethics training course and
shall designate and train instructors to conduct such training. Such
live course shall be designed to include practical application of the
material covered and a question-and-answer participatory segment. Unless
the commission grants an extension or waiver for good cause shown,
statewide elected officials, members of the legislature and employees of
the legislature, and state officers and employees as defined in sections
seventy-three, seventy-three-a, and seventy-four of the public officers
law, and the political party chair as is defined in section
seventy-three of the public officers law, shall complete the live course
within ninety days of appointment or employment and shall complete the
live course every two years subsequently.
(b) The commission shall develop and administer an online ethics
refresher course for all individuals listed under subparagraph (i) of
this paragraph who have previously completed the live course. Such
refresher course shall be designed to include any changes in law,
regulation, or policy or in the interpretation thereof, and practical
application of the material covered. Unless the commission grants an
extension or waiver for good cause shown, such individuals shall take
such refresher course once every year after having completed the live
course under paragraph (a) of this subdivision.
(c) The commission shall develop and administer an online live
question and answer course for agency ethics officers.
(d) The commission shall develop and administer training courses for
lobbyists and clients of lobbyists.
(e) The provisions of this subdivision shall be applicable to the
legislature except to the extent that an ethics training program is
otherwise established by the assembly and/or senate for their respective
members and employees and such program meets or exceeds each of the
requirements set forth in this subdivision.
(f) On an annual basis, the commission, in coordination with the
legislative ethics commission, shall determine the status of compliance
with the training requirements under this subdivision by each state
agency and by the senate and the assembly. Such determination shall
include aggregate statistics regarding participation in such training
and shall be reported on a quarterly basis to the governor and the
legislature in writing.
9. Financial disclosure statements. (a) The commission may delegate
all or part of review, inquiry and advice in this section to the staff
under the supervision of the executive director.
(b) The commission shall make available forms for annual statements of
financial disclosure required to be filed pursuant to section
seventy-three-a of the public officers law.
(c) The commission shall review the financial disclosure statements of
the statewide elected officials and members of the legislature within
sixty days of their filings to determine, among other things,
deficiencies and conflicts.
(d) The commission shall review on a random basis the financial
disclosure statements for filers who are not statewide elected officials
and members of the legislature.
(e) The commission shall review financial disclosure statements filed
in accordance with the provisions of this section and (i) inquire into
any disclosed conflict to recommend how best to address such conflict;
and
(ii) ascertain whether any person subject to the reporting
requirements of section seventy-three-a of the public officers law has
failed to file such a statement, has filed a deficient statement or has
filed a statement which reveals a possible violation of section
seventy-three, seventy-three-a or seventy-four of the public officers
law.
(f) If a person required to file a financial disclosure statement with
the commission has failed to file a disclosure statement or has filed a
deficient statement, the commission shall notify the reporting person in
writing, state the failure to file or detail the deficiency, provide the
person with a fifteen-day period to cure the deficiency, and advise the
person of the penalties for failure to comply with the reporting
requirements. This first notice of deficiency shall be confidential. If
the person fails to make such filing or fails to cure the deficiency
within the specified time period, the commission shall send a notice of
delinquency (i) to the reporting person; (ii) in the case of a statewide
elected official, to the chief of staff or counsel to the statewide
elected official; (iii) in the case of a member of the legislature or a
legislative employee, to the temporary president of the senate and the
speaker of the assembly; and (iv) in the case of a state officer,
employee or board member, to the appointing authority for such person.
Such notice of delinquency may be sent at any time during the reporting
person's service as a statewide elected official, state officer or
employee, member of the assembly or the senate, or a legislative
employee or a political party chair or while a candidate for statewide
office, or within one year after termination of such service or
candidacy. A copy of any notice of delinquency or report shall be
included in the reporting person's file and be available for public
inspection and copying pursuant to the provisions of this section. The

jurisdiction of the commission, when acting pursuant to this subdivision
with respect to financial disclosure, shall continue for two years
notwithstanding that the reporting person separates from state service,
or ceases to hold public or political party office, or ceases to be a
candidate, provided the commission notifies such person of the alleged
failure to file or deficient filing pursuant to this subdivision.
(g) The commission shall adopt a procedure whereby a person who is
required to file an annual financial disclosure statement with the
commission may request an additional period of time within which to file
such statement, other than members of the legislature, candidates for
members of the legislature and legislative employees, due to justifiable
cause or undue hardship.
(h) The commission may permit any person who is required to file a
financial disclosure statement with the commission to request that the
commission delete from the copy thereof made available for public
inspection and copying one or more items of information which may be
deleted by the commission upon a finding by the commission that the
information which would otherwise be required to be made available for
public inspection and copying will have no material bearing on the
discharge of the reporting person's official duties. If such request for
deletion is denied, the commission, in its notification of denial, shall
inform the person of their right to appeal the commission's
determination in a proceeding commenced against the commission, pursuant
to article seventy-eight of the civil practice law and rules.
(i) The commission may permit any person who is required to file a
financial disclosure statement with the commission to request an
exemption from any requirement to report one or more items of
information which pertain to such person's spouse, domestic partner, or
unemancipated children which item or items may be exempted by the
commission upon a finding by the commission that the reporting
individual's spouse, domestic partner, on their own behalf, or on behalf
of an unemancipated child, objects to providing the information
necessary to make such disclosure and that the information which would
otherwise be required to be reported shall have no material bearing on
the discharge of the reporting person's official duties. If such request
for exemption is denied, the commission, in its notification of denial,
shall inform the person of their right to appeal the commission's
determination, pursuant to article seventy-eight of the civil practice
law and rules.
(j) The commission may permit any person required to file a financial
disclosure statement to request an exemption from any requirement to
report the identity of a client pursuant to the question under
subparagraph (b) of paragraph eight of subdivision three of section
seventy-three-a of the public officers law in such statement based upon
an exemption set forth in such question. The reporting individual need
not seek an exemption to refrain from disclosing the identity of any
client with respect to any matter where they or their firm provided
legal representation to the client in connection with an investigation
or prosecution by law enforcement authorities, bankruptcy, or domestic
relations matters. In addition, clients or customers receiving medical
or dental services, mental health services, residential real estate
brokering services, or insurance brokering services need not be
disclosed. Pending any application for deletion or exemption to the
commission relating to the filing of a financial disclosure statement,
all information which is the subject or part of the application shall
remain confidential. Upon an adverse determination by the commission,
the reporting individual may request, and upon such request the
commission shall provide, that any information that is the subject or

part of the application remain confidential for a period of thirty days
following notice of such determination. In the event that the reporting
individual resigns their office and holds no other office subject to the
jurisdiction of the commission, the information shall not be made public
and shall be expunged in its entirety.
(k) The commission shall permit any person who has not been determined
by the person's appointing authority to hold a policy-making position,
but who is otherwise required to file a financial disclosure statement
to request an exemption from such requirement in accordance with rules
and regulations governing such exemptions. Such rules and regulations
shall provide for exemptions to be granted either on the application of
an individual or on behalf of persons who share the same job title or
employment classification which the commission deems to be comparable
for purposes of this section. Such rules and regulations may permit the
granting of an exemption where, in the discretion of the commission, the
public interest does not require disclosure and the applicant's duties
do not involve the negotiation, authorization or approval of:
(i) contracts, leases, franchises, revocable consents, concessions,
variances, special permits, or licenses as such terms are defined in
section seventy-three of the public officers law;
(ii) the purchase, sale, rental or lease of real property, goods or
services, or a contract therefor;
(iii) the obtaining of grants of money or loans; or
(iv) the adoption or repeal of any rule or regulation having the force
and effect of law.
10. Investigation and enforcement. (a) The commission shall receive
complaints and referrals alleging violations of section seventy-three,
seventy-three-a or seventy-four of the public officers law, article
one-A and section five-b of the legislative law, or section one hundred
seven of the civil service law.
(b) Upon the receipt of a complaint, referral, or the commencement of
an investigation, members of the commission shall disclose to the
commission any personal, professional, financial, or other direct or
indirect relationships a member of the commission may have with a
complainant or respondent. If any commissioner determines a conflict of
interest may exist, the commissioner shall, in writing, notify the other
members of the commission setting forth the possible conflict of
interest. The commissioner may recuse themself from all subsequent
involvement in the consideration and determination of the matter. If,
after the disclosure, the commissioner does not recuse themself from the
matter, the commission, by a majority vote finding that the disclosed
information creates a substantial conflict of interest, shall remove the
conflicted commissioner from all subsequent involvement in the
consideration and determination of the matter, provided the reason for
the decision is clearly stated in the determination of the commission.
(c) The commission shall conduct any investigation necessary to carry
out the provisions of this section. Pursuant to this power and duty, the
commission may administer oaths or affirmations, subpoena witnesses,
compel their attendance and testimony, and require the production of any
books or records which it may deem relevant or material. The commission
may, by a majority vote and pursuant to regulations adopted pursuant to
the state administrative procedure act, delegate to the executive
director the authority to issue subpoenas, provided that the executive
director first notify the chair of the commission.
(d) The commission staff shall review and investigate, as appropriate,
any information in the nature of a complaint or referral received by the
commission or initiated by the commission, including through its review
of media reports and other information, where there is specific and

credible evidence that a violation of section seventy-three,
seventy-three-a, or seventy-four of the public officers law, section one
hundred seven of the civil service law or article one-A of the
legislative law by a person or entity subject to the jurisdiction of the
commission including members of the legislature and legislative
employees and candidates for members of the legislature.
(e) The commission shall notify the complainant, if any, that the
commission has received their complaint.
(f) If, following a preliminary review of any complaint or referral,
the commission or commission staff decides to elevate such preliminary
review into an investigation, written notice shall be provided to the
respondent setting forth, to the extent the commission is able to, the
possible or alleged violation or violations of such law and a
description of the allegations against the respondent and the evidence,
if any, already gathered pertaining to such allegations, provided
however that any information that may, in the judgment of the commission
or staff, either be prejudicial to the complainant or compromise the
investigation shall be redacted. The respondent shall have fifteen days
from receipt of the written notice to provide any preliminary response
or information the respondent determines may benefit the commission or
commission staff in its work. After the review and investigation, the
staff shall prepare a report to the commission setting forth the
allegation or allegations made, the evidence gathered in the review and
investigation tending to support and disprove, if any, the allegation or
allegations, the relevant law, and a recommendation for the closing of
the matter as unfounded or unsubstantiated, for settlement, for
guidance, or moving the matter to a confidential due process hearing.
The commission shall, by majority vote, return the matter to the staff
for further investigation or accept or reject the staff recommendation.
(g) In an investigation involving a victim the commission shall ensure
that any interview of such victim is upon such victim's consent and that
the investigator or investigators interviewing such victim have adequate
trauma informed and victim centered investigative training. If a victim
is requested to testify at a hearing, the commission shall provide
sufficient notice to the victim of such request. Regardless of whether a
victim is requested to or testifies at a hearing, the victim shall be
informed as to how any statements made or information provided will be
used in an investigation.
(h) Upon the conclusion of an investigation, if the commission, after
consideration of a staff report, determines by majority vote that there
is credible evidence of a violation of the laws under its jurisdiction,
it shall provide the respondent timely notice for a due process hearing.
The commission shall also inform the respondent of its rules regarding
the conduct of adjudicatory proceedings and appeals and the other due
process procedural mechanisms available to the respondent. If after a
hearing the complaint is unsubstantiated or unfounded, the commission
shall provide written notice to the respondent, complainant, if any, and
victim, if any, provided that such notice shall not include any
personally identifying information or information tending to identify
any party involved in an investigation.
(i) The hearing shall be conducted before an independent arbitrator.
Such hearing shall afford the respondent with a reasonable opportunity
to appear in person, and by attorney, give sworn testimony, present
evidence, and cross-examine witnesses.
(j) The commission may, at any time, develop procedures and rules for
resolution of de minimus or minor violations that can be resolved
outside of the enforcement process, including the sending of a
confidential guidance or educational letter.
(k) The jurisdiction of the commission when acting pursuant to this
section shall continue notwithstanding that a statewide elected official
or a state officer or employee or member of the legislature or
legislative employee separates from state service, or a political party
chair ceases to hold such office, or a candidate ceases to be a
candidate, or a lobbyist or client of a lobbyist ceases to act as such,
provided that the commission notifies such individual or entity of the
alleged violation of law within two years from the individual's
separation from state service or termination of party service or
candidacy, or from the last report filed pursuant to article one-A of
the legislative law. Nothing in this section shall serve to limit the
jurisdiction of the commission in enforcement of subdivision eight of
section seventy-three of the public officers law.
(l) If the commission's vote to proceed to a due process hearing after
the completion of an investigation does not carry, the commission shall
provide written notice of the decision to the respondent, complainant,
if any, and victim, if any, provided that such notice shall not include
any personally identifying information or information tending to
identify any party involved in an investigation.
(m) If the commission determines a complaint or referral lacks
specific and credible evidence of a violation of the laws under its
jurisdiction, or a matter is closed due to the allegations being
unsubstantiated prior to a vote by the commission, such records and all
related material shall be exempt from public disclosure under article
six of the public officers law, except the commission's vote shall be
publicly disclosed in accordance with articles six and seven of the
public officers law. The commission shall provide written notice of
such closure to the respondent, complainant, if any, or victim, if any,
provided that such notice shall not include any personally identifying
information or information tending to identify any party involved in an
investigation.
(n) (i) An individual subject to the jurisdiction of the commission
who knowingly and intentionally violates the provisions of subdivisions
two through five-a, seven, eight, twelve or fourteen through seventeen
of section seventy-three of the public officers law, section one hundred
seven of the civil service law, or a reporting individual who knowingly
and willfully fails to file an annual statement of financial disclosure
or who knowingly and willfully with intent to deceive makes a false
statement or fraudulent omission or gives information which such
individual knows to be false on such statement of financial disclosure
filed pursuant to section seventy-three-a of the public officers law,
shall be subject to a civil penalty in an amount not to exceed forty
thousand dollars and the value of any gift, compensation or benefit
received as a result of such violation.
(ii) An individual who knowingly and intentionally violates the
provisions of paragraph a, b, c, d, e, g, or i of subdivision three of
section seventy-four of the public officers law, shall be subject to a
civil penalty in an amount not to exceed ten thousand dollars and the
value of any gift, compensation or benefit received as a result of such
violation.
(iii) An individual subject to the jurisdiction of the commission who
knowingly and willfully violates article one-A of the legislative law
shall be subject to civil penalty as provided for in that article.
(iv) With respect to a potential violation of any criminal law where
the commission finds sufficient cause by a majority vote, it shall refer
such matter to the appropriate law enforcement authority for further
investigation.
(v) In assessing the amount of the civil penalties to be imposed, the
commission shall consider the seriousness of the violation, the amount
of gain to the individual and whether the individual previously had any
civil or criminal penalties imposed pursuant to this section, and any
other factors the commission deems appropriate.
(vi) A civil penalty for false filing shall not be imposed under this
subdivision in the event a category of "value" or "amount" reported
hereunder is incorrect unless such reported information is falsely
understated.
(vii) Notwithstanding any other provision of law to the contrary, no
other penalty, civil or criminal may be imposed for a failure to file,
or for a false filing, of such statement, or a violation of subdivision
six of section seventy-three of the public officers law or section one
hundred seven of the civil service law, except that the commission may
recommend that the individual in violation of such subdivision or
section be disciplined.
(o) The commission shall be deemed to be an agency within the meaning
of article three of the state administrative procedure act and shall
adopt rules governing the conduct of adjudicatory proceedings and
appeals taken pursuant to a proceeding commenced under article
seventy-eight of the civil practice law and rules relating to the
assessment of the civil penalties or the recommendation of employee
discipline herein authorized. Such rule shall provide for due process
procedural mechanisms substantially similar to those set forth in
article three of the state administrative procedure act but such
mechanisms need not be identical in terms or scope.
(p) (i) The commission shall have jurisdiction to investigate, but
shall have no jurisdiction to impose penalties or discipline upon
members of or candidates for member of the legislature or legislative
employees for any violation of the public officers law or section one
hundred seven of the civil service law. If, after investigation and a
due process hearing, the commission has found, by a majority vote, a
substantial basis to conclude that a member of the legislature or a
legislative employee or candidate for member of the legislature has
violated any provisions of such laws, it shall prepare a written report
of its findings and provide a copy of that report to the legislative
ethics commission, and to such individual in violation of such law. The
commission shall provide to the legislative ethics commission copies of
the full investigative file and hearing record.
(ii) With respect to the investigation of any individual who is not a
member of the legislature or a legislative employee or candidate for
member of the legislature, if after its investigation and due process
hearing, the commission has found, by a majority vote, a substantial
basis to conclude that the individual or entity has violated the public
officers law, section one hundred seven of the civil service law, or the
legislative law, the commission shall determine whether, in addition to
or in lieu of any fine authorized by this article, the matter should be
referred to their employer for discipline with a warning, admonition,
censure, suspension or termination or other appropriate discipline. With
regard to statewide elected officials, the commission may not order
suspension or termination but may recommend impeachment. The commission
shall then issue a report containing its determinations including its
findings of fact and conclusions of law to the complainant and
respondent. The commission shall publish such report on its website
within twenty days of its delivery to the complainant and respondent.
11. Confidentiality. (a) When an individual becomes a commissioner or
staff of the commission, such individual shall be required to sign a
non-disclosure statement.
(b) Except as otherwise required or provided by law, or when necessary
to inform the complainant or respondent of the alleged violation of law,
if any, of the status of an investigation, testimony received, or any
other information obtained by a commissioner or staff of the commission,
shall not be disclosed by any such individual to any person or entity
outside of the commission during the pendency of any matter. Any
confidential communication to any person or entity outside the
commission related to the matters before the commission shall occur only
as authorized by the commission. For the purposes of this paragraph,
"matter" shall mean any complaint, review, inquiry, or investigation
into alleged violations of this chapter.
(c) The commission shall establish procedures necessary to prevent the
unauthorized disclosure of any information received by any member of the
commission or staff of the commission. Any breaches of confidentiality
may be investigated by the New York state office of the inspector
general, attorney general, or other appropriate law enforcement
authority upon a majority vote of the commission to refer, and
appropriate action shall be taken.
(d) Any commission member or person employed by the commission who
intentionally and without authorization releases confidential
information received or generated by the commission shall be guilty of a
class A misdemeanor.
12. Annual report. (a) The commission shall make an annual public
report summarizing the activities of the commission during the previous
year and recommending any changes in the laws governing the conduct of
persons subject to the jurisdiction of the commission, or the rules,
regulations and procedures governing the commission's conduct. Such
report shall include, but is not limited to:
(i) information on the number and type of complaints received by the
commission and the status of such complaints;
(ii) information on the number of investigations pending and nature of
such investigations;
(iii) where a matter has been resolved, the date and nature of the
disposition and any sanction imposed; provided, however, that such
annual report shall not contain any information for which disclosure is
not permitted pursuant to this section or other laws;
(iv) information regarding financial disclosure compliance for the
preceding year; and
(v) information regarding lobbying law filing compliance for the
preceding year.
(b) Such a report shall be filed in the office of the governor and
with the legislature on or before the first day of April for the
preceding year.
13. Website. (a) Within one hundred twenty days of the effective date
of this section, the commission shall update JCOPE's publicly accessible
website which shall set forth the procedure for filing a complaint with
the commission, the filing of financial disclosure statements filed by
state officers or employees or legislative employees, the filing of
statements required by article one-A of the legislative law, and any
other records or information which the commission determines to be
appropriate.
(b) The commission shall post on its website the following documents:
(i) the information set forth in an annual statement of financial
disclosure filed pursuant to section seventy-three-a of the public
officers law except information deleted pursuant to paragraph (g) of
subdivision nine of this section of statewide elected officials and
members of the legislature;
(ii) notices of delinquency sent under subdivision nine of this
section;
(iii) notices of civil assessments imposed under this section which
shall include a description of the nature of the alleged wrongdoing, the
procedural history of the complaint, the findings and determinations
made by the commission, and any sanction imposed;
(iv) the terms of any settlement or compromise of a complaint or
referral which includes a fine, penalty or other remedy;
(v) those required to be held or maintained publicly available
pursuant to article one-A of the legislative law; and
(vi) reports issued by the commission pursuant to this section.
14. Additional powers. In addition to any other powers and duties
specified by law, the commission shall have the power and duty to
administer and enforce all the provisions of this section.
15. Severability. If any part or provision of this section or the
application thereof to any person or organization is adjudged by a court
of competent jurisdiction to be unconstitutional or otherwise invalid,
such judgment shall not affect or impair any other part or provision or
the application thereof to any other person or organization, but shall
be confined in its operation to such part or provision.

Structure New York Laws