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                 State University    of New York
A-
                 Memorandum              to Presidents


                 Date:          October       30,    1987                                                VOI.     87     No.   11

                 From:          Office of the University   Counsel                        and
                                Vice Chancellor  for Legal Affairs
                 Subject:       Ethics       in    Government


                 To: Presidents,            State-Operated   Campuses
                     Presidents,            Community Colleges

                          With the adoption    of the Ethics     in Government Act (L. 1987,
                 Ch.     813),     significant   new obligations      are imposed      on public
                 officers       and employees  in the State of New York.        The purpose of
                 this     memorandum is to summarize         the principal    features     of the
                 Ethics      Act, a copy of which is attached       for your further      review.
                          This     memorandum addresses                primarily       the     impact      of    the
                 Ethics      Act on State employees               and officers,         since the Act has a
                 direct      effect       on those        employees'       legal   obligations.          By con-
                 trast,        the     impact      of     the    Ethics      Act   on community            college
                 officers        and employees         will     depend upon actions             taken by local
                 sponsors.          Although       these actions         are not m~andated until              1991,
                 local      governments         may act at any time before                   that    date.       The
                 Ethics      Act does not apply,              however,     to officers       and employees of
                 the statutory           colleges,      -
                        With        respect     to officers    and employees of State   agencies                                 I
                 including          all   State-operated      campuses of the State   University                                ,
                                                                                                                                ‘
                 the Ethics          Act affects      two primary   areas:
                             1. By amendment                to   Public        Officers         Law,      ~73,     the
                                Ethics Act
                                    --   prohibits  for   two years                    after           leaving         an
                                         agency any appearances    or                 practice           before        an
                                         employee's former agency;
                                    --   prohibits        indefinitely       any   appearances      or
                                         practice       before      an employee's    former    agency
                                         regarding       matters     with which the employee was
                                         directly      involved      for the agency;
                                    --   prohibits    receipt             of  or agreeing        to receive
                                         compensation         for           rendition       of      services
                                         involving    a State             agency,     other    than in the
Memorandum to Presidents                                                                         No. 87-11
October  30, 1987                                                                                Page 2
                                                                                                             4 >
                                                                                                             4
                                                                                                             ‘
                    discharge   of         official          duties,        in the       areas     of,
                    among others           -
                    Oreal     property        transactions;
                    'contracts       for      purchases          of goods          or    services;
                    Orulemaking;
                    “obtaining       grants           or    loans.
              --    changes the prohibition                     upon receipt   or accep-
                    tance  of gifts    valued                   at $25.00    or more to
                    those valued at $75.00                     or more.
          2. By the enactment                 of      Public         Officers       Law,       573-a,
             the Ethics Act
              --    creates      a State        Ethics         Commission;
              --    imposes a financial    disclosure                            requirement         on
                    State officers   and employees
                     Oin policy-making                 positions,           or                               'd
                     "earning      more than               $30,000       per     year;
               --   requires      the appointing          authority     to file     an
                    annual      written        instrument      with    the    Ethics
                    Commission         listing       employees      in   the    above
                    categories.
        In    our     opinion,         the      financial        disclosure       requirement
applies      to the State            University         Trustees,       members of campus
Councils,       and all        State     University        employees       in policy-making
positions      or earning          more than $30,000              per year.       This latter
category      based on income alone will                     include     many faculty      mem-
hers.      Sanctions       for failure         to file      or for falsifving         items of
information        include       $10,000      civil      penalties,      criminal     prosecu-
tion and/or       employee discipline.                As you will       note from the text
Of    the    law,     the     annual       disclosure         statements      are extremely
comprehensive,          including       information        on the finances         of spouses
and unemancipated            children.
        The Ethics     Act does provide,       however,     for procedures    by
which certain      information     may be deleted       or exempted    from the
reporting    requirement,       or by which certain        employees   may seek
exemption    from the reporting      requirement    entirely.      For example,
individuals     or representatives      of classes   of employees may apply                                  d
          Memorandum to Presidents                                                        No. 87-11
          October  30, 1987                                                               Page 3
 t--Z
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          for such exemptions             if they are not deemed by their                 appointing
          authority       to hold       a policy-making         position         but are otherwise
          subject     to the disclosure           requirement        (i.e.,       earn over $30,000
          per year).           These .financial        disclosure         sections      do not take
          effect    until      January     1, 1989, and the-first            ,financial   disclosure
          statement       will    not be due until         May 15, 1989.             The majority    of
          the    remainder        of    the   Ethics     Act    also       becomes effective         on
          January    1, 1989, with the exception               of the amendment to the gift
          acceptance       rule,     which becomes effective            December 31, 1987.
                 We will  be sending     further    advisories      regarding    the details
          of the Ethics        Act    as the effective         date     approaches     and as
          implementing     regulations      are issued.        Any questions        regarding
          the application        of the Ethics      Act should       be addressed       to the
          Office   of University      Counsel    (518-443-5400).




          Attachment
          Copies for information        only:
                 Deans, Statutory     Colleges
                 President  Co11
                Vice Provost     Neisheim
                S.TATE OF NEW YORK
                    CHAPTER 813,       LAWS OF 1987
      S. 6441                                                          A. a528


                           1987-1988     Regular   Sessions



                SENATE-ASSEMBLY
                                   hly     2, 1987




IN      SENATE --  Introduced  by Sew. ANDERSON, OHRXNSTEIN. BRUNO, COOK,
     DALY, DONOVAN, DUNNE. FARLEY, FLOSS, GOODHUE, GOODMAN, JOHNSON; KEHOE,
     KNORR KUHL, LACK, LAVALLE, E. LEVY, N. LEVY, LOMBARDI, MARCHI, ,'
           ,
     MARINO, MCHUGH. MEGA, PADAVAN, PRESENT, ROLISON, SCHERMERHORN,  SEWARD,
     SKELOS, SPANO, STAFFORD, TRUNZO, TULLY. VXLELLA, VOLKER, BABBUSB, BAR-
     TOSIEWICZ, BERNSTEIN, CONNOR, GOLD, JENKINS, MARKOWITZ, MASIELLO. MEN-
     DEZ, NOLAN, ONORATO, OPPENHEIMER, PATERSON; PERRY'; QUATTROCIbC&iI,'    '~
     RUIZ, STACHOWSKI, STAVISKY, WEINSTEIN -- (at request of the Governor I
     -- read twice and ordered printed, and when printed  to be committed to
     the Committee on Rules

IN     ASSEMBLY --    Introduced by M. of A.   M. H. MILLER, RAPPLEYEA, KOP-
     PELLi'NADLXR, DUGAN, HALPIN, TALLON -- Multi-Sponsored     by -- M. of A.
     ABBATE, ABRAMSON, BARBARO. BARNETT, BARRAGA. BECKER, BXHAN, BENNETT.
     BIANCHI, BOYLAND, BRAGMAN. BREN'NAN, BRODSKY, BUTLER, CASALE, CATAPANO,
     CLARK, COCHRANE , COLMAN, CONNELLY, CONNERS, COOKE, CCOMBE. CROWLEY.
     D'ANDREA, DANIELS, DAVIS, DEARIE, DELTORO, DIAZ, DINAPOLI, ENGEL, EVE,           "
     FARRELL, FASO. FELDMAN, FRISA, GAFFNEY, GANTT, GENOVESI,' GORSKI, GOTT-
     FRIED, GRABER, GRANNIS, GREEN, GREENE, GRIFFITH,       HARENBERG, HASPER,
     mLEY,     HEVESI, HILLMAN. HINCHEY, HOYT, JACOBS, JENKINS, KEANE, KEL-
     LERER, KREMER, LAFAYETTE, LARXIN. LENTOL, LOPEZ, MACNEIL. MARSIIALL,
                ,
     MAYERSOHN MCCANN, MCNULTY, MCPHILLIPS, R. Ii. MILLER, MURPHY, MUR-
     TAUGB, NOLAN, NORMAN, NOZZOLIO, O'NEIL, ORTLOFF, PAROLA, PASSANNANTE,
     PATAXI, PATTON, PAXON, PaEFFER, PILLITTERE, PORDUM, PRESCOTT, PROSXIN,
     PROUD, RETTALIATA. RIVERA, ROBACE, SANDERS, SAWICXI, SCHIMMINGER, SCH-
     MIDT, SEABROOK, SEMINERIO, SERRANO, SHEFFER fI,'SIEGEL;       SILVER, 'STRA-
     NIERE, P. M. SULLIVAN, TALOMIE, TEDISCO. TOCCI ,             TONKO,    VANN,
     VITALIANO,   WEINSTEIN, 'WEPRIN, YEVOLI, YOUNG',' ZALESKS;"'ZIMMER "'-- (tit'
     request of the Governor) -- read once and referred     to the Committee on
     Governmental Operations


AN ACT to        amend the public    officers    law, the executive     law and the
  legislative     law, in relation to regulating      business  or     professional

 EXPLANATION--Matter      in italics   (underscored) is new: matter     in brackets
                            [ 1 is old law to be omitted.
                                                                      LBD11506-02-7
      S. 6441                                               2                                           A. a528

        activities          of,      and requiring          financial       disclosure         by,    statewide
        elected officials,              members of the legislature,                legislative        employees           I
        and state officers              and employees and certain             political       party chairmen,             J
        creating       an ethics commission and committee in connection                              therewith:
        to amend the judiciary                     law, in relation         to providing         for financial
        disclosure        by certain        judges, officers         and employees of the courts                 of
        record       of the unified               court system; to amend the general municipal
        law, in relation             to requiring        'financial        disclosure         statements       for
        elected        officials        and certain     officers       and employees of certain              coun-
        ties,     cities,       towns and villages            and for       certain        state     and local
        political       party officials           and creating        a temporary state commission on
        local government ethics;                 to amend the lobbying act, in relation                    to the
        threshold          for     listing     of expenses       in the aggregate:           to amend chapter
        one thousand forty of the laws of nineteen hundred eighty-one                                   relating
        to the New York temporary state commission on lobbying,                                 in relation      to
        extending        the expiration          date of such chapter:           and repealing         paragraph
         (d) of subdivision               two of section eighty-eight              of the public officers
         law, relating          to public inspectionof              financial      disclosure       statements,
        and section eighty of the legislative                       law, relating        to the creation         of
         a legislative          committee on ethics


         The People of the State               of New York.        represented       in Senate      and Assem-
      bly,, do enact as follows:

 1        Section     1. Short        title.        Sections two through seventeen of this act
 2    shal      be known and may be cited as the "Ethics                    in Government Act".
 3        s : 2.    Section seventy-three            of the public officers           law, as amended by
 4    chapter nine hundred forty-one                 of the laws of nineteen               hundred      sixty-
 5    four,      subdivisions       one, two, four and nine as amended and subdivisions
  6   three, six and ten as added and subdivision                       eight as renumbered by chap-
  7   ter      one thousand twelve of the laws of nineteen hundred sixty-five,                               the
  a   opening paragraph of subdivision                  one as amended by chapter seven hundred
  9   sixty-Eour        of the laws of nineteen hundred eighty-three,                          subparagraph
10    one of paragraph (a) of subdivision                   six as amended by chapter nine                 hun-
11    dred forty         of    the laws of nineteen hundred seventy-four,                       subdivision
12    five as amended by section twenty of this act, and subdivision                                seven as
13    amended by chapter four hundred twenty of the laws of nineteen hundred
14    sixty-eight.        is amended to read as follows:
15           s 73. Business or professional                 activities      by state officers          and em-
16    ployees and party officers.                1. As used in this section:
17         m      The term "compensation'               shall mean any money, thing of value or
ia     financial     benefit     conferred       in return for services             rendered      or to be
19     rendered.      With resard            to matters undertaken by a firm, corooration                      or
20     association,       comnensation shall mean net revenues, as defined in accord-
21     ance with        senerallv        accepted       accountinq      principles      as defined bv the
22     state ethics commission or legislative                    ethics committee in relation                  to
23     persons subiect to their respective                  jurisdictions.
24         lb)    The term "licensine"             shall mean any state acencv activity,                  other
25     than before the division                of corporations          and state         records      in the
26     department       of state,      resnectins       the arant, denial,          renewal, revocation,
27     enforcement,        susuension,       annulment, withdrawal,           recall,     cancellation         or     - .' ~--
28     amendment Of          a license,         Permit or other form of permission                conferrinq              ,bd
 29    the right Or privilege             to encage in (i) a profession,               trade, or       occupa-
 30     tion     or (ii)     anv business or activitv              requlated     by a regulatory         asencY
                S. 6441                                               3                                           A.   8528

           1    es defined herein, which in the absence of such license,                                Permit Or other
                form of Derinission would be prohibited.
r,         :       @J The term "legislative                 employee" shall mean any officer                 or employee
           4    of the legislature            but it shall not include members of the legislature.
           5       Jd) The term "ministerial                      matter" shall mean an administrative                    act
           6    carried out in e prescribed                 manner not allowinq            for substantial         PerSOnS.
           7    discretion.
           a       m         The term "regulatory              agency" shall mean the banking department,
           9    insurance department,             state liquor          authority,      department of agriculture
          10    and markets,             department of education,              deDartment of environmental               con-
          11    servation,         department of health,             division      of housing and community rene-
          12    wal,       department        of state,       other than the division              of corporations         and
          13    state records, department of public service (and]- the industrial                                       board
          14    of [standards          and] appeals in the department of labor and the department
          15    of law, other than when the attorney                       general or his agents or employees
          16    are performinq            duties specified           in section sixty-three           of the executive
          17    a.
          18       Jf)       The term 'reDresentative              capacitv"       shall mean the PreSentatiOn              of
          19    the interests          of a client       or other person pursuant to en agreement,                         ex-
          20    press or implied,            for compensation for services.
          21       &Q The term "state agency" shall mean any state department,                                     or divi-
          22    sion, board, commission, or bureau of any state department (or], any pu-
          23    blic       benefit       corporation       [orlL public authority             or commission at least
          24    one of whose members is appointed by the governor,                              or the state        univer-
          25    sitv of New York or the citv university                        of New York, includinq           all their
          26    constituent          units except       community colleqes and the independent institu-
                tions operating           statutory      or contract        colleges on behalf of the state.
 (-        :i       (h) The term "statewide                    elected official"           shall mean the qovernor,
          '29   lieutenant         qovernor, comptroller             or attorney       qeneral.
           30      ji) The term "state officer                 or emplovee" ,shall mean:
           31       (i) heads of state departments and their deputies and assistants:
           32      Jii) officers          and employees of statewide elected officials;
           33          iii ) officers         and employees of state departments,                     boards, bureaus,
           34   divisions,         commissions, councils             or other state agencies; and
           35       (iv)       members or directors                of public authorities,            other than multi-
           36   state authorities,             public benefit          corporations      and commissions at least
           37   one of whose members is appointed bv the governor,                             who receive compensa-
           38   tion
                per other than on e                                                                         authorities
           39   corporations          and commissions.
           40       (j) The term "city agency" shall mean a city,                          county, borough or other
           41   office,        position,     administration,           department,      division,       bureau,        board,
           42   commission,           authority,        corporation         or other agency of qovernment, the
           43   exDenses of which are Daid in whole or in Dart from the city                                     treasury,
           44   and shall include the board of education,                          the board of hiqher education,
           45   school boards, citv and communitv colleqes,                           community      boards,       the New
           46   York      city transit       authority,       the New York city housinq authority                   and the
           47   Triborouqh bridqe and tunnel authority,                        but shall not include anY Court
           48   or corporation           or institution         maintaining        or operatinq      a public library,
           49   museum, botanical            garden, arboretum,            tomb, memorial building,             aquarium,
           50   zooloqical         qarden or similar          facility.
           51       /k) The term "Dolitical              Party chairman" shall mean:
                   ii) the chairman of the state committee of a partv elected as provided
     (-   ::     in section Z-112 of the election                    law and his or her successor              in office:
          54        iii)      the chairman of a county committee elected as provided in section
          55     Z-112 of the election             law and his or her successor                    in office         from a
          56     county         having    a PoDulation           of three hundred thousand or more or who
      S. 6441                                                 4                                             A.   0520

  1   receives compensation or expenses, or both, durinq the calendar Year aq-
  2   gregating         thirtv     thousand dollars           or more; and
  3        (iii)     that person ( usually desiqnated bv the rules of a county commit-
  4   tee as the “county leader” or “chairman of the executive                                  committee”)          by
  5   whatever title            desiqnated,         who pursuant to the rules of a county commit-
  6   tee or in actual practice.                    oossesses or nerforms any or all of the fol-
  7   lowinq         duties       or roles,           nrovided that such person was elected from a
  8   county having a population                    of three hundred thousand or more or was a
  9   person who received compensation or expenses, or both, from constituted
10    committee or oolitical                  comtiittee funds, or both,              durinq     the reporting
11    period aqqregatinq               thirty      thousand dollars         or more:
12         1A) the principal                political,       executive      and administrative          officer      of
13    the county committee:
14         /B)     the power of qeneral manaqement over the affairs                                of the county
15    committee:
16          ( C ) the P ower to exercise the powers of the chairman of the county
17    committee as provided for in the rules of the countv committee:
18          (D) the power to preside at all meetings of the county executive                                       com-
19    mittee,        if such a committee is created by the rules of the county                                    com-
20    mittee or exists de facto,                     or anv other committee or subcommittee of the
21    county committee vested by such rules with or havinq de facto the power
22    of qeneral manaqement over the affairs                           of the countv committee at times
23    when the county committee is not in actual session:
24          (E) the power to call a meeting of the county committee or of any com-
25    mittee or subcommittee vested with the riqhts,                             powers, duties          or nriv-
26     ileqes        of the county committee pursuant to the rules of the county com-
27    mittee,        for the purpose of fillinq                  an office     at a special          election        in
28    accordance            with      section        6-114 of the election           law, for the purpose of
29     fillina       a vacancy in accordance with section 6-116 of such law; or
30          IF)     the power       to direct        the treasurer       of the oartv to expend funds of
31     the county committee.
32         The terms “constituted                    committee” and “political             committee”,        as used
33     in this paragraph (k), shall have the same meanin.qs as those contained
34     in section 14-100 of the election                       law.
35          2. [NO] In addition              to the prohibitions           contained in subdivision             seven
36     hereof, no statewide elected official,                         state officer        or employee         [of    a
37     state       agency],         member of the legislature               or legislative        employee shall
38     receive,        or enter into any agreement express or implied                           for,     compensa-
39     tion       for     services         to be rendered in relation              to any case, proceeding,
40     application,           or other matter before any state agency, whereby his com-
41     pensation          is to be dependent                   or contingent         upon any action by such
42     agency with’      respect         to any license,          contract,     certificate,       ruling,      deci-
43     sion,       opinion,         rate       schedule,       franchise,      or other benefit;         provided,
44     however, that nothing in this subdivision                           shall be deemed to prohibit
45     the fixing             at any time of fees based upon the reasonable value of the
46     services rendered.
 47         3. No statewide elected official,                       member of the leqislature,              leqisla-
48     tive emnlovee, full-time                  salaried      w       officer    or employee [of a state
49     agency,         full-time         salaried        legislative        employee,        or member of the
50     legislature]           or state officer           or employee who is subject to the orovi-
51     sions of section seventv-three-a                      of this chapter shall receive,                 directly
52     or indirectly,            or enter into any agreement express or implied                          for,       =*y
53     compensation,             in whatever form, for the appearance or rendition                           of ser-
54     vices by himself or another against the interest                              of the state         in rela-
 55    tion to any case, proceeding,                     application       or other matter before, or the
 56    transaction          of business by himself or another with, the court of claims.
             S. 6441                                                    5                                              A. 0520

        1        4. m        No statewide elected official,                     state officer          or employee [of a
        2    state agency], member of the legislature                           [orJL legislative              employee or
 ,
r‘      3    political         party chairman or firm or association                         of which Such person z
        4    a member, or corporation,               ten per centum or more of the stock                            of which
        5    is owned or controlled              directly         or indirectly          by such person, shall a
        6    sell any goods or services having a value in excess of twenty-five                                              dol-
        7    lars      to any state agency, or (ii)                  contract        for or provide such services
        8    with or to any private             entitv      where the power to contract,                         appoint       or
        9    retain        on behalf       of such private            entitv       is exercised,           directly      or in-
       10    directly,       bv a state aqencv or officer                  thereof,          unless        such qoods or
       11    services        are provided pursuant to an award or contract                               let after public
       12    notice and competitive             bidding.         This [subdivision]              paraqraph         shall      not
       13    apply       to the publication            of resolutions,             advertisements            or other legal
       14    propositions         or notices      in newspapers designated                     pursuant        to law for
       15    such purpose and for which the rates are fixed pursuant to law.
       16        lb)    No political       Party chairman of a county wholLlv included in a city
       17    with a oooulation           of more than one million,                   or firm       or association              ,of
       16    which such person is a member, or corporation,                               ten Per centum or more of
       19.   the stock of which is owned or controlled                           directly        or indirectly         by such
       20    person, shall (i) sell any qoods or services having a value in excess of
       21    twenty-five         dollars   to any city agency, or (ii)                      contract       for or      provide
       22    such services with or to any private                        entity      where the power to contract,
       23    aoooint or retain on beiialf of such private                            entity      is exercised         directly
       24    or indirectly,          by a city agency or officer                   thereof,, unless such goods or
       25    services are provided pursuant to an award or contract                                    let after         public
       26    notice        and competitive           biddinq.        This naraqraph shall not apply to the
             publication         of resolutions,         advertisements            or other         leqal      propositions
(-7    :;    or notices in newspapers desiqnated pursuant to lad for such purpose and
       29    for which the rates are fixed pursuant to law.
       30         5. No statewide            elected        official,           state officer          or employee [of a
       31    state agency], member of the legislature                           or legisldtive           employee shall,
       32    directly         or indirectly,            solicit,         accept or receive any gift having a
       33    value of seventy-five            dollars       or more whether in the form of money, ser-
       34    vice,       loan, travel,       entertainment,            hospitality,          thing or promise, or in
       35    any other form, under circumstances                       in which it could reasonably be in-
       36    ferred        that the gift was intended to influence                          him, or could reasonably
       37    be expec~ted to influence              him, in the performance of his official                              duties
       38    or was intended as a reward for any official                              action on his part. No per-
       39    son shall,        directly    or indirectly,            offer or make any such gift                          to 2
       40    statewide elected official,                 or any state officer                or employee [of a state
       41    agency], member of the legislature                      or legislative              employee under              such
       42    circumstan~ces.
       43         6. (a) Every [member of the legislature                            or.1 legislative          employee not
       44    subject to the provisions                of section          seventy-three-a              of this         chanter
       45    shall,        on and after December fifteenth                   and before the following                  January
       46    fifteenth,        in each year, file with the [secretary                          of the        senate,      if      a
       47    member or employee of that body. or with the clerk of the assembly, if a
       46    member or employee of that                  body1 leqislative                  ethics       committee        esta-
       49    blished        bv section eighty of the legislative                          law a [written]           financial
       50    disclosure          statement of
       51         (1)      each financial           interest,          direct        or indirect          of himself,         his
             Spouse and his unemancipated children                        under the age of eighteen years in
 p,,   ::    any activity         which is subject to the jurisdiction                         of a regulatory           agency
   _   54    or name of the entity             in which the interest                 is had and whether such in-
       55     terest is over or under five thousand dollars                             in value.
                                                                                                                        $ +,
                                                                                                                               -3’    I




      S. 6441                                                  6                                             A. 0528

  1        (2)        every      office        and directorship            held by him in any corporation,                        . ,.
  2   firm or enterprise                which is subject to the jurisdiction                      of a regulatory                J
  3   agency,         including       the namg of such corporation,                  firm or enterprise.
  4        (3)        any other           interest       of relationship          which he determines             in his
  5   discretion           might reasonably be expected to be particularly                              affected       by
  6   legislative            action or in the public interest                    should be disclosed.
  7        (b)        [On or before Januaty thirty-first                      in each year the secretary               of        .
  a   the senate and the clerk of the assembly shall prepare a ,report contain-
  9   ing the statements                     required        to he filed        pursuant to paragraph (a) of
10    this subdivision.1                  Copies of such [reports]               statements        shall be open to
11    public          inspection        [in the office          of the secretary          of the senate and the
12    clerk of the assembly.                     Each house may adopt               rules      to implement          the
13    provisions           of this subdivision,              insofar as they relate              to members of the
14    legislature            and legislative           employees].
15         (c) [A member Of the legislature                       or] Any such legislative              employee who
16    knowingly and wilfully                   with intent to deceive makes a false statement 01:
17    gives         information           which       he knows to be false in any written                   statement
1s    required to be filed                  pursuant to this subdivision,                 shall be [guilty          of a
19    misdemeanor]              assessed         a civil        penaltv in an amount not to exceed ten
20    thousand dollars.               Assessment of a civil               penalty shall          be made by the
21                                          committee in accordance with the provisions                         of sub-
22    division          twelve of section eiqhty of the leqislative                          law. For a viola-
23    tion of this subdivision,                     the committee may, in lieu of a civil                     penalty,
24    refer a violation               to the appropriate              prosecutor     and upon conviction,            but
25    only         after such referral,               such violation        shall be punishable            as a class
26    A misdemeanor.                                                                                                                 /--._
27         7. (a)          No statewide           elected official,           or state officer          or employee,
                                                                                                                                     ur
28    other than in the proper                    discharqe of official             duties,      or member of the:
29     legislature             or leqislative           emplovee, or political              party chairman shall.
30     receive.         directlv      or indirectlv.           or enter into any aqreement express                     or
31     implied          for,      any compensation.            in whatever form, for the appearance of
32     rendition          of services by himself or another in relation                              to any case,
33    proceedinq,            aoolication         or other matter before a state agency where such
34     appearance or rendition                   of services         is in connection        with:
35         ii)       the purchase,             sale,      rental or lease of real propertv,                   goods Or
 36    services,          or a contract          therefor,       from, to or with any such aqency:
37            ii ) any proceedins             relatinq      to rate making;
 38        liii)        the adoption             or repeal          of any rule or regulation              havinq the
39     force and effect              of law:
40         Jiv) the obtaining               of qrants of money or loans;
 41         (v) licensinq;           or
 42          (vi) any proceedinq relatinq                   to a franchise         provided for in the public
 43    service law.
 44        lb)       No political          party chairman in a county wholly included in a city
 45    havinq a population                of one million           or more shall         receive,       directlv       or
 46     indirectly,           Or enter into any aqreement express or implied for, any com-
 47    pensation,           in whatever form, for the appearance or rendition                            of services
 48    by himself              or another in relation               to any case, proceeding,             application
 49    or other matter before any city aqency where such appearance                                        or rendi-
 50     tion of SexViCes is in connection with:
 51         Ii)      the purchase,              sale,     rental or lease of real property,                   goods or                    ,~
 52     services,         Or a COntraCt therefor,                from, to or with any such agency;
 53          (ii)    any oroceedinq relatinq                to ratemakinq;                                                           -r,
 54          (iii)       the adoption            or repeal          of any rule or requlation              having the
 55     force and effect             of law;
 56          (iv) the obtainins             of qranta of money or loans:
 .
 .”
            S. 6441                                               ' 7                                               A. 8528

       1       (v)     Licensinq.       For nurposes of this paragraph,                        the term "licensing"
            shall mean any city aqencv activitv                       respecting       the qrant, denial,              rene-
r,     2
       3
       4
            wal, revocation,
            cancellation
                                      enforcement,
                                or amendment of a license,
                                                           suspension,        annulment, withdrawal,
                                                                           permit or other form of permis-
                                                                                                                    recall,

       5    sion      conferring       the right or nrivileqe                 to enqaqe in (i) a profession,
       6    trade, or occupation or (ii)                  any business or activity                   requlated         bv a
       7    requlatorv        aqencv of a citv aqency which in the absence of such license,
       a    permit or other form of permission would be prohibited:                                  and
       9       (vi) any proceedinq relating                  to a franchise.
      10       1~) Nothinq           contained       in this subdivision             shall prohibit          a statewide
      11    elected official,          or a state officer              or employee, unless otherwise                    pro-
      12    hibited,        or a member of the legislature                          or leqislative         employee, or
      13    political       partv chairman, from aooearinq before a state aqency in a re-
      14    presentative        capacity       if such appearance in a representative                        capacity        is
      15    in connection with a ministerial                    matter.
      16         (d) Nothinq         contained       in this subdivision             shall prohibit          a member of
      17    the legislature,          or a leqislative            emplovee on behalf               of such         member';
      19    from participating           in or advocatinq             any position         in any matter in an of-
      19    ficial     or legislative          capacity,       including.       but not limited          to, acting as
      20    a public advocate whether or not on behalf of a constituent.                                      Nothinq in
      21    this paragraph shall be construed                      to limit     the application          of the provi-
      22    sions of section seventy-seven                   of this chapter.
      23       (e)     Nothinq       contained        in this subdivision            shall prohibit          a state of-
      24    ficer or employee from appearinq before a state agency in a representa-
      25    tive      capacitv on behalf of an empLoyee orqanization                             in any matter where
      26    such appearance is dulv authorized                       bv an employee organization.
fl.,.,27
      28
      29
                If)

            ficial
                       Nothinq

                       capacity.
                                     contained
            partv chairman from participatinq
                                                      in this subdivision
                                                                   in or advocating
                                                                                      shall prohibit         a political
                                                                                             any matter in an of-

      30        Ls, Nothinq          contained          in this         subdivision        shall prohibit         internal
      31    research or discussion               of a matter,         provided,      however, that the time                  is
      32    not charqed to the client                and the person does not share in the net reve-
      33    nues generated or produced b v the matter.
      34        &     No person who has served as [an] a state officer                              or employee (of a
      35    state agency] shall within a period of two years after                                   the termination
      36    Of such service              or employment               appear     or practice         before such state
      37    agency or receive compensation for any services                              rendered by such former
      38    officer        or employee on behalf of any person, firm, corporation                                 or asso-
      39    ciation      in relation       to any case, proceeding or application                        or other mat-
      40    ter     before      such aqency. No person who has served as a state officer                                     or
      41    employee shall after the termination                       of such service or employment                      ap-
      42    pear,      practice,       communicate           or otherwise            render services before any
      43    state aqencv or receive compensation for any such services                                     rendered          by
      44    such former officer              or emnlovee on behalf of any person, firm, corpora-
      45    tion or other entitv             in relation         to any case, proceeding,               application          or
      46    transaction        with respect to which such person was directly                            concerned and
      47    in which he personally               participated         during the period of his servrce                       or
      48    employmentt;          nor shall any person who has served as the head of a state
      49    department which is a regulatory                     agency, or the department of transpor-
      50    tation,     or a deputy thereof,              within a period of two years after                      the ter-
      51    mination of such service receive compensation for any services                                        rendered
      52    on behalf          of any person, firm, corporation                     or association         in any case,
 p”   53
      54
            proceeding or application
            wherein
                                                     before the department with which he so served
                           his compensation is to be dependent or contingent                               upon any ac-
      55    tion by such agency with respect to any license,                               contract,       certificate,
      ,56   ruling,        decision,       opinion,       rate schedule,          franchise,        or other benefit,
      s. 6441                                                  a
  1   or in promoting or opposing, ‘              directly         or indirectly,             the passage of
  2   bills     or resolutions          before either          house of the legislature;                 nor shall
  3   anyl, or which was under his or her active consideration.                                  No person         who
  4   has served          as a member of the legislature                   u        within a period of two
  5   years after the termination               of such service receive compensation for any
  6   services       on behalf         of any person, firm, corporation                     or association           ‘to
  7   promote or oppose, directly               or indirectly,               the passage of bills                    or
  8   resolutions       by either house of, the legislature[:                     provided,        however, that
  9   nothing].      No legislative         employee who is subject to the Provisions                                of
10    section       seventy-three-a         of this chapter shall durinq the term of office
11    of the legislature          in which he or she was so emploved, receive compensa-
12    tion at any time during the remainder of such term after leavinq the em-
13    plov of the legislature               for any services on behalf of anv Person, firm;
14    CorDoration or association               to Dromote or oppose, directlv                    or indirectly,
15    the Das?.age of bills            or resolutions          by either house of the legislature
16    in relation       to any matter with respect                 to   which.such Pere.on was directly
17    concerned and in which he personallv                     Participated         during the period                of
18    his service or employment. A legislative                         employee who acted primarily                   in
19    a supervisory         capacity     in such matter and who was not Personallv                                  in-
20    valved      in the development, negotiation                      or implementation           of the matter
21    to an important and material                deqree,        may, with          the approval            of the
22    legislative       ethics committee,           receive such compensation and Perform such
23    services.      Nothinq herein contained shall prohibit                        any state agency from
24    adopting       rules      concerning practice            before it by former officers                   or em-
25    ployees more restrictive              than the requirements               of this subdivision.
26        [81 2. No party              officer      while serving as such shall be eligible                           to
27    serve as a judge of any court of record, attorney-general                                  or deputy           or    ,__,
28    assistant        attornev-qeneral           or solicitor            qeneral,     district       attorney       or
29    assistant      district     attorney.       As used in this                 subdivision,           the term          MJ
30     “party     officer”      shall mean a member of a national                    committee, an officer
31    or member of a state committee or a county                           chairman        of any political
32    party.
33         [91 E. Nothing [herein]             contained        in this section,           the judiciary          law,
34     the education law or any other law or disciplinary                             rule      shall     be con-
35     strued or aPDlied to prohibit                any firm [orlr           association        or corporation,
36     in which any present          or former statewide elected official,                         state officer
37     or employee [of a state agency], or Political                            Party chairman, member of
38     the legislature         or leqislative         employee is a member, associate,                      retired
39    member, of counsel or shareholder,                     from appearing,           practicinq.        communi-
40     catinq or otherwise rendering                services        in relation       to any matter before,
41    or transacting            business       with      a state          agency. or a city agency with
42     respect to a Political            Darts chairman in a county wholly included                             in a
43     city with a Dopulation            of more than one million,                otherwise Proscribed               by
 44    this section,         the judiciary       law, the education law or any other                        law or
45     disciplinarv       rule    with respect to such official,                    member of the leqisla-
46     ture Or Officer         or employee, or political                party     chairman,           where such
47     statewide       elected      official,         state       officer       or employee [of a state
4.3    agency], member of the legislature                   or leqislative          employee, or political
 49    party     chairman does not share in the [profits]                        net revenues, as defined
50     in accordance with qenerallv                accepted accountinq principles                   by the state
51     ethics      commission or bv the leqislative                    ethics committee in relation                   to
52     Persons subject to their respective                    jurisdictions,          resulting        therefrom,
53     Or, acting          in qood faith,        reasonably believed that be or she would not
 54    share in the net revenues as so defined;                          “Or shall         anything        [herein]        LFJ
 55    contained       in this section,            the judiciary          law, the education law or ane
 56    other law Or disciplinary              rule be construed to prohibit                   any firm          [orll.
                     S. 6441                                                  9                                              A. 8528

                 1   association         or     corporation          in which any present or former statewide
                     elected official,           member of the legislature,                   leqislative       employee, full-
(-           :       time salaried            state      officer      or employee [of a state agency, full-time
             4       salaried     legislative         employee, or member of the legislature]                             or state
             5       officer     or employee who is subject to the Provisions                              of section seventy-
             6       three-a of this ChaPter is a member, associate,                               retired     member, of coun-
             7       sel or shareholder,              from appearing,           practicinq,         communicating or other-
             a       wise rendering services               in relation         to any matter before, or transacting
             9       business       with,       the court of claims, where such statewide                           elected offi-
            10       cial,     member of           the legislature,                lesislative          emplovee,         full-time
            11       salaried      a           officer        or employee             [of     * state         agency, full-time
            12       salaried     legislative         employee, or member of the Legislature1                             or state
            13       officer     or employee who is subject to the Provisions                              of section seventy-
            14       three-a of this chapter does not share in the [profits]                                   net revenues, as
            15       defined      in accordance with generally                       accepted accountino            Principles        by
            16       the state ethics commission or by the leqislative                                  ethics      committee         in
            17       relation     to Persons subject to their respective                           iurisdictions,         resulting
            18       therefrom,      or, acting in coed faith,                   reasonably believed that he or she
            19       would not share in the net revenues as so defined.
            20           [lo]    11. Notwithstanding             any Provision           of the judiciarv           law, the edu-
            21       cation law or any other law or disciplinary                             rule to the contrary:
            22          la)    C0*&ct         authorized        pursuant to subdivision                 eiqht of this section
            23       bv a person who has served as a member of the legislature                                            or as a
            24       legislative         emplovee shall             not constitute              Professional        misconduct or
            25       grounds for disciplinarv                action of any kind:
            26          lb)    No member of the leqislature                     or former member of the leqislature
            27       shall be Prohibited            from appearinq,           practicinq,         communicating or other-
                     wise rendetinq          services      in relation         to anv matter before, or transacting
(--         :9"      business with, any state agency solely by reason of any vote or other
      .,.
            30       action bv such member or former member in respect to the confirmation                                            or
            31       election     of any member, commissioner,                     director      or other       person       affili-
            32       ated with         such state agency, but nothing in this paraqraph shall limit
            33       the Prohibition          contained       in subdivision           eight of this section:
            34          ICI The appearance, practice,                       communication or rendition                 of services
            35       in relation       to any matter before, or transaction                             of business          with       a
            36       state     aqencv,        or with the court of claims, or the promotion or opposi-
            37       tion to the Passage of bills                  or resolutions               by either         house of the
            38       legislature,           by a member, associate,                      retired        member, of counsel or
            39       shareholder of a firm, association                      or corporation,             in accordance             with
            40       subdivi'sion      ten of this section,               is herebv authorized              and shall not con-
            41       stitute     Professional         misconduct or grounds for                   disciplinary           action       of
            42       anv kind solely bv reason of the Professional                                relationship         between the
            43       statewide elected official,                 state officer           or emplovee,          oolitical         Party
            44       chairman,       member of           the leaislature,              or leqislative          emPlovee and any
            45       firm, association,            corporation        or any member, associate,                 retired      member,
            46       of counsel,            or shareholder             thereof,        or by reason of the aPpearaxe
            47       created by any such professional                     relationship.
            48           12. A statewide elected official,                    state officer           or emPlovee, or a mem-
            49       ber of the legislature                or leqislative              employee,         or Political            Party
            50       chairman,       who is a member, associate,                    retired      member, of counsel to, or
            51       shareholder of any firm, association                       or    corwration         which      is aPPearinq
                     Or     renderinq services           in connection with any case, proceedinq,                          apolica-
 (--        ;;       tion Or other matter listed                 in paraqraph (a) or (b) of subdivision                          seven
 \                   of this section shall not orally                       communicate, with or without compensa-
            55       tion, as to the merits of such cause with an officer                                 or an employee of
            56       the aqency concerned with the matter.
       S. 6441                                               10                                             A. 8528 _

 1         13. For the Purposes of this section,                      a statewide         elected official            or
 2     state officer          or emplovee or member of the legislature                           or lesislative
 3     emplovee or political              party chairman who is a member, associate,                          retired
  4    member, of counsel to, or shareholder                      of any firm, association                  or cor-
  5    poration       shall not be deemed to have made an appearance under the Drovi-
  6    sions of this section solelv bv the submission to a state aqency or city
  -I   aqencv of any printed material.or                     document bearing his or her name, but
  8    unsiqned bv him or her, such as bv limited                         illustrations          the name of the
  9    firm,        association       or corporation          or the letterhead             of any stationery,
10     which pro forma serves onlv as an indication                           that he or she is’ such a
11     member, associate,            retired     member, of counsel to, or shareholder.
12         14. In addition              to any penalty contained                 in any other provision               of
13     law, any person who knowingly and intentionally                             violates      the provisions
14     of subdivisions            two through five or subdivision                   seven,       eiqht or twelve
15     of this section shall be [guilty                   of a misdemeanor1 subiect                  to a civil
16     penalty in an amount not to exceed ten thousand dollars.                                  Assessment of a
17     civil       penalty hereunder shall be made by the state ethics commission                                     or
16     the legislative              ethics     committee, as the case may be, with resDect to
19     persons subject to their respective                     jurisdictions.          The state ethics com-
20     mission        actinq      Pursuant to subdivision              thirteen       of section ninetv-four
21     of the executive           law, or the legislative              ethics       committee        actinq        PUT-
22     suant to subdivision             twelve of section eiqhty of the legislative                           law, as
23      the case may be, may, in lieu of a civil                       penalty,       with resDect to a vi-
24     olation        of subdivisions          two through five or subdivision                     seven or eiqht
25     of this section,           refer a violation          of any such subdivision                to the apPro-
26     priate        Drosecutor        and upon such conviction,                but only after such refer-
27      ral, such violation            shall be Punishable as a class A misdemeanor.                                       &
28         s 3.        Such law is amended by’           adding a new section seventy-three-a                         to
29      read as follows:
30         5 73-a.,Financial           disclosure.       1. As used in this section:
31         ia,      The term “statewide               elected official”            shall mean the qovernor,
32      lieutenant        qovernor, comptroller,            or attorney         qeneral.
33         lb)      The term “state aqency” shall mean any state department,                                or divi-
 34     sion, board, commission, or bureau of any state department,                                    any Public
 35     benefit        corporation,         Public     authoritv         or commission at least one of
 36     whose members is aPDOinted by the qovernor,                          or the state          universitv         of
 37     New York or the city             university      of New York, includinq               all their consti-
 38     tuent units except community colleqes and the                             indeDendent         institutions
 39     weratinq        statutorv      or contract       colleges on behalf of the state.
 40            cl The term *state officer             or emplovee” shall mean:
 41         Ji) heads of state departments and their deputies and assistants;
 42         lii1     officers       and employees of statewide elected officials,                           officers
 43     and emplovees of state deoartments,                    boards, bureaus, divisions,                    commis-
 44      sions, councils or other state aqencies, who receive annual compensation
 45      in excess of thirty           thousand dollars          or hold Policy-making              positions,        as
 46     annuallv determined bv the appointing                      authority       and set forth in a writ-
 47      ten instrument which shall be filed with the state ethics commission es-
 46      tablished        bv section ninetv-four            of the executive            law during the month
 49     of Februarv, Provided however, that the aDDointinq authoritv                                   shall amend
 50      such written           instrument        thereafter       such date within thirty               davs after
 51      the undertakinq         of policv-makinq          responsibilities           bv a new employee or
 52      anv other employee whose name did not aDpear on the most recent written
 53      instrument:       and                                                                                             uip’
 54          (iii)     members or directors              of public authorities,               other than multi-
 55      state authorities,           Public benefit        corporations         and commissions at least
 56      one Of whose members is BpDointed by the qovernor, and emPlovees of such
            S. 6441                                               11                                            A. 8528

      1     authorities,        corporations       and commissions who receive                    annuil      compensa-
      2     tion     in excess of thirty                 thbusand dollars            or who hold policy-making
r:    3     positions,       as determined annually by'the apwintinq                          authority         end set
      4     forth in a written           instrument'which          shall be filed          with the state ethics
      5     commission established             by section ninety-four             of    the executive         law dur-
      6     inq the month of                Februarv,       provided        however,         that     the appointing
      7     authority      shall amend such written                   instrument          thereafter        such date
      8     within      thirty     days after the undertakinq               of policy-makinq            responsibili-
       9    ties by a new employee or any other employee whose name did not appear
     10     on the most recent written               instrument.
     11         jd) The term "leqislative              employee" shall mean any officer                    or emplovee
     12     of the legislature          who receives annual compensation in excess of thirty
     13     thousand dollars            or is determined to hold a policy-makinq                           position       by
     14     the appointinq         authority     iis set forth          in a written              instrument         which
     15     shall be filed with the legislative                    ethics committee established                  by sec-
     16     tion eiqhty of the leqislative                 law.
     17         je)    The term 'spouse" shall mean the husband or wife of the reportinq
     18     individual       unless livinq       separate and apart from the reporting                          individ-
     19     ual with         the intention           of terminatinq           the marriage or providinq                 for
     20     permanent separation            or unless separated pursuant to: (i) a judicial                             or-
     21     der, decree or judgment, or (ii)                  a legally       bindinq separation            agreement.
     22         If)    The term "relative"              shall mean such individual's                   spouse, child,
     23     stepchild,       stepparent,       or any person who is a direct                   descendant        of the
     24     grandparents           of      the      reportinq         individual          or ,of the reporting
     25     individual's         spouse.
     26         jq) The term "unemancipated child"                   shall mean any son, dauqhter,                   step-
            son or stepdaughter            who is under age eiqhteen,                unmarried and living                 in
(y   :,;:   the household of the reporting                 individual.
     29         jh) The term "political             party chairman" shall have the same meaninq es
     30     ascribed to such term bv subdivision                    one of section                seventy-three           of
     31     this chapter.
     32         ji) The term "local aqency" shall mean:
     33         ji)    any county, city,          town, village,          school district           or district        cor-
     34     poration,       or any aqency,          department,         division,         board,       commission         or
     35     bureau thereof:         and
     36         Iii)    any public benefit             corporation        or public authority             not included
     37      in the definition         of a state aqency.
     38         ji)    The term "regulatory                aqencv"        shall      have the same meaninq as
     39     ascribed to such term by subdivision                    one of section                seventy-three           of
     40     this chapter.
     41         ik)    The term "ministerial                 matter"       shall       have the same meaning as
     42     ascribed to such term by subdivision                    one of section                seventy-three           of
     43      this chapter.
     44          2. (a) Every statewide                elected official,          state officer           or employee,
     45     member of the legislature,                 legislative         employee and political                    party
     46      chairman       and every candidate for statewide elected office                            or for member
      47    of the legislature            shall file an annual statement of financial                             disclo-
      48     sure containing         the information         and in the form set forth in subdivision
      49     three hereof. Such statement shall be filed on or before                                  the fifteenth
      50    day of Mav with respect to the preceding calendar year. except that:
      51           i a person who is subject to the reportinq                        requirements         of this sub-
            division      and who timely filed with the internal                       revenue service            an ao-
p    ;;     plication         for    automatic        extension of time in which to file his or her
             individual       income tax return for the immediately precedinq                             calendar        or
     55      fiscal      year shall be required              to file      such financial          disclosure        state-
     56      ment on or before Mav fifteenth                 but may, without being subjected to any
                                                                                                                          c,
                                                                                                                                ; .
                                                                                                                               I~,
      S. 6441                                                12                                             A. 8528

  1 civil      penalty on account of a deficient                    statement,       indicate      with respect
  2 to any item of the disclosure                     statement that information                  with       respect
  3 thereto          is lackinq but will be supplied in a supplementarv                             statement of
  4 financial          disclosure,       which shall be filed on or before the seventh                              day
  5 after       the expiration            of the period of such automatic extension of time
  6 within which to file               such individual         income tax return,                provided         that
  7 failure        to file or to timely file              such supulementary             statement of finan-
  8 cial disclosure              or the filing      of an incomplete or deficient                      supplemen-
  9 tary       statement          of   financial      disclosure        shall be subject to the notice
10 and penaltv provisions                 of this section respectinq               annual        statements          of
11 financial             disclosure       as if such suPPlementary statement were an annual
12 statement:
13      (ii)      a Person who is required to file an annual financial                                 disclosure
14 statement with .the state                  ethics      commission         or with          the legislative
15 ethics committee, $nd who is qranted an additional                                period of time within
16 which to file such statement due to justifiable                               cause or undue hardship,
17  in accordance with required                  rules and regulations             on the subject adopted
18 pursuant to parasraph c of subdivision                          nine of sect ion ninety-four                      of
19 the executive                 law or pursuant to paragraph c of subdivision                             eiqht of
20 section eiqhty of the leqislative                      law, shall file such statement                       within
21 the additional              period of time granted;
22     liii)         candidates for statewide office                   who receive a party desiqnation
23 for nomination by a state committee Pursuant to section                                       6-104 of the
24 election            law shall file        such statement within seven davs after the date
25 of the meeting at which thev are so desiqnated:
26     (iv)        candidates         for statewide office            who receive twenty-five               percent
27 or more of the vote cast at the meeting of the state committee held pur-
28 suant        to section 6-104 of the election                     law and who demand to have their
29 names placed on the primary ballot                       and who do not withdraw within                      four-
30 teen days after such meeting shall file such statement within                                       seven days
31 after the last day to withdraw their names in accordance with the provi-
32 sions of such section of the election                          law:
33      Iv)     candidates for member of the leqislature                         who file party deeiqnat-
34 ins petitions              for nomination at a primary                   election        shall      file       such
35 statement             within      seven davs after the last day allowed by law for the
36 filing       of party desiqnatinq             petitions        naminq them as candidates                for      the
37 next succeedinq primary election:
38      ivi)       candidates         for    independent nomination who have not been desiq-
39 nated by a psrtv to receive                     a nomination            shall     file       such statement
40 within           seven davs after the last day allowed by law for the filinq                                      of
41 independent nominatinq petitions                      naming them as candidates                in the next
42 succeedins general or special election:                           and
43       (vii)       candidates         who receive the nomination of a party for a special
44 election           shall file such statement within seven days after the date of
45   the meeting of the party committee at which they are nominated.
46      lb)     AS used in this subdivision,                  the terms “party”,            ‘committee”         (when
47   used in conjunction              with the term “party”),                 designation’
                                                                              ‘              ,         "primarv" ,
48   “Primarv           election”,      “nomination”,       “independent         nomination*        and “ballot”
49 shall have the same meaninqs as those contained in section l-104 of the
50 election           law.
51      jc)      If      the rePOrtiW          individual       is a senator or member of assembly,
52 candidate for the senate or member of assembly                                 or a lesislative                 em-
53   plovee,          such Statement shall be filed with the legislative                             ethics com-
54 mittee established                by section eiqhty of the leqislative                         law.      If     the
 55 reportinq             individual       is a statewide              elected official,          candidate for
 56 statewide elected office,                  a state officer          or employee or a political
           S. 6441                                             13                                           A. 8528

         1 party chairman, such statement shall be filed with the state ethics CO"-
         2 mission established             by section ninety-four             Of the executive          law.
r;       3     id)     The leqislative            ethics committee and the State ethics COmmiSSiOn
         4 shall obtain from the state board of elections                          a list of all
                                                  and for member of the leqislature,
                                                                                                           candidates
                                                                                                      and from such
         5 for      statewide        office
         6 list,     shall determine and Publish a list                    Of those       candidates        who have
         7 not,      within ten days after the required date for filinq                           such Statement,
         8 filed the statement required by this subdivision.
         9     ie)     political        Partv      chairmen        and any person required to file                 such
      10 statement who commences employment after May fifteenth                                of any year shall
      11 file such statement within thirty                       days after commencinq employment or Of
      12 takinq the position                of political        "arty chairman, as the case mav be.
      13       if)     A person who may otherwise be required to file more than one an-
      14 nual financial             disclosure       statement with both the state                ethics        commis-
      15 sion and the legislative                      ethics committee in any one calendar year may
      16 satisfy         such requirement          by filinq       one such statement with              either     body
      17   and by notifyinq            the other body of such compliance.
      18       Jq) A person who is employed in more than one employment capacity                                    for
      19   one or more employers certain                   of whose officers         and employees           are sub-
      20 ject         to filing          a financial         disclosure      statement with the same ethics
      21 commission or ethics committee, as the case may be, and who receives
      22 distinctly            separate        payments of compensation for such employment shall
      23 be subject to the filinq                   requirements       of this section if            the aqqregate
      24 annual          compensation          for all such employment capacities                  is in excess of
      2.5 thirty        thousand dollars            notwithstanding          that    such person would not
      26 otherwise            be required           to file with respect to any one particular                      em-
      27   ployment capacity.                 A person not otherwise            required     to file a financial
           disclosure         statement hereunder who is employed by a" emplover certain                              of
tyy   :;   whose officers           or employees are subject to filing                   a financial       disclosure
      30 statement            with     the state ethics commission and who is also employed by
      31 an employer certain                of whose officers          or employees are subject to filing
      32 a financial               disclosure       statement with the leqislative               ethics committee
      33 shall not be subiect to filinq                      such statement with either                such commis-
      34 sion or such committee on the basis that his aggreqate annual comoensa-
      35 tion from all such employers is in excess of thirty                                thousand dollars.
      36        Ih)     A statewide elected official                 or member of the leqislature,               who iS
      37    simultaneously          a candidate for statewide              elected office        or member of the
       38 leqislature,           shall satisfy         the filing      deadline requirements            of this sub-
       39 division         by complying only with the deadline applicable                        to one who holds
      40 a statewide               elected      office       or who holds the office             of member of the
       41 leqislature.
       42       Ii)     A candidate           whose name will apoear on both a party desiqnatinq
       43 petition         and on a" independent nominating petition                      for the same office
       44 or who will               be listed       on the election         ballot    for the same office          more
       45 than once shall satisfy                 the filinq       deadline requirements           of this subdiv-
       46 ision by complyinq with the earliest                        applicable     deadline Only.
       47        3. The annual statement of financial                     disclosure      shall contain the in-
       48 formation          and shall be in the form set forth hereinbelow:
     s. 6441                                          14                                      A. a520

1        ANNUAL STATEMENTOF FINANCIAL DISCLOSURE - (For calendar                      vest              1

                                                                                                            J
2    1. Name

 3   2. (a) Title          of Position

 4         lb) Department, Aqencv or other            Governmental     Entity
 5         Jc) Address of Present Office

 6         id)    Office     Telephone   Number

 7   u            Marital    Status                       . If   married,    please    qive spouse's
 a               full     name      includins        maiden       name       where        applicable.
 9
10        :Lb)    List     the names of all     unemancipated    children.
11

12

13

14

i5
16   Answer each of              the    followinq     questions completelv,   with respect to
17       calendar war                         , unless another period 01 date is otherwise
18     : specified. If           additional     space is needed, attach additional   paqes.
                                                                                                            w
19     Whenever a "value" or "amount" is required to be reported herein, such
20   value or amount shall be reported as beinq within one of the following
21   Cateqories:     Category A - under $5,000; Cateqorv B - $5,000 to under
22   $20,000; Cateqorv C -‘ $20,000 to under $60,000: Cateqory D - $60,000 to
23   under $100,000; Cateqorv E - $100,000 to under $250,000; and Category F
24   - $250,000 or over. A reporting   individual shall indicate the Cateqory
25   by letter   only.

26   4. (a) List any office,       trusteeship,     directorship,      partnership,      or posi-
27       tion of anv nature includinq           honorary positions,        if known, and ex-
28       cludinq      membership positions,         whether compensated or not, held by
29       the reportinq     individual     with any firm,         corporation,       association,
30       partnership,    or other orqanization         other than the State of New York.
31       If said entitv was licensed by any state or local agency, was requ-
32       lated bv anv state requlatorv           aqencv or local aqencv, or, as a requ-
33       lar and siqnificant       part of the business or activity            of said entity,
34       did business       with,     or had matters other than ministerial               matters
35       before, dnv state or local aqency, list              the name of any such aqencv.
          6441                                    15                                    A. 8528

                                                                           State or
          Position                        Orqanization                    Local Agency



 4




 a        lb)    List   anv office,'    trusteeship,       directorship,     partnership,      or
 9        position    of any nature includinq       honorary Dositions,       if   known, and
10        excludinq     membershiu Dositions,       whether compensated Or not, held by
11        the spouse or UnemanCiDated child of the reportinq               individual,      with
12        a*Y firm, CorPoration,       association,     partnership,     or other Orqaniza-
13        tion other than the State of New York. If said entity                  was Licensed
14        bv a*?' State Or local aqencv, was requlated             by any state requlatory
15        aqenw or local agency, or, as a regular and significant                  p art of the
16        business     OK activity   Of said entity,      did business with, Or had mat-
17        ters other than ministerial         matters     before,     any state        or local
18        aqencv, list    the name of any such aqency.


                                                                           State or
          Position                       Organization                    Local Aqency


22

23

24

25


26   5.   (a.) List     the name, address and description      of anv occupation,   em-
27        Plovment, trade, business or Profession      engaged in bv the reportinq
28        individual.      If  such activity    was licensed by any state or local
29        aqencv, was regulated      bv any state     regulatory    agency or local
30        aqenCY, Or, a* a regular and significant      part Of the business or ac-
31        tivity    Of said entity,  did business with, or had matters Other       than
32        ministerial    matters before, any state or local aqency, list       the name
33        of any such aqencv.
      s. 6441                                      16                                      A. a520

 1                                                                          -State or
 2                            Name h Address                                  Local
 1         Position           of Orqanization            Description         Agency



 4.

 5

 6

 7

 B

 9. Jb) If the SDouse or Unemancipated child of the reportinq              individual     was
10      enqaqed in any occupation,        employment, trade, business or profession
11      which activity      was licensed by any state or local aqency, was requ-
12      lated by any state requlatorv        agency or local aqency, or, as a requ-
13      lar and significant     part of the business or activity         of said'entity,
14      did business with, or had matters         other    than ministerial          matters
15      before,     any state     oz   local   agency,   list   the name, address and
16      description    of such occupation,        employment,     trade,      business     or
17      profession    and the name of any such aqency.

18                                                                          state or
19                            Name h Address                                 m
20         Position           of Organization            Description        Aqency

21

22
23

24

25


26    6.   List    any interest,      in excess of $1,000, excludinq             bonds and notes,
27         held by the rewetinq         individual,       such individual's      spouse or une-
28         mancipated      child,   or PartnershiD        of which any such p erson is a mem-
29         ber, 01: corDoratiOn,      ten per centum or more of the stock of which is
30         owned or controlled            by any such person, whether vested or cont-
31         inqent,     in any Contract made or executed by a state or local                   aqencH
32         and include the name of the entity              which holds such interest        and the
33         relatiOnShiD     Of the reportinq        individual     or such individual's       spouse
34         OX such child to such entity              and the interest       in such contract.     DO
35         not list any interest        in any such contract         on which final         payment
36         has been made and all               obligations      under the contract      except for
37         guarantees and warranties          have been performed,            Drovided,    however,
38         that    such an interest         must be listed       if there has been an ongoing
39         dispute durinq the calendar Year for which this statement                     is filed
40         with    respect      to any such guarantees or warranties.              Do not list   an)!
               S. 6441                                       17                                     A. 8528

           1        interest      in a contract  made or executed by a local agency after                Pu-
           2        blic     notice    and Pursuant to a process for competitive  bidding               or a
                                for competitive   reauests for Proposals.
r;:        3
           4
                    process


                                     Entity            Relationshio         Contracting         Category
           5          Self,       Which Held            to Entity             State or              of
           6        Spouse or     Interest  &          and Interest            w                Value of
           7          Child        Contract            & Contract              Aqency           Contract

           B

           9

      lo-

      ll

      12


      13       7.   List   any Position    the reportins      individual    held as an officer       of any
      14
      15
      16            term "Dart!'" shall have the same meaninq as "partv"          in the election
      17            law.      The term "Political   orqanization'     means any partv or indePen-
      18            dent bodv as defined in the election          law or any orqanization  that is
      19            affiliated    with Or a subsidiary     of a party or independent body.
                                                         ,,                ,,., ,, ,,
P
      20

      21

      22

      23

      24


      25       L    (a) If      the rePOrtinq       individual     practices     law, is licensed by the
      26            department of state as a real estate broker or agent or practices                       a
      27            profession     licensed      bv the department of education,            give a qeneral
      28            description    Of the principal        subject areas      of matters    undertaken     by
      29            such individual.       Additionally,       if such an individual        practices  with
      30            a firm or corporation       and is a Dartner        or shareholder      of the firm or
      31            COrPoration,      qiVe a qeneral description             of principal     subject areas
      32            of matters undertaken by such firm or corporation.                   Do not list     the
      33            name of the individual        clients,     customers or patients.

      34


 (7   1:                                                                                                        d
         S. 6441                                       18                                   A. 8528

    1
                                                                                                        y-$
    2

    3    (b)      List     the name, DrinciDal      address and general description   or the
    4            nature of the business activity      of any entity  in which the reuortinq
    5            individual    or such individual's      *Douse had an investment in excess
    6            of $1,000 ercludinq   investments    in securities  and interests  in real
    7            property.




     9

    10     ;

    11

    12

    13   9.'     List    each source of qifts.     excluding  campaiqn contributions,     in ex-
    14           cess of $1,000, received durinq the reportinq          period for which      this
    15         , statement     is filed by the reportinq     individual   or such individual's
    16           spouse or unemancipated child from the same donor,            excluding    qifts
    17           from a relative.      Include the name and address of the donor. The term               ,- .,
    18           "qifts"   does not include reimbursements,        which term is defined          in
    19           item 10.   Indicate     the value and nature of each such qift.                         w

    20                                                                                   Category
    21             Self.                                                                     of
    22           Spouse or        Name of                              Nature            Value of
    23             Child           DOnOr             Address           of Gift             Gift

    24

    25

    26
    27

    28

    29   10. Identifv     and briefly         describe the source of any reimbursements          for
    30       expenditures,     excluding       campaign expenditures      and expenditures         in
    31       connection     with     official      duties reimbursed by the state,       in excess
    32       of $1,000 from each such source. For purposes                  of this    item,     the
    33       term     *reimbursements"            shall     mean any travel-related        expenses
    34       provided by nonqovernmental             sources and for    activities   related       to
    35       the rewrtins      individual's        official    duties such as, speakinq enqaqe-
    36       merits. conferences,        or factfindinq       events. The term 'reimbursements"
L   37       does not include qifts           reported under item 9.
               s. 6441                                        19                                      A. 8528

           1         Source                                                     Description

  (7       2

           3

           4

           5

           6


           7       . List     the identity        and value, if reasonablv ascertainable,              of each
           8         interest     in a trust,     estate or other beneficial         interest,      including
           9         retirement        plans   other    than retirement       plans of the state of New
          10         York or the city of New York, and deferred compensation plans                       esta-
          11         blished      in accordance with the internal           revenue code, in which the
          12         reoortinq      individual    held a beneficial     interest     in excess of $1,000
          13         at any time during the precedinq year. Do not report interests                        in a
          14         trust,    estate or other beneficial        interest     established      by or for, or
          15         the estate of, a relative.

          16                                                             Category
          17
          18         Identity

  /+--Y   19
          20

          21

          22

          23


          24   l   The    value    of such      interest     shall     be reported    only    if   reasonably
          25               ascertainable.

          26   12. (a)     Describe     the terms of,    and the parties         to, any contract,
          27               promise, or other agreement between the reportinq            individual
          28               and any person,       firm, or corporation   with respect to the em-
          29               ployment of such individual    after leaving     office    or p osition
          30               jother   than a leave of absence).
          31

          32

          33
 r        34
          35



- - .
     S. 6441                                       20



 1       lb)    Describe   the parties    to and the terms of any aqreement Drovid-
 2              inq for continuation    of Davments or benefits      to the reporting
 3              individual   in excess of $1,000 from a Drior emDloyer other than
 4              the State. (This includes     interests   in or contributions    to a
 5              pension fund, profit-sharing      plan. or life or health insurance:
 6              buv-out agreements; severance       payments: etc.)-

 7

 8

 9

10

11


12   13, List     below the nature and amount of any income in excess of $1,000
13       from each source for the reporting             individual    and such individual's
14       spouse     for     the taxable        year last occurring       prior to the date of
15       filinq.    Nature of income includes,          but    is not limited          to,     state
16       salary,      income from other compensated employment whether public or
17       private,     directorships      and other    fiduciary      positions,      contractual
18       arranqements,         teachinq     income,   partnerships,      honorariums,      lecture
19       fees, consultant         fees, bank and bond interest,             dividends,       income
20       derived      from a trust,       real estate rents, and recoqnized gains from
21       the sale or exchanqe of real or other Droperty.                 Income from a busi-
22       ness or profession           and real estate rents shall be reported with the
23       source identified         by the buildinq    address in the case of real estate
24       rents and otherwise by the name of'the               entity  and not by the name of
25       the individual        customers,     clients or tenants,     with the aqqregate net
26       income before taxes for each buildinq              address or entity.       The receiot
27       of maintenance received in connection                with   a matrimonial         action,
28       alimony and child support payments shall not be listed.
29                                                                          Category
30        Self/                                                                 of
31        spouse              Source              Nature                     Amount
32
33
34

35

36
          14. List    the sources         Of any deferred     income in excess of $1,000 from
      ;       each source to be paid to the rePortinq               individual      followinq        the
              close     Of the calendar year for which this disclosure                  statement is
(7    l       filed,     other     than deferred      compensation      reported      in item         11
              hereinabove.        Deferred income derived from the practice            of a profes-
      6       sion shall be listed         in the aqqreqate      and shall      identify      as the
      7       source,     the name of the,firm,        corporation,     partnership      Or associa-
      8       tion throuqh which the income was derived,             but shall       not     identify
      9       individual     clients.

     10                                                                  Category
     11                                                                     of
     12       Source                                                      Amount
     13

     14

     15

     16

     17
                                                          22                                           s. 6,
     S. 6441

 1   15. List each assignment of income in excess of $1000, and each transfer
 2       other than to a relative    durinq the reportinq         period for which       this
 3       statement   is filed    for less than fair consideration            of an interest
 4       in a trust,   estate or other beneficial       interest,     securities   or real
 5       property,   by the reportins       individual,       in excess of $1000, which
 6       would otherwise be required     to be reported herein and is not or has
 7       not been so reported.

 8                                                                                              Category
 9         Item Assiqned                                 Assiqned z                                of
10         z Transferred                                 Transferred       g                     m

11

12

13

14

15

16   16.     List    below the type and market value of securities                                 held by the
17         reporting        individual       or such individual’    s        spouse from each issuing
18         entity    in excess of $1,000 at the close of the taxable year last oc-
19         currinq prior to the date of filinq,                      includinq       the name of the issu-
20         inq entity          exclusive       of securities       held by the reportinq             individual
21         issued by a professional                     corDoration.        Whenever an interest                  in
22         securities          exists       throuqh      a   beneficial         interest     in a trust,        the
23         securities         held in such trust shall be listed                   only if the reportinq
24         individual         has knowledge thereof except where the reporting                           ihdivid-
25         ual or the reportinq               individual’s       spouse has transferred             assets        to
26         such trust            for     his or her benefit            in which event such securities
27         shall be listed            unless they are not ascertainable                  by the reporting
28         individual          because the trustee               is under an obliqation            or has been
29         instructed         in writinq       not to disclose         the contents of the trust                  to
30         the reportins           individual.       Securities      of which the regortinq              individ-
31         ual Or the reDOrtinq individual’              s       SDOUS~ is the owner of record                  but
32         in which such individual                 or the reportinq         individual’s       sDouse has no
33         beneficial         interest      shall not be listed.           Indicate      percentage of ow-
34         nerShiD       if      the reportinq           person or the reDortinq             person’  s spouse
35         holds more than five percent of the stock of a corporation                                  in which
36         the stock            iS Publicly       traded or more than ten percent of the stock
37         of a Corporation             in which the stock is not publicly                      traded.        Also
38         list     securities         owned for investment purposes by a corporation                          more
39         than fifty         percent of the stock of which is owned or controlled                                by
40         the rePOrti*q              individual      or such individual’     s       spouse. For the pur-
41         Pose Of this item the term “securities”                        shall mean bonds, mortqaqes,
42         notes,    obliqations,           warrants and stocks of any class,                  investment in-
43         terests     i* limited         or qeneral DartnershipS             and certificates          of depo-
44         sits     and such other evidences of indebtedness and certificates                                     of
45         interest      as are UsuallY           referred     to as securities.          The market         value
46         for such securities              shall be reDOrted only if reasonably ascertaina-
47         ble and shall not be reDOrted if the securitv                           is an interest            in a
48         general Partnership              that was listed        in item 8 (a) or if the security
             1       is corporate stock.       not DubliClY    traded,    in a trade or business          of a
             2       reporting   individual     or a reporting     individual's    spouse.
p,           3                                                         Cateqory of Market
      ."'
             4                                                         Value as of the close
             5                                                         of the taxable m                  Percentage   of
             6                                                         s     occurrinq  prior to         corporate
             7                                                         the filing    of                  stock
             8       Self/      Issuinq       TJpof                    this                              owned or
             9       SDOUSe     Entity        Security                 statement                         controlled

            10

            11

            12

            13

            14

            15       17. List below the location,          sire, qeneral nature, acquisition            date,
            16           market value and percentage of OwnerShiD of any real property                       in
            17           which any vested or continqent               interest   in excess of $1,000 is
            18           held by the reporting        individual'or       the reportinq       individual's
            19           spouse. Also list       real property owned for investment purposes by
                         a corporation     more   than fiftv      oercent of the stock      of which         is
 r",,       14           owned       or controlled       by the reoorting          individual       or such
                         individual's     spouse. Do not list         any real property which is the
            23           primarv      or secondary oersonal residence of the reoortinq                indiv-
            24           idual or the reporting         individual's      spouse, except      where there
            25           is a co-owner who is other than a relative.

            26        Self/.                                                        Category
            27        Spouse/                                                          of          Percentage
            28        Other                              General    Acquisition      Market             of
            29        Party   Location        Size       Nature        Date          w             Ownership


            30

            31

            32

            33
            34

            35   18. List   below all notes and accounts receivable,          other than from qoods
            36       or services sold, held by the reoortinq        individual     at the close     of
            37       the taxable     year   last  occurring    orior to the date of filing        and
                     other debts owed to such individual    at    the close      of the taxable year
 (-         :i       last occurring   prior to the date of filinq,        in excess of $1,000, in-
            40       cludinq the name of the debtor, tyoe of obliqation,            date due and the
            41       nature Of the collateral    securinq payment of each, if any, excludinq
     S. 6441                                             24                                          A. 8528

1         securities     reported in item 16 hereinabove.    Debts,     notes and ac-
2         counts     receivable   owed to the individual  bv a relative     shall not be
3         rewrted.

 4                                          w    of Obliqation,                              Cateqory
 5                                          Date Due, &     Nature                              of
 6          Name of Debtor                  & Collateral,    if m                             Amount

 7

 8

 9

10

11

12   19. List      below all       liabilities         of the reporting           individual        and such
13       individual’ s       spouse, in excess of $5,000 as of the date of filing                             of
14       this      statement,      other       than liabilities          to a relative.       Do not list
is       liabilities       incurred by, or quarantees made by, the reoortinq                           indiv-
16       idual or such individual’       s        spouse or by anv proprietorship,                  partner-
17       ship or corporation            in which the reportinq                  individual          or such
18       individual’ s        sDouse      has an interest,           when incurred or made in the
19       ordinarv      course of the trade, business or professional                         practice         of
20       the reportina          individual          or such individual’    s      spouse. Include the
21       name of the creditor           and any collateral           pledged by such individual
22       to secure payment of any such liabilitv.                            A reportinq        individual
23       shall not list any obligation                to pay maintenance in connection                     with
24       a matrimonial          action,      alimony or child support payments. Revolving
25       charge account information               shall only       be set forth            if     liability
26       thereon       is in excess of $5,000 at the time of filing.                         Any loan is-
27       sued in the ordinary           course of business by a financial                     institution
28       to finance educational              costs, the cost of home purchase or improve-
29       ments for a primary          or secondary residence,              or purchase        of a per-
30       SOnallY      owned motor vehicle,           household furniture         or appliances           shall
31       be excluded. If any such reportable                    liability     has been guaranteed
32       by any third person, list               the liability       and name the guarantor.
33                                                                                            Catesory
34         Name of
           --        Creditor                  e   of Liability                                  of
35             z   Guarantor                 .a& Collateral,    if       any                   Amount
36

37
38

39
40
                                                                ~:, ,,
                                                       .,, ,.:~I:; .,,_,, ., .,,,
                                                                              ‘~
                                                                ,.
       S. 6441                                                25                                             A. 8528

  1      The resuirements    of law relatinq    to the report&q    of financial    in-
  2   terests are in the public interest    and no adverse inference    of unethical
  3   or illeqal   conduct Or behavior will be drawn merely from compliance with
  4   these requirements.
  5
 6       lsiqnature      of Reporting Individual)                    Date (month/dav/y ear 1
  7      4. A reDortinq       individual   who knowingly and wilfullv.      fails    to file an
 8    annual statement of financial           disclosure   or who knowinqly       and wilfully
 9    with     intent      to deceive    makes a false statement or qives information
10    which such individual         knows to be false on such statement          of financial
11    disclosure       filed   pursuant     to this      section shall be assessed a civil
12    penalty in an amount not to exceed ten thousand dollars.               Assessment Of a
13    civil     penalty hereunder shall be made bv the state ethics commission or
14
15     Persons subject to their respective                    jurisdictions.          The state ethics com-
16    mission acting pursuant to subdivision                       thirteen       of section            ninety-four
17     of the executive law or the legislative                      ethics committee acting pursuant
18     to subdivision         twelve of section eiqhtv of the leqislative                            law,       as the
19     Case may be, may, in lieu of a civil                        penalty,       refer a violation              to the
20    appropriate         prosecutor     and upon such conviction,                   but Onlv after                 such
7.1    referral,       such violation        shall be punishable as a class A misdemeanor. A
22    Civil Penalty for 'false filinq                 may not be imposed hereunder in the event
23    a cateqory of "value" or "amount" reported hereunder is incorrect                                          unless
24     such reported information              is falselv         understated.           Notwithstandinq              any
25    other Provision          of law to the contrary,              no Other penalty,             civil      or trim-
26     inal may be imDosed for a failure                   to file,       or for      a false           filing,       of
27    such        statement,        except      that     the appointing              authority          may impose
28    disciplinary         action as otherwise           provided by law. The state ethics                         com-
29    kission        and the leqislative           ethics committee shall each be deemed to be
30    an aqencY within the meaninq of article                       three of the state                  administra-
31     tive      procedure act and shall adopt rules qoverning the conduct of adju-
32    dicatory       proceedinqs and appeals relatinq                   to the assessment Of the civil
33    penalties         herein      authorized.       Such rules, which shall not be subject to
34    the
      PP a roval re uirements of the                                                              rocedure         act
35    shall       provide      for due process Drocedural mechanisms substantially                                 sim-
36     ilar to those set forth in such article                      three but such mechanisms need
37    not be identical            in terms or scope. Assessment of a civil                          penalty shall
38    be final unless modified,               suspended or vacated within                  thirty       davs of im-
39    position         and upon becominq final              shall be subject to review at the in-
40    stance of the affected             reporting       individual        in a proceedinq                  commenced
41    aqainst        the state        ethics      commission or leqislative                  ethics committee,
42    pursuant to article            seventy-eiqht        of the civil          practice      law and rules.
43        5. Nothinq contained             in this section shall be construed as Drecludinq
44    anv public authority            or public benefit           corporation         from exercisinq                any
45    authority         or Dower now or hereafter              existinq       to require any of its mem-
46    bers, directors,          officers      or employees            to file         financial           disclosure
47    statements with such public authoritv                     or public benefit             corporation          that
48    are the same as, different               from or supplemental              to any of the reauire-
49    ments contained             herein      and to provide               only for internal              emDlovment
50,   discipline        for any Violation         arising      out of such internal               filins.
51        S 4. Section seventy-six               of such law, as added by chapter ten hundred
52    twelve of the laws of nineteen hundred sixty-five,                              is amended to read as
53    follows:
54        S 76. Receiving bribes by members of legislature.                               A member of either
55    of the houses composing the legislature                        of this          state,        or      a person
56    elected        to become a member thereof.                    who asks, receives,               or agrees to
                                                                                                               ,/’ :    .
                                                                                                                       I/ 1
      S. 6441                                            26                                           A. 0528

 1    receive any bribe upon any understanding                     that his official            vote,     opin-
 2    ion,       judgment       or action shall be influenced              thereby, or shall be given
  3    in any particular           manner or upon any particular              side of any question             or       bls
 4    matter        upon which he may be required                to act in his official             capacity,
 5     [or who gives or offers or promises to give any official                            vote in consid-
  6   erat ion that            another      member of the legislature,              or person elected to
  7   become such member, shall give any such vote, either upon the same or
  8   another        question,        is punishable by imprisonment               in a state prison not
  9   exceeding ten years, o? by a fine not exceeding five                             thousand       dollars,
10    or by both] shall be quilts                of a class D felony.
11         S 5. Section seventy-eight             of such law, as amended by chapter six hun-
12     dred fifty-six          of the laws of nineteen hundred sixty-nine,                    is amended to
13     read as follows:
14         s 78. Certification            of members, officers         and employees.           On or before
15     the tenth day after any member, officer                   or employee commences the per-
16     formance of his duties as such, he shall file,                       with the secretary          of the
17     senate, if a member, officer               or employee of that             house,      OZ with        the
18     clerk       of the assembly, if a member, officer                   or employee of that house,
19     or with the secretary             of state if an officer            or employee of a state
20’    agency,       a certificate           acknowledging       receipt       of a copy of sections
21     seventy-three,          seventy-three-a,       seventy-four,        seventy-five,        seventy-six,
22     seventy-seven’    and       seventy-eight      of this chapter together with such other
23     material      as the secretary         of the senate, the clerk of the assembly or
24      the secretary,of          state may prepare related           thereto,      that he has read the
25      same and undertakes to conform to the provisions,                         purposes       and intent
26      thereof      and to the norms of conduct for members, officers                        and employees
27     of the legislature            and state agencies.
28
29
           5 6. Paragraph (d) of subdivision                 two of section eighty-eight
        law is REPEXLFD and paragraphs (e) through (j) are relettered
                                                                                                       of such
                                                                                                   paragraphs           ‘
                                                                                                                        d
30      (d) through (i).
31         S 7. The executive            law is amended by adding a new section ninety-four
32      to read as follows:
33         S 94. State ethics commission: functions,                    powers and duties:          review of
34      financial      disclosure       statements:     advisory      opinions:        investigation         and
35      enforcement.         1. There is established             within the deoartment of state a
36      state ethics commission which shall consist of five                          members and shall
37      have and exercise the powers and duties set forth in this section only
38      with respect to statewide elected officials                     and state officers            and em-
39      p1ovees I as defined in section seventy-three                    of the public officers             Law,
40      and candidates for statewide elected office,                     and with         respect      to the
41     political         party     chairman      as that term is defined in section seventv-
42      three-a of the public officers               law.
43         2. The members Of the commission shall be appointed by the qovernor
 44     provided,      however, that one member shall be appointed on the nomination
45      of the COWtrOller               and one member shall be appointed on the nomination
46      of the attorney seneral.             Of the three members appointed by the governor
 47     without       prior      nomination,     no more than two members shall belong to the
48      Same Political         party and at Least two members shall not be public offic-
 49     ers or employees Or hold any Public office,                           elected or aooointed.            No
50      member shall hold office             in any political        party      or be emploved as a
51      lobbyist.
 52        3. Members of the commission                     shall serve for terms of five Years:
53      provided,      however, that of the members first                    appointed      without       prior
54      nomination,         one shall        serve     for   one year, one shall serve for three
 55     years, and one shall serve for five years, as designated by the qover-
 56   '"Or:       the member first             appointed on the nomination of the comptroller
                  S. 6441                                                27                                             A. 8526

              1    shall serve for four years and the member first                            appointed on the nomina-
              2          'n of the attorney        qeneral shall serve for two years.
f--l          3        4. The qovernor              shall desiqnate the chairman of the commission from
              4    amonq the members thereof,                who shall serve as chairman at the pleasure
              5   of the qovernor. The chairman or any three members of the commission may
              6    call a meetinq.
              7        5. A" Y vacancy occurring                    on the commission shall be filled                       within
              a    sixty days of its occurrence,                  bv the qovernor,          in the same manner as the
              9   member whose vacancy is beinq fill       being filled        was appointed.          A person appointed
            I.0    to fill      a vacancy occurring                     th-~~~
                                                               other than bv expiration              of a term of office
            11     shall be appointed for the UnexDired term of the member he succeeds.                         succe eds.
            12         6. Three members of the commission shall constitute
                                      members                                s&LL                        a quorum, and the
                                                                                                            quorum,       and the
            13    commission shall have power                  to act b majority
                                                                         by                vote of the total                number
            14    of members of the commission without vacancy.
            15     -7.        Members of the commission may be removed by the qovernor for sub-
            16     stantial      neglect Of duty, gross misconduct in office,                          inability        to dis-
            17     charge       the powers or duties of office                 or violation        of this section,             af-
            18     ter written        notice and opportunity             for a reply.
            19         a. The members of the commission shall not receive compensation but
            20     shall be reimbursed for reasonable expenses incurred                              in the performance
            21    of their official            duties.
            22         9. The commission shall:
            23         (a) ADPOint an executive              director      who shall act in accordance with the
            24    policies       of the commission. The commission may deleqate authority                                   to the
            25    executive director            to act in the name of the commission between meetinqs
            26    Of the commission provided such delegation                         is in writinq           and the spe-
            27    cific       powers to be deleqated are enumerated;
                       (b) Appoint such other staff as‘                 are necessary to carry out its duties
       r,   :;    under this section:
            30         (c) Adopt,         amend, and rescind rules and requlations                        to qovern Droce-
            31    dures of the commission, which shall include,                           but not be limited              to, the
            32    procedure         wherebv a person who is required                    to file an annual financial
            33    disclosure        statement with           the commission           may request            an additional
            34    period        of time within which to file such statement,                          due to justifiable
            35    cause or undue hardship:               such rules or requlations                shall provide             for    a
            36    date beyond which in all cases of justifiable                          cause or undue hardship no
            37    further       extension of time will be granted;
            38         (d) Promulgate           guidelines        to assist appointinq            authorities         in deter-
            39    mining which persons hold policy-making                       positions       for purposes            of sec-
            40    tion seventy-three-a             of the public officers             law;
            41        Je) Make available           forms for annual statements of financial                         disclosure
            42    required to be filed pursuant to section seventy-three-a                                 of the DubliC
            43    ,officers      Law;
            44         (f)     Review financial           disclosure         statements         in accordance with the
            45    provisions        of this section,          provided however, that               the commission               ma]!
            46    deleqate        all     or part of this review function                  to the executive            director
            47    who shall be responsible               for completing         staff review of such statements
            48    in a manner consistent              w~ith the terms        of the commission's             delegation:
            49        14) Receive complaints               alleqinq      a violation       of section seventv-three,
            50    seventy-three-a          or seventy-four           of the public officers             law;
            51        (h) Permit          any person required to file a financial                       disclosure         state-
            52    ment to request the commission to delete                         from the CODY thereof                       made
                  available         for    public inspection           one or more items of information                      which
        P   ::    may be deleted by the commission, after denial of a request for deletion
            55    by the public               advisory council as Provided in subdivision                         eighteen of
            56    this section,         "Don a finding          bv a majority        of the total number of mem-
      s. 6441                                               28                                             A. 8528

  1   hers of the commission without vacanCv that the information                                     which would
 2    otherwise be eeauired to be made available                            for    public     inspection         will
  3   have no material             bearing on the dischatqe of the reportinq                         person's of-
  4   ficial      duties.     If such request for deletion                    is denied,      the commission,
  5   in its         notification          of denial,          shall inform the person of his or her
  6   riqht to appeal the commission's                       determination         pursuant       to its       !ZUleS
  7   governing         adjudicatory        proceedinqs          and appeals adopted pursuant to sub-
  8   division       thirteen      of this section.            The commission shall promulgate rules
  9   and regulations              qoverninq the issuance of written                     decisions      in connec-
10    tion with appeals from the advisory council:
11        li)     Permit      any person required               to file a financial          disclosure       state-
12    ment to request an exemption from any requirement                              to report one or more
13    items       of informa.tion        which pertain            to such person's spouse or unemanci-
14    pated children          which item or items mav be exempted by the commission,
15    after       denial       of a request for exemption by the public advisory council
16    as provided in subdivision                   eiqhteen of this section,              upon a findinq         bv a
17    majority         of the total             number of members of the commission without
18    vacancv that the reportinq                   individual's        spouse,     on his or her own behalf
19    or on behalf              of an unemancipated child,                    objects to providing          the in-
20    formation        necessary to make such disclosure                        and that       the information
21    which would otherwise be required                           to be reported will have no material
22    bearing on the discharge of the reportinq                           person's official           duties.        If
23    such request             for exemption is denied, the commission, in its notifica-
24    tion of denial.           shall inform the person                of his or her riqht              to appeal
25    the commission's determination                      pursuant to its rules governins adiudica-
26    tory proceedinqs and appeals                    adopted pursuant to subdivision                 thirteen       of
27     this section.         The commission shall promulqate rules and,requlations                               qov-
28    erninq the issuance of written                      decisions      in connection with appeals from
29     the advisorv council:                                                                                              %
30         Ii) Advise and assist anv state aqency in establishinq                                rules and'requ-
31     lations      relating      to possible conflicts               between private        interests      and of-
32     ficial     dut'ies of present or former statewide elected officials                                and state
33    officers       and employees:
34         ik)    Permit       any person who has not been determined by his or her a~-
35     pointinq       authority      to hold a policy-makinq                position     but who is otherwise
36     required        to file a financial                disclosure       statement to request an exemp-
37     tion from such requirement                  in accordance with rules and requlations                      qov-
38     erninq       such exemptions.               Such rules and resulations                shall provide for
 39    &zmptions         to be qranted either on the application                       of an individual              or
 40    on behalf of persons who share the same job title                              or employment classif-
 41    ication which the commission deems to be comparable for purposes of this
 42    section.       Such rules and requlations                  may permit the qrantinq            of an exemp-
 43    &on where, in the discretion                     of the commission,             the public          interest
 44    does not require                disclosure         and the applicant's          duties do not involve
 45    the neqotiation,           authorization           or approval of:
 46        fi)     contracts,        leases,         franchises,       revocable consents, concessions,
 47    variances,        special permits,            or licenses       as defined in section               seventv-
 48     three of the public officers                   law;
 49          (ii)   the purchase,            Sale,       rental or lease of real property,                 qoods or
 50    services,       or a contract         therefor;
 51        jiii)    the obtaininq         of qrents of money or loans; or
 52         jiv)   the adoption or repeal of dny rule or requlation                            havinq the force
 53    and effect of law; and
 54         11) Prepare an annual report to the qovernor and the leqislature                                     sum-     w
 55    msrizinq the activities               of the commission and recommendins chanqes in
                   .*
      2
     (‘
                        S. 6441                                                     29                                                 A. 8528

              1         the laws qoverninq                   the conduct of statewide                     elected officials,              state
              2         officers        and employees and political                    party chairmen.
                            lm) Upon certification                 of a auestion bv the public advisory council                                 to
p            ,3
             4          the commission, 8s provided in paragraph (k) of subdivision                                            eighteen         of
              5         this     section,        the commission may determine a question common to a class
              6         or defined cateqory of persons or items of information                                          required        to be
              7         disclosed,        where determination                of the question will prevent undue repet-
              8         ition of requests for exemption or deletion                                 or prevent          undue complica-
              9         tion in complying with the requirements                               of such section.
             10             10. The commission, or the executive                           director       and staff of the commis-
             11         sion if responsibility                 therefor        has been deleqated,                 shall       inspect       all
             12         financial          disclosure          statements filed with the commission to ascertain
             13         whether any person subiect to the reportinq                                      requirements           of sect ion
             14         seventy-three-a              of the public                officers        law has failed           to file such a
             15         statement,         has filed        a deficient          statement          or has filed               a statement
             16         which reveals              a possible            violation       of section seventy-three,                    seventv-
             17         three-a or seventy-four                  of the public officers                  law.
             18              11. If a person required                  to file e financial              disclosure         statement with
             19         the commission has failed                    to ,file a disclosure               statement or has filed                    a
             20         deficient        statement,         the commission shall notify                     the reporting           person in
             21         writinq,        state the failure              to file or detail                 the deficiency,               provide
             22         the person with a fifteen                      day period to cure the deficiency,                          and advise
             23         the person of the penalties                      for failure          to comply           with     the reporting
             24         requirements.            Such notice shall be confidential.                           If the person fails               to
             25         make such filing             or fails        to cure the deficiency                  within        the specified
             26         time period,             the commission shall send a notice of delinquency:                                      (a) to
             27         the reportinq          person; and (b) in the case of a statewide                                  elected        offi-
                        cial,      to the temporary president                         of the senate and the speaker of the
    r‘       ii         assembly: and (c) in the case of a state officer                                    or employee, to the J.P-
         -   30         pointinq        authority       for such person.
             31              12. (a) If            a reporting           person has filed a statement which reveals a
             32         possible violation              of section seventy-three,                     seventy-three-a            or seventy-
             33         four of the public officers                      law. or the commission receives a sworn com-
             34         plaint     alleging        such a violation              by a reportinq            person or a state                  of-
             35         ficer      or employee subject to the provisions                              of section seventy-three                  of
             36          the public officers              law, or if the commission determines on its own ini-
             37         tiative        to investiqate          a possible          violation,         the commission shall notify
             38          the reporting         person in writinq,                describe the possible                 or alleqed viola-
             39          tion    of such section seventy-three,                         seventy-three-a            or seventy-four            and
             40         provide the person with a fifteen                          day period in which to submit a writ-
             41         ten response settinq                  forth information               relating      to the activities             cited
             42         as a oossible or alleqed violation                          of law. If the commission                      thereafter
             43         makes a determination                     that further          inquiry       is justified,          it shall give
             44          the reportinq         person an opportunity                  to be heard.           The commission               shall
             45         also      inform the reporting                 individual         of its rules reqardinq                 the conduct
             46         of adjudicatory            proceedinss           and appeals and the due process                           procedural
             47         mechanisms available                    to such individual.                 If the commission determines
             48         at anv stdqe of the proceedinq,                        that there is no violation                    or that          any
              49        potential        conflict       of interest           violation         has been rectified,              it shall so
             50         advise the reporting                person and the complainant,                       if     any. All          of the
              51         foreqoinq oroceedinqs                shall be confidential.
              52             lb)    If     the commission                determines that there is reasonable cause to
                        believe that a violation                   has occurred,            it shall send a notice                  of reas-
     (3:55
     \                  gnable
                         any: (iii)
                                       cause:       (i)     to the reportinq
                                           in the case of a statewide elected official,
                                                                                          person: (ii)           to the complainant
                                                                                                                        to the temporary
                                                                                                                                                if
             56         president        of the Senate and the sneaker of the assembly; and (iv) in the
     S. 6441                                                 30                                               A. 8528

I    case of a state officer             Or employee, to the appointing                             authoritv         for    r
 2   such oerson.                                                                                                            d
 3        13. An individual         who knowinqlv and intentionally                        violates       the provi-
 4   sions of subdivisions            two through five or subdivision                         seven,        eiqht       or
 5   twelve      of section seventy-three              of the public officers                   law or a report-
 6    inq individual       who knowinqlv and wilfullv                 fails        to file an annual state-
 7   ment of financial            disclosure.or         who knowinqlv and wilfullv                      with intent
 8   to deceive makes a false statement or qives information                                   which        such in-
 9   dividual      knows to be falser on such statement of financial                                     disclosure
10   filed pursuant to this section shall be assessed a civil                                     penalty        in an
11   amount not to exceed ten thousand dollars.                        Assessment of a civil                   penalty
12   hereunder shall be made by the commission with respect to persons                                               sub-
13   ject      to its      jurisdiction.          For a violation              of this subdivision,                other
14   than for conduct which constitutes                  a violation            of subdivision            twelve       of
15   section seventy-three            of the public officers                law, the commission may, in
16    lieu of a civil        oenaltv,     refer a violation             to the appropriate                prosecutor
17   and upon         such conviction,         but onlv after such referral,                        such violation
18    shall be punishable as a class                A misdemeanor. A civil                  penalty for            false
19    filinq     may not be imposed hereunder in the event a category of “value”
20   or “amount” reported hereunder is incorrect                            ““less         such reported              in-
21    formation     is falsely      understated.        Notwithstandinq               any other provision              of
22    law to the contrary,          no other penalty,           civil       or criminal           may be imposed
23    for     a failure       to file,      or for a false filinq,                   of such statement,             or a
24   violation     of section seventv-three              of the public                officers         law,      except
25    that     the appointins         authority       may impose disciplinary                  action as other-
26   wise provided by law. The state ethics commission shall be deemed to be
27   an aqencv within the meaning of article                          three of the state administra-
28    tive procedure act and shall adopt rules qoverninq the conduct of adju-
29    dicatory     proceedinqs         and appeals           taken pursuant to a proceedinq com-
30   menced under article            seventv-eiqht       of the civil              practice       law and rules
31    relatinq      to the assessment of the civil                  penalties          herein authorized              and
32    commissiondenials          of requests for certain                deletions          or exemptions to be
33    made from a financial               disclosure       statement as authorized                     in paraqraph
34   Ih) Or paraqraph (i) of subdivision                   nine of this               section.        Such rules,
35    which shall not be subject to the approval requirements                                  of the state ad-
36    ministrative      procedure act, shall provide                    for        due prooess            procedural
37    mechanisms substantially                similar      to those set forth in’                    such article
38    three but such mechanisms need not be identical                              in terms or scope.                 As-
39    sessment of a civil          penalty or commission denial of such a request shall
40    be final unless modified,             suspended or vacated within thirty                          days of im-
41    POSitiOn, with respect            to the assessment of such penalty,                          or unless such
42    denial of request is reversed within such time period, and upon becoming
43    final shall be subject to review at the instance of the affected                                         reoort-
44     inq individuals       in a proceedinq commenced aqainst the state ethics                                     corn--
45    mission, Pursuant to article               seventy-eiqht          Of the civil           practice        law and
46    rules.
47        14. A CODY Of anv notice of delinquency or notice of reasonable cause
48    Sent Pursuant       to subdivisions         eleven and twelve of this section shall be
49     included     in the reDOrti*s              DerSOn’ S       file and be available                   for public
50     insoection.
51         15. UPO” written           request       from any oerson who is subject to the
52     requirements     of sections seventv-three,                seventy-three-a              and seventy-four
53    of     the public officers          law,    the commission shall render advisory opin-                                 w
54     ions on the requirements           of said provisions.               An opinion rendered by the
55    COmmiSSiOn, until         and unless amended or revoked,                       shall be bindinq on the
56     commission in any subsequent                   proceeding          concerninq            the person            who
                                                                  31                                         A. 8520

                requested the opinion and who acted in qood faith,                         unless material        facts
                were omitted or misstated by the person in the request for                               an opinion.
               'Such opinion          mav also be relied          upon by such person, and may be intro-
                duced and shall be a defense, in any criminal                        or civil        action.        Such
           5    requests shall be confidential                but the commission mav oublish such OPin-
           6    ions provided that the name of the requestins                       Person dnd other              iden-
           7    tifyinq     details    shall not be included in the publication.
           8        16. In addition          to any other Dowers and duties specified                     by law, the
           9    commission shall have the power and dutv to:
          10        ia) Promulqate rules concerninq               restrictions      on outside activities            and
          11    limitations       on the receipt       of honoraria         by persons subject to its juris-
          12    diction,       provided,       however, a violation           of such rules in and of 'itself
          13    shall not be punishable pursuant to subdivision                       thirteen     of this section
          14    unless the conduct constitutinq                the violation       would otherwise constitute
          15    a violation       of this section:         and
        : 16        lb) Administer       and enforce all the provisions              of this section:          and
          17         (c) Conduct any investigation             necessary to carry out the provisions                  of
          19    this section.        Pursuant to this power and duty, the commission may admin-
          19    ister oaths or affirmations,               subpoena witnesses,         compel their attendance
          20    and require the PrOduCtiOn of any books or records                          which     it    mav deem
          21    relevant or material.
          22         17. (a) Notwithstanding               the provisions        of article     six of the public
          23    officers     law, the onlv records of the commission which shall be availa-
        , 24    ble for public inspection             are:
          25        11) the information         set forth in an annual statement of financial                      dis-
          26    closure filed Dursuant to section seventv-three-a                        of the public officers
                law except the categories               of value or amount, which shall remain confi-
(---I    :;     dential,     and any other item of information                 deleted pursuant to paraqraph
   -     29     Jh) of subdivision         nine of this section:
         30         12) notices of delinquency              sent under subdivision           eleven of this sec-
         31     tion:
         32         13) notices        of reasonable cause sent under paragraph (b) of subdivi-
         33     sion twelve of this section:               and
         34          (4) notices of civil        assessments imposed under this section.
         35         lb)   Notwithstandinq        the provisions         of article     seven of the public of-
         36     ficers    law, no meetinq or proceedinq,                including    any such proceedins con-
         37     templated        under paraqraph           (h) or (i) of subdivision            nine of this sec-
         38     tion, of the commission shall be open to the public,                         except if expressly
         39     provided otherwise by the commission.
         40         18. (a) There is established               within the state ethics commission a pu-
         41     blic advisorv council 'which shall consist of five members and shall have
         42      lb) The members of the public advisorv council shall be appointed by the
         43     governor provided,         however, that one member shall be aopointed                         on the
         44     nomination        of the comptroller           and one member shall be appointed on the
         45     nomination of the attorney             general.      Of the three        members appointed            by
         46     the qovernor          without      prior nomination,          no more than two members shali
         47     belonq to the same political               party and at least two members shall not be
         48     public      officers      or employees          or hold any DUbliC office,                 elected or
         49     appointed.       No member shall hold office              in any political       party or be em-
         50     ploved as a lobbvist.
         51         1~) Members of the public advisory council shall serve for terms of
                four vears concurrent           with the terms of office               of the qovernor             with
  f-     ::     reSDeCt to members aupointed without prior nomination or concurrent                                with
         54     the term of office         of the comptroller           or attorney      qeneral,    as the case
         55     mav be, who nominated                 their appointment by the qovernor. The,initial
         56     members appointed bv the qovernor shall                      serve until        December thirty-
                                                                                                                    LIT    ,
                                                                                                                           .
                                                                                                                          I‘
     s. 6441                                               32                                            A. 8528

 1   first,      nineteen        hundred      ninety or until his successor is qualified                          if
 2   later than such date.
 3       Id)    The governor shall desiqnate the chairman of the public advisory
 4   council from among the members thereof,                       who shall serve as chairman                    at
 5   the pleasure           of the qovernor.          The chairman or any three members of the
 6   public advisosv council may call a meeting.
 7        (e) Any vacancy            occurring        on the public advisory council shall be
 8   filled     within sixtv days of its occurrence,                      by the governor,           in the same
 9   manner as the member whose vacancy is beinq filled                              was appointed.        A per-
10   son appointed to fill              a vacancy     occurrinq        other than by expiration              of a
11   term of office            shall be appointed for the unexpired term of the member
12   he succeeds.
13        (f)   Three members of the public advisorv council shall constitute                                       a
14   quorum, and the public advisory council                         shall      have power          to act by
15   majority        vote of the total                number of members of the public advisory
16   council without:vacancv.               Members of the council may be removed by the
17   governor        for    substantial         neqlect of duty, qross misconduct in office,
10   inability       to discharge the powers or duties of office                           or violation           of
19   this section after written                notice and opportunity               for reply.
20       &)     The members of the public advisorv council shall not receive com-
21   pensation but shall be reimbursed for reasonable                               expenses       incurred       in
22   the performance of their official                    duties.
23       Ih)    The public advisory council shall:                     (1) Permit any person required
24   to file a financial            disclosure       statement to request the public                    advisory
25   council       to delete          from the CODY thereof made available                      for public in-
26   spection one or more items of information                         which may be deleted              UDOII      a
27   finding       by a majority          of the total number of members of the public ad-
28   visorv council irithout             vacancy that the information                  which would other-
29   wise be available           for public inspection             wili have no material              bearinq on
30   the discharge of the reporting                            s
                                                     person’ official             duties.     If such request
31   for deletion        iSdenied,         the public advisory council,                  in its notification
32   of denial,        shall inform the person of his or her riqht to appeal the pu-
33   blic      advisory council’     s      determination         to the commission pursuant to the
34   commission’    s      rules      qoverninq        adjudicatory          proceedinqs         and     appeals
35   adopted pursuant to subdivision                   thirteen      of this section;           and
36        (2) Permit        any person required             to file a financial            disclosure      state-
37   ment to request an exemption from any requirement to report one or more
38    items of information              which pertain         to such person’      s spouse or unemanci-
39   pated children         which item or items may be exempted upon a findinq                               by a
40   majority        of the total number of members of the public advisorv coundil
41   without vacancy          that the reportinq            individual’ 5 spouse, on his or her
                                                                        s       spouse,     on                   he<
42   own behalf or on behalf of an unemancipated child,
                                                      unemancipated                    objects to providinq
43    the information         necessary to make such disclosure
                                        ary                                        and that the informa-
44    tion     which would otherwise                 be required           to be reported will have no
45   material      bearinq on the discharqe of the reporting                              person’ s     official
46   duties.       If    such request           for exemption is denied, the public advisory
47    council,     in its notification            of denial,        shall inform the person              of his
48   or her riqht             to appeal the public advisory council’                   s    determination         to
49                                                                   s
      the commission pursuant to the commission’ rules qoverninq adjudicatory
50   Procsedinqs and appeals adopted pursuant to subdivision                                thirteen     of this
51    sect ion.
52        (i)   Pendinq any application                 for deletion        Of exemption either t0 the
53   public advisory council or to the commission upon appeal of an adverse
54   determination          by     the public advisocy council,                 all information         which is
55    the subject or a part of the application                            shall       remain confidential.
56    UDOFl    an adverse determination              by the commission, the reportinq                   individ-
      S. 6441                                               33                                             A. 8528

 1    ual may request, and upon such request                         the commission            shall       provide,
 2    that     any information               which      is the subject or part of the application
 3    remain confidential             for a period of thirty             davs followinq          notice Of such
 4    determination.            In the event that the reportinq                      individual      resiqns his
 5    office     and holds no other office                 subject to the iurisdiction               of the com-
 6    mission,        the information           shall not be made public and shall be expunged
 I    in its entirety.
 0        lj)    Notwithstandinq           the provisions         of article       seven of the public of-
 9    ficers     law, no meeting or proceedinq,                   including       anv such proceedinq con-
10    templated         under paraqraph              (h) or (i) of subdivision              nine of this sec-
11    tion, of the commission shall be open to the public,                               except if expressly
12    provided otherwise bv the public advisory                         Council.
13        ik)    Where the council                 is of the opinion that a determination                       of a
14    guestion common to a class or defined cateqorv of persons                                   or. items         of
15    information         with respect to requests for deletion                      or exemution will ore-
16    vent undue repetition               of such requests or undue complication,                      the coun-
17    cil may certify           the question to the commission for resolution                          and disuo-
18    sition      in accordance with paragraph (m) of subdivision                                nine      of this
19    sect ion.
20         s 8. Section            one hundred sixty-six             of such law, as added by chapter
21    six hundred ninety-seven                of the laws of nineteen hundred fifty-four,                            is
22    amended to read as follows:
23         s 166.         Record of appearances. Every regulatory                         agency of the state
24     shall keep a record of appearances before it or its                                 appropriate         divi-
25     sions      or bureaus of attorneys,                 agents and representatives               appearing on
26     behalf of any person, firm, corporation                       or association           subject        to its
27     regulatory         jurisdiction,          for      which     they     receive a fee, which record
28     shall be open to public               inspection.         The term         “regulatory         agency” as
29     used in this             section        shall      mean    the banking department,                 insurance
30     department,        state liquor         authority,       department of agriculture              and mark-
31     ets,     deDartment of education,                department of environmental                cbnservation,
32     department of health,              division      of housinq and communitv renewal, depart-
33     ment     of    state,       other       than the division              of corporations            and state
34     records, department of public service                       [and], the industrial            board of ap-
35     peals       in the department of labor and the department of law, other than
36     when the attorney qeneral or his                      aqents     or emplovees            are performing
37     duties specified           in section sixtv-three              of this ChaDter.
38         S 9. Section eighty of the legislative                       law is REPEALED and a new SeC-
39     tion eighty is added to read as follows:
40         S 80. Leqislative                ethics       committee;       functions,       powers and duties;
41     review of financial             disclosure        statements:      advisory opinions:            investiqa-
42     tion     and enforcement.            1. There is established              a legislative        ethics COm-
43     mittee which shall consist of eiqht members of the legislature                                     and shall
44     have and exercise the powers and duties set forth in this section Only
 45    with resnect to members of the leqislature,                             legislative         emulovees         as
 46    defined       in section seventy-three                  of the public officers            law and candi-
 47    dates for member of the legislature.
 48         2. Two members of the committee shall be appointed bv the temporary
 49    president       of the senate, two by the speaker                    of the assembly. two bv the
 50    minoritv        leader       of the senate, and two by the minority                         leader of the
 51    assembly.
 52         3. Members of the committee shall serve for terms of two Years Concur-
 53    rent with their leqislative                  terms of office.
 54         4. The temporary         president       of the senate and the speaker Of the as*em-s
 55    bly shall each designate one member of the committee from his respective
     S. 6441                                             34                                           A. 8528

 1   house as a co-chairuerson                  thereof.     The co-chairpersons             iointlv     or any
 2   five members of the committee may call a meetinq.
 3       5. Anv vacancv occurrinq            on the committee shall be filled                   within sixty
 4   days by the appointins           authoritv.
 5       6. Five members of the committee shall constitute                             a quorum, and the
 6   committee shall have power to act bv maioritv                       vote of the total               number
 7   of members of the committee without vacancv.
 8       7. The members of the committee shall be reimbursed for reasonable ex-
 9   penses.incurred        in the performance of their official                    duties.
10       8. The committee shall:
11       a. Appoint an executive             director     who shall act in accordance with the
12   policies     of the committee:
13      b. Appoint        such other staff as are necessarv to carry out its duties
14   under this section;
15       C. Adopt,       amend, and rescind rules and requlations                        to qovern Droce-
16   dures of the committee which shall not be subject                           to the promulqation
17   and hearinq         requirements         of the state administrative                   procedure act,
1s   which shall include,          but not be limited           to, the procedure wherebv a per-
19   SO* who is required                to file an annual financial               disclosure         statement
20   with the committee may request an additional                       period of time within which
21   to file such statement,            due to justifiable           cause or undue hardship;               such
22   rules or reculations          shall provide for a date beyond which in all                           cases
23   of justifiable       cause or undue hardship no further                    extension of time will
24   be qranted;
25       d. Promulqate suidelines            to assist appointinq           authorities         in deteemin-
26    inq which persons hold policy-makinq                 positions      for purposes            of section         r-.\
27   seventy-three-a        of the public officers             law and may promulgate q uidelines
28   to assist firms, associations                and corporations          in separatinq             affected      UJ
29   persons      from net revenues               for purposes       of subdivision          ten of section
30   seventy-three       of the Public officers            law, and promulgate               quidelines        to
31   assist any firm, association               or corporation         in which anv present or for-
32   mer statewide elected official,                 state officer       or employee, member of the
33    Legislature       or Legislative            employee, or political            party chairman is a
34   member, associate,         retired      member, of counsel or shareholder,                        in com-
35    plvinq     with    the vrovisions         of subdivision        ten of section seventv-three
36   of the public officers            Law with respect to the separation                   of such ore-
37    sent or former           statewide       elected official,         state officer          or emplovee,
38    member of the Legislature            or legislative         emplovee,        or political           party
39    chairman      from the net revenues of the firm, association                         or corporation.
40    Such firm, association           or corporation         shall not be required to adopt the
41    procedures contained in the guidelines                   to establish        compliance with sub-
42    division    ten Of section seventy-three               of the public officers               Law, but if
43    such firm,        association        or corporation          does adopt such procedures,                 it
44    shall be deemed to be in compliance with such subdivision                              ten;
45       e. Make available           forms for financial           disclosure       statements required
46    to be filed pufsuant to subdivision                 six     of section          seventy-three          and
47    SeCtiOn seventy-three-a           of the public officers            Law;
48       f.    Review financial           disclosure       statements         in accordance with the
49    provisions      of this section,         provided however,          that      the committee            may
50    delesate      all    or part of the review function                relating      to financial        dis-
51    closure statements filed            by leqislative        employees pursuant              to sections
52    seventy-three      and seventy-three-a            of the public officers             law to the exe-
53    cutive' director      who‘ shall     be responsible         for completinq staff review                 of    iiv
54    such statements in a mannerconsistent                    with the terms of the committee's
55    delegation;
       S. 6441                                           35                                         A. 0528

  1        9. Receive         complaints alleqinq          a violation      of section seventy-three,
   2   seventy-three-a          or seventv-four       of the public officers          law;
   3       h. Permit any person required              to file a financial         disclosure      statement
   4   to request the committee to delete from the COPV thereof made available
   5   for     public      inspection       one or more items of information,                 which may be
   6   deleted by the committee, after denial of a request for deletion                              made to
   7   the Legislative          advisorv council as provided in subdivision                   seventeen of
   8   this section,        upon' a findinq       bv a majority       of the total number of mem-
   9   bers of the committee without vacancy that the information                               which would
  10   otherwise be required to be disclosed will have no material                              bearinq      on
11
‘      the discharqe            of the reuortinq         person's official        duties.     In the event
  12   that four members of the committee find in favor of the request and four
  13   members find           against     the request,       a deciding vote shall be cast bv an
  14   advisory member to the committee who shall be a person,                             other     than a
  15   member of the legislature,                  Leqislative       emplovee, person emploved as a
  16   lobbvist,      officer      in a political       party or member of the leqislative                 ad-
  17   visorv      council,        desiqnated by ioint nomination of the temporary presi-
  18   dent of the senate and the speaker of the assembly. If such request                                 for
  19   deletion        is denied, the committee, in its notification                    of denial,      shall
  20   inform the person of his or her riqht to appeal the committee's                              determi-
  21   nation      pursuant to its rules qoverning adjudicatory                    proceedings and ap-
  22   peals adopted pursuant to subdivision                   twelve of this section.            The com-
  23   mittee      shall promulqate rules and regulations                   qoverninq the issuance of
  24   written     decisions       in connection with appeals from the advisorv council:
  25       i. Permit any person'reauired              to file a financial         disclosure      statement
  26   to request an exemption from any requirement                      to report one or more items
  27   of     information        which pertain        to such person's spouse or unemancipated
  28   children      which item or items may be exempted by the committee,                              after
  29   denial of a request for exemption made to the leqislative                           advisory coun-
  30   cil as provided in subdivision                seventeen of this section,            upon a finding
  31   by a majority             Of the total number of members of the committee without
  32   vacancy that the reportinq              individual's       spouse, on his or her own behalf
  33   or on behalf            of an unemancipated child,               objects to providinq         the in-
  34   formation necessary to make such disclosure                       and that       the information
  35   which would otherwise be required to be reported will have no material
  36   bearing on the discharge of the reportinq                     person's official         duties.       In
  37   the event that              four   members of the committee find in favor of the
  38   request and four members find aqainst the request,                       a deciding vote shall
  39   be cast by an advisory member to the committee who shall be a personL
  40   other than a member of the leqislature,                    leqislative     emplovee, person em-
  41   ployed      as a lobbvist,            officer       in a political      party or member of the
  42   legislative       advisory council,         designated by joint nomination of the tem-
  43   porarv      president       of the senate and the speaker of the assembly. If such
  44   request for exemption is denied, the committee, in its                          notification         of
  45   denial,       shall      inform    the person of his or her riqht to appeal the
  46   committee's determination             pursuant to its rules            qoverninq      adjudicatory
  47   proceedinas         and appeals adopted pursuant to subdivision                     twelve of this
  48   section.      The committee shall promulgate rules and requlations                         qoverninq
  49   the issuance           of written      decisions      in connection with appeals from the
  50   advisory council:
  51      3. Advise and assist the leqislature                  in establishinq       rules and requla-
  52   tions relatinq         to possible conflicts          between private       interests      and offi-
  53   cial      duties     of present       members of the leqislature            and legislative         em-
  54   ployees:
         5. 6441                                                 36                                               A. 8528

   1         k. Prepare an annual report to the leqislature                             summarizinq the activi-
   2     ties of the committee and recommending changes in the laws qoverninq the
                                                                                                                                  P
    3-   conduct of members of the leqislature                         and leqislative           employees.
    4        1.    upon certification            of a question by the public advisory council                               to    4
    5    the committee,, as provided in paragraph h of subdivision                                         eighteen        of
    6    this      section,       the committee may determine a question common to a class
    7    or defined category of persons or items of information                                      required       to be
    8    disclosed,       where determination              of the auestion will prevent undue repet-
. 9      ition of requests for exemption or deletion                            or prevent           undue complica-
  10     tion in complyinq with the requirements                         of such section.
  11          9. The committee, or the executive                     diredtor      and staff of the committee
  12     if responsibility           reqardinq        such financial          disclosure           statements         filed
  13     by leqislative             emplovees has been delegated,                     shall inspect all finan-
  14     cial disclosure          statements filed with the committee to ascertain                                 whether
  15     any person           subject to the reportinq                 reauirements         of subdivision          six of
  16 :   section seventy-three              or section seventv-three-a                  of the public            officers
  17     law has failed         to file       such a statement,             has filed a deficient               statement
  18     or has filed a statement which reveals a possible                               violation          of sect ion
  19     seventy-three,           seventy-three-s              or    seventy-four        of the public officers
  20     law.
  21          10. If a person required to file                     a financial       disclosure         statement with
  22      the committee has failed                to file a financial             disclosure         statement or has
  23      filed     a deficient            statement,        the committee shall notify                  the reporting
  24 ,   person in writinq,            state the failure             to file or detail               the deficiency,
  25     provide the person with a fifteen                        day period to cure the deficiency,                      and
  26     advise the person of the penalties                          for     failure        to comply with                the
  27      reportins      requirements.          Such notice shall be confidential.                       If the person           ,
  28 :   fails     to make such filinq             or fails        to cure the deficiencv                   within        the
  29      specified      time period,         the committee shell send a notice of delinquency:                                  ild
  30     la) to the reporting              person:        (b) in the case of a senator,                    to the tem-
  31’    porary       president        of the senate,                and if a member of assembly, to the
  32      speaker of the assembly: and (c) in the case of a Leqislative                                         employee,
  33      to the appointing            authority       for such person and to the temporary presi-
  34     dent of the ‘       senate and/or the speaker of the assembly, as the case mat
  35      be, who has iurisdiction                over such appointinq             authority.
  36          11. a. If          a reportinq          person has filed a statement which reveals a
  37      possible violation           of section seventy-three,                  seventy-three-a           or seventy-
  38      four     of the public officers               law, or the committee receives a sworn com-
  39     plaint      alleqinq     such a violation             by a reporting          person or a legislative
  40      employee       subject       to the provisions             of section seventy-three                 of the pu-
  41      blic officers        law, or if the committee determines on its own initiative
  42      to investiqate          a possible violation               by a reportinq           person     or a leqisla-
  43      tiVe employee        subject to the provisions                  of section seventy-three                 of the
   44     public      officers      law, the committee shall notify                     the reportins           person in
  45      writinq,      describe the possible or alleqed                        violation          of such sect ion
   46     seventy-three,           seventy-three-a             or seventy-four            and provide the person
   47     with a fifteen         day period in which to submit a written                           response        settinq
   48     forth      information        relating      to the activities            cited as a possible or al-
   49     Leqed violation         of law. If the committee thereafter                         makes a determina-
  50      tiOn that further           insuirv       is justified,         it shall qive the reportinq                   per-
   51     son an OPPortunity            to be heard. The committee                     shall       also      inform       the
   52     r@POrtinq        individual        of its rules reqardinq               the conduct of adjudicatory
   53     proceedinqs and appeals                   and the due process                  procedural           mechanisms
   54     available        to such individual.               If the committee determines at any staqe                            ij
   55     of the proceeding,            that there is no violation                 or that any potential                con-,
   56     flict      of interest          violation       has been rectified,             it shall so advise the
                     S. 6441                                                  37                                                A. 8528

                     reportinq         person and the complainant,                    if      anv. All         of the foregoinq
                     proceedings shall be confidential.
                         b. If          the committee           determines          that        there is reasonable cause to
                     believe that a 'violationhas'occurred,                           it shall 'send a notice                 of' reas-
                 5   onable cause:               (i)     to the reportinq           person; (ii)          to the complainant              if
                 6              ...
                     a"y. , (iii)         in the case of a senator,               to the temporary president                      of the
                     senate, and if a member of the assembly, to the speaker of the assembly;
                     and (iv) in the case of a leqislative                                  employee,        to the appointinq
                 9   authority            for    such person and to the temporary president                            of the senate
                10   and/or the speaker of the assembly, as the case may be, who has iuris-
                11   diction        over such appointing             authoritv.
                12       12. An individual              who knowinqly and intentionally                      violates       the provi-
                13   sions of subdivisions                 two through five or subdivision                       seven,       eight       or
                14   twelve         of section seventy-three                of the public officers                law or a report-
                15   ing individual            who knowingly and wilfully                   fails    to file an annual state-
                16   ment of financial                 disclosure       or who knowinqly and wilfully                      with intent
                17   to deceive makes a false statement or qives information                                      which       such in-
                18   dividual           knows to be false on such statement of financial                                    disclosure
                19   filed pursuant to this section shall be assessed a civil                                       penalty         in an
                20   amount not to exceed ten thousand dollars.                              Assessment of a civil                penalty
                21   hereunder shall be made by the committee with respect to persons subject
                22   to its           iurisdiction.          For a violation             of this section,           the legislative
                23   ethics committee may, in lieu of a civil                             penalty,      refer a violation                 to
                24   the
                     pp a ro riate
                25   referral,          such violation         shall be punishable                as a class A misdemeanor. A
                26   civil     penalty for false filing                 may not be imposed hereunder in the'@v@nt
                27   a cateqory of "value" or "amount" reported hereunder is incorrect                                             unless
                     such reported               information         is falsely          understated.        Notwithstandinq             any
     r;         :i   other provision             of law to the contrary,                 no other penalty,           civil      or crim-
                30   inal     may be imposed for a failure                          to file,        or for a false filing,                of
                31   such statement,             or a'violation          of section seventy-three                   of the public
                32   officers           law, except that the appointins                     authority      may impose discipli-
                33   nary action as otherwise provided by law. The leqislative                                       ethics commit-
                34   tee shall be deemed to be an aqency within                                the meaninq of article                 three
                35   of the state administrative                   procedure act and shall adopt rules                           qovern-
                36   inq the conduct of adjudicatory                         proceedings           and appeals taken pursuant
                37   to a proceeding commenced under article                             seventy-eiqht        of the civil           prac-
                36   tice      law and rules                relating      to the assessment of the civil                      penalties
                39   herein authorized               and committee denials of requests                       for     certain         dele-
                40   t ions or exemptions to be made from a financial                                 disclosure        statement as
                41   authorized           in paragraph h or paragraph i of subdivision                             eiqht        of this
                42   section.          Such rules,        which shall not be subiect to the promulgation                                 and
                43   hearing reauirements               of the state administrative                    procedure           act,       shall
                44   provide         for      due process procedural             mechanisms substantially                   similar       to
                45   those set forth in such article                      three but such mechanisms need not be
                46   identical            in terms or scope. Assessment of a civil                         penalty or committee
                47   denial of such a reauest shall be final                             unless      modified,         suspended or
                48   vacated within thirty                days of imposition,              with respect to the assessment
                49   of such penalty,             or unless such denial of request                         is reversed             within
                50   such time period,                and uoon becominq final                 shall be subject to review at
                51   the instance of the affected                    reportinq        individuals        in a proceeding               com-
                52   menced against                the leqislative            ethics committee, pursuant to article
                     seventy-eight            of the civil        practice      law and rules.
                         II.     A COPY of any notice of delinquency                         or notice of reasonable caus@
                     Sent pursuant to subdivisions                     ten and eleven of this                  section        shall       be




c.        .,.
                                                                                                                       1.)
                                                                                                                             I

      S. 6441                                                 38                                              A. 8528

 1    included        in the reportinq                 person's        file   and be available           for public
 2    inspection.
 3        14. Upon written                request        from a*v person who is subiect to the
 4    requirements          of sections        seventy-three,          seventy-three-a        and seventy-four
 5    of the public officers                law, the committee shall render advisorv opinions
 6    on the requirements              of said provisions.             An opinion rendered bv the com-
 7    mittee,        until       and    unless        amended or revoked, shall be bindinq on the
 8    committee         in any subsequent                  proceedinq        concerning       the person who
 9    reauested the opinion and who acted in qood faith,                               unless material           facts
10    were omitted or misstated                  by the person in the reuuest for                     an opinion.
11    Such opinion             may also       be relied        upon by such person, and may be intro-
12    duced and shall be a defense in any criminal                                or civil         action.          Such
13    requests shall be confidential,                      but the committee mav publish such opin-
14    ions provided that the name of the requestinq                              person and other                 iden-
15    tifvinq       details      shall not be included in the publication.
16        15. In addition              to any other powers and duties specified                         bv law, the
17    committee shall have the power and duty to:
18        a. Administer          and.enforce        all the provisions           of this section:
19        b. Conduct any investigation                     necessarv to carry out the provisions                       of
20    this section.           Pursuant to this power and duty, the committee may admin-
21     ister oaths or affirmations,                   subpoena witnesses,           compel their attendance
22    and require the production                   of any books or records              which       it     may deem
23    relevant       or material.
24        16. a. Notwithstanding                the provisions         of article      six of the public of-
25    ficers      law, the onlv records of the committee which shall                               be available
26     for public inspection              are:
27        11) the information             set forth in an annual statement of financial                             dis-
28    closure filed uursuant to section seventy-three-a                               of the public officers                     ljlr
29     law except            the cateqories           of value or amount which shall be confiden-
30     tial,    and any other item of information                       deleted pursuant to paragraph                    h
31    of subdivision            eiqht of this section;
32        12) financial            disclosure        statements filed          pursuant to subdivision               six
33    of section seventy-three                  of the public officers             law:
34        13) notices of delinquencv                  sent under subdivision             ten of this section:
35         (4) notices of reasonable cause sent under QaraqraPh                                b of subdivision
36     eleven of this section:                and
37         15) notices of civil              assessment imposed under this section.
38         b. Notwithstanding                the provisions          of article      seven of the public of-
39     ficers     law, no meetinq or proceedins of the committee shall be open to
40     the public,         except if expressly             provided otherwise          by the committee.
41         C.   Pending any            application            for deletion      or exemption either             to the
 42    lesislative         advisory council or to the committee upon appeal of an ad-
 43    verse determination             bv the leqislative             advisory council,         all information
 44    which is the subject                   or a part             of the application             shall        remain
 45    confidential.            upon     an     adverse         determination        by the committee,               the
 46     reportins      individual        may request, and upon such request                       the committee
 47    shall      provide,        that any information              which is the subject or part of the
 48    application         remain confidential              for a period of thirty              days followinq
 49    notice of such determination.                    In the event that the reportinq                   individual
 50     resigns his office            and holds no other office                subject to the jurisdiction
 51    Of the committee, the information                         shall not be made public and shall be
 52    expunqed in its entirety.
 53        17. a. There is established                    within the Leqislative            ethics committee a
 54     l@qislatiVe        advisory Council which shall consist                       of five          members and
 55     shall      have and exercise                 the powers           and duties        set forth in this
 56     subdivision.
          ;.        's. 6441                                                39                                               A. 0520

                1       b. Three members of the legislative                       advisory      council      shall be personsL
                2   other than members of the legislature                         of legislative          employees         or per-
                    sons employed              as lobbyists       or officers          in any political            party,     no more
'p              :   than two of whom shall below                     to the same political               party,      who shall        be
      i'        5   appointed          upon the" iornt    '     nomination          of the temporary president                 of the
                6   senate and the speaker of the assemblv. The chairman of the senate iudi-
                7   ciary      committee         and the chairman of the assembljr judiciary                               committee
                8   shall also serve as members of the leqislative                              advisory       council.
                9      .C.   Members of the legislative                   advisory        council       shall serve for terms
               10   of two years or, in the case of members of the leqislature,                                       durinq their
               11   term in office           as chairmen of their              respective       judiciary        committees.
               12       d. One member of the legislative                    advisory        council,      other than a member
               13   who is also a member of the legislature                          shall be designated              chairman        of
               14   the legislative              advisorv      council.       The chairman or any three members of
               15   the committee may call a meeting.
               16       e. Any vacancy occurrinq                on the legislative              advisory       council: shall be
               17   filled     within       sixty days of its occurrence                  in the same manner as the
               18   member whose vacancy is being filled                            was appointed.          A person appointed
               19   to fill      a vacancy occurrinq            other       than by expiration              of a term of of-
               20   fice      shall       be appointed          for      the unexpired              term of the member he
               21   succeeds.
               22       f.   Three members of the legislative                       advisory      council       shall constitute
               23   a quorum, and the leqislative                    advisory       council     shall have power to act
               24   by majority             vote of the total           number of members of the leqisl.ative                        ad-
               25   visorv council without               vacancy.
               26       9. The leqislative           advisory        council      shall:
               27       11) Permit           any person required             to file      a financial        disclosure         state-
                    ment to request the leqislative                     advisory       council      to delete frond the cope
                    thereof       made available             for public          inspection       one or more items of in-
     &!             formation        which may be deleted by such council                          upon a findinq                 by a
               31   majority          of the total       number of members of such council                       without vacancy
               32   that the information             which would otherwise                be available          for    public        in-
               33   spection will have no material                     bearinq on the discharqe                 of the reporting
               34   person's      official       duties.     If such request for deletion                     is denied,           such
               35   council,          in its notification              of denial,        shall    inform the person of his
               36   or her right to appeal the council's                         determination          to the committee pur-
               37   suant      to the committee's                rules qoverninq adjudicatory                    proceedings         and
               38   appeals adopted pursuant to subdivision                           twelve of this section:               and
               39       12) Permit           any person required             to file      a financial        disclosure         state-
               40   ment to request an exemption from any requirement                                 to report one or more
               41   items      of information         which pertain            to such person's           spouse or unemanci-
               42   pated children           which item or items may be exempted upon a findinq                                   by a
               43   majority          of the total           number of members of the legislative                           advisory
               44   council without vacancy that the reporting                            individual's          SPOUSE, on his
               45   Or her own behalf                  or on behalf of an unemancipated                       child,      objects      to
               46   providing         the information        necessary to make such disclosure                        and that the
               47   information           which would otherwise                be required        to be reported will              have
               48   ?IO material         bearinq on the discharqe                of the reporting           person's        official
               49   duties.        If     such request           for     exemption is denied, the council                       in its
               50   notification          of denial,      shall      inform the person of his or her riaht                             to
               51   appeal       the council's            determination             to the committee pursuant to the
               52   committee's          rules qoverninq         adjudicatory          proceedinqs        and appeals adopted
               53   pursuant to subdivision               twelve of this section.
     p:54               h. Where the council                   is of         the opinion        that a determination               of a
               55   question      common to a class or defined category of persons                                   or items         of
               56    information         with respect to requests for deletion                        or exemption will pre-
      S. 6441                                                   40                                                A. 8528

 1    vent undue repetition                 of such requests or undue comolrcation,            .               the coun-
 2    cil      may certify          the question            to the committee for resolution                    and dispo-
  3   sition       in accordance with oaraqraph-                       1 of subdivision               eiqht       of this
  4   section.
  5        s 10. Subdivision                  one ‘    of      section eight hundred six ‘ the general   of
  6   municipal         law, as amended by chapter one thousand nineteen of the laws
  7   of nineteen hundred seventy,                        is amended to read as follows:
  8        1. u           The governing              body of each county, city,                    town, village           and
  9   school district              shall and the governing body of any other                                municipality
10    may by local law, ordinance                      or resolution          adopt a code of ethics                 setting
11    forth for the guidance of its officers                              and emplo,yees         the standards               of
12    conduct         reasonably        expected of them.                 Such code shall provide standards
13    for     officers       and employees with respect to disclosure                               of      interest         in
14    legislation            before       the local governing body, holding of investments                                   in
15    conflict        with official           duties,         private     employment in conflict               with offi-
16    cial       duties,        future employment and such other standards relating                                   to the
17    conduct of officers               and employees as may be deemed advisable.                                         Such
18    codes may regulate                    or prescribe               conduct which is not expressly                     pro-
19    hibited         by this          article         but may not authorize                     conduct         otherwise
20    prohibited.               Such codes may provide for the prohibition                                of conduct or
21    disclosure            of     information            and the classification                  of employees               or
22    officers.
23         lb) Effective           on and after January first,                   nineteen hundred ninety-one,
24    such codes of political                   subdivisions,            asdefined       in section           eiqht       hun-
25    dred ten of this article,                      may contain provisions                which require           the fil-
26     inq of completed annual statements                           of financial      disclosure          with the ap-
27    propriate         bodv, as defined              in section eiqht hundred ten of this article.
28    Nothinq herein shall be construed                            to restrict      any political             subdivision
29    or any other municioalitv                       from requirinq          such a filinq          orioc to January
30     first,      nineteen hundred ninety-one.                       Other than as required                by subdivi-
31     sion       two of section eiqht hundred eleven of this article,                                    the qoverninq
32     body of any such political                     subdivision         or other municipality               may at any
33     time       subsequent          to the effective                 date of this odraqraph (b), adopt a
34     local law, ordinance or resolution                            pursuant to subdivision              one of sec-
35     tion eiqht hundred eleven of this article                              and any such political                 subdiv-
36     ision or municipalitv,                  actinq by its qoverninq body, may take such other
37     action        as is authorized               in such subdivision.             Any political            subdivision
38     or other municioalitv                 to which all of the provisions                      of sect ion eiqht
39     hundred twelve of this article                         apply may elect to remove itself                     from the
40     ambit of all (but not some) provisions                             of such section              in the manner
41     authorized          in subdivision           three of such section eiqht hundred twelve.                              In
42     such event any such political                         subdivision      or municipality            shall be sub-
43     ject       to certain         conditions         and limitations          set forth in paraqraphs                  (a),
 44    Lb) and (c) of such subdivision                          three which shall include,                  but not be
45     limited         to, the oromulqation                  of a form of an annual statement of finan-
 46    cial disclosure             described        in subdivision           one of such section eiqht                    hun-
 47    dred eleven.
 48         s 11. Subdivision                three of section eight hundred six of such law, as
 49    amended by chapter one thousand nineteen of the laws of nineteen hundred
 50    seventy,        is amended to read as follows:
 51         3. [The1 Until Januarv first,                          nineteen hundred ninety-one,                  the clerk
 52    of each municipality                shall file           in the office       of the state              comptroller
 53    and On Or after             January first,             nineteen hundred ninetv-one,                  the clerk of
 54    each municipality              and of each political                 subdivision,       as defined in sec-
 55     tion      eiqht        hundred       ten of this article,               shall file with the temporary
 56     State COITItIiSSiOn on local qovernment ethics established                                   by section eight
                S. 6441                                                    41                                                A. 8528

            1     hundred thirteen                of this article,           if such temporary state commission be
            2     in existence,           and in all events shall maintain as a record                                  subject        t0
            3    public inspection:                                                                       ,
            4    ~,,,.,,,(a) a COPY of any code of ethics or any amendments to any code of
                ,,
            5    ethics adopted within thirty                       days after the adoption                 of such code or
            6    such amendment,
            7         (b)      a statement that such municipality                        or Dolitical           subdivision         has
            8    established          a board of ethics,               in accordance with section eight                        hundred
            9    eight        and/or pursuant to other law, charter,                         code, local law, ordinance
           10    or resolution,             and the composition              of such board, within              thirty      days af-
           11    ter the establishment                  of such board.
           12         (c) a copy of the form of annual statement of financial                                            disclosure
           13    described in subdivision                    one of section eiqht hundred eleven of this ar-
           14    t icle       and either a statement of the date such annual statement form was
           15    promulgated by local law, ordinance or resolution                                  of the governinq body,
           16     if     adoDted PUrSUant to subparaqraph (i) of Daraqraph (a) of subdivision
           17    one of section eiqht hundred eleven of this article,                                    or a statement that
           18    the qoverning body has, by local law, ordinance or resolution,                                             resolved
           19    to continue the use of an authorized                          form of annual statement of finan-
           20    cial       disclosure          in use on the date such local law, ordinance or resolu-
           21    tion is adopted, if adopted pursuant to subparaqraph (ii)                                         of p araqraph
           22     (a) of subdivision                one of section eiqht hundred eleven of this article,
           23    and if as of January first,                     nineteen hundred ninety-one,                    no such form
         I 24    was promulqated and no such resolve was made to continue usinq an exist-
           25    ing annual statement form, a statement that the provisions                                            of section
           26    eight       hundred twelve of this article                      apply or that it is a municipality
           27    which is not subject to the provisions                           of section eiqht              hundred         twelve
         : 28    of this article                because it is not a political                  subdivision         as defined in
           29    section eiqht hundred ten of this article.
           30        m         on or before                the fifteenth          day of February in each year, the
           31    comptroller          or the temporary state commission on local government ethics
           32    if      such commission be in existence,                      or the clerk of the municipality                      or
           33    political        subdivision           during or after           calendar        year       nineteen         hundred
           34    ninetv-one           if       such commission not be in existence,                      as the case mav be,
           35    shall submit to the legislature                          a report       listing         the name of each
           36    county,        city,         town,      village         and school district            which has as of the
           37    thirty-first            day of December next preceding,                   failed      to so file with              him
           38    Or with          it,       as the case may be, a code of ethics,                       or in the case of a
           39                                                                                                      ,.
                 filinq      bv the clerk of the municipality                      or p olitical         subdivlsion,            stat-
           40    inq whether or not the municipalitv                           or political         subdivision          has in ef-
           41    fect as of the filing                  date, a code of ethics.
           42        (e) not later than ADril first,                       nineteen hundred ninety-one,                   the cOmp-
           43    troller       shall submit to the temporary state commission on local                                       qovern-
           44    ment ethics:
           45          (i) a report that sets forth,                      (A) the name of each political                    subdivi-
           46    sion, as such term is defined in section eiqht hundred ten of this arti-
           47    cle, the qoverninq bodv of which has elected to satisfv                                      the requirements
           48    of subdivision             one of section eiqht hundred eleven of this                                article       by
           49    continuing           to use the annual statement form in existence                                    at the time
           50    such election            is made as authorized               bv subdivision         one of section              eight
           51    hundred eleven of this article,                          and (B) the name of each Dolitical                      sub-
           52    division,       as so defined,              other than those listed             in clause (A) of this
                 subparagraph             (i),      that      timely Dromulqated an annual statement form of
    f-     ::   financial        disclosure           in accordance with subdivision                   one of section eiqht
           55    hundred eleven                 of this         article,      and (C) in a separate cateqory,                     sets
           56    forth the name of those Dolitical                         subdivisions       that failed            to continue



-
     S. 6441                                                42                                             A. 8528

 1   usinq its existinq             form or to Promulqate a form and which, therefore,                              by
 2   operation       of subdivision           two of section eiqht hundred eleven of this ar-                            , ,Y-
 3   ticle      have become’    subject,         as of January first,            nineteen hundred ninetv-
 4   one, to the provisions                of section eiqht hundred twelve of this                        article.       u;
 5   The comptroller           shall,       at the same time such report is submitted to the
 6   temporarv state commission                    on local         government       ethics,       notify        each
 7   political         subdivision         which is contained in the latter                  cateqorv that it
 a   is subject to section eiqht hundred twelve of this article;                                    and
 9         (ii)    a cow         of      the most recent filing                 by all municipalities              and
10    pursuant
     political       subdivisions           made                                                                   and
11   (d) of this subdivision.
12       s 12. Section eight hundred eight of such law is amended by adding a
13   new subdivision         five to read as follows:
14       5. A board of ethics of a political                      subdivision       (as defined in section
15   eiqht hundred ten of this article)                      and of any other municipality,                    which
16   is reauired          by: local law, ordinance or resolution                       to be, or which Pur-
17   suant to leqal authoritv,                  in practice       is, the repository            for      completed
18   annual       statements          of financial           disclosure       shall notify        the temporary
19   state commission on local government ethics if such commission be in ex-
20    istence and if not, shall file a statement with the clerk of its munici-
21   palitv,      that it is the authorized                 repository       for completed annual state-
22   ments of financial                  disclosure         and that on account thereof,                 such com-
23   pleted statements will be filed with it and not with                                    the commission.
24   Should any local law, ordinance or resolution                              be adopted which provides
25   for the filinq         of such completed annual statements                       with      the temporary
26   state       commission         on local qovernment ethics instead of with such board
27   of ethics,        such board of ethics shall notify                     the temporary state commis-
28   sion on local qovernment ethics of that fact.
29       5 13. Such laq’     is       amended by adding a new section eight hundred ten to
30   read as follows:
31       s 810. Additional                 definitions.         As used in sections eight hundred
32   eleven, eiqht hundred twelve and eight hundred thirteen                                 of this article:
33        1. The term “political              subdivision”        shall mean a county, citv,                town or
34   villaqe      havinq a population              of fifty     thousand or more and shall                  include
35   a citv with a pouulation                 of one million         or more.
36        2. The term “local            elected official”           shall mean an elected official                  of
37    the political        subdivision,           except iudqes          or justices         of the unified
38   court svstem.
39        3. The term “local officer                     or emplovee” shall mean the heads (other
40    than local elected officials)                  of any aqency, department,               division,        coun-
41   cil,       board,    commission, or bureau of a political                       subdivision         and their
42   deputies and assistants,                 and the officers           and employees of such aaen-
43   ties,       departments,           divisions,       boards, bureaus, commissions or councils
44   who hold policy-makinq                positions,       as annually determined by the appoint-
45    inq authority        and set forth in a written                  instrument     which shall be filed
46   with the aopropriate               body durinq the month of Fehruarv; except that                             the
47    term “local         officer          or emolovee” shall not mean a iudqe, justice,                           of-
48    ficer or emplovee of the unified                    court system.
49        4. The term “state aqencv” shall mean any state department,                                     or divi-
50    sion, board, commission, or bureau of anv state department,                                    any public
51    benefit       corporation,           public       authoritv       or    commission at least one of
52   whose members is appointed by the qovernor, or the state                                   university          of
53    New York Or the citv university                    of New York, includinq            all their consti-
54    tuent Units except Community colleqes and the independent                                     institutions         3
55    oPeratim- stat”tOrv             or contract        colleges on behalf of the state.
              S. 6441                                              43                                            A.   8528

          1        5. The term "spouse" shall mean the husband or wife of the reporting
              individual         unless living         separate and apart from the reporting                     individ-
r..,      ;   ual with           the intention           of terminating         the marriaqe or providing               for
              permanent separation or unless seuarated pursuant to: (a) a judicial                                      or-
          5   der,       decree or judqment, or (b) a leqally                   bindinq separation           aqreement.
          6        6. The term "local political                nartv official"        shall mean:
          7        Ia)    any chairman of a county committee elected pursuant to section'2-
          8   112 of the election              law, or his or'her successor in office,                    who received
          9   compensation or expenses, or both, from constituted                             committee or politi-
         10   cal committee funds, or both,                    during the reporting            period       aggregating
         11   thirty      thousand dollars           or more;
         12         (b) that person (usually desiqnated by the rules of a county committee
         13   as the "county leader" or "chairman                      of the executive              committee")           by
         14   whatever title           desiqnated,       who pursuant to the rules of a county commit-
         15   tee or in actual practice,                 oossesses or performs any or all of the fol-
         16   lowing        duties or roles, provided that such person received compensation
         17   or expenses, or both, from constituted                       committee or political             committee
         18   funds,        or both, during the reportinq                period aqqregating          thirty      thousand
         19   dollars      or more:
         20       li)     the principal          political,      executive and administrative                officer      of
         21   the county committee:
         22        (ii)     the power of general manaqement over the affairs                            of the county
         23   committee:
         24       liii)       the power to exercise the "owers of the chairman of the county
         25   committee as provided for in the rules of the county committee;
         26       .(iv) the power to preside at all meetinqs of the county executive corn-
         27   mittee,       if such a committee is created hv the rules of the county                                 com-
              mittee or exists de facto, or any other committee or subcommittee of the
  (-7    ;;   COuntY committee vested by such rules.with                       or havinq de facto the power
   '.A
         30   of general management over the affairs                        of the county committee             at times
         31   when the county committee is not in adtual session;
         32        Iv) the power to call a meetinq of the county committee                            or of any corn--
         33   mittee or subcommittee vested with the rights,                         powers, duties           or priv-
         34   ileges       Of the county committee pursuant to the rules of the countv com-
         35   mittee,       for the pufpose of filling               an office    at a special            election         in
         36   accordance          with     section       6-114 of the election           law, for the purpose of
         37   fillinq      a vacancy in accordance with section 6-116 of such law                                 or for
         39   the purpose Of fillinq                    a vacancy or vacancies in the county committee
         39   which exist by reason of an .increase in the number of election                                 districts
         40   within        the county occasioned                by a change of the boundaries of one or
         41   more election          districts,       taking effect after the election                  of its        mem-
         42   bers,       or for the purpose of determininq                   the districts        that the elected
         43   members shall represent until                  the next election         at which such members of
         44   such committee             are elected:         provided,      however, that in no event shall
         45   such DOWer encompass the power of a chairperson                          of an assembly district
         46   committee          or other district          committee smaller than a county and created
         47   by the rules of the county committee, to call a meetinq of such district
         48   committee for such Purpose:
         49       jvi)    the Dower to direct            the treasurer       of the party to expend funds of
         50   the county committee: or
         51       Jvii)'      the Power to procure                 from one or more bank accounts of the
         52   COUntY committee the necessary funds                       to defray         the exnenses of the
  ,p     ::   county committee: and
                  &I      the city,          town or villaqe         chairman or leader of a,citv,                town or
         55   Villaqe      committee Of a party as the term partv is defined in section                                   l-
         56   104 Of the election                 law, but onlv with respect to a city,                   town or vil-
      S. 6441                                               44                                              A. 8528

 1    laqe havinq a population                of fifty      thousand or more, and only                    if     such
 2    chairman                                                                                                            ,,--i
  3   stituted       committee or political              committee funds,            or both,       durinq         the    9
  4   reportinq          period      aqqresatins       thirty     thousand dollars           or more. The term
  5   chairman or leader is intended to refer to the Person who performs                                           the
  6   functions          and duties of the chief official                   of a oarty in the city,              town
  7   or village         by whatever title           desiqnated.
  8       The terms “constituted                 committee” and ‘        political        committeen, as used
  9   in this subdivision              six, shall have the same meaninqs as those contained
10    in section 14-100 of the election                     law.
11        c7. The term “relative”
12    stepchild,         stepparent,       or any person who is a direct                  descendant         of the
13    gq rand arents           of      the                                                      the report in
14     individual’ s        SDOUSB.
15         8. The term ‘        unemancipated         child” shall mean any son, dauqhter,                      step-
16    son or stepdauqhter              who is under age eiqhteen,                unmarried and livinq                in
17    the household of the reoortinq                    individual.
18         9. The term “aoprouriate              body” or “appropriate              bodies” shall mean:
19         Ia)    in the case of any political                       subdivision        which has created or
20    hereafter        creates a board of ethics which is in existence                          at the time an
21    annual        statement         of financial          disclosure         is due, and which has been
22     designated by local law, ordinance or, resolution                            to be the repository
23     for such completed statements,                   such board of ethics;
24         lb)    in the case of any political                       subdivision        which has created or
25     hereafter       creates a board of ethics which is in existence                          at the time an
26     annual statement of financial                    disclosure       is due, and which has not been
27     desiqnated by local law, ordinance or resolution                             to be the repository
28     for      such completed statements,                 the temporary state commission on local
29     government ethics:                                                                                                 w
30          (cl   in the case of any political                      subdivision        for which no board of
31     ethics is in existence at the time an annual statement of f’                              inancial        dis-
32     closure        is due, the temporary                   state      commission on local government
33     ethics.
34          10. The term ’ requlatory                   aqency” shall            have the same meaninq as
35     ascribed to such term bv subdivision                      one of section seventy-three                 of the
36     public officers            law.
37          11. The term “ministerial                     matter”      shall       have the same meaninq as
38     ascribed to such term by subdivision                      one of section seventy-three                 of the
39     public officers           law.
40          12. The term “local aqency” shall mean:
41          (a) any County, city,             town, village,          school district         or district        cor-
42     poration,        or any aqency,          department,         division,         board,    commission           or
43     bureau thereof:           and
44          (b) any public benefit            CorDoration        or public authority           not included in
 45     the definition          of a state agency.
46          S 14. Such law is amended by adding a new section eight hundred eleven
 47     to read as follows:
48         5 811. Promulqation               of form of annual statement of financial                        disclo-
 49     sure: authority          of qoverninq           body with          respect       to persons          subject
 50     thereto.        1. (a) The qoverninq body of each political                           subdivision        may,
 51     not later than Januarv first,                 nineteen hundred ninety-one,               and the qov-
 52    erninq       body of any other municinalitv                  may at any time subsequent to the
 53     effective       date of this           section,       adopt s local              law,   ordinance,           or
 54     resolution:         (i)     wherein       it    promuigates a form of annual statement of
 55     financial       disclosure       which is desiqned to assure disclosure                    by municipal
 56     officers        and employees,           which       for    the purposes of this section,                  the
“I         S. 6441                                                  45                                               A. 8528

      1    definition        for which shall be modified so as to also include a citv with
      2    a population            of one million             or more, and (in the case of a political
       3   subdivision         or any other           countv,       citv,       town or villaae)                 which        is
       4   desiqned to assure disclosure                   by local elected officials                 and/or by local
       5   political       Party officials         of such financial              information        as is determined
       6   necessary by the qoverning body, or (ii)                         wherein it resolves to continue
       7   the use of an authorized               form of annual statement of financial                             disclo-
       8   sure in use on the date such local law, ordinance or resolution                                                    is
       9   adopted. In either event, such lo&L law, ordinance or resolution                                           if and
     10    when adopted shall specify by name of office                              or by title        or classifica-
     11    tion those municipal             officers       and employees and (in the case of a polit-
     12    ical subdivision          or any other county, city,                   town or villaqe)           those local
     13    elected officials           and/or those local              political          Party      officials          which
     14    shall      be required to complete and file                     such annual statement.                In a city
     15    1
           with a
     16    resolution          shall be at least as strinqent                   in scope and substance as the
     17    provisions        of section eight hundred twelve of this article.
     18        lb) The qoverning body of a political                       subdivision         or any other countyC
     19    city,     town or villaqe,          which       requires        the completion              and filing             of
     20    either       of such forms             of annual statements of financial                       disclosure          by
     21    local or municipal officers                  and employees and/or by local elected                           offi-
     22    cials      shall have the Power,              if it so chooses, to require the completion
     23    and filing        of such annual statements of financial                           disclosure         by local
     24    political          party    officials         as if        such officials           were officers          or em-
     25    ployees of such county, city,                   town or village,             provided however, that                  a
     26    person who is subject to the filing                      requirements           of both subdivision              two
     27    of section seventy-three-a                 of the public officers                law and of this              sub-
     26    division        may satisfy           the requirements            of this subdivision             by filinq          a
     29    copy of the statement filed                  pursuant to section seventy-three-a                         of the
     30    public       officers       law with          the appropriate            bodv, as defined in section
     31    eight hundred ten of this article.                      on or before               the f ilinq          deadline
     32    provided         in such section              seventv-three-a,            notwithstandinq            the filinq
     33    deadline otherwise imposed by this subdivision.
     34        Ic) The qoverninq body of a political                       subdivision         or any other county,
     35    city,     town or villaqe          which requires          any local or municipal                 officer          or
     36    employee or any local elected official                          or any local political                party Of-
     37     ficial     to complete and file either of such annual statements                                   of finan-
     38     cial     disclosure       shall have, possess, exercise and enjoy all the rights,
     39    powers and privileqes              attendant        thereto which are necessarv                   and Proper
     40     to the enforcement                of such requirement,               including       but not limited            to,
     41     the promulgation          of rules and requlations                pursuant to local               law,      ordi-
     42     nance or resolution,              which rules or regulations                   mav orovide for the PU-
     43     blic availability          of items of information                 to be contained on such form
     44     of statement of financial                disclosure,        the determination            of penalties           for
     45     violation       of such rules or regulations,                  and such other              powers       as are
     46     conferred upon the temporary state commission on local qovernment ethics
     47     pursuant to section eiqht hundred thirteen                          of this article           as such local
      48    governing bodv determines are warranted under the circumstances                                        existinq
      49    in its county, citv,             town or villaqe.
      50        Id) The local law, ordinance or resolution,                           if and when adooted, shall
      51    provide for the annual filinq                  of completed statements                  with      either        the
      52    tesuxxary         state commission on local government ethics or with the board
      53    of ethics of the Political                 subdivision        or other municipality                 and shall
            contain       the Procedure for filing                 such statements and the date by which
            such filincr        shall be required.           If the board of ethics iS desiqnated                              as
            the appropeiate body, then such local law, ordinance or resolution                                          shall
      s. 6441                                                 46                                              A. 8528

 1    confer upon the board appropriate                          authority        to enforce           such filing
 2    requirement,           including      the authority          to promulqate rules and requlations
  3   of the same import as those which                         the temporary           state      commission           on
  4   local        qovernment         ethics enjoys under section eiqht hundred thirteen                                of
  5   this       article.         Any such local              law,     ordinance        or resolution              shall
  6   authorize           exceptions        with      respect        to complvinq with timely filino                    of
  7   such disclosure             statements due.to iustifiable                 cause or undue hardship.
  8   The appropriate                bode shall prescribe              rules and regulations              related       to
  9   such exceotions.with               respect to extensions                and additional            periods         of
10    time within              which to file such statement includinq                       the imoosition           of a
11    time limitation             upon such extensions.
12         (e)     Nothinq herein shall be construed to Drohibit                            a political       subdiv-        .
13     ision or other municipality                  from promulqatinc           the form of annual               finan-
14    cial       disclosure          statement set forth in section eiqht hundred twelve of
15    this article.            Promulgation       of the same form of annual financial                        disclo-
16    sure statement set forth in section eight hundred twelve of this article
17    shall not be deemed an automatic election                            to be subject          to the provi-
18    sions of such section.
19         2. In the event that a political                        subdivision       fails     bv January first,
20    nineteen hundred ninety-one                   to oromulqate,           or fails         by such date              to
21    elect to continue usinq, a form of annual statement of financial                                        disclo-
22     sure in the manner authorized                    in subdivision         one of this           sect ion then
23     the provisions            of section eiqht hundred twelve of this article                           shall ap-
24     plv on and after such date to anv such political                              subdivision        subject         to
25     the provisions               of subdivision            three      of such section eiqht hundred
26     twelve.
27         9 15. Such law is amended by adding a new section eight hundred twelve
28     to read as follows:
29         5 812. Financial                disclosure       for local elected officials                 and certain
30     officers
31         1. (a) Anv political                 subdivision        or other county, city,              town or vil-
32     laae to which all of the provisions                        of this section are made applicable,
33     whether         as the result of the provisions                   contained in subdivision                Wo of
34     section eiqht hundred eleven of this article                            or as a result of an elec-
35     tion       to be subject              to the provisions           of this section as permitted                   by
36     subdivision          two of this section,            shall require (i)              each of its             local
37     elected         officials        and local          officers        and emplovees, (ii)            each local
38     po litical        oartv official         and (iii)       each candidate for local elected                      of-
39     ficial        with      resoect       to such political             subdivision,         to file an annual
40     statement of financial                disclosure       containing       the information.and             in the
41      form Set forth           in subdivision         five hereof. Such statement shall be filed
42     on or before the fifteenth                  dav of May with             respect        to the preceding
 43    calendar vear, except that:
 44         ii) a Person who is subject to the reportinq                           requirements        of this sub-
 45     division       and who timelv filed with the internal                       revenue service           an ap-
 46    elication           for     automatic       extension of time in which to file his or her
 47     individual         income tax return for the immediately precedinq                             calendar         or
 40     fiscal       Year shall be required to file such financial                             disclosure        state-
 49    ment on or before May fifteenth                     but mav, without beinq subjected to any
 50     civil     Oenaltv on account of a deficient                     statement,       indicate      with respect
 51     to anv item of the disclosure                   statement that           information         with     respect
 52     thereto         iS lackinq but will be supplied in a supplementarv statement of
 53     financial        disclosure,       which shall be filed on or before the seventh                              day
 54     after       the exuiration           of the period of such automatic extension of time
 55     within which to file such individual                        income tax return,              provided         that
 56     failure       to file or to timelv file such supplementarv statement of finan-
  1  cial disclosure             or the filinq        of an incomplete or deficient                      supplemen-
  2  tary       statement         of financial          disclosure       shall be subject to the notice                      .
,3   and penalty provisions                 of this section         respecting        annual       statements           of
~-4 financial            disclosure         as if such supplementary               statement were an annual
   5 statement;
   6     iii)      a person who is required                  to file an annual financial                 disclosure
   7 statement with              the temporary           state      commission          on local         qovernment
   8 ethics,         and who is sranted an additional                    oeriod of time within which to
   9 file such statement due to justifiable                         cause or undue hardship,                   in ac-
 10 cordance with reouired rules and requlations                              on the subject adopted pur-
 11 suant to paraqraph c of subdivision                         nine of section eight hundred                     thir-
 12 teen of this                 article,'     shall file such statement within the additional
 13 period of time qranted:
 14       (iii)    candidates for local elected official                       who file designating               peti-
 15 tions for nomination at a primary election                               shall      file      such statement
 16: within        seven days after the last day allowed by law for the filing                                          of
 17 desiqnatinq           petitions        naminq them as candidates               for the next          succeeding
 19 primary election:
 19      liv)      candidates for independent .nominatidn for local elected official
 20 who have not been desiqnated                     by a nartv to receive                a nomination            shall
 21 file        such statement within seven days after the last day allowed by law
 2i for the filinq             of independent nominating petitions                      naming them as candi-
 23 dates        for local elected official                  in the next succeedinq qeneral or spe-
 24 cial or village              election:      and
 25      iv,     candidates           for local elected official               who receive the nomination
 26 of a party for a special election                        or who receive           the nomination             of a
 21 party        other        than at a primarv election                   (whether or not for an uncon-
 28 tested office)             shall file such statement within                      seven davs after                the
 29  date of the meetinq of the party committee at which they are nominated.
 30       (b) As used in this subdivision,                      the terms "party",             'committee"        (when
 31' used in coniuction               with the term "party"),                  "desiqnation",            “primary”,
 32 "primary election",                 "nomination",        "independent        nomination",         "ballot"       and
 33 "uncontested            office"      shall have the same meaninqs as those contained                                in
 34 section l-104 of the election                     law.
 35       Cc) Such statement                  shall     be filed         with      the acorooeiate           body, as
 36 defined in section eight hundred ten of this article.
 37       Cd) The appropriate                 body, as defined in section eight hundred ten of
 38 this article,            shall obtain from the "board of elections",                           as such term
 39 is defined in section l-104 of the election                             law, lists        of all candidates
 40 for local elected official.                     and from such lists,             shall determine and pu-
 41 blish        lists      of those candidates who have not, within                         ten days after~the
 42 reouired date for filing                   such statement,         filed     the statement required                by
 43 this subdivision.
 44       (e) Local          political         party officials         and any person required to file
 45 such statement who commences emolovment after May fifteenth                                      of any year
 46 shall file such statement within thirty                          days after commencinq employment
 47 or of takinq the oosition                   of local political            cartv official,          as the case
 48 may be.
 49      If) A person who is subject to the filing                          requirements         of both subdiv-
 50 ision two of section seventy-three-a                         of the public officers              law and of
 51 this        subdivision           may satisfy          the requirements           of this subdivision              by
 52 filing       a CODY of the statement filed pursuant to section seventy-three-a
 53 of the public officers                  law with the appropriate               body, as defined in sec-
 54 tion eight hundred ten of this article,                          on or before the filins                 deadline
 55 provided           in such section               seventy-three-a,          notwithstanding          the filing
 56 deadline otherwise imposed by this subdivision.
                                                                                                                             1
                                                                                                                                     .’

      S. 6441                                                 48                                              A. 8528

 1        Is) A person who is subject to the filing                          reouirements           of this subdiv-
 2    ision from more than one political                        subdivision        vithin        the same county                     ,,w
 3    may satisfy           the requirements             of this subdivision            by filing       only one an-
                                                                                                                                 w
 4    nual statement of financial                     disclosure     with the appropriate               body (as is
 5    required       in that county) for the countv in which such political                                   subdivi-
  6   sions are located or if such political                          subdivisions         cross       one or more
  7   county       boundary        lines,        then such single filing                may be made for any of
  8   the counties in which one of such political                                  subdivisions          is Iocated
 9    Erovided,          however,       that        the appropriate            bodies (as required by such
10    other counties)           are notified            of the name of the countv                    of such com-
11    pliance       by the person                who is subjected to the filing                     reauirements       of
12    this subdivision,            within the time limit               for     filinq        specified        in this
13    subdivision.
14        Jh) A local            elected         official       who is simultaneously               a candidate for
15    local elected official                shall satisfy          the filinq        deadline requirements             of
16    this      subdivision          by complvinq only with the deadline applicable                              to one
17    who holds such local elected office.
18        f' 1) A candidate             whose name will appear on both a party desiqnatinq
19    petition       and on an independent nominatinq petition                            for the same office
20    OZ who will              be listed       on the election           ballot      for the same office            more
21    than once shall satisfy                 the filinq        deadline requirements               of this subdiv-
22     ision by complvinq with the earliest                        applicable        deadline only.
23         2. The governinq body of a county, city,                         town or villaqe            having a POP-
24    ulation      of less than fifty               thousand may by local law or ordinance                         elect
25     to be subject to the provisions                      of this section.           In such event, any such
26    city,     county, town or village                   shall be deemed to be a political                   subdivi-
27    sion under this section.                                                                                                    , --.
28         3. Any uolitical          bubdivision           or other county, citv,              town or village          to
29    which all of the provisions                     of this section are made applicable,                      whether          llrr
30    as a result              of the provisions              contained in subdivision                two of section
31    eiqht hundred eleveb of this article                         or as a result of an election                   to be
32     subject        to the provisions                 of this section as permitted                  by subdivision
33     two of this section,             may elect to remove itself                   from the ambit             of all
34    ibut      not somel provisions                of this section (other than this subdivisionl
35     bv adopting a local law, ordinance or resolution                                specificallv         referring
36     to the authority            conferred          by this subdivision.             Provided,       however, that
37     the terms of such local law, ordinance or resolution                                  shall be subject to
38     the followinq          conditions        and limitations:
39         (a) Such local              law,       ordinance        or resolution            must provide for the
40     promulqation         of a form of an annual statement                       of financial            disclosure
41     described in subdivision                 one of section         eiqht hundred eleven of this sr-
42     title    for "se with respect to information                        the qoverninq body requires                  to
43     be eeuorted for the calendar vear next succeedinq the year in which such
44     local law, ordinance or resolution                        is adopted and for use with                    respect
45     to information             required           to be reDorted for subsequent calendar 'fears;
46     and shall provide for the filing                       of completed statements with either the
47     te*POrarV         state commission on local government ethics or with the board
48     Of ethics of the political                    subdivision      or other municipality,               as speci-
49     fied in subdivision             one of section eiqht hundred eleven of this article.
50         (b)    Such removal             shall        not be effective         with respect to the annual
51     financial        disclosure       statement         for the calendar vsar in which the local
52     law, ordinance             Or resolution            is adopted (the fiJing              of which statement
53      is due on May fifteenth                   of the next succeedinq                      vear with         certain
 54    exceptions),           nor shall            such removal be effective                  with respect to any
 55     required annual           financial            disclosure      statement          for      the immediately
 56    precedinq          calendar       veaz (the ,filinq             of which statement is due on May
          1   fifteenth        (with certain     exceptions)     of the calendar year in which                  such
          2    local      law,     ordinance or resolution         is adopted),      nor shall such removal
              be effective         with respect to any other Drecedinq year but such removal
              shall apply first          to the statement which would have been due on May fif-
          5   teenth (with certain           exceptions)     of the second year next succeeding                    the
          6   year      in which        such local law, ordinance or resolution                  is adopted, and
          7   such removal shall apply thereafter                to subsequent        statements         otherwise
          8   due pursuant to this section.
          9       jC)     Such remOVa       shall not affect       the power to impose, 01 the imposi-
         10   tion Of, a penaltv for failure              to file,     or for      false     filing,        of any
         11   required annual financial            disclosure      statement.
         12       jd)     The local       law, ordinance or resolution            referred      to in paraqraph
         13   (a) of this subdivision            or any other          such local        law, ,ordinance            or
         14   resolution         so adopted may make provision             for any other riqht,           power or
         15   privilege       qranted by subdivision          one of       such section           eight     hundred
         16   eleven.
         17       4. Nothinq contained in this section shall be construed as precludinq
         18   the qoverninq body of a political               subdivision      from requirinq           additional
         19   and/or more detailed           items of financial        disclosure     than are set forth in
         20   subdivision        five hereinbelow.
         21         5. The annual statement of financial               disclosure     shall contain the in-
         22   formation and shall be in the form set forth hereinbelow:
         23                         ANNUAL STATEMENTOF FINANCIAL DISCLOSURE FOR
         24       (Insert    Name of Political        Subdivision)      - (For calendar year                        1

         25   1. Name

p        26   2. (a) Title      of Position
         27       lb)   Departmeht, Aqency or other             Governmental       Entity
         28       Ic)   Address of Present Office

         29       (d) Office     Telephone      Number

         30   3. (al Marital     Status                            . If    married,     please     q ive spouse's
         31          full    riame      including             maiden        l-lame      where          applicable.
         32
         33       (b) List     the names of all        unemancipated       children.
         34

         35

         36

         37

         38
         39   Answer each of the following         questions   completelv,  with respect to
         40       calendar year            , unless another period or date is otherwise
         41       specified. If additional   space  is needed, attach additional   paqes.
                Whenever 'a "value" or “amountoo is required to be reDorted herein, such
    (9   i:   value or amount shall be reported as being within one of the following
         44   Cateqories:   CatWOw    A - under     55,000: Category B - $5,000 to under
         45   520.000: CsteWrV C - $20,000 to under s60,ooo; Cateqory D - $60,000     to
                                                                                                       .   1




     S. 6441                                       50                                     A. 8528

1    under $100,000; Cateqorv E - $100,000 to under $250,000; and Cateqorv F
2    - $250,000 or over. A reporting  individual    shall indicate     the Cateqory
3    bv letter  onlv.
4       FOZ the purposes of this statement,      anvwhere the term “local agency”
5    shall appear such term shall mean a local agency, as defined in section
6    eiqht hundred ten of the general municipal     law, of the political    subdiv-
7                        financial
     ision for which this‘           disclosure    statement has been filed,

 a   4. (a) List any office,       trusteeship,     directorship,      partnership,      or posi-
 9       tion of anv nature includinq           honorarv positions,        if known, and ex-
10       cludinq      membership     positions,     whether compensated or not’ held by,
11       the reportinq     individual      with anv firm,        corporation,       association,
12       partnership,      or other orqanization        other than the State of New York
13       or (insert     name of political          subdivision).       ‘If    said   entity      was
14       licensed      bv any state or local aqencv, was requlated bv any state
15       requlatorv     agency or local agency, or, as a regular and siqnificant
16       part    of the business or activity          of said entity,        did business with,
17       ot had matters other than ministerial             matters before, anv state              or
18       local agency, list       the name of any such aqencv.

19                                                                                State   or
20        Position                         Orqanizdtion                           Local   Aqency

21

22

23

24

25


26        lb)    List   any office,     trusteeship,       directorship,      partnership,     or
27        position    of any nature includinq       honorarv positions,       if   known, and
28        excluding     membership wsitions,        whether compensated or not, held by
29         the SPOUSE or unemancioated child of the reportinq              individual,      with
30        any firm, corporation,       association,      partnership,    or other orqaniza-
31        tion other than the State of New York. If said entitv                  was licensed
32        bv anv state or local aqencv, was regulated               by any state requlatory
33        aqencv Or local aqency, or, as a reqular and significant                 part of the
34        business     Or activity  of said entitv,       did business with, or had mat-
35         ters other than ministerial        matters     before,     any state        or local
36        aqencv, list    the name of anv such aqencv.
           1                                                                           State   or
           2         Position                      Orqanization                        Local   Aqency

           3




           8   5.    (a) List      the name, address and description      of any occupation,   em-
           9         plovment, trade, business or profession      engaqed in by the reporting
          10         individual.      If  such activity    was licensed by any state or local
          11         agency, was regulated      by any state     requlatory    agency or local
          12         aqency, or, as a regular and siqnificant       part of the business or ac-
          13         tivitY    Of said entitv,  did business with, or had matters other       than
          14         ministerial    matters before, any state or local aqency, list       the name
          15         of any such aqency.

          16                                                                           State.oe
          17                             Name b Address                                 w
          18         Position            of Orqanization            Description        Agency

   r      lP,
          20

          21

          22

          23

          24   Ib)   If the *POuse or unemancipated child of the reporting           individual     was
          25         engaqed i* anv occupation,      employment, trade,   business or profession
          26         which activity      was licensed by any state or local agency, was requ-
          27         lated by any state regulatory      agency or local agency, or, as a regu-
          28         lar and significant     part of the business or activitv      of said entity,
          29         did business with, or had matters        other   than ministerial         matters
          30         before,     anv state     or local    aqency , list   the name, address and
          31         description    of such occupation.       employment,   trade,      business     or
          32         profession    and the name of any such agency.




r -. _.
                                                                                                    iTi    ,,
                                                                                                          ? ,,
       5. 6441                                     52                                      A. 8528

 1                                                                                 State   or
 2                               Name b Address                                     a                        C’
 3         Position              of Orsanization              Description          w
                                                                                                            -r*9
 4

 5

 6

 7




 96.       List     any interest,      in excess of $1,000, excludinq            bonds and notes,
10         held bv the reporting         individual,       such individual’
                                                                          s      spouse or une-
11         mancipated       child,   or partnership        of which any such person is a mem-
12         ber, or corporation,        ten per centum or more of the stock of which is
13         owned or controlled            by any such person, whether vested or cont-
14         ingent,     in any contract      made or executed by a state or local               agency
15         and include the name of the entity               which holds such interest         and the
16         relationship      of the reportinq        individual     or such individual’ s      spouse
17         Or such child to such entitv               and,the interest      in such contract.      Do
18         not list any interest         in any such contract         on which      final     payment
19         has been made and all obliqations                    under the contract      except from
20         guarantees and warranties           have been performed,          provided,       however,
21         that     such an interest         must be listed       if there has been an onqoinq
22         dispute durinq the calendar year fpr which this statement                       is filed
23         with     respect      to any such quarantees or warranties.            Do not list     any
24         interest      in a contract     made or executed by a state agency after               pu-
25         blic     notice     and pursuant to a process for competitive               biddinq or a,
26         process for competitive          requests for proposals.

27                          Entity            Relationship         Contractinq         Cateqory
28           Self,       Which Held             to Entity            state or              of
29         Svouse or     Interest  &          *    Interest           u                Value of
30           Child        Contract            & Contract              Aqency           Contract
31

32

33
34

35
               I
   ,
  ,‘               S. 6441                                       53                                     A. 8528

                   7.    List any position         the reportinq     individual   held as an officer       of any
                         political       party or political      organization,    as a member of any polit-
                         ical      party     committee, or as a political        party district     leader. The
                         term "partv"        shall have the same meaning as "partv"           in the election
                         law.      The term "political        orqaniration"     means anv party or indeoen-
           6             dent body as defined in the election               law or any'orqanization      that is
           7             affiliated       with or a subsidiarv       of a party or independent body.


           8

           9

       10

       11

       12


       13          8.    (a) If       the reporting       individual     practices    law, is licensed by the
       14                department of state as a real estate broker or aqent or practices                       a
       15                profession      licensed     by the department of education,            qive a general
       16                description     of the principal        subject areas of matters undertaken           by
       17                such individual.        Additionally,       if such an individual       practices  with
       18                a firm or corporation        and is a partner or shareholder            of the firm or
       19                corporation,       qive   a qeneral description           of principal   subject areas
                         of matters undertaken by such firm or corporation.                   Do not list    the
(-Y    2                 name of the individual         clients,     customers or patients.

       22

       23

       24

       25

       26

       27          (b)    List     the name, principal      address and qeneral description     or the
       28                nature of the business activity      of any entity  in which the reoortinq
       29                individual    or such individual's      spouse had an investment   in excess
       30                of $1,000 excluding  investments     in securities  and interests    in real
       31                propertv.

       32




       36
     S. 6441                                    54                                    A. 8528

 1   9.   List    each source of sifts,    excludinq  campaign contributions,     in ex-
 2        cess of $1,000, received durinq the reportinq         period for which      this
 3        statement    is filed bv the reportinq     individual   or such individual’s
 4        spouse or unemanciuated child from the same donor,           excluding    qifts
 5        from a relative.     Include the name and address of the donor. The term
 6        “qifts”   does not include reimbursements,       which term is defined          in
 7        item 10. Indicate      the value and nature of each such qifti

 8                                                                                  Cateqory
 9          u                                                                           of
10        Spouse or        Name of                               Nature             Value of
11          Child           Donor             Address            of Gift              Gift

12

13

14

15

16


17 10. Identify     and briefly      describe the source of any reimbursements           for
16     expenditures,    excluding campaiqn expenditures            and expenditures        in
19     connection with official         duties reimbursed by the political        subdivi-
20     sion for which this statement has been filed,              in excess of       Sl,OOO
21     from each such source.              For purposes     of this       item,  the term          u’
22     “reimbursements”       shall mean any travel-related         expenses provided      by
23     nongovernmental        sources and for activities       related    to the reporting
24.    individual’
                 s     official     duties such as,      speakinq      enqaqements,     con-
25     ferences,     or factfindinq       events. The term ‘  reimbursements”     does not
26     include qifts     reported under item 9.

27        source                                                  Description

26

29

30

31
32


33   11. List     the identity       and value, if reasonably ascertainable,            of each
34       interest    in a trust,     estate or other beneficial      interest,       includinq
35       retirement      plans    other    than retirement     plans of the state of New
36       York or the city of New York, and deferred compensation plans                    esta-
37       blished     in accordance with the internal         revenue code, in which the
38       rePortinq     individual    held a beneficial   interest    in excess of $1,000           v
39       at any time durinq the preceding year. Do not report                 interests     in a
            i
            ‘
       1
      /‘            S. 6441                                    55                                        A. 8528

            1           trust,  estate or other beneficial          interest      established    by or for,    or
            2           the estate of, a relative.
f-!         3                                                                  category
            4                                                                      of
            5           Identity          .                                    Value *

            6

            7

            8

            9
           10


           11   l     The     value    of such    interest     shall     be reported      onlv   if   reasonably
           12                  ascertainable.

           13   12. (a)        Describe   the terms of,    and the parties         to, any contract,
           14                  promise,  or other aqreement between the reportinq         individual
           15                 and any person,      firm, or corporation   with respect to the em-
           16                 plovment of such individual   after leaving     office    or position
           17                 lother  than a leave of absence).




           20                                                                                                       ,”
                                                                                                                    ‘




           21

           22


           23           (b)   Describe       the parties     to and the terms of any agreement provid-
           24                 inq for continuation         of payments or benefits       to the reporting
           25                 individual       in excess of $1,000 from- a prior employer         other than
           26                 the political       subdivision     for which this    statement     is filed.
           27                 (This includes       interests    in or contributions      to a pension fund,
           28                 profit-sharinq       Dlan,     or life    or health      insurance:     buy-out
           29                 aqreements: severance payments; etc.)

           30
           31

           32
     s. 6441                                         56                                         A. 8528
 113.
 2       from each source for the reportins                individual      and such individual's.
 3       spouse for        the taxable         year     last occurrinq        prior to the date of           Ivs
 4       filing.    Nature of income includes,             but is not limited         to, salary for
 5       government       emuloYment,       income from other              compensated emploment
 6       whether public or private,            directorships        and other      fiduciary       p osi-
 7       tions.     contractual        arranqements,         teachinq      income,      partnerships,
 8       honorariums,      lecture     fees, consultant         fees, bank and bond interest,
 9       dividends,       income derived          from 'a trust.           real estate rents, and
10       recognized gains          from the sale           or exchange of real               or other
11       property.    Income from a business or orofession                  and real estate        rents
12       shall be reported with the source identified                    bv the buildinq         address
13       in the case of real estate rents and otherwise by the name of the
14       entity    and not~by the name of the individual                 customers,       clients       or
15       tenantS,     with the aqqreqate net income before taxes for each build-
16       inq address or entity.           The receipt      of maintenance received             in con-
17       nection     with     a matrimonial          action,       alimony     and child         support
18       payments shall not be listed.

19                                                                              Cateqory
20       self/                                                                      of
21       SDOUSe               Source               'Nature                       Amount
22

23

24                                                                                                           ui

25

26
       i
       ‘
 ,‘
 ‘*        IS.   6441                                   57                                    A. 8528

       1    14. List    the sources       of any deferred    income in excess of $1,000 from
       2        each source to be paid to the reportinq            individual      following        the
       3        close     of the calendar Year for which this-disclosure               statement is
.P     4        filed,     other     than deferred    compensation     reported      in item         11
       5        hereinabove.       Deferred income derived from the practice           of a profes-
       6        sion shall be listed        in the aqgregate    and shall      identifv      as the
       7        source,     the name of the firm, corporation,         partnership      or associa-
       8        tion through which the income was derived,          but shall       not     identify
       9        individual     clients.

      10                                                                 Cateqory
      11                                                                    of
      12          Source                                                  Amount

      13

      14

      15

      16
                                                                                                                              ..T ;
                                                                                                                               !      .“. :c
                                                                                                                                         f.
     S. 6441                                                  58                                               A. 8528

 1    ~5. List each assiqnment of income in excess of $1000, and each transfer
 2        other than to a relative    durinq the reporting        period for which this
 3        statement   is    filed for less than fair consideration           of an interest
 4        in a trust,   estate or other beneficial      interest,     securities   or real
 5        property,   by the reporting          ividual,
                                             ind’             in excess of SlOOO; which
 6        would otherwise be required to be reported herein and is not or has
 7        not been so reported.

 8                                                                                                   Cateqory
 9          Item Assigned                                    Assigned s                                 of
10          ” Transferred                                    Transferred        E                     u

11


12

13

14

15

16 16. List       below the type and market value of securities                                           held by the
17     reporting          individual           or such individual’        s        spouse from each issuing
18     entity      in excess of S1.000 at the close of the taxable year last oc-
19     curring prior to the date of filing,                                 including      the name of the issu-
20     inq entitv exclusive                      of securities          held by the reporting               individual
21     issued by a professional                             corporation.           Whenever an interest                  in
22     securities             exists          through        a beneficial             interest     in a trust,         the             w
23     securities          held in such trust shall be listed                            onlv if the reoortinq
24     individual           has knowledge thereof except where the reporting                                    individ-
25     ual or the reportins                     individual’  s        spouse has transferred               assets        to
26     such trust                for     his or her benefit                   in which event such securities
27     shall be listed                unless they are not ascertainable                        by    the reportinq
28     individual             because the trustee                     is under an obliqation              or has been
29     instructed           in writing           not to disclose the contents of the trust                               to
30     the reporting               individual.            Securities       of which the reportinq               individ-
31     ual or the reporting                     individual’  s        spouse is the owner of record                    but
32     in which such individual                        or the reportinq            individual’ s      spouse has no
33     beneficial           interest          shall not be listed.               Indicate      percentage of ow-
34     nership         if        the reporting               person or the reporting               person’   s spouse
35     holds more than five percent of the stock of a corporation                                             in which
36     the stock              is     publicly        traded or more than ten percent of the stock
37     of a corporation                 in which the stock               is     not publicly           traded.        Also
38     list      securities             owned for investment purposes by a corporation                                more
39     than fifty           percent of the stock                  of which is owned or controlled                        by
40     the reporting                  individual           or such individual’      s        spouse. For the pur-
41     pose of this item the term “securities”                                  shall mean bonds, mortqaqes,
42     notes, obliqations,                    warrants       and stocks of any class, investment in-
43     terests       in limited            or     general      partnerships          and certificates          of depo-
44     sits      and such other evidences of indebtedness and certificates                                               of
45      interest       as are usually referred                      to as securities.            The market         value
46     for such securities                    shall be reported only if reasonably ascertaina-
47     ble and shall not be reported                           if the security           is an interest             in a                w
48     general partnership                    that was listed            in item 8 (a) or if the security
                6441                                           59                                 A. 9528

                 is corporate     stock,    not publicly    traded,    in a trade or business        of a
                 reporting    individual     or a reportinq               s
                                                                individual’     SPouse.

                                                                      Category of Market
                                                                      Value as of the close
                                                                      of the taxable   fear          Percentaqe   of
                                                                      u     occurring  prior to      corporate
                                                                      the filinq    of               stock
                 Self/      Issuing        TJpe                       this                           owned or
                                                                                                     --
                 Spouse     Entity         Security                   Statement                      controlled

       10

       11

       12:

       13

       14

       15'       17. List below the location,          size, qeneral nature, acquisition         date,
       16            market value and percentaqe of ownership of any real property                     in
       17,           rhich    any vested or continqent          interest   in excess of $1,000 is
       18            held by the reportinq        individual    or the reportinq       individual’s
       19            spouse.      also    list  real property owned for investment purposes
       20            bv a corporation       more than fifty     percent of the stock       of which
       21'           is owned or controlled               by the reportins     individual     or such
(y-’   22:                     s
                     individual’       spouse. Do not list any real property which is the
       23            primary     or secondary personal residence of the reporting               indiv-
       24'           idual or the reportina                   s
                                                    individual’     spouse, except     where there
       25            is a co-owner who is other than a relative.

       26         Self/                                                           Category
       27         SDo”se/                                                            of      Percentage
       28         0s                                  General       Acquisition    Market         OT
       29         Parey      Location      Size       Nature           Date
                                                                       -           w         OwnershiP

       30

       31

       32

       33

       34
       35    18. List    below all notes and accounts receivable,          other than from qoods
       36        or services sold, held by the reportinq         individual     at the close   of
       37        the taxable      year last    occurring    prior to the date of filinq       and
       38        other debts owed to such individual       at the close of the taxable Year
                 last occurrinq    prior to the date of filinq,        in excess of $1.000. in-
(J-    :;        cludinq the name of the debtor,       type of obligation,       date due and the
       41        nature of the collateral     securing payment of eadh, if any, excluding
       42        securities   reported in item 16 hereinabove.           Debts,   notes  and ac-
                                                                                                                     . .
                                                                                                                    ;i
     S. 6441                                             60                                                   li’
                                                                                                      A. 8528 ‘ ’

 1        counts    receivable        owed to the individual             by a relative        shall     not be
 2        reported.

 3                                          m    of Obligation,                              Category                Y
 4                                          Date Due, and Nature                                of
 5          Name of Debt&                   g Collateral,    if,%                             Amount

 6

 7

,8

 9

10

11   19. List      below all        liabilities         of the reportinq          individual        and such
12       individual’ s       spouse, in excess of $5,000 as of the date of filing                             of
13       this      statement,       other       than liabilities         to a relative.       Do not list
14       liabilities        incurred by, or guarantees made by, the reportinq                          indiv-
15       idual or such individual’        s        spouse or by any proprietorship,                 partner-
16       ship or corporation             in which the reportinq                 individual          or such
17       individual’ s         spouse has an interest,                when incurred or made in the
18       ordinarv      course of the trade, business or professional                         practice         of
19       the reporting           individual         or such individual’    s      spouse. Include the
20       name of the creditor            and anv collateral           pledged by such individual
21       to SeCUTe Payment Of any such liability.                            A reporting        individual
22       shall not list WY obliqation                  to pay maintenance in connection                    with     wd
23       a matrimonial           action,      alimony or child support payments.                 Revolving
24       charse account information                shall only       be set     forth      if      liability
25       thereon       is in excess of $5,000 at the time of filinq.                        Any loan is-
26       sued in the ordinary            course of business by a financial                    institution
27       to finance educational               costs, the cost of home purchase or improve-
28       ments for a BrimaW or secondary residence,                        or purchase        of a per-
29       sonally owned motor vehicle,                household furniture         or appliances           shall
30       be excluded. If any such reportable                   liability     has been q uaranteed by
31       ally third      person, list        the liability       and name the quaran~tor.
32                                                                                            cateqory
33        Name of Creditor
          --                                 e       of Liability                                 of
34           z Guarantor                    &      Collateral,    g      x                     Amount
35
36

37

38

39
              The requirements   of law relatinq    to the reportins   of financial    in-
           terests are in the public interest   and no adverse inference    of unethical
      3    or illegal  conduct or behavior will be drawn merely    from compliance with
      4    these requirements.

(-    fl      JSignature       of Reportinq        Individual1                           Date (month/day/year1

      7       6.    A reportinq          individual        who knowingly and wilfullv             fails    to file an
      8    annual statement of financial                      disclosure     or who knowingly          and wilfully
      9    with      intent        to deceive          makes a false statement or gives information
     10    which such individual               knows      to be false on such statement                of financial
     11    disclosure         filed       pursuant          to this       section shall be assessed a civil
     12    penalty in an amount not to exceed ten thousand dollars.                                Assessment of a
     13    civil      penalty        hereunder shall be made by the appropriate                        body, as such
     14    term is defined in section eiqht hundred ten of this article.                                   For    a vi-
     15    olation       of this subdivision,                other than for conduct which constitutes                      a
     16    violation      of subdivision             twelve of sectian seventy-three               of the DUbliC
     17    officers        law, the board of ethics of the political                        subdivision        or other
     18    municipality         mav,     in lieu of a civil            penalty.     refer a violation           to the
     19    aDpropriate          prosecutor          and "Don such conviction,                but only after such
     20    referral,       such violation            shall be punishable as a class A misdemeanor. A
     21    civil     penalty for false filinq                  may not be imposed hereunder in the event
     22    a category of "value" or "amount" reported hereunder is incorrect                                      unless
     23    such reported              information           is falsely     understated.      Notwithstanding            any
     24    other provision           of law to the contrary,               no other penalty,         civil     or crim-
     25    inal      may be imposed for a failure                        to file,    or for a false filinq,               of
     26    such      statement,          except       that       the appointing         authority        may      impose
     27    disciplinary         action as otherwise               Drovided'by     law. Each apDropriate             body,
     26    as such term          is defined in section eiqht hundred ten of                          this      article,
     29    shall       adopt rules qoverninq the conduct of adjudicatory                           prodeedings and
           appeals relatinq              to the assessment                of' the civil         penalties         herein
           authorized.          Such rules shall provide for due process procedural                             mechan-
     32    isms    substantially           similar      to those set forth in article                three      of the
     33    state administrative              procedure act but such mechanisms need not be iden-
     34    tical     in terms or scope.             Assessment of a civil            penalty      shall      be final
     35    unless       modified,          suspended or vacated within thirty                  days of imposition
     36    and upon becominq final                 shall be subdect to review at the instance                             of
     37    the affected            reportins       individual        in a proceeding commenced against the
     38    appropriate        body, pursuant to article                  seventy-eiqht      of the civil            prac-
     39    tice law and rules.
     40       5 16. Such law is amended by adding a new section eight hundred thir-
     41    teen to read as follows:
     42       5 813. Temporary                 state commission on local government ethics;                         func-
     43    tions, powers and duties;                  review of financial           disclosure      statements:         ad-
     44    visory       opinions:        investigation           and enforcement.       1. There is established
     45    a temporary state commission on local qovernment ethics which shall con-
     46    sist      of nine members and shall have and exercise the powers and duties
     47    set forth in this section,
     48        2.    The members of the commission shall be appointed by the qovernor,
     49    provided,       however, that one member shall be appointed on the nomination
     50    of the temporary                president        of the senate; one on the nomination of the
     51    minority      leader of the senate: one on the nomination of the Speaker Of
     52    the assembly:              and one on the nomination of the minoritv                        leader of the
     53    assembly. Of the five members appointed by the qovernor                                   without        prior
     54    nomination,          no more than three members shall belong to the same DOliti-
     55    Cal Party and at least three members                        shall not be public         officers       or em-
      S. 6441                                              62                                            A. 8528

 L    ployees or hold any public office,                  elected or appointed.            No member shall
 2    hold office         in any political       party or be emoLOyed'aS a lobbyist.
 3        3. Members of the commission shall serve for terms of fOUr years.
  4       4. The qovernor             shall desiqnate        the chairman of the commission from
 5    amonq the members thereof,              who shall serve as chairman at the pleasure
 6    of the qovernor.            The chairman or any five members of the commission ma%
  7   call a meetinq.
  8       5. Any vacancy occurrinq                  on the commission shall be filled                     within
  9   sixty
10    member whose vacancy is being filled                      was appointed.        A person apoointed
11    to fill       a vacancy shall be appointed for the unexpired term of the mem-
12    ber he succeeds.
13        6. Five members of the commission shall constitute                            a quorum, and the
14    commission shall have power to act by majoritv                        vote of the total             number
15    of members of the commission without vacancy.
16        7. Members of the commission may be removed by the qovernor for sub-
17    stantial       neolect of duty, qross misconduct in office,                      inabilitv       to dis-
18    charqe        the powers or duties of office              or violation       of this section,             af-
19     ter written        notice and opoortunity          for a reply.
20         8. The members of the commission shall not receive compensation but
21     shall be reimbursed for reasonable expenses incurred                          in the performance
22    of their official           duties.
23         9. The commission shall:
24         a. Appoint an executive            director      who shall act in accordance with the
25    policies       of the commission. The commission may delegate authority                              to the
26     executive       director    to act in the name of the commission between meetings
27    of the commission provided such delegation                      is in writinq          and the spe-
28     cific     oowers to be deleqated are enumerated:
29         b. Appoint          such other staff as are necessary to carry out its duties
30     under this section;
31         c. Adopt,         amend, and rescind rules and regulations                     to govern oroce-
32     dures of the commission, which shall include,                       but not be limited            to, the
33     procedure        whereby a person who is required                 to file an annual financial
34     disclosure        statement with       the commission            may request          an additional
35     period       of time within which to file such statementV due to justifiable
36     cause or undue hardshio;             such rules or regulations             shall provide            for      a
37     date bevond which in all cases of justifiable                       cause or undue hardship no
38     further      extension of time will be granted. The commission may utilize                                 or
 39    modify       such rules or reaulations            or adopt separate rules or regulations
 40     for the purposes of oaraqraph (d) of subdivision                       one of sect ion eight
 41    hundred eleven of this article:
 42        d. Promulqate quidelines           to assist appointing           authorities         in determin-
 43     ina which persons hold policy-making                  positions     for purposes of sections
 44     eiqht hundred eleven and eiqht hundred twelve of this article:
 45        e. Make available           forms for annual statements of financial                     disclosure
 46     required to be filed pursuant to section eiqht hundred twelve                                  of this
 47     article:
 48         f. Review completed financial             disclosure      statements in accordance with
 49     the provisions         of sections eiqht hundred eleven,                eiqht       hundred twelve
 50     and this         section,    and in the case of a oolitical               subdivision        which has
 51     elected to require the filinq              of completed statements with                  the commis-
 52     sion,      in accordance with the criteria                established      by,duly adopted code
 53     Of ethics,       local law, ordinance or resolution,                  provided       however,          that
 54     &he commission            may delegate all or part of this review function                         to the
 55     executive director          who shall be responsible            for comoletinq staff               review
                 S. 6441                                                63                                             A. 0528

             1    of such statements               in a manner consistent                    with      the terms of the
             2   commission's deleqation:
r;           :       g. Receive complaints                 alleqinq
                  eleven or eiqht hundred twelve of this article
                                                                          a violation       of section eight hundred
                                                                                           or a violation              of the
             5   criteria          for reportinq      requirements          established      by duly adouted code of
             6   ethics,       local law, ordinance or resolution                     with     respect       to political
             7   subdivisions           which have elected                to require         the filinq        of completed
             a    statements with the commission:
             9       h. Permit any person required                 to file a financial            disclosure       statement
            10   to request the commission to delete from the CODY thereof made available
            11   for     Dublic        insoection      one or more items of information,                       which mav be
            12   deleted by the commission, after denial of a request for                                  deletion        made
            13   to the local              qovernment        advisory         council as Drovided in subdivision
            14   seventeen of this section,                upon   a findinq        by a majoritv           of the total
            15   number of members of the commission without vacancy that the information
            16   which would otherwise be required                    to be disclosed         will have no material
            17   bearinq        on the discharge of the reporting                     person's official          duties.       If
            18   such request for deletion               is denied, the commission,                 in its notification
            19   of denial,           shall     inform       the person of his or her riqht to appeal the
            20   commission's determination                Pursuant to its rules governing                    adjudicatory
            21   proceedinqs          and appeals adopted Pursuant to subdivision                          twelve of this
            22   section.       The commission shall Dromulqate rules and regulations                             q overninq
            23   the issuance            of written        decisions        in connection       with aDpeals from the
            24   advisorv council:
            25       i. Permit any person required                to file a financial             disclosure       statement
            26   to request an exemption from any requirement                          to report one or more items
            27   of information             which Pertain to such person's                   spouse or unemancipated
                 children       which item or items may be exempted by the commission,                                  ,after
                 denial       of a request for exemption made to the local qovernment advisory
  j. _/
            30   council as Drovided in subdivision                     seventeen of this             section,        “Don       a
            31   findinq        bv a majority        of the total number of members of the commission
            32   without vacancy that the reportinq                     individual"s        spouse, on his           or her
            33   own behalf or on behalf of an unemancipated child,                               objects to providing
            34   the information          necessary to make such disclosure                   and that the informa-
            35   tion     which would otherwise                 be required            to be reported will have no
            36   material       bearinq on the discharqe of the reporting                            person's       official
            37   duties.        If such request for exemption is denied, the commission, in its
            36   notification         of denial,     shall inform the person of his or her riqht                              to
            39   app eal      the commission's            determination          pursuant to its rules qoverninq
            40   adjudicatory         Droceedinqs and appeals                adopted      pursuant       to subdivision
            41   twelve       of this section.         The commission shall Dromulqate rules and regu-
            42   lations      governinq the issuance of written                   decisions       in connection            with
            43   aDDeals from the advisory council:
            44      3. Advise and assist any local aqencv in establishinq                                rules and requ-
            45   1atiOns relating           to possible       conflicts        between Drivate interests             and of-
            46   ficial     duties of present or former local elected officials,                              local polit-
            47   ical Dart'7 officials           and local officers             and emDlOyees;
            40      k.    Permit        anv Person who has not been determined by his or her ap-
            49   pointing       authoritv     to hold a,Dolicv-makinq               Dosition     but who is otherwise
            50   required         to file a financial           disclosure         statement to request an exemp-
            51   tion from such requirement               in accordance with rules and requlations                         qov-
            52   erninq       such exemptions.            Such rules and regulations                  shall provide for
            53   eXemDtiOns to be granted either on the application                             of an individual              or
      r";   54   on behalf of Dersons who share the same job title                            or employment classif-
            55   ication      which the commission deems to be comparable for ourposes of this
            56   section.           Such rules       and regulations              may permit the qrantinq                of an



 C.
                                                                                                                                  s_
                                                                                                                                 I ,c
                                                                                                                                            .-
                                                                                                                                        i, T”
      S. 6441                                                   64                                                A. 8528

  1   exemption where, in the discretion                           of the commission,             the public             in-
 2    terest does not require                  disclosure          and the applicant’   s       duties do not in-
  3   volve the neqotiation,                  authorization           or aporoval of:
  4       ii)    contracts,           Leases,          franchises,        revocable     consents,        concessions,
  S   variances,        special permits,               or licenses        as defined in section                 seventy-
  6   three of the public officers                       law:
  7        (ii)   the purchase,               ‘sale,       rental or lease of real oronerty,                    qoods or
  8   services,       or a contract             therefor:
  9       Jiii)   the obtaining             of grants of money or loans; or
10        (iv) the adoption or repeal of anv rule or requlation                                   havinq the force
11    and effect        of law:
12         1. Prepare         an annual report to the qovernor and the legislature                                     sum-
13    marizing      the activities              of the commission and recommending                         chanqes         in
14    the iaws governins               the conduct of local elected officials,                          local uoliti-
15    cal party officials               and local officers               and employees. In addition,                   such
16    reoort shall list              the names of political                 subdivisions       which have created
17    boards of ethics,              adopted codes of ethics and adopted forms of annual
18    statements of financial                   disclosure;
19         m. Act as a repository                  for completed financial              disclosure          forms filed
20    pursuant to section eiqht hundred eleven or eiqht hundred twelve of this
21    article:
22         n. Upon certification                  of a question by the o”bLiC advisory                        council      to
23    the commission, as provided                       in paragraph (k) of subdivision                   seventeen of
24    this      section,        the commission may determine a question common to a class
25    or defined cateqory                of persons or items              of information          required         to be
26    disclosed,        where determination                  of the question will prevent undue repet-
27     ition of requests for exemotion or deletion                              or prevent        undue complica-
28    tion in complyinq with the requirements                             of such section.
29         10. The commission, or the executive                          director     and staff of the commis-
30     sion if responsibilitv                 therefor        has been delegated,             shall       inspect        all
31     financial        disclosure            statements         filed    with the commission to ascertain
32    whether any PerSOn subject to the reportinq                                   requirements           of sect ion
33    eiqht hundred eleven or eiqht hundred twelve of this article,                                           and in the
34    case Of a political                subdivision          which has elected to require                  the filinq
35    of completed annual financial                        statements with the commission, subject to
36     the reportinq         requirements             contained        in duly     adopted      code of ethics,
37     local law, ordinance or resolution,                           has failed     to file such a statement,
38     has filed a deficient                 statement or has filed a statement which reveals a
39    possible        violation           of      section        eiqht       hundred eleven or eiqht hundred
40     twelve    of this article,               or of duly adooted code of ethics,                          local      law,
41     ordinance or resolution,                   as the case may be.
42         11. If a person required                   to file a financial           disclosure        statement with
43     the commission has failed                    to file a disclosure            statement or has filed                   a
 44    deficient       statement,          the commission shall notify                 the reportinq           oerson in
 45    writinq,      state the failure                to file or detail             the deficiency,               provide
 46    the Person         with a fifteen              dav period to cure the deficiency,                      and advise
 47    the oerson of the penalties                      for failure        to comply with             the report inq
 48    requirements.            Such notice shall be confidential.                       If the oerson fails               to
 49    make such filing            or fails         to cure the deficiency               within       the suecif ied
 50    time period,             the commission shall send a notice of delinquencv:                                  (a) to
 51    the rePOrtinq         person:         and (b) in the case of a local                       officer         or em-
 52    plovee, to the appointing                    authoritv        for such oerson.
 53         12. a.. If          a reporting             person has filed a statement which reveals a
 54    possible violation              of duly adooted code of ethics,                     local Law, ordinance
 55   ,Or rsSOlUtiOn         or    of section eiqht hundred eleven or eiqht hundred twelve
 56    of this article,            Or the commission receives a sworn                         complaint         alleqinq
                such a violation,              or if the commission determines                          on its own initiative
                tb investigate         a possible           violation,         the commission                shall        notify          the
                reporting       person in writinq,                 describe        the possible           or alleged violation
             *of such code of ethics;                    local law, ordinance                or resolution              or of such
               section eiqht hundred eleven or eiqht hundred twelve of this article                                                      and
               provide the person with a fifteen                         day period'in           which to submit a writ-
               ten response setting                  forth information               relatinq     to the activities                   cited
               as a Possible or alleged violation                          of law. If the commission                         thereafter
               makes a determination                     that further          inquiry       is iustified,            it shall give
               the reporting         person an opportunity                   to be heard.           The commission                    shall
               alsb     inform the reportinq                  individual         of its rules reqardinq                   the conduct
              of adjudicatory            proceedings           and appeals and the due process                              Procedural
              mechanisms available                     to such individual.                 If the commission determines
              at any stage of the proceeding,                         that there is no violation                      or that            any
              potential       conflict         of interest          violation         has been rectified,                 it shall so
              advise the reportins                 person and the complainant,                       if     any.        All       of the
               foregoing      proceedings            shall be confidential.
        1s        b. If       the commission                 determines            that there is reasonable                     cause to
        19    >                                                                                                                       reas-
        20    onable       cause:        (i)       to the reportins              Person: (ii)           to the complainant                  if
        21    any: and (iii)           in the case of a local officer                         or employee,              to the ap-
        22    pointinq       authority         for such person.
        23         13. A reporting           individual          who knowinqlv and wilfully                     fails       to file an
        24    annual statement of financial                        disclosure         or who knowingly               and wilfully
        25    with      intent       to deceive              makes a false statement or qives information
        26    which such individual                  knows to be false on such statement                             of financial
        27    disclosure         filed        pursuant           to this          section shall be assessed a civil
              Penalty in an amOUnt not to exceed ten thousand dollars.                                           Assessment of a
f-7   ,;;     civil       penalty hereunder shall be made by the commission with respect to
              persons subject to its jurisdiction.                            For a violation               of this             subdivi-
        31    sion,       other      than for conduct which constitutes                           a violation            of subdivi-
        32    sion twelve of section seventy-three                            of the public                officers           law,       the
        33    temporary         State commission on local qovernment ethics may, in lieu of a
        34    Civil Penalty,           refer a violation               to the appropriate                ,prosecutor          and upon
        35    such conviction,                but onlv after             such referral,           such violation                shall be
        36    punishable        as a class A misdemeanor. A civil                            penalty        for      false         filing
        37    may not be imposed hereunder                               in the event a cateqory of "value" or
        38     "amount" reported             hereunder is incorrect                   unless such reported                      informa-
        39    tion      is falsely        understated.            Notwithstandinq             any other provision                  of law
        40    to the contrarv,            no other Penalty,                civil      or criminal          may   be imposed for
        41    a failure       to file,        or for a false filing,                    of such statement,               except that
        42    the appointinq          authoritymay               impose disciplinary                   action        as otherwise
        43    provided        by law. The commission shall be deemed to be an aqency within
        44    the meaninq of article                  three of the state administrative                            procedure             act
        45    and shall adopt rules governing                          the conduct of adjudicatory                       proceedings
        46    and aPP=als        taken pursuant                to a proceedinq                 commenced under                   article
        47    seventv-eight           of the civil                practice        law and rules relating                    to the as-
        48    sessment of the civil                 penalties         herein authorized            and commission denials
        49    of recuests for certain                   deletions        or exemptions to be made from a finan-
        50    cial disclosure           statement as authorized                     in paraqraoh h or Paraqraoh i of
        51    subdivision        nine of this section.                   Such rules,          which shall not be subject
        52    to the aoproval requirements                       of the state administrative                     procedure             act,
              shall       provide       for due process procedural                       mechanisms substantially                      sim-
               ilar to those set forth in such article                              three but such mechanisms need
        55    not be identical                   in terms or scope. Assessment of a civil                                  oenalty or
        56    commission denial of such a request                             shall        be final           unless          modified,
                                                                                                                       c
     S. 6441                                              66                                            A. 8528

 1   susoended or vacated within                   thirty      days of imoosition,          with respect to
 2   the assessment of such penalty,                  or unless such denial of request is rev-
 3   ersed within such time period,                   and upon becoming final             shall be subject
 4   to review at the instance of the affected                          reporting      individuals            in a
 5   proceeding          commenced asainst            the temoorary state commission on local
 6   government ethics,           oursuantto         article     seventv-eiqht        of the civil            prac-
 7   tice law and rules.
 8        14. A COPY of any notice of delinquency                       or notice of reasonable cause
 9   sent pursuant to subdivisions                 eleven and twelve of this section shall be
10   included        in the reportina              oerson’   s     file and be available            for     DubliC
11   inspection.
12        15. Upon written           request from any person who is subject to the juris-
13   diction      of the commission, the commission shall render advisory opinions
14   on the requirements              of said provisions.            An opinion rendered by the com-
15   mission,.until         and unless amended or revoked, shall be binding                              on the
16   commission          in any subsequent              proceeding         concernins       the person who
17   requested the ooinion and who acted in good faith,                            unless material            facts
18   were omitted           or misstated         by the person in the request for an opinion.
19   Such opinion may also be relied upon by such person, and may be intro-
20   duced and shall               be    a defense, in any criminal                or civil      action.        Such
21    requests shall be confidential,                 but the commission               may publish              such
22   opinions provided that the name of the requestinq                            person and other iden-
23   tifyinq      details      shall not be included in the publication.
24        16. In addition            to.any other powers and duties specified                     by law, the
25   commission shall have the power                  and duty to:
26        a. Administer        and enforce all the provisions                of this section:
27        b. Conduct any investiqation                necessary to carry out the provisions                       of
28    this section.                      to
                           Pursuant ‘ this power and duty, the commission may admin-
29    ister oaths or affirmations,                subpoena witnesses,           compel their attendance                ur
30   and require the production                of any books or records              which      it     may deem
31   relevant or material.
32         17. (a) There is established               within      the temporary state commission on
33    local qovernment ethics a public advisory council which shall consist of
34    five members and shall have and exercise the powers and duties set forth
35    in this subdivision.
36         (b) The members of the public advisorv council shall be appointed by
37    the qovernor provided,             however, that one member shall                  be appointed             on
38    the nomination            Of the temoorarv president                of the senate and one member
39    shall be apoointed on the nomination of the speaker of the assemblv.                                        Of
40    the three members appointed by the qovernor without prior nomination,                                       no
41   more than two members shall belonq to the same political                                party       and at
42    least      two members shall not be public officers                      or employees or hold any
43    public office,        elected or appointed.              No member shall hold office                in any
44   Political       Oartv or be emoloved as a lobbyist.
45         (C)   Members       of the,public         advisor? council shall serve for terms of
46    four     Years concurrent         with the term of office             of the qovernor.
47        ld)    The qovernor shall desiqnate the chairman of the public advisory
48    council from among the members                 thereof,      who shall serve as chairman                    at
49    the PleaSUre          of   the qovernor.        The chairman or any three members of the
50   public advisorv council may call a meeting.
51        Xe) Any vacancv occurrinq                   on the public advisory council                    shall     be
52    filled     within sixtv davs of its occurrence,                     by the qovernor,        in the same
53   manner as the member whose vacancv is beinq filled                            was appointed.          A per-
54    SO* apoointed to fill             a vacancy     occurrinq        other than by expiration               of a
55    term of office            shall be appointed for the unexpired term Of the member
56    he succeeds.
            $. 6441                                                 67                                              A. 8528

        1       If)    Three members of the public advisory                            council      shall constitute           a
            guorum , and the public advisory council                           shall     have power to act by
(-      :   majority        vote' of the total                  number of members of the public advisory
        4   council without vacancy. Members of the council may be removed bv the
        5   governor        for       substantial          neglect of duty, gross misconduct in office,
        6   inability       to discharqe the powers or duties of office                              or violation            of
        7   this section after written                   notice and opportunity              for replv.
        8       Jq) The members of the public advisory council                               shall not receive com-
        9   pensation but shall‘           be       reimbursed for reasonable                expenses        incurred        in
      10    the performance of their official                      duties.
      11        lh)    The public advisory council                   shall:      (1) Permit any person required
      12    to file a financial               disclosure       statement to request the public                     advisory
      13    council       to delete             from    the COPY thereof made available                   for oublic in-
      14    spection one or more items of information                           rhich may be deleted                uoon a
      15    findinq       by a majoritv              of the total number of members of the oublic ad-
      16    visory council without vacancy that the information                                 which would other-
      17    wise be available              for public inspection             will have no material              bearinq on'
      18    the discharge of the reoortinq                     person's official           duties.      If such request
      19    for deletion           is denied, the public advisory council,                        in its notification
      20    of denial,        shall inform the person of his or her riqht to appeal the pu-
      21    blic      advisory council's               determination        to the commission pursuant to the
      22    commission's             rules      governing       adjudicatory           proceedings          and     appeals
      23    adopted oursuant to subdivision                     thirteen       of this section:           and
      24        12) Permit            any person required            to file a.financial             disclosure        state-
      25    ment to request an exemption from any requirement                                to report one or more
      26    items of information                  which pertain        to such person's spouse or unemanci-
            pated children            which item or items may be exempted upon a finding                                 by a
 (7   ':i   majority         of the total number of members of'the                         public advisory council
            without vacancy that the reoortinq                       individual's         spouse,     on his or her
      30    own behalf or on behalf of an unemancipated child,                                  objects to providinq
      31    the information             necessarv to make such disclosure                    and that the          informa-
      32    tion      which would otherwise                    be required           to be reported will have no
      33    material      bearing on the discharqe of the reporting                                 person's       official
      34    duties.       If      such request             for exemption is denied, the public advisory
      35    council,      in its notification               of denial,        shall inform the person               of his
      36    or her riqht                to appeal the public advisory council's                       determination          to
      37    the commission pursuant to the commission's                             rules governing adjudicatory
      38    proceedinqs and appeals adopted oursuant to subdivision                                    thirteen     of this
      39    section.
      40          (i)  Pendinq any application                    for deletion         or exemption either             to the
      41    public advisorv council                   or to the commission upon appeal of                      an adverse
      42    determination             by the public advisory council,                     all information          which is
      43    the subject or a Part of the application                           shall remain confidential.                 Uoon
      44    an adverse determination                   by the commission, the reportinq                   individual        may
      45     request, and unon such request the commission shall                                  provide,       that       any
      46     information          which is the subject or part of the application                              remain con-
      47     fidential         for      a period          of thirty         davs following            notice       of such
      48    determination.              In the .event that the reporting                     individual        resiqns his
      49    office     and holds no other office                  subject to the jurisdiction                  of the com-
      50    mission,         the information            shall not be made public and shall be exounqed
      51     in its entirety.
                 ji)   Notwithstanding              the provisions       of    article      seven of the oublic of-
             ficers    law. no meeting or proceedinq,                     including       any such proceeding con-
 c:   ii     temolated under paraqraph h or i of subdivision                              nine of ‘    this section,         of
      55     the commission shall be open to the public,                            except if expressly            provided
      56    otherwise bv the public advisory council.
      s. 6441                                               68                                            A. 8528

 1        1?() Where the council                  is of the opinion that a determination                        of a
 2    question common to a class or defined cateqory-of                            persons        or items‘ of
  3   information       with resuect to requests for deletion                      or exemption will ore-               &+
  4   vent undue repetition            of such requests or undue complication,                         the coun-
  5   cii may certify         the question          to the commission for resolution                  and dispo-
  6   sition     in accordance with paragraph (n) of subdivision                                nine      of this
  7   section.
  8        18. a. Notwithstandinq            the provisions          of article      six of the public of-
  9   ficers     law, the onlv records of the commission which shall be available
10    for public inspection            are:
11         11) the information         set forth in an annual statement of financial                            dis-
12    closure filed pursuant to local law, ordinance or resolution                                      or filed
13    pursuant       to     section        eiqht       hundred eleven or eight hundred twelve of
14    this article       except the categories               of value or amount which shall remain
15    confidential       and any other item of information                     deleted pursuant to para-
16    graph h of subdivision             nine of this section,              as the case may be: :
17         12) notices of delinquencv                 sent under subdivision            eleven of this sec-
18    tion;
19         13) notices of reasonable cause sent under paraqraph b of subdivision
20     twelve of this section;             and
21         14) notices of civil           assessments imposed under this section.
22         b. Notwithstanding             the provisions          of article      seven of the public of-
23     ficers    law, no meetinq or proceedinq of the commission shall be open                                     to
24     the public,      except if expressly              provided otherwise by the commission.
25         19. There is hereby established                     a local qovernment advisory board to
26    assist the commission in the performance of its powers                               and duties.          Such
27    board shall          consist of twelve members to be appointed bv the governor:
28     four shall be appointed on the nomination of the state                                    conferehce        of
29    llG3VOrS:     four shall be appointed on the nomination of the state associa-
30     tion of towns: and four shall be appointed                          on the nomination               of the
31     state      association     of counties.           The board shall inform the cornmisSion of
32     policies     and concerns of local qovernments with respect to the adminis-
33     tration     of the provisions           of this article          and disseminate          information       to
34     local qovernments with respect to the operations                           of the commission.
35         s 17. Sect ion two hundred eleven of the judiciary                               law is amended by
36     adding a new subdivision              four to read as follows:
 37         4. Bv September first,           nineteen hundred eiqhty-eight,                   the chief judge,
38     after consultation         with the administrative                board, shall approve               a form
39     of annual        statement         of financial         disclosure      which form shall apply to
40     all iudqes, justices,           officers        and emplovees        of the courts of record                of
 41    the unified         court system,          who receive annual compensation in excess of
 42     thirtv    thousand dollars.           Such form of annual statement of financial                        dis-
 43    closure shall be substantially                  similar      to the form set forth in subdivi-
 44     sion three of section seventy-three-a                     of the public officers             law. Within
 45    one year after            approval       of such form, the chief iudqe shall cause the
 46    chief administrator          of the courts to promulqate                    rules       or regulations
 47    which require every iudqe, justice,                      officer     and employees of the courts
 48    of record of the unified               court svstem, who receives annual                     compensation
 49     in excess Of thirtv         thousand dollars,             to report the information               required
 50     by the approved form effective                 first    with     respect       to a filinq            which
 51     shall     be resuired       in nineteen hundred ninety-one                   (generally        applicable
 52     to information       for the pracedinq calendar year) and thereafter,                                effec-
 53     tive    for future annUa1 filinqs.                 Any iudqe, justice,          officer      ot emplovee
 54     of                                                                                who        ursuant       to
 55     such rules or requlations,               is required        to file a completed annual state-
 56     ment Of financial        disclosure          and who makes such filing                   in accordance
                                                                             .,,;i ;
                                                                      ,,. :,.,, :‘ ,-:
                1
     ~ )”   L
            ‘
                    S. 6441                                               69                                            A. 8529

             1      with      the requirements           contained       in such rules Or requlations,                 shall be
             2      deemed to have satisfied               the requirements          of any other law mandating the
             3      filinc      of a completed annual statement of financial                         disclosure          for the
r;           4      applicable      calendar year which miqht otherwise                       apply     to such judses,
             53      'ustices,      officers         or employees,            and no duplicate             filing      shall be
             6      required on account of anv other such Law, notwithstandinq.                                   the provi-
             7      sions of such other law.
             a          S 18. The provisions             of subdivision          seven of section seventy-three                  of
             9      the public officers            law, as amended by section two of this                         act,      shall
            10      not     apply     to the appearance or rendition                  of services before a state or
            11      local government          agency,      where the person subject to such restrictions
            12      was substantially            and actively         involved in the case, proceeding,                    appli-
            13      cation or other matter,              or transaction         of business,       as of January first,
            14      nineteen      hundred eighty-eight                 and the substitution              of a new counsel
            15      would impose a substantial                hardship on the client.
            16          s 19. It          is the intention          of the legislature           in enacting the amend-
            17      ments to subdivisions             seven, eight,         eleven, twelve and thirteen                of sec-
            18      tion     seventy-three          of the public officers                 law made by section two of
            19      this act that all of such amendments were made in conjunction                                    with       the
            20      amendments to subdivision                   ten of such section and that such amendments
            21      form one interdependent              and connected whole, and the legislature                          hereby
            22      declares      that it would not have made any amendment to such subdivisions
            23      of section seventy-three               of the public officers             law in section             two of
            24      this act without makinqall                  of the other amendments to such subdivisions
            25      made therein.        Therefore,        if any clause, sentence, paragraph or part                            of
            26      subdivision         ten of section seventy-three                 of the public officers              law af-
            27      fected by such amendments shall be adjudged, by a court                                    of competent
            28      jurisdiction         and after any and all appeals have been exhausted in such
     r      29      case or proceeding,            to be invalid         with respect to conduct prohibited                      by
      i .   30      subdivision         seven,      eight,       eleven, twelve or thirteen              of such section,
            31      the judgment shall invalidate                  the remainder of such amendments to such
            32      subdivisions         and render           all of the amendments to such subdivisions                         of
            33      section seventy-three             Of the public officers             Law made in section two of
            34      this     act null and void, in which event, the provisions                           of such subdivi-
            35      sions of section seventy-three                  of the public officers           law as they ex-
            36      isted      immediately        prior       to the amendments made in section two hereof
            37      shall be deemed revived.
            38          S 20. Subdivision         five of section seventyythree                 of the public officers
            39      law, as added by chapter ten hundred twelve of the laws of nineteen hun-
            40      dred sixty-five,          is amended to read as follows:
            41          5.     No   officer      or employee of a state agency, member of the legisla-
            42      ture or Legislative           employee shall,           directly     or indirectly,         solicit,       ac-
            43      cept or receive              any gift having a value of [twenty-five]                       seventy-five
            44      dollars     or more whether in the form of money, service,                         loan, travel,           en-
            45      tertainment,         hospitality,         thing or promise, or in any other form, under
            46      circumstances        in which it could reasonably be inferred                      that the gift was
            47      intended      to influence         him, or could reasonably be expected' tom influence
            48      him, in the performance of his official                       duties     or was intended                as a
            49      reward for         any official          action on his part.            No person shall,           directly
            50      or indirectly,         offer or make any such gift to any officer                       or employee of
            51      a state agency, member of the legislature                         or legislative        employee under
            52      such circumstances.
            53          s 21. Subdivision             one of section eight hundred five-a of the general
      r!    54      municipal     law, as added by chapter one thousand nineteen of the laws of
            55      nineteen hundred seventy, is amended to read as follows:
                                                                                                                            .f
                                                                                                                            L    E    ii        .’
      S. 6441                                                                                                   A. 8528                     -

 1        1.        No municipal            officer         or employee         shall:      a. directly             or in-
 2    directly,         solicit      any gift,        or accept or receive any gift having a value,
 3    of        [twenty-five]         seventv-five             dollars    or more, whether in the form of
 4    money, service,              loan,        travel,        entertainment,          hospitality,            thing      or
 5    promise,          or in any            other form, under circumstances                    in which it could
 6    reasonably be inferred                  that the gift was intended to influence                           him, or
 7    could reasonably'be                expected to influence              him, in the performance of his
 8    official         duties or was intended as a reward for any official                                   action       on
 9    his part;
LO        b. disclose            confidential          information       acquired by him in the course of
11    his official           duties or use such information                    to further       his personal             in-
12    terests:
13         c. receive,           or enter into any agreement, express or implied,                                for com-
14    pensation for services                  to be rendered in relation                to any 'matter              before
15    any municipal             agency of which he is an officer,                   member or employee or of
16    any municipal             agency over which he has jurisdiction                      or to which he has
17    the power to appoint any member, officer                             or employee; or
18         d. receive,           or enter into any agreement, express or implied,                                for com-
19    pensation for services                  to be rendered in relation                to any matter               before
20    any agency of his municipality,                         whereby his compensation is to be depen-
21    dent or contingent               upon any action by such agency with respect                               to such
22    matter,          provided        that       this paragraph shall not prohibit                      the fixing        at
23    any time of fees based upon the reasonable                                    value       of the services
24     rendered.
25         s 22. Subparagraph (ii)                     of paragraph five of subdivision                     (b) of sec-
26     tion eight of section one of chapter one thousand forty of the laws of
27     nineteen          hundred eighty-one,                constituting       the Lobbying act, is amended
28     to read as follows:                                                                                                                 .-->
29          (ii)      expenses required to be reported pursuant to subparagraph (i) of                                                     M'
30     this paragraph shall be listed                        in the aggregate if [fifty]                   seventy-five
31     dollars         or less and if more than [fifty]                       seventy-five        dollars        such ex-
32     penses shall be detailed                   as to amount, to whom paid, and for                        what pur-
33     pose:        and where such expense is more than [fifty]                            seventy-five            dollars
34     on behalf of any one person, the name of such person shall be listed.
35         S 23. Subparagraph (ii)                  of paraqrap:        six of subdivision             (b) of section
36     nine of such act, as added by chapter nine hundred forty-six                                         of the laws
37     of nineteen hundred eighty-three,                         is amended to read as follows:
38          (ii)     any expenses required               to be reported pursuant to subparagraph (i)
39     of this paragraph shall be listed                         in the aggregate if             [fifty]         seventy-
 40    five        dollars      or less and if more than [fifty]                   seventy-five            dollars     such
 41    expenses shall be detailed                    as to amount, to whom paid, and for what pur-
 42    pose: and where such expenses are more than [fifty]                                 seventv-five            dollars
 43    on behalf of any one person, the name of such person shall be listed.
 44         S 24. Subparagraph (ii)                     of paragraph five of subdivision                    (c) of sec-
 45     tion ten of such act, such section as renumbered by chapter nine hundred
 46     forty-six          of the laws of nineteen hundred eighty-three,                                 is amended to
 47     read as follows:
 48          (ii)    any expenses required                to be reported pursuant to subparagraph (i)
 49    of this paragraph shall be Listed in the aggregate if                                     [fifty]         seventy-
 50    five        dollars      or less and if more than [fifty]                   seventv-five            dollars      such
 51     expenses shall be detailed                    as to amount, to whom paid, and for what pur-
 52     pose: and where such expenses are more than [fifty]                                seventy-five            dollars
 53     on behalf of any one person, the name of such person shall be listed.
 54         S 25. Section               five       of chapter          one thousand forty of the laws of                             .-
 55     nineteen hundred eighty-one,                      relating     to the New York temporary                      state
 56     commission           on lobbying,          as amended by chapter nine hundred forty-six                            of
                S. 6441                                                  71                                               A. 8528

           1     the laws of nineteen                  hundred         eighty-three,         is amended to read as
                 follows:
p          :        S 5. ,This act shall                       take     effect      January first,          nineteen hundred
           4     eighty-two,          except that prior to such date the New York temporary                                   state
           5    commission            on regulation            of lobbying,        created pursuant to chapter nine
           6    hundred .thirty-seven               of the laws of nineteen                      hundred        seventy-seven,
           7    shall       prepare        for      the orderly         transition       of duties between it and the
           8    New York temporary state commission on lobbying,                                    created        pursuant        to
           9    section         four      of section one of this act, and the implementation                                of the
          10    provisions          of chapter nine hundred thirty-seven                       of the laws of, nineteen
          11    hundred seventy-seven                    and of this act. This act shall remain in effect
          12    until     December thirty-first,                  nineteen hundred Ieighty-seven]                    ninety-one,
          13    provided,           however,        that       the existence        of the New York state temporary
          14    commission on lobbying shall continue until                              March thirty-first,             nineteen
          15    hundred         [eighty-eight]             ninetv-two         for    the purpose            of receiving        and
          16    processing          registrations          and reports required to be filed                       pursuant         to
          17    sections five, eight,                nine and ten of section one of this act.
          18        S 26. This act shall take effect                       immediately,        except that sections              two
          19    through sixteen and sections eighteen and nineteen                                   of this          act shall
          20    take      effect        January        first,        nineteen hundred eighty-nine                 and sections
          21    twenty through twenty-five                      of this        act     shall      take      effect       December
          22    thirty-first,           nineteen hundred eighty-seven:                    provided,       however, that:
          23        (a) the provisions                   of subdivision          eight of section seventy-three                   of
          24    the public officers               law, as renumbered~and amended by section                               two of
          25    this act, with respect to legislative                          employees      shall apply only to such
          26    employees who terminate                  their service or employment on or after                          January
                first,      nineteen hundred eighty-nine:
                    (b) the provisions                   of section eight hundred thirteen                       the
                                                                                                               of’        general
                municipal        law, as added by section sixteen of this act, shall remain                                       in
          30    effect        until      and including              December thirty-first,                 nineteen hundred
          31    ninety-two:          upon the expiration              of such provisions,            the powers,           duties
          32    and functions              of the temporary                 state commission on local government
          33   ethics shall be transferred,                       assigned and devolved upon the respective
          34    board of ethics,            if there be one, or if not , upon the governing body, of
          35   political         subdivisions         which are required             by the provisions            of sect ions
          36   eight        hundred eleven and eight hundred twelve of the general municipal
          37    la”, or which have elected pursuant to such sections,                                   to be subject             to
          38    the jurisdiction            of such temporary state commission:
          39        (cl    the amendments made by sections                              twenty-two,        twenty-three         and
          40   twenty-four           Of this act shall apply to reports required                           to be filed          af-
          41   ter December thirty-first,                     nineteen hundred eighty-seven;                  and
          42        Cd) the provisions                  of sections         twenty-two,       twenty-three          and twenty-
          43   four of this act shall remain in full                           force and effect          for only so long
          44   as the lobbying act remains in effect                            pursuant to section five of chap-
          45   ter one thousand forty of the laws of nineteen                                   hundred eighty-one                as
          46   from time to time amended.
                   REPEAL NOTE.--Paragraph                  (d) of subdivision            two of section eighty-eight
               of the public officers                 law, repealed by section six of this act, relates
               to public inspection                  and copying of members’ code of ethics statements.
               These provisions             were supplanted by new provisions                      contained        in this act
               relating        to public disclosure.
                   Section        eighty        of the legislative                law, repealed by section nine of
    r‘
     :>        this act, relates              to the special           legislative       committees on ethics.                Such
     ”         provisions            were rendered unnecessary by the creation                           of a new legisla-
               tive ethics committee in the same section of this act.



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