2010 New York Code
EXC - Executive
Article 6 - (90 - 144) DEPARTMENT OF STATE
94 - Commission on public integrity; functions, powers and duties; review of financial disclosure statements; advisory opinions; investigation and enforcem

§ 94. Commission  on  public  integrity; functions, powers and duties;
  review  of   financial   disclosure   statements;   advisory   opinions;
  investigation  and  enforcement.  1.  There  is  established  within the
  department of state a commission on public integrity which shall consist
  of thirteen members and shall have and exercise the  powers  and  duties
  set  forth  in  this  section  only  with  respect  to statewide elected
  officials and state officers  and  employees,  as  defined  in  sections
  seventy-three and seventy-three-a of the public officers law, candidates
  for  statewide  elected office, and the political party chairman as that
  term is defined in section seventy-three-a of the public  officers  law,
  lobbyists  and  the  clients  of  lobbyists as such terms are defined in
  article one-A of the legislative law, and individuals who have  formerly
  held  such  positions,  were  lobbyists or clients of lobbyists, as such
  terms are defined in article one-A of the legislative law, or  who  have
  formerly  been such candidates. This section shall not revoke or rescind
  any  regulations  or  advisory  opinions  issued  by  the  state  ethics
  commission  and  the  temporary  lobbying  commission in effect upon the
  effective date of a chapter of the laws  of  two  thousand  seven  which
  amended this section to the extent that such regulations or opinions are
  not  inconsistent  with  any  law  of  the  state  of New York, but such
  regulations and opinions shall apply only to  matters  over  which  such
  commissions  had  jurisdiction at the time such regulations and opinions
  were  promulgated  or  issued.  The   commission   shall   undertake   a
  comprehensive  review  of  all such regulations and opinions, which will
  address the consistency of such  regulations  and  opinions  among  each
  other  and with the new statutory language. The commission shall, before
  April first, two thousand eight, report to the governor and  legislature
  regarding such review and shall propose any regulatory changes and issue
  any advisory opinions necessitated by such review.
    2.  The  members  of the commission shall be appointed by the governor
  provided, however, that one member shall be appointed on the  nomination
  of  the  comptroller, one member shall be appointed on the nomination of
  the attorney general, one member shall be appointed on the nomination of
  the temporary president of the senate, one member shall be appointed  on
  the  nomination  of  the  speaker  of  the assembly, one member shall be
  appointed on the nomination of the minority leader of  the  senate,  and
  one  member  shall be appointed on the nomination of the minority leader
  of the assembly. Of the seven members appointed by the governor  without
  prior  nomination,  no  more  than four members shall belong to the same
  political party and no members shall be public officers or employees  or
  hold  any  public  office,  elected  or  appointed. No member shall be a
  member of the legislature, a candidate for member of the legislature, an
  employee of the legislature, a political party chairman  as  defined  in
  paragraph  (k) of subdivision one of section seventy-three of the public
  officers law, or a lobbyist as defined in  subdivision  (a)  of  section
  one-c of the legislative law.
    3.  Members  of  the  commission  shall serve for terms of five years;
  provided, however, that of the members  first  appointed  without  prior
  nomination, one shall serve for one year, one shall serve for two years,
  one  shall serve for three years, and one shall serve for four years, as
  designated  by  the  governor;  the  members  first  appointed  on   the
  nominations of the comptroller and the temporary president of the senate
  shall  serve  for  four  years  and  the  members first appointed on the
  nominations of the attorney general and  the  speaker  of  the  assembly
  shall serve for two years.
    4.  The  governor  shall designate the chairman of the commission from
  among the members thereof, who shall serve as chairman at  the  pleasure

of the governor. The chairman or any seven members of the commission may
  call a meeting.
    5.  Any  vacancy  occurring  on  the commission shall be filled within
  sixty days of its occurrence, by the governor, in the same manner as the
  member whose vacancy is being filled was appointed. A  person  appointed
  to fill a vacancy occurring other than by expiration of a term of office
  shall be appointed for the unexpired term of the member he succeeds.
    6.  Seven members of the commission shall constitute a quorum, and the
  commission shall have power to act by majority vote of the total  number
  of members of the commission without vacancy.
    7.  Members  of  the  commission  may  be  removed by the governor for
  substantial neglect of duty, gross misconduct in  office,  inability  to
  discharge  the  powers or duties of office or violation of this section,
  after written notice and opportunity for a reply.
    8. The members of the commission shall not  receive  compensation  but
  shall  be reimbursed for reasonable expenses incurred in the performance
  of their official duties.
    9. The commission shall:
    (a) Appoint an executive director who shall act in accordance with the
  policies of the commission. The commission may delegate authority to the
  executive director to act in the name of the commission between meetings
  of the commission  provided  such  delegation  is  in  writing  and  the
  specific powers to be delegated are enumerated;
    (b)  Appoint such other staff as are necessary to carry out its duties
  under this section;
    (c)  Adopt,  amend,  and  rescind  rules  and  regulations  to  govern
  procedures  of  the  commission, which shall include, but not be limited
  to, the procedure whereby a person who is required  to  file  an  annual
  financial  disclosure  statement  with  the  commission  may  request an
  additional period of time within which to file such  statement,  due  to
  justifiable  cause  or  undue  hardship; such rules or regulations shall
  provide for a date beyond which in all cases  of  justifiable  cause  or
  undue hardship no further extension of time will be granted;
    (d)  Adopt,  amend,  and  rescind  rules  and  regulations  to  assist
  appointing authorities in determining which persons  hold  policy-making
  positions for purposes of section seventy-three-a of the public officers
  law;
    (e) Make available forms for annual statements of financial disclosure
  required  to  be filed pursuant to section seventy-three-a of the public
  officers law;
    (f) Review financial disclosure  statements  in  accordance  with  the
  provisions  of  this  section, provided however, that the commission may
  delegate all or part of this review function to the  executive  director
  who  shall be responsible for completing staff review of such statements
  in a manner consistent with the terms of the commission's delegation;
    (g) Receive complaints and referrals alleging  violations  of  section
  seventy-three,  seventy-three-a  or  seventy-four of the public officers
  law, article one-A of the legislative law or section one  hundred  seven
  of the civil service law;
    (h)  Permit  any  person subject to the jurisdiction of the commission
  who is required to file a financial disclosure statement to request  the
  commission  to  delete  from  the copy thereof made available for public
  inspection and copying one or more items of  information  which  may  be
  deleted  by  the  commission  upon  a finding by the commission that the
  information which would otherwise be required to be made  available  for
  public  inspection  and  copying  will  have  no material bearing on the
  discharge of the reporting person's official duties. If such request for
  deletion is denied, the commission, in its notification of denial, shall

inform the person of  his  or  her  right  to  appeal  the  commission's
  determination  pursuant  to its rules governing adjudicatory proceedings
  and appeals adopted pursuant to subdivision thirteen of this section;
    (i)  Permit  any  person subject to the jurisdiction of the commission
  who is required to file a financial disclosure statement to  request  an
  exemption   from  any  requirement  to  report  one  or  more  items  of
  information which pertain  to  such  person's  spouse  or  unemancipated
  children  which  item  or items may be exempted by the commission upon a
  finding by the commission that the reporting individual's spouse, on his
  or her own behalf or on behalf of an  unemancipated  child,  objects  to
  providing the information necessary to make such disclosure and that the
  information  which  would otherwise be required to be reported will have
  no material bearing on the discharge of the reporting person's  official
  duties.  If such request for exemption is denied, the commission, in its
  notification of denial, shall inform the person of his or her  right  to
  appeal  the  commission's  determination pursuant to its rules governing
  adjudicatory proceedings and appeals  adopted  pursuant  to  subdivision
  thirteen of this section;
    (j)  Advise  and  assist  any  state  agency in establishing rules and
  regulations relating to possible conflicts between private interests and
  official duties of present or former  statewide  elected  officials  and
  state officers and employees;
    (k)  Permit  any  person  who  has  not  been determined by his or her
  appointing authority  to  hold  a  policy-making  position  but  who  is
  otherwise  required  to file a financial disclosure statement to request
  an  exemption  from  such  requirement  in  accordance  with  rules  and
  regulations  governing such exemptions. Such rules and regulations shall
  provide for exemptions to be granted either on  the  application  of  an
  individual  or  on  behalf  of  persons  who share the same job title or
  employment classification which the commission deems  to  be  comparable
  for  purposes of this section. Such rules and regulations may permit the
  granting of an exemption where, in the discretion of the commission, the
  public interest does not require disclosure and the  applicant's  duties
  do not involve the negotiation, authorization or approval of:
    (i)  contracts,  leases,  franchises, revocable consents, concessions,
  variances,  special  permits,  or  licenses  as   defined   in   section
  seventy-three of the public officers law;
    (ii)  the  purchase,  sale, rental or lease of real property, goods or
  services, or a contract therefor;
    (iii) the obtaining of grants of money or loans; or
    (iv) the adoption or repeal of any rule or regulation having the force
  and effect of law;
    (l)  Prepare  an  annual  report  to  the  governor  and   legislature
  summarizing  the  activities  of the commission during the previous year
  and recommending any changes  in  the  laws  governing  the  conduct  of
  persons  subject  to  the  jurisdiction of the commission, or the rules,
  regulations and procedures  governing  the  commission's  conduct.  Such
  report shall include: (i) a listing by assigned number of each complaint
  and  referral  received  which  alleged  a possible violation within its
  jurisdiction, including the current status of each complaint,  and  (ii)
  where a matter has been resolved, the date and nature of the disposition
  and any sanction imposed, subject to the confidentiality requirements of
  this  section,  provided,  however,  that  such  annual report shall not
  contain any information for which disclosure is not  permitted  pursuant
  to subdivision seventeen of this section; and
    (m)  Determine  a  question  common  to a class or defined category of
  persons  or  items  of  information  required  to  be  disclosed,  where
  determination  of the question will prevent undue repetition of requests

for exemption or deletion or prevent  undue  complication  in  complying
  with the requirements of such section.
    10.  The  commission,  or  the  executive  director  and  staff of the
  commission if responsibility therefor has been delegated, shall  inspect
  all  financial  disclosure  statements  filed  with  the  commission  to
  ascertain whether any person subject to the  reporting  requirements  of
  section  seventy-three-a  of  the public officers law has failed to file
  such a statement, has  filed  a  deficient  statement  or  has  filed  a
  statement  which  reveals a possible violation of section seventy-three,
  seventy-three-a or seventy-four of the public officers law.
    11. If a person required to file a financial disclosure statement with
  the commission has failed to file a disclosure statement or has filed  a
  deficient statement, the commission shall notify the reporting person in
  writing, state the failure to file or detail the deficiency, provide the
  person  with a fifteen day period to cure the deficiency, and advise the
  person of the  penalties  for  failure  to  comply  with  the  reporting
  requirements.  Such notice shall be confidential. If the person fails to
  make such filing or fails to cure the deficiency  within  the  specified
  time  period,  the commission shall send a notice of delinquency: (a) to
  the reporting person; (b) in the case of a statewide  elected  official,
  to  the  temporary  president  of  the  senate  and  the  speaker of the
  assembly; and (c) in the case of a state officer  or  employee,  to  the
  appointing  authority for such person. Such notice of delinquency may be
  sent at any time during the reporting person's service  as  a  statewide
  elected  official,  state  officer or employee, political party chair or
  while a candidate  for  statewide  office,  or  within  one  year  after
  termination  of  such  service  or  candidacy.  The  jurisdiction of the
  commission, when acting pursuant to subdivision thirteen of this section
  with respect to financial  disclosure,  shall  continue  notwithstanding
  that  the  reporting  person  separates from state service, or ceases to
  hold office as a statewide elected official or political party chair, or
  ceases to be a candidate, provided the commission notifies  such  person
  of  the  alleged  failure  to  file or deficient filing pursuant to this
  subdivision.
    12. (a) If the  commission  receives  a  sworn  complaint  alleging  a
  violation  of  section seventy-three, seventy-three-a or seventy-four of
  the public officers law, section one hundred seven of the civil  service
  law  or  article  one-A  of  the  legislative  law by a person or entity
  subject to the  jurisdiction  of  the  commission,  or  if  a  reporting
  individual  has  filed a statement which reveals a possible violation of
  these provisions, or if the commission determines on its own  initiative
  to  investigate  a  possible  violation, the commission shall notify the
  individual in writing, describe the possible  or  alleged  violation  of
  such  laws  and provide the person with a fifteen day period in which to
  submit a written response setting  forth  information  relating  to  the
  activities  cited  as  a  possible  or  alleged violation of law. If the
  commission thereafter makes a  determination  that  further  inquiry  is
  justified,  it shall give the individual an opportunity to be heard. The
  commission shall also inform the individual of its rules  regarding  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 individual and the complainant, if any. All of the
  foregoing proceedings shall be confidential.
    (b) If the commission determines that there  is  reasonable  cause  to
  believe  that  a  violation  has  occurred,  it  shall  send a notice of
  reasonable cause: (i) to the reporting person; (ii) to  the  complainant

if  any;  (iii)  in  the  case  of  a statewide elected official, to the
  temporary president of the senate and the speaker of the  assembly;  and
  (iv)  in  the  case  of  a  state officer or employee, to the appointing
  authority for such person.
    (c)  The  jurisdiction  of the commission when acting pursuant to this
  section shall continue notwithstanding that a statewide elected official
  or a state officer or  employee  separates  from  state  service,  or  a
  political  party chair ceases to hold such office, or a candidate ceases
  to be a candidate, or a lobbyist or client of a lobbyist ceases  to  act
  as such, provided that the commission notifies such individual or entity
  of  the  alleged  violation  of  law  pursuant  to paragraph (a) of this
  subdivision within one year  from  his  or  her  separation  from  state
  service or his or her termination of party service or candidacy, or from
  his,  her  or  its  last  report  filed pursuant to article one-A of the
  legislative law. Nothing in  this  section  shall  serve  to  limit  the
  jurisdiction  of  the  commission in enforcement of subdivision eight of
  section seventy-three of the public officers law.
    13. An individual subject to the jurisdiction of  the  commission  who
  knowingly  and intentionally violates the provisions of subdivisions two
  through five, seven, eight, twelve  or  fourteen  through  seventeen  of
  section  seventy-three  of  the public officers law, section one hundred
  seven of the civil service law, or a reporting individual who  knowingly
  and  wilfully  fails to file an annual statement of financial disclosure
  or who knowingly and wilfully with  intent  to  deceive  makes  a  false
  statement  or  fraudulent  omission  or  gives  information  which  such
  individual knows to be false on such statement of  financial  disclosure
  filed  pursuant  to  section  seventy-three-a of the public officers law
  shall be subject to a civil penalty in an amount  not  to  exceed  forty
  thousand  dollars  and  the  value  of any gift, compensation or benefit
  received as a result of such violation. An individual who knowingly  and
  intentionally  violates  the  provisions  of  paragraph  b, c, d or i of
  subdivision three of section seventy-four of  the  public  officers  law
  shall  be  subject  to  a  civil  penalty in an amount not to exceed ten
  thousand dollars and the value of  any  gift,  compensation  or  benefit
  received  as a result of such violation. An individual who knowingly and
  intentionally violates  the  provisions  of  paragraph  a,  e  or  g  of
  subdivision  three  of  section  seventy-four of the public officers law
  shall be subject to a civil penalty in an amount not to exceed the value
  of any gift, compensation or  benefit  received  as  a  result  of  such
  violation.  An  individual subject to the jurisdiction of the commission
  who knowingly and willfully violates article one-A  of  the  legislative
  law  shall  be subject to civil penalty as provided for in that article.
  Assessment of a civil penalty hereunder shall be made by the  commission
  with  respect  to  persons subject to its jurisdiction. In assessing the
  amount of the civil  penalties  to  be  imposed,  the  commission  shall
  consider  the  seriousness  of  the violation, the amount of gain to the
  individual and whether  the  individual  previously  had  any  civil  or
  criminal  penalties  imposed  pursuant  to  this  section, and any other
  factors the commission  deems  appropriate.  For  a  violation  of  this
  subdivision,  other  than  for  conduct which constitutes a violation of
  section one hundred seven of the civil service law, subdivisions  twelve
  or  fourteen  through  seventeen  of  section  seventy-three  or section
  seventy-four of  the  public  officers  law  or  article  one-A  of  the
  legislative law, the commission may, in lieu of a civil penalty, refer a
  violation  to  the appropriate prosecutor and upon such conviction, such
  violation shall be punishable as a class A misdemeanor. A civil  penalty
  for false filing may not be imposed hereunder in the event a category of
  "value" or "amount" reported hereunder is incorrect unless such reported

information  is falsely understated. Notwithstanding any other provision
  of law to the contrary, no other  penalty,  civil  or  criminal  may  be
  imposed for a failure to file, or for a false filing, of such statement,
  or  a  violation  of  section  seventy-three of the public officers law,
  except that the appointing authority may impose disciplinary  action  as
  otherwise  provided  by law. The commission may refer violations of this
  subdivision to the  appointing  authority  for  disciplinary  action  as
  otherwise  provided  by  law.  The  commission  shall be deemed to be an
  agency within the meaning of article three of the  state  administrative
  procedure   act   and   shall  adopt  rules  governing  the  conduct  of
  adjudicatory proceedings and appeals  taken  pursuant  to  a  proceeding
  commenced  under  article  seventy-eight  of  the civil practice law and
  rules  relating  to  the  assessment  of  the  civil  penalties   herein
  authorized  and  commission denials of requests for certain deletions or
  exemptions  to  be  made  from  a  financial  disclosure  statement   as
  authorized in paragraph (h) or paragraph (i) of subdivision nine of this
  section.  Such  rules,  which  shall  not  be  subject  to  the approval
  requirements of the state administrative procedure  act,  shall  provide
  for due process procedural mechanisms substantially similar to those set
  forth  in  article  three  of the state administrative procedure act but
  such mechanisms need not be identical in terms or scope. Assessment of a
  civil penalty or commission denial of such  a  request  shall  be  final
  unless  modified, suspended or vacated within thirty days of imposition,
  with respect to the assessment of such penalty, or unless such denial of
  request is reversed within such time period,  and  upon  becoming  final
  shall  be  subject  to  review at the instance of the affected reporting
  individuals in a proceeding commenced against the  commission,  pursuant
  to article seventy-eight of the civil practice law and rules.
    13-a.  If  the  commission  has a reasonable basis to believe that any
  person subject to the jurisdiction of the legislative ethics  commission
  may   have   violated   any   provisions  of  section  seventy-three  or
  seventy-four of the public officers law, it shall refer  such  violation
  to  the  legislative  ethics commission unless the commission determines
  that such a referral would compromise the prosecution or confidentiality
  of its investigations and, if so, shall make such a referral as soon  as
  practicable.  The  referral  by the commission to the legislative ethics
  commission shall include any information relating  thereto  coming  into
  the  custody or under the control of the commission at any time prior or
  subsequent to the time of the referral.
    14. A copy of any notice of delinquency or notice of reasonable  cause
  sent pursuant to subdivisions eleven and twelve of this section shall be
  included  in  the  reporting  person's  file and be available for public
  inspection and copying.
    15. Upon written request  from  any  person  who  is  subject  to  the
  jurisdiction   of  the  commission  and  the  requirements  of  sections
  seventy-three, seventy-three-a or seventy-four of  the  public  officers
  law,  the  commission shall render advisory opinions on the requirements
  of said provisions. An opinion rendered by  the  commission,  until  and
  unless  amended  or  revoked,  shall be binding on the commission in any
  subsequent proceeding concerning the person who  requested  the  opinion
  and  who  acted  in  good  faith,  unless material facts were omitted or
  misstated by the person in the request for an opinion. Such opinion  may
  also be relied upon by such person, and may be introduced and shall be a
  defense,  in  any  criminal  or  civil  action.  Such  requests shall be
  confidential but the commission may publish such opinions provided  that
  the  name  of  the requesting person and other identifying details shall
  not be included in the publication.

16. In addition to any other powers and duties specified by  law,  the
  commission shall have the power and duty to:
    (a) Promulgate rules concerning restrictions on outside activities and
  limitations  on the receipt of gifts and honoraria by persons subject to
  its jurisdiction, provided, however, a violation of such rules in and of
  itself shall not be punishable pursuant to subdivision thirteen of  this
  section  unless  the  conduct constituting the violation would otherwise
  constitute a violation of this section; and
    (b) Conduct training  programs  in  cooperation  with  the  governor's
  office of employee relations to provide education to individuals subject
  to its jurisdiction; and
    (c) Administer and enforce all the provisions of this section; and
    (d) Conduct any investigation necessary to carry out the provisions of
  this  section.  Pursuant  to  this  power  and  duty, the commission may
  administer oaths  or  affirmations,  subpoena  witnesses,  compel  their
  attendance  and  require the production of any books or records which it
  may deem relevant or material;
    16-a. Within one hundred twenty days of the  effective  date  of  this
  subdivision,  the  commission  shall  create  and  thereafter maintain a
  publicly accessible website which shall  set  forth  the  procedure  for
  filing  a  complaint  with  the  commission, and which shall contain the
  documents identified in subdivision seventeen  of  this  section,  other
  than   financial   disclosure  statements,  and  any  other  records  or
  information which the commission determines to be appropriate.
    17. (a) Notwithstanding the provisions of article six  of  the  public
  officers  law,  the  only  records  of  the  commission  which  shall be
  available for public inspection and copying are:
    (1) the information set forth in  an  annual  statement  of  financial
  disclosure  filed  pursuant  to  section  seventy-three-a  of the public
  officers law except the categories  of  value  or  amount,  which  shall
  remain  confidential, and any other item of information deleted pursuant
  to paragraph (h) of subdivision nine of this section;
    (2) notices of delinquency  sent  under  subdivision  eleven  of  this
  section;
    (3)   notices   of  reasonable  cause  sent  under  paragraph  (b)  of
  subdivision twelve of this section;
    (4) notices of civil assessments  imposed  under  this  section  which
  shall include a description of the nature of the alleged wrongdoing, the
  procedural  history  of  the  complaint, the findings and determinations
  made by the commission, and any sanction imposed;
    (5) the terms of any  settlement  or  compromise  of  a  complaint  or
  referral which includes a fine, penalty or other remedy; and
    (6)  those  required  to  be  held  or  maintained  publicly available
  pursuant to article one-A of the legislative law.
    (b) Notwithstanding the provisions of  article  seven  of  the  public
  officers  law,  no  meeting or proceeding, including any such proceeding
  contemplated under paragraph (h) or (i)  of  subdivision  nine  of  this
  section,  of  the  commission  shall  be  open  to the public, except if
  expressly provided otherwise by the commission  or  as  is  required  by
  article one-A of the legislative law.
    (c)   Pending  any  application  for  deletion  or  exemption  to  the
  commission, all information which is  the  subject  or  a  part  of  the
  application  shall remain confidential. Upon an adverse determination by
  the commission, the reporting individual  may  request,  and  upon  such
  request  the commission shall provide, that any information which is the
  subject or part of the application remain confidential for a  period  of
  thirty  days  following  notice of such determination. In the event that
  the reporting individual resigns his office and holds  no  other  office

subject to the jurisdiction of the commission, the information shall not
  be made public and shall be expunged in its entirety.
    18.  If  any  part  or  provision  of  this section or the application
  thereof to any  person  or  organization  is  adjudged  by  a  court  of
  competent jurisdiction to be unconstitutional or otherwise invalid, such
  judgment  shall  not affect or impair any other part or provision or the
  application thereof to any other person or organization,  but  shall  be
  confined in its operation to such part or provision.