N.Y. Exec. Law § 94

§ 94. Joint commission on public ethics; functions, powers and duties;\nreview of financial disclosure statements; advisory opinions;\ninvestigation and enforcement.\n 1. There is established within the department of state a joint\ncommission on public ethics which shall consist of fourteen members and\nshall have and exercise the powers and duties set forth in this section\nwith respect to statewide elected officials, members of the legislature\nand employees of the legislature, and state officers and employees, as\ndefined in sections seventy-three and seventy-three-a of the public\nofficers law, candidates for statewide elected office and for the senate\nor assembly, and the political party chairman as that term is defined in\nsection seventy-three-a of the public officers law, lobbyists and the\nclients of lobbyists as such terms are defined in article one-A of the\nlegislative law, and individuals who have formerly held such positions,\nwere lobbyists or clients of lobbyists, as such terms are defined in\narticle one-A of the legislative law, or who have formerly been such\ncandidates. This section shall not be deemed to have revoked or\nrescinded any regulations or advisory opinions issued by the legislative\nethics commission, the commission on public integrity, the state ethics\ncommission and the temporary lobbying commission in effect upon the\neffective date of chapter fourteen of the laws of two thousand seven\nwhich amended this section to the extent that such regulations or\nopinions are not inconsistent with any law of the state of New York, but\nsuch regulations and opinions shall apply only to matters over which\nsuch commissions had jurisdiction at the time such regulations and\nopinions were promulgated or issued. The commission shall undertake a\ncomprehensive review of all such regulations and opinions, which will\naddress the consistency of such regulations and opinions among each\nother and with the new statutory language, and of the effectiveness of\nthe existing laws, regulations, guidance and ethics enforcement\nstructure to address the ethics of covered public officials and related\nparties. Such review shall be conducted with the legislative ethics\ncommission and, to the extent possible, the report's findings shall\nreflect the full input and deliberations of both commissions after joint\nconsultation. The commission shall, before February first, two thousand\nfifteen, report to the governor and legislature regarding such review\nand shall propose any regulatory or statutory changes and issue any\nadvisory opinions necessitated by such review.\n 2. The members of the commission shall be appointed as follows: three\nmembers shall be appointed by the temporary president of the senate,\nthree members shall be appointed by the speaker of the assembly, one\nmember shall be appointed by the minority leader of the senate, one\nmember shall be appointed by the minority leader of the assembly, and\nsix members shall be appointed by the governor and the lieutenant\ngovernor. In the event that a vacancy arises with respect to a member of\nthe commission first appointed pursuant to the chapter of the laws of\ntwo thousand eleven which amended this subdivision by a legislative\nleader, the legislative leaders of the same political party in the same\nhouse shall appoint a member to fill such vacancy irrespective of\nwhether that legislative leader's political party is in the majority or\nminority. Of the members appointed by the governor and the lieutenant\ngovernor, at least three members shall be and shall have been for at\nleast three years enrolled members of the major political party in which\nthe governor is not enrolled. In the event of a vacancy in a position\npreviously appointed by the governor and lieutenant governor, the\ngovernor and lieutenant governor shall appoint a member of the same\npolitical party as the member that vacated that position. Prior to\nmaking their respective appointments, the governor and the lieutenant\ngovernor and the legislative leaders shall solicit and receive\nrecommendations for appointees from the attorney general and the\ncomptroller of the state of New York, which recommendations shall be\nfully and properly considered but shall not be binding.\n No individual shall be eligible for appointment as a member of the\ncommission who currently or within the last three years:\n (i) is or has been registered as a lobbyist in New York state;\n (ii) is or has been a member of the New York state legislature or a\nstatewide elected official or a commissioner of an executive agency\nappointed by the governor; or\n (iii) is or has been a political party chairman, as defined in\nparagraph (k) of subdivision one of section seventy-three of this\narticle.\n No individual shall be eligible for appointment as a member of the\ncommission who currently or within the last year is or has been a state\nofficer or employee or legislative employee as defined in section\nseventy-three of the public officers law.\n 3. Members of the commission shall serve for terms of five years;\nprovided, however, that of the members first appointed by the governor\nand lieutenant governor, one shall serve for one year, one shall serve\nfor two years, one shall serve for three years, and one shall serve for\nfour years, as designated by the governor; the members first appointed\nby the temporary president of the senate and by the speaker of the\nassembly shall serve for four years and the members first appointed by\nthe minority leaders of the senate and the assembly shall serve for two\nyears.\n 4. The governor shall designate the chairman of the commission from\namong the members thereof, who shall serve as chairman at the pleasure\nof the governor. The chairman or any eight members of the commission may\ncall a meeting.\n 5. Any vacancy occurring on the commission shall be filled within\nthirty days of its occurrence in the same manner as the member whose\nvacancy is being filled was appointed. A person appointed to fill a\nvacancy occurring other than by expiration of a term of office shall be\nappointed for the unexpired term of the member he or she succeeds.\n 6. Eight members of the commission shall constitute a quorum, and the\ncommission shall have power to act by majority vote of the total number\nof members of the commission without vacancy except where the commission\nacts pursuant to subdivision thirteen, subdivision fourteen-a or\nsubdivision fourteen-b of this section.\n 7. Members of the commission may be removed by the appointing\nauthority solely for substantial neglect of duty, gross misconduct in\noffice, violation of the confidentiality restrictions in subdivision\nnine-a of this section, inability to discharge the powers or duties of\noffice or violation of this section, after written notice and\nopportunity for a reply.\n 8. The members of the joint commission shall receive a per diem\nallowance in the sum of three hundred dollars for each day actually\nspent in the performance of his or her duties under this article, and,\nin addition thereto, shall be reimbursed for all reasonable expenses\nactually and necessarily incurred by him or her in the performance of\nhis or her duties under this article.\n 9. The commission shall:\n (a) Appoint an executive director who shall act in accordance with the\npolicies of the commission. The appointment and removal of the executive\ndirector shall be made solely by a vote of a majority of the commission,\nwhich majority shall include at least one member appointed by the\ngovernor from each of the two major political parties, and one member\nappointed by a legislative leader from each of the two major political\nparties. The commission may delegate authority to the executive director\nto act in the name of the commission between meetings of the commission\nprovided such delegation is in writing, the specific powers to be\ndelegated are enumerated, and the commission shall not delegate any\ndecisions specified in this section that require a vote of the\ncommission. The executive director shall be appointed without regard to\npolitical affiliation and solely on the basis of fitness to perform the\nduties assigned by this article, and shall be a qualified, independent\nprofessional. The commission may remove the executive director for\nneglect of duty, misconduct in office, violation of the confidentiality\nrestrictions in subdivision nine-a of this section, or inability or\nfailure to discharge the powers or duties of office, including the\nfailure to follow the lawful instructions of the commission;\n (b) Appoint such other staff as are necessary to carry out its duties\nunder this section;\n (b-1) Review and approve a staffing plan provided and prepared by the\nexecutive director which shall contain, at a minimum, a list of the\nvarious units and divisions as well as the number of positions in each\nunit, titles and their duties, and salaries, as well as the various\nqualifications for each position including, but not limited to,\neducation and prior experience for each position.\n (c) Adopt, amend, and rescind rules and regulations to govern\nprocedures of the commission, which shall include, but not be limited\nto, the procedure whereby a person who is required to file an annual\nfinancial disclosure statement with the commission may request an\nadditional period of time within which to file such statement, other\nthan members of the legislature, candidates for members of the\nlegislature and legislative employees, due to justifiable cause or undue\nhardship; such rules or regulations shall provide for a date beyond\nwhich in all cases of justifiable cause or undue hardship no further\nextension of time will be granted;\n (d) Adopt, amend, and rescind rules and regulations to assist\nappointing authorities in determining which persons hold policy-making\npositions for purposes of section seventy-three-a of the public officers\nlaw;\n (d-1) Adopt, amend and rescind rules and regulations defining the\npermissible use of and promoting the proper use of public service\nannouncements;\n (e) Make available forms for annual statements of financial disclosure\nrequired to be filed pursuant to section seventy-three-a of the public\nofficers law;\n (f) Review financial disclosure statements in accordance with the\nprovisions of this section, provided however, that the commission may\ndelegate all or part of this review function to the executive director\nwho shall be responsible for completing staff review of such statements\nin a manner consistent with the terms of the commission's delegation;\n (g) Receive complaints and referrals alleging violations of section\nseventy-three, seventy-three-a or seventy-four of the public officers\nlaw, article one-A of the legislative law or section one hundred seven\nof the civil service law;\n (h) Permit any person who is required to file a financial disclosure\nstatement with the joint commission on public ethics to request that the\ncommission delete from the copy thereof made available for public\ninspection and copying one or more items of information which may be\ndeleted by the commission upon a finding by the commission that the\ninformation which would otherwise be required to be made available for\npublic inspection and copying will have no material bearing on the\ndischarge of the reporting person's official duties. If such request for\ndeletion is denied, the commission, in its notification of denial, shall\ninform the person of his or her right to appeal the commission's\ndetermination pursuant to its rules governing adjudicatory proceedings\nand appeals adopted pursuant to subdivision fourteen of this section;\n (i) Permit any person who is required to file a financial disclosure\nstatement with the joint commission on public ethics to request an\nexemption from any requirement to report one or more items of\ninformation which pertain to such person's spouse or unemancipated\nchildren which item or items may be exempted by the commission upon a\nfinding by the commission that the reporting individual's spouse, on his\nor her own behalf or on behalf of an unemancipated child, objects to\nproviding the information necessary to make such disclosure and that the\ninformation which would otherwise be required to be reported will have\nno material bearing on the discharge of the reporting person's official\nduties. If such request for exemption is denied, the commission, in its\nnotification of denial, shall inform the person of his or her right to\nappeal the commission's determination pursuant to its rules governing\nadjudicatory proceedings and appeals adopted pursuant to subdivision\nfourteen of this section;\n (i-1) Permit any person required to file a financial disclosure\nstatement to request an exemption from any requirement to report the\nidentity of a client pursuant to question 8(b) in such statement based\nupon an exemption set forth in that question. The reporting individual\nneed not seek an exemption to refrain from disclosing the identity of\nany client with respect to any matter he or she or his or her firm\nprovided legal representation to the client in connection with an\ninvestigation or prosecution by law enforcement authorities, bankruptcy,\nor domestic relations matters; in addition, clients or customers\nreceiving medical or dental services, mental health services,\nresidential real estate brokering services, or insurance brokering\nservices need not be disclosed.\n (j) Advise and assist any state agency in establishing rules and\nregulations relating to possible conflicts between private interests and\nofficial duties of present or former statewide elected officials and\nstate officers and employees;\n (k) Permit any person who has not been determined by his or her\nappointing authority to hold a policy-making position but who is\notherwise required to file a financial disclosure statement to request\nan exemption from such requirement in accordance with rules and\nregulations governing such exemptions. Such rules and regulations shall\nprovide for exemptions to be granted either on the application of an\nindividual or on behalf of persons who share the same job title or\nemployment classification which the commission deems to be comparable\nfor purposes of this section. Such rules and regulations may permit the\ngranting of an exemption where, in the discretion of the commission, the\npublic interest does not require disclosure and the applicant's duties\ndo not involve the negotiation, authorization or approval of:\n (i) contracts, leases, franchises, revocable consents, concessions,\nvariances, special permits, or licenses as defined in section\nseventy-three of the public officers law;\n (ii) the purchase, sale, rental or lease of real property, goods or\nservices, or a contract therefor;\n (iii) the obtaining of grants of money or loans; or\n (iv) the adoption or repeal of any rule or regulation having the force\nand effect of law;\n (l) Prepare an annual report to the governor and legislature\nsummarizing the activities of the commission during the previous year\nand recommending any changes in the laws governing the conduct of\npersons subject to the jurisdiction of the commission, or the rules,\nregulations and procedures governing the commission's conduct. Such\nreport shall include: (i) a listing by assigned number of each complaint\nand referral received which alleged a possible violation within its\njurisdiction, including the current status of each complaint, and (ii)\nwhere a matter has been resolved, the date and nature of the disposition\nand any sanction imposed, subject to the confidentiality requirements of\nthis section, provided, however, that such annual report shall not\ncontain any information for which disclosure is not permitted pursuant\nto subdivision nineteen of this section;\n (m) Determine a question common to a class or defined category of\npersons or items of information required to be disclosed, where\ndetermination of the question will prevent undue repetition of requests\nfor exemption or deletion or prevent undue complication in complying\nwith the requirements of such section; and\n (n) Promulgate guidelines for the commission to conduct a program of\nrandom reviews, to be carried out in the following manner: (i) annual\nstatements of financial disclosure shall be selected for review in a\nmanner pursuant to which the identity of any particular person whose\nstatement is selected is unknown to the commission and its staff prior\nto its selection; (ii) such review shall include a preliminary\nexamination of the selected statement for internal consistency, a\ncomparison with other records maintained by the commission, including\npreviously filed statements and requests for advisory opinions, and\nexamination of relevant public information; (iii) upon completion of the\npreliminary examination, the commission shall determine whether further\ninquiry is warranted, whereupon it shall notify the reporting individual\nin writing that the statement is under review, advise the reporting\nindividual of the specific areas of inquiry, and provide the reporting\nindividual with the opportunity to provide any relevant information\nrelated to the specific areas of inquiry, and the opportunity to file\namendments to the selected statement on forms provided by the\ncommission; and (iv) if thereafter sufficient cause exists, the\ncommission shall take additional actions, as appropriate and consistent\nwith law.\n 9-a. (a) When an individual becomes a commissioner or staff of the\ncommission, that individual shall be required to sign a non-disclosure\nstatement.\n (b) Except as otherwise required or provided by law, testimony\nreceived or any other information obtained by a commissioner or staff of\nthe commission shall not be disclosed by any such individual to any\nperson or entity outside the commission during the pendency of any\nmatter. Any confidential communication to any person or entity outside\nthe commission related to the matters before the commission may occur\nonly as authorized by the commission.\n (c) The commission shall establish procedures necessary to prevent the\nunauthorized disclosure of any information received by any member of the\ncommission or staff of the commission. Any breaches of confidentiality\nshall be investigated by the inspector general and appropriate action\nshall be taken. Any commissioner or person employed by the commission\nwho intentionally and without authorization releases confidential\ninformation received by the commission shall be guilty of a class A\nmisdemeanor.\n 9-b. During the period of his or her service as a commissioner of the\ncommission, each commissioner shall refrain from making, or soliciting\nfrom other persons, any contributions to candidates for election to the\noffices of governor, lieutenant governor, member of the assembly or the\nsenate, attorney general or state comptroller.\n 10. The commission shall prepare materials and design and administer\nan ethics training program for individuals subject to the financial\ndisclosure requirements of section seventy-three-a of the public\nofficers law with respect to the provisions of sections seventy-three,\nseventy-three-a, and seventy-four of the public officers law and any\nother law, administrative regulation, or internal policy that is of\nrelevance to the ethical conduct of such individuals in public service,\nas follows:\n (a) The commission shall develop and administer a comprehensive ethics\ntraining course and shall designate and train instructors to conduct\nsuch training. Such course shall be designed as a two-hour program and\nshall include practical application of the material covered and a\nquestion-and-answer participatory segment. Unless the commission grants\nan extension or waiver for good cause shown, all individuals subject to\nthe financial disclosure requirements of section seventy-three-a of the\npublic officers law shall complete such course within two years of the\neffective date of the chapter of the laws of two thousand eleven which\namended this section, or for those individuals elected or appointed\nafter the effective date of the chapter of the laws of two thousand\neleven which amended this section, within two years of becoming subject\nto the financial disclosure requirements of section seventy-three-a of\nthe public officers law.\n (b) The commission shall develop and administer an online ethics\norientation course and shall notify all individuals newly subject to the\nfinancial disclosure requirements of section seventy-three-a of the\npublic officers law of such course, which shall be completed by such\nindividuals within three months of becoming subject to such\nrequirements, unless the commission grants an extension or waiver for\ngood cause shown. Individuals who have completed the comprehensive\nethics training course shall not be required to complete the online\nethics orientation course.\n (c) The commission shall develop and administer an ethics seminar or\nethics seminars for individuals who have previously completed the\ncomprehensive ethics training course. Such seminars shall be designed as\nninety-minute programs and shall include any changes in law, regulation,\nor policy or in the interpretation thereof, practical application of the\nmaterial covered, and a question-and-answer segment. Unless the\ncommission grants an extension or waiver for good cause shown, such\nindividuals shall be scheduled to attend a seminar at least once every\nthree years after having completed the comprehensive ethics training\ncourse. In lieu of attending an ethics seminar, such individuals may\ncomplete a subsequent comprehensive ethics training program.\n (d) The provisions of this subdivision shall be applicable to the\nlegislature except to the extent that an ethics training program is\notherwise established by the assembly or senate for their respective\nmembers and employees and such program meets or exceeds each of the\nrequirements set forth in this section.\n (e) On an annual basis, the joint commission in coordination with the\nlegislative ethics commission shall determine the status of compliance\nwith these training requirements by each state agency and by the senate\nand the assembly. Such determination shall include aggregate statistics\nregarding participation in such training, and shall be reported to the\ngovernor and the legislature in writing.\n 11. The commission, or the executive director and staff of the\ncommission if responsibility therefor has been delegated, shall inspect\nall financial disclosure statements filed with the commission to\nascertain whether any person subject to the reporting requirements of\nsection seventy-three-a of the public officers law has failed to file\nsuch a statement, has filed a deficient statement or has filed a\nstatement which reveals a possible violation of section seventy-three,\nseventy-three-a or seventy-four of the public officers law.\n 12. If a person required to file a financial disclosure statement with\nthe commission has failed to file a disclosure statement or has filed a\ndeficient statement, the commission shall notify the reporting person in\nwriting, state the failure to file or detail the deficiency, provide the\nperson with a fifteen day period to cure the deficiency, and advise the\nperson of the penalties for failure to comply with the reporting\nrequirements. Such notice shall be confidential. If the person fails to\nmake such filing or fails to cure the deficiency within the specified\ntime period, the commission shall send a notice of delinquency: (a) to\nthe reporting person; (b) in the case of a statewide elected official,\nmember of the legislature, or a legislative employee, to the temporary\npresident of the senate and the speaker of the assembly; and (c) in the\ncase of a state officer or employee, to the appointing authority for\nsuch person. Such notice of delinquency may be sent at any time during\nthe reporting person's service as a statewide elected official, state\nofficer or employee, member of the assembly or the senate, or a\nlegislative employee or a political party chair or while a candidate for\nstatewide office, or within one year after termination of such service\nor candidacy. The jurisdiction of the commission, when acting pursuant\nto subdivision fourteen of this section with respect to financial\ndisclosure, shall continue notwithstanding that the reporting person\nseparates from state service, or ceases to hold public or political\nparty office, or ceases to be a candidate, provided the commission\nnotifies such person of the alleged failure to file or deficient filing\npursuant to this subdivision.\n 13. (a) Investigations. If the commission receives a sworn complaint\nalleging a violation of section seventy-three, seventy-three-a, or\nseventy-four of the public officers law, section one hundred seven of\nthe civil service law or article one-A of the legislative law by a\nperson or entity subject to the jurisdiction of the commission including\nmembers of the legislature and legislative employees and candidates for\nmember of the legislature, or if a reporting individual has filed a\nstatement which reveals a possible violation of these provisions, or if\nthe commission determines on its own initiative to investigate a\npossible violation, the commission shall notify the individual in\nwriting, describe the possible or alleged violation of such laws,\nprovide a description of the allegations against him or her and the\nevidence, if any, supporting such allegations, provided however that the\njoint commission shall redact any information that might, in the\njudgment of the commission, be prejudicial to either the complainant or\nthe investigation; the letter also shall set forth the sections of law\nalleged to have been violated and provide the person with a fifteen day\nperiod in which to submit a written response, including any evidence,\nstatements, and proposed witnesses, setting forth information relating\nto the activities cited as a possible or alleged violation of law. The\ncommission shall, within sixty calendar days after a complaint or a\nreferral is received or an investigation is initiated on the\ncommission's own initiative, vote on whether to commence a full\ninvestigation of the matter under consideration to determine whether a\nsubstantial basis exists to conclude that a violation of law has\noccurred. The staff of the joint commission shall provide to the members\nprior to such vote information regarding the likely scope and content of\nthe investigation, and a subpoena plan, to the extent such information\nis available. Such investigation shall be conducted if at least eight\nmembers of the commission vote to authorize it. Where the subject of\nsuch investigation is a member of the legislature or a legislative\nemployee or a candidate for member of the legislature, at least two of\nthe eight or more members who so vote to authorize such an investigation\nmust have been appointed by a legislative leader or leaders from the\nmajor political party in which the subject of the proposed investigation\nis enrolled if such person is enrolled in a major political party. Where\nthe subject of such investigation is a state officer or state employee,\nat least two of the eight or more members who so vote to authorize such\nan investigation must have been appointed by the governor and lieutenant\ngovernor. Where the subject of such investigation is a statewide elected\nofficial or a direct appointee of such an official, at least two of the\neight or more members who so vote to authorize such an investigation\nmust have been appointed by the governor and lieutenant governor and be\nenrolled in the major political party in which the subject of the\nproposed investigation is enrolled, if such person is enrolled in a\nmajor political party.\n (b) Substantial basis investigation. Upon the affirmative vote of not\nless than eight commission members to commence a substantial basis\ninvestigation, written notice of the commission's decision shall be\nprovided to the individual who is the subject of such substantial basis\ninvestigation. Such written notice shall include a copy of the\ncommission's rules and procedures and shall also include notification of\nsuch individual's right to be heard within thirty calendar days of the\ndate of the commission's written notice. If the commission votes to\ncommence a substantial basis investigation, the commission shall provide\nto the individual a notice setting forth the alleged violations of law\nand the factual basis for those allegations. The commission shall\nprovide to the individual any additional evidence supporting the\nallegations not set forth in the letter sent pursuant to paragraph (a)\nof this subdivision in sufficient detail to enable the individual to\nrespond, at least seven days before the hearing. Such hearing shall\nafford the individual with a reasonable opportunity to appear in person,\nand by attorney, give sworn testimony and present evidence. Such hearing\nshall occur before the commission votes on whether or not to issue a\nsubstantial basis report. The commission shall also inform the\nindividual of its rules regarding the conduct of adjudicatory\nproceedings and appeals and the other due process procedural mechanisms\navailable to such individual. If the commission determines at any stage\nthat there is no violation, that any potential violation has been\nrectified, or if the investigation is closed for any other reason, it\nshall so advise the individual and the complainant, if any in writing\nwithin fifteen days of such decision. All of the foregoing proceedings\nshall be confidential.\n (c) The jurisdiction of the commission when acting pursuant to this\nsection shall continue notwithstanding that a statewide elected official\nor a state officer or employee or member of the legislature or\nlegislative employee separates from state service, or a political party\nchair ceases to hold such office, or a candidate ceases to be a\ncandidate, or a lobbyist or client of a lobbyist ceases to act as such,\nprovided that the commission notifies such individual or entity of the\nalleged violation of law pursuant to paragraph (a) of this subdivision\nwithin one year from his or her separation from state service or his or\nher termination of party service or candidacy, or from his, her or its\nlast report filed pursuant to article one-A of the legislative law.\nNothing in this section shall serve to limit the jurisdiction of the\ncommission in enforcement of subdivision eight of section seventy-three\nof the public officers law.\n 14. An individual subject to the jurisdiction of the commission who\nknowingly and intentionally violates the provisions of subdivisions two\nthrough five-a, seven, eight, twelve or fourteen through seventeen of\nsection seventy-three of the public officers law, section one hundred\nseven of the civil service law, or a reporting individual who knowingly\nand wilfully fails to file an annual statement of financial disclosure\nor who knowingly and wilfully with intent to deceive makes a false\nstatement or fraudulent omission or gives information which such\nindividual knows to be false on such statement of financial disclosure\nfiled pursuant to section seventy-three-a of the public officers law\nshall be subject to a civil penalty in an amount not to exceed forty\nthousand dollars and the value of any gift, compensation or benefit\nreceived as a result of such violation. An individual who knowingly and\nintentionally violates the provisions of paragraph a, b, c, d, e, g, or\ni of subdivision three of section seventy-four of the public officers\nlaw shall be subject to a civil penalty in an amount not to exceed ten\nthousand dollars and the value of any gift, compensation or benefit\nreceived as a result of such violation. An individual subject to the\njurisdiction of the commission who knowingly and willfully violates\narticle one-A of the legislative law shall be subject to civil penalty\nas provided for in that article. Except with respect to members of the\nlegislature and legislative employees, assessment of a civil penalty\nhereunder shall be made by the commission with respect to persons\nsubject to its jurisdiction. With respect to a violation of any law\nother than sections seventy-three, seventy-three-a, and seventy-four of\nthe public officers law, where the commission finds sufficient cause by\na vote held in the same manner as set forth in paragraph (b) of\nsubdivision thirteen of this section, it shall refer such matter to the\nappropriate prosecutor for further investigation. In assessing the\namount of the civil penalties to be imposed, the commission shall\nconsider the seriousness of the violation, the amount of gain to the\nindividual and whether the individual previously had any civil or\ncriminal penalties imposed pursuant to this section, and any other\nfactors the commission deems appropriate. Except with respect to members\nof the legislature and legislative employees, for a violation of this\nsubdivision, other than for conduct which constitutes a violation of\nsection one hundred seven of the civil service law, subdivisions twelve\nor fourteen through seventeen of section seventy-three or section\nseventy-four of the public officers law or article one-A of the\nlegislative law, the commission may, in lieu of or in addition to a\ncivil penalty, refer a violation to the appropriate prosecutor and upon\nsuch conviction, such violation shall be punishable as a class A\nmisdemeanor. A civil penalty for false filing may not be imposed\nhereunder in the event a category of "value" or "amount" reported\nhereunder is incorrect unless such reported information is falsely\nunderstated. Notwithstanding any other provision of law to the contrary,\nno other penalty, civil or criminal may be imposed for a failure to\nfile, or for a false filing, of such statement, or a violation of\nsubdivision six of section seventy-three of the public officers law,\nexcept that the appointing authority may impose disciplinary action as\notherwise provided by law. The commission may refer violations of this\nsubdivision to the appointing authority for disciplinary action as\notherwise provided by law. The commission shall be deemed to be an\nagency within the meaning of article three of the state administrative\nprocedure act and shall adopt rules governing the conduct of\nadjudicatory proceedings and appeals taken pursuant to a proceeding\ncommenced under article seventy-eight of the civil practice law and\nrules relating to the assessment of the civil penalties herein\nauthorized and commission denials of requests for certain deletions or\nexemptions to be made from a financial disclosure statement as\nauthorized in paragraph (h) or paragraph (i) of subdivision nine of this\nsection. Such rules, which shall not be subject to the approval\nrequirements of the state administrative procedure act, shall provide\nfor due process procedural mechanisms substantially similar to those set\nforth in article three of the state administrative procedure act but\nsuch mechanisms need not be identical in terms or scope. Assessment of a\ncivil penalty or commission denial of such a request shall be final\nunless modified, suspended or vacated within thirty days of imposition,\nwith respect to the assessment of such penalty, or unless such denial of\nrequest is reversed within such time period, and upon becoming final\nshall be subject to review at the instance of the affected reporting\nindividuals in a proceeding commenced against the commission, pursuant\nto article seventy-eight of the civil practice law and rules.\n 14-a. The joint commission on public ethics shall have jurisdiction to\ninvestigate, but shall have no jurisdiction to impose penalties upon\nmembers of or candidates for member of the legislature or legislative\nemployees for any violation of the public officers law. If, after its\nsubstantial basis investigation, by a vote of at least eight members,\ntwo of whom are enrolled members of the investigated individual's\npolitical party if the individual is enrolled in a major political party\nand were appointed by a legislative leader of such political party, the\njoint commission on public ethics has found a substantial basis to\nconclude that a member of the legislature or a legislative employee or\ncandidate for member of the legislature has violated any provisions of\nsuch laws, it shall present a written report to the legislative ethics\ncommission, and deliver a copy of the report to the individual who is\nthe subject of the report. Such written report shall include:\n (a) the commission's findings of fact and any evidence addressed in\nsuch findings; conclusions of law and citations to any relevant law,\nrule, opinion, regulation or standard of conduct upon which it relied;\nand\n (b) a determination that a substantial basis exists to conclude that a\nviolation has occurred, and the reasons and basis for such\ndetermination.\n The joint commission shall also separately provide to the legislative\nethics commission copies of additional documents or other evidence\nconsidered including evidence that may contradict the joint commission's\nfindings, the names of and other information regarding any additional\nwitnesses, and any other materials. With respect to a violation of any\nlaw other than sections seventy-three, seventy-three-a, and seventy-four\nof the public officers law, where the joint commission finds sufficient\ncause by a vote held in the same manner as set forth in paragraph (b) of\nsubdivision thirteen of this section, it shall refer such matter to the\nappropriate prosecutor.\n 14-b. With respect to the investigation of any individual who is not a\nmember of the legislature or a legislative employee or candidate for\nmember of the legislature, if after its investigation the joint\ncommission has found a substantial basis to conclude that the individual\nhas violated the public officers law or the legislative law, the joint\ncommission shall send a substantial basis investigation report\ncontaining its findings of fact and conclusions of law to the\nindividual. With respect to an individual who is a statewide elected\nofficial or a direct appointee of such an official, no violation may be\nfound unless the majority voting in support of such a finding includes\nat least two members appointed by the governor and lieutenant governor\nand enrolled in the individual's major political party, if he or she is\nenrolled in a major political party. Where the subject of such\ninvestigation is a state officer or employee who is not a direct\nappointee of a statewide elected official, at least two of the eight or\nmore members who vote to issue a substantial basis investigation report\nmust have been appointed by the governor and lieutenant governor. The\ncommission shall release such report publicly within forty-five days of\nits issuance.\n 14-c. With respect to an investigation of a lobbyist, if after its\ninvestigation the joint commission has found a substantial basis to\nconclude that the lobbyist has violated the legislative law, the joint\ncommission shall issue a substantial basis investigation report\ncontaining its findings of fact and conclusions of law to the lobbyist\nand shall make public such report within forty-five days of its\nissuance.\n 15. A copy of any notice of delinquency or substantial basis\ninvestigation report shall be included in the reporting person's file\nand be available for public inspection and copying pursuant to the\nprovisions of this section.\n 16. Upon written request from any person who is subject to the\njurisdiction of the commission and the requirements of sections\nseventy-three, seventy-three-a or seventy-four of the public officers\nlaw, other than members of the legislature, candidates for member of the\nlegislature and employees of the legislature, the commission shall\nrender written advisory opinions on the requirements of said provisions.\nAn opinion rendered by the commission, until and unless amended or\nrevoked, shall be binding on the commission in any subsequent proceeding\nconcerning the person who requested the opinion and who acted in good\nfaith, unless material facts were omitted or misstated by the person in\nthe request for an opinion. Such opinion may also be relied upon by such\nperson, and may be introduced and shall be a defense, in any criminal or\ncivil action. Such requests shall be confidential but the commission may\npublish such opinions provided that the name of the requesting person\nand other identifying details shall not be included in the publication.\n 17. In addition to any other powers and duties specified by law, the\ncommission shall have the power and duty to:\n (a) Promulgate rules concerning restrictions on outside activities and\nlimitations on the receipt of gifts and honoraria by persons subject to\nits jurisdiction, provided, however, a violation of such rules in and of\nitself shall not be punishable pursuant to subdivision fourteen of this\nsection unless the conduct constituting the violation would otherwise\nconstitute a violation of this section; and\n (b) Administer and enforce all the provisions of this section; and\n (c) Conduct any investigation necessary to carry out the provisions of\nthis section. Pursuant to this power and duty, the commission may\nadminister oaths or affirmations, subpoena witnesses, compel their\nattendance and require the production of any books or records which it\nmay deem relevant or material;\n 18. Within one hundred twenty days of the effective date of this\nsubdivision, the commission shall create and thereafter maintain a\npublicly accessible website which shall set forth the procedure for\nfiling a complaint with the commission, and which shall contain the\ndocuments identified in subdivision nineteen of this section, other than\nfinancial disclosure statements filed by state officers or employees or\nlegislative employees, and any other records or information which the\ncommission determines to be appropriate.\n 19. (a) Notwithstanding the provisions of article six of the public\nofficers law, the only records of the commission which shall be\navailable for public inspection and copying are:\n (1) the information set forth in an annual statement of financial\ndisclosure filed pursuant to section seventy-three-a of the public\nofficers law except information deleted pursuant to paragraph (h) of\nsubdivision nine of this section;\n (2) notices of delinquency sent under subdivision twelve of this\nsection;\n (3) notices of civil assessments imposed under this section which\nshall include a description of the nature of the alleged wrongdoing, the\nprocedural history of the complaint, the findings and determinations\nmade by the commission, and any sanction imposed;\n (4) the terms of any settlement or compromise of a complaint or\nreferral which includes a fine, penalty or other remedy;\n (5) those required to be held or maintained publicly available\npursuant to article one-A of the legislative law; and\n (6) substantial basis investigation reports issued by the commission\npursuant to subdivision fourteen-a or fourteen-b of this section. With\nrespect to reports concerning members of the legislature or legislative\nemployees or candidates for member of the legislature, the joint\ncommission shall not publicly disclose or otherwise disseminate such\nreports except in conformance with the requirements of paragraph (b) of\nsubdivision nine of section eighty of the legislative law.\n (b) Notwithstanding the provisions of article seven of the public\nofficers law, no meeting or proceeding, including any such proceeding\ncontemplated under paragraph (h) or (i) of subdivision nine of this\nsection, of the commission shall be open to the public, except if\nexpressly provided otherwise by the commission or as is required by\narticle one-A of the legislative law.\n (c) Pending any application for deletion or exemption to the\ncommission, all information which is the subject or a part of the\napplication shall remain confidential. Upon an adverse determination by\nthe commission, the reporting individual may request, and upon such\nrequest the commission shall provide, that any information which is the\nsubject or part of the application remain confidential for a period of\nthirty days following notice of such determination. In the event that\nthe reporting individual resigns his office and holds no other office\nsubject to the jurisdiction of the commission, the information shall not\nbe made public and shall be expunged in its entirety.\n 20. If any part or provision of this section or the application\nthereof to any person or organization is adjudged by a court of\ncompetent jurisdiction to be unconstitutional or otherwise invalid, such\njudgment shall not affect or impair any other part or provision or the\napplication thereof to any other person or organization, but shall be\nconfined in its operation to such part or provision.\n