Enacts the commission on governmental ethics act of 2011.
TITLE OF BILL: An act to amend the executive law, the civil service law, the legislative law, the election law and the racing, pari-mutuel wagering and breeding law, in relation to enacting the commission on governmental ethics act of 2011; and to repeal certain provisions of the executive law and the legislative law relating thereto
PURPOSE OR GENERAL IDEA OF BILL: Enact ethics reform by creating a commission on governmental ethics to cover both the legislative and executive branches of government.
SUMMARY OF PROVISIONS: This bill merges the Legislative Ethics Commission (LEC) and the Commission on Public Integrity (CPI), combining the duties of both bodies within a new Commission on Governmental Ethics.
Section 1 establishes the commission on governmental ethics act of 2009.
Section 2 creates the Commission on Governmental Ethics, which covers both the executive and legislative branches. The Commission consists of nine members, three of whom are chosen by the governor and one each chosen upon the recommendation of the comptroller, attorney general, senate majority leader, senate minority leader, assembly speaker and assembly minority leader. Members of the Commission are not allowed to be state or federal lobbyists or employed by political consulting firms, or the recipient of a state contract. The Chair and Vice-Chair of the Commission are to be selected by a majority vote of the Commissioners, either the Chair or the Vice-Chair must be selected from among the appointees of the legislative branches, and the Chair and vice-Chair must be members of different major political parties.
Section 3 states that the Chair and Vice-Chair jointly select the executive director of the Commission, and that the executive director shall be appointed without regard to political affiliation and solely on the basis of fitness to perform the assigned duties. The executive director serves a five-year term and cannot serve more than two consecutive terms.
Section 4 sets forth the procedures the Commission must take when it receives notification of a possible violation of certain provisions of the Public Officers Law, Civil Service Law or Legislative Law, and states that the Commission shall publicly disclose the outcome of the proceedings.
Section 5 repeals subdivision 13-a of section 94 of the executive law, which established the Commission on Public Integrity.
Section 6 sets forth the powers and duties of the Commission, which include the power and duty to promulgate rules concerning restrictions on outside activities and limitations on the receipt of
gifts and honoraria by persons subject to its jurisdiction; the power to conduct investigations, hold hearings, administer oaths, affirmations, subpoena witnesses, compel their attendance, examine them under oath and require the production of books, records, documents or other evidence, and the duty to create a website.
Section 7 clarifies that the Commission continues to have jurisdiction over state officials who have left office or state service.
Section 8 makes technical changes.
Section 9 makes technical changes.
Section 10 states that the commission's activities shall be subject to oversight by the state legislature and requires the legislative committees responsible for oversight of the commission to hold hearings on the annual report and recommendations of the Commission within thirty days of its release.
Section 11 repeals Article 5 of the legislative law, which established the Legislative Ethics Commission and its activities.
Section 12 transfers responsibility for enforcement of Article 14 of the Election Law from the State Board of Elections to the Commission on Governmental Ethics.
Section 13 provides that no Commissioner may be appointed as members to the board of the New York Racing Association, Inc.
Sections 14-16 transfers all powers, duties, functions, employees and records previously conferred upon the Commission on Public Integrity and the Legislative Ethics Commission to the Commission on Governmental Ethics.
Sections 17-22 make technical changes relating to the transfer of functions from the Commission on public Integrity and the Legislative Ethics Commission to the Commission on Governmental Ethics.
Section 23 relates to the compilation by state agencies of information regarding persons who have business dealings with the state. Section 24 requires the Commission to submit a report to the Governor and the Legislature on the status of the information required to be gathered as described in section 24.
Section 25 contains a separability clause.
Section 26 provides that the act shall take effect 180 days after it shall have become law.
JUSTIFICATION: The ethics changes that were enacted in 2007 included several important reforms. However, the creation of the Commission on Public Integrity (which oversees the executive branch) and the Legislative Ethics Commission (overseeing the legislative branch) did not go far enough to ensure that an independent body oversee ethics with respect
to the executive and legislative branches of government. The Commission on Governmental Ethics would essentially merge these two entities -- and contain appointees by both the executive and legislative branches -- in an effort to increase effectiveness, independence and transparency.
The Commission on Governmental Ethics, if established, would follow the national trend of state ethics commissions that oversee both the executive and legislative branches, in addition to overseeing lobbyists and candidates for public office, in certain circumstances. By its structure, it would be virtually impossible for the newly established commission to be dominated by anyone individual, elected official, or branch of government.
PRIOR LEGISLATIVE HISTORY: 2010: S.5738
FISCAL IMPLICATIONS: The merger of these two entities should have no fiscal impact.
EFFECTIVE DATE: This act shall take effect on the 180th day after it shall have become a law, provided further:
a. the amendments to subdivision 3 of section 212 of the racing, pari-mutuel wagering and breeding law made by section thirteen of this act shall take effect on the same date and in the same manner as section 16 of chapter 18 of the laws of 2008 takes effect; and b. the amendments to subdivision 3 of section 212 of the racing, pari-mutuel wagering and breeding law made by section thirteen of this act shall not affect the repeal of such subdivision and shall be deemed repealed therewith.
STATE OF NEW YORK ________________________________________________________________________ 31 2011-2012 Regular Sessions IN SENATE (PREFILED) January 5, 2011 ___________Introduced by Sens. SQUADRON, ADAMS, BRESLIN, DUANE, KLEIN, KRUEGER, PARKER, PERKINS, SAMPSON, SERRANO, STAVISKY, STEWART-COUSINS, VALESKY -- read twice and ordered printed, and when printed to be committed to the Committee on Finance AN ACT to amend the executive law, the civil service law, the legisla- tive law, the election law and the racing, pari-mutuel wagering and breeding law, in relation to enacting the commission on governmental ethics act of 2011; and to repeal certain provisions of the executive law and the legislative law relating thereto THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM- BLY, DO ENACT AS FOLLOWS: Section 1. This act shall be known and may be cited as the "commission on governmental ethics act of 2011". S 2. The section heading and subdivisions 1, 2, 3, 4 and 6 of section 94 of the executive law, as amended by chapter 14 of the laws of 2007, are amended to read as follows:
[Commission on public integrity;]COMMISSION ON GOVERNMENTAL ETHICS; functions, powers and duties; review of financial disclosure statements; advisory opinions; investigation and enforcement. 1. There is estab- lished within the department of state a [commission on public integrity]COMMISSION ON GOVERNMENTAL ETHICS which shall consist of [thirteen]NINE members and shall have and exercise the powers and duties set forth in this section only with respect to [statewide]STATE elected officials and state officers and employees, as defined in sections seventy-three and seventy-three-a of the public officers law, candidates for [state- wide]STATE 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 suchEXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets [ ] is old law to be omitted. LBD00043-02-1 S. 31 2
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 commis- sion and the temporary lobbying commission in effect upon the effective date of a chapter of the laws of two thousand
[seven]ELEVEN 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 regu- lations and opinions shall apply only to matters over which such commis- sions 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 advi- sory 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]THREE members appointed by the governor without prior nomination, no more than [four]TWO members shall belong to the same political party [and no]. NO members shall be public offi- cers 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]OR A REGISTERED LOBBYIST IN ANY OTHER STATE, OR BEFORE THE UNITED STATES CONGRESS OR EXECUTIVE BRANCH. NO MEMBER WHO IS A PARTNER, OF COUNSEL OR OTHERWISE EMPLOYED BY A POLITICAL CONSULTING FIRM OR AN ENTITY REGISTERED PURSUANT TO SUBDIVISION (A) OF SECTION ONE-C OF THE LEGISLATIVE LAW OR ANY ENTITY RECEIVING A STATE CONTRACT, MAY SHARE IN ANY PART OF THE PROFITS DERIVED FROM LOBBYING OR POLITICAL CONSULTING AND SHALL NOT PARTICIPATE IN THE PLANNING, STRATEGY OR DECISION MAKING OF MATTERS RELATED TO LOBBYING OR POLITICAL CONSULTING. TO THE EXTENT POSSIBLE, THE MEMBERS OF THE BOARD SHALL BE INDIVIDUALS WITH EXTENSIVE KNOWLEDGE OR EXPERIENCE IN THE FIELD OF GOVERNMENT ETHICS. 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 nomi- nations 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 CHAIR AND THE VICE-CHAIR OF THE COMMISSION SHALL BE ELECTED BY A MAJORITY OF THE MEMBERS OF THE COMMISSION TO SERVE A ONES. 31 3
YEAR TERM. EITHER THE CHAIR OR THE VICE-CHAIR OF THE COMMISSION SHALL BE SELECTED FROM AMONG THE APPOINTEES OF THE LEGISLATIVE BRANCHES. THE CHAIR AND THE VICE-CHAIR SHALL EACH BE A MEMBER OF A DIFFERENT MAJOR POLITICAL PARTY AS SUCH TERM IS DEFINED IN THE ELECTION LAW. The
[chair- man]CHAIR or any [seven]FIVE members of the commission may call a meeting. 6. [Seven]FIVE 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. S 3. Paragraph (a) of subdivision 9 of section 94 of the executive law, as amended by chapter 14 of the laws of 2007, is amended to read as follows: (a) [Appoint]THROUGH A JOINT AGREEMENT BETWEEN THE CHAIR AND THE VICE-CHAIR, APPOINT an executive director who shall act in accordance with the policies of the commission. THE EXECUTIVE DIRECTOR SHALL BE APPOINTED WITHOUT REGARD TO POLITICAL AFFILIATION AND SOLELY ON THE BASIS OF FITNESS TO PERFORM THE DUTIES ASSIGNED BY THIS ARTICLE. THE TERM OF OFFICE OF THE EXECUTIVE DIRECTOR SHALL BE FIVE YEARS, EXCEPT THAT THROUGH JOINT AGREEMENT, THE CHAIR AND THE VICE-CHAIR MAY REMOVE THE EXECUTIVE DIRECTOR ONLY FOR SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT IN OFFICE, OR INABILITY TO DISCHARGE THE POWERS OR DUTIES OF OFFICE, SHOWN AFTER GIVING SUCH PERSON A COPY OF THE CHARGES AGAINST HIM OR HER AND AN OPPORTUNITY TO BE HEARD IN HIS OR HER DEFENSE. ANY INDI- VIDUAL APPOINTED TO FILL A VACANCY PRIOR TO THE EXPIRATION OF A TERM SHALL SERVE ONLY FOR THE UNEXPIRED PORTION OF SUCH TERM. AN INDIVIDUAL SERVING AS EXECUTIVE DIRECTOR AT THE EXPIRATION OF THE TERM MAY CONTINUE TO SERVE UNTIL A SUCCESSOR IS APPOINTED, EXCEPT THAT SUCH INDIVIDUAL SHALL NOT SERVE IN THAT CAPACITY IN EXCESS OF ONE YEAR. THE COMMISSION SHALL HAVE THE AUTHORITY TO REAPPOINT THE EXECUTIVE DIRECTOR FOR A SECOND TERM. NO EXECUTIVE DIRECTOR SHALL SERVE MORE THAN TWO TERMS CONSECUTIVELY. 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; S 4. Paragraphs (a) and (b) of subdivision 12 of section 94 of the executive law, as amended by chapter 14 of the laws of 2007, are amended to read as follows: (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 indi- vidual 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 ther- eafter 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 adjudi- catory 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 adviseS. 31 4
the individual and the complainant, if any. All of the foregoing proceedings shall be confidential EXCEPT THAT THE COMMISSION SHALL MAIN- TAIN TRANSCRIPTS OF THE TESTIMONY GIVEN AND SHALL PUBLICLY DISCLOSE THE OUTCOME OF ANY SUCH PROCEEDING. (b) If the commission determines that there is reasonable cause to believe that a violation has occurred, it shall send a notice of reason- able cause: (i) to the reporting person; (ii) to the complainant if any; (iii) in the case of a statewide elected official, to the GOVERNOR, 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. S 5. Subdivision 13-a of section 94 of the executive law is REPEALED. S 6. Subdivisions 16, 16-a and 17 of section 94 of the executive law, subdivisions 16 and 17 as amended and subdivision 16-a as added by chap- ter 14 of the laws of 2007, are amended to read as follows: 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]; AND (E) WITH RESPECT TO THE PERFORMANCE OF ITS FUNCTIONS, DUTIES AND POWERS AND SUBJECT TO THE LIMITATION CONTAINED IN PARAGRAPH (D) OF THIS SUBDIVISION, THE COMMISSION SHALL BE AUTHORIZED AS FOLLOWS: (1) TO CONDUCT ANY INVESTIGATION AUTHORIZED BY THIS SECTION AT ANY PLACE WITHIN THE STATE; AND TO MAINTAIN OFFICES, HOLD MEETINGS AND FUNC- TIONS AT ANY PLACE WITHIN THE STATE AS IT MAY DEEM NECESSARY; (2) TO CONDUCT PRIVATE AND PUBLIC HEARINGS AND TO DESIGNATE ONE OR MORE MEMBERS OF THE COMMISSION OR OF ITS STAFF TO PRESIDE OVER ANY SUCH HEARINGS; (3) TO ADMINISTER OATHS OR AFFIRMATIONS, SUBPOENA WITNESSES, COMPEL THEIR ATTENDANCE, EXAMINE THEM UNDER OATH OR AFFIRMATION AND REQUIRE THE PRODUCTION OF ANY BOOKS, RECORDS, DOCUMENTS OR OTHER EVIDENCE IT MAY DEEM RELEVANT OR MATERIAL TO AN INVESTIGATION; AND THE COMMISSION MAY DESIGNATE ANY OF ITS MEMBERS OR ANY MEMBER OF ITS STAFF TO EXERCISE ANY SUCH POWERS; AND (4) UNLESS OTHERWISE INSTRUCTED BY A RESOLUTION ADOPTED BY A MAJORITY OF THE MEMBERS OF THE COMMISSION, EVERY WITNESS ATTENDING BEFORE THE COMMISSION SHALL BE EXAMINED PRIVATELY AND THE COMMISSION SHALL NOT MAKE PUBLIC THE PARTICULARS OF SUCH EXAMINATION. THE COMMISSION SHALL NOT HAVE THE POWER TO TAKE TESTIMONY AT A PRIVATE HEARING OR AT A PUBLIC HEARING UNLESS AT LEAST TWO OF ITS MEMBERS, ONE OF WHOM SHALL BE AN APPOINTEE OF THE GOVERNOR AND THE OTHER AN APPOINTEE OF EITHER THE TEMPORARY PRESIDENT OF THE SENATE OR OF THE SPEAKER OF THE ASSEMBLY, ARE PRESENT AT SUCH HEARING.S. 31 5
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 informa- tion 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 avail- able 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 offi- cers 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 subdivi- sion 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 refer- ral which includes a fine, penalty or other remedy; [and](6) THE HEARING SHALL BE TRANSCRIBED OR RECORDED AND A COPY OF THE TRANSCRIPT OR RECORD, OR ANY PART THEREOF, SHALL BE MADE AVAILABLE TO ANY PARTY TO THE HEARING UPON REQUEST THEREFOR; AND (7) those required to be held or maintained publicly available pursu- ant 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 commis- sion, all information which is the subject or a part of the application shall remain confidential. Upon [an adverse]A 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.]S 7. Paragraph (c) of subdivision 12 of section 94 of the executive law, as amended by section 4 of chapter 14 of the laws of 2007, is amended to read as follows: (c) The jurisdiction of the commission when acting pursuant to this section shall continue notwithstanding that a [statewide]STATE 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 ceas- es 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 thisS. 31 6
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 juris- diction of the commission in enforcement of subdivision eight of section seventy-three of the public officers law. S 8. Subdivision 5 of section 107 of the civil service law, as amended by chapter 14 of the laws of 2007, is amended to read as follows: 5. Violation of this section. Complaints alleging a violation of this section by a
[statewide]STATE elected official or a state officer or employee, as defined in section seventy-three of the public officers law, may be directed to the commission on [public integrity]GOVERN- MENTAL ETHICS. S 9. Subdivision (f) of section 1-c of the legislative law, as amended by chapter 14 of the laws of 2007, is amended to read as follows: (f) The term "commission" shall mean the commission on [public integ- rity]GOVERNMENTAL ETHICS created by section ninety-four of the execu- tive law. S 10. Section 60 of the legislative law, as amended by chapter 416 of the laws of 1954, is amended to read as follows: S 60. Testimony before legislative committees. 1. THE COMMISSION ON GOVERNMENTAL ETHICS ACTIVITIES SHALL BE SUBJECT TO OVERSIGHT BY THE LEGISLATURE. A legislative committee may require the attendance of witnesses in this state whom the committee may wish to examine, or may issue a commission for the examination of witnesses who are out of the state or unable to attend the committee or excused from attendance, which commission if directed by the house or legislature by which the committee is appointed may be executed during the recess of the legisla- ture. A commission issued as provided by this section shall be in the form used in the courts of record of this state and shall be executed in like manner. Unless otherwise instructed by the committee appointing them the commissioners shall examine privately every witness attending before them and shall not make public the particulars of such examina- tion. No committee of either house or a joint committee of both houses shall have the power to take testimony at a private hearing or at a public hearing unless at least two of its members are present at such hearing. 2. THE LEGISLATIVE COMMITTEES RESPONSIBLE FOR OVERSIGHT OF THE COMMIS- SION ON GOVERNMENTAL ETHICS CREATED PURSUANT TO SECTION NINETY-FOUR OF THE EXECUTIVE LAW SHALL HOLD HEARINGS REGARDING THE ANNUAL REPORT AND RECOMMENDATIONS OF THE COMMISSION WITHIN THIRTY DAYS OF THE PUBLIC RELEASE OF THE COMMISSION'S ANNUAL REPORT. S 11. Article 5 of the legislative law is REPEALED. S 12. Section 3-104 of the election law, subdivisions 1, 3, 4 and 5 as redesignated and subdivision 2 as amended by chapter 9 of the laws of 1978, is amended to read as follows: S 3-104. [State board of elections]COMMISSION ON GOVERNMENTAL ETHICS; enforcement powers. 1. The [state board of elections]COMMISSION ON GOVERNMENTAL ETHICS shall have jurisdiction of, and be responsible for, the execution and enforcement of the provisions of article fourteen of this chapter and other statutes governing campaigns, elections and related procedures. 2. Whenever the [state board of elections or other board of elections]COMMISSION ON GOVERNMENTAL ETHICS shall determine, on its own initiative or upon complaint FROM THE STATE BOARD OF ELECTIONS, OTHER BOARDS OF ELECTION OR THE PUBLIC, or otherwise, that there is substantial reasonS. 31 7
to believe a violation of this chapter or any code or regulation promul- gated thereunder has occurred, it shall expeditiously make an investi- gation which shall also include investigation of reports and statements made or failed to be made by the complainant and any political committee supporting his candidacy if the complainant is a candidate or, if the complaint was made by an officer or member of a political committee, of reports and statements made or failed to be made by such political committee and any candidates supported by it. The
[state board of elections]COMMISSION ON GOVERNMENTAL ETHICS, in lieu of making such an investigation, may direct the appropriate board of elections to make an investigation. The [state board of elections]COMMISSION ON GOVERNMENTAL ETHICS may request, and shall receive, the assistance of the state police in any investigation it shall conduct. 3. If, after an investigation, the [state or other board of elections]COMMISSION ON GOVERNMENTAL ETHICS finds reasonable cause to believe that a violation warranting criminal prosecution has taken place, it shall forthwith refer the matter to the district attorney of the appropriate county and shall make available to such district attorney all relevant papers, documents, testimony and findings relevant to its investigation. 4. The [state or other board of elections]COMMISSION ON GOVERNMENTAL ETHICS may, where appropriate, commence a judicial proceeding with respect to the filing or failure to file any statement of receipts, expenditures, or contributions, under the provisions of this chapter, and the state board of elections may direct the appropriate other board of elections to commence such proceeding. 5. The [state board of elections]COMMISSION ON GOVERNMENTAL ETHICS may promulgate rules and regulations consistent with law to effectuate the provisions of this section. S 13. Subdivision 3 of section 212 of the racing, pari-mutuel wagering and breeding law, as amended by chapter 18 of the laws of 2008, is amended to read as follows: 3. Such members, except as otherwise provided by law, may engage in private or public employment, or in a profession or business. The board, its members, officers and employees shall be subject to the provisions of sections seventy-three and seventy-four of the public officers law. No former trustee or officer of a non-profit racing association known as The New York Racing Association, Inc. or its predecessor, no current director or officer of a franchised corporation or any individual regis- tered with the New York commission on [public integrity]GOVERNMENTAL ETHICS shall be appointed as members to the board nor shall any member of the board have any direct or indirect interest in any racehorse, thoroughbred racing or pari-mutuel wagering business, video lottery terminal facility or any development at any racing facility. S 14. All powers, duties and functions conferred upon the commission on public integrity and the legislative ethics commission, its commis- sioners and executive directors, shall be transferred to and assumed by the commission on governmental ethics and the commissioners and execu- tive directors to be appointed thereof. S 15. Transfer of employees. Upon the transfer of the functions, as provided for in this act, any affected employees shall be transferred to the commission on governmental ethics in accordance with section 70 of the civil service law. S 16. Transfer of records. The commission on public integrity and the legislative ethics commission shall deliver to the commission on govern- mental ethics all books, papers, records, and property as requested by the commission on governmental ethics pursuant to this act.S. 31 8
S 17. Continuity of authority. For the purpose of succession to all functions, powers, duties and obligations transferred and assigned to, devolved upon and assumed by it pursuant to this act, the commission on governmental ethics shall be deemed and held to constitute the continua- tion of the commission on public integrity and the legislative ethics commission pertaining to the powers and functions herein transferred. S 18. Completion of unfinished business. Any business or other matter undertaken or commenced by the commission on public integrity and the legislative ethics commission pertaining to or connected with the func- tions, powers, obligations and duties hereby transferred and assigned to the commission on governmental ethics, and pending on the effective date of this act may be conducted and completed by the commission on govern- mental ethics in the same manner and under the same terms and conditions and with the same effect as if conducted and completed by the former commission on public integrity and the legislative ethics commission. S 19. Terms occurring in laws, contracts and other documents. Whenever the commission on public integrity or the legislative ethics commission are referred to or designated in any law, contract or documents pertain- ing to the functions, powers, obligations and duties hereby transferred and assigned to the commission on governmental ethics, such reference or designation shall be deemed to refer to the commission on governmental ethics as created by this act. S 20. Existing rights and remedies preserved. No existing right or remedy of any character shall be lost, impaired or affected by reason of this act. S 21. Pending actions and proceedings. No action or proceeding pending at the time when this act shall take effect, brought by or against the commission on public integrity or the legislative ethics commission relating to the function, power or duty transferred to or devolved upon the commission on governmental ethics shall be affected by this act, but the same may be prosecuted or defended in the name of the commission on governmental ethics and upon application to the court, the commission on governmental ethics shall be substituted as a party. S 22. Notwithstanding any contrary provision of the state finance law, transfer of appropriations heretofore made to the commission on public integrity and the legislative ethics commission, all appropriations or reappropriations for the functions herein transferred heretofore made to the commission on public integrity and the legislative ethics commission segregated pursuant to law, to the extent of remaining unexpended or unencumbered balances thereof, whether allocated or unallocated and whether obligated or unobligated, are hereby transferred to the commis- sion on governmental ethics to the extent necessary to carry out the commission on governmental ethics' functions, powers and duties subject to the approval of the director of the budget for the same purposes for which originally appropriated or reappropriated and shall be payable on vouchers certified or approved by the office of public integrity on audit and warrant of the comptroller. S 23. Each state agency with which any person who has business deal- ings with the state conducts such business shall, provide appropriate assistance in developing the database of state contractors and shall take such steps as necessary to collect such information as required pursuant to this law. Each state agency with which any person who has business dealings with the state conducts such business shall, at the commission's request, provide appropriate assistance to the commission in publicizing this law and the rules of the commission in connection with contributions of persons who have business dealings with the state.S. 31 9
S 24. The commission on governmental ethics shall submit a report to the governor and the legislature on the status of the lobbyist and state contractor database within 24 months of the effective date of this act. Such report shall contain the status of both of the database components and whether each such component has been certified, for those components that have not been certified, if any, what the status is of the develop- ment of such component of the database and the expected timeline for such component's certification. S 25. Separability clause. If any clause, sentence, paragraph, section or part of this act shall be adjudged by any court of competent juris- diction to be invalid, such judgment shall not affect, impair or invali- date the remainder thereof, but shall be confined in its operation to the clause, sentence, paragraph, section or part thereof directly involved in the controversy in which such judgment shall have been rendered. S 26. This act shall take effect on the 180th day after it shall have become a law, provided, further: a. the amendments to subdivision 3 of section 212 of the racing, pari- mutuel wagering and breeding law made by section thirteen of this act shall take effect on the same date and in the same manner as section 16 of chapter 18 of the laws of 2008 takes effect; and b. the amendments to subdivision 3 of section 212 of the racing, pari- mutuel wagering and breeding law made by section thirteen of this act shall not affect the repeal of such subdivision and shall be deemed repealed therewith.