Preview
FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24
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EXHIBIT A
FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24
NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024
§ 94. Commission on Ethics and Lobbying in
Government.
1. (a) Commission established. There is hereby established within the department of state, a commission on
ethics and lobbying in government, an agency responsible for administering, enforcing, and interpreting
New York state's ethics and lobbying laws. The commission shall have and exercise the powers and duties
set forth in this section with respect to statewide elected officials, members of the legislature and
employees of the legislature, and state officers and employees as defined in sections seventy-three,
seventy-three-a, and seventy-four of the public officers law, candidates for statewide elected office and
for the senate or assembly, and the political party chair as is defined in section seventy-three of the public
officers law, lobbyists and the clients of lobbyists as defined in section one-c of the legislative law, and
individuals who have formerly held such positions, were lobbyists or clients of lobbyists as defined in
section one-c of the legislative law, or who have formerly been such candidates.
(b) The commission shall provide for the transfer, assumption or other disposition of the records, property,
and personnel affected by this section, and it is further provided, should any employees be transferred
from the joint commission on public ethics ("JCOPE"), the predecessor ethics agency, to the commission,
that such transfer will be without further examination or qualification and such employees shall retain
their respective civil service classifications, status and collective bargaining agreements.
(c) The commission shall review any pending inquiries or matters affected by this section and shall establish
policies to address them.
(d) The commission shall undertake a comprehensive review of all regulations in effect upon the effective
date of this section; and review of all advisory opinions of predecessor ethics agencies, including JCOPE,
the legislative ethics commission, the commission on public integrity, the state ethics commission, and
the temporary lobbying commission, which will address the consistency of such regulations and advisory
opinions among each other and with the new statutory language, and of the effectiveness of the existing
laws, regulations, guidance and ethics enforcement structure.
(e) This section shall not be deemed to have revoked or rescinded any regulations or advisory opinions in
effect on the effective date of this section that were issued by predecessor ethics and lobbying bodies. The
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commission shall cooperate, consult, and coordinate with the legislative ethics commission, to the extent
possible, to administer and enforce the laws under its jurisdiction.
(f) The annual budget submitted by the governor shall separately state the recommended appropriations
for the commission on ethics and lobbying in government. Upon enactment, these separately stated
appropriations for the commission on ethics and lobbying in government shall not be decreased by
interchange with any other appropriation, notwithstanding section fifty-one of the state finance law.
2. Definitions. For the purposes of this section, the following terms shall have the following meanings:
(a) "commission" means the commission on ethics and lobbying in government established pursuant
to subdivision one of this section.
(b) "selection members" means the governor, speaker of the assembly, temporary president of the
senate, minority leader of the senate, minority leader of the assembly, comptroller, and the
attorney general.
(c) "independent review committee" means the committee of the American Bar Association
accredited New York state law school deans or interim deans, or their designee who is an associate
dean of their respective law school, tasked with reviewing, approving, or denying the members of
the commission as nominated by the selection members and other tasks pursuant to this section.
(d) "respondent" means the individual or individuals or organization or organizations subject to an
inquiry, investigation, or enforcement action.
(e) "victim" means any individual that has suffered or alleged to have suffered direct harm from any
violation of law that is subject to investigation under the jurisdiction of the commission.
3. Nomination and appointment of the commission.
(a) The commission shall consist of eleven members, to be nominated by the selection members as
follows: three members by the governor; two members by the temporary president of the senate;
one member by the minority leader of the senate; two members by the speaker of the assembly;
one member by the minority leader of the assembly; one member by the attorney general; and one
member by the comptroller.
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(b) The independent review committee shall within thirty days review the qualifications of the
nominated candidates and approve or deny each candidate nominated by their respective selection
member.
(c) The independent review committee shall publish on its website a procedure by which it will review
the qualifications of the nominated candidate and approve or deny each candidate.
(d) Those candidates that the independent review committee deems to meet the qualifications
necessary for the services required based on their background and expertise that relate to the
candidate's potential service on the commission shall be appointed as a commission member. The
nominating selection member shall nominate a new candidate for those that are denied by the
independent review committee.
(e) No individual shall be eligible for nomination and appointment as a member of the commission
who is currently, or has within the last two years:
(i) been registered as a lobbyist in New York state;
(ii) been a member or employee of the New York state legislature, a statewide elected official, or
a commissioner of an executive agency appointed by the governor;
(iii) been a political party chair, as defined in section seventy-three of the public officers law; or
(iv) been a state officer or employee as defined in section seventy-three of the public officers law.
(f) The independent review committee shall convene as needed or as requested by the selection
members. The chair of the independent review committee shall be elected from the members of
the independent review committee.
(g) Appropriate staffing and other resources shall be provided for in the commission's budget for the
independent review committee to carry out its powers, functions, and duties. The independent
review committee shall publish on the commission's website a procedure by which it will review
and select the commission members and other processes to effectuate its responsibilities under
this section.
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(h) The majority of the independent review committee shall constitute a quorum to hold a meeting
and conduct official business.
(i) During the pendency of the review and approval or denial of the candidates, the independent
review committee shall be subject to and maintain confidentiality in all independent review
committee processes reviews, analyses, approvals, and denials. A member of the independent
review committee may be removed by majority vote of the committee for substantial neglect of
duty, misconduct, violation of the confidentiality restrictions set forth in this section, inability to
discharge the powers or duties of the committee or violation of this section, after written notice
and opportunity for a reply.
(j) Upon the receipt of the selection members' appointments, members of the independent review
committee shall disclose to the independent review committee any personal, professional,
financial, or other direct or indirect relationships a member of the independent review committee
may have with an appointee. If the independent review committee determines a conflict of interest
exists, such independent review committee member shall, in writing, notify the other members of
the independent review committee of the possible conflict. The member may recuse themself from
all subsequent involvement in the consideration of and action upon the appointment. If, after
disclosure, the member does not recuse themself from the matter, the independent review
committee, by majority vote finding the disclosed information creates a substantial conflict of
interest, may remove the conflicted member from further consideration of and action upon the
appointment.
(k) Notwithstanding the provisions of article seven of the public officers law, no meeting or
proceeding of the independent review committee shall be open to the public, except the applicable
records pertaining to the review and selection process for a member's seat shall be subject to
disclosure pursuant to article six of the public officers law only after an individual member is
appointed to the commission. Requests for such records shall be made to, and processed by, the
commission's records access officer.
(l) The independent review committee shall neither be public officers nor be subject to the
requirements of the public officers law.
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(m) Notwithstanding subdivision (l) of this section, the independent review committee members shall
be entitled to representation, indemnification, and to be held harmless to the same extent as any
other person employed in service of the state and entitled to such coverage under sections
seventeen and nineteen of the public officers law, provided however, that any independent review
committee member removed due to a violation of paragraph (i) of this subdivision shall not qualify
for such entitlements.
4. Commission. (a) The first class of members of the commission shall serve staggered terms to ensure
continuity. For the first class of the commission, five members shall serve a term of four years, three members
shall serve a term of two years, and one member shall serve a term of one year. All subsequent members shall
serve a term of four years. No member shall be selected to the commission for more than two full consecutive
terms, except that a member who has held the position by filling a vacancy can only be selected to the
commission for an additional two full consecutive terms.
(b) The commission by majority vote shall elect a chairperson from among its members for a term of two
years. A chairperson may be elected to no more than two terms for such office.
(c) Members of the commission may be removed by majority vote of the commission for substantial neglect
of duty, misconduct in office, violation of the confidentiality restrictions set forth in this section, inability
to discharge the powers or duties of office or violation of this section, after written notice and opportunity
for a reply.
(d) Any vacancy occurring on the commission shall be filled within thirty days of its occurrence in the same
manner as a member is initially selected to complete the vacant term.
(e) During the period of a member's service as a member of the commission, the member shall refrain from
making, or soliciting from other persons, any contributions to candidates, political action committees,
political parties or committees, newsletter funds, or political advertisements for election to the offices of
governor, lieutenant governor, member of the assembly or the senate, attorney general or state
comptroller.
(f) Members of the commission shall receive a per diem allowance equal to the salary of a justice of the
supreme court divided by two hundred twenty for each day or each pro-rated day actually spent in the
performance of the member's duties under this section, and, in addition thereto, shall be reimbursed for
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all reasonable expenses actually and necessarily incurred by the member in the performance of the
member's duties under this section. For the purposes of this subdivision, a day shall consist of at least
seven and one-half hours spent in the performance of the member's duties under this section.
(g) The commission shall meet at least quarterly and additionally as called by the chairperson, or upon the
call of a majority of the members of the commission. The commission shall be subject to articles six and
seven of the public officers law.
(h) A majority of the members of the commission shall constitute a quorum, and the commission shall have
the power to act by majority vote of the total number of members of the commission without vacancy.
(i) The commission shall hold a public hearing at least once each calendar year to take testimony regarding
the operation of the commission and solicit public input regarding potential or proposed changes in the
laws under its jurisdiction.
5. Powers. (a) The commission has the authority to: (i) adopt, amend, and rescind any rules and regulations
pertaining to section seventy-three, seventy-three-a or seventy-four of the public officers law, article one-A
of the legislative law, or section one hundred seven of the civil service law; (ii) adopt, amend, and rescind
any procedures of the commission, including but not limited to, procedures for advice and guidance,
training, filing, review, and enforcement of financial disclosure statements, investigations, enforcement, and
due process hearings; and (iii) develop and promulgate any programs for reviews, training, and guidance to
carry out the commission's mission.
(b) The commission shall adopt and post on its website guidance documents detailing the processes and
procedures of an investigation, including the stages of an investigation; timelines, including the reasons
for any potential delays in an investigation; the hearing and adjudication process; outcomes of an
investigation; and, anything else the commission deems necessary to inform the public as well as relevant
parties to an investigation including complainants, respondents, victims, if any, and witnesses as to such
processes and procedures. The guidance documents shall delineate the processes and procedures that
apply to the relevant parties, including, where applicable, the due process and any other rights or
remedies that the relevant party may have under the commission's procedures or any other area of law.
The guidance documents shall be provided to the relevant party of an investigation upon such party's
involvement in such investigation.
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(c) The commission has the authority to compel the testimony of witnesses, and may administer oaths or
affirmations, subpoena witnesses, compel their attendance and require the production of any books or
records which it may deem relevant or material.
6. Executive director and commission staff. The commission shall:
(a) (i) Appoint an executive director through a majority vote of the members of the commission, who shall
act in accordance with the policies of the commission. The executive director shall be appointed without
regard to political affiliation and solely on the basis of fitness to perform the duties assigned by this
section, and meet the qualifications necessary for the services required based on their background and
expertise that relate to the candidate's potential service to the commission. No individual shall be eligible
to be appointed as an executive director if the individual is currently, or within the last two years has
been:
(1) registered as a lobbyist in New York state;
(2) a member or employee of the New York state legislature or a statewide elected official,
or a commissioner of an executive agency appointed by the governor; or
(3) a political party chair, as defined in section seventy-three of the public officers law.
(ii) The appointment and removal of the executive director shall be made by a majority vote of the
commission.
(iii) The term of office of the executive director shall be four years from the date of appointment. The
salary of the executive director shall be determined by the members of the commission based on
experience.
(iv) The commission may remove the executive director for neglect of duty, misconduct in office,
violation of the confidentiality restrictions in this section, or inability or failure to discharge the
powers or duties of office, including the failure to follow the lawful instructions of the commission.
(b) The commission may delegate authority to the executive director to act in the name of the commission
between meetings of the commission provided such delegation is in writing, the specific powers to be
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delegated are numerated, and the commission shall not delegate any decisions specified in this section
that require a vote of the commission.
(c) The commission, through the executive director, shall establish units within the commission to carry
out it duties, including, but not limited to, (i) an advice and guidance unit, (ii) a training unit, (iii) a
financial disclosure unit, (iv)a lobbying unit, and (v) an investigations and enforcement unit.
(d) The commission, through the executive director, shall appoint such other staff as are necessary to carry
out its duties under this section, including, but not limited to, a deputy director of an advice and
guidance unit to provide timely confidential advice to persons subject to the commission's jurisdiction,
a deputy director for training, a deputy director for investigations and enforcement, and a deputy
director for lobbying.
(e) In addition to meeting the qualifications necessary for the services required for the position, the deputy
director for investigations and enforcement shall have completed substantial training and have
experience in trauma-informed approaches to investigations and enforcement. The deputy director for
investigations and enforcement shall complete a minimum of four hours of training annually in trauma-
informed approaches to investigations and enforcement. Such trainings may include, but not be limited
to, the impact of trauma, first impression matters, victim interviews, investigative strategies, and alcohol
and drug facilitated cases.
(f) The commission, through the executive director, shall review and approve a staffing plan provided and
prepared by the executive director which shall contain, at a minimum, a list of the various units and
divisions as well as the number of positions in each unit, titles and their duties, and salaries, as well as
the various qualifications for each position.
7. Advice and guidance.
(a) The commission shall establish a unit or units solely for ethics and lobbying guidance, and give
such prompt, informal advice to persons whose conduct it oversees, except with respect to
members of the legislature and legislative staff, who shall seek advice from the legislative ethics
commission in the first instance.
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(b) Persons receiving such informal advice may rely on that advice absent misrepresentation or
omission of material facts to the commission and such communications with the commission shall
be treated as confidential, except as disclosure is needed to prevent or rectify a crime or fraud, or
prevent a substantial threat to public health or safety or if required by court order.
(c) The commission may also render, on written request or on its own initiative, advisory opinions,
and may allow for public comment before issuance of an advisory opinion. Such an opinion
rendered by the commission shall be relied on by those subject to the commission's jurisdiction
and until, or unless, amended, superseded, or revoked. Such opinion may also be relied upon by
any such person, and may be introduced and shall be a defense, in any criminal or civil action.
8. Training. The commission shall establish a training unit and shall develop and administer an on-going
program for the education and training in ethics and lobbying for those subject to the provisions of this
section, as follows:
(a) The commission shall develop and administer a comprehensive and interactive live-in person or
live-online ethics training course and shall designate and train instructors to conduct such
training. Such live course shall be designed to include practical application of the material covered
and a question-and-answer participatory segment. Unless the commission grants an extension or
waiver for good cause shown, statewide elected officials, members of the legislature and employees
of the legislature, and state officers and employees as defined in sections seventy-three, seventy-
three-a, and seventy-four of the public officers law, and the political party chair as is defined in
section seventy-three of the public officers law, shall complete the live course within ninety days
of appointment or employment and shall complete the live course every two years subsequently.
(b) The commission shall develop and administer an online ethics refresher course for all individuals
listed under subparagraph (i) of this paragraph who have previously completed the live course.
Such refresher course shall be designed to include any changes in law, regulation, or policy or in
the interpretation thereof, and practical application of the material covered. Unless the
commission grants an extension or waiver for good cause shown, such individuals shall take such
refresher course once every year after having completed the live course under paragraph (a) of this
subdivision.
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(c) The commission shall develop and administer an online live question and answer course for
agency ethics officers.
(d) The commission shall develop and administer training courses for lobbyists and clients of
lobbyists.
(e) The provisions of this subdivision shall be applicable to the legislature except to the extent that an
ethics training program is otherwise established by the assembly and/or senate for their respective
members and employees and such program meets or exceeds each of the requirements set forth in
this subdivision.
(f) On an annual basis, the commission, in coordination with the legislative ethics commission, shall
determine the status of compliance with the training requirements under this subdivision by each
state agency and by the senate and the assembly. Such determination shall include aggregate
statistics regarding participation in such training and shall be reported on a quarterly basis to the
governor and the legislature in writing.
9. Financial disclosure statements.
(a) The commission may delegate all or part of review, inquiry and advice in this section to the staff
under the supervision of the executive director.
(b) The commission shall make available forms for annual statements of financial disclosure required
to be filed pursuant to section seventy-three-a of the public officers law.
(c) The commission shall review the financial disclosure statements of the statewide elected officials
and members of the legislature within sixty days of their filings to determine, among other things,
deficiencies and conflicts.
(d) The commission shall review on a random basis the financial disclosure statements for filers who
are not statewide elected officials and members of the legislature.
(e) The commission shall review financial disclosure statements filed in accordance with the
provisions of this section and (i) inquire into any disclosed conflict to recommend how best to
address such conflict; and (ii) ascertain whether any person subject to the reporting requirements
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of section seventy-three-a of the public officers law has failed to file such a statement, has filed a
deficient statement or has filed a statement which reveals a possible violation of section seventy-
three, seventy-three-a or seventy-four of the public officers law.
(f) If a person required to file a financial disclosure statement with the commission has failed to file a
disclosure statement or has filed a deficient statement, the commission shall notify the reporting
person in writing, state the failure to file or detail the deficiency, provide the person with a fifteen-
day period to cure the deficiency, and advise the person of the penalties for failure to comply with
the reporting requirements. This first notice of deficiency shall be confidential. If the person fails
to make such filing or fails to cure the deficiency within the specified time period, the commission
shall send a notice of delinquency (i) to the reporting person; (ii) in the case of a statewide elected
official, to the chief of staff or counsel to the statewide elected official; (iii) in the case of a member
of the legislature or a legislative employee, to the temporary president of the senate and the speaker
of the assembly; and (iv) in the case of a state officer, employee or board member, to the appointing
authority for such person. Such notice of delinquency may be sent at any time during the reporting
person's service as a statewide elected official, state officer or employee, member of the assembly
or the senate, or a legislative employee or a political party chair or while a candidate for statewide
office, or within one year after termination of such service or candidacy. A copy of any notice of
delinquency or report shall be included in the reporting person's file and be available for public
inspection and copying pursuant to the provisions of this section. The jurisdiction of the
commission, when acting pursuant to this subdivision with respect to financial disclosure, shall
continue for two years notwithstanding that the reporting person separates from state service, or
ceases to hold public or political party office, or ceases to be a candidate, provided the commission
notifies such person of the alleged failure to file or deficient filing pursuant to this subdivision.
(g) The commission shall adopt a procedure whereby a person who i required to file an annual
financial disclosure statement with the commission may request an additional period of time
within which to file such statement, other than members of the legislature, candidates for members
of the legislature and legislative employees, due to justifiable cause or undue hardship.
(h) The commission may permit any person who is required to file a financial disclosure statement
with the commission to request that the commission delete from the copy thereof made available
for public inspection and copying one or more items of information which may be deleted by the
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commission upon a finding by the commission that the information which would otherwise be
required to be made available for public inspection and copying will have no material bearing on
the discharge of the reporting person's official duties. If such request for deletion is denied, the
commission, in its notification of denial, shall inform the person of their right to appeal the
commission's determination in a proceeding commenced against the commission, pursuant to
article seventy-eight of the civil practice law and rules.
(i) The commission may permit any person who is required to file a financial disclosure statement
with the commission to request an exemption from any requirement to report one or more items
of information which pertain to such person's spouse, domestic partner, or unemancipated
children which item or items may be exempted by the commission upon a finding by the
commission that the reporting individual's spouse, domestic partner, on their own behalf, or on
behalf of an unemancipated child, objects to providing the information necessary to make such
disclosure and that the information which would otherwise be required to be reported shall have
no material bearing on the discharge of the reporting person's official duties. If such request for
exemption is denied, the commission, in its notification of denial, shall inform the person of their
right to appeal the commission's determination, pursuant to article seventy-eight of the civil
practice law and rules.
(j) The commission may permit any person required to file a financial disclosure statement to request
an exemption from any requirement to report the identity of a client pursuant to the question
under subparagraph (b) of paragraph eight of subdivision three of section seventy-three-a of the
public officers law in such statement based upon an exemption set forth in such question. The
reporting individual need not seek an exemption to refrain from disclosing the identity of any
client with respect to any matter where they or their firm provided legal representation to the client
in connection with an investigation or prosecution by law enforcement authorities, bankruptcy,
or domestic relations matters. In addition, clients or customers receiving medical or dental
services, mental health services, residential real estate brokering services, or insurance brokering
services need not be disclosed. Pending any application for deletion or exemption to the
commission relating to the filing of a financial disclosure statement, all information which is the
subject or part of the application shall remain confidential. Upon an adverse determination by the
commission, the reporting individual may request, and upon such request the commission shall
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provide, that any information that is the subject or part of the application remain confidential for
a period of thirty days following notice of such determination. In the event that the reporting
individual resigns their office and holds no other office subject to the jurisdiction of the
commission, the information shall not be made public and shall be expunged in its entirety.
(k) The commission shall permit any person who has not been determined by the person's appointing
authority to hold a policy-making position, but who is otherwise required to file a financial
disclosure statement to request an exemption from such requirement in accordance with rules and
regulations governing such exemptions. Such rules and regulations shall provide for exemptions
to be granted either on the application of an individual or on behalf of persons who share the same
job title or employment classification which the commission deems to be comparable for purposes
of this section. Such rules and regulations may permit the granting of an exemption where, in the
discretion of the commission, the public interest does not require disclosure and the applicant's
duties do not involve the negotiation, authorization or approval of:
(i) contracts, leases, franchises, revocable consents, concessions, variances, special permits, or
licenses as such terms are defined in section seventy-three of the public officers law;
(ii) the purchase, sale, rental or lease of real property, goods or services, or a contract therefor;
(iii) the obtaining of grants of money or loans; or
(iv) the adoption or repeal of any rule or regulation having the force and effect of law.
10. Investigation and enforcement.
(a) The commission shall receive complaints and referrals alleging violations of section seventy-three,
seventy-three-a or seventy-four of the public officers law, article one-A of the legislative law, or section
one hundred seven of the civil service law.
(b) Upon the receipt of a complaint, referral, or the commencement of an investigation, members of the
commission shall disclose to the commission any personal, professional, financial, or other direct or
indirect relationships a member of the commission may have with a complainant or respondent. If any
commissioner determines a conflict of interest may exist, the commissioner shall, in writing, notify the
other members of the commission setting forth the possible conflict of interest. The commissioner may
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recuse themself from all subsequent involvement in the consideration and determination of the matter.
If, after the disclosure, the commissioner does not recuse themself from the matter, the commission, by
a majority vote finding that the disclosed information creates a substantial conflict of interest, shall
remove the conflicted commissioner from all subsequent involvement in the consideration and
determination of the matter, provided the reason for the decision is clearly stated in the determination
of the commission.
(c) The commission shall conduct any investigation necessary to carry out the provisions of this section.
Pursuant to this power and duty, the commission may administer oaths or affirmations, subpoena
witnesses, compel their attendance and testimony, and require the production of any books or records
which it may deem relevant or material. The commission may, by a majority vote and pursuant to
regulations adopted pursuant to the state administrative procedure act, delegate to the executive director
the authority to issue subpoenas, provided that the executive director first notify the chair of the
commission.
(d) The commission staff shall review and investigate, as appropriate, any information in the nature of a
complaint or referral received by the commission or initiated by the commission, including through its
review of media reports and other information, where there is specific and credible evidence that a
violation of section seventy-three, seventy-three-a, or seventy-four of the public officers law, section one
hundred seven of the civil service law or article one-A of the legislative law by a person or entity subject
to the jurisdiction of the commission including members of the legislature and legislative employees and
candidates for members of the legislature.
(e) The commission shall notify the complainant, if any, that the commission has received their complaint.
(f) If, following a preliminary review of any complaint or referral, the commission or commission staff
decides to elevate such preliminary review into an investigation, written notice shall be provided to the
respondent setting forth, to the extent the commission is able to, the possible or alleged violation or
violations of such law and a description of the allegations against the respondent and the evidence, if any,
already gathered pertaining to such allegations, provided however that any information that may, in the
Preview
FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 EXHIBIT A FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Commission on Ethics and Lobbying in Government. 1. (a) Commission established. There is hereby established within the department of state, a commission on ethics and lobbying in government, an agency responsible for administering, enforcing, and interpreting New York state's ethics and lobbying laws. The commission shall have and exercise the powers and duties set forth in this section with respect to statewide elected officials, members of the legislature and employees of the legislature, and state officers and employees as defined in sections seventy-three, seventy-three-a, and seventy-four of the public officers law, candidates for statewide elected office and for the senate or assembly, and the political party chair as is defined in section seventy-three of the public officers law, lobbyists and the clients of lobbyists as defined in section one-c of the legislative law, and individuals who have formerly held such positions, were lobbyists or clients of lobbyists as defined in section one-c of the legislative law, or who have formerly been such candidates. (b) The commission shall provide for the transfer, assumption or other disposition of the records, property, and personnel affected by this section, and it is further provided, should any employees be transferred from the joint commission on public ethics ("JCOPE"), the predecessor ethics agency, to the commission, that such transfer will be without further examination or qualification and such employees shall retain their respective civil service classifications, status and collective bargaining agreements. (c) The commission shall review any pending inquiries or matters affected by this section and shall establish policies to address them. (d) The commission shall undertake a comprehensive review of all regulations in effect upon the effective date of this section; and review of all advisory opinions of predecessor ethics agencies, including JCOPE, the legislative ethics commission, the commission on public integrity, the state ethics commission, and the temporary lobbying commission, which will address the consistency of such regulations and advisory opinions among each other and with the new statutory language, and of the effectiveness of the existing laws, regulations, guidance and ethics enforcement structure. (e) This section shall not be deemed to have revoked or rescinded any regulations or advisory opinions in effect on the effective date of this section that were issued by predecessor ethics and lobbying bodies. The 1 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent commission shall cooperate, consult, and coordinate with the legislative ethics commission, to the extent possible, to administer and enforce the laws under its jurisdiction. (f) The annual budget submitted by the governor shall separately state the recommended appropriations for the commission on ethics and lobbying in government. Upon enactment, these separately stated appropriations for the commission on ethics and lobbying in government shall not be decreased by interchange with any other appropriation, notwithstanding section fifty-one of the state finance law. 2. Definitions. For the purposes of this section, the following terms shall have the following meanings: (a) "commission" means the commission on ethics and lobbying in government established pursuant to subdivision one of this section. (b) "selection members" means the governor, speaker of the assembly, temporary president of the senate, minority leader of the senate, minority leader of the assembly, comptroller, and the attorney general. (c) "independent review committee" means the committee of the American Bar Association accredited New York state law school deans or interim deans, or their designee who is an associate dean of their respective law school, tasked with reviewing, approving, or denying the members of the commission as nominated by the selection members and other tasks pursuant to this section. (d) "respondent" means the individual or individuals or organization or organizations subject to an inquiry, investigation, or enforcement action. (e) "victim" means any individual that has suffered or alleged to have suffered direct harm from any violation of law that is subject to investigation under the jurisdiction of the commission. 3. Nomination and appointment of the commission. (a) The commission shall consist of eleven members, to be nominated by the selection members as follows: three members by the governor; two members by the temporary president of the senate; one member by the minority leader of the senate; two members by the speaker of the assembly; one member by the minority leader of the assembly; one member by the attorney general; and one member by the comptroller. 2 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent (b) The independent review committee shall within thirty days review the qualifications of the nominated candidates and approve or deny each candidate nominated by their respective selection member. (c) The independent review committee shall publish on its website a procedure by which it will review the qualifications of the nominated candidate and approve or deny each candidate. (d) Those candidates that the independent review committee deems to meet the qualifications necessary for the services required based on their background and expertise that relate to the candidate's potential service on the commission shall be appointed as a commission member. The nominating selection member shall nominate a new candidate for those that are denied by the independent review committee. (e) No individual shall be eligible for nomination and appointment as a member of the commission who is currently, or has within the last two years: (i) been registered as a lobbyist in New York state; (ii) been a member or employee of the New York state legislature, a statewide elected official, or a commissioner of an executive agency appointed by the governor; (iii) been a political party chair, as defined in section seventy-three of the public officers law; or (iv) been a state officer or employee as defined in section seventy-three of the public officers law. (f) The independent review committee shall convene as needed or as requested by the selection members. The chair of the independent review committee shall be elected from the members of the independent review committee. (g) Appropriate staffing and other resources shall be provided for in the commission's budget for the independent review committee to carry out its powers, functions, and duties. The independent review committee shall publish on the commission's website a procedure by which it will review and select the commission members and other processes to effectuate its responsibilities under this section. 3 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent (h) The majority of the independent review committee shall constitute a quorum to hold a meeting and conduct official business. (i) During the pendency of the review and approval or denial of the candidates, the independent review committee shall be subject to and maintain confidentiality in all independent review committee processes reviews, analyses, approvals, and denials. A member of the independent review committee may be removed by majority vote of the committee for substantial neglect of duty, misconduct, violation of the confidentiality restrictions set forth in this section, inability to discharge the powers or duties of the committee or violation of this section, after written notice and opportunity for a reply. (j) Upon the receipt of the selection members' appointments, members of the independent review committee shall disclose to the independent review committee any personal, professional, financial, or other direct or indirect relationships a member of the independent review committee may have with an appointee. If the independent review committee determines a conflict of interest exists, such independent review committee member shall, in writing, notify the other members of the independent review committee of the possible conflict. The member may recuse themself from all subsequent involvement in the consideration of and action upon the appointment. If, after disclosure, the member does not recuse themself from the matter, the independent review committee, by majority vote finding the disclosed information creates a substantial conflict of interest, may remove the conflicted member from further consideration of and action upon the appointment. (k) Notwithstanding the provisions of article seven of the public officers law, no meeting or proceeding of the independent review committee shall be open to the public, except the applicable records pertaining to the review and selection process for a member's seat shall be subject to disclosure pursuant to article six of the public officers law only after an individual member is appointed to the commission. Requests for such records shall be made to, and processed by, the commission's records access officer. (l) The independent review committee shall neither be public officers nor be subject to the requirements of the public officers law. 4 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent (m) Notwithstanding subdivision (l) of this section, the independent review committee members shall be entitled to representation, indemnification, and to be held harmless to the same extent as any other person employed in service of the state and entitled to such coverage under sections seventeen and nineteen of the public officers law, provided however, that any independent review committee member removed due to a violation of paragraph (i) of this subdivision shall not qualify for such entitlements. 4. Commission. (a) The first class of members of the commission shall serve staggered terms to ensure continuity. For the first class of the commission, five members shall serve a term of four years, three members shall serve a term of two years, and one member shall serve a term of one year. All subsequent members shall serve a term of four years. No member shall be selected to the commission for more than two full consecutive terms, except that a member who has held the position by filling a vacancy can only be selected to the commission for an additional two full consecutive terms. (b) The commission by majority vote shall elect a chairperson from among its members for a term of two years. A chairperson may be elected to no more than two terms for such office. (c) Members of the commission may be removed by majority vote of the commission for substantial neglect of duty, misconduct in office, violation of the confidentiality restrictions set forth in this section, inability to discharge the powers or duties of office or violation of this section, after written notice and opportunity for a reply. (d) Any vacancy occurring on the commission shall be filled within thirty days of its occurrence in the same manner as a member is initially selected to complete the vacant term. (e) During the period of a member's service as a member of the commission, the member shall refrain from making, or soliciting from other persons, any contributions to candidates, political action committees, political parties or committees, newsletter funds, or political advertisements for election to the offices of governor, lieutenant governor, member of the assembly or the senate, attorney general or state comptroller. (f) Members of the commission shall receive a per diem allowance equal to the salary of a justice of the supreme court divided by two hundred twenty for each day or each pro-rated day actually spent in the performance of the member's duties under this section, and, in addition thereto, shall be reimbursed for 5 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent all reasonable expenses actually and necessarily incurred by the member in the performance of the member's duties under this section. For the purposes of this subdivision, a day shall consist of at least seven and one-half hours spent in the performance of the member's duties under this section. (g) The commission shall meet at least quarterly and additionally as called by the chairperson, or upon the call of a majority of the members of the commission. The commission shall be subject to articles six and seven of the public officers law. (h) A majority of the members of the commission shall constitute a quorum, and the commission shall have the power to act by majority vote of the total number of members of the commission without vacancy. (i) The commission shall hold a public hearing at least once each calendar year to take testimony regarding the operation of the commission and solicit public input regarding potential or proposed changes in the laws under its jurisdiction. 5. Powers. (a) The commission has the authority to: (i) adopt, amend, and rescind any rules and regulations pertaining to section seventy-three, seventy-three-a or seventy-four of the public officers law, article one-A of the legislative law, or section one hundred seven of the civil service law; (ii) adopt, amend, and rescind any procedures of the commission, including but not limited to, procedures for advice and guidance, training, filing, review, and enforcement of financial disclosure statements, investigations, enforcement, and due process hearings; and (iii) develop and promulgate any programs for reviews, training, and guidance to carry out the commission's mission. (b) The commission shall adopt and post on its website guidance documents detailing the processes and procedures of an investigation, including the stages of an investigation; timelines, including the reasons for any potential delays in an investigation; the hearing and adjudication process; outcomes of an investigation; and, anything else the commission deems necessary to inform the public as well as relevant parties to an investigation including complainants, respondents, victims, if any, and witnesses as to such processes and procedures. The guidance documents shall delineate the processes and procedures that apply to the relevant parties, including, where applicable, the due process and any other rights or remedies that the relevant party may have under the commission's procedures or any other area of law. The guidance documents shall be provided to the relevant party of an investigation upon such party's involvement in such investigation. 6 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent (c) The commission has the authority to compel the testimony of witnesses, and may administer oaths or affirmations, subpoena witnesses, compel their attendance and require the production of any books or records which it may deem relevant or material. 6. Executive director and commission staff. The commission shall: (a) (i) Appoint an executive director through a majority vote of the members of the commission, who shall act in accordance with the policies of the commission. The executive director shall be appointed without regard to political affiliation and solely on the basis of fitness to perform the duties assigned by this section, and meet the qualifications necessary for the services required based on their background and expertise that relate to the candidate's potential service to the commission. No individual shall be eligible to be appointed as an executive director if the individual is currently, or within the last two years has been: (1) registered as a lobbyist in New York state; (2) a member or employee of the New York state legislature or a statewide elected official, or a commissioner of an executive agency appointed by the governor; or (3) a political party chair, as defined in section seventy-three of the public officers law. (ii) The appointment and removal of the executive director shall be made by a majority vote of the commission. (iii) The term of office of the executive director shall be four years from the date of appointment. The salary of the executive director shall be determined by the members of the commission based on experience. (iv) The commission may remove the executive director for neglect of duty, misconduct in office, violation of the confidentiality restrictions in this section, or inability or failure to discharge the powers or duties of office, including the failure to follow the lawful instructions of the commission. (b) The commission may delegate authority to the executive director to act in the name of the commission between meetings of the commission provided such delegation is in writing, the specific powers to be 7 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent delegated are numerated, and the commission shall not delegate any decisions specified in this section that require a vote of the commission. (c) The commission, through the executive director, shall establish units within the commission to carry out it duties, including, but not limited to, (i) an advice and guidance unit, (ii) a training unit, (iii) a financial disclosure unit, (iv)a lobbying unit, and (v) an investigations and enforcement unit. (d) The commission, through the executive director, shall appoint such other staff as are necessary to carry out its duties under this section, including, but not limited to, a deputy director of an advice and guidance unit to provide timely confidential advice to persons subject to the commission's jurisdiction, a deputy director for training, a deputy director for investigations and enforcement, and a deputy director for lobbying. (e) In addition to meeting the qualifications necessary for the services required for the position, the deputy director for investigations and enforcement shall have completed substantial training and have experience in trauma-informed approaches to investigations and enforcement. The deputy director for investigations and enforcement shall complete a minimum of four hours of training annually in trauma- informed approaches to investigations and enforcement. Such trainings may include, but not be limited to, the impact of trauma, first impression matters, victim interviews, investigative strategies, and alcohol and drug facilitated cases. (f) The commission, through the executive director, shall review and approve a staffing plan provided and prepared by the executive director which shall contain, at a minimum, a list of the various units and divisions as well as the number of positions in each unit, titles and their duties, and salaries, as well as the various qualifications for each position. 7. Advice and guidance. (a) The commission shall establish a unit or units solely for ethics and lobbying guidance, and give such prompt, informal advice to persons whose conduct it oversees, except with respect to members of the legislature and legislative staff, who shall seek advice from the legislative ethics commission in the first instance. 8 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent (b) Persons receiving such informal advice may rely on that advice absent misrepresentation or omission of material facts to the commission and such communications with the commission shall be treated as confidential, except as disclosure is needed to prevent or rectify a crime or fraud, or prevent a substantial threat to public health or safety or if required by court order. (c) The commission may also render, on written request or on its own initiative, advisory opinions, and may allow for public comment before issuance of an advisory opinion. Such an opinion rendered by the commission shall be relied on by those subject to the commission's jurisdiction and until, or unless, amended, superseded, or revoked. Such opinion may also be relied upon by any such person, and may be introduced and shall be a defense, in any criminal or civil action. 8. Training. The commission shall establish a training unit and shall develop and administer an on-going program for the education and training in ethics and lobbying for those subject to the provisions of this section, as follows: (a) The commission shall develop and administer a comprehensive and interactive live-in person or live-online ethics training course and shall designate and train instructors to conduct such training. Such live course shall be designed to include practical application of the material covered and a question-and-answer participatory segment. Unless the commission grants an extension or waiver for good cause shown, statewide elected officials, members of the legislature and employees of the legislature, and state officers and employees as defined in sections seventy-three, seventy- three-a, and seventy-four of the public officers law, and the political party chair as is defined in section seventy-three of the public officers law, shall complete the live course within ninety days of appointment or employment and shall complete the live course every two years subsequently. (b) The commission shall develop and administer an online ethics refresher course for all individuals listed under subparagraph (i) of this paragraph who have previously completed the live course. Such refresher course shall be designed to include any changes in law, regulation, or policy or in the interpretation thereof, and practical application of the material covered. Unless the commission grants an extension or waiver for good cause shown, such individuals shall take such refresher course once every year after having completed the live course under paragraph (a) of this subdivision. 9 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent (c) The commission shall develop and administer an online live question and answer course for agency ethics officers. (d) The commission shall develop and administer training courses for lobbyists and clients of lobbyists. (e) The provisions of this subdivision shall be applicable to the legislature except to the extent that an ethics training program is otherwise established by the assembly and/or senate for their respective members and employees and such program meets or exceeds each of the requirements set forth in this subdivision. (f) On an annual basis, the commission, in coordination with the legislative ethics commission, shall determine the status of compliance with the training requirements under this subdivision by each state agency and by the senate and the assembly. Such determination shall include aggregate statistics regarding participation in such training and shall be reported on a quarterly basis to the governor and the legislature in writing. 9. Financial disclosure statements. (a) The commission may delegate all or part of review, inquiry and advice in this section to the staff under the supervision of the executive director. (b) The commission shall make available forms for annual statements of financial disclosure required to be filed pursuant to section seventy-three-a of the public officers law. (c) The commission shall review the financial disclosure statements of the statewide elected officials and members of the legislature within sixty days of their filings to determine, among other things, deficiencies and conflicts. (d) The commission shall review on a random basis the financial disclosure statements for filers who are not statewide elected officials and members of the legislature. (e) The commission shall review financial disclosure statements filed in accordance with the provisions of this section and (i) inquire into any disclosed conflict to recommend how best to address such conflict; and (ii) ascertain whether any person subject to the reporting requirements 10 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent of section seventy-three-a of the public officers law has failed to file such a statement, has filed a deficient statement or has filed a statement which reveals a possible violation of section seventy- three, seventy-three-a or seventy-four of the public officers law. (f) If a person required to file a financial disclosure statement with the commission has failed to file a disclosure statement or has filed a deficient statement, the commission shall notify the reporting person in writing, state the failure to file or detail the deficiency, provide the person with a fifteen- day period to cure the deficiency, and advise the person of the penalties for failure to comply with the reporting requirements. This first notice of deficiency shall be confidential. If the person fails to make such filing or fails to cure the deficiency within the specified time period, the commission shall send a notice of delinquency (i) to the reporting person; (ii) in the case of a statewide elected official, to the chief of staff or counsel to the statewide elected official; (iii) in the case of a member of the legislature or a legislative employee, to the temporary president of the senate and the speaker of the assembly; and (iv) in the case of a state officer, employee or board member, to the appointing authority for such person. Such notice of delinquency may be sent at any time during the reporting person's service as a statewide elected official, state officer or employee, member of the assembly or the senate, or a legislative employee or a political party chair or while a candidate for statewide office, or within one year after termination of such service or candidacy. A copy of any notice of delinquency or report shall be included in the reporting person's file and be available for public inspection and copying pursuant to the provisions of this section. The jurisdiction of the commission, when acting pursuant to this subdivision with respect to financial disclosure, shall continue for two years notwithstanding that the reporting person separates from state service, or ceases to hold public or political party office, or ceases to be a candidate, provided the commission notifies such person of the alleged failure to file or deficient filing pursuant to this subdivision. (g) The commission shall adopt a procedure whereby a person who i required to file an annual financial disclosure statement with the commission may request an additional period of time within which to file such statement, other than members of the legislature, candidates for members of the legislature and legislative employees, due to justifiable cause or undue hardship. (h) The commission may permit any person who is required to file a financial disclosure statement with the commission to request that the commission delete from the copy thereof made available for public inspection and copying one or more items of information which may be deleted by the 11 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent commission upon a finding by the commission that the information which would otherwise be required to be made available for public inspection and copying will have no material bearing on the discharge of the reporting person's official duties. If such request for deletion is denied, the commission, in its notification of denial, shall inform the person of their right to appeal the commission's determination in a proceeding commenced against the commission, pursuant to article seventy-eight of the civil practice law and rules. (i) The commission may permit any person who is required to file a financial disclosure statement with the commission to request an exemption from any requirement to report one or more items of information which pertain to such person's spouse, domestic partner, or unemancipated children which item or items may be exempted by the commission upon a finding by the commission that the reporting individual's spouse, domestic partner, on their own behalf, or on behalf of an unemancipated child, objects to providing the information necessary to make such disclosure and that the information which would otherwise be required to be reported shall have no material bearing on the discharge of the reporting person's official duties. If such request for exemption is denied, the commission, in its notification of denial, shall inform the person of their right to appeal the commission's determination, pursuant to article seventy-eight of the civil practice law and rules. (j) The commission may permit any person required to file a financial disclosure statement to request an exemption from any requirement to report the identity of a client pursuant to the question under subparagraph (b) of paragraph eight of subdivision three of section seventy-three-a of the public officers law in such statement based upon an exemption set forth in such question. The reporting individual need not seek an exemption to refrain from disclosing the identity of any client with respect to any matter where they or their firm provided legal representation to the client in connection with an investigation or prosecution by law enforcement authorities, bankruptcy, or domestic relations matters. In addition, clients or customers receiving medical or dental services, mental health services, residential real estate brokering services, or insurance brokering services need not be disclosed. Pending any application for deletion or exemption to the commission relating to the filing of a financial disclosure statement, all information which is the subject or part of the application shall remain confidential. Upon an adverse determination by the commission, the reporting individual may request, and upon such request the commission shall 12 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent provide, that any information that is the subject or part of the application remain confidential for a period of thirty days following notice of such determination. In the event that the reporting individual resigns their office and holds no other office subject to the jurisdiction of the commission, the information shall not be made public and shall be expunged in its entirety. (k) The commission shall permit any person who has not been determined by the person's appointing authority to hold a policy-making position, but who is otherwise required to file a financial disclosure statement to request an exemption from such requirement in accordance with rules and regulations governing such exemptions. Such rules and regulations shall provide for exemptions to be granted either on the application of an individual or on behalf of persons who share the same job title or employment classification which the commission deems to be comparable for purposes of this section. Such rules and regulations may permit the granting of an exemption where, in the discretion of the commission, the public interest does not require disclosure and the applicant's duties do not involve the negotiation, authorization or approval of: (i) contracts, leases, franchises, revocable consents, concessions, variances, special permits, or licenses as such terms are defined in section seventy-three of the public officers law; (ii) the purchase, sale, rental or lease of real property, goods or services, or a contract therefor; (iii) the obtaining of grants of money or loans; or (iv) the adoption or repeal of any rule or regulation having the force and effect of law. 10. Investigation and enforcement. (a) The commission shall receive complaints and referrals alleging violations of section seventy-three, seventy-three-a or seventy-four of the public officers law, article one-A of the legislative law, or section one hundred seven of the civil service law. (b) Upon the receipt of a complaint, referral, or the commencement of an investigation, members of the commission shall disclose to the commission any personal, professional, financial, or other direct or indirect relationships a member of the commission may have with a complainant or respondent. If any commissioner determines a conflict of interest may exist, the commissioner shall, in writing, notify the other members of the commission setting forth the possible conflict of interest. The commissioner may 13 of 20 FILED: ALBANY COUNTY CLERK 05/29/2024 07:39 PM INDEX NO. 905075-24 NYSCEF DOC. NO. 3 RECEIVED NYSCEF: 05/29/2024 § 94. Co m m is sio n o n Eth ic s a n d L o bby in g in G o ver nm ent recuse themself from all subsequent involvement in the consideration and determination of the matter. If, after the disclosure, the commissioner does not recuse themself from the matter, the commission, by a majority vote finding that the disclosed information creates a substantial conflict of interest, shall remove the conflicted commissioner from all subsequent involvement in the consideration and determination of the matter, provided the reason for the decision is clearly stated in the determination of the commission. (c) The commission shall conduct any investigation necessary to carry out the provisions of this section. Pursuant to this power and duty, the commission may administer oaths or affirmations, subpoena witnesses, compel their attendance and testimony, and require the production of any books or records which it may deem relevant or material. The commission may, by a majority vote and pursuant to regulations adopted pursuant to the state administrative procedure act, delegate to the executive director the authority to issue subpoenas, provided that the executive director first notify the chair of the commission. (d) The commission staff shall review and investigate, as appropriate, any information in the nature of a complaint or referral received by the commission or initiated by the commission, including through its review of media reports and other information, where there is specific and credible evidence that a violation of section seventy-three, seventy-three-a, or seventy-four of the public officers law, section one hundred seven of the civil service law or article one-A of the legislative law by a person or entity subject to the jurisdiction of the commission including members of the legislature and legislative employees and candidates for members of the legislature. (e) The commission shall notify the complainant, if any, that the commission has received their complaint. (f) If, following a preliminary review of any complaint or referral, the commission or commission staff decides to elevate such preliminary review into an investigation, written notice shall be provided to the respondent setting forth, to the extent the commission is able to, the possible or alleged violation or violations of such law and a description of the allegations against the respondent and the evidence, if any, already gathered pertaining to such allegations, provided however that any information that may, in the