2019 ANNUAL REPORT - New York State Commission on Ethics and Lobbying ...

2019

ANNUAL REPORT

NEW YORK STATE JOINT COMMISSION ON PUBLIC ETHICS

JCOPE.

BLANK PAGES ARE INTENTIONAL

MICHAEL K. ROZEN

CHAIR

ROBERT COHEN JAMES E. DERING COLLEEN C. DIPIRRO WILLIAM P. FISHER DANIEL J. HORWITZ MARVIN E. JACOB GARY J. LAVINE JAMES W. McCARTHY DAVID J. McNAMARA GEORGE H. WEISSMAN JAMES A. YATES

MEMBERS

NEW YORK STATE JOINT COMMISSION ON PUBLIC ETHICS

540 BROADWAY ALBANY, NEW YORK 12207

jcope.

PHONE: (518) 408-3976 FAX: (518) 408-3975

July 30, 2020

The Honorable Andrew M. Cuomo Governor of New York State

The Honorable Carl E. Heastie Speaker of the Assembly

The Honorable Andrea Stewart-Cousins

The Honorable Robert G. Ortt

Temporary President and Majority Leader of the Senate Senate Minority Conference Leader

The Honorable William A. Barclay Assembly Minority Leader

Dear Governor Cuomo and Legislative Leaders:

On behalf of the Commissioners and staff of the New York State Joint Commission on Public Ethics, I am pleased to present you with the enclosed 2019 Annual Report.

Respectfully,

Michael K. Rozen Chair

TABLE OF CONTENTS

INTRODUCTION THE JOINT COMMISSION ON PUBLIC ETHICS

The Public Integrity Reform Act of 2011 Commissioners Structure and Staffing of the Agency GUIDANCE AND OUTREACH Guidance and Advisory Opinions Development of Regulations and Guidelines Training and Outreach Website LOBBYING OVERVIEW Overview of Developments in 2019 2019 Lobbying Data 2019 Random Audit Program FINANCIAL DISCLOSURE STATEMENTS Overview of Annual Financial Disclosure Statements 2019 Compliance and Enforcement Random and Targeted Review Program for FDS INVESTIGATIONS AND ENFORCEMENTS Overview 2019 Review and Disposition of Investigative Matters Summary of Public Settlement Matters 2019 Enforcement Actions APPENDIX A: Executive Law ? 94 APPEN DIX B: FDS Delinquent Filers by Agency APPENDIX C: 2019 Listing of Lobbyists, Clients and

Public Corporations

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