LBD09728-02-1
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the state of New York. Each component is wholly contained within a Part
identified as Parts A through D. The effective date for each particular
provision contained within such Part is set forth in the last section of
such Part. Any provision in any section contained within a Part, includ-
ing the effective date of the Part, which makes reference to a section
"of this act", when used in connection with that particular component,
shall be deemed to mean and refer to the corresponding section of the
Part in which it is found. Section four of this act sets forth the
general effective date of this act.
PART A
Section 1. The public officers law is amended by adding a new article
7-A to read as follows:
ARTICLE 7-A
DEPARTMENT OF OVERSIGHT AND INVESTIGATION
SECTION 113. DEFINITIONS.
113-A. ESTABLISHMENT OF DEPARTMENT OF OVERSIGHT AND INVESTI-
GATION.
113-B. BOARD OF PUBLIC INTEGRITY; ESTABLISHMENT, ORGANIZATION,
AND POWERS.
113-C. COMMISSIONER; APPOINTMENT, DUTIES, AND POWERS.
113-D. RESPONSIBILITIES OF COVERED AGENCIES, OFFICERS, AND
EMPLOYEES.
113-E. FINANCIAL DISCLOSURE.
113-F. INVESTIGATIONS; FINANCIAL DISCLOSURE AND ETHICAL
VIOLATIONS.
113-G. INVESTIGATION; OTHER.
113-H. VIOLATIONS.
113-I. ADJUDICATORY PROCESS.
§ 113. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS SHALL
HAVE THE FOLLOWING MEANING:
1. "DEPARTMENT" MEANS THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION AS
ESTABLISHED BY SECTION ONE HUNDRED THIRTEEN-A OF THIS ARTICLE.
2. "COMMISSIONER" MEANS THE COMMISSIONER OF THE DEPARTMENT OF OVER-
SIGHT AND INVESTIGATION.
3. "COVERED AGENCY" SHALL INCLUDE ALL EXECUTIVE BRANCH AGENCIES,
DEPARTMENTS, DIVISIONS, OFFICERS, BOARDS AND COMMISSIONS, PUBLIC AUTHOR-
ITIES, AND PUBLIC BENEFIT CORPORATIONS, THE HEADS OF WHICH ARE APPOINTED
BY THE GOVERNOR.
4. "BOARD" MEANS THE BOARD OF PUBLIC INTEGRITY ESTABLISHED BY SECTION
ONE HUNDRED THIRTEEN-B OF THIS ARTICLE.
§ 113-A. ESTABLISHMENT OF DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
1. THERE IS ESTABLISHED WITHIN NEW YORK STATE A DEPARTMENT OF OVERSIGHT
AND INVESTIGATION TO BE HEADED BY A COMMISSIONER APPOINTED PURSUANT TO
THIS ARTICLE. THE DEPARTMENT SHALL HAVE AND EXERCISE THE POWERS AND
DUTIES SET FORTH IN THIS ARTICLE WITH RESPECT TO ALL COVERED AGENCIES,
STATEWIDE ELECTED OFFICIALS, MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF
THE LEGISLATURE, AND STATE OFFICERS AND EMPLOYEES, AS DEFINED IN
SECTIONS SEVENTY-THREE AND SEVENTY-THREE-A OF THIS CHAPTER, CANDIDATES
FOR STATEWIDE ELECTED OFFICE AND FOR THE SENATE OR ASSEMBLY, AND THE
POLITICAL PARTY CHAIRMAN AS THAT TERM IS DEFINED IN SECTION
SEVENTY-THREE-A OF THIS CHAPTER, 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
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CLIENTS OF LOBBYISTS, AS SUCH TERMS ARE DEFINED IN ARTICLE ONE-A OF THE
LEGISLATIVE LAW, OR WHO HAVE FORMERLY BEEN SUCH CANDIDATES.
2. THE ESTABLISHMENT OF THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION
BY THIS ARTICLE, NOR ANY PROVISIONS CONTAINED HEREIN, SHALL BE DEEMED TO
HAVE REVOKED OR RESCINDED ANY REGULATIONS OR ADVISORY OPINIONS ISSUED BY
THE LEGISLATIVE ETHICS COMMISSION, THE JOINT COMMISSION ON PUBLIC
ETHICS, THE COMMISSION ON PUBLIC INTEGRITY, OR THE STATE ETHICS COMMIS-
SION AND THE TEMPORARY LOBBYING COMMISSION IN EFFECT UPON THE EFFECTIVE
DATE OF THIS ARTICLE.
3. THE DEPARTMENT SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF ALL REGU-
LATIONS AND OPINIONS, WHICH WILL ADDRESS THE CONSISTENCY OF SUCH REGU-
LATIONS AND OPINIONS AMONG EACH OTHER, AND OF THE EFFECTIVENESS OF
EXISTING LAWS, REGULATIONS, GUIDANCE AND ETHICS ENFORCEMENT STRUCTURE TO
ADDRESS THE ETHICS OF COVERED PUBLIC OFFICIALS AND RELATED PARTIES. SUCH
REVIEW SHALL BE CONDUCTED WITH THE LEGISLATIVE ETHICS COMMISSION. THE
DEPARTMENT SHALL, BEFORE DECEMBER THIRTY-FIRST, TWO THOUSAND TWENTY-TWO,
REPORT TO THE GOVERNOR AND LEGISLATURE REGARDING SUCH REVIEW AND SHALL
PROPOSE ANY REGULATORY OR STATUTORY CHANGES AND ISSUE ANY ADVISORY OPIN-
IONS NECESSITATED BY SUCH REVIEW.
§ 113-B. BOARD OF PUBLIC INTEGRITY; ESTABLISHMENT, ORGANIZATION, AND
POWERS. 1. A. THERE SHALL BE CREATED WITHIN THE DEPARTMENT A BOARD, TO
BE KNOWN AS THE BOARD OF PUBLIC INTEGRITY, CONSISTING OF TWELVE MEMBERS
APPOINTED AS FOLLOWS: TWO MEMBERS APPOINTED BY THE SPEAKER OF THE ASSEM-
BLY; TWO MEMBERS APPOINTED BY THE TEMPORARY PRESIDENT OF THE SENATE; TWO
MEMBERS APPOINTED BY THE MINORITY LEADER OF THE ASSEMBLY; TWO MEMBERS
APPOINTED BY THE MINORITY LEADER OF THE SENATE; AND FOUR MEMBERS
APPOINTED BY THE GOVERNOR, PROVIDED, HOWEVER, THAT THE APPOINTMENTS BY
THE GOVERNOR SHALL BE MADE UPON THE RECOMMENDATION OF THE LEGISLATIVE
LEADERS. THE SPEAKER OF THE ASSEMBLY, TEMPORARY PRESIDENT OF THE SENATE,
MINORITY LEADER OF THE ASSEMBLY, AND MINORITY LEADER OF THE SENATE SHALL
EACH SUBMIT A LIST OF NO LESS THAN THREE NAMES TO THE GOVERNOR FOR
CONSIDERATION. THE GOVERNOR SHALL SELECT ONE NAME FROM EACH OF THE
LEGISLATIVE LEADER'S LISTS FOR APPOINTMENT TO THE BOARD.
B. EACH MEMBER OF THE BOARD SHALL SERVE A TERM OF FOUR YEARS, COMMENC-
ING ON THE FIRST OF JANUARY OF THE CALENDAR YEAR IN WHICH THE VACANCY ON
SUCH BOARD OCCURS; PROVIDED, HOWEVER, THAT THE MEMBERS INITIALLY
APPOINTED BY THE SENATE LEADERS, AND BY THE GOVERNOR UPON THE RECOMMEN-
DATION OF THE SENATE LEADERS, SHALL SERVE ONLY TWO YEARS. ALL SUBSEQUENT
APPOINTMENTS SHALL BE FOR A FULL FOUR-YEAR TERM.
C. ANY VACANCY OCCURRING ON THE BOARD SHALL BE FILLED WITHIN THIRTY
DAYS OF ITS OCCURRENCE IN THE SAME MANNER AS THE MEMBER WHOSE VACANCY IS
BEING FILLED WAS APPOINTED. A PERSON APPOINTED TO FILL A VACANCY OCCUR-
RING OTHER THAN BY EXPIRATION OF A TERM OF OFFICE SHALL BE APPOINTED FOR
THE UNEXPIRED TERM OF THE MEMBER HE OR SHE SUCCEEDS.
D. THERE SHALL BE NO EX-OFFICIO MEMBERS OF THE BOARD, AND NO MEMBER
SHALL DELEGATE HIS OR HER DUTIES TO ANOTHER INDIVIDUAL.
E. NO PERSON SHALL BE ELIGIBLE TO SERVE AS A MEMBER OF THE BOARD IF AT
THE TIME OF APPOINTMENT, OR AT ANY TIME DURING A TERM, HE OR SHE SERVES
IN ANY OTHER ELECTED POSITION OR IS AN EMPLOYEE OF THE STATE OF NEW
YORK, A MUNICIPAL CORPORATION, A PUBLIC AUTHORITY, OR PUBLIC BENEFIT
CORPORATION. ADDITIONALLY, NO MEMBER OF THE BOARD, OR HIS OR HER SPOUSE,
SHALL, DURING THE PERIOD OF HIS OR HER SERVICE ON THE BOARD, MAKE OR
SOLICIT FROM ANOTHER PERSON ANY CONTRIBUTIONS TO CANDIDATES FOR ELECTION
TO THE OFFICES OF GOVERNOR, LIEUTENANT GOVERNOR, MEMBER OF THE ASSEMBLY
OR THE SENATE, ATTORNEY GENERAL, OR STATE COMPTROLLER, NOR MAY HE OR SHE
MAKE OR SOLICIT ANY CONTRIBUTIONS TO A POLITICAL PARTY OR COMMITTEE.
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F. MEMBERS OF THE BOARD SHALL BE CONSIDERED PUBLIC OFFICERS AND SHALL
BE REQUIRED TO TAKE ALL NECESSARY OATHS AND FILE ANY DISCLOSURES AS
REQUIRED BY LAW, WHICH SHALL BE MADE AVAILABLE TO THE PUBLIC ON THE
DEPARTMENT'S WEBSITE.
G. THE BOARD SHALL, ANNUALLY, ELECT FROM ITS APPOINTED MEMBERS A CHAIR
AND VICE CHAIR BY A MAJORITY VOTE OF THE TOTAL NUMBER OF MEMBERS OF THE
BOARD. THE CHAIR SHALL PRESIDE OVER ALL BOARD MEETINGS AND SHALL HAVE
THE POWER TO SCHEDULE MEETINGS OF THE BOARD AS HE OR SHE DEEMS NECESSARY
FOR THE PROPER EXECUTION OF ITS DUTIES. THE VICE-CHAIR, IN THE ABSENCE
OR INCAPACITY OF THE CHAIR, SHALL EXERCISE ALL POWERS OF THE CHAIR.
H. SEVEN MEMBERS SHALL CONSTITUTE A QUORUM OF THE BOARD, AND THE BOARD
SHALL HAVE THE POWER TO ACT BY MAJORITY VOTE OF THE TOTAL NUMBER OF THE
MEMBERS OF THE BOARD WITHOUT VACANCIES EXCEPT WHERE OTHERWISE SPECIFIED
UNDER THIS ARTICLE.
I. MEMBERS OF THE BOARD MAY BE REMOVED BY THE APPOINTING AUTHORITY FOR
SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT IN OFFICE, INABILITY TO
DISCHARGE THE POWERS OR DUTIES OF THE OFFICE, OR VIOLATIONS OF THIS
ARTICLE, AFTER WRITTEN NOTICE AND AN OPPORTUNITY FOR A REPLY HAS BEEN
PROVIDED.
J. MEMBERS OF THE BOARD SHALL RECEIVE A PER DIEM ALLOWANCE IN THE SUM
OF THREE HUNDRED DOLLARS FOR EACH DAY SPENT IN THE PERFORMANCE OF HIS OR
HER DUTIES, AND, IN ADDITION THERETO, SHALL BE REIMBURSED FOR ALL
REASONABLE EXPENSES INCURRED IN THE PERFORMANCE OF HIS OR HER DUTIES.
2. THE BOARD SHALL HAVE THE FOLLOWING DUTIES AND RESPONSIBILITIES:
A. ELECT A COMMISSIONER FOR THE DEPARTMENT;
B. REVIEW AND EXAMINE ANNUALLY THE POLICIES AND PROCEDURES OF COVERED
AGENCIES WITH REGARD TO THE PREVENTION AND DETECTION OF CORRUPTION,
FRAUD, CRIMINAL ACTIVITY, AND CONFLICTS OF INTEREST OR ABUSE;
C. CREATE, IN CONSULTATION WITH THE COMMISSIONER, MODEL TRAINING AND
PROGRAMMING THAT MAY BE USED BY COVERED AGENCIES TO INFORM AND EDUCATE
EMPLOYEES AND OFFICERS OF SUCH AGENCIES OF THE CODE OF ETHICS AND OTHER
RELEVANT POLICIES AND PRACTICES MEANT TO PREVENT FRAUD, CRIMINALITY OR
ANY OTHER MISCONDUCT;
D. MONITOR THE IMPLEMENTATION BY COVERED AGENCIES OF ANY POLICIES OR
PRACTICES PUT IN PLACE TO COMBAT CORRUPTION, FRAUD, CRIMINAL ACTIVITY,
CONFLICTS OF INTEREST OR ABUSE;
E. IN CONSULTATION WITH THE COMMISSIONER, PROMULGATE RULES AND REGU-
LATIONS NECESSARY TO EFFECTUATE SECTION ONE HUNDRED SEVEN OF THE CIVIL
SERVICE LAW, SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
OF THIS CHAPTER, ARTICLE ONE-A OF THE LEGISLATIVE LAW, AND ANY OTHER
PROVISION OF LAW RELATING TO CORRUPTION WITHIN THE GOVERNMENT.
F. IN CONSULTATION WITH THE COMMISSIONER, ISSUE OFFICIAL ADVISORY
OPINIONS NECESSARY TO CLARIFY INTERPRETATIONS OF LAWS, RULES, AND REGU-
LATIONS; PROVIDED, HOWEVER, THAT INFORMAL OPINIONS MAY BE PROVIDED BY
APPOINTED STAFF OF THE DEPARTMENT UPON REQUEST BY A COVERED AGENCY,
EMPLOYEE, STATE OFFICERS, OR OTHER SUBJECT INDIVIDUAL.
G. PROMULGATE RULES AND REGULATION NECESSARY TO GOVERN INVESTIGATIONS
OF COMPLAINTS FILED WITH THE COMMISSIONER, INCLUDING RULES AND REGU-
LATIONS NECESSARY TO ENSURE DUE PROCESS FOR THE SUBJECT OF A COMPLAINT;
AND
H. PUBLISH AN ANNUAL REPORT, NO LATER THAN DECEMBER THIRTY-FIRST OF
EACH YEAR, TO THE GOVERNOR AND LEGISLATURE ON ANNUAL ACTIVITIES OF THE
BOARD AND THE DEPARTMENT, AND INCLUDE THEREIN ALL GENERALLY APPLICABLE
ADVISORY OPINIONS ISSUED DURING THE YEAR AND RECOMMENDATIONS FOR STATU-
TORY CHANGES NECESSARY TO FURTHER PROVIDE FOR INTEGRITY IN GOVERNMENT.
SUCH REPORT SHALL BE MADE AVAILABLE ON THE DEPARTMENT'S PUBLIC WEBSITE.
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ALL INFORMATION DEEMED CONFIDENTIAL BY STATUTE OR OTHER RULE OR REGU-
LATION SHALL BE REDACTED OR WITHHELD FROM THE REPORT.
§ 113-C. COMMISSIONER; APPOINTMENT, DUTIES, AND POWERS. 1. A. THE
COMMISSIONER SHALL BE CHOSEN BY A MAJORITY VOTE OF THE BOARD OF PUBLIC
INTEGRITY. NOTWITHSTANDING ANY LAW TO THE CONTRARY, THE COMMISSION NEED
NOT BE A RESIDENT OF THE STATE OF NEW YORK AT THE TIME OF APPOINTMENT,
BUT SHALL BE REQUIRED TO RESIDE WITHIN THE STATE AT ALL TIMES HE OR SHE
SERVES AND IS EXERCISING THE FUNCTIONS OF THE OFFICE OF COMMISSIONER.
THE COMMISSIONER SHALL ALSO BE PROHIBITED FROM HOLDING ANY OTHER ELECTED
POSITION WITHIN NEW YORK STATE, OR ANY POLITICAL SUBDIVISION THEREOF.
MOREOVER, THE COMMISSIONER, AND HIS OR HER SPOUSE, SHALL, DURING HIS OR
HER TERM OF SERVICE, NOT MAKE OR SOLICIT FROM ANY OTHER PERSON ANY
CONTRIBUTIONS TO CANDIDATES FOR ELECTION TO THE OFFICES OF GOVERNOR,
LIEUTENANT GOVERNOR, MEMBER OF THE ASSEMBLY OR THE SENATE, ATTORNEY
GENERAL, OR STATE COMPTROLLER, NOR MAY HE OR SHE MAKE OR SOLICIT ANY
CONTRIBUTIONS TO A POLITICAL PARTY OR COMMITTEE.
B. THE COMMISSIONER SHALL BE APPOINTED TO SERVE A TERM OF SIX YEARS
AND SHALL SERVE THE ENTIRETY OF SUCH TERM UNLESS A VACANCY ARISES PURSU-
ANT TO SECTION THIRTY OF THIS CHAPTER, OR THE BOARD OF PUBLIC INTEGRITY,
VOTING UNANIMOUSLY, APPROVES A MOTION TO REMOVE THE COMMISSIONER FROM
OFFICE. IN THE EVENT THE BOARD OF PUBLIC INTEGRITY VOTES UNANIMOUSLY TO
REMOVE AN INDIVIDUAL FROM OFFICE, THE BOARD OF PUBLIC INTEGRITY SHALL
PUBLISH A STATEMENT, SIGNED BY ALL MEMBERS OF THE BOARD, ARTICULATING
THE REASONING FOR SUCH ACTION.
C. THE COMMISSIONER SHALL SERVE IN HIS OR HER CAPACITY BEYOND THE
SIX-YEAR TERM IN OFFICE ONLY UPON RE-APPOINTMENT BY THE BOARD OF PUBLIC
INTEGRITY OR, IF NECESSARY, AS A HOLDOVER UNTIL SUCH TIME AS SUCH BOARD
APPOINTS A REPLACEMENT.
2. THE COMMISSIONER SHALL HAVE THE FOLLOWING DUTIES AND RESPONSIBIL-
ITIES:
A. APPOINT ANY NECESSARY DEPUTIES, ASSISTANTS, OR STAFF AS REQUIRED TO
EFFICIENTLY CARRY OUT THE DUTIES AND PURPOSE OF THE DEPARTMENT;
B. ASSIST COVERED AGENCIES AND OTHER SUBJECT INDIVIDUALS WITH THE
IMPLEMENTATION OF ANY ETHICS TRAINING PROGRAMS ESTABLISHED BY THE
DEPARTMENT; PROVIDED, HOWEVER THAT ANY ETHICS TRAINING FOR THE LEGISLA-
TURE AND LEGISLATIVE EMPLOYEES SHALL BE OVERSEEN BY THE LEGISLATIVE
ETHICS COMMISSION;
C. RECEIVE AND INVESTIGATE COMPLAINTS FROM ANY SOURCE, OR UPON HIS OR
HER OWN INITIATIVE, CONCERNING ALLEGATIONS OF CORRUPTION, FRAUD, CRIMI-
NAL ACTIVITY, CONFLICTS OF INTEREST OR ABUSE IN ANY COVERED AGENCY, BY A
STATE OFFICER, LEGISLATOR, LEGISLATIVE EMPLOYEE, CANDIDATE FOR STATE
OFFICE, CANDIDATE FOR STATE ASSEMBLY OR SENATE, LOBBYIST, CLIENT OF A
LOBBYIST, OR POLITICAL PARTY CHAIR;
D. WHEN APPLICABLE, INFORM THE HEADS OF COVERED AGENCIES OF ANY
COMPLAINTS AND THE PROGRESS OF INVESTIGATIONS RELATED TO SUCH
COMPLAINTS; UNLESS CIRCUMSTANCES REQUIRE CONFIDENTIALITY; PROVIDED,
HOWEVER, INFORMATION REGARDING COMPLAINTS AND STATUS OF INVESTIGATIONS
RELATED TO MEMBERS OF THE LEGISLATURE OR EMPLOYEES OF THE LEGISLATURE
SHALL BE PROVIDED TO THE LEGISLATIVE ETHICS COMMISSION;
E. MAKE DETERMINATIONS WITH RESPECT TO ANY ALLEGATIONS WHETHER DISCI-
PLINARY ACTIONS, CIVIL OR CRIMINAL PROSECUTION, OR FURTHER INVESTIGATION
BY ANOTHER GOVERNMENTAL AGENCY, FEDERAL, STATE OR LOCAL, IS NECESSARY,
AND TO ASSIST IN ANY SUCH INVESTIGATION;
F. FORWARD MATTERS, INCLUDING ALL RELEVANT DOCUMENTATION, TO APPROPRI-
ATE GOVERNMENTAL AGENCIES, FEDERAL OR STATE, FOR PROSECUTION, IF AN
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INVESTIGATION BY THE DEPARTMENT FINDS THERE IS PROBABLE CAUSE TO BELIEVE
THAT A VIOLATION OF FEDERAL OR STATE LAW OCCURRED;
G. ENFORCE DETERMINATIONS OF THE DEPARTMENT, INCLUDING FINES OR OTHER
FINDINGS LEVIED BY THE DEPARTMENT, AGAINST COVERED AGENCIES, STATE OFFI-
CERS, EMPLOYEES, LOBBYISTS, CLIENTS OF LOBBYISTS, AND POLITICAL PARTY
CHAIRS; AND
H. ISSUE AN ANNUAL REPORT TO THE BOARD, NO LATER THAN APRIL FIRST OF
EACH YEAR, SUMMARIZING ALL INVESTIGATIONS AND ACTIONS TAKEN BY THE
DEPARTMENT RELATED TO ANY SUCH INVESTIGATIONS OR ACTIONS IN THE PRIOR
CALENDAR YEAR. SUCH REPORT SHALL BE USED BY THE BOARD IN COMPILING ITS
ANNUAL REPORT TO THE GOVERNOR AND LEGISLATURE; PROVIDED SUCH REPORT
SHALL BE CONFIDENTIAL AND NOT SUBJECT TO DISCLOSURE PURSUANT TO ARTICLE
SIX OF THIS CHAPTER.
3. IN ADDITION TO THE DUTIES AND RESPONSIBILITIES PROVIDED IN SUBDIVI-
SION TWO OF THIS SECTION, THE COMMISSIONER SHALL EXERCISE THE FOLLOWING
POWERS IN THE EXECUTION OF HIS OR HER DUTIES:
A. SUBPOENA AND REQUIRE THE ATTENDANCE OF WITNESSES;
B. ADMINISTER OATHS OF AFFIRMATION AND EXAMINE WITNESSES UNDER OATH;
C. REQUIRE THE PRODUCTION OF ANY BOOKS AND PAPERS DEEMED RELEVANT OR
MATERIAL TO ANY INVESTIGATION, EXAMINATION OR REVIEW;
D. NOTWITHSTANDING ANY LAW TO THE CONTRARY, EXAMINE AND COPY OR REMOVE
DOCUMENTS OR RECORDS OF ANY KIND PREPARED, MAINTAINED OR HELD BY ANY
COVERED AGENCY, EMPLOYEE THEREOF, STATE OFFICER, LEGISLATOR, OR LEGISLA-
TIVE EMPLOYEE;
E. QUESTION ANY RELEVANT PARTY CONCERNING ANY MATTER RELATED TO THE
PERFORMANCE OF HIS OR HER OFFICIAL DUTIES OR RELATED TO AN INVESTI-
GATION;
F. MONITOR ADHERENCE TO DISCIPLINARY DETERMINATIONS RENDERED BY THE
DEPARTMENT; AND
G. PERFORM ANY OTHER FUNCTION NECESSARY AND APPROPRIATE TO FULFILL THE
DUTIES AND RESPONSIBILITIES OF THE DEPARTMENT.
§ 113-D. RESPONSIBILITIES OF COVERED AGENCIES, OFFICERS, AND EMPLOY-
EES. 1. EVERY OFFICER AND EMPLOYEE IN A COVERED AGENCY, STATE OFFICER,
LEGISLATOR, LEGISLATIVE EMPLOYEE, LOBBYIST, CLIENT OF A LOBBYIST, AND
POLITICAL PARTY CHAIR, SHALL REPORT PROMPTLY TO THE DEPARTMENT MATERIAL
INFORMATION CONCERNING CORRUPTION, FRAUD, CRIMINAL ACTIVITY, CONFLICTS
OF INTEREST, ETHICAL VIOLATIONS OR ABUSE BY ANOTHER RELATING TO HIS OR
HER OFFICE OR EMPLOYMENT, OR BY A PERSON HAVING BUSINESS DEALINGS WITH A
COVERED AGENCY RELATING TO THOSE DEALINGS, INCLUDING LOBBYIST AS DEFINED
UNDER ARTICLE ONE-A OF THE LEGISLATIVE LAW.
2. THE KNOWING FAILURE OF ANY SUBJECT INDIVIDUAL TO SO REPORT MAY BE
CAUSE FOR SANCTIONS AND PUNITIVE ACTIONS AGAINST SUCH INDIVIDUAL WHO
FAILS TO REPORT SUCH CONDUCT. ANY INDIVIDUAL WHO ACTS PURSUANT TO THIS
SECTION BY REPORTING TO THE DEPARTMENT IMPROPER GOVERNMENTAL ACTION AS
DEFINED IN SECTION SEVENTY-FIVE-B OF THE CIVIL SERVICE LAW SHALL NOT BE
SUBJECT TO DISCIPLINE BY THE DEPARTMENT FOR FAILURE TO REPORT SUCH
ACTIVITY; PROVIDED, HOWEVER, THAT SUCH PROTECTION FROM DEPARTMENTAL
SANCTIONS DOES NOT PROVIDE LEGAL IMMUNITY FOR CRIMINAL ACTIONS.
§ 113-E. FINANCIAL DISCLOSURE. 1. A. THE COMMISSIONER, OR ANY DESIG-
NATED STAFF, SHALL INSPECT ALL FINANCIAL DISCLOSURE STATEMENTS FILED
WITH THE DEPARTMENT IN ORDER TO ASCERTAIN WHETHER ANY PERSON SUBJECT TO
THE REPORTING REQUIREMENTS OF THIS CHAPTER HAS FAILED TO FILE SUCH A
STATEMENT, HAS FILED A DEFICIENT STATEMENT OR HAS FILED A STATEMENT
WHICH REVEALS A POSSIBLE VIOLATION OF LAW.
B. THE COMMISSIONER, OR ANY DESIGNATED STAFF, IN RELATION TO FINANCIAL
DISCLOSURES:
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(I) SHALL MAKE AVAILABLE FORMS FOR ANNUAL STATEMENTS OF FINANCIAL
DISCLOSURE REQUIRED TO BE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF
THIS CHAPTER;
(II) RECEIVE COMPLAINTS DIRECTLY OR THROUGH A REFERRAL FROM ANY OTHER
COVERED AGENCY OR THE DEPARTMENT ALLEGING VIOLATIONS OF SECTION SEVEN-
TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THIS CHAPTER, ARTICLE ONE-A
OF THE LEGISLATIVE LAW OR SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE
LAW;
(III) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT WITH THE DEPARTMENT TO REQUEST DELETION FROM THE COPY OF SUCH
STATEMENT MADE AVAILABLE FOR PUBLIC INSPECTION AND COPYING ONE OR MORE
ITEMS OF INFORMATION WHICH MAY BE DELETED BY THE DEPARTMENT UPON A FIND-
ING BY THE DEPARTMENT 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;
(IV) GRANT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT AN ADDITIONAL PERIOD OF TIME WITHIN WHICH TO FILE SUCH STATEMENT
DUE TO JUSTIFIABLE CAUSE OR UNDUE HARDSHIP;
(V) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO DELETE SUCH INFORMATION PERTAINING TO SUCH PERSON'S SPOUSE OR
EMANCIPATED CHILDREN AS SHALL BE FOUND BY THE DEPARTMENT TO HAVE NO
MATERIAL BEARING ON THE DISCHARGE OF THE REPORTING PERSON'S OFFICIAL
DUTIES;
(VI) ADVISE AND ASSIST ANY COVERED AGENCY IN ESTABLISHING RULES AND
REGULATIONS RELATING TO POSSIBLE CONFLICTS BETWEEN PRIVATE INTERESTS AND
OFFICIAL DUTIES OF PRESENT AND FORMER STATE OFFICERS AND EMPLOYEES;
(VII) ADVISE AND ASSIST ANY COVERED AGENCY WITH TRAINING PROGRAMS
RELATING TO ETHICAL COMPLIANCE;
(VIII) PERMIT ANY PERSON WHO HAS NOT BEEN DETERMINED BY HIS OR HER
APPOINTING AUTHORITY TO HOLD A POLICY-MAKING POSITION, BUT WHO IS OTHER-
WISE REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT, TO BE GRANTED AN
EXEMPTION FROM SUCH FILING REQUIREMENT. THE COMMISSIONER MAY GRANT SUCH
AN EXEMPTION WHERE THE PUBLIC INTEREST DOES NOT REQUIRE DISCLOSURE AND
THE APPLICANT'S DUTIES DO NOT INVOLVE NEGOTIATION, AUTHORIZATION OR
APPROVAL OF:
A. CONTRACTS, LEASES, FRANCHISES, REVOCABLE CONSENTS, CONCESSIONS,
VARIANCES, SPECIAL PERMITS OR LICENSES AS SET FORTH IN SECTION SEVENTY-
THREE OF THIS CHAPTER;
B. THE PURCHASE, SALE, RENTAL OR LEASE OF REAL PROPERTY, GOODS OR
SERVICES, OR A CONTRACT THEREFOR;
C. THE OBTAINING OF GRANTS OF MONEY OR LOANS; OR
D. THE ADOPTION OR REPEAL OF ANY RULE OR REGULATION HAVING THE FORCE
AND EFFECT OF LAW;
(IX) DETERMINE QUESTIONS COMMON TO A CLASS OR DEFINED CATEGORY OF
PERSONS OR ITEMS OF INFORMATION REQUIRED TO BE DISCLOSED, WHERE DETERMI-
NATION OF THE QUESTION WILL PREVENT UNDUE REPETITION OF REQUESTS FOR
EXEMPTION OR DELETION OR PREVENT UNDUE COMPLICATION IN COMPLYING WITH
THE REQUIREMENTS OF SUCH SECTION; AND
(X) CONDUCT INVESTIGATIONS INTO ANY COMPLAINTS.
2. IF A PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT WITH
THE DEPARTMENT 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
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REQUIREMENTS. SUCH NOTICE SHALL BE CONFIDENTIAL. IF THE PERSON FAILS TO
MAKE SUCH FILING OR FAILS TO CURE THE DEFICIENCY WITHIN THE SPECIFIED
TIME PERIOD, THE COMMISSIONER, OR DESIGNATED STAFF, SHALL SEND A NOTICE
OF DELINQUENCY:
A. TO THE REPORTING PERSON;
B. IN THE CASE OF A STATEWIDE ELECTED OFFICIAL, TO THE TEMPORARY PRES-
IDENT OF THE SENATE AND THE SPEAKER OF THE ASSEMBLY; AND
C. IN THE CASE OF A STATE OFFICER OR EMPLOYEE, TO THE APPOINTING
AUTHORITY FOR SUCH PERSON. SUCH NOTICE OF DELINQUENCY MAY BE SENT AT ANY
TIME DURING THE REPORTING PERSON'S SERVICE AS A STATEWIDE ELECTED OFFI-
CIAL, STATE OFFICER OR EMPLOYEE, POLITICAL PARTY CHAIR OR WHILE A CANDI-
DATE FOR STATEWIDE OFFICE, OR WITHIN ONE YEAR AFTER TERMINATION OF SUCH
SERVICE OR CANDIDACY.
§ 113-F. INVESTIGATIONS; FINANCIAL DISCLOSURE AND ETHICAL VIOLATIONS.
1. IF THE DEPARTMENT RECEIVES A SWORN COMPLAINT ALLEGING A VIOLATION OF
SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE LAW, SECTIONS SEVENTY-
THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THIS CHAPTER, OR ARTICLE ONE-A
OF THE LEGISLATIVE LAW BY A PERSON OR ENTITY SUBJECT TO THE OVERSIGHT OF
THE DEPARTMENT, OR IF A REPORTING INDIVIDUAL HAS FILED A STATEMENT WHICH
REVEALS A POSSIBLE VIOLATION OF ANY SUCH PROVISION, OR IF THE DEPARTMENT
DETERMINES ON ITS OWN INITIATIVE TO INVESTIGATE A POSSIBLE VIOLATION,
THE DEPARTMENT SHALL NOTIFY THE INDIVIDUAL IN WRITING, WITHIN FIVE BUSI-
NESS DAYS OF RECEIPT OF A COMPLAINT OR ACTION OF ITS OWN, SO AS TO
DESCRIBE THE POSSIBLE OR ALLEGED VIOLATION OF SUCH LAWS AND PROVIDE THE
PERSON WHO IS THE SUBJECT OF THE COMPLAINT 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.
2. IF THE DEPARTMENT DETERMINES, FOLLOWING AN INITIAL REVIEW OF THE
COMPLAINT AND ANY RESPONSE, THAT THERE IS A SUBSTANTIAL BASIS TO BELIEVE
THAT A VIOLATION HAS OCCURRED, IT SHALL SEND A NOTICE OF SUCH FINDINGS:
A. TO THE COMPLAINANT, IF ANY; AND
B. TO THE SUBJECT OF THE REPORT OR COMPLAINT.
3. AN INVESTIGATION UNDERTAKEN BY THE DEPARTMENT FOLLOWING A COMPLAINT
OR ACTION ON ITS OWN INITIATIVE SHALL TAKE NO MORE THAN THIRTY DAYS,
COMMENCING FROM THE DAY UPON WHICH THE DEPARTMENT DETERMINES THERE IS
REASONABLE CAUSE TO BELIEVE THAT A VIOLATION OCCURRED AND SENDS NOTICE
OF SUCH TO THE SUBJECT OF THE INVESTIGATION. HOWEVER, IF COMPLETION OF
AN INVESTIGATION IS NOT POSSIBLE WITHIN THIRTY DAYS, SUCH INVESTIGATION
SHALL BE COMPLETED AS SOON AS PRACTICABLE THEREAFTER; PROVIDED NOTICE OF
THE EXTENDED INVESTIGATION IS GIVEN TO THE COMPLAINANT AND SUBJECT OF
THE INVESTIGATION.
4. UPON COMPLETION OF AN INVESTIGATION, THE DEPARTMENT SHALL ISSUE A
DETERMINATION IN WRITING TO THE INDIVIDUAL AND THE COMPLAINANT, IF ANY;
AND THE APPOINTING AUTHORITY OF ANY STATE EMPLOYEE. IF THE INVESTIGATION
INVOLVED A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE, SUCH
DETERMINATIONS SHALL BE FORWARDED TO THE LEGISLATIVE ETHICS COMMISSION;
WHILE DETERMINATIONS INVOLVING THE GOVERNOR, THE LIEUTENANT GOVERNOR,
ATTORNEY GENERAL OR STATE COMPTROLLER SHALL BE PROVIDED TO THE GOVERNOR
AND THE SPEAKER OF THE ASSEMBLY AND TEMPORARY PRESIDENT OF THE SENATE.
SUCH FINAL DETERMINATIONS SHALL BE AVAILABLE FOR PUBLIC INSPECTION,
INCLUDING FINDINGS OF FACT AND CONCLUSIONS OF LAW THAT A VIOLATION OF
LAW OCCURRED; PROVIDED THAT NO OTHER REPORTS OR INVESTIGATIVE MATERIALS
SHALL BE PUBLICLY REVIEWABLE AND SHALL REMAIN CONFIDENTIAL.
5. A. THE DEPARTMENT SHALL HAVE JURISDICTION TO INVESTIGATE, BUT SHALL
HAVE NO JURISDICTION TO IMPOSE PENALTIES UPON MEMBERS OF OR CANDIDATES
FOR MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEES FOR ANY VIOLATION
A. 6602 9
OF THIS CHAPTER. IF UPON COMPLETION OF ITS INVESTIGATION THE DEPARTMENT
CONCLUDES THAT A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE OR
CANDIDATE FOR MEMBER OF THE LEGISLATURE HAS VIOLATED ANY PROVISIONS OF
LAW OVER WHICH THE DEPARTMENT HAS OVERSIGHT, IT SHALL PRESENT A WRITTEN
REPORT TO THE LEGISLATIVE ETHICS COMMISSION, AND DELIVER A COPY OF THE
REPORT TO THE INDIVIDUAL WHO IS THE SUBJECT OF THE REPORT. SUCH WRITTEN
REPORT SHALL INCLUDE:
(I) THE DEPARTMENT'S FINDINGS OF FACT AND ANY EVIDENCE ADDRESSED IN
SUCH FINDINGS; AND CONCLUSIONS OF LAW AND CITATIONS TO ANY RELEVANT LAW,
RULE, OPINION, REGULATION OR STANDARD OF CONDUCT UPON WHICH IT RELIED;
AND
(II) A DETERMINATION THAT THE DEPARTMENT HAS CONCLUDED THAT A
VIOLATION HAS OCCURRED, AND THE REASONS AND BASIS FOR SUCH DETERMI-
NATION.
B. THE DEPARTMENT SHALL ALSO SEPARATELY PROVIDE TO THE LEGISLATIVE
ETHICS COMMISSION COPIES OF ADDITIONAL DOCUMENTS OR OTHER EVIDENCE
CONSIDERED INCLUDING EVIDENCE THAT MAY CONTRADICT THE DEPARTMENT'S FIND-
INGS, THE NAMES OF AND OTHER INFORMATION REGARDING ANY ADDITIONAL
WITNESSES, AND ANY OTHER MATERIALS. WITH RESPECT TO A VIOLATION OF ANY
LAW OTHER THAN SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
OF THIS CHAPTER, WHERE THE DEPARTMENT FINDS SUFFICIENT CAUSE, IT SHALL
REFER SUCH MATTER TO THE APPROPRIATE PROSECUTOR.
§ 113-G. INVESTIGATIONS; OTHER. 1. THE DEPARTMENT SHALL ALSO BE
AUTHORIZED TO UNDERTAKE, UPON A SUBMITTED COMPLAINT OR ITS OWN INITI-
ATIVE, ANY INVESTIGATION INTO POTENTIAL CRIMINAL ACTIVITY, OR OTHER
CONDUCT OVER WHICH IT HAS JURISDICTION, BY A PERSON OR ENTITY SUBJECT TO
THE OVERSIGHT OF THE DEPARTMENT.
2. THE BOARD OF PUBLIC INTEGRITY, IN CONSULTATION WITH THE COMMISSION-
ER, SHALL PROMULGATE ANY RULES AND REGULATIONS NECESSARY TO, AMONG OTHER
THINGS, ENSURE INVESTIGATORY INTEGRITY, DUE PROCESS, AND APPROPRIATE
CRIMINAL AND/OR CIVIL PROSECUTION, IF WARRANTED.
3. NOTWITHSTANDING REVIEW AND PUBLICATION OF A FINAL DETERMINATION OF
THE DEPARTMENT, ANY PERSON CONDUCTING OR PARTICIPATING IN ANY EXAMINA-
TION OR INVESTIGATION UNDER THIS SECTION OR SECTION ONE HUNDRED THIR-
TEEN-F THIS ARTICLE WHO SHALL DISCLOSE TO ANY PERSON NOT INVOLVED IN
SUCH EXAMINATION OR INVESTIGATION, OR WHO THE COMMISSIONER MAY OTHERWISE
HAVE AUTHORIZED TO RECEIVE SUCH INFORMATION RELATED TO OR DETAILING AN
INVESTIGATION, SHALL BE GUILTY OF A MISDEMEANOR.
§ 113-H. VIOLATIONS. 1. AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF
THE DEPARTMENT WHO KNOWINGLY AND INTENTIONALLY VIOLATES THE PROVISIONS
OF SUBDIVISIONS TWO THROUGH FIVE, SEVEN, EIGHT, TWELVE OR FOURTEEN
THROUGH SEVENTEEN OF SECTION SEVENTY-THREE OF THIS CHAPTER, SECTION ONE
HUNDRED SEVEN OF THE CIVIL SERVICE LAW, OR A REPORTING INDIVIDUAL WHO
KNOWINGLY AND WILLFULLY FAILS TO FILE AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE OR WHO KNOWINGLY AND WILLFULLY WITH INTENT TO DECEIVE MAKES A
FALSE STATEMENT OR FRAUDULENT OMISSION OR GIVES INFORMATION WHICH SUCH
INDIVIDUAL KNOWS TO BE FALSE ON SUCH STATEMENT OF FINANCIAL DISCLOSURE
FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THIS CHAPTER SHALL BE
SUBJECT TO A CIVIL PENALTY IN AN AMOUNT NOT TO EXCEED FORTY THOUSAND
DOLLARS AND THE VALUE OF ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A
RESULT OF SUCH VIOLATION. AN INDIVIDUAL WHO KNOWINGLY AND INTENTIONALLY
VIOLATES THE PROVISIONS OF PARAGRAPH B, C, D OR I OF SUBDIVISION THREE
OF SECTION SEVENTY-FOUR OF THIS CHAPTER SHALL BE SUBJECT TO A CIVIL
PENALTY IN AN AMOUNT NOT TO EXCEED TEN THOUSAND DOLLARS AND THE VALUE OF
ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS A RESULT OF SUCH
VIOLATION. AN INDIVIDUAL WHO KNOWINGLY AND INTENTIONALLY VIOLATES THE
A. 6602 10
PROVISIONS OF PARAGRAPH A, E OR G OF SUBDIVISION THREE OF SECTION SEVEN-
TY-FOUR OF THIS CHAPTER SHALL BE SUBJECT TO A CIVIL PENALTY IN AN AMOUNT
NOT TO EXCEED THE VALUE OF ANY GIFT, COMPENSATION OR BENEFIT RECEIVED AS
A RESULT OF SUCH VIOLATION. AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF
THE DEPARTMENT WHO KNOWINGLY AND WILLFULLY VIOLATES ARTICLE ONE-A OF THE
LEGISLATIVE LAW SHALL BE SUBJECT TO CIVIL PENALTY AS PROVIDED FOR IN
SUCH ARTICLE. ASSESSMENT OF A CIVIL PENALTY PURSUANT TO THIS SECTION
SHALL BE MADE BY THE DEPARTMENT WITH RESPECT TO INDIVIDUALS SUBJECT TO
ITS JURISDICTION. IN ASSESSING THE AMOUNT OF THE CIVIL PENALTIES TO BE
IMPOSED, THE DEPARTMENT SHALL CONSIDER THE SERIOUSNESS OF THE VIOLATION,
THE AMOUNT OF GAIN TO THE INDIVIDUAL AND WHETHER SUCH INDIVIDUAL PREVI-
OUSLY HAD ANY CIVIL OR CRIMINAL PENALTIES IMPOSED PURSUANT TO THIS
SECTION, AND ANY OTHER FACTORS THE DEPARTMENT DEEMS APPROPRIATE.
2. A CIVIL PENALTY FOR FALSE FILING RELATING TO FINANCIAL DISCLOSURES
MADE PURSUANT TO SECTION SEVENTY-THREE OR SEVENTY-THREE-A OF THIS CHAP-
TER MAY NOT BE IMPOSED PURSUANT TO THIS SECTION IN THE EVENT A CATEGORY
OF "VALUE" OR "AMOUNT" REPORTED PURSUANT TO THIS SECTION IS INCORRECT
UNLESS SUCH REPORTED INFORMATION IS MATERIALLY FALSE.
3. ALL DETERMINATIONS OF ANY CIVIL FINE MADE BY THE DEPARTMENT PURSU-
ANT TO THIS SECTION SHALL BE FORWARDED TO APPOINTING AUTHORITY OF THE
SUBJECT INDIVIDUAL, AND SHALL REVIEWED ANY OTHER POSSIBLE CRIMINAL
VIOLATIONS THAT MAY ARISE FROM SUCH VIOLATIONS. VIOLATIONS OF SECTION
ONE HUNDRED SEVEN OF THE CIVIL SERVICE LAW, SUBDIVISION TWELVE, FOUR-
TEEN, FIFTEEN, SIXTEEN OR SEVENTEEN OF SECTION SEVENTY-THREE OR SECTION
SEVENTY-FOUR OF THIS CHAPTER OR ARTICLE ONE-A OF THE LEGISLATIVE LAW
SHALL CONSTITUTE CLASS A MISDEMEANORS.
§ 113-I. ADJUDICATORY PROCESS. THE DEPARTMENT SHALL BE DEEMED TO BE AN
AGENCY WITHIN THE MEANING OF ARTICLE THREE OF THE STATE ADMINISTRATIVE
PROCEDURE ACT AND SHALL ADOPT RULES GOVERNING THE CONDUCT OF ADJUDICATO-
RY PROCEEDINGS AND APPEALS TAKEN PURSUANT TO A PROCEEDING COMMENCED
UNDER ARTICLE SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES RELATING
TO THE ASSESSMENT OF THE CIVIL PENALTIES AUTHORIZED BY THIS ARTICLE AND
DEPARTMENT DENIALS OF REQUESTS FOR CERTAIN DELETIONS OR EXEMPTIONS TO BE
MADE FROM A FINANCIAL DISCLOSURE STATEMENT AS AUTHORIZED BY THIS ARTI-
CLE. SUCH RULES, WHICH SHALL NOT BE SUBJECT TO THE APPROVAL REQUIREMENTS
OF THE STATE ADMINISTRATIVE PROCEDURE ACT, SHALL PROVIDE FOR DUE PROCESS
PROCEDURAL MECHANISMS SUBSTANTIALLY SIMILAR TO THOSE SET FORTH IN ARTI-
CLE THREE OF THE STATE ADMINISTRATIVE PROCEDURE ACT BUT SUCH MECHANISMS
NEED NOT BE IDENTICAL IN TERMS OR SCOPE. ASSESSMENT OF A CIVIL PENALTY
OR DEPARTMENT DENIAL OF SUCH A REQUEST SHALL BE FINAL UNLESS MODIFIED,
SUSPENDED OR VACATED WITHIN THIRTY DAYS OF IMPOSITION, WITH RESPECT TO
THE ASSESSMENT OF SUCH PENALTY, OR UNLESS SUCH DENIAL OF REQUEST IS
REVERSED WITHIN SUCH TIME PERIOD, AND UPON BECOMING FINAL SHALL BE
SUBJECT TO REVIEW AT THE INSTANCE OF THE AFFECTED REPORTING INDIVIDUALS
IN A PROCEEDING COMMENCED AGAINST THE DEPARTMENT, PURSUANT TO ARTICLE
SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES.
§ 2. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided further,
however, that appointments to the board of public integrity authorized
by section 113-b of the public officers law shall be made within sixty
days of the date on which this act shall have become a law and such
board members shall be authorized to hold meetings upon appointment
necessary to ensure proper administration of such department.
PART B
A. 6602 11
Section 1. Section 94 of the executive law is REPEALED.
§ 2. Article 4-A of the executive law is REPEALED.
§ 3. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law.
PART C
Section 1. Transfer of functions, powers and duties. All functions,
powers, duties and obligations of the former joint commission on public
ethics, and the former office of the state inspector general are hereby
transferred to the department of oversight and investigation.
§ 2. Transfer of employees. (a) Upon transfer of the functions of the
former joint commission on public ethics, and the former office of the
state inspector general to the department of oversight and investi-
gation, provisions shall be made for the transfer to such department of
those employees of such former agencies who were engaged in carrying out
the functions transferred by this act in accordance with section 70 of
the civil service law or, where not subject to the civil service law,
the provisions of such section 70 shall be deemed applicable, except
where the context clearly requires otherwise. Any such employee who, at
the time of such transfer, has a temporary or provisional appointment
shall be transferred subject to the same right of removal, examination
or termination as though such transfer had not been made except to the
extent such rights are modified by a collective bargaining agreement.
Employees holding permanent appointments in competitive class positions
who are not transferred pursuant to this section shall have their names
entered upon an appropriate preferred list for reinstatement pursuant to
the civil service law.
(b) A transferred employee shall remain in the same collective
bargaining unit as was the case prior to his or her transfer; successor
employees to the positions held by such transferred employees shall,
consistent with the provisions of article 14 of the civil service law,
be included in the same unit as their predecessors. Employees other than
management or confidential persons (as defined in article 14 of the
civil service law), serving positions in newly created titles shall be
assigned to the appropriate bargaining unit. Nothing contained in this
section shall be construed to affect:
(1) the rights of employees pursuant to a collective bargaining agree-
ment;
(2) the representational relationships among employee organizations or
the bargaining relationships between the state and an employee organiza-
tion; or
(3) existing law with respect to an application to the public employ-
ment relations board, provided, however, that the merger of such negoti-
ating units of employees shall be effected only with the consent of the
recognized and certified representative of such units and of the depart-
ment of law.
§ 3. Transfer of records. All books, papers and property of the former
joint commission on public ethics, and the former office of the state
inspector general are to be delivered to the department of oversight and
investigation at such place and time, and in such manner as the depart-
ment of oversight and investigation shall require.
§ 4. Continuity of authority. For the purpose of succession to all
functions, powers, duties and obligations of the former joint commission
on public ethics and the former office of the state inspector general
transferred to and assumed by the department of oversight and investi-
A. 6602 12
gation, such department shall continue the operation thereof as if
performed by such former agencies.
§ 5. Completion of unfinished business. Any business or other matter
undertaken or commenced by the former joint commission on public ethics,
or the former office of the state inspector general pertaining to or
connected with the functions, powers, duties and obligations transferred
and assigned to the department of oversight and investigation, and pend-
ing on the effective date of this section shall be conducted and
completed by such department in the same manner and under the same terms
and conditions and with the same effect as if conducted and completed by
such former agencies.
§ 6. Continuation of rules and regulations. All rules, regulations,
acts, orders, determinations and decisions of the former joint commis-
sion on public ethics and the former office of the state inspector
general in force at the time of such transfer and assumption, shall
continue in force and effect as rules, regulations, acts, orders, deter-
minations and decisions of the department of oversight and investigation
until duly modified or abrogated.
§ 7. Terms occurring in laws, contracts and other documents. Whenever
the former joint commission on public ethics or the former office of the
state inspector general is referred to or designated in any law,
contract or document pertaining to the functions, powers, obligations
and duties transferred and assigned pursuant to this act, such reference
or designation shall be deemed to refer to the department of oversight
and investigation.
§ 8. Existing rights and remedies preserved. No existing right or
remedy of any character shall be lost, impaired or affected by reason of
any transfer or assignment pursuant to this act.
§ 9. Pending actions or proceedings. No action or proceeding pending
upon the effective date of this section relating to the functions,
powers and duties of the former joint commission on public ethics, and
the former office of the state inspector general transferred to the
department of oversight and investigation, brought by or against any
such former agency or individual, shall be affected by any provision of
this act, but the same may be prosecuted or defended in the name of such
department. In all such actions and proceedings, the department of over-
sight and investigation, upon application to the court, shall be substi-
tuted as a party.
§ 10. Transfer of appropriations heretofore made. Subject to the
approval of the director of the division of the budget, all appropri-
ations and reappropriations heretofore made to the former joint commis-
sion on public ethics and the former office of the state inspector
general for the purposes and functions transferred pursuant to this act
to the department of oversight and investigation, to the extent of
remaining unexpended or unencumbered balance thereof, whether allocated
or unallocated, and whether obligated or unobligated, are hereby trans-
ferred to and made available for use and expenditure by such department
for the same purposes for which originally appropriated or reappropri-
ated and shall be payable on vouchers certified or approved by the
commissioner of the department of oversight and investigation on audit
and warrant of the comptroller. Payments for liabilities for expenses of
personal services, maintenance and operation heretofore incurred by and
for liabilities incurred and to be incurred in completing the affairs of
the former joint commission on public ethics and the former office of
the state inspector general with respect to the powers, duties and func-
tions transferred in this act, shall also be made on vouchers or certif-
A. 6602 13
icates approved by the commissioner of the department of oversight and
investigation on audit and warrant of the comptroller.
§ 11. Transfer of assets and liabilities. All assets and liabilities
of the former joint commission on public ethics and the former office of
the state inspector general are hereby transferred to and assumed by the
department of oversight and investigation.
§ 12. The department of oversight and investigation is hereby directed
to immediately take any and all actions necessary to enable it to assume
all powers, duties and functions of the former joint commission on
public ethics and the former office of the state inspector general with-
in 90 days of the effective date of this act.
§ 13. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided that sections
one through eleven of this act shall take effect on the first of April
next succeeding the date on which it shall have become a law.
PART D
Section 1. 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 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] DEPARTMENT OF OVERSIGHT
AND INVESTIGATION.
§ 2. 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 created by section ninety-four of the executive law] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION.
§ 3. 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] COMMISSIONER OF
THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION 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-mutu-
el wagering business, video lottery terminal facility or any development
at any racing facility.
§ 4. Subdivision 3 of section 63 of the executive law, as amended by
chapter 155 of the laws of 2012, is amended to read as follows:
3. Upon request of the governor, comptroller, secretary of state,
commissioner of transportation, superintendent of financial services,
commissioner of taxation and finance, commissioner of motor vehicles, or
the [state inspector general] COMMISSIONER OF THE DEPARTMENT OF OVER-
SIGHT AND INVESTIGATION, or the head of any other department, authority,
division or agency of the state, investigate the alleged commission of
any indictable offense or offenses in violation of the law which the
A. 6602 14
officer making the request is especially required to execute or in
relation to any matters connected with such department, and to prosecute
the person or persons believed to have committed the same and any crime
or offense arising out of such investigation or prosecution or both,
including but not limited to appearing before and presenting all such
matters to a grand jury.
§ 5. Section 2350-dd of the public authorities law, as added by chap-
ter 762 of the laws of 2005, is amended to read as follows:
§ 2350-dd. Jurisdiction of [state inspector general] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION. The agency is subject to the jurisdiction
of the [office of the state inspector general] COMMISSIONER OF THE
DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
§ 6. Subdivision 3 of section 2.10 of the criminal procedure law, as
added by chapter 843 of the laws of 1980, is amended to read as follows:
3. Investigators [of the office of the state commission of investi-
gation] ACTING FOR, OR AT THE REQUEST OF THE DEPARTMENT OF OVERSIGHT AND
INVESTIGATION.
§ 7. Subdivision 68 of section 2.10 of the criminal procedure law, as
added by chapter 168 of the laws of 2000, is REPEALED.
§ 8. Subdivision 3 of section 70-a of the executive law, as added by
chapter 1003 of the laws of 1970, is amended to read as follows:
3. The deputy attorney general in charge of the organized crime task
force may request and shall receive from the division of state police,
the state department of taxation and finance, the state department of
labor, the [temporary state commission of investigation] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION, and from every department, division, board,
bureau, commission or other agency of the state, or of any political
subdivision thereof, cooperation and assistance in the performance of
his duties. Such deputy attorney general may provide technical and other
assistance to any district attorney or other local law enforcement offi-
cial requesting such assistance in the investigation or prosecution of
organized crime cases.
§ 9. Subdivision 9 of section 835 of the executive law, as separately
amended by chapters 14 and 155 of the laws of 2012, is amended to read
as follows:
9. "Qualified agencies" means courts in the unified court system, the
administrative board of the judicial conference, probation departments,
sheriffs' offices, district attorneys' offices, the state department of
corrections and community supervision, the department of correction of
any municipality, the financial frauds and consumer protection unit of
the state department of financial services, the office of professional
medical conduct of the state department of health for the purposes of
section two hundred thirty of the public health law, the child protec-
tive services unit of a local social services district when conducting
an investigation pursuant to subdivision six of section four hundred
twenty-four of the social services law, the office of Medicaid inspector
general, the [temporary state commission of investigation] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION, police forces and departments having
responsibility for enforcement of the general criminal laws of the
state, the Onondaga County Center for Forensic Sciences Laboratory when
acting within the scope of its law enforcement duties and the division
of forensic services of the Nassau county medical examiner's office when
acting within the scope of its law enforcement duties.
§ 10. Subdivision 8 of section 92 of the public officers law, as
amended by section 135 of subpart B of part C of chapter 62 of the laws
of 2011, is amended to read as follows:
A. 6602 15
(8) Public safety agency record. The term "public safety agency
record" means a record of the state commission of correction, the
[temporary state commission of investigation] DEPARTMENT OF OVERSIGHT
AND INVESTIGATION, the department of corrections and community super-
vision, the office of children and family services, the office of victim
services, the office of probation and correctional alternatives or the
division of state police or of any agency or component thereof whose
primary function is the enforcement of civil or criminal statutes if
such record pertains to investigation, law enforcement, confinement of
persons in correctional facilities or supervision of persons pursuant to
criminal conviction or court order, and any records maintained by the
division of criminal justice services pursuant to sections eight hundred
thirty-seven, eight hundred thirty-seven-a, eight hundred thirty-sev-
en-b, eight hundred thirty-seven-c, eight hundred thirty-eight, eight
hundred thirty-nine, and eight hundred forty-five of the executive law
and by the department of state pursuant to section ninety-nine of the
executive law.
§ 11. Chapter 989 of the laws of 1958, creating a temporary state
commission of investigation, is REPEALED.
§ 12. Subparagraphs (ii) and (iii) of paragraph (c), and paragraphs
(d) and (d-1) of subdivision 1 of section 73-a of the public officers
law, subparagraphs (ii) and (iii) of paragraph (c) and paragraph (d) as
amended and paragraph (d-1) as added by section 5 of part A of chapter
399 of the laws of 2011, are amended to read as follows:
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions, commis-
sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-
vision or who hold policy-making positions, as annually determined by
the appointing authority and set forth in a written instrument which
shall be filed with the [joint commission on public ethics established
by section ninety-four of the executive law] DEPARTMENT OF OVERSIGHT AND
INVESTIGATION during the month of February, provided, however, that the
appointing authority shall amend such written instrument after such date
within thirty days after the undertaking of policy-making responsibil-
ities by a new employee or any other employee whose name did not appear
on the most recent written instrument; and
(iii) members or directors of public authorities, other than multi-
state authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, and employees of such
authorities, corporations and commissions who receive annual compen-
sation in excess of the filing rate established by paragraph (l) of this
subdivision or who hold policy-making positions, as determined annually
by the appointing authority and set forth in a written instrument which
shall be filed with the [joint commission on public ethics established
by section ninety-four of the executive law] DEPARTMENT OF OVERSIGHT AND
INVESTIGATION during the month of February, provided, however, that the
appointing authority shall amend such written instrument after such date
within thirty days after the undertaking of policy-making responsibil-
ities by a new employee or any other employee whose name did not appear
on the most recent written instrument.
(d) The term "legislative employee" shall mean any officer or employee
of the legislature who receives annual compensation in excess of the
filing rate established by paragraph (l) [below] OF THIS SUBDIVISION or
who is determined to hold a policy-making position by the appointing
authority as set forth in a written instrument which shall be filed with
A. 6602 16
the legislative ethics commission and the [joint commission on public
ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
(d-1) A financial disclosure statement required pursuant to section
seventy-three of this article and this section shall be deemed "filed"
with the [joint commission on public ethics] DEPARTMENT OF OVERSIGHT AND
INVESTIGATION upon its filing, in accordance with this section, with the
legislative ethics commission for all purposes including, but not limit-
ed to, [subdivision fourteen of section ninety-four of the executive
law,] ARTICLE SEVEN-A OF THIS CHAPTER, subdivision nine of section
eighty of the legislative law and subdivision four of this section.
§ 13. Subdivision 2 of section 73-a of the public officers law, as
amended by section 5 of part A of chapter 399 of the laws of 2011, is
amended to read as follows:
2. (a) Every statewide elected official, state officer or employee,
member of the legislature, legislative employee and political party
chairman and every candidate for statewide elected office or for member
of the legislature shall file an annual statement of financial disclo-
sure containing the information and in the form set forth in subdivision
three of this section. On or before the fifteenth day of May with
respect to the preceding calendar year: (1) every member of the legisla-
ture, every candidate for member of the legislature and legislative
employee shall file such statement with the legislative ethics commis-
sion which shall provide such statement along with any requests for
exemptions or deletions to the [joint commission on public ethics]
DEPARTMENT OF OVERSIGHT AND INVESTIGATION for filing and rulings with
respect to such requests for exemptions or deletions, on or before the
thirtieth day of June; and (2) all other individuals required to file
such statement shall file it with the [joint commission on public
ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION, except that:
(i) a person who is subject to the reporting requirements of this
subdivision and who timely filed with the internal revenue service an
application for automatic extension of time in which to file his or her
individual income tax return for the immediately preceding calendar or
fiscal year shall be required to file such financial disclosure state-
ment on or before May fifteenth but may, without being subjected to any
civil penalty on account of a deficient statement, indicate with respect
to any item of the disclosure statement that information with respect
thereto is lacking but will be supplied in a supplementary statement of
financial disclosure, which shall be filed on or before the seventh day
after the expiration of the period of such automatic extension of time
within which to file such individual income tax return, provided that
failure to file or to timely file such supplementary statement of finan-
cial disclosure or the filing of an incomplete or deficient supplementa-
ry statement of financial disclosure shall be subject to the notice and
penalty provisions of this section respecting annual statements of
financial disclosure as if such supplementary statement were an annual
statement;
(ii) a person who is required to file an annual financial disclosure
statement with the [joint commission on public ethics] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION, and who is granted an additional period of
time within which to file such statement due to justifiable cause or
undue hardship[, in accordance with required rules and regulations on
the subject adopted pursuant to paragraph c of subdivision nine of
section ninety-four of the executive law] shall file such statement
within the additional period of time granted[; and the legislative
A. 6602 17
ethics commission shall notify the joint commission on public ethics of
any extension granted pursuant to this paragraph];
(iii) candidates for statewide office who receive a party designation
for nomination by a state committee pursuant to section 6-104 of the
election law shall file such statement within ten days after the date of
the meeting at which they are so designated;
(iv) candidates for statewide office who receive twenty-five percent
or more of the vote cast at the meeting of the state committee held
pursuant to section 6-104 of the election law and who demand to have
their names placed on the primary ballot and who do not withdraw within
fourteen days after such meeting shall file such statement within ten
days after the last day to withdraw their names in accordance with the
provisions of such section of the election law;
(v) candidates for statewide office and candidates for member of the
legislature who file party designating petitions for nomination at a
primary election shall file such statement within ten days after the
last day allowed by law for the filing of party designating petitions
naming them as candidates for the next succeeding primary election;
(vi) candidates for independent nomination who have not been desig-
nated by a party to receive a nomination shall file such statement with-
in ten days after the last day allowed by law for the filing of inde-
pendent nominating petitions naming them as candidates in the next
succeeding general or special election;
(vii) candidates who receive the nomination of a party for a special
election shall file such statement within ten days after the date of the
meeting of the party committee at which they are nominated; AND
(viii) a candidate substituted for another candidate, who fills a
vacancy in a party designation or in an independent nomination, caused
by declination, shall file such statement within ten days after the last
day allowed by law to file a certificate to fill a vacancy in such party
designation or independent nomination;
(ix) with respect to all candidates for member of the legislature, the
legislative ethics commission shall within five days of receipt provide
the joint commission on public ethics the statement filed pursuant to
subparagraphs (v), (vi), (vii) and (viii) of this paragraph.
(b) As used in this subdivision, the terms "party", "committee" (when
used in conjunction with the term "party"), "designation", "primary",
"primary election", "nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in section 1-104 of the
election law.
(c) If the reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative employ-
ee, such statement shall be filed with both the legislative ethics
commission established by section eighty of the legislative law and the
[joint commission on public ethics] DEPARTMENT OF OVERSIGHT AND INVESTI-
GATION in accordance with paragraph (d-1) of subdivision one of this
section. If the reporting individual is a statewide elected official,
candidate for statewide elected office, a state officer or employee or a
political party chairman, such statement shall be filed with the joint
commission on public ethics established by section ninety-four of the
executive law.
(d) The [joint commission on public ethics] DEPARTMENT OF OVERSIGHT
AND INVESTIGATION shall obtain from the state board of elections a list
of all candidates for statewide office and for member of the legisla-
ture, and from such list, shall determine and publish a list of those
A. 6602 18
candidates who have not, within ten days after the required date for
filing such statement, filed the statement required by this subdivision.
(e) Any person required to file such statement who commences employ-
ment after May fifteenth of any year and political party chairman shall
file such statement within thirty days after commencing employment or of
taking the position of political party chairman, as the case may be. In
the case of members of the legislature and legislative employees, such
statements shall be filed with the legislative ethics commission within
thirty days after commencing employment, and the legislative ethics
commission shall provide such statements to the joint commission on
public ethics within forty-five days of receipt.
(f) A person who may otherwise be required to file more than one annu-
al financial disclosure statement with both the [joint commission on
public ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION and the legis-
lative ethics commission in any one calendar year may satisfy such
requirement by filing one such statement with either body and by notify-
ing the other body of such compliance.
(g) A person who is employed in more than one employment capacity for
one or more employers certain of whose officers and employees are
subject to filing a financial disclosure statement with the same ethics
commission, as the case may be, and who receives distinctly separate
payments of compensation for such employment shall be subject to the
filing requirements of this section if the aggregate annual compensation
for all such employment capacities is in excess of the filing rate
notwithstanding that such person would not otherwise be required to file
with respect to any one particular employment capacity. A person not
otherwise required to file a financial disclosure statement hereunder
who is employed by an employer certain of whose officers or employees
are subject to filing a financial disclosure statement with the [joint
commission on public ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION
and who is also employed by an employer certain of whose officers or
employees are subject to filing a financial disclosure statement with
the legislative ethics commission shall not be subject to filing such
statement with either such commission on the basis that his aggregate
annual compensation from all such employers is in excess of the filing
rate.
(h) A statewide elected official or member of the legislature, who is
simultaneously a candidate for statewide elected office or member of the
legislature, shall satisfy the filing deadline requirements of this
subdivision by complying only with the deadline applicable to one who
holds a statewide elected office or who holds the office of member of
the legislature.
(i) A candidate whose name will appear on both a party designating
petition and on an independent nominating petition for the same office
or who will be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this subdi-
vision by complying with the earliest applicable deadline only.
(j) A member of the legislature who is elected to such office at a
special election prior to May fifteenth in any year shall satisfy the
filing requirements of this subdivision in such year by complying with
the earliest applicable deadline only.
(k) The [joint commission on public ethics] DEPARTMENT OF OVERSIGHT
AND INVESTIGATION shall post for at least five years beginning for
filings made on January first, two thousand thirteen the annual state-
ment of financial disclosure and any amendments filed by each person
subject to the reporting requirements of this subdivision who is an
A. 6602 19
elected official on its website for public review within thirty days of
its receipt of such statement or within ten days of its receipt of such
amendment that reflects any corrections of deficiencies identified by
[the commission] SUCH DEPARTMENT or by the reporting individual after
the reporting individual's initial filing. Except upon an individual
determination by the [commission] DEPARTMENT OF OVERSIGHT AND INVESTI-
GATION that certain information may be deleted from a reporting individ-
ual's annual statement of financial disclosure, none of the information
in the statement posted on [the commission's] SUCH DEPARTMENT'S website
shall be otherwise deleted.
§ 14. Subparagraphs (b), (b-2) and (c) of paragraph 8 of subdivision 3
and subdivision 4 of section 73-a of the public officers law, subpara-
graphs (b), (b-2) and (c) of paragraph 8 of subdivision 3 as amended by
section 6 of part K of chapter 286 of the laws of 2016, and subdivision
4 as amended by section 5 of part A of chapter 399 of the laws of 2011,
are amended to read as follows:
(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING
CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN:
If the reporting individual personally provides services to any person
or entity, or works as a member or employee of a partnership or corpo-
ration that provides such services (referred to hereinafter as a
"firm"), then identify each client or customer to whom the reporting
individual personally provided services, or who was referred to the firm
by the reporting individual, and from whom the reporting individual or
his or her firm earned fees in excess of $10,000 during the reporting
period for such services rendered in direct connection with:
(i) A contract in an amount totaling $50,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
knowingly solicit or direct to the reporting individual's firm in whole
or substantial part, a person or entity that becomes a client of that
firm for the purposes of representation for a matter as defined in
subparagraphs (i) through (iv) of this paragraph, as the result of such
procurement, solicitation or direction of the reporting individual. A
reporting individual need not disclose activities performed while
lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
sion seven of section seventy-three of this article.
The disclosure requirement in this question shall not require disclo-
sure of clients or customers receiving medical or dental services,
mental health services, residential real estate brokering services, or
insurance brokering services from the reporting individual or his or her
firm. The reporting individual need not identify any client to whom he
or she or his or her firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
A. 6602 20
or domestic relations matters. With respect to clients represented in
other matters, where disclosure of a client's identity is likely to
cause harm, the reporting individual shall request an exemption from the
[joint commission pursuant to paragraph (i-1) of subdivision nine of
section ninety-four of the executive law] DEPARTMENT OF OVERSIGHT AND
INVESTIGATION, provided, however, that a reporting individual who first
enters public office after July first, two thousand twelve, need not
report clients or customers with respect to matters for which the
reporting individual or his or her firm was retained prior to entering
public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five thou-
sand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services Category of Amount
Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/
MEMBERS OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT
BY NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING RENDERINGS FOR
CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
A. 6602 21
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in his or her capacity as provided in paragraphs (c),
(d), (e) and (f) of subdivision seven of section seventy-three of this
article. The disclosure requirement in questions (b-1) and (b-2) shall
not require disclosing clients or customers receiving medical, pharma-
ceutical or dental services, mental health services, or residential real
estate brokering services from the reporting individual or his or her
firm or if federal law prohibits or limits disclosure. The reporting
individual need not identify any client to whom he or she or his or her
firm provided legal representation with respect to investigation or
prosecution by law enforcement authorities, bankruptcy, family court,
estate planning, or domestic relations matters, nor shall the reporting
individual identify individuals represented pursuant to an insurance
policy but the reporting individual shall in such circumstances only
report the entity that provides compensation to the reporting individ-
ual; with respect to matters in which the client's name is required by
law to be kept confidential (such as matters governed by the family
court act) or in matters in which the reporting individual represents or
provides services to minors, the client's name may be replaced with
initials. To the extent that the reporting individual, or his or her
firm, provided legal representation with respect to an initial public
offering, and professional disciplinary rules, federal law or regu-
lations restrict the disclosure of information relating to such work,
the reporting individual shall (i) disclose the identity of the client
and the services provided relating to the initial public offering to the
office of court administration, who will maintain such information
confidentially in a locked box; and (ii) include in his or her response
to questions (b-1) and (b-2) that pursuant to this paragraph, a disclo-
sure to the office of court administration has been made. Upon such time
that the disclosure of information maintained in the locked box is no
longer restricted by professional disciplinary rules, federal law or
regulation, the reporting individual shall disclose such information in
an amended disclosure statement in response to the disclosure require-
ments in questions (b-1) and (b-2). The office of court administration
shall develop and maintain a secure portal through which information
submitted to it pursuant to this paragraph can be safely and confiden-
tially stored. With respect to clients represented in other matters not
otherwise exempt, the reporting individual may request an exemption to
publicly disclosing the name of that client from the [joint commission
pursuant to paragraph (i-1) of subdivision nine of section ninety-four
of the executive law] DEPARTMENT OF OVERSIGHT AND INVESTIGATION, or from
the office of court administration. In such application, the reporting
individual shall state the following: "My client is not currently
receiving my services or seeking my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
A. 6602 22
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the [joint commission]
DEPARTMENT OF OVERSIGHT AND INVESTIGATION or the office of court admin-
istration may consult with bar or other professional associations and
the legislative ethics commission for individuals subject to its juris-
diction and may consider the rules of professional conduct. In making
its determination, the [joint commission] DEPARTMENT OF OVERSIGHT AND
INVESTIGATION or the office of court administration shall conduct its
own inquiry and shall consider factors including, but not limited to:
(i) the nature and the size of the client; (ii) whether the client has
any business before the state; and if so, how significant the business
is; and whether the client has any particularized interest in pending
legislation and if so how significant the interest is; (iii) whether
disclosure may reveal trade secrets; (iv) whether disclosure could
reasonably result in retaliation against the client; (v) whether disclo-
sure may cause undue harm to the client; (vi) whether disclosure may
result in undue harm to the attorney-client relationship; and (vii)
whether disclosure may result in an unnecessary invasion of privacy to
the client.
The [joint commission] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or,
as the case may be, the office of court administration shall promptly
make a final determination in response to such request, which shall
include an explanation for its determination. The office of court
administration shall issue its final determination within three days of
receiving the request. Notwithstanding any other provision of law or any
professional disciplinary rule to the contrary, the disclosure of the
identity of any client or customer in response to this question shall
not constitute professional misconduct or a ground for disciplinary
action of any kind, or form the basis for any civil or criminal cause of
action or proceeding. A reporting individual who first enters public
office after January first, two thousand sixteen, need not report
clients or customers with respect to matters for which the reporting
individual or his or her firm was retained prior to entering public
office.
(c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN:
If the reporting individual receives income of ten thousand dollars or
greater from any employment or activity reportable under question 8(a),
identify each registered lobbyist who has directly referred to such
individual a client who was successfully referred to the reporting indi-
vidual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to be a
registered lobbyist at the time the referral is made. With respect to
each such referral, the reporting individual shall identify the client,
A. 6602 23
the registered lobbyist who has made the referral, the category of value
of the compensation received and a general description of the type of
matter so referred. A reporting individual need not disclose activities
performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
(f) of subdivision seven of section seventy-three of this article. The
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or his or her firm or if federal
law prohibits or limits disclosure. The reporting individual need not
identify any client to whom he or she or his or her firm provided legal
representation with respect to investigation or prosecution by law
enforcement authorities, bankruptcy, family court, estate planning, or
domestic relations matters, nor shall the reporting individual identify
individuals represented pursuant to an insurance policy but the report-
ing individual shall in such circumstances only report the entity that
provides compensation to the reporting individual; with respect to
matters in which the client's name is required by law to be kept confi-
dential (such as matters governed by the family court act) or in matters
in which the reporting individual represents or provides services to
minors, the client's name may be replaced with initials. To the extent
that the reporting individual, or his or her firm, provided legal repre-
sentation with respect to an initial public offering, and federal law or
regulations restricts the disclosure of information relating to such
work, the reporting individual shall (i) disclose the identity of the
client and the services provided relating to the initial public offering
to the office of court administration, who will maintain such informa-
tion confidentially in a locked box; and (ii) include in his or her
response a statement that pursuant to this paragraph, a disclosure to
the office of court administration has been made. Upon such time that
the disclosure of information maintained in the locked box is no longer
restricted by federal law or regulation, the reporting individual shall
disclose such information in an amended disclosure statement in response
to the disclosure requirements of this paragraph. The office of court
administration shall develop and maintain a secure portal through which
information submitted to it pursuant to this paragraph can be safely and
confidentially stored. With respect to clients represented in other
matters not otherwise exempt, the reporting individual may request an
exemption to publicly disclosing the name of that client from the [joint
commission pursuant to paragraph (i-1) of subdivision nine of section
ninety-four of the executive law] DEPARTMENT OF OVERSIGHT AND INVESTI-
GATION, or from the office of court administration. In such application,
the reporting individual shall state the following: "My client is not
currently receiving my services or seeking my services in connection
with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
A. 6602 24
In reviewing the request for an exemption, the [joint commission]
DEPARTMENT OF OVERSIGHT AND INVESTIGATION or the office of court admin-
istration may consult with bar or other professional associations and
the legislative ethics commission for individuals subject to its juris-
diction and may consider the rules of professional conduct. In making
its determination, the [joint commission] DEPARTMENT OF OVERSIGHT AND
INVESTIGATION or the office of court administration shall conduct its
own inquiry and shall consider factors including, but not limited to:
(i) the nature and the size of the client; (ii) whether the client has
any business before the state; and if so, how significant the business
is; and whether the client has any particularized interest in pending
legislation and if so how significant the interest is; (iii) whether
disclosure may reveal trade secrets; (iv) whether disclosure could
reasonably result in retaliation against the client; (v) whether disclo-
sure may cause undue harm to the client; (vi) whether disclosure may
result in undue harm to the attorney-client relationship; and (vii)
whether disclosure may result in an unnecessary invasion of privacy to
the client.
The [joint commission] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or,
as the case may be, the office of court administration shall promptly
make a final determination in response to such request, which shall
include an explanation for its determination. The office of court
administration shall issue its final determination within three days of
receiving the request. Notwithstanding any other provision of law or any
professional disciplinary rule to the contrary, the disclosure of the
identity of any client or customer in response to this question shall
not constitute professional misconduct or a ground for disciplinary
action of any kind, or form the basis for any civil or criminal cause of
action or proceeding. A reporting individual who first enters public
office after December thirty-first, two thousand fifteen, need not
report clients or customers with respect to matters for which the
reporting individual or his or her firm was retained prior to entering
public office.
Client Name of Lobbyist Description Category of Amount
of Matter (in Table 1)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
4. A reporting individual who knowingly and wilfully fails to file an
annual statement of financial disclosure or who knowingly and wilfully
with intent to deceive makes a false statement or gives information
which such individual knows to be false on such statement of financial
disclosure filed pursuant to this section shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars. Assessment of
a civil penalty hereunder shall be made by the [joint commission on
public ethics or by the legislative ethics commission, as the case may
be] DEPARTMENT OF OVERSIGHT AND INVESTIGATION OR THE LEGISLATIVE ETHICS
COMMISSION, with respect to persons subject to their respective juris-
dictions. The [joint commission on public ethics acting pursuant to
subdivision fourteen of section ninety-four of the executive law]
DEPARTMENT OF OVERSIGHT AND INVESTIGATION or the legislative ethics
commission acting pursuant to subdivision eleven of section eighty of
the legislative law, as the case may be, may, in lieu of or in addition
A. 6602 25
to a civil penalty, refer a violation to the appropriate prosecutor and
upon such conviction, but only after such referral, such violation shall
be punishable as a class A misdemeanor. A civil penalty for false filing
may not be imposed hereunder in the event a category of "value" or
"amount" reported hereunder is incorrect unless such reported informa-
tion is falsely understated. Notwithstanding any other provision of law
to the contrary, no other penalty, civil or criminal may be imposed for
a failure to file, or for a false filing, of such statement, except that
the appointing authority may impose disciplinary action as otherwise
provided by law. The [joint commission on public ethics] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION and the legislative ethics commission shall
each be deemed to be an agency within the meaning of article three of
the state administrative procedure act and shall adopt rules governing
the conduct of adjudicatory proceedings and appeals relating to the
assessment of the civil penalties herein authorized. Such rules, which
shall not be subject to the approval requirements of the state adminis-
trative procedure act, shall provide for due process procedural mech-
anisms substantially similar to those set forth in such article three
but such mechanisms need not be identical in terms or scope. Assessment
of a civil penalty shall be final unless modified, suspended or vacated
within thirty days of imposition and upon becoming final shall be
subject to review at the instance of the affected reporting individual
in a proceeding commenced against the [joint commission on public
ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or the legislative
ethics commission, pursuant to article seventy-eight of the civil prac-
tice law and rules.
§ 15. The opening paragraph of section 1-d of the legislative law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
In addition to any other powers and duties [provided by section nine-
ty-four of the executive law,] the [commission] DEPARTMENT OF OVERSIGHT
AND INVESTIGATION shall, with respect to its lobbying-related functions
only, have the power and duty to:
§ 16. Subdivision 3 of section 2986 of the public authorities law, as
added by chapter 506 of the laws of 2009, is amended to read as follows:
3. Any communications between an employee and the authorities budget
office pursuant to this section shall be held strictly confidential by
the authorities budget office, unless the employee specifically waives
in writing the right to confidentiality, except that such confidentiali-
ty shall not exempt the authorities budget office from disclosing such
information, where appropriate, to the [state inspector general in
accordance with section fifty-five of the executive law,] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION or prevent disclosure to any law enforcement
authority.
§ 17. Paragraph (a) of subdivision 1 of section 73 of the public offi-
cers law, as amended by section 1 of part A of chapter 399 of the laws
of 2011, is amended to read as follows:
(a) The term "compensation" shall mean any money, thing of value or
financial benefit conferred in return for services rendered or to be
rendered. With regard to matters undertaken by a firm, corporation or
association, compensation shall mean net revenues, as defined in accord-
ance with generally accepted accounting principles as defined by the
[joint commission on public ethics or] legislative ethics commission OR
THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION in relation to persons
subject to their respective jurisdictions.
A. 6602 26
§ 18. The opening paragraph of paragraph (a) of subdivision 6 of
section 73 of the public officers law, as amended by section 3 of part K
of chapter 286 of the laws of 2016, is amended to read as follows:
Every legislative employee not subject to the provisions of section
seventy-three-a of this chapter shall, on and after December fifteenth
and before the following January fifteenth, in each year, file with the
[joint commission on public ethics and the] legislative ethics commis-
sion a financial disclosure statement of
§ 19. Paragraph (h) of subdivision 8 of section 73 of the public offi-
cers law, as amended by section 10 of part A of chapter 399 of the laws
of 2011, is amended to read as follows:
(h) Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of this subdivision, a former state officer or employee
may contract individually, or as a member or employee of a firm, corpo-
ration or association, to render services to any state agency when the
agency head certifies in writing to the [joint commission on public
ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION that the services of
such former officer or employee are required in connection with the
agency's response to a disaster emergency declared by the governor
pursuant to section twenty-eight of the executive law.
§ 20. Subdivision 8-a of section 73 of the public officers law, as
amended by chapter 357 of the laws of 2001 and the opening paragraph as
amended by section 11 of part A of chapter 399 of the laws of 2011, is
amended to read as follows:
8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a) of
subdivision eight of this section shall not apply to any such former
state officer or employee engaged in any of the specific permitted
activities defined in this subdivision that are related to any civil
action or proceeding in any state or federal court, provided that the
attorney general has certified in writing to the [joint commission on
public ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION, with a copy to
such former state officer or employee, that the services are rendered on
behalf of the state, a state agency, state officer or employee, or other
person or entity represented by the attorney general, and that such
former state officer or employee has expertise, knowledge or experience
which is unique or outstanding in a field or in a particular matter or
which would otherwise be generally unavailable at a comparable cost to
the state, a state agency, state officer or employee, or other person or
entity represented by the attorney general in such civil action or
proceeding. In those instances where a state agency is not represented
by the attorney general in a civil action or proceeding in state or
federal court, a former state officer or employee may engage in permit-
ted activities provided that the general counsel of the state agency,
after consultation with the [joint commission on public ethics] DEPART-
MENT OF OVERSIGHT AND INVESTIGATION, provides to [the joint commission
on public ethics] SUCH DEPARTMENT a written certification which meets
the requirements of this subdivision. For purposes of this subdivision
the term "permitted activities" shall mean generally any activity
performed at the request of the attorney general or the attorney gener-
al's designee, or in cases where the state agency is not represented by
the attorney general, the general counsel of such state agency, includ-
ing without limitation:
(a) preparing or giving testimony or executing one or more affidavits;
(b) gathering, reviewing or analyzing information, including documen-
tary or oral information concerning facts or opinions, attending deposi-
tions or participating in document review or discovery;
A. 6602 27
(c) performing investigations, examinations, inspections or tests of
persons, documents or things;
(d) performing audits, appraisals, compilations or computations, or
reporting about them;
(e) identifying information to be sought concerning facts or opinions;
or
(f) otherwise assisting in the preparation for, or conduct of, such
litigation.
Nothing in this subdivision shall apply to the provision of legal
representation by any former state officer or employee.
§ 21. Subdivision 8-b of section 73 of the public officers law, as
amended by section 12 of part A of chapter 399 of the laws of 2011, is
amended to read as follows:
8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of subdivision eight of this section, a former state offi-
cer or employee may contract individually, or as a member or employee of
a firm, corporation or association, to render services to any state
agency if, prior to engaging in such service, the agency head certifies
in writing to the [joint commission on public ethics] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION that such former officer or employee has
expertise, knowledge or experience with respect to a particular matter
which meets the needs of the agency and is otherwise unavailable at a
comparable cost. Where approval of the contract is required under
section one hundred twelve of the state finance law, the comptroller
shall review and consider the reasons for such certification. The [joint
commission on public ethics] DEPARTMENT OF OVERSIGHT AND INVESTIGATION
must review and approve all certifications made pursuant to this subdi-
vision.
§ 22. Subdivision 10 of section 73 of the public officers law, as
amended by section 5 of part K of chapter 286 of the laws of 2016, is
amended to read as follows:
10. Nothing contained in this section, the judiciary law, the educa-
tion law or any other law or disciplinary rule shall be construed or
applied to prohibit any firm, association or corporation, in which any
present or former statewide elected official, state officer or employee,
or political party chairman, member of the legislature or legislative
employee is a member, associate, retired member, of counsel or share-
holder, from appearing, practicing, communicating or otherwise rendering
services in relation to any matter before, or transacting business with
a state agency, or a city agency with respect to a political party
chairman in a county wholly included in a city with a population of more
than one million, otherwise proscribed by this section, the judiciary
law, the education law or any other law or disciplinary rule with
respect to such official, member of the legislature or officer or
employee, or political party chairman, where such statewide elected
official, state officer or employee, member of the legislature or legis-
lative employee, or political party chairman does not share in the net
revenues, as defined in accordance with generally accepted accounting
principles by the [joint commission on public ethics or by the] legisla-
tive ethics commission OR THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION
in relation to persons subject to their respective jurisdictions,
resulting therefrom, or, acting in good faith, reasonably believed that
he or she would not share in the net revenues as so defined; nor shall
anything contained in this section, the judiciary law, the education law
or any other law or disciplinary rule be construed to prohibit any firm,
association or corporation in which any present or former statewide
A. 6602 28
elected official, member of the legislature, legislative employee, full-
time salaried state officer or employee or state officer or employee who
is subject to the provisions of section seventy-three-a of this article
is a member, associate, retired member, of counsel or shareholder, from
appearing, practicing, communicating or otherwise rendering services in
relation to any matter before, or transacting business with, the court
of claims, where such statewide elected official, member of the legisla-
ture, legislative employee, full-time salaried state officer or employee
or state officer or employee who is subject to the provisions of section
seventy-three-a of this article does not share in the net revenues, as
defined in accordance with generally accepted accounting principles by
the [joint commission on public ethics or by the] legislative ethics
commission OR THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION in relation
to persons subject to their respective jurisdictions, resulting there-
from, or, acting in good faith, reasonably believed that he or she would
not share in the net revenues as so defined.
§ 23. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided that the
amendment to subdivision 3 of section 212 of the racing, pari-mutuel
wagering and breeding law made by section three of this act shall not
affect the repeal of such section and shall be deemed repealed there-
with.
§ 3. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair, or invalidate the remainder thereof, but shall be confined in
its operation to the clause, sentence, paragraph, subdivision, section
or part thereof directly involved in the controversy in which such judg-
ment shall have been rendered. It is hereby declared to be the intent of
the legislature that this act would have been enacted even if such
invalid provisions had not been included herein.
§ 4. This act shall take effect immediately; provided, however, that
the applicable effective dates of Parts A through D of this act shall be
as specifically set forth in the last section of such Parts.