S T A T E O F N E W Y O R K
________________________________________________________________________
1885
2009-2010 Regular Sessions
I N A S S E M B L Y
January 14, 2009
___________
Introduced by M. of A. DESTITO, CAHILL -- read once and referred to the
Committee on Governmental Operations
AN ACT to amend the public officers law and the executive law, in
relation to the imposition of penalties by the state ethics commission
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Subdivision 18 of section 73 of the public officers law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
18. In addition to any penalty contained in any other provision of
law, any person who knowingly and intentionally violates the provisions
of subdivisions two through five, seven, eight, twelve or fourteen
through seventeen of this section shall be subject to a civil penalty in
an amount not to exceed forty thousand dollars and [the value] AN AMOUNT
EQUAL TO DISGORGEMENT of any gift, compensation or benefit received in
connection with such violation. Assessment of a civil penalty hereunder
shall be made by the state oversight body with jurisdiction over such
person. A state oversight body acting pursuant to its jurisdiction, may,
in lieu of a civil penalty, with respect to a violation of subdivisions
two through five, seven or eight of this section, refer a violation of
any such subdivision to the appropriate prosecutor and upon such
conviction such violation shall be punishable as a class A misdemeanor.
S 2. Subdivision 13 of section 94 of the executive law, as amended by
chapter 14 of the laws of 2007, is amended to read as follows:
13. An individual subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions of subdivisions two
through five, seven, eight, twelve or fourteen through seventeen of
section seventy-three of the public officers law, section one hundred
seven of the civil service law, or 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
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD04384-01-9
A. 1885 2
statement or fraudulent omission or gives information which such indi-
vidual knows to be false on such statement of financial disclosure filed
pursuant to section seventy-three-a of the public officers law shall be
subject to a civil penalty in an amount not to exceed forty thousand
dollars and [the value] AN AMOUNT EQUAL TO DISGORGEMENT of any gift,
compensation or benefit received as a result of such violation. An indi-
vidual who knowingly and intentionally violates the provisions of para-
graph b, c, d or i of subdivision three of section seventy-four of the
public officers law 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 provisions of paragraph a, e or
g of subdivision three of section seventy-four of the public officers
law 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 commission
who knowingly and willfully violates article one-A of the legislative
law shall be subject to civil penalty as provided for in that article.
Assessment of a civil penalty hereunder shall be made by the commission
with respect to persons subject to its jurisdiction. In assessing the
amount of the civil penalties to be imposed, the commission shall
consider the seriousness of the violation, the amount of gain to the
individual and whether the individual previously had any civil or crimi-
nal penalties imposed pursuant to this section, and any other factors
the commission deems appropriate. For a violation of this subdivision,
other than for conduct which constitutes a violation of section one
hundred seven of the civil service law, subdivisions twelve or fourteen
through seventeen of section seventy-three or section seventy-four of
the public officers law or article one-A of the legislative law, the
commission may, in lieu of a civil penalty, refer a violation to the
appropriate prosecutor and upon such conviction, 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, or a
violation of section seventy-three of the public officers law, except
that the appointing authority may impose disciplinary action as other-
wise provided by law. The commission may refer violations of this subdi-
vision to the appointing authority for disciplinary action as otherwise
provided by law. The commission 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 adjudicatory 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 herein authorized and commission
denials of requests for certain deletions or exemptions to be made from
a financial disclosure statement as authorized in paragraph (h) or para-
graph (i) of subdivision nine of this section. 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 article three of the state
administrative procedure act but such mechanisms need not be identical
in terms or scope. Assessment of a civil penalty or commission denial of
such a request shall be final unless modified, suspended or vacated
A. 1885 3
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 commission, pursuant to article seventy-eight of the civil
practice law and rules.
S 3. This act shall take effect immediately.