NY State Senate Bill 2009-S4264

Archive: Last Bill Status - In Senate Committee Finance Committee

Introduced
- In Committee Assembly
- In Committee Senate
- On Floor Calendar Assembly
- On Floor Calendar Senate
- Passed Assembly
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Delivered to Governor
Signed By Governor

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Date of Action	Assembly Actions - Lowercase Senate Actions - UPPERCASE
Jan 06, 2010	referred to finance
Apr 20, 2009	referred to finance

co-Sponsors

2009-S4264 (ACTIVE) - Details

Current Committee:: Senate Finance
Law Section:: Executive Law
Laws Affected:: Amd §94, Exec L

2009-S4264 (ACTIVE) - Summary

Imposes a penalty for obstruction of a commission investigation.

2009-S4264 (ACTIVE) - Sponsor Memo

                                 BILL NUMBER:  S4264

 TITLE OF BILL :

An act to amend the executive law, in relation to imposing a penalty
for obstruction of a commission investigation


 PURPOSE OF THE BILL :

To amend Executive Law § 94 to authorize the Commission on Public
Integrity ("Commission") to impose a penalty of up to $10,000 against
any individual or entity acting with intent to obstruct a Commission
investigation.

 SUMMARY OF PROVISIONS :

Section one amends paragraphs (a) and (b) of Executive Law §94(12) to
make certain technical changes to the law.

Section two re-letters the former paragraph (c) of Executive Law.

§94(12) as paragraph (d), and adds a new paragraph (c), establishing a
procedure by which the Commission would pursue any individual or
entity acting with intent to obstruct a Commission investigation.

Section three amends Executive Law §94( 13) authorizing the imposition
of penalty of up to $10,000 against any individual or entity acting
with intent to obstruct a Commission investigation.

Section four of the proposal amends paragraph (d) of Executive Law

§94(16) to authorize the Commission to impose a civil penalty of up to
$10,000 against any individual or entity acting with intent to
obstruct a Commission investigation.

Section five provides for an immediate effective date.

 EXISTING LAW :

Executive Law §94(16)(d) authorizes the Commission to conduct any
investigation necessary to carry out its statutory responsibilities.
Pursuant to this power. the Commission may administer oaths or
affirmations, subpoena witnesses, compel their attendance and require
the production of any books or records which it may deem relevant or
material.

 PRIOR LEGISLATIVE HISTORY :

This is a new proposal.

 STATEMENT IN SUPPORT :

As the Commission reported in its  INVESTIGATION INTO THE ALLEGED
MISUSE OF RESOURCES OF THE DIVISION OF STATE POLICE , the Executive
Chamber"...substantially delayed the Commission's investigation" when,
over a ten month period, it routinely produced documents on a
piecemeal basis, after claiming that it had complied with the
Commission's subpoena. The Commission's experience with the Executive
Chamber represents an extreme example of what can occur when
individuals within an agency seek to delay or thwart a Commission
investigation. While judicial intervention is a remedy in such
instances, the ability of the Commission to assess a penalty for acts
intended to obstruct a Commission investigation may serve as a
significant deterrent to such actions and obviate the need for court
action.
The procedure for commencing this action requires the Commission to
notify the individual or entity in writing of its intent to pursue an
obstruction charge and seek the imposition of a civil penalty.  This
notification, a copy of which will be forwarded to the hearing
officer, shall include any information or evidence pertaining to the
allegation. The individual or entity may respond to the allegations
directly to the hearing officer within five days of the date of
notification. Within ten days of the date of notification, the hearing
officer must provide a recommendation to the Commission concerning the
appropriate penalty to be assessed, if any, with a copy of such
recommendation to the individual or entity.  The Commission must issue
a final determination as soon as is practicable. This procedure
affords the individual or entity an opportunity to respond in writing
to a neutral third party concerning the obstruction allegation. The
Commission is not precluded from referring the matter to a prosecutor
or other appropriate authority.

 BUDGET IMPLICATIONS :

None.

 EFFECTIVE DATE :
This act shall take effect immediately.

2009-S4264 (ACTIVE) - Bill Text download pdf

                            
                    S T A T E   O F   N E W   Y O R K
________________________________________________________________________

                                  4264

                       2009-2010 Regular Sessions

                            I N  S E N A T E

                             April 20, 2009
                               ___________

Introduced  by  Sen.  KRUGER  --  (at request of the State Commission on
  Public Integrity) -- read twice and ordered printed, and when  printed
  to be committed to the Committee on Finance

AN ACT to amend the executive law, in relation to imposing a penalty for
  obstruction of a commission investigation

  THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:

  Section 1. Paragraphs (a) and (b) of subdivision 12 of section  94  of
the  executive  law,  as  amended by chapter 14 of the laws of 2007, are
amended to read as follows:
  (a) If the commission receives a sworn complaint alleging a  violation
of  section seventy-three, seventy-three-a or seventy-four of the public
officers law, section one hundred seven of  the  civil  service  law  or
article  one-A  of  the legislative law by a person or entity subject to
the jurisdiction of the commission, or if  a  reporting  individual  has
filed   a   statement  which  reveals  a  possible  violation  of  these
provisions, or if the commission determines on  its  own  initiative  to
investigate  a possible violation, the commission shall notify the indi-
vidual OR ENTITY in writing, describe the possible or alleged  violation
of  such  laws  and  provide  the  [person]  INDIVIDUAL OR ENTITY with a
fifteen day period in which to submit a written response  setting  forth
information  relating  to  the activities cited as a possible or alleged
violation of law. If the commission  thereafter  makes  a  determination
that further inquiry is justified, it shall give the individual OR ENTI-
TY  an  opportunity  to  be  heard. The commission shall also inform the
individual OR ENTITY of its rules regarding the conduct of  adjudicatory
proceedings and appeals and the due process procedural mechanisms avail-
able  to such individual OR ENTITY.  If the commission determines at any
stage of the proceeding, that there is no violation or that  any  poten-
tial  conflict  of  interest  violation  has been rectified, it shall so
advise the individual OR ENTITY and the complainant, if any. All of  the
foregoing proceedings shall be confidential.
  (b)  If  the  commission  determines that there is reasonable cause to
believe that a violation has occurred, it shall send a notice of reason-

 EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                      [ ] is old law to be omitted.
                                                           LBD08303-01-9

S. 4264                             2

able cause: (i) to the reporting person OR ENTITY; (ii) to the complain-
ant if any; (iii) in the case of a statewide elected  official,  to  the
temporary  president  of the senate and the speaker of the assembly; and
(iv)  in  the  case  of  a  state officer or employee, to the appointing
authority for such person.
  S 2. Paragraph (c) of subdivision 12 of section 94  of  the  executive
law is relettered paragraph (d) and a new paragraph (c) is added to read
as follows:
  (C)  IF  THE  COMMISSION  DETERMINES DURING THE COURSE OF ITS INVESTI-
GATION THAT ANY INDIVIDUAL OR ENTITY HAS ACTED WITH INTENT  TO  OBSTRUCT
SUCH  INVESTIGATION  AND THAT IMPOSITION OF A CIVIL PENALTY AGAINST SUCH
INDIVIDUAL OR ENTITY IS APPROPRIATE, THE  COMMISSION  SHALL  NOTIFY  THE
INDIVIDUAL  OR  ENTITY  IN  WRITING  THAT  IT  WILL SEEK A CIVIL PENALTY
AGAINST SUCH INDIVIDUAL OR ENTITY, INCLUDING ANY INFORMATION OR EVIDENCE
PERTAINING TO THE ALLEGATION.  A  COPY  OF  THE  NOTIFICATION  SHALL  BE
FORWARDED  TO  THE  HEARING  OFFICER  FOR REVIEW AND RECOMMENDATION. THE
INDIVIDUAL OR ENTITY MAY RESPOND TO  THE  ALLEGATIONS  DIRECTLY  TO  THE
HEARING OFFICER WITHIN FIVE DAYS OF THE DATE OF NOTIFICATION. WITHIN TEN
DAYS  OF  THE DATE OF NOTIFICATION, THE HEARING OFFICER SHALL TRANSMIT A
RECOMMENDATION TO THE COMMISSIONER CONCERNING THE APPROPRIATE PENALTY TO
BE ASSESSED, IF ANY. A COPY OF THE RECOMMENDATION SHALL  BE  TRANSMITTED
TO  THE  INDIVIDUAL  OR  ENTITY. AS SOON AS IS PRACTICAL, THE COMMISSION
SHALL ISSUE A FINAL DECISION. THE COMMISSION MAY ADOPT  THE  RECOMMENDA-
TION  OF  THE  HEARING  OFFICER  IN  WHOLE OR IN PART OR IT MAY REVERSE,
REMAND OR DISMISS THE HEARING OFFICER'S RECOMMENDATION. THE COMMISSION'S
ASSESSMENT OF A CIVIL PENALTY MADE PURSUANT TO THIS  SECTION  SHALL  NOT
PRECLUDE  ITS  REFERRAL  TO  THE  EXTENT  AUTHORIZED  BY  LAW  OF  OTHER
VIOLATIONS OF LAW TO A PROSECUTOR OR APPROPRIATE AUTHORITY FOR ACTION.
  S 3. 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
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 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 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 seven-
ty-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 bene-
fit 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.  ANY INDIVIDUAL OR ENTITY  ACTING  WITH
INTENT  TO  OBSTRUCT  A  COMMISSION  INVESTIGATION SHALL BE SUBJECT TO A

S. 4264                             3

CIVIL PENALTY IN AN AMOUNT NOT TO EXCEED TEN THOUSAND  DOLLARS.  Assess-
ment  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 criminal 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  here-
under  in the event a category of "value" or "amount" reported hereunder
is incorrect unless such reported information  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 otherwise provided by law. The commis-
sion may refer violations of this subdivision to the appointing authori-
ty  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  author-
ized  in  paragraph  (h)  or  paragraph  (i) of subdivision nine of this
section. Such rules, which shall not be subject to the approval require-
ments 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 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  4.  Paragraph  (d) of subdivision 16 of section 94 of the executive
law, as amended by chapter 14 of the laws of 2007, is amended to read as
follows:
  (d) Conduct any investigation necessary to carry out the provisions of
this section. Pursuant to this power and duty, the commission may admin-
ister oaths or affirmations, subpoena witnesses, compel their attendance
and require the production of any books or records  which  it  may  deem
relevant  or  material.  ANY  INDIVIDUAL OR ENTITY ACTING WITH INTENT TO
OBSTRUCT A COMMISSION INVESTIGATION SHALL BE SUBJECT TO A CIVIL  PENALTY
IN AN AMOUNT NOT TO EXCEED TEN THOUSAND DOLLARS;
  S 5. This act shall take effect immediately.

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Senate Bill S4264

Sponsored By

Archive: Last Bill Status - In Senate Committee Finance Committee

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co-Sponsors

2009-S4264 (ACTIVE) - Details

2009-S4264 (ACTIVE) - Summary

2009-S4264 (ACTIVE) - Sponsor Memo

2009-S4264 (ACTIVE) - Bill Text download pdf

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Sponsored By

Carl Kruger

Archive: Last Bill Status - In Senate Committee Finance Committee

Actions

co-Sponsors

Liz Krueger

2009-S4264 (ACTIVE) - Details

2009-S4264 (ACTIVE) - Summary

2009-S4264 (ACTIVE) - Sponsor Memo

2009-S4264 (ACTIVE) - Bill Text download pdf

Comments