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

                                  2304

                       2011-2012 Regular Sessions

                          I N  A S S E M B L Y

                            January 18, 2011
                               ___________

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.
                                                           LBD06173-01-1
              

A. 2304                             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. 2304                             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.