S T A T E O F N E W Y O R K
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7162
2017-2018 Regular Sessions
I N A S S E M B L Y
April 11, 2017
___________
Introduced by M. of A. BUCHWALD -- read once and referred to the Commit-
tee on Governmental Operations
AN ACT to amend the executive law, in relation to accomplice liability
for certain violations under the jurisdiction of the joint commission
on public ethics
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Subdivision 14 of section 94 of the executive law, as
amended by section 6 of part A of chapter 399 of the laws of 2011, is
amended to read as follows:
14. An individual subject to the jurisdiction of the commission who
knowingly and intentionally violates the provisions of subdivisions two
through five-a, 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, OR AN
INDIVIDUAL, ACTING WITH THE MENTAL CULPABILITY REQUIRED FOR THE COMMIS-
SION THEREOF, WHO SOLICITS, REQUESTS, COMMANDS, IMPORTUNES, OR INTEN-
TIONALLY AIDS ANOTHER PERSON TO ENGAGE IN ANY OF THE ABOVEMENTIONED
CONDUCT, shall be subject to a civil penalty in an amount not to exceed
forty thousand dollars and the value of any gift, compensation or bene-
fit received as a result of such violation. An individual OR ENTITY who
knowingly and intentionally violates the provisions of paragraph a, b,
c, d, e, g, or i of subdivision three of section seventy-four of the
public officers law, OR AN INDIVIDUAL, ACTING WITH THE MENTAL CULPABILI-
TY REQUIRED FOR THE COMMISSION THEREOF, WHO SOLICITS, REQUESTS,
COMMANDS, IMPORTUNES, OR INTENTIONALLY AIDS ANOTHER PERSON TO ENGAGE IN
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD10781-01-7
A. 7162 2
ANY OF THE ABOVEMENTIONED CONDUCT, 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 subject to the jurisdiction of the commission who knowingly
and willfully violates article one-A of the legislative law, OR AN INDI-
VIDUAL, ACTING WITH THE MENTAL CULPABILITY REQUIRED FOR THE COMMISSION
THEREOF, WHO SOLICITS, REQUESTS, COMMANDS, IMPORTUNES, OR INTENTIONALLY
AIDS ANOTHER PERSON OR ENTITY TO ENGAGE IN ANY OF THE ABOVEMENTIONED
CONDUCT, shall be subject to civil penalty as provided for in that arti-
cle. Except with respect to members of the legislature and legislative
employees, assessment of a civil penalty hereunder shall be made by the
commission with respect to persons subject to its jurisdiction. With
respect to a violation of any law other than sections seventy-three,
seventy-three-a, and seventy-four of the public officers law, where the
commission finds sufficient cause by a vote held in the same manner as
set forth in paragraph (b) of subdivision thirteen of this section, it
shall refer such matter to the appropriate prosecutor for further inves-
tigation. 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. Except with
respect to members of the legislature and legislative employees, 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 or in addi-
tion to 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 subdivision six of
section seventy-three of the public officers law, except that the
appointing authority may impose disciplinary action as otherwise
provided by law. The commission may refer violations of this subdivision
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
within thirty days of imposition, with respect to the assessment of such
A. 7162 3
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.
§ 2. This act shall take effect on the ninetieth day after it shall
have become a law.