S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                   4409
 
                        2023-2024 Regular Sessions
 
                             I N  S E N A T E
 
                             February 8, 2023
                                ___________
 
 Introduced by Sen. FERNANDEZ -- 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 the office of state
   inspector general
 
   THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
 BLY, DO ENACT AS FOLLOWS:

   Section 1. Subdivisions 1, 2 and 3 of section 52 of the executive law,
 as  added  by  chapter  766  of the laws of 2005, are amended to read as
 follows:
   1. There is hereby established  the  office  of  the  state  inspector
 general in the executive department. The head of the office shall be the
 state  inspector  general  who  shall  be  appointed by the governor AND
 CONFIRMED BY THE STATE SENATE. THE STATE  INSPECTOR  GENERAL  SHALL  NOT
 HAVE  WORKED FOR ANY COVERED AGENCY, REGISTERED LOBBYIST, OR ENTITY WITH
 A STATE CONTRACT IN THE LAST FIVE YEARS.
   2. The state inspector general shall hold office [until the end of the
 term of the governor by whom he or she was appointed and  until  his  or
 her successor is appointed and has qualified] FOR SIX YEARS.
   3.  The  state  inspector general shall report to the secretary to the
 governor AND THE LEGISLATURE. IT SHALL BE THE DUTY AND RESPONSIBILITY OF
 THE STATE INSPECTOR GENERAL TO KEEP THE SECRETARY TO  THE  GOVERNOR  AND
 THE  LEGISLATURE  FULLY  AND  CURRENTLY  INFORMED  BY  MEANS  OF REPORTS
 REQUIRED BY SECTION FIFTY-THREE OF THIS ARTICLE AND OTHERWISE,  CONCERN-
 ING  CORRUPTION,  FRAUD,  CRIMINAL  ACTIVITY,  CONFLICTS  OF INTEREST OR
 ABUSE, TO RECOMMEND CORRECTIVE ACTION CONCERNING SUCH PROBLEMS,  ABUSES,
 AND  DEFICIENCIES,  AND  TO  REPORT ON THE PROGRESS MADE IN IMPLEMENTING
 SUCH CORRECTIVE ACTION.
   § 2. Subdivision 4 of section 53 of the executive  law,  as  added  by
 chapter 766 of the laws of 2005, is amended, subdivisions 5, 6 and 7 are
 renumbered  subdivisions  7, 8 and 9, and four new subdivisions 5, 6, 10
 and 11 are added to read as follows:
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
                                                            LBD04755-02-3
              

 S. 4409                             2
 
   4. prepare and release to  the  LEGISLATURE  AND  THE  public  written
 reports of such investigations, as appropriate and to the extent permit-
 ted  by  law,  subject  to  redaction  to protect the confidentiality of
 witnesses. The release of  all  or  portions  of  such  reports  may  be
 deferred to protect the confidentiality of ongoing investigations;
   5.  PUBLISH WITHIN FOURTEEN DAYS ON ITS PUBLICLY AVAILABLE WEBSITE THE
 NUMBER OF COMPLAINTS RECEIVED IN THE PRIOR MONTH, THE METHOD OF RECEIPT,
 THE AGENCY OR AUTHORITY INVOLVED IN EACH COMPLAINT,  AND  CLASSIFICATION
 OF  EACH  COMPLAINT.  SUCH  DATA SHALL ALSO BE SHARED WITH THE OPEN DATA
 WEBSITE DATA.NY.GOV OR SUCH OTHER SUCCESSOR WEBSITE MAINTAINED BY, OR ON
 BEHALF OF, THE STATE, AS DEEMED APPROPRIATE BY THE NEW YORK STATE OFFICE
 OF INFORMATION TECHNOLOGY SERVICES UNDER EXECUTIVE ORDER NINETY-FIVE  OF
 TWO THOUSAND THIRTEEN, OR ANY SUCCESSOR AGENCY OR ORDER.
   6.  REPORT  IMMEDIATELY  TO THE SECRETARY OF THE GOVERNOR WHENEVER THE
 STATE  INSPECTOR  GENERAL  BECOMES  AWARE  OF  PARTICULARLY  SERIOUS  OR
 FLAGRANT  CASES  OF  CORRUPTION,  FRAUD, CRIMINAL ACTIVITY, CONFLICTS OF
 INTEREST OR ABUSE, EXCEPT IN CASES WHERE DOING SO WOULD  INTERFERE  WITH
 AN  ONGOING INVESTIGATION.  THE SECRETARY TO THE GOVERNOR SHALL TRANSMIT
 ANY SUCH REPORT TO THE APPROPRIATE COMMITTEES OF THE LEGISLATURE  WITHIN
 SEVEN  CALENDAR  DAYS,  TOGETHER  WITH  A REPORT BY THE SECRETARY TO THE
 GOVERNOR CONTAINING ANY COMMENTS SUCH HEAD DEEMS APPROPRIATE;
   10. (A) PROVIDE AN ANNUAL REPORT NO LATER THAN  DECEMBER  THIRTY-FIRST
 TO  THE  LEGISLATURE  SUMMARIZING  THE ACTIVITIES OF THE OFFICE OVER THE
 LAST YEAR, INCLUDING:
   (I) AGGREGATED DATA ABOUT  ALL  COMPLAINTS  RECEIVED  BY  THE  OFFICE,
 INCLUDING BUT NOT LIMITED TO:
   (1) NUMBER OF COMPLAINTS;
   (2) NUMBER OF COMPLAINTS RECEIVED DISAGGREGATED BY TYPE OF SOURCE;
   (3)  ALLEGED  VIOLATIONS DISAGGREGATED BY SUBJECT TYPE AND POLICIES OR
 LAWS VIOLATED;
   (4) NUMBER OF COMPLAINTS DISMISSED WITHOUT INVESTIGATION;
   (5) NUMBER OF COMPLAINTS REFERRED BY AGENCY OR ENTITY REFERRED TO;
   (6) NUMBER OF COMPLAINTS INVESTIGATED;
   (7) NUMBER OF CASES FOR WHICH ALLEGATIONS ARE SUBSTANTIATED  IN  WHOLE
 OR PART;
   (8)  TYPES  OF SUBSTANTIATED VIOLATIONS, DISAGGREGATED BY SUBJECT TYPE
 AND POLICIES OR LAWS VIOLATED, FOR CLOSED CASES;
   (9) NUMBER OF CASES SETTLED, WITH SETTLEMENTS DISAGGREGATED BY TYPE;
   (10) NUMBER OF CASES FOR WHICH PENALTIES ARE ASSESSED;
   (11) TYPES OF PENALTIES ASSESSED DISAGGREGATED BY TYPE;
   (12) NUMBER OF OPEN CASES; AND
   (13) THE DURATION OF CASES INCLUDING MEDIAN, AVERAGE, AND  PERCENTAGES
 OF CASES TAKING PARTICULAR PERIODS OF TIME;
   (II) A DESCRIPTION OF SIGNIFICANT CASES OF CORRUPTION, FRAUD, CRIMINAL
 ACTIVITY,  CONFLICTS  OF  INTEREST  OR  ABUSE  WITHIN  COVERED  AGENCIES
 DISCLOSED BY SUCH ACTIVITIES DURING THE REPORTING PERIOD;
   (III) A DESCRIPTION OF THE RECOMMENDATIONS FOR CORRECTIVE ACTION  MADE
 BY  THE  OFFICE  DURING THE REPORTING PERIOD WITH RESPECT TO SIGNIFICANT
 CASES OF CORRUPTION, FRAUD, CRIMINAL ACTIVITY, CONFLICTS OF INTEREST  OR
 ABUSE IDENTIFIED PURSUANT TO THIS PARAGRAPH;
   (IV) AN IDENTIFICATION OF EACH SIGNIFICANT RECOMMENDATION DESCRIBED IN
 PREVIOUS  ANNUAL  REPORTS  ON  WHICH  CORRECTIVE  ACTION  HAS  NOT  BEEN
 COMPLETED;
   (V) A SUMMARY OF MATTERS REFERRED TO PROSECUTIVE AUTHORITIES  AND  THE
 PROSECUTIONS AND CONVICTIONS WHICH HAVE RESULTED;
 S. 4409                             3
 
   (VI)  A REPORT ON EACH INVESTIGATION CONDUCTED BY THE OFFICE INVOLVING
 A SENIOR  GOVERNMENT  EMPLOYEE  WHERE  ALLEGATIONS  OF  MISCONDUCT  WERE
 SUBSTANTIATED,  INCLUDING THE NAME OF THE SENIOR GOVERNMENT OFFICIAL, AS
 DEFINED BY THE DEPARTMENT OR AGENCY,  IF  ALREADY  MADE  PUBLIC  BY  THE
 OFFICE, AND A DETAILED DESCRIPTION OF:
   (1) THE FACTS AND CIRCUMSTANCES OF THE INVESTIGATION; AND
   (2) THE STATUS AND DISPOSITION OF THE MATTER, INCLUDING:
   (A)  IF THE MATTER WAS REFERRED TO THE LOCAL, STATE, OR FEDERAL PROSE-
 CUTORS, THE DATE OF THE REFERRAL; AND
   (B) IF THE AGENCY DECLINED THE REFERRAL, THE DATE OF THE DECLINATION;
   (VII) A DETAILED DESCRIPTION OF ANY INSTANCE OF WHISTLEBLOWER  RETALI-
 ATION, INCLUDING INFORMATION ABOUT THE OFFICIAL FOUND TO HAVE ENGAGED IN
 RETALIATION;  AND  WHAT, IF ANY, CONSEQUENCES THE ESTABLISHMENT ACTUALLY
 IMPOSED TO HOLD THE OFFICIAL ACCOUNTABLE;
   (VIII) A DETAILED DESCRIPTION OF ANY ATTEMPT BY  COVERED  AGENCIES  TO
 INTERFERE WITH THE INDEPENDENCE OF THE OFFICE, INCLUDING INCIDENTS WHERE
 THE  AGENCY  HAS  RESISTED  OR  OBJECTED  TO OVERSIGHT ACTIVITIES OF THE
 OFFICE OR RESTRICTED OR SIGNIFICANTLY  DELAYED  ACCESS  TO  INFORMATION,
 INCLUDING THE JUSTIFICATION OF THE AGENCY FOR SUCH ACTION;
   (B)  THESE REPORTS MUST BE MADE AVAILABLE TO THE PUBLIC WITH NECESSARY
 REDACTIONS WITHIN THIRTY DAYS OF THEIR DELIVERY TO THE LEGISLATURE.
   11. PUBLISH ON ITS PUBLICLY ACCESSIBLE WEBSITE INFORMATION  ABOUT  THE
 OFFICE'S  DUTIES  AND  RESPONSIBILITIES,  INCLUDING  A PUBLIC PROCEDURES
 MANUAL FOR HOW AN ENFORCEMENT COMPLAINT IS FILED,  OPENED,  INVESTIGATED
 AND RESOLVED.
   §  3. This act shall take effect on the first of January next succeed-
 ing the date on which it shall have become a law.