Establishes the department of oversight and investigation; repealer
download bill text pdf| Date of Action |
Assembly Actions -
Lowercase Senate Actions - UPPERCASE |
|---|---|
| Feb 04, 2025 |
referred to governmental operations |
Establishes the department of oversight and investigation, providing for its powers, duties and functions (Part A); relates to repealing provisions relating to the commission on ethics and lobbying in government; relates to repealing provisions relating to the office of the state inspector general (Part B); provides for the transfer of the functions, powers and duties of the commission on ethics and lobbying in government, the office of the state inspector general and the former temporary state commission of investigation to the department of oversight and investigation (Part C)
S T A T E O F N E W Y O R K
________________________________________________________________________
4700
2025-2026 Regular Sessions
I N A S S E M B L Y
February 4, 2025
___________
Introduced by M. of A. SEMPOLINSKI -- read once and referred to the
Committee on Governmental Operations
AN ACT to amend the public officers law, in relation to establishing the
department of oversight and investigation, providing for its powers,
duties and functions (Part A); to repeal section 94 of the executive
law relating to the commission on ethics and lobbying in government;
and to repeal article 4-A of the executive law relating to the office
of the state inspector general (Part B); in relation to providing for
the transfer of the functions, powers and duties of the commission on
ethics and lobbying in government, the office of the state inspector
general and the former temporary state commission of investigation to
the department of oversight and investigation (Part C); and to amend
the civil service law and the legislative law, in relation to the
commission on ethics and lobbying in government; to amend the racing,
pari-mutuel wagering and breeding law, in relation to membership on
the franchise oversight board; to amend the executive law and the
public authorities law, in relation to the state inspector general; to
amend the criminal procedure law, the executive law and the public
officers law, in relation to the former temporary state commission of
investigation; to amend the public officers law, in relation to the
commission on ethics and lobbying in government and the legislative
ethics commission; to repeal subdivision 68 of section 2.10 of the
criminal procedure law relating to the office of the state inspector
general; and to repeal chapter 989 of the laws of 1958 creating a
temporary state commission of investigation, relating thereto (Part D)
THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
BLY, DO ENACT AS FOLLOWS:
Section 1. Short title. This act shall be known and may be cited as
the "ethics reform act".
§ 2. This act enacts into law major components of legislation which
are necessary to establish meaningful ethics reform and oversight within
EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
[ ] is old law to be omitted.
LBD08145-01-5
A. 4700 2
the state of New York. Each component is wholly contained within a Part
identified as Parts A through D. The effective date for each particular
provision contained within such Part is set forth in the last section of
such Part. Any provision in any section contained within a Part, includ-
ing the effective date of the Part, which makes reference to a section
"of this act", when used in connection with that particular component,
shall be deemed to mean and refer to the corresponding section of the
Part in which it is found. Section four of this act sets forth the
general effective date of this act.
PART A
Section 1. The public officers law is amended by adding a new article
7-A to read as follows:
ARTICLE 7-A
DEPARTMENT OF OVERSIGHT AND INVESTIGATION
SECTION 113. DEFINITIONS.
113-A. ESTABLISHMENT OF DEPARTMENT OF OVERSIGHT AND INVESTI-
GATION.
113-B. BOARD OF PUBLIC INTEGRITY; ESTABLISHMENT, ORGANIZATION,
AND POWERS.
113-C. COMMISSIONER; APPOINTMENT, DUTIES, AND POWERS.
113-D. RESPONSIBILITIES OF COVERED AGENCIES, OFFICERS, AND
EMPLOYEES.
113-E. FINANCIAL DISCLOSURE.
113-F. INVESTIGATIONS; FINANCIAL DISCLOSURE AND ETHICAL
VIOLATIONS.
113-G. INVESTIGATION; OTHER.
113-H. VIOLATIONS.
113-I. ADJUDICATORY PROCESS.
§ 113. DEFINITIONS. AS USED IN THIS ARTICLE, THE FOLLOWING TERMS SHALL
HAVE THE FOLLOWING MEANING:
1. "DEPARTMENT" MEANS THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION AS
ESTABLISHED BY SECTION ONE HUNDRED THIRTEEN-A OF THIS ARTICLE.
2. "COMMISSIONER" MEANS THE COMMISSIONER OF THE DEPARTMENT OF OVER-
SIGHT AND INVESTIGATION.
3. "COVERED AGENCY" SHALL INCLUDE ALL EXECUTIVE BRANCH AGENCIES,
DEPARTMENTS, DIVISIONS, OFFICERS, BOARDS AND COMMISSIONS, PUBLIC AUTHOR-
ITIES, AND PUBLIC BENEFIT CORPORATIONS, THE HEADS OF WHICH ARE APPOINTED
BY THE GOVERNOR.
4. "BOARD" MEANS THE BOARD OF PUBLIC INTEGRITY ESTABLISHED BY SECTION
ONE HUNDRED THIRTEEN-B OF THIS ARTICLE.
§ 113-A. ESTABLISHMENT OF DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
1. THERE IS ESTABLISHED WITHIN NEW YORK STATE A DEPARTMENT OF OVERSIGHT
AND INVESTIGATION TO BE HEADED BY A COMMISSIONER APPOINTED PURSUANT TO
THIS ARTICLE. THE DEPARTMENT SHALL HAVE AND EXERCISE THE POWERS AND
DUTIES SET FORTH IN THIS ARTICLE WITH RESPECT TO ALL COVERED AGENCIES,
STATEWIDE ELECTED OFFICIALS, MEMBERS OF THE LEGISLATURE AND EMPLOYEES OF
THE LEGISLATURE, AND STATE OFFICERS AND EMPLOYEES, AS DEFINED IN
SECTIONS SEVENTY-THREE AND SEVENTY-THREE-A OF THIS CHAPTER, CANDIDATES
FOR STATEWIDE ELECTED OFFICE AND FOR THE SENATE OR ASSEMBLY, AND THE
POLITICAL PARTY CHAIR AS THAT TERM IS DEFINED IN SECTION SEVENTY-THREE-A
OF THIS CHAPTER, LOBBYISTS AND THE CLIENTS OF LOBBYISTS AS SUCH TERMS
ARE DEFINED IN ARTICLE ONE-A OF THE LEGISLATIVE LAW, AND INDIVIDUALS WHO
HAVE FORMERLY HELD SUCH POSITIONS, WERE LOBBYISTS OR CLIENTS OF LOBBY-
A. 4700 3
ISTS, AS SUCH TERMS ARE DEFINED IN ARTICLE ONE-A OF THE LEGISLATIVE LAW,
OR WHO HAVE FORMERLY BEEN SUCH CANDIDATES.
2. THE ESTABLISHMENT OF THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION
BY THIS ARTICLE, NOR ANY PROVISIONS CONTAINED HEREIN, SHALL BE DEEMED TO
HAVE REVOKED OR RESCINDED ANY REGULATIONS OR ADVISORY OPINIONS ISSUED BY
THE LEGISLATIVE ETHICS COMMISSION, THE COMMISSION ON ETHICS AND LOBBYING
IN GOVERNMENT, THE COMMISSION ON PUBLIC INTEGRITY, OR THE STATE ETHICS
COMMISSION AND THE TEMPORARY LOBBYING COMMISSION IN EFFECT UPON THE
EFFECTIVE DATE OF THIS ARTICLE.
3. THE DEPARTMENT SHALL UNDERTAKE A COMPREHENSIVE REVIEW OF ALL REGU-
LATIONS AND OPINIONS, WHICH WILL ADDRESS THE CONSISTENCY OF SUCH REGU-
LATIONS AND OPINIONS AMONG EACH OTHER, AND OF THE EFFECTIVENESS OF
EXISTING LAWS, REGULATIONS, GUIDANCE AND ETHICS ENFORCEMENT STRUCTURE TO
ADDRESS THE ETHICS OF COVERED PUBLIC OFFICIALS AND RELATED PARTIES. SUCH
REVIEW SHALL BE CONDUCTED WITH THE LEGISLATIVE ETHICS COMMISSION. THE
DEPARTMENT SHALL, BEFORE DECEMBER THIRTY-FIRST, TWO THOUSAND TWENTY-SIX,
REPORT TO THE GOVERNOR AND THE LEGISLATURE REGARDING SUCH REVIEW AND
SHALL PROPOSE ANY REGULATORY OR STATUTORY CHANGES AND ISSUE ANY ADVISORY
OPINIONS NECESSITATED BY SUCH REVIEW.
§ 113-B. BOARD OF PUBLIC INTEGRITY; ESTABLISHMENT, ORGANIZATION, AND
POWERS. 1. A. THERE SHALL BE CREATED WITHIN THE DEPARTMENT A BOARD, TO
BE KNOWN AS THE BOARD OF PUBLIC INTEGRITY, CONSISTING OF TWELVE MEMBERS
APPOINTED AS FOLLOWS: TWO MEMBERS APPOINTED BY THE SPEAKER OF THE ASSEM-
BLY; TWO MEMBERS APPOINTED BY THE TEMPORARY PRESIDENT OF THE SENATE; TWO
MEMBERS APPOINTED BY THE MINORITY LEADER OF THE ASSEMBLY; TWO MEMBERS
APPOINTED BY THE MINORITY LEADER OF THE SENATE; AND FOUR MEMBERS
APPOINTED BY THE GOVERNOR, PROVIDED, HOWEVER, THAT THE APPOINTMENTS BY
THE GOVERNOR SHALL BE MADE UPON THE RECOMMENDATION OF THE LEGISLATIVE
LEADERS. THE SPEAKER OF THE ASSEMBLY, THE TEMPORARY PRESIDENT OF THE
SENATE, THE MINORITY LEADER OF THE ASSEMBLY, AND THE MINORITY LEADER OF
THE SENATE SHALL EACH SUBMIT A LIST OF NO LESS THAN THREE NAMES TO THE
GOVERNOR FOR CONSIDERATION. THE GOVERNOR SHALL SELECT ONE NAME FROM EACH
OF THE LEGISLATIVE LEADER'S LISTS FOR APPOINTMENT TO THE BOARD.
B. EACH MEMBER OF THE BOARD SHALL SERVE A TERM OF FOUR YEARS, COMMENC-
ING ON THE FIRST OF JANUARY OF THE CALENDAR YEAR IN WHICH THE VACANCY ON
SUCH BOARD OCCURS; PROVIDED, HOWEVER, THAT THE MEMBERS INITIALLY
APPOINTED BY THE SENATE LEADERS, AND BY THE GOVERNOR UPON THE RECOMMEN-
DATION OF THE SENATE LEADERS, SHALL SERVE ONLY TWO YEARS. ALL SUBSEQUENT
APPOINTMENTS SHALL BE FOR A FULL FOUR-YEAR TERM.
C. ANY VACANCY OCCURRING ON THE BOARD SHALL BE FILLED WITHIN THIRTY
DAYS OF ITS OCCURRENCE IN THE SAME MANNER AS THE MEMBER WHOSE VACANCY IS
BEING FILLED WAS APPOINTED. A PERSON APPOINTED TO FILL A VACANCY OCCUR-
RING OTHER THAN BY EXPIRATION OF A TERM OF OFFICE SHALL BE APPOINTED FOR
THE UNEXPIRED TERM OF THE MEMBER THEY SUCCEED.
D. THERE SHALL BE NO EX-OFFICIO MEMBERS OF THE BOARD, AND NO MEMBER
SHALL DELEGATE THEIR DUTIES TO ANOTHER INDIVIDUAL.
E. NO PERSON SHALL BE ELIGIBLE TO SERVE AS A MEMBER OF THE BOARD IF AT
THE TIME OF APPOINTMENT, OR AT ANY TIME DURING A TERM, THEY SERVE IN ANY
OTHER ELECTED POSITION OR IS AN EMPLOYEE OF THE STATE OF NEW YORK, A
MUNICIPAL CORPORATION, A PUBLIC AUTHORITY, OR PUBLIC BENEFIT CORPO-
RATION. ADDITIONALLY, NO MEMBER OF THE BOARD, OR THEIR SPOUSE, SHALL,
DURING THE PERIOD OF THEIR SERVICE ON THE BOARD, MAKE OR SOLICIT FROM
ANOTHER PERSON ANY CONTRIBUTIONS TO CANDIDATES FOR ELECTION TO THE
OFFICES OF GOVERNOR, LIEUTENANT GOVERNOR, MEMBER OF THE ASSEMBLY OR THE
SENATE, ATTORNEY GENERAL, OR STATE COMPTROLLER, NOR MAY THEY MAKE OR
SOLICIT ANY CONTRIBUTIONS TO A POLITICAL PARTY OR COMMITTEE.
A. 4700 4
F. MEMBERS OF THE BOARD SHALL BE CONSIDERED PUBLIC OFFICERS AND SHALL
BE REQUIRED TO TAKE ALL NECESSARY OATHS AND FILE ANY DISCLOSURES AS
REQUIRED BY LAW, WHICH SHALL BE MADE AVAILABLE TO THE PUBLIC ON THE
DEPARTMENT'S WEBSITE.
G. THE BOARD SHALL, ANNUALLY, ELECT FROM ITS APPOINTED MEMBERS A CHAIR
AND VICE CHAIR BY A MAJORITY VOTE OF THE TOTAL NUMBER OF MEMBERS OF THE
BOARD. THE CHAIR SHALL PRESIDE OVER ALL BOARD MEETINGS AND SHALL HAVE
THE POWER TO SCHEDULE MEETINGS OF THE BOARD AS THEY DEEM NECESSARY FOR
THE PROPER EXECUTION OF ITS DUTIES. THE VICE-CHAIR, IN THE ABSENCE OR
INCAPACITY OF THE CHAIR, SHALL EXERCISE ALL POWERS OF THE CHAIR.
H. SEVEN MEMBERS SHALL CONSTITUTE A QUORUM OF THE BOARD, AND THE BOARD
SHALL HAVE THE POWER TO ACT BY MAJORITY VOTE OF THE TOTAL NUMBER OF THE
MEMBERS OF THE BOARD WITHOUT VACANCIES EXCEPT WHERE OTHERWISE SPECIFIED
UNDER THIS ARTICLE.
I. MEMBERS OF THE BOARD MAY BE REMOVED BY THE APPOINTING AUTHORITY FOR
SUBSTANTIAL NEGLECT OF DUTY, GROSS MISCONDUCT IN OFFICE, INABILITY TO
DISCHARGE THE POWERS OR DUTIES OF THE OFFICE, OR VIOLATIONS OF THIS
ARTICLE, AFTER WRITTEN NOTICE AND AN OPPORTUNITY FOR A REPLY HAS BEEN
PROVIDED.
J. MEMBERS OF THE BOARD SHALL RECEIVE A PER DIEM ALLOWANCE IN THE SUM
OF THREE HUNDRED DOLLARS FOR EACH DAY SPENT IN THE PERFORMANCE OF THEIR
DUTIES, AND, IN ADDITION THERETO, SHALL BE REIMBURSED FOR ALL REASONABLE
EXPENSES INCURRED IN THE PERFORMANCE OF THEIR DUTIES.
2. THE BOARD SHALL HAVE THE FOLLOWING DUTIES AND RESPONSIBILITIES:
A. ELECT A COMMISSIONER FOR THE DEPARTMENT;
B. REVIEW AND EXAMINE ANNUALLY THE POLICIES AND PROCEDURES OF COVERED
AGENCIES WITH REGARD TO THE PREVENTION AND DETECTION OF CORRUPTION,
FRAUD, CRIMINAL ACTIVITY, AND CONFLICTS OF INTEREST OR ABUSE;
C. CREATE, IN CONSULTATION WITH THE COMMISSIONER, MODEL TRAINING AND
PROGRAMMING THAT MAY BE USED BY COVERED AGENCIES TO INFORM AND EDUCATE
EMPLOYEES AND OFFICERS OF SUCH AGENCIES OF THE CODE OF ETHICS AND OTHER
RELEVANT POLICIES AND PRACTICES MEANT TO PREVENT FRAUD, CRIMINALITY OR
ANY OTHER MISCONDUCT;
D. MONITOR THE IMPLEMENTATION BY COVERED AGENCIES OF ANY POLICIES OR
PRACTICES PUT IN PLACE TO COMBAT CORRUPTION, FRAUD, CRIMINAL ACTIVITY,
CONFLICTS OF INTEREST OR ABUSE;
E. IN CONSULTATION WITH THE COMMISSIONER, PROMULGATE RULES AND REGU-
LATIONS NECESSARY TO EFFECTUATE SECTION ONE HUNDRED SEVEN OF THE CIVIL
SERVICE LAW, SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
OF THIS CHAPTER, ARTICLE ONE-A OF THE LEGISLATIVE LAW, AND ANY OTHER
PROVISION OF LAW RELATING TO CORRUPTION WITHIN THE GOVERNMENT.
F. IN CONSULTATION WITH THE COMMISSIONER, ISSUE OFFICIAL ADVISORY
OPINIONS NECESSARY TO CLARIFY INTERPRETATIONS OF LAWS, RULES, AND REGU-
LATIONS; PROVIDED, HOWEVER, THAT INFORMAL OPINIONS MAY BE PROVIDED BY
APPOINTED STAFF OF THE DEPARTMENT UPON REQUEST BY A COVERED AGENCY,
EMPLOYEE, STATE OFFICERS, OR OTHER SUBJECT INDIVIDUAL.
G. PROMULGATE RULES AND REGULATIONS NECESSARY TO GOVERN INVESTIGATIONS
OF COMPLAINTS FILED WITH THE COMMISSIONER, INCLUDING RULES AND REGU-
LATIONS NECESSARY TO ENSURE DUE PROCESS FOR THE SUBJECT OF A COMPLAINT;
AND
H. PUBLISH AN ANNUAL REPORT, NO LATER THAN DECEMBER THIRTY-FIRST OF
EACH YEAR, TO THE GOVERNOR AND THE LEGISLATURE ON ANNUAL ACTIVITIES OF
THE BOARD AND THE DEPARTMENT, AND INCLUDE THEREIN ALL GENERALLY APPLICA-
BLE ADVISORY OPINIONS ISSUED DURING THE YEAR AND RECOMMENDATIONS FOR
STATUTORY CHANGES NECESSARY TO FURTHER PROVIDE FOR INTEGRITY IN GOVERN-
MENT. SUCH REPORT SHALL BE MADE AVAILABLE ON THE DEPARTMENT'S PUBLIC
A. 4700 5
WEBSITE. ALL INFORMATION DEEMED CONFIDENTIAL BY STATUTE OR OTHER RULE OR
REGULATION SHALL BE REDACTED OR WITHHELD FROM THE REPORT.
§ 113-C. COMMISSIONER; APPOINTMENT, DUTIES, AND POWERS. 1. A. THE
COMMISSIONER SHALL BE CHOSEN BY A MAJORITY VOTE OF THE BOARD OF PUBLIC
INTEGRITY. NOTWITHSTANDING ANY LAW TO THE CONTRARY, THE COMMISSION NEED
NOT BE A RESIDENT OF THE STATE OF NEW YORK AT THE TIME OF APPOINTMENT,
BUT SHALL BE REQUIRED TO RESIDE WITHIN THE STATE AT ALL TIMES THEY SERVE
AND ARE EXERCISING THE FUNCTIONS OF THE OFFICE OF COMMISSIONER. THE
COMMISSIONER SHALL ALSO BE PROHIBITED FROM HOLDING ANY OTHER ELECTED
POSITION WITHIN NEW YORK STATE, OR ANY POLITICAL SUBDIVISION THEREOF.
MOREOVER, THE COMMISSIONER, AND THEIR SPOUSE, SHALL, DURING THEIR TERM
OF SERVICE, NOT MAKE OR SOLICIT FROM ANY OTHER PERSON ANY CONTRIBUTIONS
TO CANDIDATES FOR ELECTION TO THE OFFICES OF GOVERNOR, LIEUTENANT GOVER-
NOR, MEMBER OF THE ASSEMBLY OR THE SENATE, ATTORNEY GENERAL, OR STATE
COMPTROLLER, NOR MAY THEY MAKE OR SOLICIT ANY CONTRIBUTIONS TO A POLI-
TICAL PARTY OR COMMITTEE.
B. THE COMMISSIONER SHALL BE APPOINTED TO SERVE A TERM OF SIX YEARS
AND SHALL SERVE THE ENTIRETY OF SUCH TERM UNLESS A VACANCY ARISES PURSU-
ANT TO SECTION THIRTY OF THIS CHAPTER, OR THE BOARD OF PUBLIC INTEGRITY,
VOTING UNANIMOUSLY, APPROVES A MOTION TO REMOVE THE COMMISSIONER FROM
OFFICE. IN THE EVENT THE BOARD OF PUBLIC INTEGRITY VOTES UNANIMOUSLY TO
REMOVE AN INDIVIDUAL FROM OFFICE, THE BOARD OF PUBLIC INTEGRITY SHALL
PUBLISH A STATEMENT, SIGNED BY ALL MEMBERS OF THE BOARD, ARTICULATING
THE REASONING FOR SUCH ACTION.
C. THE COMMISSIONER SHALL SERVE IN THEIR CAPACITY BEYOND THE SIX-YEAR
TERM IN OFFICE ONLY UPON RE-APPOINTMENT BY THE BOARD OF PUBLIC INTEGRITY
OR, IF NECESSARY, AS A HOLDOVER UNTIL SUCH TIME AS SUCH BOARD APPOINTS A
REPLACEMENT.
2. THE COMMISSIONER SHALL HAVE THE FOLLOWING DUTIES AND RESPONSIBIL-
ITIES:
A. APPOINT ANY NECESSARY DEPUTIES, ASSISTANTS, OR STAFF AS REQUIRED TO
EFFICIENTLY CARRY OUT THE DUTIES AND PURPOSE OF THE DEPARTMENT;
B. ASSIST COVERED AGENCIES AND OTHER SUBJECT INDIVIDUALS WITH THE
IMPLEMENTATION OF ANY ETHICS TRAINING PROGRAMS ESTABLISHED BY THE
DEPARTMENT; PROVIDED, HOWEVER THAT ANY ETHICS TRAINING FOR THE LEGISLA-
TURE AND LEGISLATIVE EMPLOYEES SHALL BE OVERSEEN BY THE LEGISLATIVE
ETHICS COMMISSION;
C. RECEIVE AND INVESTIGATE COMPLAINTS FROM ANY SOURCE, OR UPON THEIR
OWN INITIATIVE, CONCERNING ALLEGATIONS OF CORRUPTION, FRAUD, CRIMINAL
ACTIVITY, CONFLICTS OF INTEREST OR ABUSE IN ANY COVERED AGENCY, BY A
STATE OFFICER, LEGISLATOR, LEGISLATIVE EMPLOYEE, CANDIDATE FOR STATE
OFFICE, CANDIDATE FOR STATE ASSEMBLY OR SENATE, LOBBYIST, CLIENT OF A
LOBBYIST, OR POLITICAL PARTY CHAIR;
D. WHEN APPLICABLE, INFORM THE HEADS OF COVERED AGENCIES OF ANY
COMPLAINTS AND THE PROGRESS OF INVESTIGATIONS RELATED TO SUCH
COMPLAINTS; UNLESS CIRCUMSTANCES REQUIRE CONFIDENTIALITY; PROVIDED,
HOWEVER, INFORMATION REGARDING COMPLAINTS AND STATUS OF INVESTIGATIONS
RELATED TO MEMBERS OF THE LEGISLATURE OR EMPLOYEES OF THE LEGISLATURE
SHALL BE PROVIDED TO THE LEGISLATIVE ETHICS COMMISSION;
E. MAKE DETERMINATIONS WITH RESPECT TO ANY ALLEGATIONS WHETHER DISCI-
PLINARY ACTIONS, CIVIL OR CRIMINAL PROSECUTION, OR FURTHER INVESTIGATION
BY ANOTHER GOVERNMENTAL AGENCY, FEDERAL, STATE OR LOCAL, IS NECESSARY,
AND TO ASSIST IN ANY SUCH INVESTIGATION;
F. FORWARD MATTERS, INCLUDING ALL RELEVANT DOCUMENTATION, TO APPROPRI-
ATE GOVERNMENTAL AGENCIES, FEDERAL OR STATE, FOR PROSECUTION, IF AN
A. 4700 6
INVESTIGATION BY THE DEPARTMENT FINDS THERE IS PROBABLE CAUSE TO BELIEVE
THAT A VIOLATION OF FEDERAL OR STATE LAW OCCURRED;
G. ENFORCE DETERMINATIONS OF THE DEPARTMENT, INCLUDING FINES OR OTHER
FINDINGS LEVIED BY THE DEPARTMENT, AGAINST COVERED AGENCIES, STATE OFFI-
CERS, EMPLOYEES, LOBBYISTS, CLIENTS OF LOBBYISTS, AND POLITICAL PARTY
CHAIRS; AND
H. ISSUE AN ANNUAL REPORT TO THE BOARD, NO LATER THAN APRIL FIRST OF
EACH YEAR, SUMMARIZING ALL INVESTIGATIONS AND ACTIONS TAKEN BY THE
DEPARTMENT RELATED TO ANY SUCH INVESTIGATIONS OR ACTIONS IN THE PRIOR
CALENDAR YEAR. SUCH REPORT SHALL BE USED BY THE BOARD IN COMPILING ITS
ANNUAL REPORT TO THE GOVERNOR AND THE LEGISLATURE; PROVIDED SUCH REPORT
SHALL BE CONFIDENTIAL AND NOT SUBJECT TO DISCLOSURE PURSUANT TO ARTICLE
SIX OF THIS CHAPTER.
3. IN ADDITION TO THE DUTIES AND RESPONSIBILITIES PROVIDED IN SUBDIVI-
SION TWO OF THIS SECTION, THE COMMISSIONER SHALL EXERCISE THE FOLLOWING
POWERS IN THE EXECUTION OF THEIR DUTIES:
A. SUBPOENA AND REQUIRE THE ATTENDANCE OF WITNESSES;
B. ADMINISTER OATHS OF AFFIRMATION AND EXAMINE WITNESSES UNDER OATH;
C. REQUIRE THE PRODUCTION OF ANY BOOKS AND PAPERS DEEMED RELEVANT OR
MATERIAL TO ANY INVESTIGATION, EXAMINATION OR REVIEW;
D. NOTWITHSTANDING ANY LAW TO THE CONTRARY, EXAMINE AND COPY OR REMOVE
DOCUMENTS OR RECORDS OF ANY KIND PREPARED, MAINTAINED OR HELD BY ANY
COVERED AGENCY, EMPLOYEE THEREOF, STATE OFFICER, LEGISLATOR, OR LEGISLA-
TIVE EMPLOYEE;
E. QUESTION ANY RELEVANT PARTY CONCERNING ANY MATTER RELATED TO THE
PERFORMANCE OF THEIR OFFICIAL DUTIES OR RELATED TO AN INVESTIGATION;
F. MONITOR ADHERENCE TO DISCIPLINARY DETERMINATIONS RENDERED BY THE
DEPARTMENT; AND
G. PERFORM ANY OTHER FUNCTION NECESSARY AND APPROPRIATE TO FULFILL THE
DUTIES AND RESPONSIBILITIES OF THE DEPARTMENT.
§ 113-D. RESPONSIBILITIES OF COVERED AGENCIES, OFFICERS, AND EMPLOY-
EES. 1. EVERY OFFICER AND EMPLOYEE IN A COVERED AGENCY, STATE OFFICER,
LEGISLATOR, LEGISLATIVE EMPLOYEE, LOBBYIST, CLIENT OF A LOBBYIST, AND
POLITICAL PARTY CHAIR, SHALL REPORT PROMPTLY TO THE DEPARTMENT MATERIAL
INFORMATION CONCERNING CORRUPTION, FRAUD, CRIMINAL ACTIVITY, CONFLICTS
OF INTEREST, ETHICAL VIOLATIONS OR ABUSE BY ANOTHER RELATING TO THEIR
OFFICE OR EMPLOYMENT, OR BY A PERSON HAVING BUSINESS DEALINGS WITH A
COVERED AGENCY RELATING TO THOSE DEALINGS, INCLUDING LOBBYIST AS DEFINED
UNDER ARTICLE ONE-A OF THE LEGISLATIVE LAW.
2. THE KNOWING FAILURE OF ANY SUBJECT INDIVIDUAL TO SO REPORT MAY BE
CAUSE FOR SANCTIONS AND PUNITIVE ACTIONS AGAINST SUCH INDIVIDUAL WHO
FAILS TO REPORT SUCH CONDUCT. ANY INDIVIDUAL WHO ACTS PURSUANT TO THIS
SECTION BY REPORTING TO THE DEPARTMENT IMPROPER GOVERNMENTAL ACTION AS
DEFINED IN SECTION SEVENTY-FIVE-B OF THE CIVIL SERVICE LAW SHALL NOT BE
SUBJECT TO DISCIPLINE BY THE DEPARTMENT FOR FAILURE TO REPORT SUCH
ACTIVITY; PROVIDED, HOWEVER, THAT SUCH PROTECTION FROM DEPARTMENTAL
SANCTIONS DOES NOT PROVIDE LEGAL IMMUNITY FOR CRIMINAL ACTIONS.
§ 113-E. FINANCIAL DISCLOSURE. 1. A. THE COMMISSIONER, OR ANY DESIG-
NATED STAFF, SHALL INSPECT ALL FINANCIAL DISCLOSURE STATEMENTS FILED
WITH THE DEPARTMENT IN ORDER TO ASCERTAIN WHETHER ANY PERSON SUBJECT TO
THE REPORTING REQUIREMENTS OF THIS CHAPTER HAS FAILED TO FILE SUCH A
STATEMENT, HAS FILED A DEFICIENT STATEMENT OR HAS FILED A STATEMENT
WHICH REVEALS A POSSIBLE VIOLATION OF LAW.
B. THE COMMISSIONER, OR ANY DESIGNATED STAFF, IN RELATION TO FINANCIAL
DISCLOSURES:
A. 4700 7
(I) SHALL MAKE AVAILABLE FORMS FOR ANNUAL STATEMENTS OF FINANCIAL
DISCLOSURE REQUIRED TO BE FILED PURSUANT TO SECTION SEVENTY-THREE-A OF
THIS CHAPTER;
(II) RECEIVE COMPLAINTS DIRECTLY OR THROUGH A REFERRAL FROM ANY OTHER
COVERED AGENCY OR THE DEPARTMENT ALLEGING VIOLATIONS OF SECTION SEVEN-
TY-THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THIS CHAPTER, ARTICLE ONE-A
OF THE LEGISLATIVE LAW OR SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE
LAW;
(III) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT WITH THE DEPARTMENT TO REQUEST DELETION FROM THE COPY OF SUCH
STATEMENT MADE AVAILABLE FOR PUBLIC INSPECTION AND COPYING ONE OR MORE
ITEMS OF INFORMATION WHICH MAY BE DELETED BY THE DEPARTMENT UPON A FIND-
ING BY THE DEPARTMENT THAT THE INFORMATION WHICH WOULD OTHERWISE BE
REQUIRED TO BE MADE AVAILABLE FOR PUBLIC INSPECTION AND COPYING WILL
HAVE NO MATERIAL BEARING ON THE DISCHARGE OF THE REPORTING PERSON'S
OFFICIAL DUTIES;
(IV) GRANT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT AN ADDITIONAL PERIOD OF TIME WITHIN WHICH TO FILE SUCH STATEMENT
DUE TO JUSTIFIABLE CAUSE OR UNDUE HARDSHIP;
(V) PERMIT ANY PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATE-
MENT TO DELETE SUCH INFORMATION PERTAINING TO SUCH PERSON'S SPOUSE OR
EMANCIPATED CHILDREN AS SHALL BE FOUND BY THE DEPARTMENT TO HAVE NO
MATERIAL BEARING ON THE DISCHARGE OF THE REPORTING PERSON'S OFFICIAL
DUTIES;
(VI) ADVISE AND ASSIST ANY COVERED AGENCY IN ESTABLISHING RULES AND
REGULATIONS RELATING TO POSSIBLE CONFLICTS BETWEEN PRIVATE INTERESTS AND
OFFICIAL DUTIES OF PRESENT AND FORMER STATE OFFICERS AND EMPLOYEES;
(VII) ADVISE AND ASSIST ANY COVERED AGENCY WITH TRAINING PROGRAMS
RELATING TO ETHICAL COMPLIANCE;
(VIII) PERMIT ANY PERSON WHO HAS NOT BEEN DETERMINED BY THEIR APPOINT-
ING AUTHORITY TO HOLD A POLICY-MAKING POSITION, BUT WHO IS OTHERWISE
REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT, TO BE GRANTED AN
EXEMPTION FROM SUCH FILING REQUIREMENT. THE COMMISSIONER MAY GRANT SUCH
AN EXEMPTION WHERE THE PUBLIC INTEREST DOES NOT REQUIRE DISCLOSURE AND
THE APPLICANT'S DUTIES DO NOT INVOLVE NEGOTIATION, AUTHORIZATION OR
APPROVAL OF:
A. CONTRACTS, LEASES, FRANCHISES, REVOCABLE CONSENTS, CONCESSIONS,
VARIANCES, SPECIAL PERMITS OR LICENSES AS SET FORTH IN SECTION SEVENTY-
THREE OF THIS CHAPTER;
B. THE PURCHASE, SALE, RENTAL OR LEASE OF REAL PROPERTY, GOODS OR
SERVICES, OR A CONTRACT THEREFOR;
C. THE OBTAINING OF GRANTS OF MONEY OR LOANS; OR
D. THE ADOPTION OR REPEAL OF ANY RULE OR REGULATION HAVING THE FORCE
AND EFFECT OF LAW;
(IX) DETERMINE QUESTIONS COMMON TO A CLASS OR DEFINED CATEGORY OF
PERSONS OR ITEMS OF INFORMATION REQUIRED TO BE DISCLOSED, WHERE DETERMI-
NATION OF THE QUESTION WILL PREVENT UNDUE REPETITION OF REQUESTS FOR
EXEMPTION OR DELETION OR PREVENT UNDUE COMPLICATION IN COMPLYING WITH
THE REQUIREMENTS OF SUCH SECTION; AND
(X) CONDUCT INVESTIGATIONS INTO ANY COMPLAINTS.
2. IF A PERSON REQUIRED TO FILE A FINANCIAL DISCLOSURE STATEMENT WITH
THE DEPARTMENT HAS FAILED TO FILE A DISCLOSURE STATEMENT OR HAS FILED A
DEFICIENT STATEMENT, THE COMMISSION SHALL NOTIFY THE REPORTING PERSON IN
WRITING, STATE THE FAILURE TO FILE OR DETAIL THE DEFICIENCY, PROVIDE THE
PERSON WITH A FIFTEEN-DAY PERIOD TO CURE THE DEFICIENCY, AND ADVISE THE
PERSON OF THE PENALTIES FOR FAILURE TO COMPLY WITH THE REPORTING
A. 4700 8
REQUIREMENTS. SUCH NOTICE SHALL BE CONFIDENTIAL. IF THE PERSON FAILS TO
MAKE SUCH FILING OR FAILS TO CURE THE DEFICIENCY WITHIN THE SPECIFIED
TIME PERIOD, THE COMMISSIONER, OR DESIGNATED STAFF, SHALL SEND A NOTICE
OF DELINQUENCY:
A. TO THE REPORTING PERSON;
B. IN THE CASE OF A STATEWIDE ELECTED OFFICIAL, TO THE TEMPORARY PRES-
IDENT OF THE SENATE AND THE SPEAKER OF THE ASSEMBLY; AND
C. IN THE CASE OF A STATE OFFICER OR EMPLOYEE, TO THE APPOINTING
AUTHORITY FOR SUCH PERSON. SUCH NOTICE OF DELINQUENCY MAY BE SENT AT ANY
TIME DURING THE REPORTING PERSON'S SERVICE AS A STATEWIDE ELECTED OFFI-
CIAL, STATE OFFICER OR EMPLOYEE, POLITICAL PARTY CHAIR OR WHILE A CANDI-
DATE FOR STATEWIDE OFFICE, OR WITHIN ONE YEAR AFTER TERMINATION OF SUCH
SERVICE OR CANDIDACY.
§ 113-F. INVESTIGATIONS; FINANCIAL DISCLOSURE AND ETHICAL VIOLATIONS.
1. IF THE DEPARTMENT RECEIVES A SWORN COMPLAINT ALLEGING A VIOLATION OF
SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE LAW, SECTIONS SEVENTY-
THREE, SEVENTY-THREE-A OR SEVENTY-FOUR OF THIS CHAPTER, OR ARTICLE ONE-A
OF THE LEGISLATIVE LAW BY A PERSON OR ENTITY SUBJECT TO THE OVERSIGHT OF
THE DEPARTMENT, OR IF A REPORTING INDIVIDUAL HAS FILED A STATEMENT WHICH
REVEALS A POSSIBLE VIOLATION OF ANY SUCH PROVISION, OR IF THE DEPARTMENT
DETERMINES ON ITS OWN INITIATIVE TO INVESTIGATE A POSSIBLE VIOLATION,
THE DEPARTMENT SHALL NOTIFY THE INDIVIDUAL IN WRITING, WITHIN FIVE BUSI-
NESS DAYS OF RECEIPT OF A COMPLAINT OR ACTION OF ITS OWN, SO AS TO
DESCRIBE THE POSSIBLE OR ALLEGED VIOLATION OF SUCH LAWS AND PROVIDE THE
PERSON WHO IS THE SUBJECT OF THE COMPLAINT 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.
2. IF THE DEPARTMENT DETERMINES, FOLLOWING AN INITIAL REVIEW OF THE
COMPLAINT AND ANY RESPONSE, THAT THERE IS A SUBSTANTIAL BASIS TO BELIEVE
THAT A VIOLATION HAS OCCURRED, IT SHALL SEND A NOTICE OF SUCH FINDINGS:
A. TO THE COMPLAINANT, IF ANY; AND
B. TO THE SUBJECT OF THE REPORT OR COMPLAINT.
3. AN INVESTIGATION UNDERTAKEN BY THE DEPARTMENT FOLLOWING A COMPLAINT
OR ACTION ON ITS OWN INITIATIVE SHALL TAKE NO MORE THAN THIRTY DAYS,
COMMENCING FROM THE DAY UPON WHICH THE DEPARTMENT DETERMINES THERE IS
REASONABLE CAUSE TO BELIEVE THAT A VIOLATION OCCURRED AND SENDS NOTICE
OF SUCH TO THE SUBJECT OF THE INVESTIGATION. HOWEVER, IF COMPLETION OF
AN INVESTIGATION IS NOT POSSIBLE WITHIN THIRTY DAYS, SUCH INVESTIGATION
SHALL BE COMPLETED AS SOON AS PRACTICABLE THEREAFTER; PROVIDED NOTICE OF
THE EXTENDED INVESTIGATION IS GIVEN TO THE COMPLAINANT AND SUBJECT OF
THE INVESTIGATION.
4. UPON COMPLETION OF AN INVESTIGATION, THE DEPARTMENT SHALL ISSUE A
DETERMINATION IN WRITING TO THE INDIVIDUAL AND THE COMPLAINANT, IF ANY;
AND THE APPOINTING AUTHORITY OF ANY STATE EMPLOYEE. IF THE INVESTIGATION
INVOLVED A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE, SUCH
DETERMINATIONS SHALL BE FORWARDED TO THE LEGISLATIVE ETHICS COMMISSION;
WHILE DETERMINATIONS INVOLVING THE GOVERNOR, THE LIEUTENANT GOVERNOR,
THE ATTORNEY GENERAL OR THE STATE COMPTROLLER SHALL BE PROVIDED TO THE
GOVERNOR, THE SPEAKER OF THE ASSEMBLY AND THE TEMPORARY PRESIDENT OF THE
SENATE. SUCH FINAL DETERMINATIONS SHALL BE AVAILABLE FOR PUBLIC
INSPECTION, INCLUDING FINDINGS OF FACT AND CONCLUSIONS OF LAW THAT A
VIOLATION OF LAW OCCURRED; PROVIDED THAT NO OTHER REPORTS OR INVESTI-
GATIVE MATERIALS SHALL BE PUBLICLY REVIEWABLE AND SHALL REMAIN CONFIDEN-
TIAL.
5. A. THE DEPARTMENT SHALL HAVE JURISDICTION TO INVESTIGATE, BUT SHALL
HAVE NO JURISDICTION TO IMPOSE PENALTIES UPON MEMBERS OF OR CANDIDATES
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FOR MEMBER OF THE LEGISLATURE OR LEGISLATIVE EMPLOYEES FOR ANY VIOLATION
OF THIS CHAPTER. IF UPON COMPLETION OF ITS INVESTIGATION THE DEPARTMENT
CONCLUDES THAT A MEMBER OF THE LEGISLATURE OR A LEGISLATIVE EMPLOYEE OR
CANDIDATE FOR MEMBER OF THE LEGISLATURE HAS VIOLATED ANY PROVISIONS OF
LAW OVER WHICH THE DEPARTMENT HAS OVERSIGHT, IT SHALL PRESENT A WRITTEN
REPORT TO THE LEGISLATIVE ETHICS COMMISSION, AND DELIVER A COPY OF THE
REPORT TO THE INDIVIDUAL WHO IS THE SUBJECT OF THE REPORT. SUCH WRITTEN
REPORT SHALL INCLUDE:
(I) THE DEPARTMENT'S FINDINGS OF FACT AND ANY EVIDENCE ADDRESSED IN
SUCH FINDINGS; AND CONCLUSIONS OF LAW AND CITATIONS TO ANY RELEVANT LAW,
RULE, OPINION, REGULATION OR STANDARD OF CONDUCT UPON WHICH IT RELIED;
AND
(II) A DETERMINATION THAT THE DEPARTMENT HAS CONCLUDED THAT A
VIOLATION HAS OCCURRED, AND THE REASONS AND BASIS FOR SUCH DETERMI-
NATION.
B. THE DEPARTMENT SHALL ALSO SEPARATELY PROVIDE TO THE LEGISLATIVE
ETHICS COMMISSION COPIES OF ADDITIONAL DOCUMENTS OR OTHER EVIDENCE
CONSIDERED INCLUDING EVIDENCE THAT MAY CONTRADICT THE DEPARTMENT'S FIND-
INGS, THE NAMES OF AND OTHER INFORMATION REGARDING ANY ADDITIONAL
WITNESSES, AND ANY OTHER MATERIALS. WITH RESPECT TO A VIOLATION OF ANY
LAW OTHER THAN SECTIONS SEVENTY-THREE, SEVENTY-THREE-A, AND SEVENTY-FOUR
OF THIS CHAPTER, WHERE THE DEPARTMENT FINDS SUFFICIENT CAUSE, IT SHALL
REFER SUCH MATTER TO THE APPROPRIATE PROSECUTOR.
§ 113-G. INVESTIGATIONS; OTHER. 1. THE DEPARTMENT SHALL ALSO BE
AUTHORIZED TO UNDERTAKE, UPON A SUBMITTED COMPLAINT OR ITS OWN INITI-
ATIVE, ANY INVESTIGATION INTO POTENTIAL CRIMINAL ACTIVITY, OR OTHER
CONDUCT OVER WHICH IT HAS JURISDICTION, BY A PERSON OR ENTITY SUBJECT TO
THE OVERSIGHT OF THE DEPARTMENT.
2. THE BOARD OF PUBLIC INTEGRITY, IN CONSULTATION WITH THE COMMISSION-
ER, SHALL PROMULGATE ANY RULES AND REGULATIONS NECESSARY TO, AMONG OTHER
THINGS, ENSURE INVESTIGATORY INTEGRITY, DUE PROCESS, AND APPROPRIATE
CRIMINAL AND/OR CIVIL PROSECUTION, IF WARRANTED.
3. NOTWITHSTANDING REVIEW AND PUBLICATION OF A FINAL DETERMINATION OF
THE DEPARTMENT, ANY PERSON CONDUCTING OR PARTICIPATING IN ANY EXAMINA-
TION OR INVESTIGATION UNDER THIS SECTION OR SECTION ONE HUNDRED THIR-
TEEN-F THIS ARTICLE WHO SHALL DISCLOSE TO ANY PERSON NOT INVOLVED IN
SUCH EXAMINATION OR INVESTIGATION, OR WHO THE COMMISSIONER MAY OTHERWISE
HAVE AUTHORIZED TO RECEIVE SUCH INFORMATION RELATED TO OR DETAILING AN
INVESTIGATION, SHALL BE GUILTY OF A MISDEMEANOR.
§ 113-H. VIOLATIONS. 1. AN INDIVIDUAL SUBJECT TO THE JURISDICTION OF
THE DEPARTMENT WHO KNOWINGLY AND INTENTIONALLY VIOLATES THE PROVISIONS
OF SUBDIVISIONS TWO THROUGH FIVE, SEVEN, EIGHT, TWELVE OR FOURTEEN
THROUGH SEVENTEEN OF SECTION SEVENTY-THREE OF THIS CHAPTER, SECTION ONE
HUNDRED SEVEN OF THE CIVIL SERVICE LAW, OR A REPORTING INDIVIDUAL WHO
KNOWINGLY AND WILLFULLY FAILS TO FILE AN ANNUAL STATEMENT OF FINANCIAL
DISCLOSURE OR WHO KNOWINGLY AND WILLFULLY WITH INTENT TO DECEIVE MAKES A
FALSE STATEMENT OR FRAUDULENT OMISSION OR GIVES INFORMATION WHICH SUCH
INDIVIDUAL KNOWS TO BE FALSE ON SUCH STATEMENT OF FINANCIAL DISCLOSURE
FILED PURSUANT TO SECTION SEVENTY-THREE-A OF THIS CHAPTER 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 THIS CHAPTER 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
A. 4700 10
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 THIS CHAPTER 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 DEPARTMENT WHO KNOWINGLY AND WILLFULLY VIOLATES ARTICLE ONE-A OF THE
LEGISLATIVE LAW SHALL BE SUBJECT TO CIVIL PENALTY AS PROVIDED FOR IN
SUCH ARTICLE. ASSESSMENT OF A CIVIL PENALTY PURSUANT TO THIS SECTION
SHALL BE MADE BY THE DEPARTMENT WITH RESPECT TO INDIVIDUALS SUBJECT TO
ITS JURISDICTION. IN ASSESSING THE AMOUNT OF THE CIVIL PENALTIES TO BE
IMPOSED, THE DEPARTMENT SHALL CONSIDER THE SERIOUSNESS OF THE VIOLATION,
THE AMOUNT OF GAIN TO THE INDIVIDUAL AND WHETHER SUCH INDIVIDUAL PREVI-
OUSLY HAD ANY CIVIL OR CRIMINAL PENALTIES IMPOSED PURSUANT TO THIS
SECTION, AND ANY OTHER FACTORS THE DEPARTMENT DEEMS APPROPRIATE.
2. A CIVIL PENALTY FOR FALSE FILING RELATING TO FINANCIAL DISCLOSURES
MADE PURSUANT TO SECTION SEVENTY-THREE OR SEVENTY-THREE-A OF THIS CHAP-
TER MAY NOT BE IMPOSED PURSUANT TO THIS SECTION IN THE EVENT A CATEGORY
OF "VALUE" OR "AMOUNT" REPORTED PURSUANT TO THIS SECTION IS INCORRECT
UNLESS SUCH REPORTED INFORMATION IS MATERIALLY FALSE.
3. ALL DETERMINATIONS OF ANY CIVIL FINE MADE BY THE DEPARTMENT PURSU-
ANT TO THIS SECTION SHALL BE FORWARDED TO AN APPOINTING AUTHORITY OF THE
SUBJECT INDIVIDUAL, AND SHALL BE REVIEWED FOR ANY OTHER POSSIBLE CRIMI-
NAL VIOLATIONS THAT MAY ARISE FROM SUCH VIOLATIONS. VIOLATIONS OF
SECTION ONE HUNDRED SEVEN OF THE CIVIL SERVICE LAW, SUBDIVISION TWELVE,
FOURTEEN, FIFTEEN, SIXTEEN OR SEVENTEEN OF SECTION SEVENTY-THREE OR
SECTION SEVENTY-FOUR OF THIS CHAPTER OR ARTICLE ONE-A OF THE LEGISLATIVE
LAW SHALL CONSTITUTE CLASS A MISDEMEANORS.
§ 113-I. ADJUDICATORY PROCESS. THE DEPARTMENT 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 ADJUDICATO-
RY 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 AUTHORIZED BY THIS ARTICLE AND
DEPARTMENT DENIALS OF REQUESTS FOR CERTAIN DELETIONS OR EXEMPTIONS TO BE
MADE FROM A FINANCIAL DISCLOSURE STATEMENT AS AUTHORIZED BY THIS ARTI-
CLE. 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 ARTI-
CLE THREE OF THE STATE ADMINISTRATIVE PROCEDURE ACT BUT SUCH MECHANISMS
NEED NOT BE IDENTICAL IN TERMS OR SCOPE. ASSESSMENT OF A CIVIL PENALTY
OR DEPARTMENT 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 DEPARTMENT, PURSUANT TO ARTICLE
SEVENTY-EIGHT OF THE CIVIL PRACTICE LAW AND RULES.
§ 2. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided, however,
that appointments to the board of public integrity authorized by section
113-b of the public officers law shall be made within sixty days of the
date on which this act shall have become a law and such board members
shall be authorized to hold meetings upon appointment necessary to
ensure proper administration of such department.
PART B
A. 4700 11
Section 1. Section 94 of the executive law is REPEALED.
§ 2. Article 4-A of the executive law is REPEALED.
§ 3. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law.
PART C
Section 1. Transfer of functions, powers and duties. All functions,
powers, duties and obligations of the former commission on ethics and
lobbying in government, and the former office of the state inspector
general are hereby transferred to the department of oversight and inves-
tigation.
§ 2. Transfer of employees. (a) Upon transfer of the functions of the
former commission on ethics and lobbying in government, and the former
office of the state inspector general to the department of oversight and
investigation, provisions shall be made for the transfer to such depart-
ment of those employees of such former agencies who were engaged in
carrying out the functions transferred by this act in accordance with
section 70 of the civil service law or, where not subject to the civil
service law, the provisions of such section 70 shall be deemed applica-
ble, except where the context clearly requires otherwise. Any such
employee who, at the time of such transfer, has a temporary or provi-
sional appointment shall be transferred subject to the same right of
removal, examination or termination as though such transfer had not been
made except to the extent such rights are modified by a collective
bargaining agreement. Employees holding permanent appointments in
competitive class positions who are not transferred pursuant to this
section shall have their names entered upon an appropriate preferred
list for reinstatement pursuant to the civil service law.
(b) A transferred employee shall remain in the same collective
bargaining unit as was the case prior to their transfer; successor
employees to the positions held by such transferred employees shall,
consistent with the provisions of article 14 of the civil service law,
be included in the same unit as their predecessors. Employees other than
management or confidential persons (as defined in article 14 of the
civil service law), serving positions in newly created titles shall be
assigned to the appropriate bargaining unit. Nothing contained in this
section shall be construed to affect:
(1) the rights of employees pursuant to a collective bargaining agree-
ment;
(2) the representational relationships among employee organizations or
the bargaining relationships between the state and an employee organiza-
tion; or
(3) existing law with respect to an application to the public employ-
ment relations board, provided, however, that the merger of such negoti-
ating units of employees shall be effected only with the consent of the
recognized and certified representative of such units and of the depart-
ment of law.
§ 3. Transfer of records. All books, papers and property of the former
commission on ethics and lobbying in government, and the former office
of the state inspector general are to be delivered to the department of
oversight and investigation at such place and time, and in such manner
as the department of oversight and investigation shall require.
§ 4. Continuity of authority. For the purpose of succession to all
functions, powers, duties and obligations of the former commission on
ethics and lobbying in government and the former office of the state
A. 4700 12
inspector general transferred to and assumed by the department of over-
sight and investigation, such department shall continue the operation
thereof as if performed by such former agencies.
§ 5. Completion of unfinished business. Any business or other matter
undertaken or commenced by the former commission on ethics and lobbying
in government, or the former office of the state inspector general
pertaining to or connected with the functions, powers, duties and obli-
gations transferred and assigned to the department of oversight and
investigation, and pending on the effective date of this section shall
be conducted and completed by such department in the same manner and
under the same terms and conditions and with the same effect as if
conducted and completed by such former agencies.
§ 6. Continuation of rules and regulations. All rules, regulations,
acts, orders, determinations and decisions of the former commission on
ethics and lobbying in government and the former office of the state
inspector general in force at the time of such transfer and assumption,
shall continue in force and effect as rules, regulations, acts, orders,
determinations and decisions of the department of oversight and investi-
gation until duly modified or abrogated.
§ 7. Terms occurring in laws, contracts and other documents. Whenever
the former commission on ethics and lobbying in government or the former
office of the state inspector general is referred to or designated in
any law, contract or document pertaining to the functions, powers, obli-
gations and duties transferred and assigned pursuant to this act, such
reference or designation shall be deemed to refer to the department of
oversight and investigation.
§ 8. Existing rights and remedies preserved. No existing right or
remedy of any character shall be lost, impaired or affected by reason of
any transfer or assignment pursuant to this act.
§ 9. Pending actions or proceedings. No action or proceeding pending
upon the effective date of this section relating to the functions,
powers and duties of the former commission on ethics and lobbying in
government, and the former office of the state inspector general trans-
ferred to the department of oversight and investigation, brought by or
against any such former agency or individual, shall be affected by any
provision of this act, but the same may be prosecuted or defended in the
name of such department. In all such actions and proceedings, the
department of oversight and investigation, upon application to the
court, shall be substituted as a party.
§ 10. Transfer of appropriations heretofore made. Subject to the
approval of the director of the division of the budget, all appropri-
ations and reappropriations heretofore made to the former commission on
ethics and lobbying in government and the former office of the state
inspector general for the purposes and functions transferred pursuant to
this act to the department of oversight and investigation, to the extent
of remaining unexpended or unencumbered balance thereof, whether allo-
cated or unallocated, and whether obligated or unobligated, are hereby
transferred to and made available for use and expenditure by such
department for the same purposes for which originally appropriated or
reappropriated and shall be payable on vouchers certified or approved by
the commissioner of the department of oversight and investigation on
audit and warrant of the comptroller. Payments for liabilities for
expenses of personal services, maintenance and operation heretofore
incurred by and for liabilities incurred and to be incurred in complet-
ing the affairs of the former commission on ethics and lobbying in
government and the former office of the state inspector general with
A. 4700 13
respect to the powers, duties and functions transferred in this act,
shall also be made on vouchers or certificates approved by the commis-
sioner of the department of oversight and investigation on audit and
warrant of the comptroller.
§ 11. Transfer of assets and liabilities. All assets and liabilities
of the former commission on ethics and lobbying in government and the
former office of the state inspector general are hereby transferred to
and assumed by the department of oversight and investigation.
§ 12. The department of oversight and investigation is hereby directed
to immediately take any and all actions necessary to enable it to assume
all powers, duties and functions of the former commission on ethics and
lobbying in government and the former office of the state inspector
general within 90 days of the effective date of this act.
§ 13. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided that sections
one through eleven of this act shall take effect on the first of April
next succeeding the date on which it shall have become a law.
PART D
Section 1. Subdivision 5 of section 107 of the civil service law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
5. Violation of this section. Complaints alleging a violation of this
section by a statewide elected official or a state officer or employee,
as defined in section seventy-three of the public officers law, may be
directed to the [commission on public integrity] DEPARTMENT OF OVERSIGHT
AND INVESTIGATION.
§ 2. Subdivision (f) of section 1-c of the legislative law, as amended
by section 3 of part QQ of chapter 56 of the laws of 2022, is amended to
read as follows:
(f) The term "commission" shall mean the [commission on ethics and
lobbying in government created by section ninety-four of the executive
law] DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
§ 3. Subdivision 3 of section 212 of the racing, pari-mutuel wagering
and breeding law, as amended by chapter 18 of the laws of 2008, is
amended to read as follows:
3. Such members, except as otherwise provided by law, may engage in
private or public employment, or in a profession or business. The board,
its members, officers and employees shall be subject to the provisions
of sections seventy-three and seventy-four of the public officers law.
No former trustee or officer of a non-profit racing association known as
The New York Racing Association, Inc. or its predecessor, no current
director or officer of a franchised corporation or any individual regis-
tered with the [New York commission on public integrity] COMMISSIONER OF
THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION shall be appointed as
members to the board nor shall any member of the board have any direct
or indirect interest in any racehorse, thoroughbred racing or pari-mutu-
el wagering business, video lottery terminal facility or any development
at any racing facility.
§ 4. Subdivision 3 of section 63 of the executive law, as amended by
chapter 155 of the laws of 2012, is amended to read as follows:
3. Upon request of the governor, comptroller, secretary of state,
commissioner of transportation, superintendent of financial services,
commissioner of taxation and finance, commissioner of motor vehicles, or
the [state inspector general] COMMISSIONER OF THE DEPARTMENT OF OVER-
A. 4700 14
SIGHT AND INVESTIGATION, or the head of any other department, authority,
division or agency of the state, investigate the alleged commission of
any indictable offense or offenses in violation of the law which the
officer making the request is especially required to execute or in
relation to any matters connected with such department, and to prosecute
the person or persons believed to have committed the same and any crime
or offense arising out of such investigation or prosecution or both,
including but not limited to appearing before and presenting all such
matters to a grand jury.
§ 5. Subdivision 3 of section 2.10 of the criminal procedure law, as
added by chapter 843 of the laws of 1980, is amended to read as follows:
3. Investigators [of the office of the state commission of investi-
gation] ACTING FOR, OR AT THE REQUEST OF THE DEPARTMENT OF OVERSIGHT AND
INVESTIGATION.
§ 6. Subdivision 68 of section 2.10 of the criminal procedure law, as
added by chapter 168 of the laws of 2000, is REPEALED.
§ 7. Subdivision 3 of section 70-a of the executive law, as added by
chapter 1003 of the laws of 1970, is amended to read as follows:
3. The deputy attorney general in charge of the organized crime task
force may request and shall receive from the division of state police,
the state department of taxation and finance, the state department of
labor, the [temporary state commission of investigation] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION, and from every department, division, board,
bureau, commission or other agency of the state, or of any political
subdivision thereof, cooperation and assistance in the performance of
[his] THEIR duties. Such deputy attorney general may provide technical
and other assistance to any district attorney or other local law
enforcement official requesting such assistance in the investigation or
prosecution of organized crime cases.
§ 8. Subdivision 9 of section 835 of the executive law, as separately
amended by chapters 14 and 155 of the laws of 2012, is amended to read
as follows:
9. "Qualified agencies" means courts in the unified court system, the
administrative board of the judicial conference, probation departments,
sheriffs' offices, district attorneys' offices, the state department of
corrections and community supervision, the department of correction of
any municipality, the financial frauds and consumer protection unit of
the state department of financial services, the office of professional
medical conduct of the state department of health for the purposes of
section two hundred thirty of the public health law, the child protec-
tive services unit of a local social services district when conducting
an investigation pursuant to subdivision six of section four hundred
twenty-four of the social services law, the office of Medicaid inspector
general, the [temporary state commission of investigation] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION, police forces and departments having
responsibility for enforcement of the general criminal laws of the
state, the Onondaga County Center for Forensic Sciences Laboratory when
acting within the scope of its law enforcement duties and the division
of forensic services of the Nassau county medical examiner's office when
acting within the scope of its law enforcement duties.
§ 9. Subdivision 8 of section 92 of the public officers law, as
amended by section 135 of subpart B of part C of chapter 62 of the laws
of 2011, is amended to read as follows:
(8) Public safety agency record. The term "public safety agency
record" means a record of the state commission of correction, the
[temporary state commission of investigation] DEPARTMENT OF OVERSIGHT
A. 4700 15
AND INVESTIGATION, the department of corrections and community super-
vision, the office of children and family services, the office of victim
services, the office of probation and correctional alternatives or the
division of state police or of any agency or component thereof whose
primary function is the enforcement of civil or criminal statutes if
such record pertains to investigation, law enforcement, confinement of
persons in correctional facilities or supervision of persons pursuant to
criminal conviction or court order, and any records maintained by the
division of criminal justice services pursuant to sections eight hundred
thirty-seven, eight hundred thirty-seven-a, eight hundred thirty-sev-
en-b, eight hundred thirty-seven-c, eight hundred thirty-eight, eight
hundred thirty-nine, and eight hundred forty-five of the executive law
and by the department of state pursuant to section ninety-nine of the
executive law.
§ 10. Chapter 989 of the laws of 1958, creating a temporary state
commission of investigation, is REPEALED.
§ 11. Subparagraphs (ii) and (iii) of paragraph (c), and paragraphs
(d) and (d-1) of subdivision 1 of section 73-a of the public officers
law, as amended by section 5 of part QQ of chapter 56 of the laws of
2022, are amended to read as follows:
(ii) officers and employees of statewide elected officials, officers
and employees of state departments, boards, bureaus, divisions, commis-
sions, councils or other state agencies, who receive annual compensation
in excess of the filing rate established by paragraph (l) of this subdi-
vision or who hold policy-making positions, as annually determined by
the appointing authority and set forth in a written instrument which
shall be filed with the [commission on ethics and lobbying in government
established by section ninety-four of the executive law] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION during the month of February, provided,
however, that the appointing authority shall amend such written instru-
ment after such date within thirty days after the undertaking of poli-
cy-making responsibilities by a new employee or any other employee whose
name did not appear on the most recent written instrument; and
(iii) members or directors of public authorities, other than multi-
state authorities, public benefit corporations and commissions at least
one of whose members is appointed by the governor, and employees of such
authorities, corporations and commissions who receive annual compen-
sation in excess of the filing rate established by paragraph (l) of this
subdivision or who hold policy-making positions, as determined annually
by the appointing authority and set forth in a written instrument which
shall be filed with the [commission on ethics and lobbying in government
established by section ninety-four of the executive law] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION during the month of February, provided,
however, that the appointing authority shall amend such written instru-
ment after such date within thirty days after the undertaking of poli-
cy-making responsibilities by a new employee or any other employee whose
name did not appear on the most recent written instrument.
(d) The term "legislative employee" shall mean any officer or employee
of the legislature who receives annual compensation in excess of the
filing rate established by paragraph (l) below or who is determined to
hold a policy-making position by the appointing authority as set forth
in a written instrument which shall be filed with the legislative ethics
commission and the [commission on ethics and lobbying in government]
DEPARTMENT OF OVERSIGHT AND INVESTIGATION.
(d-1) A financial disclosure statement required pursuant to section
seventy-three of this article and this section shall be deemed "filed"
A. 4700 16
with the [commission on ethics and lobbying in government] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION upon its filing, in accordance with this
section, with the legislative ethics commission for all purposes includ-
ing, but not limited to, [section ninety-four of the executive law]
ARTICLE SEVEN-A OF THIS CHAPTER, subdivision nine of section eighty of
the legislative law and subdivision four of this section.
§ 12. Subdivision 2 of section 73-a of the public officers law, as
amended by section 7 of part QQ of chapter 56 of the laws of 2022, is
amended to read as follows:
2. (a) Every statewide elected official, state officer or employee,
member of the legislature, legislative employee and political party
chair and every candidate for statewide elected office or for member of
the legislature shall file an annual statement of financial disclosure
containing the information and in the form set forth in subdivision
three of this section. On or before the fifteenth day of May with
respect to the preceding calendar year: (1) every member of the legisla-
ture, every candidate for member of the legislature and legislative
employee shall file such statement with the legislative ethics commis-
sion which shall provide such statement along with any requests for
exemptions or deletions to the [commission on ethics and lobbying in
government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION for filing and
rulings with respect to such requests for exemptions or deletions, on or
before the thirtieth day of June; and (2) all other individuals required
to file such statement shall file it with the [commission on ethics and
lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION,
except that:
(i) a person who is subject to the reporting requirements of this
subdivision and who timely filed with the internal revenue service an
application for automatic extension of time in which to file [his or
her] THEIR individual income tax return for the immediately preceding
calendar or fiscal year shall be required to file such financial disclo-
sure statement on or before May fifteenth but may, without being
subjected to any civil penalty on account of a deficient statement,
indicate with respect to any item of the disclosure statement that
information with respect thereto is lacking but will be supplied in a
supplementary statement of financial disclosure, which shall be filed on
or before the seventh day after the expiration of the period of such
automatic extension of time within which to file such individual income
tax return, provided that failure to file or to timely file such supple-
mentary statement of financial disclosure or the filing of an incomplete
or deficient supplementary statement of financial disclosure shall be
subject to the notice and penalty provisions of this section respecting
annual statements of financial disclosure as if such supplementary
statement were an annual statement;
(ii) a person who is required to file an annual financial disclosure
statement with the [commission on ethics and lobbying in government]
DEPARTMENT OF OVERSIGHT AND INVESTIGATION, and who is granted an addi-
tional period of time within which to file such statement due to justi-
fiable cause or undue hardship[, in accordance with required rules and
regulations adopted pursuant to section ninety-four of the executive
law] shall file such statement within the additional period of time
granted[; and the legislative ethics commission shall notify the commis-
sion on ethics and lobbying in government of any extension granted
pursuant to this paragraph];
(iii) candidates for statewide office who receive a party designation
for nomination by a state committee pursuant to section 6-104 of the
A. 4700 17
election law shall file such statement within ten days after the date of
the meeting at which they are so designated;
(iv) candidates for statewide office who receive twenty-five percent
or more of the vote cast at the meeting of the state committee held
pursuant to section 6-104 of the election law and who demand to have
their names placed on the primary ballot and who do not withdraw within
fourteen days after such meeting shall file such statement within ten
days after the last day to withdraw their names in accordance with the
provisions of such section of the election law;
(v) candidates for statewide office and candidates for member of the
legislature who file party designating petitions for nomination at a
primary election shall file such statement within ten days after the
last day allowed by law for the filing of party designating petitions
naming them as candidates for the next succeeding primary election;
(vi) candidates for independent nomination who have not been desig-
nated by a party to receive a nomination shall file such statement with-
in ten days after the last day allowed by law for the filing of inde-
pendent nominating petitions naming them as candidates in the next
succeeding general or special election;
(vii) candidates who receive the nomination of a party for a special
election shall file such statement within ten days after the date of the
meeting of the party committee at which they are nominated; and
(viii) a candidate substituted for another candidate, who fills a
vacancy in a party designation or in an independent nomination, caused
by declination, shall file such statement within ten days after the last
day allowed by law to file a certificate to fill a vacancy in such party
designation or independent nomination[;].
(ix) [with] WITH respect to all candidates for member of the legisla-
ture, the legislative ethics commission shall within five days of
receipt provide the [commission on ethics and lobbying in government]
DEPARTMENT OF OVERSIGHT AND INVESTIGATIONS the statement filed pursuant
to subparagraphs (v), (vi), (vii) and (viii) of this paragraph.
(b) As used in this subdivision, the terms "party", "committee" (when
used in conjunction with the term "party"), "designation", "primary",
"primary election", "nomination", "independent nomination" and "ballot"
shall have the same meanings as those contained in section 1-104 of the
election law.
(c) If the reporting individual is a senator or member of assembly,
candidate for the senate or member of assembly or a legislative employ-
ee, such statement shall be filed with both the legislative ethics
commission established by section eighty of the legislative law and the
[commission on ethics and lobbying in government] DEPARTMENT OF OVER-
SIGHT AND INVESTIGATION in accordance with paragraph (d-1) of subdivi-
sion one of this section. If the reporting individual is a statewide
elected official, candidate for statewide elected office, a state offi-
cer or employee or a political party chair, such statement shall be
filed with the [commission on ethics and lobbying in government estab-
lished by section ninety-four of the executive law] DEPARTMENT OF OVER-
SIGHT AND INVESTIGATION.
(d) The [commission on ethics and lobbying in government] DEPARTMENT
OF OVERSIGHT AND INVESTIGATION shall obtain from the state board of
elections a list of all candidates for statewide office and for member
of the legislature, and from such list, shall determine and publish a
list of those candidates who have not, within ten days after the
required date for filing such statement, filed the statement required by
this subdivision.
A. 4700 18
(e) Any person required to file such statement who commences employ-
ment after May fifteenth of any year and political party chair shall
file such statement within thirty days after commencing employment or of
taking the position of political party chair, as the case may be. In the
case of members of the legislature and legislative employees, such
statements shall be filed with the legislative ethics commission within
thirty days after commencing employment, and the legislative ethics
commission shall provide such statements to the [commission on ethics
and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION
within forty-five days of receipt.
(f) A person who may otherwise be required to file more than one annu-
al financial disclosure statement with both the [commission on ethics
and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION
and the legislative ethics commission in any one calendar year may
satisfy such requirement by filing one such statement with either body
and by notifying the other body of such compliance.
(g) A person who is employed in more than one employment capacity for
one or more employers certain of whose officers and employees are
subject to filing a financial disclosure statement with the same ethics
commission, as the case may be, and who receives distinctly separate
payments of compensation for such employment shall be subject to the
filing requirements of this section if the aggregate annual compensation
for all such employment capacities is in excess of the filing rate
notwithstanding that such person would not otherwise be required to file
with respect to any one particular employment capacity. A person not
otherwise required to file a financial disclosure statement hereunder
who is employed by an employer certain of whose officers or employees
are subject to filing a financial disclosure statement with the [commis-
sion on ethics and lobbying in government] DEPARTMENT OF OVERSIGHT AND
INVESTIGATION and who is also employed by an employer certain of whose
officers or employees are subject to filing a financial disclosure
statement with the legislative ethics commission shall not be subject to
filing such statement with either such commission on the basis that
[his] THEIR aggregate annual compensation from all such employers is in
excess of the filing rate.
(h) A statewide elected official or member of the legislature, who is
simultaneously a candidate for statewide elected office or member of the
legislature, shall satisfy the filing deadline requirements of this
subdivision by complying only with the deadline applicable to one who
holds a statewide elected office or who holds the office of member of
the legislature.
(i) A candidate whose name will appear on both a party designating
petition and on an independent nominating petition for the same office
or who will be listed on the election ballot for the same office more
than once shall satisfy the filing deadline requirements of this subdi-
vision by complying with the earliest applicable deadline only.
(j) A member of the legislature who is elected to such office at a
special election prior to May fifteenth in any year shall satisfy the
filing requirements of this subdivision in such year by complying with
the earliest applicable deadline only.
(k) The [commission on ethics and lobbying in government] DEPARTMENT
OF OVERSIGHT AND INVESTIGATION shall post for at least five years begin-
ning for filings made on January first, two thousand thirteen the annual
statement of financial disclosure and any amendments filed by each
person subject to the reporting requirements of this subdivision who is
an elected official on its website for public review within thirty days
A. 4700 19
of its receipt of such statement or within ten days of its receipt of
such amendment that reflects any corrections of deficiencies identified
by [the commission] SUCH DEPARTMENT or by the reporting individual after
the reporting individual's initial filing. Except upon an individual
determination by the [commission] DEPARTMENT OF OVERSIGHT AND INVESTI-
GATION that certain information may be deleted from a reporting individ-
ual's annual statement of financial disclosure, none of the information
in the statement posted on [the commission's] SUCH DEPARTMENT'S website
shall be otherwise deleted.
§ 13. Subparagraphs (b), (b-2) and (c) of paragraph 8 of subdivision 3
and subdivision 4 of section 73-a of the public officers law, subpara-
graphs (b), (b-2) and (c) of paragraph 8 of subdivision 3 as separately
amended by sections 8 and 18, and subdivision 4 as amended by section 9
of part QQ of chapter 56 of the laws of 2022, are amended to read as
follows:
(b) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR NEW MATTERS FOR EXISTING
CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE SERVICES THAT ARE PROVIDED ON
OR AFTER JULY FIRST, TWO THOUSAND TWELVE AND BEFORE DECEMBER
THIRTY-FIRST, TWO THOUSAND FIFTEEN:
If the reporting individual personally provides services to any person
or entity, or works as a member or employee of a partnership or corpo-
ration that provides such services (referred to hereinafter as a
"firm"), then identify each client or customer to whom the reporting
individual personally provided services, or who was referred to the firm
by the reporting individual, and from whom the reporting individual or
[his or her] THEIR firm earned fees in excess of $10,000 during the
reporting period for such services rendered in direct connection with:
(i) A contract in an amount totaling $50,000 or more from the state or
any state agency for services, materials, or property;
(ii) A grant of $25,000 or more from the state or any state agency
during the reporting period;
(iii) A grant obtained through a legislative initiative during the
reporting period; or
(iv) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period.
For purposes of this question, "referred to the firm" shall mean:
having intentionally and knowingly taken a specific act or series of
acts to intentionally procure for the reporting individual's firm or
knowingly solicit or direct to the reporting individual's firm in whole
or substantial part, a person or entity that becomes a client of that
firm for the purposes of representation for a matter as defined in
subparagraphs (i) through (iv) of this paragraph, as the result of such
procurement, solicitation or direction of the reporting individual. A
reporting individual need not disclose activities performed while
lawfully acting pursuant to paragraphs (c), (d), (e) and (f) of subdivi-
sion seven of section seventy-three of this article.
The disclosure requirement in this question shall not require disclo-
sure of clients or customers receiving medical or dental services,
mental health services, residential real estate brokering services, or
insurance brokering services from the reporting individual or [his or
her] THEIR firm. The reporting individual need not identify any client
to whom [he or she or his or her] THEY OR THEIR firm provided legal
representation with respect to investigation or prosecution by law
enforcement authorities, bankruptcy, or domestic relations matters. With
A. 4700 20
respect to clients represented in other matters, where disclosure of a
client's identity is likely to cause harm, the reporting individual
shall request an exemption from the [commission on ethics and lobbying
in government pursuant to section ninety-four of the executive law]
DEPARTMENT OF OVERSIGHT AND INVESTIGATION, provided, however, that a
reporting individual who first enters public office after July first,
two thousand twelve, need not report clients or customers with respect
to matters for which the reporting individual or [his or her] THEIR firm
was retained prior to entering public office.
Client Nature of Services Provided
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
(b-2) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES
ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR
FOR NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN (FOR PURPOSES OF THIS QUESTION, "SERVICES" SHALL MEAN
CONSULTATION, REPRESENTATION, ADVICE OR OTHER SERVICES):
(i) With respect to reporting individuals who receive ten thousand
dollars or more from employment or activity reportable under question
8(a), for each client or customer NOT otherwise disclosed or exempted in
question 8 or 13, disclose the name of each client or customer known to
the reporting individual to whom the reporting individual provided
services: (A) who paid the reporting individual in excess of five thou-
sand dollars for such services; or (B) who had been billed with the
knowledge of the reporting individual in excess of five thousand dollars
by the firm or other entity named in question 8(a) for the reporting
individual's services.
Client Services Category of Amount
Actually Provided (in Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
FOLLOWING IS AN ILLUSTRATIVE, NON-EXCLUSIVE LIST OF EXAMPLES OF
DESCRIPTIONS OF "SERVICES ACTUALLY PROVIDED":
* REVIEWED DOCUMENTS AND CORRESPONDENCE;
* REPRESENTED CLIENT (IDENTIFY CLIENT BY NAME) IN LEGAL PROCEEDING;
* PROVIDED LEGAL ADVICE ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* CONSULTED WITH CLIENT OR CONSULTED WITH LAW PARTNERS/ASSOCIATES/MEMBERS
OF FIRM ON CLIENT MATTER (IDENTIFY CLIENT BY NAME);
* PREPARED CERTIFIED FINANCIAL STATEMENT FOR CLIENT (IDENTIFY CLIENT BY
NAME);
* REFERRED INDIVIDUAL OR ENTITY (IDENTIFY CLIENT BY NAME) FOR
REPRESENTATION OR CONSULTATION;
* COMMERCIAL BROKERING SERVICES (IDENTIFY CUSTOMER BY NAME);
* PREPARED CERTIFIED ARCHITECTURAL OR ENGINEERING
RENDERINGS FOR CLIENT (IDENTIFY CUSTOMER BY NAME);
* COURT APPOINTED GUARDIAN OR EVALUATOR (IDENTIFY COURT NOT CLIENT).
A. 4700 21
(ii) With respect to reporting individuals who disclosed in question
8(a) that the reporting individual did not provide services to a client
but provided services to a firm or business, identify the category of
amount received for providing such services and describe the services
rendered.
Services Actually Provided Category of Amount (Table I)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
A reporting individual need not disclose activities performed while
lawfully acting in [his or her] THEIR capacity as provided in paragraphs
(c), (d), (e) and (f) of subdivision seven of section seventy-three of
this article.
The disclosure requirement in questions (b-1) and (b-2) shall not
require disclosing clients or customers receiving medical, pharmaceu-
tical or dental services, mental health services, or residential real
estate brokering services from the reporting individual or [his or her]
THEIR firm or if federal law prohibits or limits disclosure. The report-
ing individual need not identify any client to whom [he or she or his or
her] THEY OR THEIR firm provided legal representation with respect to
investigation or prosecution by law enforcement authorities, bankruptcy,
family court, estate planning, or domestic relations matters, nor shall
the reporting individual identify individuals represented pursuant to an
insurance policy but the reporting individual shall in such circum-
stances only report the entity that provides compensation to the report-
ing individual; with respect to matters in which the client's name is
required by law to be kept confidential (such as matters governed by the
family court act) or in matters in which the reporting individual
represents or provides services to minors, the client's name may be
replaced with initials. To the extent that the reporting individual, or
[his or her] THEIR firm, provided legal representation with respect to
an initial public offering, and professional disciplinary rules, federal
law or regulations restrict the disclosure of information relating to
such work, the reporting individual shall (i) disclose the identity of
the client and the services provided relating to the initial public
offering to the office of court administration, who will maintain such
information confidentially in a locked box; and (ii) include in [his or
her] THEIR response to questions (b-1) and (b-2) that pursuant to this
paragraph, a disclosure to the office of court administration has been
made. Upon such time that the disclosure of information maintained in
the locked box is no longer restricted by professional disciplinary
rules, federal law or regulation, the reporting individual shall
disclose such information in an amended disclosure statement in response
to the disclosure requirements in questions (b-1) and (b-2). The office
of court administration shall develop and maintain a secure portal
through which information submitted to it pursuant to this paragraph can
be safely and confidentially stored. With respect to clients represented
in other matters not otherwise exempt, the reporting individual may
request an exemption to publicly disclosing the name of that client from
the [commission on ethics and lobbying in government pursuant to section
ninety-four of the executive law] DEPARTMENT OF OVERSIGHT AND INVESTI-
GATION, or from the office of court administration. In such application,
the reporting individual shall state the following: "My client is not
currently receiving my services or seeking my services in connection
with: (i) A proposed bill or resolution in the senate or assembly
during the reporting period;
A. 4700 22
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
In reviewing the request for an exemption, the [commission on ethics
and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or
the office of court administration may consult with bar or other profes-
sional associations and the legislative ethics commission for individ-
uals subject to its jurisdiction and may consider the rules of profes-
sional conduct. In making its determination, the [commission on ethics
and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or
the office of court administration shall conduct its own inquiry and
shall consider factors including, but not limited to: (i) the nature and
the size of the client; (ii) whether the client has any business before
the state; and if so, how significant the business is; and whether the
client has any particularized interest in pending legislation and if so
how significant the interest is; (iii) whether disclosure may reveal
trade secrets; (iv) whether disclosure could reasonably result in retal-
iation against the client; (v) whether disclosure may cause undue harm
to the client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
The [commission on ethics and lobbying in government] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION or, as the case may be, the office of court
administration shall promptly make a final determination in response to
such request, which shall include an explanation for its determination.
The office of court administration shall issue its final determination
within three days of receiving the request. Notwithstanding any other
provision of law or any professional disciplinary rule to the contrary,
the disclosure of the identity of any client or customer in response to
this question shall not constitute professional misconduct or a ground
for disciplinary action of any kind, or form the basis for any civil or
criminal cause of action or proceeding. A reporting individual who first
enters public office after January first, two thousand sixteen, need not
report clients or customers with respect to matters for which the
reporting individual or [his or her] THEIR firm was retained prior to
entering public office.
(c) APPLICABLE ONLY TO NEW CLIENTS OR CUSTOMERS FOR WHOM SERVICES ARE
PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOUSAND FIFTEEN, OR FOR
NEW MATTERS FOR EXISTING CLIENTS OR CUSTOMERS WITH RESPECT TO THOSE
SERVICES THAT ARE PROVIDED ON OR AFTER DECEMBER THIRTY-FIRST, TWO THOU-
SAND FIFTEEN:
If the reporting individual receives income of ten thousand dollars or
greater from any employment or activity reportable under question 8(a),
identify each registered lobbyist who has directly referred to such
individual a client who was successfully referred to the reporting indi-
vidual's business and from whom the reporting individual or firm
received a fee for services in excess of five thousand dollars. Report
only those referrals that were made to a reporting individual by direct
communication from a person known to such reporting individual to be a
registered lobbyist at the time the referral is made. With respect to
each such referral, the reporting individual shall identify the client,
A. 4700 23
the registered lobbyist who has made the referral, the category of value
of the compensation received and a general description of the type of
matter so referred. A reporting individual need not disclose activities
performed while lawfully acting pursuant to paragraphs (c), (d), (e) and
(f) of subdivision seven of section seventy-three of this article. The
disclosure requirements in this question shall not require disclosing
clients or customers receiving medical, pharmaceutical or dental
services, mental health services, or residential real estate brokering
services from the reporting individual or [his or her] THEIR firm or if
federal law prohibits or limits disclosure. The reporting individual
need not identify any client to whom [he or she or his or her] THEY OR
THEIR firm provided legal representation with respect to investigation
or prosecution by law enforcement authorities, bankruptcy, family court,
estate planning, or domestic relations matters, nor shall the reporting
individual identify individuals represented pursuant to an insurance
policy but the reporting individual shall in such circumstances only
report the entity that provides compensation to the reporting individ-
ual; with respect to matters in which the client's name is required by
law to be kept confidential (such as matters governed by the family
court act) or in matters in which the reporting individual represents or
provides services to minors, the client's name may be replaced with
initials. To the extent that the reporting individual, or [his or her]
THEIR firm, provided legal representation with respect to an initial
public offering, and federal law or regulations restricts the disclosure
of information relating to such work, the reporting individual shall (i)
disclose the identity of the client and the services provided relating
to the initial public offering to the office of court administration,
who will maintain such information confidentially in a locked box; and
(ii) include in [his or her] THEIR response a statement that pursuant to
this paragraph, a disclosure to the office of court administration has
been made. Upon such time that the disclosure of information maintained
in the locked box is no longer restricted by federal law or regulation,
the reporting individual shall disclose such information in an amended
disclosure statement in response to the disclosure requirements of this
paragraph. The office of court administration shall develop and main-
tain a secure portal through which information submitted to it pursuant
to this paragraph can be safely and confidentially stored. With respect
to clients represented in other matters not otherwise exempt, the
reporting individual may request an exemption to publicly disclosing the
name of that client from the [commission on ethics and lobbying in
government pursuant to section ninety-four of the executive law] DEPART-
MENT OF OVERSIGHT AND INVESTIGATION, or from the office of court admin-
istration. In such application, the reporting individual shall state the
following: "My client is not currently receiving my services or seeking
my services in connection with:
(i) A proposed bill or resolution in the senate or assembly during the
reporting period;
(ii) A contract in an amount totaling $10,000 or more from the state
or any state agency for services, materials, or property;
(iii) A grant of $10,000 or more from the state or any state agency
during the reporting period;
(iv) A grant obtained through a legislative initiative during the
reporting period; or
(v) A case, proceeding, application or other matter that is not a
ministerial matter before a state agency during the reporting period."
A. 4700 24
In reviewing the request for an exemption, the [commission on ethics
and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or
the office of court administration may consult with bar or other profes-
sional associations and the legislative ethics commission for individ-
uals subject to its jurisdiction and may consider the rules of profes-
sional conduct. In making its determination, the [commission on ethics
and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or
the office of court administration shall conduct its own inquiry and
shall consider factors including, but not limited to: (i) the nature and
the size of the client; (ii) whether the client has any business before
the state; and if so, how significant the business is; and whether the
client has any particularized interest in pending legislation and if so
how significant the interest is; (iii) whether disclosure may reveal
trade secrets; (iv) whether disclosure could reasonably result in retal-
iation against the client; (v) whether disclosure may cause undue harm
to the client; (vi) whether disclosure may result in undue harm to the
attorney-client relationship; and (vii) whether disclosure may result in
an unnecessary invasion of privacy to the client.
The [commission on ethics and lobbying in government] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION or, as the case may be, the office of court
administration shall promptly make a final determination in response to
such request, which shall include an explanation for its determination.
The office of court administration shall issue its final determination
within three days of receiving the request. Notwithstanding any other
provision of law or any professional disciplinary rule to the contrary,
the disclosure of the identity of any client or customer in response to
this question shall not constitute professional misconduct or a ground
for disciplinary action of any kind, or form the basis for any civil or
criminal cause of action or proceeding. A reporting individual who first
enters public office after December thirty-first, two thousand fifteen,
need not report clients or customers with respect to matters for which
the reporting individual or [his or her] THEIR firm was retained prior
to entering public office.
Client Name of Lobbyist Description Category of Amount
of Matter (in Table 1)
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
4. 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 gives information
which such individual knows to be false on such statement of financial
disclosure filed pursuant to this section shall be subject to a civil
penalty in an amount not to exceed forty thousand dollars. Assessment of
a civil penalty hereunder shall be made by the [commission on ethics and
lobbying in government or by the legislative ethics commission, as the
case may be] DEPARTMENT OF OVERSIGHT AND INVESTIGATION OR THE LEGISLA-
TIVE ETHICS COMMISSION, with respect to persons subject to their respec-
tive jurisdictions. The [commission on ethics and lobbying in government
acting pursuant to subdivision fourteen of section ninety-four of the
executive law] DEPARTMENT OF OVERSIGHT AND INVESTIGATION or the legisla-
tive ethics commission acting pursuant to subdivision eleven of section
eighty of the legislative law, as the case may be, may, in lieu of or in
A. 4700 25
addition to a civil penalty, refer a violation to the appropriate prose-
cutor and upon such conviction, but only after such referral, 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
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,
except that the appointing authority may impose disciplinary action as
otherwise provided by law. The [commission on ethics and lobbying in
government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION and the legisla-
tive ethics commission shall each 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 relating to the assessment of the civil penalties herein author-
ized. 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 such article three but such mechanisms need not be identical in terms
or scope. Assessment of a civil penalty shall be final unless modified,
suspended or vacated within thirty days of imposition and upon becoming
final shall be subject to review at the instance of the affected report-
ing individual in a proceeding commenced against the [commission on
ethics and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTI-
GATION or the legislative ethics commission, pursuant to article seven-
ty-eight of the civil practice law and rules.
§ 14. The opening paragraph of section 1-d of the legislative law, as
amended by chapter 14 of the laws of 2007, is amended to read as
follows:
In addition to any other powers and duties [provided by section nine-
ty-four of the executive law,] the [commission] DEPARTMENT OF OVERSIGHT
AND INVESTIGATION shall, with respect to its lobbying-related functions
only, have the power and duty to:
§ 15. Subdivision 3 of section 2986 of the public authorities law, as
added by chapter 506 of the laws of 2009, is amended to read as follows:
3. Any communications between an employee and the authorities budget
office pursuant to this section shall be held strictly confidential by
the authorities budget office, unless the employee specifically waives
in writing the right to confidentiality, except that such confidentiali-
ty shall not exempt the authorities budget office from disclosing such
information, where appropriate, to the [state inspector general in
accordance with section fifty-five of the executive law,] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION or prevent disclosure to any law enforcement
authority.
§ 16. Paragraph (a) of subdivision 1 of section 73 of the public offi-
cers law, as amended by section 13 of part QQ of chapter 56 of the laws
of 2022, is amended to read as follows:
(a) The term "compensation" shall mean any money, thing of value or
financial benefit conferred in return for services rendered or to be
rendered. With regard to matters undertaken by a firm, corporation or
association, compensation shall mean net revenues, as defined in accord-
ance with generally accepted accounting principles as defined by the
[commission on ethics and lobbying in government or] legislative ethics
commission OR THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION in relation
to persons subject to their respective jurisdictions.
A. 4700 26
§ 17. The opening paragraph of paragraph (a) of subdivision 6 of
section 73 of the public officers law, as amended by section 15 of part
QQ of chapter 56 of the laws of 2022, is amended to read as follows:
Every legislative employee not subject to the provisions of section
seventy-three-a of this [chapter] ARTICLE shall, on and after December
fifteenth and before the following January fifteenth, in each year, file
with the [commission on ethics and lobbying in government] DEPARTMENT OF
OVERSIGHT AND INVESTIGATION and the legislative ethics commission a
financial disclosure statement of:
§ 18. Paragraph (h) of subdivision 8 of section 73 of the public offi-
cers law, as amended by section 16 of part QQ of chapter 56 of the laws
of 2022, is amended to read as follows:
(h) Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of this subdivision, a former state officer or employee
may contract individually, or as a member or employee of a firm, corpo-
ration or association, to render services to any state agency when the
agency head certifies in writing to the [commission on ethics and lobby-
ing in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION that the
services of such former officer or employee are required in connection
with the agency's response to a disaster emergency declared by the
governor pursuant to section twenty-eight of the executive law.
§ 19. Subdivision 8-a of section 73 of the public officers law, as
amended by section 17 of part QQ of chapter 56 of the laws of 2022, is
amended to read as follows:
8-a. The provisions of subparagraphs (i) and (ii) of paragraph (a) of
subdivision eight of this section shall not apply to any such former
state officer or employee engaged in any of the specific permitted
activities defined in this subdivision that are related to any civil
action or proceeding in any state or federal court, provided that the
attorney general has certified in writing to the [commission on ethics
and lobbying in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION,
with a copy to such former state officer or employee, that the services
are rendered on behalf of the state, a state agency, state officer or
employee, or other person or entity represented by the attorney general,
and that such former state officer or employee has expertise, knowledge
or experience which is unique or outstanding in a field or in a partic-
ular matter or which would otherwise be generally unavailable at a
comparable cost to the state, a state agency, state officer or employee,
or other person or entity represented by the attorney general in such
civil action or proceeding. In those instances where a state agency is
not represented by the attorney general in a civil action or proceeding
in state or federal court, a former state officer or employee may engage
in permitted activities provided that the general counsel of the state
agency, after consultation with the [commission on ethics and lobbying
in government] DEPARTMENT OF OVERSIGHT AND INVESTIGATION, provides to
[the commission on ethics and lobbying in government] SUCH DEPARTMENT a
written certification which meets the requirements of this subdivision.
For purposes of this subdivision the term "permitted activities" shall
mean generally any activity performed at the request of the attorney
general or the attorney general's designee, or in cases where the state
agency is not represented by the attorney general, the general counsel
of such state agency, including without limitation:
(a) preparing or giving testimony or executing one or more affidavits;
(b) gathering, reviewing or analyzing information, including documen-
tary or oral information concerning facts or opinions, attending deposi-
tions or participating in document review or discovery;
A. 4700 27
(c) performing investigations, examinations, inspections or tests of
persons, documents or things;
(d) performing audits, appraisals, compilations or computations, or
reporting about them;
(e) identifying information to be sought concerning facts or opinions;
or
(f) otherwise assisting in the preparation for, or conduct of, such
litigation.
Nothing in this subdivision shall apply to the provision of legal
representation by any former state officer or employee.
§ 20. Subdivision 8-b of section 73 of the public officers law, as
amended by section 17 of part QQ of chapter 56 of the laws of 2022, is
amended to read as follows:
8-b. Notwithstanding the provisions of subparagraphs (i) and (ii) of
paragraph (a) of subdivision eight of this section, a former state offi-
cer or employee may contract individually, or as a member or employee of
a firm, corporation or association, to render services to any state
agency if, prior to engaging in such service, the agency head certifies
in writing to the [commission on ethics and lobbying in government]
DEPARTMENT OF OVERSIGHT AND INVESTIGATION that such former officer or
employee has expertise, knowledge or experience with respect to a
particular matter which meets the needs of the agency and is otherwise
unavailable at a comparable cost. Where approval of the contract is
required under section one hundred twelve of the state finance law, the
comptroller shall review and consider the reasons for such certif-
ication. The [commission on ethics and lobbying in government] DEPART-
MENT OF OVERSIGHT AND INVESTIGATION must review and approve all certif-
ications made pursuant to this subdivision.
§ 21. Subdivision 10 of section 73 of the public officers law, as
amended by section 17 of part QQ of chapter 56 of the laws of 2022, is
amended to read as follows:
10. Nothing contained in this section, the judiciary law, the educa-
tion law or any other law or disciplinary rule shall be construed or
applied to prohibit any firm, association or corporation, in which any
present or former statewide elected official, state officer or employee,
or political party chair, member of the legislature or legislative
employee is a member, associate, retired member, of counsel or share-
holder, from appearing, practicing, communicating or otherwise rendering
services in relation to any matter before, or transacting business with
a state agency, or a city agency with respect to a political party chair
in a county wholly included in a city with a population of more than one
million, otherwise proscribed by this section, the judiciary law, the
education law or any other law or disciplinary rule with respect to such
official, member of the legislature or officer or employee, or political
party chair, where such statewide elected official, state officer or
employee, member of the legislature or legislative employee, or poli-
tical party chair does not share in the net revenues, as defined in
accordance with generally accepted accounting principles by the [commis-
sion on ethics and lobbying in government or by the] legislative ethics
commission OR THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION in relation
to persons subject to their respective jurisdictions, resulting there-
from, or, acting in good faith, reasonably believed that [he or she]
THEY would not share in the net revenues as so defined; nor shall
anything contained in this section, the judiciary law, the education law
or any other law or disciplinary rule be construed to prohibit any firm,
association or corporation in which any present or former statewide
A. 4700 28
elected official, member of the legislature, legislative employee, full-
time salaried state officer or employee or state officer or employee who
is subject to the provisions of section seventy-three-a of this article
is a member, associate, retired member, of counsel or shareholder, from
appearing, practicing, communicating or otherwise rendering services in
relation to any matter before, or transacting business with, the court
of claims, where such statewide elected official, member of the legisla-
ture, legislative employee, full-time salaried state officer or employee
or state officer or employee who is subject to the provisions of section
seventy-three-a of this article does not share in the net revenues, as
defined in accordance with generally accepted accounting principles by
the [commission on ethics and lobbying in government or by the] legisla-
tive ethics commission OR THE DEPARTMENT OF OVERSIGHT AND INVESTIGATION
in relation to persons subject to their respective jurisdictions,
resulting therefrom, or, acting in good faith, reasonably believed that
[he or she] THEY would not share in the net revenues as so defined.
§ 22. This act shall take effect on the first of January next succeed-
ing the date on which it shall have become a law; provided that the
amendment to subdivision 3 of section 212 of the racing, pari-mutuel
wagering and breeding law made by section three of this act shall not
affect the repeal of such section and shall be deemed repealed there-
with.
§ 3. Severability clause. If any clause, sentence, paragraph, subdivi-
sion, section or part of this act shall be adjudged by any court of
competent jurisdiction to be invalid, such judgment shall not affect,
impair, or invalidate the remainder thereof, but shall be confined in
its operation to the clause, sentence, paragraph, subdivision, section
or part thereof directly involved in the controversy in which such judg-
ment shall have been rendered. It is hereby declared to be the intent of
the legislature that this act would have been enacted even if such
invalid provisions had not been included herein.
§ 4. This act shall take effect immediately; provided, however, that
the applicable effective dates of Parts A through D of this act shall be
as specifically set forth in the last section of such Parts.
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