PUBLIC OFFICERS LAW
Laws 1909, Chap. 51.
AN ACT in relation to public officers, constituting chapter forty-
seven of the consolidated laws.
Became a law February 17, 1909, with the approval of the
Governor. Passed, three-fifths being present.
The People of the State of New York, represented in Senate and
Assembly, do enact as follows:
CHAPTER 47 OF THE CONSOLIDATED LAWS
PUBLIC OFFICERS LAW
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ARTICLE 4
POWERS AND DUTIES OF PUBLIC OFFICERS
Section 60. Official seals of court of appeals, governor
and state departments, divisions and bureaus.
61. Investigations by state officers.
62. Business in public offices on public
holidays.
62a. Leave of absence for certain appointive
state officers; temporary vacancy.
63. Leave of absence for veterans on Memorial day
and Veterans' day.
64. Payment of expenses of public officers.
64a. Patent policy.
66. Interchangeable use of gender neutral and
gender specific titles of public offices.
66a. Accident reports kept by police
authorities to be open to the inspection of
persons interested.
67. Fees for public officers.
67a. Fees for certification or
exemplification.
68. Allowance of additional fees and expenses.
68a. Fees for oath or acknowledgment.
69. Fee for administering certain official oaths
prohibited.
69a. Interest to be paid and collected on all
deposits of public moneys amounting to one
thousand dollars or more.
70. Accounting for fees.
70a. Fees to be paid by public officers for
public advertisements.
70b. Certificate on printed copies of laws.
71. Vacations for employees of the state.
72. Notices and reports of claims, suits or
causes of action to be given to the attorney-
general.
72a. Penalty of officer for failure to
execute mandate and make return.
73. Business or professional activities by state
officers and employees and party officers.
73a. Financial disclosure.
74. Code of ethics.
74a. Duty of public officers regarding the
physically handicapped.
75. Bribery of members of the legislature.
76. Receiving bribes by members of legislature.
77. Unlawful fees and payments.
77a. Members of the legislature liable to
forfeiture of office.
78. Certification of members, officers and
employees.
79. Fine in certain cases.
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Section 60. Official seals of court of appeals, governor and
state departments, divisions and bureaus.
1. Each of the civil departments in the state government shall
have an official seal. In addition to the divisions or
bureaus required by law to have an official seal, any
division or bureau of any department shall have such a seal,
if so required by rules of the department. The official seal
shall be used in the cases prescribed by law. Such rules
also may prescribe other cases in which it shall or may be
used. For the purposes of any provisions of the law
requiring the use of the official seal of the officer or
body who or which is the head of a department, division or
bureau, the seal of such department, division or bureau
shall be deemed the official seal of such officer or body.
2. The seal of the court of appeals, the privy seal of the
governor and the official seal of each civil department of
the state government shall be of metal with the device of
the arms of the state surrounded with the inscription, State
of New York, and the official designation of the court,
official or department. Each civil department of the state
government may affix a facsimile seal, engraved or printed
or reproduced in any manner from such metal seal, to any
instrument or writing to be sealed by such civil department.
The official seal, if any, of a division or bureau of a
department shall have thereon the matter required for the
official seal of the department and in addition thereto
words or initials, or both, describing the division or
bureau. The seal of such court, the privy seal of the
governor, and the official seal of such a department shall
be two and one-quarter inches in diameter. The official
seal, if any, of such a division or bureau shall be one and
three-quarters inches in diameter. Each metal seal provided
for herein shall be provided by the department of state. The
seal of the court of appeals and privy seal of the governor
heretofore provided by the secretary of state shall continue
to be used by such court and officer until defective from
wear or otherwise. Whenever any seal provided for in this
section becomes defective from wear or otherwise, it shall
be delivered to the department of state which shall cause it
to be repaired and returned, or to be defaced with a
suitable mark, or deposited with the ancient seals in the
state library, and new seals, in the form prescribed by this
section, to be provided for use instead.
Sec. 61. Investigations by state officers.
Every state officer, in any proceeding held before him, or in any
investigation held by him for the purpose of making inquiry as to
the official conduct of any subordinate officer or employee,
shall have the power to issue subpoenas for and require the
attendance of witnesses and the production of all books and
papers relating to any matter under inquiry. All such subpoenas
shall be issued under the hand and seal of the state officer
holding such proceeding. A subpoena issued under this section
shall be regulated by the civil practice law and rules. The
testimony of witnesses in any such proceeding shall be under oath
and the state officer instituting the proceeding shall have power
to administer oaths. In case of state boards or commissions, any
member of the same, or, when duly authorized by resolution, the
secretary of such board or commission, shall have power to issue
subpoenas and administer oaths for the purposes of this section.
Sec. 62. Business in public offices on public holidays.
1. Holidays and half holidays shall be considered as Sunday for
all purposes relating to the transaction of business in the
public offices of each county. On all other days and half
days, excepting Sundays, such offices shall be kept open for
the transaction of business. This subdivision is subject to
the provisions of section two hundred six-a of the county
law and sections 1032-14.0 and 1052-22.0 of the
administrative code of the city of New York.
2. Holidays and Saturdays shall be considered as Sunday for all
purposes relating to the transaction of business in the
public offices of the state. On all other days, excepting
Sundays, such offices shall be kept open for the transaction
of business. Whenever the last day on which any paper shall
be filed or act done or performed in any such office expires
on a Saturday, the time therefor is hereby extended to and
including the next business day.
Sec. 62-a. Leave of absence for certain appointive state
officers; temporary vacancy.
A person holding a state office by appointment of the governor,
or of the governor by and with the consent of the senate, may be
granted by the governor, on the application of such person, a
leave of absence from such office, without pay, for a stated
period less than the remainder of the unexpired term. The office
shall be deemed vacant for the purpose only of filling it, in the
manner provided by law, for a term expiring at the end of such
period. At or after the end of such period, the person who is
granted such leave of absence, if not then disqualified, may
resume such office, its title, duties and salary for the
unexpired regular term, without reappointment, and the interim
incumbent, if any, shall cease to hold it. On or after the
beginning of such period, such person, if otherwise eligible, may
be appointed to and hold any other appointive office in the state
service; but he shall resign therefrom before resuming such
former office under the foregoing provisions. A person resuming
such office shall file in the office of the department of state
his statement in writing that he elects to and does resume it
pursuant to this section.
Section 63. Leave of absence for veterans on Memorial day and
Veterans' day.
It shall be the duty of the head of every public department and
of every court of the state of New York, of every superintendent
or foreman on the public works of said state, of the county
officers of the several counties of said state, of the town
officers of the various towns in this state, of the fire district
officers of the various fire districts in this state, and of the
head of every department, bureau and office in the government of
the various cities and villages in this state, to give leave of
absence with pay for twenty-four hours on the day prescribed by
law as a public holiday for the observance of Memorial day and on
the eleventh day of November, known as Veterans' day, to every
person in the service of the state, the county, the town, the
fire district, the city or village, as the case may be, (i) who
served on active duty in the armed forces of the United States
during world war I or world war II, or who was employed by the
War Shipping Administration or Office of Defense Transportation
or their agents as a merchant seaman documented by the United
States Coast Guard or Department of Commerce, or as a civil
servant employed by the United States Army Transport Service
(later redesignated as the United States Army Transportation
Corps, Water Division) or the Naval Transportation Service; and
who served satisfactorily as a crew member during the period of
armed conflict, December seventh, nineteen hundred forty-one, to
August fifteenth, nineteen hundred forty-five, aboard merchant
vessels in oceangoing, i.e., foreign, intercoastal, or coastwise
service as such terms are defined under federal law (46 USCA
10301 & 10501) and further to include "near foreign" voyages
between the United States and Canada, Mexico, or the West Indies
via ocean routes, or public vessels in oceangoing service or
foreign waters and who has received a Certificate of Release or
Discharge from Active Duty and a discharge certificate, or an
Honorable Service Certificate/Report of Casualty, from the
Department of Defense, or during the period of the Korean
conflict at any time between the dates of June twenty-seventh,
nineteen hundred fifty and January thirty-first, nineteen hundred
fifty-five, or during the period of the Vietnam conflict from the
twenty-second day of December, nineteen hundred sixty-one to the
seventh day of May, nineteen hundred seventy-five, or (ii) who
served on active duty in the armed forces of the United States
and who was a recipient of the armed forces expeditionary medal,
navy expeditionary medal or marine corps expeditionary medal for
participation in operations in Lebanon from June first, nineteen
hundred eighty-three to December first, nineteen hundred eighty-
seven, in Grenada from October twenty-third, nineteen hundred
eighty-three to November twenty-first, nineteen hundred eighty-
three, or in Panama from December twentieth, nineteen hundred
eighty-nine to January thirty-first, nineteen hundred ninety, or
(iii) who served in the armed forces of a foreign country allied
with the United States during world war I or world war II, or
during the period of the Korean conflict at any time between June
twenty-seventh, nineteen hundred fifty and January thirty-first,
nineteen hundred fifty-five, or during the period of the Vietnam
conflict from the twenty-second day of December, nineteen hundred
sixty-one to the seventh day of May, nineteen hundred seventy-
five, or during the period of the Persian Gulf conflict from the
second day of August, nineteen hundred ninety to the end of such
conflict, or who served on active duty in the army or navy or
marine corps or air force or coast guard of the United States,
and who was honorably discharged or separated from such service
under honorable conditions, except where such action would
endanger the public safety or the safety or health of persons
cared for by the state, in which event such persons shall be
entitled to leave of absence with pay on another day in lieu
thereof. All such persons who are compensated on a per diem,
hourly, semi-monthly or monthly basis, with or without
maintenance, shall also be entitled to leave of absence with pay
under the provisions of this section and no deduction in vacation
allowance or budgetary allowable number of working days shall be
made in lieu thereof. A refusal to give such leave of absence to
one entitled thereto shall be neglect of duty.
Sec. 64. Payment of expenses of public officers.
Every public officer who is not allowed any compensation for his
services shall be paid his actual expenses necessarily incurred
in the discharge of his official duties.
Section 64-a. Patent policy.
1. Notwithstanding the provisions of section one hundred thirty-
five of the civil service law, the participation in royalty
or other arrangements may be extended or the payment of
additional compensation may be made to an employee of a
state department or of an agency, in addition to such
employee's definite salary or compensation, provided such
participation or additional compensation is pursuant to a
patent policy approved for such department or agency by the
director of the budget and the state comptroller. Such
participation or additional compensation shall not affect
the entitlement of the employee to any regular pay, annuity
or award to which he or she is otherwise entitled or for
which he or she is otherwise eligible under the civil
service law or any other applicable statute shall not be
included as compensation for the purposes of computing
overtime pay or for retirement purposes.
2. The department and agency patent policies in effect on the
effective date of this section shall be continued. Such
existing policies, unless promulgated pursuant to article
eight of the education law, shall be subject to the approval
of the director of the budget and the state comptroller.
3. A state department or agency may, after the effective date
of this section, adopt a patent policy, or amend a patent
policy previously approved by the director of the budget for
such agency, subject to the approval of the director of the
budget, the state comptroller and the director of the office
of employee relations. Where such policy or amendment
affects a term or condition of employment, such policy or
amendment shall be adopted in accordance with the provisions
of article fourteen of the civil service law.
4. Any such patent policy shall contain an express provision
requiring the comptroller's approval of any transfer of
patents or other technologies by, or for the benefit of, the
state.
Section 66. Interchangeable use of gender neutral and gender
specific titles of public offices.
Notwithstanding any other provision of law, local law, charter,
code or ordinance, a public officer may, in official documents or
otherwise, refer to the name of her or his public office:
(a) by its official title as specified in the statute, local
law, charter, code or ordinance creating such public office,
or,
(b) by any other gender neutral or gender indicative suffixes,
prefixes or words which reconstruct the official name or
title of such public office, provided that the form of
reconstruction readily permits the unmistakable
identification of the particular public office held by such
public officer.
Section 66-a. Accident reports kept by police authorities to be
open to the inspection of persons interested.
1. Notwithstanding any inconsistent provisions of law, general,
special or local, or any limitation contained in the
provision of any city charter, all reports and records of
any accident, kept or maintained by the state police or by
the police department or force of any county, city, town,
village or other district of the state, shall be open to the
inspection of any person having an interest therein, or of
such person's attorney or agent, even though the state or a
municipal corporation or other subdivision thereof may have
been involved in the accident; except that the authorities
having custody of such reports or records may prescribe
reasonable rules and regulations in regard to the time and
manner of such inspection, and may withhold from inspection
any reports or records the disclosure of which would
interfere with the investigation or prosecution by such
authorities of a crime involved in or connected with the
accident.
2. Notwithstanding the provisions of section twenty-three
hundred seven of the civil practice law and rules, the
public officers law, or any other law to the contrary, the
division of state police shall charge fees for the search
and copy of accident reports and photographs. A search fee
of fifteen dollars per accident report shall be charged,
with no additional fee for a photocopy. An additional fee of
fifteen dollars shall be charged for a certified copy of any
accident report. A fee of twenty-five dollars per photograph
or contact sheet shall be charged. The fees for
investigative reports shall be the same as those for
accident reports.
Sec. 67. Fees of public officers.
1. Each public officer upon whom a duty is expressly imposed by
law, must execute the same without fee or reward, except
where a fee or other compensation therefor is expressly
allowed by law.
2. An officer or other person, to whom a fee or other
compensation is allowed by law, for any service, shall not
charge or receive a greater fee or reward, for that service,
than is so allowed.
3. An officer, or other person, shall not demand or receive any
fee or compensation, allowed to him by law for any service,
unless the service was actually rendered by him; except that
an officer may demand in advance his fee, where he is, by
law, expressly directed or permitted to require payment
thereof, before rendering the service.
4. Money received by a public officer, or which shall come into
his possession or custody, in the performance of his
official duties or in connection therewith or incidental
thereto, shall be held by him in trust for the person or
persons entitled thereto or for the purposes provided by law
and all interest or increments which shall accrue or attach
to such money while in his possession or custody shall be
added to, and become a part of, the money so held and no
part of such interest or increments shall be retained by
such officer to his personal use or benefit, except legal
fees allowed by law for receiving and disbursing the same,
notwithstanding the provisions of any general or special
law.
An officer or other person, who violates either of the
provisions contained in this section, is liable, in addition
to the punishment prescribed by law for the criminal
offense, to an action in behalf of the person aggrieved, in
which the plaintiff is entitled to treble damages.
Sec. 67-a. Fees for certification or exemplification.
Whenever there shall be presented to any public officer for
certification or exemplification, a previously prepared legibly
typewritten or printed copy of any document, paper, book or
record in such officer's custody, the fees in such case, for
certification or exemplification, shall be at the rate of three
cents for each folio; but the minimum total charge for
certification or exemplification in all cases shall be twenty-
five cents.
Sec. 68. Allowance of additional fees and expenses.
Where an officer or other person is required, in the course of a
duty imposed upon him by law, to take an oath, to acknowledge an
instrument, to cause an instrument to be filed or recorded, or to
transmit a paper to another officer, he is entitled, in addition
to the fees, or other compensation for the service, prescribed by
law, to the fees necessarily paid by him, to the officer who
administered the oath, or took the acknowledgment, or filed or
recorded the instrument; and to the expense of transmitting the
paper, including postage, where the transmission is lawfully made
through the post-office.
Section 68-a. Fees for oath or acknowledgment.
Any officer, authorized to perform the services specified in this
section, and to receive fees therefor, is entitled to the
following fees:
1. For administering an oath or affirmation, and certifying the
same when required, except where another fee is specially
prescribed by statute, two dollars.
2. For taking and certifying the acknowledgment or proof of the
execution of a written instrument; by one person, two
dollars; and by each additional person, two dollars; for
swearing each witness thereto, two dollars.
Sec. 69. Fee for administering certain official oaths
prohibited.
An officer is not entitled to a fee, for administering the oath
of office to a member of the legislature, to any military
officer, to an inspector of election, clerk of the poll, or to
any other public officer or public employee.
Sec. 69-a. Interest to be paid and collected on all deposits
of public moneys amounting to one thousand dollars
or more.
Within twenty days of the taking effect of this section, interest
shall be required to be paid, if not already so provided by law,
on all deposits of public moneys amounting to one thousand
dollars or more made by a state, local or other public officer or
employee for or on behalf of the state or the county, city, town,
village, school district or other public instrumentality or for
or on behalf of any pension system or fund maintained by law for
any of the employees of the state, county, city, town, village,
school district or other public instrumentality, as the case may
be, to which such moneys belong. Within twenty days after this
section takes effect and, in the case of public officers or
employees hereafter elected or appointed within twenty days after
entering upon the duties of his office or employment, every
public officer or employee charged with the care and custody of
public moneys and/or of moneys entrusted to his care and custody
by virtue of his office or employment shall agree with the
depositary thereof upon the rate of interest to be paid thereon
and such rate of interest shall thereupon and thereafter be paid
by said depositary at such time or times as shall be agreed upon.
All interest on such deposits shall be accounted for by the
depositing officer or employee in the same manner as other moneys
received by such officer or employee by virtue of his office or
employment.
Nothing contained in this section or in any other general or
special law shall authorize, enable or require any state, local
or other public officer or employee, to demand or require of any
banking corporation or private banker, any agreement to pay, or
payment of, interest upon any deposit of public moneys or any
deposit made for or on behalf of the state or the county, city,
town, village, school district or other public instrumentality,
board, agency or authority, or for or on behalf of any pension
system or fund maintained by law for any of the employees of the
state, county, city, town, village, school district or other
public board, agency, instrumentality or authority, as the case
may be, if payment of interest upon any such deposit is at the
time prohibited by state or federal law or by any regulation of
either the banking board of this state, or of the board of
governors of the federal reserve system, or of the board of
directors of the Federal Deposit Insurance Corporation.
Sec. 70. Accounting for fees.
Where a public officer is required, by law, to keep an account
of, or to pay over, the fees or other moneys, received by him for
official services, he must include therein all sums, received by
him, to which he was entitled, by reason of any act, performed by
him in his official capacity; whether the act did or did not
pertain to his office, or to the business thereof.
Section 70-a. Fees to be paid by public officers for public
advertisements.
The charge for the publication of concurrent resolutions,
proposed constitutional amendments, propositions or questions to
be submitted to the voters of the state, tax sales and official
notices required to be published by state boards, commissions or
officers in newspapers of the state, shall be paid from the
treasury on the audit and warrant of the comptroller, after
certification by the proper officer that such a publication has
been regularly made as prescribed by law. The charge for the
publication, if authorized by law, of digests of laws of a local
nature in the newspaper designated to publish such digests shall
be paid by the several counties of the state in which such laws
may be published, upon like certification. The charge for the
publication of concurrent resolutions, proposed constitutional
amendments, propositions or questions to be submitted to the
voters of the state or of any political subdivision thereof or
therein, tax sales by the state or any county or municipality
therein, and of all official notices and advertisements
authorized or required by law to be published at the expense of
the state or of a county, city, town, village, public authority,
public benefit corporation or other political or civil
subdivision of the state, shall be at the rate of twenty-nine
cents per line of a column width not less than ten pica ems,
provided that in computing such charge per line the line shall
average at least five words for each insertion in newspapers
having less than two thousand five hundred circulation; twenty-
nine and one-half cents per line for newspapers having two
thousand five hundred or more circulation and less than five
thousand; thirty and one-half cents per line for newspapers
having five thousand or more circulation and less than seven
thousand and five hundred; thirty-one and one-half cents per line
for newspapers having seven thousand five hundred or more
circulation and less than ten thousand; thirty-two and one-half
cents per line for newspapers having ten thousand or more
circulation and less than fifteen thousand; and three and one-
half cents per line in addition to the thirty-two and one-half
cents for the initial fifteen thousand circulation, for each
additional five thousand circulation up to thirty-five thousand
circulation and one and one-half cents per line for each
additional five thousand possessed by such newspapers. To all of
the above rates nine cents per line shall be added to the initial
insertion charge of each separate advertisement. To all of the
above rates for the initial insertion eight cents per line shall
also be added for tabular matter or intricate composition.
Display advertising shall be charged agate measurement, fourteen
lines to each inch, ten to thirteen pica ems wide, depending on
the makeup of the newspaper publishing such copy. Every newspaper
printed, published or having its principal office outside of a
city having a population of over three hundred fifty thousand
inhabitants, as a condition precedent to designation as the
official newspaper of any county, city, town, village or other
political or civil subdivision of the state or for the making of
claim for compensation under the foregoing provisions of this
section, must be established at least one year and entered in the
post office as second class matter.
This rate shall not apply to any newspaper printed, principally
circulated or having its principal office in the counties of New
York or Bronx within the first judicial district or in the county
of Kings within the second judicial district or in the county of
Nassau within the tenth judicial district or in the county of
Queens within the eleventh judicial district or in the county of
Westchester within the ninth judicial district or in any city
having a population of over one hundred seventy-five thousand
inhabitants within the seventh and eighth judicial districts,
where the rate for such publication may be equal to, but shall
not exceed, the regularly established classified advertising rate
of such newspapers. In reckoning line charges allowance shall be
made for date lines, paragraph endings, titles, signatures, and
similar short lines as full lines where the same are set to
conform to the usual rules of composition. Every newspaper
printed, published or having its principal office outside of a
city having a population of over three hundred fifty thousand
inhabitants designated for the publication of concurrent
resolutions, proposed constitutional amendments, propositions or
questions to be submitted to the voters of the state and making
claim for compensation must be established at least one year,
entered in the post office as second class matter and be printed
and published in the town, village or city or its post office
address and except newspapers designated, printed, published and
having their principal offices in a city having a population of
more than three hundred fifty thousand in- habitants, shall
attach to such claim an affidavit of the circulation of such
newspaper for the six months period ending March thirty-first or
September thirtieth immediately preceding, which shall be used as
the basis of circulation rating. Papers printed, published and
having their principal offices outside a city having a population
of more than three hundred fifty thousand inhabitants shall
accept the minimum rate per line until such time as they
establish to the satisfaction of the state comptroller sufficient
circulation to entitle them to a higher rate. It shall be the
duty of each board of supervisors in the several counties of the
state, in making out the assessment rolls, to assess and levy on
the taxable property of the county whose representatives they
are, such sums as shall be sufficient to defray the expense of
publishing the digest of laws of a local nature, if such
publication be authorized, applicable only to the county
affected, in the newspaper designated. Notwithstanding any
provision of this section to the contrary, any publication which
was designated and publishing notice as an official newspaper
prior to the year nineteen hundred forty and continued to be so
designated and publishing for at least thirty years after such
year, which has been designated for the publication of concurrent
resolutions, proposed constitutional amendments, propositions or
questions to be submitted to the voters of the state, may make
claim for compensation pursuant to the provisions of this
section.
Sec. 70-b. Certificate on printed copies of laws.
1. A published or printed copy of a law shall be entitled to be
read into evidence if it is:
(a) Contained in a book or pamphlet published under the
direction of the temporary president of the senate and
speaker of the assembly pursuant to the provisions of
section forty-four of the legislative law; or
(b) Certified to be a slip copy of a session law printed
under the direction of the temporary president of the
senate and speaker of the assembly; or
(c) Contained in a book or pamphlet, or supplement thereto,
and certified by the temporary president of the senate
and speaker of the assembly to be a correct transcript
of the text of such law as last amended; or
(d) Certified as a correct transcript of the text of such
law by the secretary of state.
2. A published or printed copy of the administrative code of
the city of New York shall be entitled to be read into
evidence if it is contained in a book or pamphlet, or
supplement thereto and certified by the temporary president
of the senate and the speaker of the assembly to be a
correct transcript of the text of such code as last amended;
provided, however, that whenever the provisions of such code
contain amendments, additions or repeals effected by passage
of local laws by the city council of the city of New York,
certification by the temporary president of the senate and
the speaker of the assembly shall not be made unless prior
thereto certified or official copies of such local laws have
been transmitted by the city clerk of the city of New York
to the New York state legislative bill drafting commission
at its office in Albany.
Sec. 71. Vacations for employees of the state.
The executive officers of every public department, bureau,
commission, or board of the state are authorized and empowered to
grant to every employee under their supervision, who shall have
been in such employ for at least one year, a vacation of not less
than two weeks in each year, and for such further period of time
as in the opinion and judgment of the executive officers, the
duties, position, length of service and other circumstances may
warrant, at such time as the executive officers may fix and
during such vacation the said employee shall be allowed the same
compensation as if actually employed. The provisions of this
section shall not apply to any employee who is subject to the
rules governing sick leave, vacation and other time allowances
adopted by the state civil service commission pursuant to law.
Sec. 72. Notices and reports of claims, suits or causes of
action to be given to the attorney-general.
1. Every officer, clerk, agent or employee of any department of
the state government, who shall have knowledge of any
accident or injury to the person or property of any person
or corporation, on account of which there arises or may
arise a claim, suit or cause of action against the state, or
of any accident or injury to property owned by the state, on
account of which there arises or may arise a claim, suit or
cause of action in favor of the state, shall immediately
give notice thereof to the officer or employee in charge of
his bureau or department.
2. Every department, commission, board or officer, or the
person in charge thereof, who has knowledge that a claim has
accrued or may have accrued or made either against, or in
favor of, the state, or of any accident or injury to the
person or property of any person or corporation, or of the
state on account of which there arises or may arise a claim,
suit or cause of action against, or in favor of, the state,
or an officer thereof, shall immediately give notice to the
attorney-general, stating the time when, and the place
where, such claim, suit or cause of action may have arisen,
and the nature of the same, and such other information and
evidence as the attorney-general may direct or deem
necessary. The attorney-general shall make such
investigation of the facts, relating to any matter so
reported, as he may deem necessary.
Sec. 72-a. Penalty of officer for failure to execute mandate
and make return.
An officer who fails to execute a mandate according to its
command and make a return thereon of his proceedings is liable to
the party aggrieved for the damages sustained by him, in addition
to any other punishment or proceeding authorized by law.
Section 73. Business or professional activities by state
officers and employees and party officers.
1. As used in this section:
(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
accordance with generally accepted accounting principles as
defined by the state ethics commission or legislative ethics
committee in relation to persons subject to their respective
jurisdictions.
(b) The term "licensing" shall mean any state agency activity,
other than before the division of corporations and state
records in the department of state, respecting the grant,
denial, renewal, revocation, enforcement, suspension,
annulment, withdrawal, recall, cancellation or amendment of
a license, permit or other form of permission conferring the
right or privilege to engage in (i) a profession, trade, or
occupation or (ii) any business or activity regulated by a
regulatory agency as defined herein, which in the absence of
such license, permit or other form of permission would be
prohibited.
(c) The term "legislative employee" shall mean any officer or
employee of the legislature but it shall not include members
of the legislature.
(d) The term "ministerial matter" shall mean an administrative
act carried out in a prescribed manner not allowing for
substantial personal discretion.
(e) The term "regulatory agency" shall mean the banking
department, insurance department, state liquor authority,
department of agriculture and markets, department of
education, department of environmental conservation,
department of health, division of housing and community
renewal, department of state, other than the division of
corporations and state records, department of public
service, the industrial board of appeals in the department
of labor and the department of law, other than when the
attorney general or his agents or employees are performing
duties specified in section sixty-three of the executive
law.
(f) The term "representative capacity" shall mean the
presentation of the interests of a client or other person
pursuant to an agreement, express or implied, for
compensation for services.
(g) The term "state agency" shall mean any state department, or
division, board, commission, or bureau of any state
department, any public benefit corporation, public authority
or commission at least one of whose members is appointed by
the governor, or the state university of New York or the
city university of New York, including all their constituent
units except community colleges and the independent
institutions operating statutory or contract colleges on
behalf of the state.
(h) The term "statewide elected official" shall mean the
governor, lieutenant governor, comptroller or attorney
general.
(i) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies and
assistants other than members of the board of regents
of the university of the state of New York who
receive no compensation or are compensated on a per
diem basis;
(ii) officers and employees of statewide elected
officials;
(iii) officers and employees of state departments, boards,
bureaus, divisions, commissions, councils or other
state agencies other than officers of such boards,
commissions or councils who receive no compensation
or are compensated on a per diem basis; and
(iv) 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, who receive
compensation other than on a per diem basis, and
employees of such authorities, corporations and
commissions.
(j) The term "city agency" shall mean a city, county, borough or
other office, position, administration, department,
division, bureau, board, commission, authority, corporation
or other agency of government, the expenses of which are
paid in whole or in part from the city treasury, and shall
include the board of education, the board of higher
education, school boards, city and community colleges,
community boards, the New York city transit authority, the
New York city housing authority and the Triborough bridge
and tunnel authority, but shall not include any court or
corporation or institution maintaining or operating a public
library, museum, botanical garden, arboretum, tomb, memorial
building, aquarium, zoological garden or similar facility.
(k) The term "political party chairman" shall mean:
(i) the chairman of the state committee of a party
elected as provided in section 2-112 of the election
law and his or her successor in office;
(ii) the chairman of a county committee elected as
provided in section 2-112 of the election law and his
or her successor in office from a county having a
population of three hundred thousand or more or who
receives compensation or expenses, or both, during
the calendar year aggregating thirty thousand dollars
or more; and
(iii) that person (usually designated by the rules of a
county committee as the "county leader" or "chairman
of the executive committee") by whatever title
designated, who pursuant to the rules of a county
committee or in actual practice, possesses or
performs any or all of the following duties or roles,
provided that such person was elected from a county
having a population of three hundred thousand or more
or was a person who received compensation or
expenses, or both, from constituted committee or
political committee funds, or both, during the
reporting period aggregating thirty thousand dollars
or more:
(A) the principal political, executive and
administrative officer of the county committee;
(B) the power of general management over the affairs
of the county committee;
(C) the power to exercise the powers of the chairman
of the county committee as provided for in the
rules of the county committee;
(D) the power to preside at all meetings of the county
executive committee, if such a committee is
created by the rules of the county committee or
exists de facto, or any other committee or
subcommittee of the county committee vested by
such rules with or having de facto the power of
general management over the affairs of the county
committee at times when the county committee is
not in actual session;
(E) the power to call a meeting of the county
committee or of any committee or subcommittee
vested with the rights, powers, duties or
privileges of the county committee pursuant to the
rules of the county committee, for the purpose of
filling an office at a special election in
accordance with section 6-114 of the election law,
for the purpose of filling a vacancy in accordance
with section 6-116 of such law; or
(F) the power to direct the treasurer of the party to
expend funds of the county committee.
The terms "constituted committee" and "political committee", as
used in this paragraph (k), shall have the same meanings as those
contained in section 14-100 of the election law.
2. In addition to the prohibitions contained in subdivision
seven hereof, no statewide elected official, state officer
or employee, member of the legislature or legislative
employee shall receive, or enter into any agreement express
or implied for, compensation for services to be rendered in
relation to any case, proceeding, application, or other
matter before any state agency, whereby his compensation is
to be dependent or contingent upon any action by such agency
with respect to any license, contract, certificate, ruling,
decision, opinion, rate schedule, franchise, or other
benefit; provided, however, that nothing in this subdivision
shall be deemed to prohibit the fixing at any time of fees
based upon the reasonable value of the services rendered.
3. (a) No statewide elected official, member of the
legislature, legislative employee, full-time salaried
state officer or employee shall receive, directly or
indirectly, or enter into any agreement express or
implied for, any compensation, in whatever form, for
the appearance or rendition of services by himself or
another against the interest of the state in relation
to any case, proceeding, application or other matter
before, or the transaction of business by himself or
another with, the court of claims.
(b) No state officer or employee who is required to file an
annual statement of financial disclosure pursuant to
the provisions of section seventy-three-a of this
article, and is not otherwise subject to the provisions
of this section, shall receive, directly or indirectly,
or enter into any agreement express or implied, for any
compensation, in whatever form, for the appearance or
rendition of services by himself or another against the
interest of the state agency by which he is employed or
affiliated in relation to any case, proceeding,
application or other matter before, or the transaction
of business by himself or another with, the court of
claims.
4. (a) No statewide elected official, state officer or
employee, member of the legislature, legislative
employee or political party chairman or firm or
association of which such person is a member, or
corporation, ten per centum or more of the stock of
which is owned or controlled directly or indirectly by
such person, shall (i) sell any goods or services
having a value in excess of twenty-five dollars to any
state agency, or (ii) contract for or provide such
goods or services with or to any private entity where
the power to contract, appoint or retain on behalf of
such private entity is exercised, directly or
indirectly, by a state agency or officer thereof,
unless such goods or services are provided pursuant to
an award or contract let after public notice and
competitive bidding. This paragraph shall not apply to
the publication of resolutions, advertisements or other
legal propositions or notices in newspapers designated
pursuant to law for such purpose and for which the
rates are fixed pursuant to law.
(b) No political party chairman of a county wholly included
in a city with a population of more than one million,
or firm or association of which such person is a
member, or corporation, ten per centum or more of the
stock of which is owned or controlled directly or
indirectly by such person, shall (i) sell any goods or
services having a value in excess of twenty-five
dollars to any city agency, or (ii) contract for or
provide such goods or services with or to any private
entity where the power to contract, appoint or retain
on behalf of such private entity is exercised directly
or indirectly, by a city agency or officer thereof,
unless such goods or services are provided pursuant to
an award or contract let after public notice and
competitive bidding. This paragraph shall not apply to
the publication of resolutions, advertisements or other
legal propositions or notices in newspapers designated
pursuant to law for such purpose and for which the
rates are fixed pursuant to law.
(c) For purposes of this subdivision, the term "services"
shall not include employment as an employee.
5. No statewide elected official, state officer or employee,
member of the legislature or legislative employee shall,
directly or indirectly, solicit, accept or receive any gift
having a value of seventy-five dollars or more whether in
the form of money, service, loan, travel, entertainment,
hospitality, thing or promise, or in any other form, under
circumstances in which it could reasonably be inferred that
the gift was intended to influence him, or could reasonably
be expected to influence him, in the performance of his
official duties or was intended as a reward for any official
action on his part. No person shall, directly or indirectly,
offer or make any such gift to a statewide elected official,
or any state officer or employee, member of the legislature
or legislative employee under such circumstances.
6. (a) Every legislative employee not subject to the
provisions of section seventy-three-a of this chapter
shall, on and after December fifteenth and before the
following January fifteenth, in each year, file with
the legislative ethics committee established by section
eighty of the legislative law a financial disclosure
statement of
(1) each financial interest, direct or indirect of
himself, his spouse and his unemancipated children
under the age of eighteen years in any activity
which is subject to the jurisdiction of a
regulatory agency or name of the entity in which
the interest is had and whether such interest is
over or under five thousand dollars in value.
(2) every office and directorship held by him in any
corporation, firm or enterprise which is subject
to the jurisdiction of a regulatory agency,
including the name of such corporation, firm or
enterprise.
(3) any other interest or relationship which he
determines in his discretion might reasonably be
expected to be particularly affected by
legislative action or in the public interest
should be disclosed.
(b) Copies of such statements shall be open to public
inspection.
(c) Any such legislative employee who knowingly and
wilfully with intent to deceive makes a false statement
or gives information which he knows to be false in any
written statement required to be filed pursuant to this
subdivision, shall be assessed a civil penalty in an
amount not to exceed ten thousand dollars. Assessment
of a civil penalty shall be made by the legislative
ethics committee in accordance with the provisions of
subdivision twelve of section eighty of the legislative
law. For a violation of this subdivision, the committee
may, in lieu of a civil penalty, refer a violation to
the appropriate prosecutor and upon conviction, but
only after such referral, such violation shall be
punishable as a class A misdemeanor.
7. (a) No statewide elected official, or state officer or
employee, other than in the proper discharge of
official duties, or member of the legislature or
legislative employee, or political party chairman shall
receive, directly or indirectly, or enter into any
agreement express or implied for, any compensation, in
whatever form, for the appearance or rendition of
services by himself or another in relation to any case,
proceeding, application or other matter before a state
agency where such appearance or rendition of services
is in connection with:
(i) the purchase, sale, rental or lease of real
property, goods or services, or a contract
therefor, from, to or with any such agency;
(ii) any proceeding relating to rate making;
(iii) the adoption or repeal of any rule or regulation
having the force and effect of law;
(iv) the obtaining of grants of money or loans;
(v) licensing; or
(vi) any proceeding relating to a franchise provided
for in the public service law.
(b) No political party chairman in a county wholly included
in a city having a population of one million or more
shall receive, directly or indirectly, or enter into
any agreement express or implied for, any compensation,
in whatever form, for the appearance or rendition of
services by himself or another in relation to any case,
proceeding, application or other matter before any city
agency where such appearance or rendition of services
is in connection with:
(i) the purchase, sale, rental or lease of real
property, goods or services, or a contract
therefor, from, to or with any such agency;
(ii) any proceeding relating to ratemaking;
(iii) the adoption or repeal of any rule or regulation
having the force and effect of law;
(iv) the obtaining of grants of money or loans;
(v) licensing. For purposes of this paragraph, the
term "licensing" shall mean any city agency
activity respecting the grant, denial, renewal,
revocation, enforcement, suspension, annulment,
withdrawal, recall, cancellation or amendment of
a license, permit or other form of permission
conferring the right or privilege to engage in
(i) a profession, trade, or occupation or (ii)
any business or activity regulated by a
regulatory agency of a city agency which in the
absence of such license, permit or other form of
permission would be prohibited; and
(vi) any proceeding relating to a franchise.
(c) Nothing contained in this subdivision shall prohibit a
statewide elected official, or a state officer or
employee, unless otherwise prohibited, or a member of
the legislature or legislative employee, or political
party chairman, from appearing before a state agency in
a representative capacity if such appearance in a
representative capacity is in connection with a
ministerial matter.
(d) Nothing contained in this subdivision shall prohibit a
member of the legislature, or a legislative employee on
behalf of such member, from participating in or
advocating any position in any matter in an official or
legislative capacity, including, but not limited to,
acting as a public advocate whether or not on behalf of
a constituent. Nothing in this paragraph shall be
construed to limit the application of the provisions of
section seventy-seven of this chapter.
(e) Nothing contained in this subdivision shall prohibit a
state officer or employee from appearing before a state
agency in a representative capacity on behalf of an
employee organization in any matter where such
appearance is duly authorized by an employee
organization.
(f) Nothing contained in this subdivision shall prohibit a
political party chairman from participating in or
advocating any matter in an official capacity.
(g) Nothing contained in this subdivision shall prohibit
internal research or discussion of a matter, provided,
however, that the time is not charged to the client and
the person does not share in the net revenues generated
or produced by the matter.
8. (a) No person who has served as a state officer or
employee shall within a period of two years after the
termination of such service or employment appear or
practice before such state agency or receive
compensation for any services rendered by such former
officer or employee on behalf of any person, firm,
corporation or association in relation to any case,
proceeding or application or other matter before such
agency.
(b) No person who has served as a state officer or employee
shall after the termination of such service or
employment appear, practice, communicate or otherwise
render services before any state agency or receive
compensation for any such services rendered by such
former officer or employee on behalf of any person,
firm, corporation or other entity in relation to any
case, proceeding, application or transaction with
respect to which such person was directly concerned and
in which he or she personally participated during the
period of his or her service or employment, or which
was under his or her active consideration.
(c) No person who has served as a member of the legislature
shall within a period of two years after the
termination of such service receive compensation for
any services on behalf of any person, firm, corporation
or association to promote or oppose, directly or
indirectly, the passage of bills or resolutions by
either house of the legislature. No legislative
employee who is required to file an annual statement of
financial disclosure pursuant to the provisions of
section seventy-three-a of this chapter shall during
the term of office of the legislature in which he or
she was so employed, receive compensation at any time
during the remainder of such term after leaving the
employ of the legislature for any services on behalf of
any person, firm, corporation or association to promote
or oppose, directly or indirectly, the passage of bills
or resolutions by either house of the legislature in
relation to any matter with respect to which such
person was directly concerned and in which he
personally participated during the period of his
service or employment. A legislative employee who acted
primarily in a supervisory capacity in such matter and
who was not personally involved in the development,
negotiation or implementation of the matter to an
important and material degree, may, with the approval
of the legislative ethics committee, receive such
compensation and perform such services.
(d) Nothing contained in this subdivision shall prohibit
any state agency from adopting rules concerning
practice before it by former officers or employees more
restrictive than the requirements of this subdivision.
(e) This subdivision shall not apply to any appearance,
practice, communication or rendition of services before
any state agency, or either house of the legislature,
or to the receipt of compensation for any such
services, rendered by a former state officer or
employee or former member of the legislature or
legislative employee, which is made while carrying out
official duties as an elected official or employee of a
federal, state or local government or one of its
agencies.
(f) Nothing in this subdivision shall be deemed to prevent
a former state officer or employee who was employed on
a temporary basis to perform routine clerical services,
mail services, data entry services or other similar
ministerial tasks, from subsequently being employed by
a person, firm, corporation or association under
contract to a state agency to perform such routine
clerical services, mail services, data entry services
or other similar ministerial tasks; provided however,
this paragraph shall in no event apply to any such
state officer or employee who was required to file an
annual statement of financial disclosure pursuant to
section seventy-three-a of this article.
8-a. The provisions of paragraphs (a) and (b) 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 state ethics commission, 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
particular 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. 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, including without limitation:
(a) preparing or giving testimony or executing one or more
affidavits;
(b) gathering, reviewing or analyzing information,
including documentary or oral information concerning
facts or opinions, attending depositions or
participating in document review or discovery;
(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.
9. No party officer while serving as such shall be eligible to
serve as a judge of any court of record, attorney-general or
deputy or assistant attorney-general or solicitor general,
district attorney or assistant district attorney. As used in
this subdivision, the term "party officer" shall mean a
member of a national committee, an officer or member of a
state committee or a county chairman of any political party.
10. Nothing contained in this section, the judiciary law, the
education 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 chairman, member of the legislature or legislative
employee 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 a state agency, or a
city agency with respect to a political party chairman 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
chairman, where such statewide elected official, state
officer or employee, member of the legislature or
legislative employee, or political party chairman does not
share in the net revenues, as defined in accordance with
generally accepted accounting principles by the state ethics
commission or by the legislative ethics committee in
relation to persons subject to their respective
jurisdictions, resulting therefrom, or, acting in good
faith, reasonably believed that he or she 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 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
chapter 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
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
chapter does not share in the net revenues, as defined in
accordance with generally accepted accounting principles by
the state ethics commission or by the legislative ethics
committee in relation to persons subject to their respective
jurisdictions, resulting therefrom, or, acting in good
faith, reasonably believed that he or she would not share in
the net revenues as so defined.
11. Notwithstanding any provision of the judiciary law, the
education law or any other law or disciplinary rule to the
contrary:
(a) Conduct authorized pursuant to subdivision eight of
this section by a person who has served as a member of
the legislature or as a legislative employee shall not
constitute professional misconduct or grounds for
disciplinary action of any kind;
(b) No member of the legislature or former member of the
legislature shall be prohibited from appearing,
practicing, communicating or otherwise rendering
services in relation to any matter before, or
transacting business with, any state agency solely by
reason of any vote or other action by such member or
former member in respect to the confirmation or
election of any member, commissioner, director or other
person affiliated with such state agency, but nothing
in this paragraph shall limit the prohibition contained
in subdivision eight of this section;
(c) The appearance, practice, communication or rendition of
services in relation to any matter before, or
transaction of business with a state agency, or with
the court of claims, or the promotion or opposition to
the passage of bills or resolutions by either house of
the legislature, by a member, associate, retired
member, of counsel or shareholder of a firm,
association or corporation, in accordance with
subdivision ten of this section, is hereby authorized
and shall not constitute professional misconduct or
grounds for disciplinary action of any kind solely by
reason of the professional relationship between the
statewide elected official, state officer or employee,
political party chairman, member of the legislature, or
legislative employee and any firm, association,
corporation or any member, associate, retired member,
of counsel, or shareholder thereof, or by reason of the
appearance created by any such professional
relationship.
12. A statewide elected official, state officer or employee, or
a member of the legislature or legislative employee, or
political party chairman, who is a member, associate,
retired member, of counsel to, or shareholder of any firm,
association or corporation which is appearing or rendering
services in connection with any case, proceeding,
application or other matter listed in paragraph (a) or (b)
of subdivision seven of this section shall not orally
communicate, with or without compensation, as to the merits
of such cause with an officer or an employee of the agency
concerned with the matter.
13. For the purposes of this section, a statewide elected
official or state officer or employee or member of the
legislature or legislative employee or political party
chairman who is a member, associate, retired member, of
counsel to, or shareholder of any firm, association or
corporation shall not be deemed to have made an appearance
under the provisions of this section solely by the
submission to a state agency or city agency of any printed
material or document bearing his or her name, but unsigned
by him or her, such as by limited illustrations the name of
the firm, association or corporation or the letterhead of
any stationery, which pro forma serves only as an indication
that he or she is such a member, associate, retired member,
of counsel to, or shareholder.
14. In addition to any penalty contained in any other provision
of law, any person who knowingly and intentionally violates
the provisions of subdivisions two through five or
subdivision seven, eight or twelve of this section shall be
subject to a civil penalty in an amount not to exceed ten
thousand dollars. Assessment of a civil penalty hereunder
shall be made by the state ethics commission or the
legislative ethics committee, as the case may be, with
respect to persons subject to their respective
jurisdictions. The state ethics commission acting pursuant
to subdivision thirteen of section ninety-four of the
executive law, or the legislative ethics committee acting
pursuant to subdivision twelve of section eighty of the
legislative law, as the case may be, may, in lieu of a civil
penalty, with respect to a violation of subdivisions two
through five or subdivision seven or eight of this section,
refer a violation of any such subdivision to the appropriate
prosecutor and upon such conviction, but only after such
referral, such violation shall be punishable as a class A
misdemeanor.
Section 73-a. Financial disclosure.
1. As used in this section:
(a) The term "statewide elected official" shall mean the
governor, lieutenant governor, comptroller, or attorney
general.
(b) The term "state agency" shall mean any state
department, or division, board, commission, or bureau
of any state department, any public benefit
corporation, public authority or commission at least
one of whose members is appointed by the governor, or
the state university of New York or the city university
of New York, including all their constituent units
except community colleges and the independent
institutions operating statutory or contract colleges
on behalf of the state.
(c) The term "state officer or employee" shall mean:
(i) heads of state departments and their deputies
and assistants;
(ii) officers and employees of statewide elected
officials, officers and employees of state
departments, boards, bureaus, divisions,
commissions, councils or other state agencies,
who receive annual compensation in excess of the
filing rate established by paragraph (l) of this
subdivision 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 state ethics
commission established by section ninety-four of
the executive law during the month of February,
provided, however, that the appointing authority
shall amend such written instrument after such
date within thirty days after the undertaking of
policy-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
compensation 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 state ethics commission
established by section ninety-four of the
executive law during the month of February,
provided, however, that the appointing authority
shall amend such written instrument after such
date within thirty days after the undertaking of
policy-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 committee established by
section eighty of the legislative law.
(e) The term "spouse" shall mean the husband or wife of the
reporting individual unless living separate and apart
from the reporting individual with the intention of
terminating the marriage or providing for permanent
separation or unless separated pursuant to: (i) a
judicial order, decree or judgment, or (ii) a legally
binding separation agreement.
(f) The term "relative" shall mean such individual's
spouse, child, stepchild, stepparent, or any person who
is a direct descendant of the grandparents of the
reporting individual or of the reporting individual's
spouse.
(g) The term "unemancipated child" shall mean any son,
daughter, stepson or stepdaughter who is under age
eighteen, unmarried and living in the household of the
reporting individual.
(h) The term "political party chairman" shall have the same
meaning as ascribed to such term by subdivision one of
section seventy-three of this chapter.
(i) The term "local agency" shall mean:
(i) any county, city, town, village, school district
or district corporation, or any agency,
department, division, board, commission or bureau
thereof; and
(ii) any public benefit corporation or public authority
not included in the definition of a state agency.
(j) The term "regulatory agency" shall have the same
meaning as ascribed to such term by subdivision one of
section seventy-three of this chapter.
(k) The term "ministerial matter" shall have the same
meaning as ascribed to such term by subdivision one of
section seventy-three of this chapter.
(l) The term "filing rate" shall mean the job rate of SG-24
as set forth in paragraph a of subdivision one of
section one hundred thirty of the civil service law as
of April first of the year in which an annual financial
disclosure statement shall be filed.
2. (a) Every statewide elected official, state officer or
employee, member of the legislature, legislative
employee and political party chairman 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 hereof. Such
statement shall be filed on or before the fifteenth day
of May with respect to the preceding calendar year,
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 individual income tax
return for the immediately preceding calendar
or fiscal year shall be required to file such
financial disclosure 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 supplementary 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 state
ethics commission or with the legislative
ethics committee, and who is granted an
additional period of time within which to file
such statement due to justifiable cause or
undue hardship, in accordance with required
rules and regulations on the subject adopted
pursuant to paragraph c of subdivision nine of
section ninety-four of the executive law or
pursuant to paragraph c of subdivision eight of
section eighty of the legislative law, shall
file such statement within the additional
period of time granted;
(iii) candidates for statewide office who receive a
party designation for nomination by a state
committee pursuant to section 6-104 of the
election law shall file such statement within
seven 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 seven 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 seven 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 designated by a party to receive a
nomination shall file such statement within
seven days after the last day allowed by law
for the filing of independent 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 seven 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
seven days after the last day allowed by law to
file a certificate to fill a vacancy in such
party designation or independent nomination.
(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 employee, such statement
shall be filed with the legislative ethics committee
established by section eighty of the legislative law.
If the reporting individual is a statewide elected
official, candidate for statewide elected office, a
state officer or employee or a political party
chairman, such statement shall be filed with the state
ethics commission established by section ninety-four of
the executive law.
(d) The legislative ethics committee and the state ethics
commission 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.
(e) Any person required to file such statement who
commences employment after May fifteenth of any year
and political party chairman shall file such statement
within thirty days after commencing employment or of
taking the position of political party chairman, as the
case may be.
(f) A person who may otherwise be required to file more
than one annual financial disclosure statement with
both the state ethics commission and the legislative
ethics committee 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 or ethics committee, 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 state ethics commission 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
committee shall not be subject to filing such statement
with either such commission or such committee on the
basis that his 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
subdivision 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.
3. The annual statement of financial disclosure shall contain
the information and shall be in the form set forth
hereinbelow:
=================================================================
ANNUAL STATEMENT OF FINANCIAL DISCLOSURE (For calendar year ____)
1. Name ________________________________________________________
2. (a) Title of Position _______________________________________
(b) Department, Agency or other Governmental Entity _________
(c) Address of Present Office _______________________________
(d) Office Telephone Number _________________________________
3. (a) Marital Status ______________. If married, please give
spouse's full name including maiden name where applicable.
___________________________________________.
(b) List the names of all unemancipated children.
___________________________________
___________________________________
___________________________________
___________________________________
___________________________________
Answer each of the following questions completely, with respect
to calendar year _________, unless another period or date is
otherwise specified. If additional space is needed, attach
additional pages.
Whenever a "value" or "amount" is required to be reported herein,
such value or amount shall be reported as being within one of the
following Categories:
Category A - under $5,000;
Category B - $5,000 to under $20,000;
Category C - $20,000 to under $60,000;
Category D - $60,000 to under $100,000;
Category E - $100,000 to under $250,000; and
Category F - $250,000 or over.
A reporting individual shall indicate the Category by letter
only.
Whenever "income" is required to be reported herein, the term
"income" shall mean the aggregate net income before taxes from
the source identified.
The term "calendar year" shall mean the year ending the December
31st preceding the date of filing of the annual statement.
4.(a) list any office, trusteeship, directorship,
partnership, or position of any nature, whether
compensated or not, held by the reporting individual with
any firm, corporation, association, partnership, or other
organization other than the State of New York. Include
compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity
was licensed by any state or local agency, was regulated
by any state regulatory agency or local agency, or, as a
regular and significant part of the business or activity
of said entity, did business with, or had matters other
than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Position Organization Local Agency
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(b) List any office, trusteeship, directorship,
partnership, or position of any nature, whether
compensated or not, held by the spouse or unemancipated
child of the reporting individual, with any firm,
corporation, association, partnership, or other
organization other than the State of New York. Include
compensated honorary positions; do NOT list membership or
uncompensated honorary positions. If the listed entity
was licensed by any state or local agency, was regulated
by any state regulatory agency or local agency, or, as a
regular and significant part of the business or activity
of said entity, did business with, or had matters other
than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Position Organization Local
Agency
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
5.(a) List the name, address and description of any
occupation, employment (other than the employment listed
under Item 2 above), trade, business or profession
engaged in by the reporting individual. If such activity
was licensed by any state or local agency, was regulated
by any state regulatory agency or local agency, or, as a
regular and significant part of the business or activity
of said entity, did business with, or had matters other
than ministerial matters before, any state or local
agency, list the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(b) If the spouse or unemancipated child of the reporting
individual was engaged in any occupation, employment,
trade, business or profession which activity was licensed
by any state or local agency, was regulated by any state
regulatory agency or local agency, or, as a regular and
significant part of the business or activity of said
entity, did business with, or had matters other than
ministerial matters before, any state or local agency,
list the name, address and description of such
occupation, employment, trade, business or profession and
the name of any such agency.
State or
Name & Address Local
Position of Organization Description Agency
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
6. List any interest, in EXCESS of $1,000, held by the reporting
individual, such individual's spouse or unemancipated child,
or partnership of which any such person is a member, or
corporation, 10% or more of the stock of which is owned or
controlled by any such person, whether vested or contingent,
in any contract made or executed by a state or local agency
and include the name of the entity which holds such interest
and the relationship of the reporting individual or such
individual's spouse or such child to such entity and the
interest in such contract. Do NOT include bonds and notes. Do
NOT list any interest in any such contract on which final
payment has been made and all obligations under the contract
except for guarantees and warranties have been performed,
provided, however, that such an interest must be listed if
there has been an ongoing dispute during the calendar year
for which this statement is filed with respect to any such
guarantees or warranties. Do NOT list any interest in a
contract made or executed by a local agency after public
notice and pursuant to a process for competitive bidding or a
process for competitive requests for proposals.
Entity Relationship Contracting Category
Self, Which Held to Entity State or of
Spouse or Interest in and Interest Local Value of
Child Contract in Contract Agency Contract
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
7. List any position the reporting individual held as an officer
of any political party or political organization, as a member
of any political party committee, or as a political party
district leader.
The term "party" shall have the same meaning as "party" in
the election law. The term "political organization" means any
party or independent body as defined in the election law or
any organization that is affiliated with or a subsidiary of a
party or independent body.
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
8.(a) If the reporting individual practices law, is
licensed by the department of state as a real estate
broker or agent or practices a profession licensed by the
department of education, give a general description of
the principal subject areas of matters undertaken by such
individual. Additionally, if such an individual practices
with a firm or corporation and is a partner or
shareholder of the firm or corporation, give a general
description of principal subject areas of matters
undertaken by such firm or corporation. Do not list the
name of the individual clients, customers or patients.
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(b) List the name, principal address and general description
or the nature of the business activity of any entity in
which the reporting individual or such individual's
spouse had an investment in excess of $1,000 excluding
investments in securities and interests in real property.
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
9. List each source of gifts, EXCLUDING campaign contributions,
in EXCESS of $1,000, received during the reporting period for
which this statement is filed by the reporting individual or
such individual's spouse or unemancipated child from the same
donor, EXCLUDING gifts from a relative. INCLUDE the name and
address of the donor. The term "gifts" does not include
reimbursements, which term is defined in item 10.
Indicate the value and nature of each such gift.
Category
Self, of
Spouse or Name of Nature Value of
Child Donor Address of Gift Gift
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
10.Identify and briefly describe the source of any
reimbursements for expenditures, EXCLUDING campaign
expenditures and expenditures in connection with official
duties reimbursed by the state, in EXCESS of $1,000 from each
such source. For purposes of this item, the term
"reimbursements" shall mean any travel-related expenses
provided by nongovernmental sources and for activities
related to the reporting individual's official duties such
as, speaking engagements, conferences, or factfinding events.
The term "reimbursements" does NOT include gifts reported
under item 9.
Source Description
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
11.List the identity and value, if reasonably ascertainable, of
each interest in a trust, estate or other beneficial
interest, including retirement plans other than retirement
plans of the state of New York or the city of New York, and
deferred compensation plans (e.g., 401, 403(b), 457, etc.)
established in accordance with the internal revenue code, in
which the REPORTING INDIVIDUAL held a beneficial interest in
EXCESS of $1,000 at any time during the preceding year. Do
NOT report interests in a trust, estate or other beneficial
interest established by or for, or the estate of, a relative.
Category
of
Identity Value*
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
* The value of such interest shall be reported only if
reasonably ascertainable.
12 (a) Describe the terms of, and the parties to, any
contract, promise, or other agreement between the
reporting individual and any person, firm, or corporation
with respect to the employment of such individual after
leaving office or position (other than a leave of
absence).
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
(b) Describe the parties to and the terms of any agreement
providing for continuation of payments or benefits to the
REPORTING INDIVIDUAL in EXCESS of $1,000 from a prior
employer OTHER THAN the State. (This includes interests
in or contributions to a pension fund, profit-sharing
plan, or life or health insurance; buy-out agreements;
severance payments; etc.)
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
13.List below the nature and amount of any income in EXCESS of
$1,000 from EACH SOURCE for the reporting individual and such
individual's spouse for the taxable year last occurring prior
to the date of filing. Nature of income includes, but is not
limited to, all income (other than that received from the
employment listed under Item 2 above) from compensated
employment whether public or private, directorships and other
fiduciary positions, contractual arrangements, teaching
income, partnerships, honorariums, lecture fees, consultant
fees, bank and bond interest, dividends, income derived from
a trust, real estate rents, and recognized gains from the
sale or exchange of real or other property. Income from a
business or profession and real estate rents shall be
reported with the source identified by the building address
in the case of real estate rents and otherwise by the name of
the entity and not by the name of the individual customers,
clients or tenants, with the aggregate net income before
taxes for each building address or entity. The receipt of
maintenance received in connection with a matrimonial action,
alimony and child support payments shall not be listed.
Category
Self/ of
Spouse Source Nature Amount
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
14.List the sources of any deferred income (not retirement
income) in EXCESS of $1,000 from each source to be paid to
the reporting individual following the close of the calendar
year for which this disclosure statement is filed, other than
deferred compensation reported in item 11 hereinabove.
Deferred income derived from the practice of a profession
shall be listed in the aggregate and shall identify as the
source, the name of the firm, corporation, partnership or
association through which the income was derived, but shall
not identify individual clients.
Category
of
Source Amount
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
15.List each assignment of income in EXCESS of $1,000, and each
transfer other than to a relative during the reporting period
for which this statement is filed for less than fair
consideration of an interest in a trust, estate or other
beneficial interest, securities or real property, by the
reporting individual, in excess of $1,000, which would
otherwise be required to be reported herein and is not or has
not been so reported.
Category
Item Assigned Assigned or of
or Transferred Transferred to Value
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
_________________________________________________________________
16.List below the type and market value of securities held by
the reporting individual or such individual's spouse from
each issuing entity in EXCESS of $1,000 at the close of the
taxable year last occurring prior to the date of filing,
including the name of the issuing entity exclusive of
securities held by the reporting individual issued by a
professional corporation. Whenever an interest in securities
exists through a beneficial interest in a trust, the
securities held in such trust shall be listed ONLY IF the
reporting individual has knowledge thereof except where the
reporting individual or the reporting individual's spouse has
transferred assets to such trust for his or her benefit in
which event such securities shall be listed unless they are
not ascertainable by the reporting individual because the
trustee is under an obligation or has been instructed in
writing not to disclose the contents of the trust to the
reporting individual. Securities of which the reporting
individual or the reporting individual's spouse is the owner
of record but in which such individual or the reporting
individual's spouse has no beneficial interest shall not be
listed. Indicate percentage of ownership ONLY if the
reporting person or the reporting person's spouse holds more
than five percent (5%) of the stock of a corporation in which
the stock is publicly traded or more than ten percent (10%)
of the stock of a corporation in which the stock is NOT
publicly traded. Also list securities owned for investment
purposes by a corporation more than fifty percent (50%) of
the stock of which is owned or controlled by the reporting
individual or such individual's spouse. For the purpose of
this item the term "securities" shall mean mutual funds,
bonds, mortgages, notes, obligations, warrants and stocks of
any class, investment interests in limited or general
partnerships and certificates of deposits (CDs) and such
other evidences of indebtedness and certificates of interest
as are usually referred to as securities. The market value
for such securities shall be reported only if reasonably
ascertainable and shall not be reported if the security is an
interest in a general partnership that was listed in item 8
(a) or if the security is corporate stock, NOT publicly
traded, in a trade or business of a reporting individual or a
reporting individual's spouse.
Percentage
of corporate
stock owned
or controlled Category of
(if more than Market Value
5% of pub- as of the close
licly traded of the
stock, or taxable year
more than last occurring
10% of stock prior to
Self/ Issuing Type of not publicly the filing of
Spouse Entity Security traded, is held) this statement
__________ _________ _________ ______________ ______________
__________ _________ _________ ______________ ______________
__________ _________ _________ ______________ ______________
__________ _________ _________ ______________ ______________
__________ _________ _________ ______________ ______________
17.List below the location, size, general nature, acquisition
date, market value and percentage of ownership of any real
property in which any vested or contingent interest in EXCESS
of $1,000 is held by the reporting individual or the
reporting individual's spouse. Also list real property owned
for investment purposes by a corporation more than fifty
percent 50% of the stock of which is owned or controlled by
the reporting individual or such individual's spouse. Do NOT
list any real property which is the primary or secondary
personal residence of the reporting individual or the
reporting individual's spouse, except where there is a co-
owner who is other than a relative.
Self/ Percent- Catego-
Spouse/ age of ry of
Corpora- General Acquisition Owner- Market
tion Location Size Nature Date ship Value
______ ________ ____ ______ ___________ ________ _______
______ ________ ____ ______ ___________ ________ _______
______ ________ ____ ______ ___________ ________ _______
______ ________ ____ ______ ___________ ________ _______
______ ________ ____ ______ ___________ ________ _______
18.List below all notes and accounts receivable, other than from
goods or services sold, held by the reporting individual at
the close of the taxable year last occurring prior to the
date of filing and other debts owed to such individual at the
close of the taxable year last occurring prior to the date of
filing, in EXCESS of $1,000, including the name of the
debtor, type of obligation, date due and the nature of the
collateral securing payment of each, if any, excluding
securities reported in item 16 hereinabove. Debts, notes and
accounts receivable owed to the individual by a relative
shall not be reported.
Type of Obligation, Category
Date Due, and Nature of
Name of Debtor of Collateral, if any Amount
__________________ _____________________ ______________
__________________ _____________________ ______________
__________________ _____________________ ______________
__________________ _____________________ ______________
19.List below all liabilities of the reporting individual and
such individual's spouse, in EXCESS of $5,000 as of the date
of filing of this statement, other than liabilities to a
relative. Do NOT list liabilities incurred by, or guarantees
made by, the reporting individual or such individual's spouse
or by any proprietorship, partnership or corporation in which
the reporting individual or such individual's spouse has an
interest, when incurred or made in the ordinary course of the
trade, business or professional practice of the reporting
individual or such individual's spouse. Include the name of
the creditor and any collateral pledged by such individual to
secure payment of any such liability. A reporting individual
shall not list any obligation to pay maintenance in
connection with a matrimonial action, alimony or child
support payments. Any loan issued in the ordinary course of
business by a financial institution to finance educational
costs, the cost of home purchase or improvements for a
primary or secondary residence, or purchase of a personally
owned motor vehicle, household furniture or appliances shall
be excluded. If any such reportable liability has been
guaranteed by any third person, list the liability and name
the guarantor.
Category
Name of Creditor Type of Liability of
or Guarantor and Collateral, if any Amount
__________________ _________________________ _______________
__________________ _________________________ _______________
__________________ _________________________ _______________
__________________ _________________________ _______________
__________________ _________________________ _______________
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 ten thousand dollars. Assessment
of a civil penalty hereunder shall be made by the state
ethics commission or by the legislative ethics committee, as
the case may be, with respect to persons subject to their
respective jurisdictions. The state ethics commission acting
pursuant to subdivision thirteen of section ninety-four of
the executive law or the legislative ethics committee acting
pursuant to subdivision twelve of section eighty of the
legislative law, as the case may be, may, in lieu of a civil
penalty, refer a violation to the appropriate prosecutor 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
state ethics commission and the legislative ethics committee
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 authorized. 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 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 reporting
individual in a proceeding commenced against the state
ethics commission or legislative ethics committee, pursuant
to article seventy-eight of the civil practice law and
rules.
5. Nothing contained in this section shall be construed as
precluding any public authority or public benefit
corporation from exercising any authority or power now or
hereafter existing to require any of its members, directors,
officers or employees to file financial disclosure
statements with such public authority or public benefit
corporation that are the same as, different from or
supplemental to any of the requirements contained herein and
to provide only for internal employment discipline for any
violation arising out of such internal filing.
Sec. 74. Code of ethics.
1. Definition. As used in this section: The term "state agency"
shall mean any state department, or division, board,
commission, or bureau of any state department or any public
benefit corporation or public authority at least one of
whose members is appointed by the governor.
The term "legislative employee" shall mean any officer or
employee of the legislature but it shall not include members
of the legislature.
2. Rule with respect to conflicts of interest. No officer or
employee of a state agency, member of the legislature or
legislative employee should have any interest, financial or
otherwise, direct or indirect, or engage in any business or
transaction or professional activity or incur any obligation
of any nature, which is in substantial conflict with the
proper discharge of his duties in the public interest.
3. Standards.
a. No officer or employee of a state agency, member of the
legislature or legislative employee should accept other
employment which will impair his independence of
judgment in the exercise of his official duties.
b. No officer or employee of a state agency, member of the
legislature or legislative employee should accept
employment or engage in any business or professional
activity which will require him to disclose
confidential information which he has gained by reason
of his official position or authority.
c. No officer or employee of a state agency, member of the
legislature or legislative employee should disclose
confidential information acquired by him in the course
of his official duties nor use such information to
further his personal interests.
d. No officer or employee of a state agency, member of the
legislature or legislative employee should use or
attempt to use his official position to secure
unwarranted privileges or exemptions for himself or
others.
e. No officer or employee of a state agency, member of the
legislature or legislative employee should engage in
any transaction as representative or agent of the state
with any business entity in which he has a direct or
indirect financial interest that might reasonably tend
to conflict with the proper discharge of his official
duties.
f. An officer or employee of a state agency, member of the
legislature or legislative employee should not by his
conduct give reasonable basis for the impression that
any person can improperly influence him or unduly enjoy
his favor in the performance of his official duties, or
that he is affected by the kinship, rank, position or
influence of any party or person.
g. An officer or employee of a state agency should abstain
from making personal investments in enterprises which
he has reason to believe may be directly involved in
decisions to be made by him or which will otherwise
create substantial conflict between his duty in the
public interest and his private interest.
h. An officer or employee of a state agency, member of the
legislature or legislative employee should endeavor to
pursue a course of conduct which will not raise
suspicion among the public that he is likely to be
engaged in acts that are in violation of his trust.
i. No officer or employee of a state agency employed on a
full-time basis nor any firm or association of which
such an officer or employee is a member nor corporation
a substantial portion of the stock of which is owned or
controlled directly or indirectly by such officer or
employee, should sell goods or services to any person,
firm, corporation or association which is licensed or
whose rates are fixed by the state agency in which such
officer or employee serves or is employed.
j. If any officer or employee of a state agency shall have
a financial interest, direct or indirect, having a
value of ten thousand dollars or more in any activity
which is subject to the jurisdiction of a regulatory
agency, he should file with the secretary of state a
written statement that he has such a financial interest
in such activity which statement shall be open to
public inspection.
4. Violations. In addition to any penalty contained in any
other provision of law any such officer, member or employee
who shall knowingly and intentionally violate any of the
provisions of this section may be fined, suspended or
removed from office or employment in the manner provided by
law.
Sec. 74-a. Duty of public officers regarding the physically
handicapped.
It shall be the duty of each public officer responsible for the
scheduling or siting of any public hearing to make reasonable
efforts to ensure that such hearings are held in facilities that
permit barrier-free physical access to the physically
handicapped, as defined in subdivision five of section fifty of
the public buildings law.
Sec. 75. Bribery of members of the legislature.
A person who gives or offers, or causes to be given or offered, a
bribe, or any money, property, or value of any kind, or any
promise or agreement therefor, to a member of the legislature, or
to a person who has been elected a member of the legislature, or
attempts, directly or indirectly, by menace, deceit, suppression
of truth, or other corrupt means, to influence such a member or
person to give or withhold his vote, or to absent himself from
the house of which he is, or is to become, a member, or from any
committee thereof, is punishable by imprisonment for not more
than ten years, or by a fine of not more than five thousand
dollars, or by both.
Section 76. Receiving bribes by members of legislature.
A member of either of the houses composing the legislature of
this state, or a person elected to become a member thereof, who
asks, receives, or agrees to receive any bribe upon any
understanding that his official vote, opinion, judgment or action
shall be influenced thereby, or shall be given in any particular
manner or upon any particular side of any question or matter upon
which he may be required to act in his official capacity, shall
be guilty of a class D felony.
Sec. 77. Unlawful fees and payments.
A member of the legislature or any officer or employee of the
legislature who asks or receives or consents or agrees to receive
any emolument, gratuity or reward or any promise of emolument,
gratuity or reward or any money, property or thing of value or of
personal advantage, except such as may be authorized by law, for
doing or omitting to do any official act, or for performing or
omitting to perform any act whatsoever directly or indirectly
related to any matter in respect to which any duty or discretion
is by or in pursuance of law imposed upon or vested in him, or
may be exercised by him by virtue of his office, or appointment
or employment or his actual relation to the matter including,
without limiting the generality of the foregoing, approving or
promoting the passage of legislation or resolutions or the
confirmation of appointees, or the conduct of investigations, and
a person who shall directly or indirectly offer or make such a
transfer to any member of the legislature or any officer or
employee of the legislature shall be guilty of a felony
punishable by imprisonment for not more than ten years or by a
fine of not more than five thousand dollars, or both.
Sec. 77-a. Members of the legislature liable to forfeiture of
office.
The conviction of a member of the legislature or any officer or
employee of the legislature of any of the crimes defined in
sections seventy-five, seventy-six or seventy-seven of this
chapter, shall involve as a consequence in addition to the
punishment provided in any such section a forfeiture of his
office; and shall disqualify him from ever afterwards holding any
office under this state.
Section 78. Certification of members, officers and employees.
On or before the tenth day after any member, officer or employee
commences the performance of his duties as such, he shall file,
with the secretary of the senate, if a member, officer or
employee of that house, or with the clerk of the assembly, if a
member, officer or employee of that house, or with the secretary
of state if an officer or employee of a state agency, a
certificate acknowledging receipt of a copy of sections seventy-
three, seventy-three-a, seventy-four, seventy-five, seventy-six,
seventy-seven and seventy-eight of this chapter together with
such other material as the secretary of the senate, the clerk of
the assembly or the secretary of state may prepare related
thereto, that he has read the same and undertakes to conform to
the provisions, purposes and intent thereof and to the norms o